Social Psychology - DeLamater, John (SRG) PDF

EIGHTH EDITION DELAMATER
MYERS
“DeLamater, Myers, and Collett’s text has long been the standard for a truly
integrative social psychology textbook that brings together the best of what the
COLLETT
two disciplines at the heart of the field—psychology and sociology—have to offer.
Clear organization, lucid writing, and broad coverage of subject matter provide
students with an introduction that is both accessible and thorough, and
SOCIAL PSYCHOLOGY
the book contains many examples that make concrete for students how social
psychological concepts apply pervasively to everyday life.”
—JEREMY FREESE, NORTHWESTERN UNIVERSITY
“If you’re looking for an undergraduate textbook in social psychology that

is organized, presents up-to-date research findings and concepts from
both sociological and psychological perspectives, and engages students in
critical thinking and application processes, this textbook is for you.”
—TERRI ORBUCH, OAKLAND UNIVERSITY
Written by well-known sociologists John D. DeLamater, Daniel J. Myers, and Jessica L. Collett, this
EIGHTH EDITION
fully revised and updated edition of Social Psychology is a highly accessible and engaging explora-
tion of the question “what is it that makes us who we are?”
With hundreds of real-world examples, figures, and photographs and grounded in the latest research,
the text explores such topics as self, attitudes, social influence, emotions, interpersonal attraction
SOCIAL
and relationships, and collective behavior. The book also explains the methods that social psychol-
ogists use to investigate human behavior in a social context and the theoretical perspectives that
ground the discipline. Each chapter is a self-contained unit for ease of use in any classroom, begin-
ning with focal questions that establish the issues being discussed and ending with a summary of
key points, a list of key terms and concepts, and a critical-thinking exercise.
PSYCHOLOGY
JOHN D. DELAMATER is Conway-Bascom Professor of Sociology at the University of Wisconsin-
Madison. He has been teaching social psychology courses since 1970 and his current research and
writing are focused on the effects of life-course transitions on sexuality.
DANIEL J. MYERS is vice-president and associate provost for faculty affairs and professor of
JOHN D. DELAMATER, DANIEL J. MYERS,

sociology at the University of Notre Dame.
JESSICA L. COLLETT is associate professor and director of graduate studies in the Department
AND JESSICA L. COLLETT

of Sociology at the University of Notre Dame, where she has been since 2006. Her research focuses
on identity, emotion, and small group processes.
COVER IMAGE © TIM ELLIS/IKON IMAGES/CORBIS

COVER DESIGN: MIGUEL SANTANA & WENDY HALITZER
EIGHTH
EDITION
A Member of the Perseus Books Group

www.westviewpress.com
Social
Psychology
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e i g h t h e d i t i o n
Social
Psychology
John D. D e lamater Daniel J. myerS JeSSica l. collett
A Member of the Perseus Books group
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Westview Press was founded in 1975 in Boulder, Colorado, by notable publisher and
intellectual Fred Praeger. Westview Press continues to publish scholarly titles and high-
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Library of Congress Cataloging-in-Publication Data

DeLamater, John D.
Social psychology / John D. DeLamater, Daniel J. Myers,
Jessica L. Collett. — Eighth edition.
pages cm
Includes bibliographical references and index.
ISBN 978-0-8133-4950-3 (paperback) — ISBN 978-0-8133-4951-0 (e-book)
1. Social psychology. I. Myers, Daniel J. II. Collett, Jessica L. III. Title.
HM1033.D45 2014 Proudly sourced and uploaded by [StormRG]
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Brief taBle of contentS
Preface xv
1 introduction to Social Psychology 1
2 research methods in Social Psychology 31
3 Socialization through the life course 65
4 Self and Self-Presentation 117
5 emotions 177
6 Social Perception and cognition 205
7 attitudes 243
8 Symbolic communication and language 271
9 Social influence and Persuasion 311
10 altruism and Prosocial Behavior 343
11 aggression 369
12 interpersonal attraction and relationships 399
13 Understanding Groups 439
14 Group Processes 469
15 Social Structure and Personality 501
16 Deviant Behavior and Social reaction 541
17 collective Behavior and Social movements 579
Glossary 611
references 625
index 703
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exPanDeD taBle of contentS
Preface xv archival research and content

analysis 47
experiments 49
1 IntroductIon to SocIal comparison of research methods 54
meta-analysis 55
PSychology 1
Research in diverse Populations 56
introduction 2 ethical issues in Social Psychological
What is Social Psychology? 3 Research 58
a formal Definition 3 Potential Sources of harm 58
core concerns of Social Psychology 3 institutional Safeguards 59
Sociology, Psychology, or Both? 6 Potential Benefits 61
theoretical Perspectives in Sociological Summary 62

Social Psychology 7 List of Key Terms and Concepts 62
Symbolic interactionism 9
Critical Thinking Skill: Understanding the
Group Processes 12
Social Structure and Personality 16 Importance of Sampling 63
cognitive Perspectives 17
evolutionary theory 22 3 SocIalIzatIon through
conclusion 25
the lIfe courSe 65
Summary 26
List of Key Terms and Concepts 27 introduction 66
Critical Thinking Skill: An Introduction to Perspectives on Socialization 67

Critical Thinking 27 the Developmental Perspective 67
the Social learning Perspective 68
the interpretive Perspective 69
2 reSearch MethodS In the impact of Social Structure 70
SocIal PSychology 31 Agents of Childhood Socialization 70
family 71
introduction 32 Peers 77
Questions about research methods 32 School 79
mass media 80
Characteristics of empirical Research 32
objectives of research 33 Processes of Socialization 81
research hypotheses 33 instrumental conditioning 81
Validity of findings 34 observational learning 85
internalization 86
Research Methods 35
Surveys 35 outcomes of Socialization 87
field Studies and naturalistic Gender role 87
observation 45 linguistic and cognitive competence 90
vii
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viii ExpandEd TablE of ConTEnTs
moral Development 93 tactical impression Management 149

Work orientations 97 managing appearances 150
ingratiation 152
the Life Course 98
aligning actions 156
components of the life course 99
altercasting 157
influences on life course Progression 102
impression management online 158
historical Variations 107
detecting deceptive impression
Summary 112
Management 160
List of Key Terms and Concepts 114 Ulterior motives 160
Critical Thinking Skill: Understanding nonverbal cues of Deception 161
the Difference Between Truth and ineffective Self-Presentation and
Validity 114 Spoiled identities 164
embarrassment and Saving face 164
cooling-out and identity Degradation 167
4 Self and Stigma 168
Self-PreSentatIon 117
Summary 172
introduction 118 List of Key Terms and Concepts 174
the nature and genesis of Self 120 Critical Thinking Skill: Defending Against
the Self as Source and object of Everyday Persuasive Techniques 174
action 120
Self-Differentiation 120
role taking 122 5 eMotIonS 177
the Social origins of Self 122
identities: the Self We Know 125 introduction 178

role identities 125 defining emotions 179
Social identities 126
Classical ideas about the origins
research on Self-concept formation 127
the Situated Self 130 of emotion 180
identities: the Self We enact 130 Universal emotions and Facial

identities and Behavior 131
expressions 181
choosing an identity to enact 133 facial expressions of emotions 181
identities as Sources of consistency 135 Cultural differences in Basic emotions
Self-awareness and Self- and emotional display 184
Discrepancies 136
emotional Display 185
Self-esteem 138
the Social Psychology of emotions 189
assessment of Self-esteem 138
cognitive labeling theory 189
Sources of Self-esteem 140
emotion Work 192
Self-esteem and Behavior 142
Social emotions 194
Protecting Self-esteem 142
Summary 201
Self-Presentation 144
List of Key Terms and Concepts 202
Self-Presentation in everyday Life 147
Definition of the Situation 147 Critical Thinking Skill: Effortful
Self-Disclosure 148 Consideration of Ideas 202
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ExpandEd TablE of ConTEnTs ix
6 SocIal PercePtIon Cognitive Consistency 251

and cognItIon 205 Balance theory 252
theory of cognitive Dissonance 254
introduction 206 the Relationship Between Attitudes

and Behavior 258
Schemas 208
Do attitudes Predict Behavior? 258
types of Schemas 209
accessibility and activation of the
Schematic Processing 210
attitude 259
Person Schemas and group characteristics of the attitude 260
Stereotypes 214 attitude-Behavior correspondence 262
Person Schemas 214 Situational constraints 264
Group Stereotypes 216 reference Groups 264
impression Formation 223 the Reasoned Action Model 265

trait centrality 223 Summary 266
first impressions 224
impressions as Self-fulfilling
Prophecies 225 Critical Thinking Skill: Analyzing
heuristics 226 Attitudes 268
Attribution theory 227
Dispositional versus Situational
attributions 228 8 SyMbolIc coMMunIcatIon
inferring Dispositions from acts 229 and language 271
covariation model of attribution 231
Bias and error in Attribution 233 introduction 272

overattribution to Dispositions 233 Language and Verbal
focus-of-attention Bias 234 Communication 273
actor-observer Difference 235 linguistic communication 273
motivational Biases 237 the encoder-Decoder model 276
attributions for Success and failure 238 the intentionalist model 277
the Perspective-taking model 280
Summary 239
List of Key Terms and Concepts 240 nonverbal Communication 282
types of nonverbal communication 282
Critical Thinking Skill: Understanding computer-mediated communication 285
Stereotyping 241 What’s in a face? 286
combining nonverbal and Verbal
communication 286
7 attItudeS 243
Social Structure and
introduction 244 Communications 288
Gender and communication 289
the nature of Attitudes 244 Social Stratification and Speech
the components of an attitude 244 Style 291
attitude formation 245 communicating Status and intimacy 293
the functions of attitudes 248
normative distances for
Attitude organization 249 interaction 299
attitude Structure 249 normative Distances 299
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x ExpandEd TablE of ConTEnTs
Conversational Analysis 302 altruism and empathetic concern 346

initiating conversations 302 evolutionary Perspectives 348
regulating turn taking 304
Characteristics of the needy that
feedback and coordination 305
Foster helping 350
Summary 306 acquaintanceship and liking 350
Similarity 350
Deservingness 352
normative Factors in helping 353
Importance of Clear Communication 308
norms of responsibility and
reciprocity 354
Personal norms 355
9 SocIal Influence
Gender norms 356
and PerSuaSIon 311
Situational influences 356
modeling 357
introduction 312
mood 357
forms of Social influence 312
costs 358
Attitude Change via Persuasion 313
Bystander intervention in emergency
communication-Persuasion Paradigm 314
Situations 359
the Source 315
the Decision to intervene 360
the message 318
the Bystander effect 361
the target 322
Seeking and Receiving help 363
Compliance with threats and
Promises 325 other Forms of Prosocial Behavior 364
effectiveness of threats and Promises 328
Summary 365
obedience to Authority 331
experimental Study of obedience 333
factors affecting obedience to Critical Thinking Skill:
authority 336 Creative Thinking 366
Resisting influence and Persuasion 337
inoculation 337
forewarning 338 11 aggreSSIon 369
reactance 338
introduction 370
Summary 339
What is aggression? 370
Aggression and the Motivation to
Critical Thinking Skill: Evaluating harm 371
Persuasive Messages 340 aggression as instinct 371
frustration-aggression hypothesis 372
aversive emotional arousal 374
10 altruISM and Social learning and aggression 375
ProSocIal behavIor 343 Characteristics of targets that influence
Aggression 376
introduction 344 Gender and race 376
Motivation to help 345 attribution of intention 377
egoism 345 retaliatory capacity 379
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ExpandEd TablE of ConTEnTs xi
Situational impacts on Aggression 379 Passionate love 423

Potential rewards 379 the romantic love ideal 424
modeling 380 love as a Story 426
norms 381
Breaking Up 428
Stress 382
Progress? chaos? 428
aggressive cues 383
Unequal outcomes and instability 428
Reducing Aggressive Behavior 384 Differential commitment and
reducing frustration 384 Dissolution 430
Punishment 385 responses to Dissatisfaction 432
nonaggressive models 385
Summary 434
catharsis 385
Aggression in Society 386
Sexual assault 386 Critical Thinking Skill: (Relationship)
Pornography and Violence 390 Decision Making and Problem
media Violence and aggression 392 Solving 436
Summary 395
List of Key Terms and Concepts 396 13 underStandIng
Critical Thinking Skill: Applying Scientific grouPS 439
Research to Policy Decisions 396
introduction 440
What is a Group? 440
12 InterPerSonal
group Cohesion 441
attractIon and the nature of Group cohesion 442
relatIonShIPS 399 Sources and consequences of
cohesion 443
introduction 400
group goals 444
Who is Available? 400 Group Goals and individual Goals 445
routine activities 401
group norms 445
Proximity 401
functions of norms 445
familiarity 403
conformity and influence 446
Who is desirable? 404 increasing conformity 450
Social norms 404
intergroup Conflict 452
Physical attractiveness 405
effects of intergroup conflict on Within-
exchange Processes 408 Group Processes 453
the determinants of Liking 412 Sources of intergroup Conflict 454
Similarity 412 realistic Group conflict 455
Shared activities 414 Social identity 456
reciprocal liking 415 aversive events 457
the growth of Relationships 416 Persistence of intergroup Conflict 458
Self-Disclosure 416 out-Group homogeneity 458
trust 419 Group Stereotypes and images 458
interdependence 421 Ultimate attribution error 459
Love and Loving 422 Biased evaluation of Group
liking versus loving 422 Preferences 459
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xii ExpandEd TablE of ConTEnTs
Resolving intergroup Conflict 460 intergenerational mobility 504

Superordinate Goals 460
individual Values 512
intergroup contact 461
occupational role 514
Summary 464 education 515
List of Key Terms and Concepts 466 Social influences on health 516
Physical health 516
Critical Thinking Skill: Promoting Higher
mental health 522
Order Cognitive Skills 466
Alienation 533
Self-estrangement 533
14 grouP ProceSSeS 469 Powerlessness 535
Summary 537
introduction 470
the Systematic Study of groups 471
Critical Thinking Skill: Thinking as
Status and expectations 474 Hypothesis Testing 538
Status characteristics 475
Status Generalization 476
overcoming Status Generalization 479 16 devIant behavIor and
Status construction and Status Value 480
SocIal reactIon 541
group decision Making 481
Groupthink 481 introduction 542
risky Shift, cautious Shift, and Group
Polarization 484 the Violation of norms 542
norms 543
Social exchange 485 anomie theory 543
Power and Dependence 486 control theory 547
commitment and trust 488 Differential association theory 550
forms of exchange 489 routine activities Perspective 552
contemporary exchange theories 490
Reactions to norm Violations 555
equity and Justice 490 reactions to rule Breaking 556
Distributive Justice Principles 491 Determinants of the reaction 557
responses to inequity 494 consequences of labeling 560
Procedural Justice 495
Labeling and Secondary deviance 561
Summary 496 Societal reaction 562
List of Key Terms and Concepts 497 Secondary Deviance 564
Critical Thinking Skill: Understanding Formal Social Controls 565

Theory as a Bridge 498 formal labeling and the creation of
Deviance 566
long-term effects of formal labeling 573
15 SocIal Structure and Summary 575
PerSonalIty 501 List of Key Terms and Concepts 576
introduction 502 Critical Thinking Skill: Applying

Stigmatizing Labels Critically 577
Status Attainment 503
occupational Status 503
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ExpandEd TablE of ConTEnTs xiii
17 collectIve behavIor and mobilization 603

SocIal MoveMentS 579 conservative movements in the United
States 604
introduction 580 Summary 608
Collective Behavior 581 List of Key Terms and Concepts 608

crowds 581
Gatherings 587
Difference Between Anecdotal and Scientific
Underlying causes of collective
Behavior 589 Evidence 608
Precipitating incidents 593
empirical Studies of riots 593
Glossary 611
Social Movements 599
Preconditions 599 references 625
ideology and framing 600
recruitment 601 index 703
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9780813349503.indb 14 5/16/14 1:50 PM
Preface
about thIS booK his Ph.D. in Social Psychology in 1969.

He has been teaching the undergraduate
When revising a textbook, the authors al- course in social psychology since 1970, and
ways seek to build on the strengths of the graduate courses and seminars in the area
prior editions, introducing new material since 1981. He leads a seminar on teaching
reflecting developments in the field and for graduate students, and has won several
changes in our larger society, while main- teaching awards, including the Chancellor’s
taining thorough coverage of the subject Award for Distinguished Teaching. He is
covered by the book. As in past editions, we the co-editor of the Handbook of Social Psy-
seek to cover the full range of phenomena of chology, 2nd edition, published by Springer.
interest to social psychologists. Not only do His research and writing are focused on the
we address intrapsychic processes in detail, effects of life-course transitions on sexual-
but cover social interaction and group pro- ity. He has published papers on the effects
cesses, as well as larger-scale phenomena, of having a child, of dual-career couples, of
such as intergroup conflict and social move- divorce, and influences on sexual desire and
ments. Our goal in writing this book is, as it sexual behavior among men and women
has always been, to describe contemporary over 45. His current research is concerned
social psychology and to present the theo- with sexual behavior in later life, including
retical concepts and research findings that the influence of hormones on sexual desire
make up this broad and fascinating field. We and sexual behavior.
have drawn on work by a wide array of social Daniel J. Myers is Professor of Sociology
psychologists, including those with sociolog- and Vice President and Associate Provost
ical and psychological perspectives, draw- for Faculty Affairs at the University of Notre
ing on both classic works and more recent Dame. He was educated at the Ohio State
studies. Throughout the book we have used University and the University of Wiscon-
the results of empirical research—surveys, sin-Madison, where he received his Ph.D.
experiments, observational and qualitative in Sociology in 1997. He has taught courses
studies, and meta-analyses—to illustrate this on social psychology, statistics and research
wide range of social psychological ideas. methods, and protest, and he received the
University of Notre Dame’s highest honor
for teaching, The Rev. Charles E. Sheedy
about the authorS Award, in 2007. He has also developed a
teacher training practicum for graduate
John D. DeLamater, Conway-Bascom Pro- teaching assistants at the University of No-
fessor of Sociology at the University of Wis- tre Dame. His research focuses on race and
consin-Madison, received his education at protest, the diffusion of social phenomena,
the University of California, Santa Barbara, urban poverty, and negotiation strategies in
and the University of Michigan. He earned small groups.
xv
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xvi prEfaCE
Jessica L. Collett is Associate Profes- sexual orientation, but of course are limited
sor of Sociology at the University of Notre by what is available, and point out these
Dame. This very book, although a much limitations.
earlier edition, inspired her own interest in
social psychology during her time as an un-
dergraduate at Winthrop University. After content and organIzatIon
Winthrop, she went on to study social psy-
chology at the University of Arizona, where Instructors who have used previous edi-
she received her Ph.D. in Sociology in 2006. tions of the text will notice the most radi-
She is an award-winning instructor who cal change in the first chapter of the book.
regularly teaches social psychology at both Although the theories outlined in the pre-
the undergraduate and graduate levels, as vious edition were classics, they did not
well as courses on social inequality and so- reflect the dominant perspectives in social
cialization and the life course. Her research psychology today. The revised introduc-
focuses on small group processes, self and tion includes cognitive and evolutionary
identity, and the connection between the perspectives, as well as dual-process the-
two. ories and evolutionary perspectives from
psychology, as well as symbolic interaction,
group processes, and social structure and
neW to thIS edItIon personality from sociology. This introduc-
tion to the theoretical perspectives in social
The last edition of the text, the seventh, was psychology and the subsequent chapter’s
a radically consolidated and streamlined overview of research methods provide the
text that we hoped would better fit the in- groundwork for all that follows.
troductory social psychology courses taught The remainder of the book is divided
by the many users. However, in soliciting into four substantive sections. Section 1
feedback for the most recent edition, we focuses on individual social behavior. It in-
found that many users longed for the ex- cludes chapters on socialization, self and
tended text and wanted us to move back to self-presentation, emotions, social per-
a format closer to that of earlier editions. In ception and cognition, and attitudes. Sec-
response to reviewer concerns, we moved tion 2 is concerned with social interaction,
the “Research Methods” appendix back to the core of social psychology. Each of the
the core of the text (now Chapter 2), split chapters in this section discusses how per-
the chapter on altruism and aggression into sons interact with others and how they are
two chapters again (Chapters 10 and 11), affected by this interaction. These chap-
and reintroduced a chapter on “Emotions” ters cover such topics as communication,
(Chapter 5). social influence and persuasion, altruism
The eighth edition also contains updated and prosocial behavior, aggression, and in-
research, data, and examples throughout terpersonal attraction. Section 3 provides
the book, new boxes providing research up- extensive coverage of groups. It includes
dates and “test yourself” opportunities, and chapters on group cohesion, conformity,
an increased emphasis on diverse popula- and intergroup conflict, as well as an over-
tions and their experiences. As in the past, view of the dominant research focuses in
we have made a special effort to incorporate the social psychological student of groups
research that reports differences among today, including status characteristics and
participants who vary on race, gender, and expectation states theory, decision-making
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prEfaCE xvii
in groups, social exchange, and distributive teresting or controversial issues and studies
and procedural justice. Section 4 considers and also discuss the applications of social
the relations between individuals and the psychological concepts in daily life. Some
wider society. These chapters examine the boxes are identified as “Research Update”;
impact of social structure on the individual, these boxes have been updated by includ-
especially on physical and mental health; ing the latest research. Other boxes are
deviant behavior; and collective behavior identified as “Test Yourself”; these contain
and social movements. a questionnaire that the student can com-
plete to find out his or her standing on the
measure of interest. Key terms appear in
eaSe of uSe bold and are listed alphabetically at the end
of each chapter. A glossary of key terms ap-
Although we have attempted to present the pears at the end of the book.
material in this book in a logical sequence A major new feature in the eighth edition
that will appeal to many instructors, there is an emphasis on developing critical think-
are, of course, many different ways in which ing skills. Critical thinking is an important
an instructor can organize an introductory goal of a quality education; it refers to the
course in social psychology. Therefore, we ability to use cognitive skills and strategies
have written each chapter as a self-con- to increase the probability of a desirable
tained unit. Later chapters do not presume outcome. Diane Halpern is an expert on
that the student has read earlier ones (al- critical thinking and developing these skills,
though we insert appropriate cross-refer- and we drew heavily on her writings. Crit-
ences to allow students to easily find related ical thinking is logical, rational, and free of
material in other chapters). This compart- self-deception. As the student learns about
mentalization enables instructors to assign social psychology, they will learn that there
chapters in any sequence. are a number of important ways in which
Chapters share a standard format. To our everyday thinking is biased, and ways in
make the material interesting and accessi- which we engage in self-deception. Devel-
ble to students, each chapter’s introductory oping critical thinking skills and using them
section poses four to six focal questions. in daily life should lead the student to make
These questions establish the issues dis- better decisions and therefore lead a better
cussed in the chapter. The remainder of the life.
chapter consists of four to six major sec- At the end of each chapter there is a
tions, each addressing one of these issues. A section called Critical Thinking Skill. Each
summary at the end of each chapter reviews teaches a particular skill with an application
the key points. Thus, each chapter poses to social psychology, and will have applica-
several key questions about a topic and then tions throughout the student’s life. Let’s get
considers these questions in a framework going!
that enables students to easily learn the ma-
jor ideas.
In addition, the text includes several acKnoWledgMentS
learning aids. Tables emphasize the results
of important studies. Figures illustrate im- We extend our thanks to reviewers for the
portant social psychological processes. eighth edition, especially the 10 anonymous
Photographs dramatize essential ideas from colleagues who gave us extensive feedback
the text. Boxes in each chapter highlight in- on the seventh edition. As we noted above,
9780813349503.indb 17 5/16/14 1:50 PM

xviii prEfaCE
their careful evaluation led directly to sev- Robert Krauss, Columbia University; Mar-
eral major changes in this edition. ianne LaFrance, Boston College; Robert H.
Throughout the writing of the various Lee, University of Wisconsin–Madison;
editions of this book, many colleagues have Omar Lizardo, University of Notre Dame;
reviewed chapters and provided useful David Lundgren, University of Cincinnati;
comments and criticisms. We express sin- Steven Lybrand, University of Wisconsin–
cere appreciation to these reviewers of the Madison; Patricia MacCorquodale, Uni-
previous editions: Annelise Ayers, Univer- versity of Arizona; Scott Magnuson-Mar-
sity of Wisconsin-Madison; Abdallah Ba- tinson, Normandale Community College;
dahdah, University of North Dakota; Rob- Armand Mauss, Washington State Uni-
ert F. Bales, Harvard University; Philip W. versity; Douglas Maynard, University of
Blumstein, University of Washington; Lisa Wisconsin–Madison; William McBroom,
Boyd, University of Notre Dame; Marilyn University of Montana; John McCarthy,
B. Brewer, University of California at Los Catholic University of America; Kathleen
Angeles; Peter Burke, University of Cali- McKinney, Illinois State University; Clark
fornia at Riverside; Brad Bushman, Iowa McPhail, University of Illinois; David L.
State University; Peter L. Callero, West- Miller, Western Illinois University; Norman
ern Oregon State College; Bella DePaulo, Miller, University of Southern California;
University of Virginia; Donna Eder, Indi- Howard Nixon II, University of Vermont;
ana University; Nancy Eisenberg, Arizona Pamela Oliver, University of Wisconsin–
State University; Glen Elder, Jr., University Madison; Edgar O’Neal, Tulane University;
of North Carolina at Chapel Hill; Gregory Terri L. Orbuch, Oakland University; James
Elliott, Brown University; Rebecca Fahr- Orcutt, Florida State University; Daphna
lander, University of Nebraska at Omaha; Oyserman, University of Michigan; Daniel
Richard B. Felson, State University of New Perlman, University of Manitoba; Jane Al-
York–Albany; John H. Fleming, University lyn Piliavin, University of Wisconsin–Mad-
of Minnesota; Jeremy Freese, Northwest- ison; Bill Price, North Country Community
ern University; Irene Hanson Frieze, Uni- College; Rebecca Reviere, Howard Univer-
versity of Pittsburgh; Jim Fultz, Northern sity; Michael Ross, University of Waterloo,
Illinois University; Viktor Gecas, Wash- Ontario; David A. Schroeder, University of
ington State University; Russell G. Geen, Arkansas; Melvin Seeman, University of
University of Missouri; Christine Grella, California at Los Angeles; Diane Shinberg,
University of California at Los Angeles; Al- University of Memphis; Anson Shupe, Indi-
len Grimshaw, Indiana University; Elaine ana University Purdue ; Roberta Simmons,
Hatfield, University of Hawaii–Manoa; University of Minnesota; Lynnell Simon-
John Hewitt, University of Massachusetts; son, University of North Dakota; Brent
George Homans, Harvard University; Judy Simpson, University of South Carolina;
Howard, University of Washington; Pamela Douglas Clayton Smith, Western Kentucky
M. Hunt, Kent State University; Michael In- University; Lawrence Sneden, California
bar, Hebrew University of Jerusalem; Julia State University–Northridge; Daphne Ped-
Jacks, University of North Carolina; Dale ersen Stevens, University of North Dakota;
Jaffe, University of Wisconsin–Milwau- Sheldon Stryker, Indiana University; Rob-
kee; Edward Jones, Princeton University; ert Suchner, Northern Illinois University;
Lewis Killian, University of Massachusetts; James Tedeschi, State University of New
Melvin Kohn, National Institute of Men- York–Albany; Richard Tessler, Univer-
tal Health and Johns Hopkins University; sity of Massachusetts; Elizabeth Thomson,
9780813349503.indb 18 5/16/14 1:50 PM

prEfaCE xix
University of Wisconsin–Madison; Henry Finally, we express thanks to the profes-

Walker, University of Arizona; Nancy sionals at Westview who contributed to the
Wisely, Stephen F. Austin State University; process of turning the manuscript into a
Ron Wohlstein, Eastern Illinois Univer- book. Catherine Craddock, acquisitions ed-
sity; Steve Wray, Averett College; Mark P. itor, worked with us at every stage. Chris-
Zanna, University of Waterloo, Ontario; tine Marra oversaw the transformation of
Morris Zelditch, Jr., Stanford University; manuscript into printed pages. Our appre-
and Louis Zurcher, University of Texas. ciation to them all. Although this book ben-
We also thank the many students who efited greatly from feedback and criticisms,
used the previous editions and who pro- the authors accept responsibility for any er-
vided us with feedback about the book; we rors that may remain.
applied this feedback to improve the pre-
sentation, pace, and style of the new edition.
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9780813349503.indb 20 5/16/14 1:50 PM
chaPter 1
introDUction to
sociAl Psychology
introduction 2 Social Structure and Personality 16
What is Social Psychology? 3 cognitive Perspectives 17
a formal Definition 3 evolutionary theory 22
core concerns of Social Psychology 3 Summary 26

Sociology, Psychology, or Both? 6 List of Key Terms and Concepts 27
theoretical Perspectives in Sociological Critical Thinking Skill: An Introduction
Social Psychology 7 to Critical Thinking 27
Symbolic interactionism 9
Group Processes 12
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2 InTroduCTIon To soCIal psyChology
IntroductIon are usually limited in scope and generality,

and occasionally they are even misleading.
• Why are some people more effective Another source is informal knowledge or
leaders than others? advice from others who describe their own
experiences to us. Answers obtained by
• What makes people fall in and out of
this means are sometimes reliable, some-
love?
times not. A third source is the conclusions
• Why can people cooperate so easily in reached by philosophers, novelists, poets,
some situations but not in others? and men and women of practical affairs
who, over the centuries, have written about
• What effects do major life events like
these issues. Often their answers have fil-
graduating from college, getting married,
tered down and become commonsense
or losing a job have on physical or
knowledge. We are told, for instance, that
mental health?
joint effort is an effective way to accomplish
• Why do some people conform to norms large jobs (“Many hands make light work”)
and laws while others do not? and that bonds among family tend to be
stronger than those among friends (“Blood
• What causes conflict between groups?
is thicker than water”). These principles re-
Why do some conflicts subside and
flect certain truths and may sometimes pro-
others progress until there is no chance
vide guidelines for action.
of reconciliation?
Although commonsense knowledge may
• Why do people present different images have merit, it also has drawbacks, not the
of themselves in various social situations, least of which is that it often contradicts it-
both in person and online? self. For example, we hear that people who
are similar will like one another (“Birds of
• What causes harmful or aggressive
a feather flock together”) but also that per-
behavior? What motivates helpful or
sons who are dissimilar will like each other
altruistic behavior?
(“Opposites attract”). We are told that
• Why are some people more persuasive groups are wiser and smarter than indi-
and influential than others? viduals (“Two heads are better than one”)
but also that group work inevitably pro-
• Why do stereotypes persist even in the
duces poor results (“Too many cooks spoil
face of contradictory evidence?
the broth”). Each of these contradictory
Perhaps questions such as these have puz- statements may hold true under particular
zled you, just as they have perplexed others conditions, but without a clear statement
through the ages. You might wonder about of when they apply and when they do not,
these issues simply because you want to aphorisms provide little insight into rela-
better understand the social world around tions among people. They provide even less
you. Or you might want answers for prac- guidance in situations in which we must
tical reasons, such as increasing your effec- make decisions. For example, when facing
tiveness in day-to-day relations with others. a choice that entails risk, which guideline
Answers to questions such as these come should we use—“Nothing ventured, noth-
from various sources. One such source is ing gained” or “Better safe than sorry”?
personal experience—things we learn from If sources such as personal experience
everyday interaction. Answers obtained by and commonsense knowledge have only
this means are often insightful, but they limited value, how are we to attain an un-
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InTroduCTIon To soCIal psyChology 3
derstanding of social interactions and rela- affect (emotion) and cognition (thoughts).
tions among people? One solution to this In other words, social psychologists are
problem—the one pursued by social psy- not only interested in what people do, but
chologists—is to obtain accurate knowl- also what individuals feel and think (Fine,
edge about social behavior by applying 1995).
the methods of science. That is, by mak- Second, social psychologists are not sat-
ing systematic observations of behavior isfied to simply document the nature of so-
and formulating theories that are subject cial behavior; instead, they want to explore
to testing, we can attain a valid and com- the causes of such behavior. This differenti-
prehensive understanding of human social ates social psychology from a field like jour-
relations. nalism. Journalists describe what people do.
One goal of this book is to present some Social psychologists are not only interested
of social psychologists’ major findings from in what people do but also want to under-
systematic research. In this chapter, we lay stand why they do it. In social psychology,
the foundation for this effort by addressing causal relations among variables are im-
the following questions: portant building blocks of theory, and in
turn, theory is crucial for the prediction and
1. What exactly is social psychology? control of social behavior.
What are the core concerns of the Third, social psychologists study social
field of social psychology? behavior in a systematic fashion. Social
psychology is a social science that employs
2. What are the broad theoretical the scientific method and relies on formal
perspectives that prevail in social research methodologies, including exper-
psychology today? What are imentation, structured observation, and
the strengths and weaknesses of sample surveys. These research methods
each perspective? How do these are described in detail in Chapter 2.
perspectives relate to one another?
Core Concerns of Social Psychology
What IS SocIal PSychology? Another way to answer the question “What

is social psychology?” is to describe the
A Formal Definition topics that social psychologists actually
study. Social psychologists investigate hu-
We define social psychology as the sys- man behavior, of course, but their primary
tematic study of the nature and causes of concern is human behavior in a social con-
human social behavior. This definition has text. There are five core concerns, or major
three main components. First, social psy- themes, within social psychology: (1) the
chology’s primary concern is human social impact that one individual has on another;
behavior. This includes many things—indi- (2) the impact that a group has on its in-
viduals’ activities in the presence of others dividual members; (3) the impact that in-
and in particular situations, the processes dividual members have on the groups to
of social interaction between two or more which they belong; (4) the impact that one
persons, and the relationships among in- group has on another group; (5) the impact
dividuals and the groups to which they of social context and social structure on
belong. Importantly, in this definition, be- groups and individuals. The five core con-
havior moves beyond action to also include cerns are shown schematically in Figure 1.1.
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Box 1.1 Test Yourself: Is Social Psychology Simply Common Sense?
Because social psychologists are interested in a 9. T F People with few friends tend to live
wide range of phenomena from our everyday shorter, less healthy lives than do people
lives, students sometimes claim that social psy- with lots of friends.
chology is common sense. Is it? Eight of the fol-
10. T F We tend to view people in the
lowing common sense statements are true. The
groups and social categories that we
other eight are not. Can you tell the difference?
belong to as more diverse and different
from each other than we believe people in
1. T F When faced with natural disasters
other groups are.
such as floods and earthquakes, people
panic and social organization disintegrates. 11. T F Parental disapproval for a
relationship (for example, Romeo and
2. T F Physically attractive individuals
Juliet) increases the chance that the
are usually seen as less intelligent than
partners will stay together.
physically unattractive individuals.
12. T F If people tell a lie for a reward, they
3. T F The reason people discriminate
are more likely to come to believe the lie if
against minorities is prejudice;
they are given a small reward rather than a
unprejudiced people don’t discriminate.
large reward.
4. T F Individuals who attended an
13. T F Women with children are seen as
Ivy League school end up earning more
the least desirable job candidates in most
money than those who declined an offer of
fields, while men with children are seen as
admission from an Ivy League school and
the most desirable.
chose to attend a less selective school.
14. T F Most people would disobey an
5. T F Attractive people are more likely
authority who orders them to hurt a
to have prestigious jobs and happier
stranger.
marriages than are less attractive people.
15. T F The more often we see
6. T F People tend to overestimate the
something—even if we don’t like it at
extent to which other people share their
first—the more we grow to like it.
opinions, attitudes, and behavior.
16. T F The more certain a crime victim
7. T F Rather than “opposites attract,”
is about their account of events, the more
people are generally attracted to those
accurate the report they provide to the
similar to themselves.
police.
8. T F “Putting on a happy face” (that is,
smiling when you are really not happy) True: 5, 6, 7, 9, 10, 12, 13, & 15.
will not make you feel any different on the
inside.
Impact of Individuals on Individuals. of this happens simply by observation.

Individuals are affected by others in many Through listening to others and watching
ways. In everyday life, interactions with oth- them, an individual learns how she should
ers may significantly influence a person’s act, what she should think, and how she
understanding of the social world. Much should feel.
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1. The impact of one individual on son caught in an emergency situation, for

another’s behavior and beliefs. instance, may be helped by an altruistic by-
stander. In another situation, one person
X X
may be wounded by another’s aggressive
acts. Social psychologists have investigated
2. The impact of a group on a the nature and origins of both altruism and
member’s behavior and beliefs.
X X
aggression as well as other interpersonal ac-
tivity such as cooperation and competition.
X
X Also relevant here are various interper-
X sonal sentiments. One individual may de-
3. The impact of a member on a velop strong attitudes toward another (lik-
group’s activities and structure. ing, disliking, loving, hating) based on who
X X the other is and what he or she does. Social
psychologists investigate these issues to dis-
X X
cover why individuals develop positive at-
X
titudes toward some but negative attitudes
4. The impact of one group on another group’s toward others.
activities and structure.
X X X X Impact of Groups on Individuals. Social
X X X X psychology is also interested in the influ-
X X ence groups have on the behavior of their
individual members. Because people belong
5. The impact of social context on
groups and individuals. to many different groups—families, work
groups, seminars, and clubs—they spend
X X X X many hours each week interacting with
X X X X group members. Groups influence and reg-
X X
ulate the behavior of their members, typi-
cally by establishing norms or rules. Group
FIgure 1.1 The core concerns of social influence often results in conformity, as
Psychology group members adjust their behavior to
bring it into line with group norms. For
Sometimes this influence is more direct. example, college fraternities and sororities
A person might persuade another to change have norms—some formal and some infor-
his beliefs about the world and his attitudes mal—that stipulate how members should
toward persons, groups, or other objects. dress, what meetings they should attend,
Suppose, for example, that Mia tries to per- whom they can date and whom they should
suade Ashley that all nuclear power plants avoid, and how they should behave at par-
are dangerous and undesirable and, there- ties. As a result of these norms, members
fore, should be closed. If successful, Mia’s behave quite similarly to one another.
persuasion attempt could change Ashley’s Groups also exert substantial long-term
beliefs and perhaps affect her future actions influence on their members through social-
(picketing nuclear power plants, advocating ization, a process through which individu-
non-nuclear sources of power, and the like). als acquire the knowledge, values, and skills
Beyond influence and persuasion, the required of group members. Socialization
actions of others often affect the outcomes processes are meant to ensure that group
individuals obtain in everyday life. A per- members will be adequately trained to play
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roles in the group and in the larger society. tween groups and within each group. Social
Although we are socialized to be members psychologists have long studied the emer-
of discrete groups (sororities and fraterni- gence, persistence, and resolution of inter-
ties, families, postal workers), we are also group conflict.
socialized to be members of social catego-
ries (woman, Latino, working class, Amer- Impact of Social Context on Individuals
ican). Outcomes of socialization vary, from and Groups. Social psychologists realize
language skills to political and religious be- that individuals’ behavior is profoundly
liefs to our conception of self. shaped by the situations in which they find
themselves. If you are listening to the radio
Impact of Individuals on Group. A third in your car and your favorite song comes
concern of social psychology is the impact on, you might turn the volume up and sing
of individuals on group processes and prod- along loudly. If you hear the same song at
ucts. Just as any group influences the behav- a dance club, you are less inclined to sing
ior of its members, these members, in turn, along but instead might head out to the
may influence the group itself. For instance, dance floor. If your social psychology pro-
individuals contribute to group productiv- fessor kicks off the first day of class by play-
ity and group decision making. Moreover, ing the song, chances are you won’t sing or
some members may provide leadership, dance. In fact, you might give your fellow
performing functions such as planning, or- students a quizzical look. Your love for the
ganizing, and controlling, necessary for suc- song has not changed, but the social situa-
cessful group performance. Without effec- tion shapes your role in the situation (club-
tive leadership, coordination among mem- goer, student) along with the expected be-
bers will falter and the group will drift or haviors based on that role. These contextual
fail. Furthermore, individuals and minority factors influence your reaction to the music.
coalitions often innovate change in group These reactions are based, in part, on
structure and procedures. Both leadership what you have learned through your in-
and innovation depend on individuals’ ini- teractions with others and through social-
tiative, insight, and risk-taking ability. ization in groups, the social influences dis-
cussed in the previous sections. However,
Impact of Groups on Groups. Social psy- as we grow and develop, the rules, belief
chologists also explore how one group systems, and categorical distinctions that
might affect the activities and structure have profound influence on our everyday
of another group. Relations between two lives seem to separate from these inter-
groups may be friendly or hostile, cooper- actions. We forget that these things that
ative or competitive. These relationships, appear natural were actually socially con-
which are based in part on members’ iden- structed (Berger & Luckmann, 1966).
tities and may entail group stereotypes, can
affect the structure and activities of each Sociology, Psychology, or Both?
group. Of special interest is intergroup
conflict, with its accompanying tension Social psychology bears a close relationship
and hostility. Violence may flare up, for in- to several other fields, especially sociology
stance, between two street gangs disputing and psychology.
territorial rights or between racial groups Sociology is the scientific study of human
competing for scarce jobs. Conflicts of this society. It examines social institutions (fam-
type affect the interpersonal relations be- ily, religion, politics), stratification within
9780813349503.indb 6 5/16/14 1:50 PM

society (class structure, race and ethnicity, gists to use observational methods outside
gender roles), basic social processes (social- the laboratory. Their primary concern is
ization, deviance, social control), and the how social stimuli (often other persons) af-
structure of social units (groups, networks, fects an individual’s behavior and internal
formal organizations, bureaucracies). states. They emphasize such topics as the
In contrast, psychology is the scientific self, person perception and attribution, at-
study of the individual and of individual be- titudes and attitude change, personality dif-
havior. Although this behavior may be so- ferences in social behavior, social learning
cial in character, it need not be. Psychology and modeling, altruism and aggression, and
addresses such topics as human learning, interpersonal attraction.
perception, memory, intelligence, emotion, Thus, sociologically oriented and psy-
motivation, and personality. chologically oriented social psychologists
Social psychology bridges sociology and differ in their outlook and emphasis. As we
psychology. In the mid-twentieth century, might expect, this leads them to formulate
early in the history of social psychology, so- different theories and to conduct different
ciologists and psychologists worked closely programs of research. Yet these differences
together in departments and on research. are best viewed as complementary rather
In fact, top programs offered degrees in than as conflicting. Social psychology as a
“Social Relations” or “Social Psychology” field is richer for the differing contributions
rather than Sociology or Psychology. How- of both approaches.
ever, over time, the interests of sociological
social psychologists and psychological so-
cial psychologists have diverged somewhat. theoretIcal PerSPectIveS In
There is less collaboration today than there SocIal PSychology
was early on, and most students get degrees
in one of the two disciplines with a special- Yesterday at work, Warren reported to his
ization or concentration in social psychol- boss that he would not be able to complete
ogy. That said, many still see the two areas an important project on schedule. To War-
as interdisciplinary. ren’s surprise, the boss became enraged and
Both sociologists and psychologists have told him to complete the task by the fol-
contributed to social psychological knowl- lowing Monday—or else! Warren was not
edge. Sociological social psychologists use entirely sure what to make of this behavior,
surveys, experiments, and observational but he decided to take the threat seriously.
techniques to gather data. These investi- That evening, talking with his girlfriend,
gators are most interested in the relation- Madison, Warren announced that he would
ship between individuals and the groups to have to work overtime at the office, so he
which they belong. They emphasize such could not go with her to a party on Friday
processes as socialization, conformity and evening as originally planned. Madison
deviance, social interaction, self-presenta- immediately got mad at Warren—she defi-
tion, within-group processes, leadership, nitely wanted to go, she did not want to go
and cooperation and competition. Social alone, and he had promised several times to
psychologists working in the psychological come along—and threw a paperweight at
tradition rely heavily on laboratory exper- him. By now, Warren was distressed and a
imental methodology but increasingly use little perplexed.
surveys and questionnaires. They are much Reflecting on these two events, Warren
less likely than sociological social psycholo- noticed they had some characteristics in
9780813349503.indb 7 5/16/14 1:50 PM

common. To explain the behavior of his the field includes many different theories.
boss and his girlfriend, he formed a general Many of these theories are discussed in
proposition: “If you fail to deliver on prom- this book. Middle-range theories identify
ises made to another, he or she will get mad the conditions that produce specific so-
at you.” He was happy with this simple for- cial behavior. One such theory is the frus-
mulation until the next day, when the car tration-aggression hypothesis, not unlike
behind him at the stoplight started honk- Warren’s theory above, which describes the
ing. He looked up and realized the light had connection between blocked goals, frustra-
turned green. As he moved forward, the car tion, and aggression. However, social psy-
behind him passed him and the driver gave chology also includes theoretical perspec-
him an angry look. Warren thought about tives. Broader in scope than middle-range
this event and concluded that his original theories, theoretical perspectives offer gen-
theory needed some revision. Although he eral explanations for a wide array of social
had not promised the driver behind him behaviors in a variety of situations. These
anything, the driver had become angry and general explanations are rooted in explicit
aggressive because of Warren’s actions. His assumptions about human nature. The-
new theory included a chain of proposi- oretical perspectives serve an important
tions: “If someone’s goals are blocked, he function for the field of social psychology.
or she will become frustrated. If someone is By making certain assumptions regarding
frustrated, he or she will become aggressive. human nature, a theoretical perspective
If someone is aggressive, he or she will lash establishes a vantage point from which we
out at either the source of the frustration or can examine a range of social behaviors.
a convenient surrogate.” Because any perspective highlights certain
In his own way, Warren had started to do features and downplays others, it enables
informally the same thing social psycholo- us to “see” more clearly certain aspects or
gists do more elaborately and systemati- features of social behavior. The fundamen-
cally. Starting from some observations retal value of any theoretical perspective lies
garding social behavior, Warren attempted in its applicability across many situations; it
to formulate a theory to explain the ob- provides a frame of reference for interpret-
served facts. As the term is used here, a the- ing and comparing a wide range of social
ory is a set of interrelated propositions that situations and behaviors.
organizes and explains a set of observed Social psychology can be organized into
phenomena. Theories usually pertain not a number of distinct theoretical perspec-
just to some particular event but rather to tives. For sociologists who study social
whole classes of events. Moreover, as War- psychology, these theoretical perspectives
ren’s example indicates, a theory goes be- are situated in three traditions—symbolic
yond mere observable facts by postulating interactionism, group processes, and so-
causal relations among variables. In other cial structure and personality. James House
words, it describes not only what people do (1977) referred to these as the three “faces”
but also why they do it. If a theory is valid, of social psychology, each with a unique
it enables its user to explain the phenomena perspective and emphasis. These faces as
under consideration and to make predic- well as related theoretical perspectives are
tions about events not yet observed. explained below. Also below is an introduc-
In social psychology, no single theory tion to theoretical perspectives that have
explains all phenomena of interest; rather, dominated psychological social psychology
9780813349503.indb 8 5/16/14 1:50 PM

over the last twenty years: cognitive theo-

ries (including both the dual-process model
of information processing and social iden-
tity theory) and evolutionary theory.
Symbolic Interactionism
The theoretical perspective that guided

much of the early work of sociological social
psychologists—and that is still important
today—is symbolic interactionism (Charon,
1995; Stryker, 1980, 1987). Although it is
sometimes called symbolic interaction
theory, symbolic interactionism is actually
a perspective that guides the development
of more specific theories. The basic prem-
ise of symbolic interactionism is that hu-
man nature and social order are products According to symbolic interactionism, we derive
of symbolic communication among peo- the meaning of objects from how we (or others)
plan to use those objects. The same bottle can be
ple. Society (from cultures to institutions
a vessel for liquid, waste, a vase, a weapon, or a
to ourselves) is produced and reproduced game piece. Depending on how people intend to
through our interactions with others by use the table the bottle is on, its meaning can also
means of language and our interpretation of vary—from a table, to a desk, to a seat, to a place
that language. There are three main prem- to lie down for a nap. © Tamas Panczel, Eross/
ises of symbolic interaction (Blumer, 1969): Shutterstock
1. We act toward things on the basis of vessel for a beverage. Placed in the recycling
their meanings. bin, it becomes waste. But if someone pulls
2. Meanings are not inherent but are it out of the recycling and puts flowers in
negotiated in interaction with others. it, it becomes a vase. Use it in a bar fight,
3. Meanings can be modified and it might be a weapon. Placed on its side at
changed through interaction. the center of a table filled with people, it be-
comes a game-piece for Spin the Bottle. We
People can communicate successfully with learn the meanings of things—whether bot-
one another only to the extent that they tles or smiles or pieces of linen and cotton
ascribe similar meanings to objects. An ob- printed with black and green ink—through
ject’s meaning for a person depends not so interaction with others. These meanings
much on the properties of the object itself can change and shift over time based on so-
but on what the person might do with the cial interaction.
object. In other words, an object takes on
meaning only in relation to a person’s plans. Negotiating Meanings. Symbolic interac-
Consider an empty glass bottle. Standing tion theory views humans as proactive and
alone, a bottle has no meaning. The mean- goal seeking. People formulate plans of ac-
ing of the bottle comes from how you plan tion to achieve their goals. Many plans, of
to use it. If there is liquid in it, it becomes a course, can be accomplished only through
9780813349503.indb 9 5/16/14 1:50 PM

This comic strip illustrates the negotiation of meaning between Calvin and his imaginary friend, Hobbes.
They each have different labels for the same physiological reactions. Through interaction, Calvin learns
that he had mistaken for cooties a feeling that Hobbes explains to him is actually love. CALVIN AND
HOBBES © 1986 Watterson. Used by permission of Universal Uclick. All rights reserved.
cooperation with other people. To estab- tiation or through tacit, nonverbal com-
lish cooperation with others, the meanings munication. She might explain that she
of things must be shared and consensual. wants to show him her new guitar or to
If the meaning of something is unclear or make him a cup of coffee before he drives
contested, an agreement must be devel- home, or she might give him a wink and a
oped through give-and-take before coop- smile along with the invitation. But without
erative action is possible. For example, if a some agreement regarding the definition of
man and a woman have begun to meet af- the situation, the man may have difficulty
ter work for drinks and, one night, as they deciding whether to accept the invitation;
are leaving the bar, she invites him to her the woman, sensing the man’s discomfort,
apartment, exactly what meaning does this may find herself behaving in an atypically
proposal have? One way or another, they awkward manner. Either way, cooperative
will have to achieve some agreement about action will be difficult.
the purpose of the visit before joint action Symbolic interactionism portrays social
is possible. In symbolic interaction terms, interaction as having a tentative, develop-
they would need to develop a consensual ing quality. Meanings can change over time
definition of the situation. The coworkers or across situations. On the way home from
might achieve this through explicit nego- his first day of kindergarten, a young boy
9780813349503.indb 10 5/16/14 1:50 PM

was describing a little girl from his class— The Self in Relationship to Others. As
Maeve—to his mother. It was clear the boy we grow, we learn that the self is also a
was fond of Maeve as he spoke of her big social object and its meaning is also de-
brown eyes, long straight hair, pink lips, veloped and negotiated in interaction. As
and chubby cheeks. But when he proceeded we interact with people, we try to imagine
to tell his mother that Maeve looked like a how they see us so we can come to under-
dog, his mother was taken aback. To her, stand how they see us and how we should
calling a woman a dog was an insult. The see ourselves (Cooley, 1902). To do this,
reverence in her son’s voice suggested he we engage in a process of role taking: we
would never insult Maeve, so the mother imagine ourselves in another person’s role,
was confused. Thinking more about it, the including how we look from the other per-
mother realized that to her son, calling son’s viewpoint. This serves two purposes.
Maeve a dog was a compliment rather than First, role taking can make cooperative
an insult. There was nothing the young action possible. Based on previous experi-
boy loved more than to cuddle up with the ence, we can imagine how another would
family dog. To him, a dog was something react in any given situation. Consider a
to love and cherish. He had not yet learned teenager whose mother has just asked him
that dog was an insult. To fit their actions whether he completed his homework. Be-
together and achieve consensus, people in- fore answering, he will try to imagine the
teracting with one another must continu- situation from his mother’s perspective. If
ally negotiate new meanings or reaffirm old he tells her he played video games instead,
meanings. In the same way that the mother she will be disappointed or even angry. If he
had to work to determine the boy’s mean- lies and says it is all done, she will be satis-
ing to have interaction proceed smoothly, fied—at least until she finds out the truth,
the coworkers will have to negotiate a and then she will be even angrier. By role
working consensus to effectively commu- taking, he can effectively guide subsequent
nicate and interact. In this process, each interaction. However, there is a second im-
person formulates plans for action, tries portant purpose of role taking. In imagining
them out, and then adjusts them in light of how he appears to his mother, the teenager
others’ responses. Thus, social interaction is acquiring self-meanings. If he failed to do
always has some degree of unpredictability the homework, opting instead to play video
and indeterminacy. games, he may see himself as lazy or un-
For an interaction among persons to motivated because that is how he imagines
proceed smoothly, there must be some con- someone else (like his mother) would see
sensus with respect to the situated iden- him. If he lied about it, he might see himself
tity—who one is in relation to the others as a liar. The self occupies a central place
in the situation—of each person. In other in symbolic interaction theory because so-
words, every person involved in the inter- cial order is hypothesized to rest in part on
action must know who they are in the situ- self-control. Individuals strive to maintain
ation and who the other people are. In the self-respect in their own eyes, but because
example of the coworkers: are they friends, they are continually engaging in role tak-
could she want more, or are they simply co- ing, they see themselves from the viewpoint
workers? Only by answering this question of the others with whom they interact. To
in some detail can each person understand maintain self-respect, they thus must meet
the implications (meanings) that others the standards of others, at least to some
have for his or her plan of action. degree.
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Of course, an individual will care more pointed to various shortcomings. One crit-
about the opinions and standards of some icism concerns the balance between ratio-
persons than about those of others. The nality and emotion. Some critics argue that
persons about whose opinions he or she this perspective overemphasizes rational,
cares most are called significant others. self-conscious thought and deemphasizes
Typically, these are people who control unconscious or emotional states. A second
important rewards or who occupy central criticism concerns the model of the indi-
positions in groups to which the individual vidual implicit in symbolic interaction the-
belongs. Because their positive opinions are ory. The individual is depicted as a specific
highly valued, significant others have rela- personality type—an other-directed person
tively more influence over the individual’s who is concerned primarily with maintain-
behavior. ing self-respect by meeting others’ stan-
Inherent in the above discussion is sym- dards. A third criticism of symbolic interac-
bolic interactionism’s assertion that a per- tionism is that it places too much emphasis
son can act not only toward others but also on consensus and cooperation and, there-
toward his or her self. That is, an individual fore, neglects or downplays the importance
can engage in self-perception, self-evalua- of conflict. The perspective does recognize,
tion, and self-control just as he or she might however, that interacting people may fail
perceive, evaluate, and control others. The to reach consensus despite their efforts to
ability to act toward oneself, taking the role achieve it. The symbolic interactionist per-
of both subject an object, is a uniquely hu- spective is at its best when analyzing fluid,
man trait. George Herbert Mead, a forefa- developing encounters with significant
ther of symbolic interactionism, referred to others; it is less useful when analyzing self-
this ability as the reflexive self (1934). interested behavior or principled action.
In sum, the symbolic interactionist per-
spective has several strong points. It rec- Group Processes
ognizes the importance of the self in social
interaction. It stresses the central role of Social psychologists have long been inter-
symbolic communication and language in ested in the ways individuals interact in
personality and society. It addresses the groups. Throughout this text you will learn
processes involved in achieving consensus about ground-breaking social psycholog-
and cooperation in interaction. It illumi- ical experiments that explored the role of
nates why people try to maintain a positive groups on individual behavior. Some of the
image of self and avoid embarrassment. most notable are the work of John Darley
Many of these topics are discussed in detail and Bibb Latané on helping in emergencies
in later chapters. The self, self-presentation, (Chapter 10) and Solomon Asch’s research
and impression management are discussed on majority influence in groups (Chapter
in Chapter 4, embarrassment and other so- 13). Like much of this early research, con-
cial emotions in Chapter 5, symbolic com- temporary work on group processes tends
munication and language are taken up in to favor the experimental method over
Chapter 8, and Chapter 16 addresses the surveys or observational methods. Today’s
importance of labeling on self and others. group processes researchers tend to work
in sociological social psychology and draw
Limitations of Symbolic Interaction The- on a number of theoretical perspectives and
ory. Critics of symbolic interactionism have theories. These are described in detail in
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Box 1.2 Symbolic Interaction in Action: roles and Identities
We do not infer who we are based solely on our perform as expected, however, group mem-
actions—as the teenager might when he opts bers may embarrass, punish, or even expel
for video games instead of homework or lies to that individual from the group. The anticipa-
his mother; our definitions of self—as captured tion that others will apply sanctions ensures
in roles and identities—also guide our actions. performance as expected.
Roles consist of a set of rules (that is, expecta-
tions held by others) that function as plans or Role theory implies that if we (as analysts)
blueprints for behavior. Identities are catego- have information about the role expectations for
ries—sometimes based on roles, other times a specified position, we can then predict a signif-
based on group membership or personal char- icant portion of the behavior (as well as the be-
acteristics—that specify the positions we hold liefs and attitudes) of the person occupying that
in society and groups. Both of these concepts are position. If we want to change a person’s behav-
tied to contemporary social psychological theo- ior, role theory argues that it is first necessary to
ries rooted in symbolic interactionism. change or redefine his or her role (Allen & Van de
According to role theory (Biddle, 1979, 1986; Vliert, 1982).
Heiss, 1981; Turner, 1990): Identity theory (Burke & Stets, 2009; Stryker,
1980; Stryker & Burke, 2000) also emphasizes the
1. People spend much of their lives participating importance of self-meanings in guiding behav-
as members of groups and organizations. ior. However, identity theorists extend beyond
2. Within these groups, people occupy distinct role identities to include three additional types
positions (fullback, advertising executive, po- of self-designations—person, social, and group
lice sergeant, and the like). identities. Olevia might be a student (role iden-
3. Each of these positions entails a role, which is tity), but she is also a sister (another role iden-
a set of functions performed by the person for tity), moral (person identity), a member of the
the group. A person’s role is defined by expec- Black Student Association (a group identity), and
tations (held by other group members) that a woman (social identity). All five of these influ-
specify how he or she should perform. ence her behavior. Although our identities are of-
4. Groups often formalize these expectations as ten consistent, sometimes they come in conflict.
norms, which are rules specifying how a per- Identity theory understands that because indi-
son should behave, what rewards will result viduals occupy more than one identity at a time,
for performance, and what punishments will their influence on our behavior is not as clear-cut
result for nonperformance. as role theory might suggest. Therefore, much of
5. Individuals usually carry out their roles and the research in identity theory works to predict
perform in accordance with the prevailing which identity we will enact in a given situation.
norms. In other words, people are primarily Identity theory postulates that we are more likely
conformists—they try to meet others’ expec- to enact identities that we see as central to who
tations. we are; this centrality or salience is based in part
6. Group members check each individual’s per- on how much we have invested in the identity,
formance to determine whether it conforms the quality and quantity of social ties that we
to the group’s norms. If an individual meets have through that identity, our need for iden-
others’ role expectations, he or she will re- tity support, and the situational opportunities
ceive rewards in some form (acceptance, ap- (Stryker & Serpe, 1994).
proval, money, and so on). If he or she fails to
9780813349503.indb 13 5/16/14 1:50 PM

Chapter 14, but two of the main orienting imize rewards and minimize costs. Conse-
frameworks—social exchange and status— quently, they choose actions that produce
are introduced below. good profits and avoid actions that produce
poor profits. This view might seem overly
Social Exchange. Like with symbolic in- rational and calculated, but social exchange
teraction, there are many who refer to the theory suggest that these choices are actu-
exchange perspective as a theory. How- ally often unconscious and are the result
ever, that is technically incorrect. Social of conditioning—learning as the result of
exchange is a framework, within which a positive or negative responses to behavior
number of middle-range theories are sit- (Mazur, 1998; Skinner, 1953).
uated (power-dependence theory, affect People will be more likely to perform a
theory, reciprocity theory). The social ex- specific behavior if it is followed directly by
change perspective (Cook, 1987; Homans, the occurrence of something pleasurable
1974; Kelley & Thibaut, 1978) has a unique or by the removal of something aversive;
set of concepts and assumptions that con- likewise, people will more likely refrain
nect the various theories subsumed under from performing a particular behavior if it
the framework. In social exchange there are is followed by the occurrence of something
(1) actors who exchange (2) resources us- aversive or by the removal of something
ing an (3) exchange process while situated pleasant. Individuals become embedded in
in an (4) exchange structure (Molm, 2006). ongoing exchange relationships because
These resources can be tangible goods or they experience these positive outcomes.
behaviors (an individual might give money, They stop exchanging with particular oth-
a smile, or a simple “thank you” in exchange ers when the exchanges stop providing
for a cookie) and can be exchanged through these positive reinforcements and there are
different processes—a student might re- alternative relations available that might
ceive a cookie as a gift from a professor provide comparable benefits.
or she might purchase it in a negotiated Exchange theory also predicts the con-
transaction, by exchanging money for the ditions under which people try to change
cookie, at a bakery. These exchanges occur or restructure their relationships. A central
in relations that are structured by the size concept involved is equity (Adams, 1963).
and shape of the exchange network and the A state of equity exists in a relationship
types of relations between actors. Accord- when participants feel that the rewards they
ing to this perspective, social relationships receive are proportional to the costs they
are primarily based on the exchanges of bear. For example, a chef may earn more
goods and services among persons. money than a line cook and receive better
The social exchange perspective assumes benefits on the job. But the line cook may
that individuals have freedom of choice and nevertheless feel the relationship is equi-
often face social situations in which they table because the chef bears more respon-
must choose among alternative actions. sibility and has a higher level of education
Any action provides some rewards and en- and training.
tails some costs. There are many kinds of If, for some reason, a participant feels
socially mediated rewards—money, goods, that the allocation of rewards and costs in a
services, prestige or status, approval by oth- relationship is inequitable, the relationship
ers, and the like. The theory posits that in- is potentially unstable. People find inequity
dividuals are hedonistic—they try to max- difficult to tolerate—they may feel cheated
9780813349503.indb 14 5/16/14 1:50 PM

or exploited and become angry. Social ex- tions, these ideas would be more likely to
change theory predicts that people will try be accepted by the group. Group members
to modify an inequitable relationship. Most would also be less likely to interrupt these
likely, they will attempt to reallocate costs members while speaking. Based on status
and rewards so that equity is established. research, these integral members are more
However, they may also leave the relation- likely to possess attributes that are high sta-
ship in search of one with a more equitable tus (white, male, juniors and seniors). They
arrangement. are afforded more influence in groups be-
cause we tend to hold higher performance
Status. Social psychologists are also inter- expectations of high-status individuals.
ested in status differences. The chef has We assume they will perform better on
more than just a higher salary and better any number of tasks unless we have ex-
benefits compared to the line cook; she also plicit information that suggests otherwise
has higher status—levels of esteem and per- or the task was explicitly seen as a domain
ceived competence (Ridgeway, 2006). Socio- of a lower-status group. For example, if we
logical social psychology has explored how knew that Rich—the senior, white man in
social differences in society—based on cate- our group—was flunking social psychology,
gories like gender, race, and education—be- we would have lower expectations of his
come status differences. Why is it that men, competence on the group task. Likewise, if
across a range of domains, are held in greater the class was home economics rather than
esteem and thought to be more competent social psychology and the group task was
than women? Why is it that Whites are as- related to sewing, the group would draw
sumed, often unconsciously, to be more on the cultural belief that women would
effective leaders and more skilled at any perform better on such tasks and defer to
number of tasks than Blacks? Understand- Monica.
ing the process through which status differ- In sum, the group processes tradition
ences originate and are sustained in society focuses on a number of interesting topics
and how they might decline (for example, that are integral aspects of social life. Both
how Irishness has lost its significance in the social exchange and status, for example, are
United States) offers important insight into ubiquitous in our daily interactions, and
inequality not only between groups but also the usefulness of theorizing on these pro-
within them (Ridgeway, 2011). cesses is clear. The tradition recognizes the
Early social psychological work on status importance of the groups and relationships
focused on the emergence of status differ- in shaping individuals’ experiences. It ex-
ences within groups. To illustrate, imagine plores processes both within and between
you are assigned to work with a group of stu- groups. It also addresses inequality, a core
dents from your social psychology class on a sociological concern. Many topics of inter-
project. If you all were strangers but varied est to this tradition are discussed in detail
on status dimensions like gender, race, or in later chapters. The role of groups in so-
year in school, how would that affect your cialization processes is covered in Chapter
behavior in groups? Over time, differences 3, and the importance of social categories
in contribution are likely to emerge. Some as shaping individual experiences are dis-
of the group members would talk more. cussed in Chapter 6. Processes within and
Among those who contributed more, some between groups, including group conflict
have more influence. If they made sugges- and cohesion, are discussed in Chapters 13
9780813349503.indb 15 5/16/14 1:50 PM

and 14. Groups’ potential to engage in col- time hanging out—and later working—in
lective efforts for social change is covered in the family business. Social psychologists
Chapter 17. who adopt a social structure and person-
ality approach believe these attributes and
Limitations of Group Processes. The experiences that situate Professor Collett
main criticism of the group processes train the social structure influence her per-
dition and related theories is that they are sonality—her attitudes, values, and goals,
based, in large part, on research that was among other things. You might assume, for
conducted in laboratories, with North example, that Professor Collett cares about
American college students as participants. education, because she teaches college and
There are concerns that any results from has a school-aged son. You might think
WEIRD—Western, Educated, and from of Seattle as a liberal place or assume that
Industrialized, Rich, Democratic coun- someone from the Seattle area likes cof-
tries—research participants are not gener- fee, Microsoft computers, or the rain. As a
alizable to people from other social groups product of the early ’90s, you might imagine
or cultures (Henrich, Heine, & Norenzayan, her to be more fond of Nirvana or Pearl Jam
2010) and that the way people behave in the than Macklemore. You might assume that
artificial situations presented in the labo- her parents’ education level and exposure
ratory are not indicative of how individu- to a family business might have influenced
als would respond in everyday situations. her orientation toward college and work.
Although these concerns are certainly im- Although social psychologists are inter-
portant to keep in mind, as you will see in ested in describing general trends rather
this book, the theories tested and devel- than individuals’ personalities, sociological
oped in the laboratory are often based on social psychologists who work in this tradi-
“real world” events. Furthermore, a grow- tion are exploring similar topics. How does
ing number of social psychologists are in- someone’s position in the social structure
corporating non-laboratory-based methods influence their personality?
to diversify their research participants and The seminal work in social structure and
settings (Collett & Avelis, 2011; Correll, Be- personality (SSP) was conducted by Mel-
nard, & Paik, 2007). Chapter 2 discusses the vin Kohn and Carmi Schooler (Kohn, 1969;
value of various research methods in social Kohn & Schooler, 1973). Described in more
psychology. detail in Chapters 3 and 15, this research
found important social class differences in
Social Structure and Personality childrearing—with middle- and upper-class
parents valuing self-direction and curiosity
The third tradition in social psychology over conformity, for example—and argued
argues that we are each situated in unique that these differences were rooted in the
positions in the social structure. For exam- parents’ work conditions. Working-class
ple, Professor Collett is a white woman who parents were more likely to be employed in
is married with a teenage son. She grew up manufacturing jobs that rewarded confor-
outside of Seattle, graduating high school mity. Middle- and upper-class parents were
in the early 1990s. Neither of her parents more likely to be employed in sectors and
graduated college. They opened a small positions that rewarded self-direction, cre-
restaurant when Professor Collett was in ativity, and curiosity. The rewards at work
elementary school, and she spent a lot of reinforced these values in the parents, and
9780813349503.indb 16 5/16/14 1:50 PM

through their child-rearing styles at home, viding a mechanism, an explanation of why

the parents subsequently passed these val- one thing leads to another. As you will see
ues on to their children. These values likely as you progress through this book, how-
influenced their children’s work orienta- ever, this is a somewhat unfair criticism.
tions as well, which would ultimately af- There are a number of causal mechanisms
fect the types of work they would be drawn suggested throughout social psychology.
to and recreate the connection between However, the SSP tradition’s reliance on
class, work, values, and parenting (Kohn & survey methods makes causal inferences
Schooler, 1982). difficult. The social structure and personal-
Social class is only one of many aspects of ity approach is also criticized because it fails
social structure of interest to social psychol- to account for individuals who deviate from
ogists. Others include occupation, gender, trends and averages. Not everyone from
marital and parental status, and education. Seattle is liberal or appreciates musicians
Additionally, personality—as conceived by from the Pacific Northwest.
those who work in this tradition—extends
beyond values and beliefs to behavior and Cognitive Perspectives
both physical and mental health. Many of
these topics are covered in the chapters to Social psychologists who work in psy-
follow. Chapter 3 discusses socialization as chology tend to emphasize cognitive per-
the process through which we come to ac- spectives. The basic premise of cognitive
quire values. Chapters 6 and 7 describe how theory is that the mental activities of the
our positions in social structure can influ- individual are important determinants of
ence the way we perceive events and the social behavior (Operario & Fiske, 1999).
attitudes we hold. The connection between These mental activities, called cognitive
social structure and both prosocial (altru- processes, include perception, memory,
ism and helping) and antisocial (aggression) judgment, problem solving, and decision
behavior is covered in Chapters 10 and 11. making. Cognitive theory does not deny the
Finally, Chapter 15 takes the social struc- importance of external stimuli, but it main-
ture and personality approach as its focus, tains that the link between stimulus and
introducing a wide array of research in the response is not direct; rather, the individ-
tradition. ual’s cognitive processes intervene between
external stimuli and behavioral responses.
Limitations of Social Structure and Per- Individuals not only actively interpret the
sonality. Although some assert that the so- meaning of stimuli but also select the ac-
cial structure and personality tradition is the tions to be made in response.
most sociological of the social psychological Historically, the cognitive approach to
approaches because of its consideration of social psychology has been influenced by
macrosociological structures (Kohn, 1989), the ideas of Koffka, Kohler, and other the-
SSP does have its critics. The main criticism orists in the Gestalt movement of psychol-
launched is that much of the research only ogy. Central to Gestalt psychology is the
describes a relationship—attractive people principle that people respond to configura-
are happier than unattractive people, mar- tions of stimuli rather than to a single, dis-
ried people live longer than single people, crete stimulus. In other words, people un-
groups with members who are similar tend derstand the meaning of a stimulus only by
to be more cohesive—and falls short of pro- viewing it in the context of an entire system
9780813349503.indb 17 5/16/14 1:50 PM

of elements (the gestalt) in which it is em- ferent terms—cash flow, occupancy rate,
bedded. A chess master, for example, would depreciation, mortgage, and amortization.
not assess the importance of a chess piece One of the young children living in the
on the board without considering its loca- neighborhood has yet another view; observ-
tion and strategic capabilities vis-à-vis all ing that no person has lived in the house for
the other pieces currently on the board. To several months, he is convinced the house
comprehend the meaning of any element, is haunted.
we must look at the whole of which it is a
part. Cognitive Structure and Schemas. Cen-
Cognitive theorists depict humans as tral to the cognitive perspective is the con-
active in selecting and interpreting stimuli cept of cognitive structure, which refers
(Fiske & Taylor, 1991; Moskowitz, Skurnik, broadly to any form of organization among
& Galinksy, 1999). According to this view, cognitions (concepts and beliefs). Because
people do more than react to their environ- a person’s cognitions are interrelated, cog-
ment; they actively structure their world nitive theory gives special emphasis to ex-
cognitively. First, humans are cognitive mi- actly how they are structured and organized
sers. Because individuals cannot possibly in memory and how they affect a person’s
attend to all the complex stimuli that sur- judgments.
round them, they select only those stimuli Social psychologists have proposed that
that are important or useful to them and ig- individuals use specific cognitive structures
nore the others. Second, they actively con- called schemas to make sense of complex
trol which categories or concepts they use information about other persons, groups,
to interpret the stimuli in the environment. and situations. The term schema is derived
There are a wide range of cognitive tactics from the Greek word for “form,” and it re-
available for people to draw from, and they fers to the form or basic sketch of what we
choose the approach they take (Operario & know about people and things. For exam-
Fiske, 1999). Humans are “motivated tacti- ple, our schema for “law student” might be
cians” (Fiske & Taylor, 1991). This means, a set of traits thought to be characteristic
of course, that various individuals can form of such persons: intelligent, analytic and
dramatically different impressions of the logical, argumentative (perhaps even com-
same complex stimulus in the environment. bative), and thorough with an eagle eye for
Consider, for example, what happens details, strategically skillful in interpersonal
when several people view a vacant house relations, and (occasionally) committed to
displaying a bright “for rent” sign. When a seeing justice done. This schema, no doubt,
building contractor passes the house, she reflects our own experience with lawyers
pays primary attention to the quality of and law students as well as our conception
the house’s construction. She sees lumber, of which traits are necessary for success
bricks, shingles, glass, and some repairs that in the legal profession. That we hold this
need to be made. Another person, a poten- schema does not mean we believe that ev-
tial renter, sees the house very differently. eryone with this set of characteristics is a
He notes that it is located close to his job law student or that every law student will
and wonders whether the neighborhood is have all of these characteristics. We might
safe and whether the house is expensive to be surprised, however, if we met someone
heat in winter. The real estate agent trying who impressed us as unmethodical, illog-
to rent the house construes it in still dif- ical, withdrawn, inarticulate, inattentive,
9780813349503.indb 18 5/16/14 1:50 PM

sloppy, and not very intelligent and then mation about the person, and they help us
later discovered he was a law student. remember information better and process
Schemas are important in social rela- it more quickly. Sometimes they fill gaps
tions because they help us interpret the in knowledge and enable us to make infer-
environment efficiently. Whenever we en- ences and judgments about others.
counter a person for the first time, we usu- To illustrate further, consider a law
ally form an impression of what he or she school admissions officer who faces the
is like. In doing this, we not only observe task of deciding which candidates to admit
the person’s behavior but also rely on our as students. To assist in processing appli-
knowledge of similar persons we have met cations, she uses a schema for “strong law
in the past; that is, we use our schema re- student candidate” that is based on traits
garding this type of person. Schemas help believed to predict success in law school
us process information by enabling us to and beyond. The admissions officer doubt-
recognize which personal characteristics less pays close attention to information
are important in the interaction and which regarding candidates that is relevant to
are not. They structure and organize infor- her schema for law students, and she most
likely ignores or downplays other informa-
tion. LSAT scores do matter, whereas eye
color does not; undergraduate GPA does
matter, whereas ability to throw a football
does not; and so on.
Schemas are rarely perfect as predictive
devices, and the admissions officer prob-
ably will make mistakes, admitting some
candidates who fail to complete law school
and turning down some candidates who
would have succeeded. Moreover, another
admissions officer with a different schema
might admit a different set of students to
law school. Schemas also figure centrally
in our stereotypes and discriminatory at-
titudes. If, for example, an admissions of-
ficer includes only the race “White” in her
schema for successful law students, she will
be less likely to admit African Americans.
Despite their drawbacks, schemas are more
efficient ways to process social information
Many comedies make use of schemas. In order to than having no systematic framework at all.
find humor in Elle Woods pursuing a law degree Thus, they persist as important cognitive
at Harvard in the movie Legally Blonde, you must mechanisms even when less than perfect.
first understand that she does not fit the schema Schemas will be discussed in more detail in
for a law student. Throughout the movie, Woods’s Chapter 6.
interactions with those who do fit the law school
student schema provide stark contrast and set
the stage for humorous situations. © Bureau L.A. Dual-Process Theory of Information
Collection/Sygma/Corbis Processing. Much of the recent work in
9780813349503.indb 19 5/16/14 1:50 PM

psychological social psychology incorpo- trust the person who is walking toward you.
rates dual-process models. Like the socio- Are they a threat? Are they benevolent? Ad-
logical approaches outlined earlier, the ditional processing takes place because you
dual-process theory is a theoretical per- are seeking out a more accurate judgment
spective that subsumes a number of spe- than what is provided through unconscious
cific theories. Theories associated with this processing alone. It can also occur because
theoretical perspective are all based on the the information presented to us is so incon-
notion that we process information two sistent with our heuristics (Elle Woods does
ways—automatically and deliberately—and not fit our schema for a law student, the per-
this influences perception, impression for- son walking toward us is a Black man whis-
mation, and attributions (Chapter 6), atti- tling a concerto by Vivaldi [Steele, 2011]).
tudes (Chapter 7), persuasion (Chapter 9), Based on this dual-processing view, we are
attraction (Chapter 12), and stereotyping not doomed to be cognitive misers who act
(Chapters 6 and 13), among other social on autopilot throughout our lives. We are
psychological processes. capable of more elaborate processing, but
The automatic process of perception we must have reason to set that high-effort
occurs so quickly that individuals fail to processing in motion (Moskowitz, Skurnik,
even notice it. This automaticity relies on & Galinksy, 1999).
the use of heuristics—cognitive shortcuts
using readily accessible information based Social Identity Theory. Social identity the-
on experience—that aid in information ory grew out of a concern that psychology
processing. Schemas, as outlined above, are had become too reductionist and was only
a good example. Individuals have learned, concerned about the individual. This per-
over time, the content of a variety of sche- spective argues that while we sometimes
mas. We have ideas about women and men, think, feel, and act as individuals, most of
law students and sorority sisters, Blacks our behavior stems from the social groups
and Whites. When we encounter someone that we belong to (Operario & Fiske, 1999).
new, we use heuristics to classify them into The most sociological of the psycholog-
a category using salient physical features, ical perspectives, social identity argues
behaviors, or labels provided to us through that individuals’ identification with socie-
means of an introduction or setting. Once tal structures—groups, organizations, cul-
classified, heuristics also help us deter- tures—guides cognitive processes (Markus,
mine what to expect from them and how to Kitayama, & Heiman, 1996). Identification
treat them—without giving any conscious is central here. If someone does not identify
thought to the categorization or these ex- with a group, it is not psychologically real
pectations. These processes are automatic (Hogg, 2006). This is why social identity
and require little effort. theory is a cognitive theory. Self-categoriza-
However, if we decide to keep processing, tion—a cognitive process—is instrumental
a more conscious and deliberate process in social identity processes (Turner 1987).
occurs. This high-effort systematic pro- We categorize ourselves and others into
cessing as it relates to forming impressions groups using a type of schema called a pro-
of people we encounter is shown in Figure totype. We decide that we are a member of
1.2. This process takes place if the person is a group because we fit a schema of typical
of even minimal relevance to us. If you are group members. This categorization af-
walking down the street late at night, for ex- fects our self-concept, of course, but it also
ample, you want to know whether you can influences our perceptions of others. We
9780813349503.indb 20 5/16/14 1:50 PM

encounter person
Is person of
INITIAL CATEGORIZATION minimal interest or NO
relevance?
YES
allocate ATTENTION to
person attributes
if successful
CONFIRMATORY
CATEGORIZATION
if unsuccessful
if successful RECATEGORIZATION
(accessing new category,
subcategory, exemplar)
if unsuccessful
attribute-by-attribute analysis of person
category-based person-based affect,

affect, cognitions, and cognitions, and
behavior behavior
possible public expression of response
Is further
assessment of YES
person required?
NO
STOP
FIgure 1.2 The continuum Model of impression Formation

This model illustrates the dual processes at work when we form impressions of people we encounter. The initial
categorization is low effort and occurs immediately upon perception of the person. If the person we encounter is
relevant to us, this sets in motion a high-effort process in which we allocate additional attention to the person to
try to confirm our original categorization or to recategorize the person. These categorizations guide our responses
(affect, cognition, and behavior) to the person. However, if we are unable to categorize (or recategorize) the person
we encounter, we will conduct an attribute-by-attribute analysis of the person to determine how to respond to him
or her and whether additional attention is needed. Adapted from Figure 11.1 in Fiske, Lin, and Neuberg (1999), The
Continuum Model: Ten Years Later.
9780813349503.indb 21 5/16/14 1:50 PM

view ourselves and those who we classify is not one of the main perspectives in con-
as fellow group members more positively. temporary social psychology, it is found
Because of this, we feel a sense of camara- throughout the topics in this book and,
derie and cohesion with our social groups. therefore, is still an important perspective
However, the same processes lead us to feel to understand moving forward. When we
distinct from those who are not in our so- think of Charles Darwin and evolution, we
cial group, and the cognitive shortcuts we most often think of the development of
take in classification tend to exaggerate the physical characteristics. How, for exam-
differences between us and them. ple, did humans develop binocular vision
Social identity processes appear through- or the ability to walk upright? How did
out the text. Chapter 4 describes the impor- some animals develop an acute sense of
tance of social identities in self-concepts. smell, whereas others depend for survival
Chapter 6 covers prototypes and stereo- on their ability to see at low levels of light?
types. Chapter 13 discusses both inter- and Evolutionary psychologists—and sociobi-
intragroup dynamics like cohesion and con- ologists—do not stop with strictly physi-
formity, ethnocentrism, and discrimination. cal characteristics, however. They extend
In sum, cognitive theory is an incredibly evolutionary ideas to explain a great deal of
active area in psychological social psychol- social behavior, including altruism, aggres-
ogy, and it continues to produce many in- sion, mate selection, sexual behavior, and
sights and striking predictions regarding in- even such seemingly arcane topics as why
dividual and social behavior. It is among the presidents of the United States are taller
more popular and productive approaches than the average man (Buss & Kenrick,
in social psychology. 1998).
Limitations of Cognitive Perspectives. Evolutionary Foundations of Behavior.

One drawback of cognitive theories is that Evolutionary psychology locates the roots
they simplify—and sometimes oversim- of social behavior in our genes and, there-
plify—the way in which people process in- fore, intimately links the psychological and
formation, an inherently complex phenom- social to the biological (Buss, 1999; Symons,
enon. Another drawback is that cognitive 1992; Wilson, 1975). In effect, social behav-
phenomena are not directly observable; ior, or the predisposition toward certain
they must be inferred from what people say behaviors, is encoded in our genetic mate-
and do. This means that compelling and rial and is passed on through reproduction.
definitive tests of theoretical predictions In physical evolution, those characteristics
from cognitive theory are sometimes diffi- that enable the individual to survive and
cult to conduct. However, methodological pass on its genetic code are ones that will
advances—including the ability to sublimi- eventually occur more frequently in the
nally prime subjects, to measure millisecond population. For instance, animals whose
reaction times, and to use fMRI scans—are camouflage coloring allows them to escape
making such research increasingly possible predators will be more likely to survive and
(Operario & Fiske, 1999). produce offspring—who will then receive
the advantageous coloring from their par-
Evolutionary Theory ents. Animals of the same species whose
camouflage coloring is less efficient will be
The last theoretical perspective of this more likely to be caught and killed before
chapter is evolutionary theory. Although it they can reproduce. Thus, over time, the
9780813349503.indb 22 5/16/14 1:50 PM

Box 1.3 research update: evolutionary Theory and Mate Poaching
When people are searching for mates—either for on physical attractiveness and youth, whereas
long-term relationships or for short-term sexual women are more focused on their potential
interactions—they must select targets for their mate’s resources. Evolutionary psychologists be-
advances. One set of individuals who might seem lieve that men have these preferences because
off-limits are those who are already involved in their genetic code will be more successful if they
another relationship. When seduction is aimed target healthy women who can successfully bear
at someone who is already attached to another, children. Because these women are in high de-
researchers call it “mate poaching,” and although mand, they tend to be in relationships and, thus,
we may frown on the idea, in practice, around become targets for poaching. In addition, men
half of us attempt to poach (Schmitt et al., 2004). will be more successful replicating themselves
But some of us are more likely to poach than genetically if they broadcast their genetic code
others: About 60 percent of men use this mating broadly. Thus, they are more likely than women
strategy, whereas only 40 percent of women try are to pursue short-term relationships, including
it, and those looking for short-term engagements short-term attempts to poach desirable women.
are more likely to use it than are those looking for Because men are more focused on short-term
long-term relationships. Can evolutionary theory sexual engagement, women who would like to
help us understand these social patterns? be poached are more successful if they send sig-
Recent studies suggest that evolutionary nals that they are sexually accessible. Conversely,
principles are important in explaining mate men who display or devote resources are more
poaching attempts. First, in a very broad study likely to be targeted by women poachers who
conducted across 53 different nations, Schmitt have more limited ability to pass on their genetic
and colleagues found that mate poaching oc- code and, thus, wish to ensure the successful
curred commonly in every one of these countries. birth and development of their offspring.
The fact that poaching exists in such a large va- For more on mate poaching and evolutionary
riety of starkly different social contexts suggests theory, see Schmitt et al. (2004).
strongly that it is a universal, genetically encoded
behavior. Second, men consistently have differ- Adapted from Schmitt et al., 2004; Schmitt & Buss,
ent mating strategies than women do. Their pref- 2001; Schmitt & Shackelford, 2003.
erences for mate characteristics are more focused
camouflaged animals increase in number mate selection. Psychologists have observed

relative to the others, who will fade from that men strongly value physical attractive-
the population over the generations. ness and youthful appearance in a potential
The same process, argue evolutionary mate, whereas women focus more on the
psychologists, occurs with respect to so- mate’s ability to provide resources for her-
cial behaviors. Predispositions for certain self and their offspring (Buss, 1994). Why
behaviors are coded in genes, and these does this difference occur? From an evolu-
preprogrammed mental modules affect tionary perspective, it must be that the dif-
the behavior of our genetically similar off- ferent strategies differentially enable men
spring (Donald, 1991). Consider one area and women to produce successful offspring.
of research that has received a great deal The source of the difference lies in the span
of attention by evolutionary psychologists: of fertility—men can continue to reproduce
9780813349503.indb 23 5/16/14 1:50 PM

nearly their entire lives, whereas women

have a much more constricted period in
which they can have children. Therefore,
men who prefer to mate with women past
their childbearing years will not produce
offspring. Over time, then, a genetic pref-
erence for older women will be eliminated
from the population because these men will
not reproduce. Men who prefer younger
women will reproduce at a much higher
rate, and thus this social behavior will dom-
inate men’s approach to mating.
Conversely, women are less concerned
about a mate’s age because even much
older men can produce offspring. Women’s
concerns about successful reproduction
are focused on the resources necessary for
a successful pregnancy and for ensuring the
proper development of the child. Accord-
ing to Buss and Kenrick (1998), women’s
solution to this problem has been to select
mates who have the resources and willing-
ness to assist during the pregnancy and af-
ter. Women who do not prefer such men or Today many argue that human behavior
do not have the ability to identify them will stems from an interaction between genes and
environment. However, early evolutionary
be less likely to have successful pregnancies
psychology—including sociobiology in the
and child-rearing experiences. Therefore, 1970s—made general, far-reaching claims about
women’s preference for resource-providing the influence of genes, arguing that they exerted
men will eventually dominate in the popu- significant control over a wide range of human
lation. behaviors. © Bettyphoto/shutterstock
Using this basic notion of evolutionary
selection, evolutionary psychologists have
developed explanations for an extremely code even if their own chances of survival
wide variety of social behaviors. For ex- are compromised.
ample, altruistic or prosocial behaviors Evolution also helps to explain parent-
initially seem to provide a paradox for evo- ing practices. For example, men tend to be
lutionary theory. Why would an individual somewhat less invested in parenting than
reduce its chances of survival and repro- women because they invest less in produc-
duction by helping others? One answer, ing offspring—a single sexual act versus
as demonstrated in a number of studies, nine months of gestation and giving birth.
is that individuals are most likely to assist Adults are also more likely to abuse their
those to whom they are genetically re- stepchildren than their biological children
lated (Dawkins, 1982). Because individu- (Lennington, 1981). Again, evolutionary
als share genetic material with those they psychologists would argue that this differ-
assist, they help pass on their own genetic ence can be traced to the fact that parents
9780813349503.indb 24 5/16/14 1:50 PM

share genetic material with their biologi- ensure the successful transmission of their
cal children but not with their stepchil- own genes. Suppose, however, that women
dren (Piliavin & LePore, 1995). These and were actually more accepting of casual sex
many other topics will be examined using than men. This could also easily be ex-
evolutionary ideas throughout the book, plained by the evolutionary perspective. A
particularly in Chapters 3 (Socialization man cannot be certain that a child is his,
Through the Life Course), 6 (Social Per- so a strong commitment to a monoga-
ception and Cognition), 10 (Altruism and mous relationship would help ensure that
Prosocial Behavior), 11 (Aggression) and it is actually his genes that are being passed
12 (Interpersonal Attraction and Relation- to a child. Women, however, are always
ships). 100 percent sure that their own genes are
passed down to their children, so in terms
Limitations of Evolutionary Theory. Al- of genetic fitness, it should not matter to
though the perspective continues to guide them who is the father. Because these af-
some social psychological work, the evo- ter-the-fact explanations are always easy
lutionary perspective never eclipsed other to construct and difficult to prove, it can be
theoretical approaches to social psychology very difficult to judge them against com-
and has been subject to a fair amount of crit- peting arguments. Therefore, although the
icism (Caporeal, 2001; Rose & Rose, 2000). evolutionary perspective has a number of
The most persistent critique accuses evolu- supporters, it still has major obstacles to
tionary psychologists of circular reasoning overcome before achieving widespread ac-
(Kenrick, 1995). Typically, the evolutionary ceptance as a useful explanation for social
psychologist observes some characteristic behavior.
of the social world and then constructs an
explanation for it based on its supposed The five theoretical perspectives discussed
contribution to genetic fitness. The logic of here—symbolic interaction, group pro-
the argument then becomes: Why does this cesses, social structure and personality,
behavior occur? Because it improves the cognitive perspectives, and evolutionary
odds of passing on one’s genes. But how do theory—differ with respect to the issues
we know it improves those odds? Because it they address, the concepts they draw on,
occurs. This logical trap is, in some sense, and the behavior they attend to. The three
unavoidable because we cannot travel back sociological perspectives begin with society
in time to observe the actual evolution of and consider how social forces influence
social behavior. the individual, favoring external—struc-
The problem appears most clearly when tural and interactional—processes. The two
we consider the possibility of alternative psychological perspectives, however, tend
outcomes. For example, we may observe to privilege internal, cognitive processes be-
that men are more accepting of casual sex cause they start with the individual (Stryker,
than women. The evolutionary explana- 2001). However, these perspectives should
tion for this difference between men and be seen as complementary rather than
women is that men can maximize the sur- competing. For example, cognitive theories
vival of their genetic material by spreading stress the importance of schemas and cog-
it as widely as possible. Women, however, nitive structure in determining judgments
need to know who the father of their chil- and behavior but connect with symbolic
dren is and extract support from him to interaction in arguing that the content of
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these schemas and cognitive structures are and structure, and the impact of social con-
learned in social interaction and with social text on individuals and groups. (3) Social
structure and personality in that these sche- psychology has a close relationship with
mas and cognitive structures are based on other social sciences, especially sociology
positions and roles individuals hold in so- and psychology. Although they emphasize
cial structures. different issues and often use different re-
Because of the overlap, in the chapters search methods, both psychologists and so-
that follow, insight from these perspectives ciologists have contributed significantly to
is most often presented without explicit social psychology, and it can be an interdis-
mention of the guiding theoretical perspec- ciplinary enterprise.
tive. Social psychology is a collective enter-
prise, with sociologists and psychologists Theoretical Perspectives in Social Psy-
routinely drawing on each other’s work chology. A theoretical perspective is a
(Thoits, 1995). This textbook is unique in broad theory based on particular assump-
the way it bridges these two disciplines— tions about human nature that offers ex-
giving voice to both sociological social planations for a wide range of social be-
psychology and the more psychological ap- haviors. This chapter discussed five theo-
proaches—and presents social psychology retical perspectives: symbolic interaction,
to a new generation of students as a col- group processes, social structure and per-
lective enterprise with much of interest to sonality, a cognitive perspective, and evo-
people regardless of their disciplinary ori- lutionary theory. (1) Symbolic interaction
entation. theory holds that human nature and so-
cial order are products of communication
among people. It stresses the importance
SuMMary of the self, of role taking, and of consen-
sus in social interaction. It is most useful
This chapter considered the fundamental in explaining fluid, contingent encounters
characteristics of social psychology and im- among people. (2) The group processes
portant theoretical perspectives in the field. perspective focuses its attention on in-
teraction in social groups or networks. It
What Is Social Psychology? There are sev- mainly draws on experimental research to
eral ways to characterize social psychology. demonstrate how the structure of groups
(1) By definition, social psychology is the can influence individual behavior within
systematic study of the nature and causes groups. (3) Social structure and personal-
of human social behavior. When thinking ity argues that individuals’ positions in the
about behavior, social psychologists are social structure influence their thoughts,
not only interested in what people do but feelings, and behaviors. Some argue that it
also what they feel and think. (2) Social is the most sociological of the approaches
psychology has several core concerns, in- because it considers how macrosociolog-
cluding the impact of one individual on an- ical structures influence individuals. (4)
other individual’s behavior and beliefs, the Cognitive theories hold that such processes
impact of a group on a member’s behavior as perception, memory, and judgment are
and beliefs, the impact of a member on the significant determinants of social behavior.
group’s activities and structure, the impact Differences in cognitions, including the use
of one group on another group’s activities of low-effort or high-effort cognitive pro-
9780813349503.indb 26 5/16/14 1:50 PM

cessing, help to illuminate why individuals college graduates with well-developed criti-
may behave differently from one another in cal thinking skills. To help students develop
any given situation. (5) Evolutionary theory these skills, this chapter and all that follow
posits that social behavior is a product of will include sections labeled Critical Think-
long-term evolutionary adaptation. Behav- ing Skill. These exercises will not only im-
ioral tendencies exist in human beings be- prove your critical thinking skills as applied
cause these behaviors aided our ancestors to Social Psychology but will also give you
in their attempts to survive and reproduce. the tools to engage critical thinking in other
classes and in other areas of your life.
According to Diane Halpern, an expert
List of Key Terms and Concepts in critical thinking:
cognitive processes (p. 17) Critical thinking is the use of those cog-
cognitive structure (p. 18) nitive skills and strategies that increases
cognitive theory (p. 17) the probability of a desirable outcome.
conditioning (p. 14) It is purposeful, reasoned, and goal
equity (p. 14) directed. It is the kind of thinking in-
evolutionary psychology (p. 22) volved in solving problems, formulating
heuristics (p. 20) inferences, calculating likelihoods, and
identities (p. 13) making decisions. . . . Critical thinking
identity theory (p. 13) also involves evaluating the thinking
middle-range theories (p. 8) process—the reasoning that went into
norms (p. 13) the conclusions we have arrived at or
reflexive self (p. 12) the kinds of factors considered in mak-
role (p. 13) ing a decision. (Halpern, 2002, p. 93)
role taking (p. 11)
role theory (p. 13) Critical thinking is logical and fact based.
schemas (p. 19) Critical thinkers work to overcome bias
self (p. 11) and avoid self-deception. Most importantly,
significant others (p. 14) critical thinking is a skill set that we can
situated identity (p. 11) acquire and can use throughout our lives.
social exchange (p. 14) Once we acquire the ability, we can think
social psychology (p. 3) critically in a range of situations to make
status (p. 15) better decisions and experience positive
symbolic interaction theory (p. 9) outcomes (Halpern, 1998).
theoretical perspectives (p. 8) Because of the benefits of critical think-
theory (p. 8) ing, colleges and universities are increas-
ingly working to improve students’ critical
thinking skills to help graduates navigate a
Critical Thinking Skill: world with growing access to information.
An Introduction to Critical Thinking To help students be competitive in today’s
knowledge-based economy and to flourish
A variety of stakeholders, including employ- in a world where individuals are inundated
ers and graduate and professional program with information from a variety of sources,
faculty and administrators, are interested in it is increasingly important that citizens are
9780813349503.indb 27 5/16/14 1:50 PM

adept at evaluating information in a ratio- I will use myself as an example. Today

nal, deliberate manner. I had a cup of coffee and a bowl of cereal
Each Critical Thinking Skill exercise will with milk for breakfast. I ate because my
engage a particular critical thinking skill as body signaled it was hungry, with a growl-
applied to social psychology. However, you ing in my stomach. My mind interpreted
will find that these skills will have applica- this growling as a sign that I should eat. I
tions throughout your life and that becom- learned to interpret sensations like the
ing a critical thinker will have benefits far growling stomach in interaction with oth-
beyond this course. ers. My mother always told me to eat break-
fast, and she and others taught me, whether
Understand Diverse Causal Forces. Most explicitly or implicitly, what an appropriate
of us pay little attention to our everyday be- breakfast is and that the caffeine in coffee
haviors, feelings, and thoughts. Consider a would wake me up. In this way, others in-
trip to the movies. In American culture, we fluenced the way my mind processes infor-
tend to sit quietly in a theater, laugh during mation by teaching me to categorize foods
comedies and cry during dramas, and think as appropriate or inappropriate for break-
popcorn, candy, and soda are appropriate fast. Culture also influences what we see as
movie-viewing foods. We like to believe breakfast foods. Even though I know that
that we choose all of these actions freely, soup would satiate my hunger, I was less
but do we? likely to choose it or to crave it because of
As the theoretical perspectives covered my cultural background. Whereas some-
in this chapter suggest, very little of what one from an Asian culture might eat soup
we do in our everyday life is based on infor breakfast, Americans traditionally do
dividual actors making truly unique deci- not. Cultural beliefs also shift over time. My
sions. One of the best ways to see the social grandparents would never have eaten cold
nature of our psychology—to learn social cereal for breakfast. They would have eaten
psychology—is to begin to question the their cereal piping hot.
motivation behind actions we often take By stopping to think not only about why
for granted, “to recognize the social signif- I ate breakfast (although that, too, is worth
icance in mundane behaviors” (Fine, 1995, considering similarly) but also about why
p. 6). Being attuned to the sources of our I chose what I did for breakfast, I can see
thoughts, feelings, and behavior is also im- how little physiological processes, innate
portant to critical thinking because under- cognition, or my own unique thoughts and
standing ourselves helps us understand our desires had to do with my action. Instead,
biases and reasoning. I recognize the social influences in shaping
Let’s begin by thinking about a mundane what I think, feel, and do. What did you eat
behavior we all engage in: eating. I would for breakfast? How did these four dimen-
bet that you gave little thought to what you sions or a subset of them influence that ac-
ate for breakfast today (or if you decided to tion? Similarly, what did you decide to wear
eat breakfast at all). However, the choice today? Where are you reading this chapter?
was actually socially significant. According Are you doing anything else while studying?
to Gary Alan Fine, there are four dimen- What other mundane behaviors can you
sions at play in human action: body, mind, see as socially significant by using this same
others, and culture. framework?
9780813349503.indb 28 5/16/14 1:50 PM

When we stop to evaluate the sources are also training ourselves to evaluate all ac-
of our mundane behaviors, we are not only tions—whether mundane or not—to better
recognizing the importance of social psy- interpret and understand them and those
chological processes and interaction; we who engage in them.
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9780813349503.indb 30 5/16/14 1:50 PM
chaPter 2
RESEARCH METHOdS IN
sociAl Psychology
introduction 32 comparison of research methods 54
Questions about research methods 32 meta-analysis 55
Characteristics of empirical Research 32 Research in diverse Populations 56

objectives of research 33 ethical issues in Social Psychological
research hypotheses 33 Research 58
Validity of findings 34 Potential Sources of harm 58
Research Methods 35 institutional Safeguards 59
Surveys 35 Potential Benefits 61
field Studies and naturalistic Summary 62

observation 45
archival research and content
analysis 47 Critical Thinking Skill: Understanding the
Importance of Sampling 63
experiments 49
31
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32 rEsEarCh METhods In soCIal psyChology
IntroductIon be accepted by other social psychologists as

reliable, general findings.
The field of social psychology relies on em-
pirical research, which is the systematic Questions about Research Methods
investigation of observable phenomena
(behavior, events) in the world. Research- In this chapter, we will discuss the re-
ers try to collect information about behav- search methods used in contemporary so-
ior and events in an accurate and unbiased cial psychology. This discussion will pro-
form. This information, which may be either vide a foundation for understanding and
quantitative or qualitative, enables social evaluating the empirical studies discussed
psychologists to describe reality in detail and throughout this book. We address the fol-
to develop theories about social behavior. lowing questions:
When conducting empirical research, in-
vestigators usually employ a methodology, 1. What are the basic goals that underlie
which is a set of systematic procedures that social psychological research? What
guide the collection and analysis of data. In form do research hypotheses assume?
a typical study, investigators begin with a What steps can researchers take to
question or hypothesis amenable to investi- ensure the validity of their findings?
gation. Next they develop a research design.
Then, they go into a research setting and 2. What are the defining characteristics
collect the data. Next, they code and ana- of research methods, such as surveys,
lyze the data to test hypotheses and arrive at naturalistic observation, archival
various conclusions about the behaviors or research, and laboratory and field
events under investigation. Throughout this experiments? What are the strengths
process, investigators follow specific proce- and weaknesses of each? What is a
dures to ensure the validity of the findings. meta-analysis?
When investigators report their research
to the wider community of social psycholo- 3. What issues are raised when we
gists, they describe not only the results but undertake research on diverse groups
also the methodology used to obtain the within a society or on members of
results. By reporting their methods, they other cultures?
make it possible for other investigators to
independently verify their findings. 4. What ethical issues are important in
Independent verification of research the conduct of social psychological
findings is one of the hallmarks of any research? Which safeguards are
science. Suppose, for instance, that an in- available to protect the rights of
vestigator were to report some unantici- participants? Are there potential
pated empirical findings that ran contrary benefits to the participants?
to established theory. Other investigators
might wish to replicate the study to see
whether they can obtain the same find- characterIStIcS of
ings in other settings with different partic- eMPIrIcal reSearch
ipants. Through this process, investigators
with differing perspectives can identify and In this chapter, we discuss the major research
eliminate biases in the original study. If the methods used by social psychologists. These
results are replicable, they are more likely to methods include surveys, field observation,
9780813349503.indb 32 5/16/14 1:50 PM

rEsEarCh METhods In soCIal psyChology 33
archival studies, and experiments. Before correlation between variables may reflect an
looking at these in detail, however, we will underlying causal relation, two variables can
review some issues common to all forms of be correlated without one causing the other;
empirical research. Specifically, we will con- this will happen, for instance, if both are
sider the objectives that typically underlie caused by a third variable. Correlation alone
empirical research, the nature of the hypoth- is not sufficient evidence for causation.
eses that guide research, and the factors that A third objective of research, then, is
affect the validity of research findings. to discover the causes of some behavior
or event. When pursuing this goal, the re-
Objectives of Research searcher first develops a causal hypothesis,
which is a statement that differences or
Investigators conduct social psychologi- changes in one behavior or event produce
cal studies for a variety of reasons. Their a difference or change in another behav-
objectives usually include one or more of ior or event. For instance, an investigator
the following: describing reality, identify- might hypothesize that studying for an
ing correlations between variables, testing exam in groups will produce higher grades
causal hypotheses, and developing and test- than studying for the exam individually.
ing theories. After specifying the hypothesis, the inves-
In some studies, the central objective is tigator collects data to test the hypothesis.
simply to describe reality in accurate and To support the hypothesis of causality, this
precise terms. An investigator may wish test must show that differences or changes
to characterize some behavior or describe in one variable produce differences or
the features of a social process. Descrip- changes in the other. Moreover, the design
tion is often the paramount goal when a re- of the test must preclude or eliminate plau-
searcher investigates a phenomenon about sible alternative (noncausal) interpretations
which little or nothing is known. Even when of the data. Frequently, the best way to test
investigating more familiar phenomena, a a causal hypothesis is by an experiment, a
researcher may wish to ascertain the fre- topic discussed in greater detail further on.
quency with which a particular attitude or A fourth objective of social psychological
behavior occurs in a specified group or pop- research is to test existing theories and to
ulation. For instance, during election years, develop new ones. A theory is a set of inter-
researchers routinely conduct public opin- related hypotheses that explains some ob-
ion polls to learn how Americans feel about servable behavior(s) or event(s). Frequently,
political candidates, issues, and parties. a theory will serve as a basis for predicting
Their goal is to describe public sentiment future events. Tests of theories resemble
with great accuracy and precision. tests of hypotheses, except that several in-
A second objective of research is to ascer- terrelated hypotheses are assessed at once.
tain whether a correlation exists between two In some cases, investigators juxtapose theo-
or more behaviors or attributes. Research- ries that make different predictions, and the
ers might conduct a survey, for example, to results of the test may enable them to reject
find out whether growing older is associated one theory in favor of another.
with changes in a person’s sexual behavior
(Karraker & DeLamater, 2013) or whether Research Hypotheses
how children spend their time is related to
their scores on standard achievement tests In broad terms, a hypothesis is a conjectural
(Hofferth & Sandberg, 2001). Although a statement of the relation between two or
9780813349503.indb 33 5/16/14 1:50 PM

more variables. Many social psychological are widespread in social psychology be-
studies begin with one or more hypotheses. cause most dependent variables of interest
To test whether a hypothesis is correct, an have more than one cause.
investigator will first ask what observations
would be expected if the hypothesis is true; Validity of Findings
then, he or she will take some observations
or measures of reality and compare these One cannot take for granted that the find-
with what is expected under the hypothesis. ings of any given study will have validity.
If a discrepancy is noted, it constitutes evi- Consider a situation where an investiga-
dence against the hypothesis and may lead tor is studying deviant behavior. In par-
to its rejection. ticular, she is investigating the extent to
There are various types of hypotheses. which cheating by college students occurs
Some hypotheses are noncausal in nature; on exams. Reasoning that it is more diffi-
for example, “Variables X and Y are cor- cult for people monitoring an exam to keep
related, such that high levels of X occur students under surveillance in large classes
with low levels of Y” (negative correlation). than in smaller ones, she hypothesizes that
Noncausal hypotheses make statements a higher rate of cheating will occur on ex-
about observed relations between variables. ams in large classes than in small. To test
Other hypotheses are explicitly causal this hypothesis, she collects data on cheat-
in nature. For instance, a causal hypothesis ing in both large classes and small ones and
relating two variables might take the form then analyzes the data. Her results show
“X causes Y” or “Higher levels of X pro- that more cheating per student occurs in
duce lower levels of Y” or “An increase in the larger classes. Thus, the data apparently
X will produce a decrease in Y.” Sometimes, support the investigator’s research hypoth-
of course, causal hypotheses are more ex- esis.
plicit and qualified in scope; for example, A few days later, however, a colleague
“If conditions A and B are present, then an points out that all the large classes in her
increase of 1 unit in X will cause a decrease study used multiple-choice exams, whereas
of 6 units in Y.” all the small classes used short answer and
Causal hypotheses always include at least essay exams. The investigator immediately
two variables—an independent variable realizes that an extraneous variable (exam
and a dependent variable. An indepen- format) is confounded with the indepen-
dent variable is any variable considered dent variable (class size) and may be oper-
to cause or have an effect on some other ating as a cause in her data. The apparent
variable(s). A dependent variable is any support for her research hypothesis (more
variable caused by some other variable. The cheating in large classes) may be nothing
dependent variable changes in response to more than an artifact. Perhaps the true ef-
changes in the independent variable. In the fect is that more cheating occurs on mul-
preceding example where X causes Y, X is tiple-choice exams than on essay exams,
the independent variable and Y is the de- irrespective of class size.
pendent variable. We say that the findings of a study have
Another important type—the extra- internal validity if they are free from con-
neous variable—is any variable that is not tamination by extraneous variables. Inter-
expressly included in the hypothesis but nal validity is a matter of degree; findings
that nevertheless has a causal impact on the may have high or low internal validity. Ob-
dependent variable. Extraneous variables viously, the investigator’s findings about
9780813349503.indb 34 5/16/14 1:50 PM

the effect of class size on cheating have low lege, there is no assurance that the findings
internal validity due to the possibly con- (whatever they turn out to be) would also
founding effect of exam format. Internal apply to students in other settings, such as
validity is very important. Without internal high schools or 4-year colleges or universi-
validity, a study cannot provide clear, inter- ties. In general, external validity is import-
pretable results. ant and desirable, because the results of a
To achieve results with higher internal study often have general importance only if
validity, the investigator might repeat the they generalize beyond the particular set-
study with an improved design. For in- ting in which they appeared.
stance, our investigator might repeat her
study with only one exam format (say, mul-
tiple choice) in both large and small classes. reSearch MethodS
Then she could test whether class size af-
fects the rate of cheating on multiple-choice Although there are many ways of collect-
exams. By holding constant the extraneous ing data about social behavior, most social
variable (exam format), her new design will psychological studies use one or another
have greater internal validity. Better still, of four main methods. These methods are
she might use a more complex design that surveys, naturalistic observation, archival
includes all four logical possibilities (that is, research based on content analysis, and ex-
small class/multiple choice; small class/es- periments. We discuss each of these meth-
say; large class/multiple choice; large class/ ods in turn.
essay). She could analyze the data from
this design to estimate separately the rela- Surveys
tive impacts of class size and exam format
on cheating. In effect, this design converts A survey is a procedure for collecting infor-
an extraneous variable (exam format) into mation by asking members of some popu-
a second independent variable. Although lation a set of questions and recording their
better, it is not a perfect design, because responses. The survey technique is very
other extraneous variables could still be op- useful for identifying the average or typical
erating as causes of cheating—and they may response to a question, as well as the distri-
be confounded with class size and exam bution of responses within the population.
format. It is also useful for identifying how groups
As important as internal validity is, it is of respondents differ from one another.
not the only concern of the investigator. For instance, Prince-Gibson and Schwartz
Another concern is external validity. Exter- (1998) used a survey to test a set of hypothe-
nal validity is the extent to which a causal ses about gender differences in values. They
relationship, once identified in a particular predicted that men would more strongly
setting with a particular population, can be value power, achievement, hedonism, and
generalized to other populations, settings, stimulation, whereas women would value
or time periods. Even if an investigator’s benevolence, conformity, tradition, and se-
results have internal validity, they may lack curity. The hypotheses were tested using
external validity; that is, they may hold only data from a probability sample of the Israeli
for the specific group and setting studied Jewish population. Contrary to predictions,
and not generalize to others. For instance, if there were no significant differences in the
the investigator studying cheating and class mean ratings of the importance of these val-
size conducted her study in a 2-year col- ues given by men and women. Because some
9780813349503.indb 35 5/16/14 1:50 PM

Working from a schedule of questions, the survey interviewer carefully records the answers given by a
respondent. © wdstock/iStock
research conducted in the 1970s and 1980s a significant role in American politics, for
did report such differences, the authors con- their findings increasingly influence public
cluded that their results suggest that men’s policy and the positions taken by political
and women’s values are converging. figures (Halberstam, 1979; Ratzan, 1989).
Presidential candidates used the results of
Purpose of a Survey. Investigators often such polls to guide their decisions during
conduct surveys to obtain self-reports from the 2012 election campaign, and they will
individuals about their own attributes— do so again in 2016.
that is, their attitudes, behavior, and expe- Investigators also often use surveys to
riences. Information of this type enables obtain data about various social problems.
investigators to discover the distribution of For instance, government agencies and in-
attributes in the population and to deter- dividual researchers have conducted sur-
mine whether a relationship exists between veys on sexual activity and pregnancy risk
two or more attributes of interest. among single women (Lindberg & Singh,
One form of survey—the public opin- 2008) and on alcohol and drug use by teen-
ion poll—has become very common in agers (Substance Abuse and Mental Health
the United States. Several organizations Services Administration, 2012). Informa-
specialize in conducting surveys that mea- tion about the extent of such activities and
sure the frequency and strength of favor- the people involved in them is requisite to
able or unfavorable attitudes toward pub- developing effective social policies.
lic issues, political figures and institutions, Finally, investigators often conduct sur-
and candidates for office. These polls play veys with the primary objective of making
9780813349503.indb 36 5/16/14 1:50 PM

basic theoretical contributions to social three dollars per completed survey. The
psychology. For instance, many studies of major disadvantage of questionnaires lies
socialization processes and outcomes, psy- in the response rate—the percentage of
chological well-being, discrimination and people contacted who complete the survey.
prejudice, attitude-behavior relationships, Whereas an interview study can obtain re-
and collective behavior have used survey sponse rates of 75 to 80 percent or more,
methods. mailed questionnaires rarely attain more
than a 50 percent response rate. Online sur-
Types of Surveys. There are two basic veys may have only a 20 percent response
types of surveys—those based on interviews rate. Because a high response rate is very
and those based on questionnaires. In an desirable, this is a significant disadvantage
interview survey, a person serves as an infor mailed questionnaires and online sur-
terviewer and records the answers from the veys.
respondents. To ensure that each respon- A compromise between interviews and
dent in the study receives the same ques- questionnaires is the telephone interview.
tions, the interviewer usually works from an This is the standard method used by public
interview schedule. This schedule indicates opinion polling organizations, such as Gal-
the exact order and wording of questions. lup and Roper. Investigators are using it in
In certain studies, however, the interviewer basic research as well. The telephone inter-
has flexibility in determining the exact or- view uses a trained interviewer to ask the
der and wording of questions, but he or she questions, but it sacrifices the visual feed-
is expected to make sure that certain top- back available in a face-to-face interview.
ics are covered. One advantage of using an It is cheaper (about $60 per completed
interview is that the interviewer can adjust interview, depending on length) than the
the questioning to the respondent. That is, face-to-face interview, although it typically
he or she can look for verbal or nonverbal involves a somewhat lower response rate
signs that the respondent does not under- (about 65 percent). Many surveys now use
stand a question and repeat or clarify the computer-assisted telephone interviewing
question as needed (Moore, 2004). (CATI). With CATI, the computer ran-
In a questionnaire survey, the questions domly selects and dials telephone numbers.
appear on paper or a computer screen, and Once a potential respondent is on the line,
the respondents read and answer them at the interviewer takes over and conducts the
their own pace. No interviewer is present. interview. He or she reads some questions
One advantage of questionnaires over in- and enters the answers directly into the
terviews is that questionnaires cost less to computer when the respondent gives them.
administer. The cost of a national survey In listing questions to ask, the computer
using trained personnel to conduct face- may alter later questions in light of earlier
to-face interviews is rather large; it can answers by the respondent.
run as much as $250 to $300 or more per The latest innovation is the web survey,
completed interview, although this varies using the Internet to collect survey data.
with the length of the interview and other Researchers prepare a questionnaire using
factors. In contrast, the same survey us- specially designed software and post it on
ing questionnaires mailed to respondents the web. Potential participants are recruited
would cost considerably less—maybe as either directly through targeted e-mail, or
little as $15 per completed form. The same by banners on relevant webpages. The soft-
survey posted online may cost only two or ware may allow some tailoring of the later
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questions to the person’s earlier answers, an sons earning less than $50,000 per year,
advantage over the printed survey. and Blacks and Hispanics were less likely to
Potential advantages include the oppor- have Internet access (File, 2013).
tunity to recruit people with specific char-
acteristics, or unique populations (Wright, Measurement Reliability and Validity. In
2005). Thus, a researcher in a racially ho- any form of research, the quality of mea-
mogenous community can recruit members surement is an important consideration. Of
of other racial/ethnic groups from around primary concern are the reliability and the
the United States (or indeed the world) for validity of the instruments. Reliability is
a study of prejudice. A researcher on a col- the extent to which an instrument produces
lege campus can move beyond the study of the same results each time it is employed to
students and recruit a more representative measure a particular construct under given
sample of adults of all ages. Further, one can conditions. A reliable instrument produces
recruit a large sample with a minimum of consistent results across independent mea-
effort. For example, one web survey of gays, surements of the same phenomenon. Reli-
lesbians, and bisexuals yielded 2,800 com- ability is a matter of degree; some instru-
pleted surveys in just 2 months (Mustanski, ments are highly reliable, whereas others
2001). Another advantage is that data are are less so. Obviously, investigators prefer
recorded in digital form, eliminating the instruments with high reliability and try to
need for coding handwritten material, facil- avoid those with low reliability.
itating a shortened analysis phase. There are several ways to assess the re-
Disadvantages include sampling issues. liability of an instrument. The first is to see
Respondents to online surveys self-select if people’s responses to an instrument are
and may not represent the spectrum of consistent across time. In this approach,
people in the group/population of interest. called the test-retest method, an investiga-
E-mail lists may include duplicates and in- tor applies the measuring instrument to
active addresses, inflating the apparent size the same respondents on two different oc-
of the group. Also, there is no guarantee casions, and then he or she compares the
that the person completing the survey is the first responses with the second responses.
person who was invited. If the correlation between the first and sec-
As we will discuss below, the quality of ond responses is high, the instrument has
data depends on the percentage of the sam- high reliability; if the correlation is low, the
ple members who complete the research. instrument has only low reliability.
Completion rates for printed/mailed sur- A second way to assess the reliability of
veys are low, sometimes less than 30 per- an instrument is to see if people’s responses
cent. Researchers believe that participants are consistent across items. This approach
are more likely to complete a web survey is called the split-half method. To illustrate,
because it is readily accessible and uses a suppose we have a scale of 20 questions
technology that is now widely used, espe- measuring psychological well-being. These
cially by younger people. Web surveys of questions ask the respondent about psycho-
undergraduate students at one university logical states, such as how often he or she is
may achieve a completion rate of 60 per- sad, nervous, depressed, tense, or irritable,
cent. At the same time, Internet users are and how often he or she has trouble concen-
not a random sample of the population, and trating, working, or sleeping. Assume that
so the sample may be biased by age, income, we administer all the questions to 300 male
or education. In 2011, persons over 65, per- respondents. To use the split-half method,
9780813349503.indb 38 5/16/14 1:50 PM

we would randomly divide the 20 questions ing the construct validity of an instrument
into two groups of 10, calculate a score for can be difficult, especially if the underlying
each respondent on each group of 10, and theoretical construct is highly abstract in
compute a correlation between the two nature. Suppose, for example, that an inves-
scores. A high correlation (if it occurs) pro- tigator’s theory includes an abstraction like
vides confirmation that the scale is reliable. “intellectual development.” The measure-
Just as findings must be valid, as dis- ment of this concept is somewhat prob-
cussed above, so must our measures. Does lematic, for there is no readily observable
the instrument actually measure the the- referent, no single behavior or occurrence
oretical concept we intend to measure? that the investigator can point to as indica-
There are several types of validity, includ- tive of intellectual development. The usual
ing face validity, criterion validity, and method of establishing the construct valid-
construct validity. First, an instrument has ity of an instrument is to show that the pat-
face validity if its content is manifestly sim- tern of correlations between respondents’
ilar to the behavior or process of interest. scores on the instrument and their scores
If a researcher wishes to measure the fre- on other variables is what would be ex-
quency of sexual intercourse, for example, pected if the underlying theory holds true.
the question “How often do you engage in
sexual intercourse?” has face validity. The The Questions. The phrasing of ques-
question “How often do you have sex?” has tions used in surveys requires close atten-
lower face validity, since “sex” includes be- tion by investigators. Subtle differences in
haviors other than intercourse. the form, wording, and context of survey
Second, an instrument has criterion questions can produce differences in re-
validity if we can use it to predict respon- sponses (Schwarz, Groves, & Schuman,
dents’ standing on some other variable of 1998). Creating good survey questions is as
theoretical or practical interest. Suppose, much art as science, but there are certain
for example, that an investigator is con- guidelines that help. First, the more precise
cerned with traffic safety on the roads and and focused a question, the greater will be
that she develops an instrument to distin- its reliability and validity. If a question is
guish good drivers from bad drivers. To expressed in vague, ambiguous, abstract, or
establish the instrument’s predictive valid- global terms, respondents may interpret it
ity, she first administers the instrument to in different ways, and this in turn will pro-
young people getting their driver’s license duce uncontrolled variation in responses. A
and then, several years later, checks their second consideration in formulating survey
driving records for moving violations. If the questions is the exact choice of words used.
drivers’ scores on the instrument correlate It is best to avoid jargon or specialized ter-
highly with their level of subsequent viola- minology unless one is interviewing a sam-
tions, the instrument has criterion validity. ple of specialists. Likewise, it is important
Third, an instrument has construct va- to adjust questions to the educational and
lidity if it provides a good measure of the reading level of the respondents. A third
theoretical concept being investigated by consideration is the length of questions.
the research. In general, an instrument will Several studies have shown that questions
have construct validity if it measures what of moderate length elicit more complete
people understand the concept to mean and answers than very short ones (Anderson &
if it relates to other variables as predicted by Silver, 1987; Sudman & Bradburn, 1974).
the theory under consideration. Establish- A fourth consideration is whether the
9780813349503.indb 39 5/16/14 1:50 PM

topic under investigation is potentially a attitude compares with the attitudes of oth-
threatening or embarrassing one (sex, alco- ers. The Likert scale, a technique based on
hol, drugs, money, and so on). In general, summated ratings, provides such informa-
threatening questions requiring quantified tion (Likert, 1932).
answers are better asked by presenting a Box 2.1 includes a two-item Likert scale.
range of alternative answers (say, 0, 1–5, Each possible response is given a numerical
6–10) than by asking a question requiring score, indicated in parentheses. We would
an exact number (Rea & Parker, 1997). assess the respondent’s attitude by adding
his or her scores for both items. For exam-
Measuring Attitudes. Perhaps the most ple, suppose you strongly agree with item 1
common purpose of surveys is to measure (+2) and strongly disagree with item 2 (+2).
people’s attitudes toward some event, per- Your score would be 4, indicating strong
son, or object. Because attitudes are men- opposition to premarital intercourse. Your
tal states, they cannot be directly observed. roommate might strongly disagree with the
Therefore, to find out someone’s attitude, statement that people should wait until they
we usually ask them. marry (–2) and might also disagree that pre-
The most direct way of finding out marital sex strengthens a marriage (+1). The
someone’s attitude is to ask a direct ques- resulting score of –1 indicates a slightly pos-
tion and record the person’s answer. This itive view of premarital intercourse. Finally,
is the way most of us study the attitudes of someone who strongly disagrees with item 1
the people with whom we interact. It is also (–2) and agrees with item 2 (–1) would get a
the technique used by newspaper and tele- score of –3 and could be differentiated from
vision reporters. To make the process more a person who received a score of –4.
systematic, social psychologists use several Typically, a Likert scale includes at least
methods, including the single-item mea- four items. The items should be counter-
sure, Likert scales, and semantic differential balanced—that is, some should be positive
techniques. statements, and others should be negative
Single Items. The use of single ques- ones. Our two-item scale in Box 2.1 has this
tions to assess attitudes is very common. property; one item is positive, and the other
The single-item scale usually consists of a is negative. The Likert scale allows us to
direct positive or negative statement, and order respondents fairly precisely; items of
the respondent indicates whether he or this type are commonly used in public opin-
she agrees, disagrees, or is unsure. Such a ion polls. Such a scale takes more time to
measure is economical; it takes a minimum administer, however, and involves a scoring
of time and space to present. It is also easy stage as well.
to score. The major drawback of the single Semantic Differential Scales. Like most
item is that it is not very precise. Of neces- attitude scales, the single-item and Likert
sity, it must be general and detects only scales measure the denotative or dictionary
gross differences in attitude. Using the sin- meanings of the object to the respondent.
gle-item measure in Box 2.1, we could sepa- However, objects also have a connotative
rate people into only two groups: those who meaning, a set of psychological meanings
favor premarital abstinence and everybody that vary from one respondent to another.
else. For instance, one person may have had
Likert Scales. Often, we want to know not very positive experiences with sexual inter-
only how each person feels about the object course, whereas another person’s experi-
of interest but also how each respondent’s ences may have been very frustrating.
9780813349503.indb 40 5/16/14 1:50 PM

Box 2.1 The Measurement of Attitudes
Suppose you want to assess attitudes toward _____ Undecided (0)

premarital sexual behavior. Here are three tech- _____ disagree (–1)
niques you could employ. _____ Strongly disagree (–2)
2. I think having sex before marriage strengthens
Single Item
the marriage.
The single item is probably the most common
measure of attitudes. An example of this type is: _____ Strongly agree (–2)
_____ Agree (–1)
I think people should wait until they are _____ Undecided (0)
married to have sex. _____ disagree (+1)
_______ Yes _____ Strongly disagree (+2)
_______ No
_______ Not sure Semantic Differential Scale
The semantic differential scale consists of a num-
Likert Scale ber of dimensions on which the respondent rates
The Likert scale consists of a series of statements the attitude object. For example:
about the object of interest. The statements may Using the table below, rate how you feel
be positive or negative. The respondent indicates about premarital sexual intercourse on each
how much he or she agrees with each statement. of the following dimensions.
For example:
1. I think people should wait until they are
married to have sex.
_____ Strongly agree (+2)
_____ Agree (+1)
Semantic Differential Scale

good _____ _____ _____ _____ _____ _____ _____ bad
( 3) ( 2) ( 1) (0) ( 1) ( 2) ( 3)
weak _____ _____ _____ _____ _____ _____ _____ strong
( 3) ( 2) ( 1) (0) ( 1) ( 2) ( 3)
fast _____ _____ _____ _____ _____ _____ _____ slow
( 3) ( 2) ( 1) (0) ( 1) ( 2) ( 3)
negative _____ _____ _____ _____ _____ _____ _____ positive
( 3) ( 2) ( 1) (0) ( 1) ( 2) ( 3)
light _____ _____ _____ _____ _____ _____ _____ heavy
( 3) ( 2) ( 1) (0) ( 1) ( 2) ( 3)
exciting _____ _____ _____ _____ _____ _____ _____ boring
( 3) ( 2) ( 1) (0) ( 1) ( 2) ( 3)
9780813349503.indb 41 5/16/14 1:50 PM

The semantic differential scale (Osgood, tute the population of interest—that is, the
Suci, & Tannenbaum, 1957) is a technique set of all people whose attitudes are of inter-
for measuring connotative meaning. In est to the researcher. It would be virtually
using it, an investigator presents the re- impossible—and enormously expensive—
spondents with a series of bipolar adjective to interview all people in the population
scales. Each of these is a scale whose ends of White adults, so the researcher instead
are two adjectives having opposite mean- selects a sample, or representative subset,
ings. The respondent rates the attitude from that population to interview.
object on each scale. After the data are col- Sample selection is one of the most im-
lected, the researcher can analyze them by portant aspects of any survey. In some cases,
various statistical techniques. Analyses of investigators may use a particular sample
such ratings frequently identify three as- simply because it is readily available; sam-
pects of connotative meaning: evaluation, ples of this type are known as convenience
potency, and activity. Evaluation is mea- samples. A sample consisting of students
sured by adjective pairs such as good-bad taking a class, occasionally used in social
and positive-negative; potency, by weak- science research, is a convenience sample.
strong and light-heavy; and activity, by fast- Convenience samples have a major draw-
slow and exciting-boring. back—they usually lack external validity
The example in Box 2.1 includes two and do not enable the investigator to gener-
bipolar scales measuring each of the three alize the findings to any larger population.
dimensions. Scores are assigned to each For this reason, it is better research prac-
scale from +3 to –3; they are then summed tice to select some other type of sample—
across scales of each type to arrive at eval- one that is representative of the underlying
uation, potency, and activity scores. In the population. Only when the sample is rep-
example shown, scores on each dimension resentative can the results obtained from it
could range from –6 (bad, weak, and slow) (for example, information regarding racial
to +6 (good, strong, and fast). prejudice obtained from survey respon-
One advantage of the semantic differ- dents) be generalized to the entire popula-
ential technique is that researchers can tion. The nature of the sample, therefore,
compare an individual’s attitudes on three has a major impact on the external validity
dimensions, allowing more complex differ- of the survey.
entiation among respondents. Another ad- Two types of systematic samples are
vantage is that because the meaning it mea- commonly used in social psychological sur-
sures is connotative, it can be used with any veys. One is the simple random sample,
object, from a specific person to an entire wherein the researcher selects units—usu-
nation. This technique is also used to assess ally individuals—from the population such
the meaning of role identities (mother, doc- that every unit has an equal probability of
tor) and role behaviors (hug, cure) (Heiss, being included. To use this technique, the
1979; Smith-Lovin, 1990). Its disadvantages researcher needs a complete list of mem-
include the fact that it requires more time bers of the population. At a university,
to administer and to score. for example, she might obtain a list of all
students from the registrar. At the city or
The Sample. Suppose a survey researcher county level, she might use voter registra-
wants to ascertain the extent of prejudice tion lists. A frequent problem, especially
toward Blacks among White adults in the when the population being studied is large,
United States. These White adults consti- is the absence of a complete list. Under
9780813349503.indb 42 5/16/14 1:50 PM

these circumstances, researchers usually areas, there may be still further stratifica-
fall back on some substitute, such as a tele- tion by size of urban area. The result will be
phone directory. Of course, this will limit numerous sampling units—population sub-
the population to which one can general- groups of known regional and residential
ize, because people who are poor or who type. Some units are then selected for study
move frequently may not have telephones, in proportion to their frequency in the en-
others may choose not to list their numbers tire population. Thus, one would sample
in the directory, and others only have cell more urban units from the Northeast than
phones. In 2012, only 66 percent of adults from the South or Midwest; conversely, one
in the United States had a landline phone. would select more rural units in the lat-
Persons under 25 and Hispanics were least ter regions. Finally, within each sampling
likely to have such phones (Blumberg & unit, people are selected randomly to serve
Luke, 2012). as respondents. Using this technique, one
Working from a complete list of the can represent the adult population of the
population, the researcher draws a random United States with a sample of 1,500 people
sample. A common way to do this is to and obtain responses accurate within plus
number the people on the list consecutively or minus 3 percent.
and then use a table of random numbers to
choose people for the sample. Once the re- Causal Analysis of Survey Data. Social
searcher has drawn a random sample, she psychologists have long used computers
must take steps to ensure that all the mem- to aid in the descriptive analysis of survey
bers of the sample are interviewed; in other data. In recent years, however, some social
words, the researcher must strive for a high psychologists have begun to use more so-
response rate. Without a high response rate, phisticated techniques to aid in the causal
the results of the survey will not be gener- interpretation of survey data. Analysis
alizable to the whole population. Bias may techniques of this type (such as LISREL
result if the people who participate in the and path analysis) require the investigator
study differ in some significant way from to postulate a pattern of cause-and-effect
those who refuse to participate. relations among a set of variables (Bollen,
If the population is very large, the investi- 1989; Jöreskög & Sörbom, 1979). The com-
gator may not be able to list all its members puter then estimates coefficients of effect
and draw a random sample. Under these from the data. These coefficients indicate
conditions, researchers frequently employ the strength of the relationships among the
a stratified sample. That is, they divide variables, and they provide a test of whether
the population into groups according to the causal linkages postulated by the theory
important characteristics, select a random are indeed present in the data. Using this
sample of groups, and then draw a sample approach, an analyst can test many alter-
of individuals within each selected group. native hypotheses. Typically, some hypoth-
For example, public opinion polls designed eses will turn out to be inconsistent with
to represent the entire adult population of the data, and the analyst can reject these in
the United States often use stratified sam- favor of alternative hypotheses that survive
ples. The population is first stratified on the test. One difficulty with this approach
the basis of region (Northeast, Midwest, is that for problems involving many vari-
South, Southwest, and West). Next, the ables (say, a dozen or more), there often
population within each region is stratified exist numerous alternative hypotheses that
into urban versus rural areas. Within urban are plausible. Although this process will
9780813349503.indb 43 5/16/14 1:50 PM

eliminate many hypotheses, more than one processes (positive interaction, frequency
may survive as tenable. and type of conflicts). The results indicated
that race and education were related to the
Panel Studies. One useful extension of the risk of divorce. Blacks were twice as likely to
survey technique is the longitudinal survey be divorced in year 14, and couples in which
or panel study, in which a given sample the wife had more education (12 years or
of respondents is surveyed at one point in more) were less likely to be divorced. Re-
time and then resurveyed at a later point. ports of destructive conflict by husband and
For instance, in a panel study, a sample of wife in earlier waves were related to subse-
respondents would be surveyed by tele- quent risk of divorce. Thus, both social con-
phone interview or questionnaire (this is ditions, such as the disadvantaged condi-
called the first wave of the panel). Then, tions of some Blacks, and interactional style
at some future time (say, 1 year later), the are related to divorce.
same respondents would be surveyed again In general, data from a panel study lend
(the second wave); the questionnaire items themselves somewhat more readily to
in the second wave will be similar to—or an causal interpretation than data from a sim-
extension of—those used in the first wave. If ple cross-sectional survey. The waves in the
desired, the same respondents could be sur- panel study provide a natural temporal or-
veyed again at a still later point in time (the dering among the variables, which usually
third wave), and so on. In principle, there provides increased clarity when interpret-
is no upper limit on the number of waves ing the results causally.
that might be included in a panel study, al-
though there are practical constraints, such Strengths of Surveys. Surveys can provide,
as the dollar cost of running the panel and at moderate cost, an accurate and precise
the difficulties in tracking down members description of the characteristics of a spe-
of the sample at various times. The waves cific population. When a social psycholog-
in a panel study can be spaced either closely ical researcher uses measures that are reli-
together or far apart in time, depending on able and valid, employs a sampling design
the study’s purpose. that guarantees representativeness, and
The usual objective of a panel study is to takes steps to ensure a high response rate,
determine whether various outcomes ex- the survey can produce a clear portrait of
perienced by respondents at later points in the attitudes and social characteristics of a
time are related to or determined by their population.
experiences, attitudes, and relationships Surveys also provide an effective means
at the earlier points in time. For instance, to study the incidence of various social be-
Orbuch, Veroff, Hassan, and Horrocks haviors. A survey asking people to report
(2002) used a panel study with four waves their behavior is usually more efficient and
to investigate the risk of divorce over a 14- cost-effective than observational studies of
year period. Initially, both members of 199 actual behavior. This is especially true for
White couples and 174 Black couples who behavior that occurs only infrequently or in
had recently married were interviewed. private settings.
Couples were contacted and re-interviewed Surveys are frequently used to test pre-
in years 3 and 7, and brief follow-up data dictions based on symbolic interaction the-
were collected in year 14. The purpose of ory, such as predictions about influences
the research was to assess the role of social on personal identity and self-esteem. These
conditions (race, income) and interpersonal methods are also used to test hypotheses
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about attitude structure and function based ural settings. For instance, researchers have
on cognitive theory. observed and recorded data about social in-
teraction between judges and attorneys in
Weaknesses of Surveys. As with any meth- the courtroom (Maynard, 1983), between
odology, there are certain drawbacks to the teachers and students in the classroom
survey technique. Both questionnaires and (Galton, 1987), between couples in infor-
interviews rely on self-reports by respon- mal settings (Zimmerman & West, 1975),
dents. Under certain conditions, however, between working-class boys and girls in
self-reports can be invalid sources of infor- grade school (Thorne, 1993), and between
mation. First, some people may not respond street vendors and passersby in Greenwich
truthfully to questions about themselves. Village (Duneier, 2001). Other studies have
This is not usually a major problem, but it focused on socialization. Lois (2003) spent
can become troublesome if the survey deals 3½ years observing a volunteer search and
with activities that are highly personal, il- rescue group, studying the process by which
legal, or otherwise embarrassing to reveal. individuals became willing to routinely risk
Second, even when respondents want to their lives—often in dangerous situations
report honestly, they may give wrong in- such as blizzards—to save others.
formation due to imperfect recall or poor Because field studies investigate social
memory. This can be a nettlesome prob- behavior in its natural setting, researchers
lem, especially in surveys investigating usually make efforts to minimize or limit
the past (for example, historical events or the extent to which they intrude on that
childhood). As an illustration, consider the behavior. In fact, field studies are usually
question “When were you last vaccinated?” less intrusive than surveys or experiments.
This may seem simple and straightforward, Whereas a survey often intrudes on people
but it often produces incorrect responses by asking for self-reports and an experiment
because many people cannot remember involves manipulation of the independent
the relevant dates. Third, some respon- variable(s) and random assignment to treat-
dents answering self-report questions have ment, a field study involves nothing more
a tendency to fall into a response set. That intrusive than recording an observation
is, they answer all questions the same way about the behavior of interest.
(for example, always agree or disagree) or Field studies differ in how the observers
they give extreme answers too frequently. If collect and record information. In some
many respondents adopt a response set, this studies, observers watch carefully while
will introduce bias into the survey’s results. the phenomenon of interest is occurring
and then make notes about their obser-
Field Studies and Naturalistic Observation vations from memory at a later time. The
advantage of recording afterward is that
Observational research—often termed a the observer is less likely to arouse curios-
field study—involves making systematic ity, suspicion, or antagonism in the partic-
observations about behavior as it occurs ipants. In other studies, the observers may
naturally in everyday settings. Typically, record field notes or make audiotapes at the
the data are collected by one or more re- same time that they observe the behavior.
searchers who directly observe the activity In still other field studies, researchers make
of people and record information about it. audio or video recordings of interactions,
Field studies have been used to investigate and then analyze the tapes later (Whalen &
many forms of social behavior in their nat- Zimmerman, 1987). Tape recordings may
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seem a superior alternative to the use of fully) as being from a nearby university,
human observers (who may have selective and they adopted the role of “quiet friend.”
perception), but this is not always the case. They did not affiliate with teachers and
The use of recordings maximizes the infor- avoided appearing to be authority figures
mation obtained, but it can also inadver- of any kind. This approach enabled them to
tently influence behavior if the participants establish sufficient rapport and trust with
discover that they are being taped. the students that they could ask questions
about the students’ beliefs regarding gender
Participant Observation. When the be- differences and observe how students’ be-
havior of interest occurs in public settings, havior patterns fostered gender inequality.
such as restaurants, courtrooms, or retail
stores, researchers can simply go to the set- Unobtrusive Measures. Field studies
ting and observe the action directly. The re- sometimes use unobtrusive measures,
searchers do not need to interact with the which are measurement techniques that do
people being observed or reveal their iden- not intrude on the behavior under study and
tities. However, when the behavior of inter- that avoid causing a reaction from the peo-
est is private or restricted in nature (such as ple whose behavior is being studied (Webb,
intimate sexual activity, use of illegal drugs, Campbell, Schwartz, & Sechrest, 1981). For
or recruiting new members for a cult), ob- example, some unobtrusive measures rely
servation is usually more difficult. To inves- on the physical evidence left behind by peo-
tigate activities of this type, researchers oc- ple after they have exited from a situation.
casionally use the technique of participant One illustration is the analysis of inven-
observation. In participant observation, tory records and bar bills to unobtrusively
members of the research team not only measure the alcohol consumption patterns
make systematic observations of others’ beat various nightclubs and bars (Lex, 1986).
havior but also interact with them and play Another investigator discovered that the
an active role in the ongoing events. Fre- rate at which vinyl floor tiles needed re-
quently, the fact of being an active partic- placement in the Chicago Museum of Sci-
ipant enables the investigators to approach ence and Industry was a good indicator of
and observe behavior that otherwise would the popularity of exhibits.
be inaccessible. In participant observation,
researchers usually do not engage in overt Strengths and Weaknesses of Field Stud-
coding or any other activity that would dis- ies. Like any research method, field studies
rupt the normal flow of interaction. In some have both strengths and weaknesses. A ma-
instances, they may even need to use an as- jor strength is that observational techniques
sumed identity, lest their true identity as in- allow researchers to study social activity in
vestigators disrupt the interaction. real-world settings. Careful observation can
One study (Eder, 1995) used observa- provide a wealth of information about be-
tional techniques combined with participa- havior as it actually occurs in natural set-
tion to investigate adolescent school culture tings. These data can be used to investigate
in a Midwestern community. To observe ideas about social interaction drawn from
interaction patterns and topics of conversa- role theory or symbolic interaction the-
tion among junior high school students, the ory. Moreover, because these techniques
investigators participated over an extended are relatively unintrusive, investigators can
period of time in students’ lunchroom use them to investigate sensitive or private
groups. They identified themselves (truth- behaviors—such as drug use or sexual ac-
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tivity—that would be difficult to address Archival Research and Content Analysis

through intrusive methods like surveys or
experiments. Although social psychological researchers
Many field studies involve only one pe- often prefer to collect original data, it is
riod of observation, however long that pe- sometimes possible to test hypotheses and
riod may be. Burawoy (2003) suggests that theories by using data that already exist.
a focused revisit to a site can serve several The term archival research denotes the
purposes, one of which is to study social acquisition and analysis (or re-analysis) of
change. A revisit to a factory 32 years after information collected previously by others.
the original observational research identi- When archival data of suitable quality ex-
fied significant changes in the interaction ist, a researcher may decide that analyzing
between supervisors and workers. The re- them is preferable to collecting and ana-
searchers were able to relate the changes lyzing new data. Archival research usually
observed in this factory to national trends costs less than alternative methods.
in labor relations over the 32-year period.
Weaknesses of field studies include their Sources. There are many sources of archi-
sensitivity to the specific recording meth- val data. In the United States, one import-
ods used. Observations recorded after the ant source is government agencies. The
fact are often less reliable and valid than Census Bureau makes available much of the
those recorded on the spot or those based data it has collected over the years. Cen-
on audio or videotaping. Furthermore, the sus data are a rich source of information
validity of the observations may depend in about the U.S. population; they often in-
part on the identities that the investigators clude repeated measures taken at different
publicly project while making their obser- points in time, which allow an investigator
vations; validity may be destroyed if the re- to assess historical trends. The Bureau of
searchers have been operating covertly and Labor Statistics, the Federal Bureau of In-
the subjects suddenly discover that they are vestigation, and other agencies also release
under observation. Then, too, the external data to investigators. A second important
validity of field observation studies can be source of archival data in the United States
problematic, because research of this type is the data banks maintained at various
frequently focuses on only one group or or- large universities. These archives serve as
ganization, or on a sample of interactions locations where researchers can deposit
selected for convenience. data they have collected so others can use
In some cases, field investigators do not them. They include, among others, the In-
get informed consent from the people be- teruniversity Consortium for Political and
ing observed prior to the collection of data. Social Research and the Data Archive on
Permission for using the data is sought only Adolescent Pregnancy and Pregnancy Pre-
after the behavior has been observed or the vention. There are also several archives of
conversations tape-recorded. Some people public opinion data, enabling researchers
construe this as a serious drawback and ob- to track attitude change across time. Fore-
ject to participant observation on ethical most among these is the General Social
grounds. Of course, this concern has to be Survey-NORC archive. A third source of
weighed against the fact that if permission archival data—less used by social psychol-
were sought in advance, the behavior under ogists but still important—is formal orga-
investigation might never occur or might nizations such as insurance companies and
take a different form. banks. These typically entail over-time data
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with respect to various measures of finan- such issues as whether the depiction of
cial and economic performance. A fourth older people is distorted in American me-
source of archival information for research dia (Dahmen & Cozma, 2009) and the rela-
is news media. Newspaper and news mag- tionship between the mortality rates associ-
azine articles are a rich source of infor- ated with a disease, for example, AIDS, and
mation about past events. For instance, an newspaper coverage of that disease (Adel-
investigator wishing to study the reactions man & Verbrugge, 2000).
of those affected by a natural disaster, such When a researcher conducts a content
as the impact of Hurricane Ike (September analysis, the first step is to identify the in-
2008), the third costliest in U.S. history, formational unit to be studied—is it the
might use newspapers as a data source. Un- word, the sentence, the paragraph, or the
fortunately, between January 2007 and July article? The second step is to define the cat-
2010, 166 newspapers in the United States egories into which the units will be sorted.
stopped publishing, reducing the availabil- A third step is to code the units in each
ity of this source for recent events. Other document into the categories, and the final
types of printed material (for example, cor- step is to look for relations within the cate-
porate annual reports) can also provide ar- gorized data.
chival data usable in research. As an example of content analysis, con-
sider a study of the relationship between
Content Analysis. In some cases, an in- rhetorical forms of speech and applause
vestigator relying on newspaper articles, from the audience (Heritage & Greatbatch,
government documents, or annual reports 1986). The investigators hypothesized that
as archival sources can use the information political speakers will use certain rhetorical
directly as it appears. All the investigator forms—for example, a three-element list—
has to do is extract the information and to signal the audience when to applaud.
analyze it, usually by computer. In other The raw data in this study were the texts of
cases, however, the investigator faces the 476 speeches delivered by British political
problem of how to interpret and code the leaders at party meetings. The researchers
information from the source. Under these carefully defined the rhetorical devices and
circumstances, he or she may use content identified their use in the speeches. Then
analysis, which involves undertaking a sys- they counted the number of times that
tematic scrutiny of documents or messages the speakers used each device and noted
to identify specific characteristics and then whether the audience responded immedi-
making inferences based on their occur- ately to each use with applause. The results
rence. For example, if newspapers serve as showed that applause was much more likely
the source, one could use content analy- to occur immediately after the use of certain
sis to code the reportage from newspaper rhetorical devices (such as a three-element
articles into a form suitable for systematic list) than at other points in the speech.
statistical analysis.
Researchers have used content analy- Strengths and Weaknesses of Archival
sis to investigate a wide variety of topics. Research. One significant advantage of
Some studies, for instance, have analyzed archival research is its comparatively low
the content of personal advertisements on cost. By reusing existing information, the
the Internet placed by gay men, lesbians, investigator avoids the cost of collecting
and heterosexual men and women (Lever new data. A second advantage is that by us-
et al., 2008). Other studies have addressed ing information already on hand, an inves-
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tigator may complete a study more quickly treatments—that is, to the different
than otherwise. A third advantage is that an levels of each of the independent
investigator can test hypotheses about phe- variables.
nomena that occur over extended periods
of time. In some cases, authorities have kept The term random assignment denotes the
records (such as marriage licenses) for de- placement of participants in experimental
cades or even centuries, and these can serve treatments on the basis of chance, as by
as a basis for investigating various questions flipping a coin or using a table of random
(such as who marries whom). numbers. Random assignment is desirable
One major disadvantage of archival re- because it mitigates the effects of extrane-
search is the lack of control over the type ous variables. By using random assignment,
and quality of information. An investigator the researcher creates groups of partic-
must work with whatever others have col- ipants that are equivalent in all respects
lected. This may or may not include data on except their exposure to different levels of
all the variables the investigator wishes to the independent variables. This removes
study. Moreover, there may be doubts re- the possibility that these groups will differ
garding the quality of the original research systematically on extraneous variables such
design or the procedures used for collect- as intelligence, personality, or motivation.
ing data. A second disadvantage of archi- Thus, random assignment enables the in-
val research is that creating a reliable and vestigator to infer that any observed dif-
valid content analysis scheme for use with ferences between groups on the dependent
records can be difficult, especially if the re- variable are due only to the effects of the
cords are complex. independent variable(s) (or chance), not to
A third disadvantage is that some sets of extraneous variables (Haslam & McCarty,
records contain large amounts of inconsis- 2004).
tent or missing information. Obviously, this Whereas researchers manipulate the in-
will hinder the study and limit the validity dependent variables in an experiment, they
of any findings. simply measure the dependent variable(s).
Experimenters can measure dependent
Experiments variables in many ways. For example, they
can monitor participants’ neural or physi-
The experiment is the most highly con- ological arousal, administer short question-
trolled of the research methodologies naires that assess participants’ attitudes,
available to social psychologists, and it is a record the interactions that occur between
powerful method for establishing causality participants, or score the participants’ per-
between variables. For a study to be a true formance on tasks. The exact type of mea-
experiment, it must have two specific char- surement used in the experiment will de-
acteristics: pend on the nature of the dependent vari-
able(s) of interest.
1. The researcher must manipulate one
or more of the independent variables Laboratory and Field Experiments. It is
that are hypothesized to have a causal useful to distinguish between laboratory
impact on the dependent variable(s) experiments and field experiments. Labo-
of concern. ratory experiments are those conducted in
2. The researcher must assign the a laboratory setting, where the investiga-
participants randomly to the various tor can control much of the participants’
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physical surroundings. In the laboratory, the internal validity of field experiments is

the investigator can determine which stim- often lower than in comparable laboratory
uli, tasks, information, or situations the par- experiments.
ticipants will face. This control enables the
experimenter to manipulate the indepen- Conduct of Experiments. To illustrate how
dent variables, to measure the dependent investigators conduct experiments, con-
variables, to hold constant some known sider the following laboratory study, which
extraneous variables, and to implement sought to determine the impact of certain
the random assignment of participants to independent variables on whether one
treatments. For instance, if an investigator person will help another in an emergency
is studying the impact of verbal commu- (Darley & Latané, 1968). The investigators
nication on group productivity in a labo- conducted the study at a university in New
ratory setting, he may wish to restrict the York City. Male and female students serv-
interaction among participants. To do this, ing as participants came to the laboratory to
he might limit communication to written participate in a discussion of problems they
notes or verbal messages sent by electronic had encountered in adjusting to the univer-
equipment. This practice not only would sity. The experimenters placed each partic-
eliminate the possibly contaminating influ- ipant in a separate room in the laboratory
ence of nonverbal communication, but also and instructed them to communicate with
would permit the content of any messages other participants via an intercom. The ra-
to be analyzed later by the experimenter. tionale given was that this procedure would
Field experiments, in contrast with lab- permit them to remain anonymous while
oratory experiments, are studies where discussing personal problems.
investigators manipulate variables in nat- The independent variable was the num-
ural, nonlaboratory settings. Usually, these ber of other persons who the participant be-
settings are already familiar to the partici- lieved were participating in the discussion
pants. Investigators have used field exper- (and who would, therefore, later witness
iments to study topics ranging from pay an emergency). Depending on experimen-
inequity in large bureaucratic organizations tal treatment, participants were told there
to altruistic behavior on street corners and were one, two, or five other participants.
in subway cars. Compared with laboratory Participants were randomly assigned to the
experiments, field experiments have the various levels of this independent variable.
advantage of high external validity. When The discussion proceeded with each
conducted in natural and uncontrived participant speaking in turn over the in-
settings, they usually have greater mun- tercom for 2 minutes. Thus, depending on
dane realism than laboratory experiments. the experimental treatment, the participant
Moreover, participants in field experiments heard the voices of one, two, or five others.
may not be particularly conscious of their In reality, the participant was hearing a tape
status as experimental participants—a fact recording of other people, not the voices
that reduces participants’ reactivity. The of actual participants. (This was the real
primary weakness of field experiments, of reason for putting participants in separate
course, is that in natural settings, experi- rooms and having them communicate via
menters sometimes have difficulty manipu- intercom.) One of these recorded voices
lating independent variables exactly as they admitted somewhat hesitantly that he was
would wish and often have little control subject to nervous seizures. In his second
over extraneous variables. This means that turn, he started to speak normally, but
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Experiments enable the investigator to manipulate independent variables and measure behavior in
various ways. Many studies have replicated Darley and Latané’s pioneering bystander intervention
research, discussed in the text. Some have been field experiments, where an emergency is staged in a
public area. As the photo suggests, most find that the more witnesses, the less likely anyone is to help.
© Shotshop GmbH/Alamy
suddenly his speech became disorganized. esis. The manipulated independent variable
Soon, he lapsed into gibberish and choking (number of witnesses) and the measured
sounds and then into silence. Evidently, an dependent variable (speed of helping re-
emergency was occurring. The participant sponse) were unambiguous. Confounds
realized that all participants could hear it, from extraneous variables could be ruled
although the intercom prevented them out due to the random assignment of par-
from talking to one another. ticipants to treatments. From these results,
The dependent variables were whether we can conclude that the number of wit-
the participant would leave the room to of- nesses has a causal effect on the speed of
fer help and how quickly he or she would do helping response.
so. Participants who elected to help the vic- Note, however, that although the exper-
tim typically came out of their room look- iment showed the causal effect to hold, it
ing for the victim. The experimenter timed did so only under the conditions prevailing
the speed of the participant’s response from in the laboratory. The causal effect may or
the beginning of the victim’s speech. The may not hold under other conditions. This
results verified the research hypothesis that can be problematic if the conditions that
the greater the number of witnesses, the existed in the laboratory setting are un-
less likely a participant was to offer help to common in daily life. (When, for instance,
the victim. was the last time you discussed personal is-
This carefully controlled experiment al- sues over an intercom with five strangers in
lowed a straightforward test of the hypoth- other rooms?) Thus, from this study alone,
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it is not clear whether we can generalize the as independent variables, so that they are
cause-and-effect findings from the labora- not confounded with the main independent
tory to everyday, face-to-face situations. variables of interest. Another technique is
The relationship between the number of (4) measuring extraneous variables and in-
others present and a person’s reaction to an cluding them in the data analysis as covari-
emergency might be different in other sit- ates of the independent variables.
uations. In principle, investigators can design
Although this experiment provides both laboratory experiments and field ex-
some answers regarding intervention in periments to have high internal validity. In
emergencies, it also raises further ques- practice, however, laboratory experiments
tions. Why, for instance, should the num- often have higher internal validity than
ber of witnesses present affect a person’s comparable field experiments. This hap-
willingness to help in an emergency? The pens because researchers have more control
researchers conducting this study were over extraneous variables in the laboratory
aware of this question and, based on data than in the field. Field experiments, how-
from a brief questionnaire administered ever, often surpass laboratory experiments
after the experiment, they proposed that with respect to external validity.
participants in larger groups were slower Experiments have been used to test many
to help because the responsibility for help- causal hypotheses drawn from social ex-
ing was more diffuse and less focused than change theory and cognitive theory. Hun-
in smaller groups. Although this diffusion dreds of experiments have been conducted
of responsibility hypothesis is interesting, in an effort to identify the causes of racial
we must note that this experiment did not and ethnic prejudice.
demonstrate it to be either true or false.
The experiment showed only that under Weaknesses of Experiments. There are
the conditions in the laboratory, the num- many social phenomena investigators can-
ber of witnesses present affected the partic- not study by this method. Oftentimes, they
ipants’ helping behavior. lack the capacity to manipulate the inde-
pendent variables of interest or to imple-
Strengths of Experiments. The strength of ment random assignment. Numerous eth-
experimental studies lies in their high level ical, financial, and practical considerations
of internal validity. This makes experiments in everyday life restrict what investigators
especially well suited for testing causal hy- can manipulate experimentally. For exam-
potheses. Experiments excel over other ple, we cannot randomly assign children to
methods (surveys, field observation, and so various types of parental socialization.
on) in this respect. Even when the independent variable(s)
Experiments have high internal validity can be manipulated, experiments face sev-
precisely because they control or offset all eral threats to internal validity. First, there
factors other than the independent variable is the possibility that the experimental ma-
that might affect the dependent variable. nipulation may fail. This might occur, for
Techniques to accomplish this include (1) example, if the participants interpret the
randomly assigning participants to treat- manipulation as meaning something other
ments, (2) holding constant known ex- than what the researcher intended. The
traneous variables, and (3) incorporating usual remedy for this problem is to use ma-
extraneous variables as factors in the re- nipulation checks—measures taken after
search design—that is, manipulating them the manipulation that show whether the
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Box 2.2 using research to Answer Questions
• What makes people fall in love? What makes study people’s experience. So we might use the
them fall out of love? method of collecting personal narratives or sto-
• What causes harmful or aggressive behavior? ries, and conducting a content analysis of the
stories. We could request that people “Write a de-
In Chapter 1, we suggested that social psychol-
scription of the most recent love relationship that
ogy answers these questions by applying the
you experienced. describe how you met, what
methods of science. So how might we answer
happened in the early days and weeks of the re-
these questions, using the research methods dis-
lationship, how you fell in love, and where your
cussed in this chapter?
relationship is now.” Obviously, we would want
Consider the questions about love. First, we
these narratives from people who are or have re-
need to define love. Since love is something peo-
cently been in love; we might recruit such people
ple experience, we could begin with a survey. We
by newspaper ads or flyers on bulletin boards or
could ask open-ended questions, such as:
posts on websites.
• Have you ever been in love? We would read a sample of the stories and
• How did you know you were in love? try to develop a set of coding categories that
• What does it feel like to be in love? capture the content of the stories. For example,
categories for describing how people met could
We would want to ask these questions of an
include school, work, party, bar, music concert,
appropriate sample, so we might choose young
sports event, introduction by friends/relatives,
adults (college students?). After gathering an-
and religious services. Then we would train at
swers from many respondents, we would study
least two coders to use our categories and “score”
the answers carefully, looking for common
each narrative. Suppose the results showed that
themes in the answers to each of the three ques-
one-half of the women and one-third of the men
tions. If we were able to identify certain themes,
met through an introduction; what would that
we could then construct a scale, such as the one
suggest about how people fall in love? What if 40
in Box 12.3.
percent of the men and women met at a bar?
Now we can turn to the question of what
makes people fall in love. Again, we want to
participants perceived the manipulation tation or mental set to the experiment and
as intended. Use of manipulation checks is then something in the experimental situa-
routine and widespread in social psycholog- tion activates that expectation, causing the
ical experiments. Similar checks are used in participants to emit the role-defined behav-
surveys to ensure that participants under- ior. To prevent this, some designs disguise
stood directions or questions as intended. the nature of the research and the research
Another threat to the internal validity hypothesis by providing a cover story—a
of experiments is the existence of demand plausible, albeit false, description of its
characteristics (also called subject effects). purpose.
This refers to the possibility that partici- Another threat to internal validity is
pants may interpret certain subtle cues in experimenter effects. This refers to the
the experimental setting as requiring par- possibility that an experimenter may ex-
ticular responses (Aronson et al., 1998). A pect participants to behave in a particular
subject effect occurs, for instance, when manner (aggressively, cooperatively, and
participants bring a stereotyped role expec- so on) and may unwittingly telegraph these
9780813349503.indb 53 5/16/14 1:50 PM

expectations to the participants (Rosen- previously discussed study where the ex-
thal, 1966, 1980). The expectations com- perimenters staged an emergency in the
municated to participants will likely influ- laboratory. Many participants were nervous
ence their behavior. This can be a serious and expressed concern when they came out
problem, especially if the expectations of their room looking for the supposed vic-
conveyed by the experimenter change as tim. Most expressed surprise when they
a function of the experimental treatment. later learned that the seizure was simulated,
People designing an experiment can use not genuine.
several techniques to minimize or elimi- There is no single solution to the prob-
nate experimenter effects. First, they can lem of establishing high experimental real-
restrict the experimenters’ contact with the ism. Some investigators use a combination
participants and standardize their behavior of laboratory experiments and field exper-
in the experimental setting. This will limit iments when investigating a phenomenon.
the opportunities to transmit expectations. This approach is often successful, for the
Second, they can keep the research person- field experiments provide the mundane re-
nel “blind” regarding the hypotheses under alism that the laboratory experiments lack.
study and the treatment to which each par- Other investigators simply note that they
ticipant is assigned. Third, they can use a are more concerned with experimental re-
research design with two or more groups alism than with mundane realism. If the
of experimenters, each holding a different situation is real and involving to the partic-
hypothesis concerning the study. Analysis ipants, they maintain, then the behavior of
of the data from such a design will show the participants is real and worthy of study.
whether experimenter effects are present
or absent. Comparison of Research Methods
Beyond internal validity, experiments
also face problems with external validity. We have discussed a variety of research
Some experiments take place in settings methods—surveys, naturalistic observa-
that seem artificial to participants and have tion, archival research, and laboratory and
low apparent realism. This is often true of field experiments. Table 2.1 summarizes
laboratory experiments, although less true the strengths and weaknesses of each re-
of field experiments. One useful distinc- search method. As this table indicates, no
tion is that between mundane realism and one method of empirical investigation is
experimental realism (Aronson, Ellsworth, best for all purposes. A method’s appropri-
Carlsmith, & Gonzales, 1990). Mundane ateness depends on the phenomenon under
realism is the extent to which the exper- study and on the research characteristics
imental setting appears similar to natural, most important to the investigator.
everyday situations. Experimental realism, Surveys, which provide a useful way of
in contrast, is the impact the experimen- obtaining an accurate description of the
tal situation creates—that is, the degree to attributes of some population, usually have
which the participants feel involved in the at least moderate internal and external va-
situation. lidity, and they pose few ethical problems.
Low mundane realism need not imply Field studies relying on observational tech-
low experimental realism. A laboratory niques will tend to have comparatively low
study can have low mundane realism but internal validity and may confront a variety
high experimental realism. Participants of ethical issues, but they may still be the
were highly involved, for example, in the best way to investigate previously unex-
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TABle 2.1 strengths and Weaknesses of Research Methods

MeThoD
SurveY oBServATIonAl ArChIvAl lABorATorY FIelD exPerIMenT
STuDY reSeArCh exPerIMenT
Internal Validity Moderate Low Low High Moderate

External Validity Moderate Moderate Moderate Moderate High
Investigator
Moderate Moderate Low High Moderate
Control
Intrusiveness of
Moderate Moderate Low Moderate Low
Measures
difficulty of
Moderate Moderate Low Moderate High
Conducting Study
Ethical Problems Few Many Few Some Some
Note: Entries in the table indicate the strength of the research methods with respect to the various concerns (validity, con-
trol, intrusiveness, and the like).
plored social phenomena in their natural analysis, the researcher performs three
settings. Laboratory experiments, which steps:
can be especially useful in testing causal hy-
potheses, are generally high in internal va- 1. The researcher locates all previous
lidity, but they may pose some ethical prob- studies on the question. Today, this
lems (especially if deception is used). is typically done using computerized
searches of libraries and databases.
Meta-Analysis It should also include a canvas of
researchers known to have worked
Social psychologists have been conducting in the area to identify unpublished
empirical research for more than a century. research.
There have been dozens and sometimes 2. For each study, the investigator
hundreds of studies of some phenom- computes a statistic that measures
ena. Unfortunately, the results of differ- how big the difference was, say,
ent studies on a specific question do not between those who did and those
always agree. For instance, some studies who did not interact with members
show that contact with members of a group of the group, and what the direction
produces more positive attitudes (reduces of the difference was (whether those
prejudice) toward that group; other studies who had contact were more or less
find that contact has no effect on attitudes. prejudiced). This statistic is called d.
Meta-analysis is a technique that allows an The formula for it is
investigator to bring order out of this ap-
parent chaos. Mc – Mnc
d=
Meta-analysis is a statistical technique s
that allows the researcher to combine the
quantitative results from all previous stud- where Mc is the mean or average
ies on a question to determine what, col- score for the participants who
lectively, they say. In conducting a meta- had contact and Mnc is the average
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score for those who did not; s is the group(s) being studied. For example, Or-
standard deviation of the scores of all buch and colleagues (2002), in developing
participants. The standard deviation the longitudinal study discussed earlier,
is a measure of how much variability assumed that the risk of divorce for Black
there is in the scores. The d statistic couples is influenced by past and present
tells us—for this one study—how social and economic conditions faced by
big the difference between the two Blacks. The measures must be linguistically
groups of participants was relative to equivalent—that is, be worded so that they
the variability in scores. are understood in the same way by all par-
3. The researcher averages all the values ticipants; if the participants speak a differ-
of d over all the studies that were ent primary language from that of the in-
located. This average d value tells strument, a careful process of translation
what the direction of the difference is and independent back translation should
in attitudes between those who do and be employed to produce equivalent instru-
do not have contact with the group ments. Measures should be standardized
and how large the difference is for all or interpreted using data from the pop-
the studies combined. A general guide ulation(s) being studied; for example, re-
is that a d of .20 is a small difference, a searchers should not use score distributions
d of .50 is a moderate difference, and a obtained from majority samples to interpret
d of .80 is a large difference. the scores of minority populations unless
they have been shown to be equivalent. In
We include the results of a number of meta- this example (Orbuch et al., 2002), the mea-
analyses throughout the book. sures of positive interaction and of conflict
had been used in the earlier waves of the
research, and their applicability to both
reSearch In dIverSe PoPulatIonS Blacks and Whites had been demonstrated.
If the researcher’s intent is to character-
For much of the twentieth century, the par- ize groups or cultures, the samples studied
ticipants in research by social psychologists must be representative. If they are not, it
were often White, often middle-class, and should be noted in any reports of the re-
often college students. In the past 30 years, search, and the results should be interpreted
there has been increasing interest in study- accordingly. Whereas the samples in this
ing racial and ethnic minority groups in the study (Orbuch et al., 2002) were not repre-
United States, and members of other cul- sentative of Blacks or Whites, they did ap-
tures around the world. It is important that pear to represent the population of couples
research in such groups meet the standards marrying for the first time in both groups.
of internal and external validity discussed Finally, the research team should include
earlier. This requires that we give careful either researchers who are members of the
consideration to the methods we use and group(s) or persons who are culturally com-
be willing to adapt or change them. petent based on supervised training and ex-
Much research is based on theory. The perience (CNPAAEMI, 2000).
theories and assumptions on which we base Culture refers to an intersubjective
studies of diverse groups should take into (shared) set of schema, attitudes, and values
account the cultural history and present that members use to perceive and under-
social and economic circumstances of the stand the world. When we conduct research,
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Box 2.3 Crowdsourcing Social Psychological research
Crowdsourcing refers to “the practice of obtaining decision-making problems—and measuring the

needed services, ideas, or content by soliciting dVs with questions or scales, it can be done on-
contributions from a large group of people, and line. In this case, each experimental condition is
especially from an online community” (http:// one HIT, and the researcher specifies how many
en.wikipedia.org/wiki/Crowdsourcing). Employ- “assignments” (participants) are allowed for each
ers needing services, and so forth, post requests HIT. Again, the researcher can specify prerequi-
for workers to provide what they need, with or sites, or even have potential workers complete
without compensation. Online solicitation of a screening questionnaire or practice items. For
contributions can provide access to a large num- example, one could conduct a bystander effect
ber of people who may complete the task very experiment on AMT by providing a story or video
quickly. One widely used online platform is Ama- of a person suffering a seizure or being attacked;
zon’s Mechanical Turk (AMT). Requesters can post there could be four versions, varying the setting
various tasks using templates provided by the (university classroom, shopping mall) or gender
software, solicit workers to complete the tasks, of person needing help. The dV would be mea-
and offer compensation to those who complete sured by a series of questions about whether the
it. The task is referred to as a HIT (human intelli- participant would intervene or help. Many lab-
gence task). Social psychologists have begun to oratory experiments are now presented “live” to
employ AMT in conducting both online surveys participants on laptop computers using digitized
and experiments. materials and recording the responses. It is easy
A researcher can post a survey on AMT just as to transfer such protocols to the AMT platform.
he or she would post it on a university server. The AMT has several advantages as a research
researcher creates a description of the HIT, which site. It provides access to a very large participant
is posted on a list. Persons looking for work read pool (more than 100,000 people) and a stream-
the list and select the HITs they want to complete. lined recruitment procedure (Buhrmester et al.,
The researcher can list prerequisites for complet- 2011). Research indicates that AMT participants
ing the HIT, such as age, gender, and so on. AMT are demographically diverse, certainly more di-
includes a payment mechanism. The researcher verse than an undergraduate subject pool. Also,
can deposit an amount of money in an online ac- the data obtained (personality scales) are as re-
count, specify the compensation to be provided, liable as data obtained by traditional methods.
and AMT will transfer the compensation to the Participation rates are affected by task length
worker’s account upon completion of the task. If and compensation rate. A final advantage is fast
s/he wants to, the requester can specify that the cycles of developing theory, collecting data, re-
worker’s contribution be reviewed for quality/ vising theory, and collecting more data (Mason &
completeness before payment is transferred, giv- Suri, 2012). Like other online data collection, the
ing the researcher some quality control. researcher has little control over the context in
It is also possible to conduct experiments which the data is collected (classroom, bedroom,
on AMT. If the independent variable can be ma- frat party), and must rely on the participant’s re-
nipulated by exposing groups of participants to port of “who” she or he is.
different information—different texts, images,
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it is important that the results reflect the pants’ rights. Finally, we consider potential
culture of the group(s) being studied. Some benefits to participants in research.
suggest that this requires that quantitative
research be supplemented with methods fo- Potential Sources of Harm
cused on the cultural meanings that group
members attribute to the quantitative mea- Harm to participants in research can take
sures. For example, a study of differences a variety of forms, including physical harm,
in gender role used scores on the Bem psychological harm, and harm from breach
Sex-Role Inventory to compare a sample of of confidentiality. We will discuss each of
European-American women with a sample these.
of Women of Color (Landrine, Klonoff, &
Brown-Collins, 1995). There were no sig- Physical Harm. Exposure to physical harm
nificant differences between the groups in in social psychological research is uncom-
self-rating on traits such as “feminine,” “as- mon. Investigations to measure the effects
sertive,” and “independent.” Following the of stress do sometimes employ an exercise
self-rating items were questions designed to treadmill or tasks where participants im-
measure the meaning of these words to the merse one hand in ice water. As a precau-
respondent. Responses to these questions tion, investigators usually screen prospec-
revealed differences in meaning between tive participants to exclude those with rel-
the groups. The most common meaning evant medical conditions. At the onset of a
of “assertive” among European-American study, investigators are expected to inform
women was “standing up” for themselves, the participants about any risks so that they
while among women of color it meant say- can decide whether they might be harmed
ing what was on their mind. Thus, under- by participating. In studies involving phys-
standing differences across groups requires ical stress, investigators typically monitor
research designs that will capture relevant participants for adverse effects throughout
aspects of the cultures of the groups. the research.
Psychological Harm. A more common

ethIcal ISSueS In SocIal risk in social psychological research is psy-
PSychologIcal reSearch chological harm to participants. This risk
is present in studies where participants
As important as the methodological issues receive negative information about them-
are the ethical issues involved in research selves. For example, a not uncommon ex-
on humans. There is a consensus among perimental manipulation is to give partic-
investigators and others affiliated with the ipants false feedback about their physical
scientific community that people who par- attractiveness, about others’ reactions to
ticipate in research have certain rights that them, or about their performance on var-
must be respected. In some cases, protect- ious tests or tasks. Investigators can use
ing those rights requires investigators to such feedback to raise or lower partici-
limit or modify their research practices. pants’ self-esteem, to induce feelings of ac-
In the following discussion of ethical is- ceptance or rejection by others, or to create
sues, we focus first on potential sources of perceptions of success or failure on import-
harm to participants. Then we discuss variant tasks. These manipulations are effective
ous safeguards, such as risk-benefit analysis precisely because they do influence the par-
and informed consent, to protect partici- ticipants’ self-perception.
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Negative feedback may cause psycholog- sexual behaviors, past physical or psychi-
ical stress or harm, at least temporarily. For atric illnesses, or other sensitive personal
this reason, some investigators believe that matters. It also arises in observational stud-
such techniques should not be employed in ies of deviant or criminal activities.
research. Others believe, however, that they One important precaution against breach
are acceptable and may be used if alterna- of confidentiality is to avoid including on
tive, less harmful manipulations are not the research team any people who are apt
available. When false feedback is used, an to have social contacts with respondents
investigator can limit any long-term harm- in other settings. Furthermore, many in-
ful effects by giving the participants a thor- vestigators refuse to attach any identifying
ough debriefing after the study, providing information such as names and addresses
the participants with a full description of to data after they have been collected. An-
the study, and emphasizing the falsity of the other approach is to keep any identifying
feedback. Debriefing should be done imme- information separate from questionnaires
diately after the study to minimize the time or behavioral records to prevent breaches
that participants labor under false impres- of confidentiality.
sions. Observational research often deals with
In 2003, a book was published by profes- a specific group or organization. During
sor of psychology J. Michael Bailey with the their investigation, researchers may gather
provocative title The Man Who Would Be information about the organization itself
Queen. The book presents in lay language and about various members. When these
research and thinking about many aspects findings are published, the investigators
of sexual behavior. One of the topics dis- typically refer to the organization by a
cussed is transsexualism. Bailey presents pseudonym and to members by role only.
the theory that some transsexuals are au- This practice usually suffices to prevent
togynephilic—that is, men who are eroti- outsiders from identifying the organiza-
cally attracted to the image of themselves tion and its members, although it may not
as a woman. The book included two “por- prevent members from identifying each
traits” of transsexuals. The book generated other. There are obvious risks to members’
a strong backlash (Dreger, 2008), leading to positions, reputations, or jobs within the
formal charges of misconduct by Bailey, in- organization if compromising information
cluding failure to inform transsexual people becomes known to other members. Box 2.4
with whom he interacted that he was per- lists some of the major ethical questions
forming research. If true, this is a serious that apply to many studies.
charge.
Institutional Safeguards
Breach of Confidentiality. Confidential-
ity is another important issue, especially in As noted earlier, researchers can take var-
survey and observational research. Inter- ious steps to prevent harm to participants.
viewers and observers are frequently able Although many people feel that voluntary
to identify participants, and they may recall self-regulation by researchers suffices to
details regarding the participants’ behavior protect the rights and interests of the par-
or responses to questions. Were confiden- ticipants, others feel that some agency other
tiality to be breached, the effects might be than the researcher should review proposed
damaging to the participants. This concern research designs. Accordingly, most insti-
arises especially in surveys inquiring about tutions have developed and put into place
9780813349503.indb 59 5/16/14 1:50 PM

Box 2.4 ethical Considerations in research Design
Before conducting a given study, investigators sion from the participants to use the tapes as
and members of review boards ask certain eth- a data source?
ical questions about the proposed research de- 5. What steps will the investigators take to pre-
sign and its impact on participants. Among the serve the confidentiality of information ob-
most commonly asked ethical questions are the tained about the participants?
following: 6. Will the investigators tell potential partici-
pants in advance about the foreseeable risks
1. Is it possible that participants in the study that their participation may entail?
might be harmed physically, for example, by 7. Will participants have a chance to ask ques-
strenuous exercise? tions about the study before they consent to
2. does the study give participants false infor- participate?
mation about themselves or use any other 8. Will the investigators inform the participants
form of deception? that they have the right to terminate their
3. does the study induce participants to engage participation at any time?
in behavior that might threaten their self-re- 9. At the end of the study, will the investigators
spect? fully debrief the participants and tell them
4. If the investigators make audio or videotapes about the real nature of the study and its pro-
of the participants, will they obtain permis- cedures?
safeguards against potentially harmful ef- tine physical or psychological examinations

fects of research. The two most important or tests (U.S. Department of Health and
safeguards are conducting a risk-benefit Human Services, 2010).
analysis and obtaining informed consent Furthermore, the regulations require
from all participants. each institution that receives funds from
federal agencies to establish an institutional
Risk-Benefit Analysis. The federal gov- review board responsible for reviewing
ernment is a major provider of funds for proposed research involving human par-
research in the social and biomedical sci- ticipants. The IRB (sometimes called a hu-
ences. Many federal departments and man subjects committee or research ethics
agencies have adopted common criteria committee) assesses the extent to which
for the review of research involving human participants in each proposed study will be
participants (the Common Rule, 45 Code placed at risk. As noted earlier, many social
of Federal Regulations 46 A). Under these psychological studies involve no foresee-
regulations, investigators and institutions able risks to participants, but if the mem-
are responsible for minimizing the risks, of bers of the board believe that participants
whatever type, to participants in research. might be harmed—physically, psycholog-
The rules encourage researchers to de- ically, or by breach of confidentiality—a
velop designs that expose participants to no detailed assessment must be made. That is,
more than “minimal risk”—meaning risk no the review board conducts a risk-benefit
greater than that ordinarily encountered in analysis, which weighs potential risks to
daily life or during the performance of rou- the participants against anticipated bene-
9780813349503.indb 60 5/16/14 1:50 PM

fits to the participants and the importance pant or others. (4) The investigators should
of the knowledge that may result from the provide information about which medical
research. The review board will not approve or psychological resources, if any, are avail-
research involving risk to participants unable to participants who are adversely af-
less it concludes that the risk is reasonable fected by participation. (5) The researchers
in relation to the benefits. should offer to answer questions about the
In the Bailey case, the IRB did not review study whenever possible. (6) The research-
his methods because his work did not fit the ers should inform potential participants
definition of research, “a systematic investi- that they have the right to terminate their
gation designed to develop or contribute to participation at any time.
generalizable knowledge” (U.S. Department In many survey and observational set-
of Health and Human Services, 2010, Sec. tings, investigators implement informed
42.102). His book from the outset was in- consent by giving this information to re-
tended as a popularization, not a research spondents orally. In experiments, especially
report. Since it was not research, he was those involving some risk to participants,
not required to obtain informed consent investigators usually obtain written consent
from those with whom he interacted. At from each participant.
the same time, the record suggests that he
was quite candid about his intent to write Potential Benefits
a book from his first meetings with them.
The case is a good example of the impor- In the process of obtaining informed con-
tance of lay people understanding the rules, sent, participants are usually told that they
and the researcher being clear about his/ will not benefit directly from the research.
her purpose in interaction. Although that is often true, there are excep-
tions. Field trials of new forms of treatment
Informed Consent. The other major safe- for physical or psychological problems may
guard against risk is the requirement that directly benefit participants if the new form
investigators obtain informed consent of treatment proves to be effective. Simi-
from all individuals, groups, or organiza- larly, participants in some studies may gain
tions that participate in research studies. insight into themselves and others. For ex-
Informed consent exists when potential ample, a longitudinal study of couples in
participants or respondents, on being in- premarital relationships included measures
formed by the investigators what their par- of how the men and women were affected.
ticipation will involve, agree willingly to Many participants reported that they paid
participate in the research. Specifically, six more attention to evaluating their relation-
elements are essential to informed consent. ship, and those who reported paying more
(1) The researchers should give potential attention reported more satisfaction with
participants an explanation of the purposes their relationship at the end of the yearlong
of the research and a brief description of study (Hughes & Surra, 2000).
the procedures to be employed; however, Some people believe that being ques-
they need not and usually do not tell the tioned about one’s sexual behavior is up-
participants the hypothesis of the research. setting, especially to youth. In one study,
(2) The investigators should inform partic- 15- to 25-year-olds completed such a ques-
ipants about any foreseeable risks of partic- tionnaire. Later, they rated how distressing
ipation. (3) The researchers should provide and positive the experience had been. Few
a description of any benefits to the partici- reported being distressed, and 89 percent
9780813349503.indb 61 5/16/14 1:50 PM

said surveys like this should be carried out. one or more independent variables and the
Persons who were distressed were those random assignment of participants to ex-
who reported experiencing sexual coercion perimental conditions or treatments. Some
in the past (Kuyper et al., 2012). experiments are conducted in a laboratory,
where the investigator has a high degree of
control, whereas others are conducted in
SuMMary natural settings.
This chapter discussed the research meth- Ethical Issues in Research. (1) There are
ods used by social psychologists to investi- several potential sources of harm to partic-
gate social behavior, activity, and events. ipants in research. These include physical
harm, psychological harm, and breach of
Characteristics of Research. (1) Objec- confidentiality. There are various steps that
tives of research include describing reality, individual investigators can take to pre-
identifying correlations between variables, vent or minimize such harm. (2) There are
testing causal hypotheses, and testing the- also institutional safeguards against harm.
ories. (2) Research is usually guided by a These safeguards require investigators to
hypothesis, which may specify a causal rela- minimize risks to participants and to obtain
tionship between two or more variables. (3) informed consent from participants. Insti-
Ideally, the findings of empirical research tutional review boards monitor research
should be high in both internal validity and designs to ensure that these conditions are
external validity. met by investigators. (3) In some cases, par-
ticipants in research may benefit directly
Research Methods. Social psychologists from their participation.
rely heavily on four methods—surveys,
naturalistic observation, archival research
based on content analysis, and experiments. List of Key Terms and Concepts
(1) A survey involves systematically asking
questions and recording the answers from archival research (p. 47)
respondents. Investigators use surveys to content analysis (p. 48)
gather self-reported information about atti- dependent variable (p. 34)
tudes and activities. The quality of the data experiment (p. 49)
obtained in a survey depends on the reli- external validity (p. 35)
ability and validity of the measures used. (2) extraneous variable (p. 34)
Naturalistic observation involves collecting field study (p. 45)
data about naturally occurring events. In a hypothesis (p. 33)
field study, observers view an event or activ- independent variable (p. 34)
ity as it occurs and then record their obser- informed consent (p. 61)
vations. (3) Archival research involves the internal validity (p. 34)
analysis of existing information collected by interview survey (p. 37)
others. Sources of archival data include the Likert scale (p. 41)
Census Bureau and other federal agencies, meta-analysis (p. 55)
data archives, and newspapers. Investiga- methodology (p. 32)
tors use content analysis to study textual panel study (p. 44)
material such as speeches or reports. (4) An population (p. 42)
experiment involves the manipulation of questionnaire survey (p. 37)
9780813349503.indb 62 5/16/14 1:50 PM

random assignment (p. 49) research, and asked interested men to call
reliability (p. 38) him. He interviewed five men from each
response rate (p. 37) of the six groups, for a total of 30 men. He
risk-benefit analysis (p. 60) found that about two-thirds of the men
simple random sample (p. 42) drank four or more drinks on one or more
stratified sample (p. 43) nights each week, and that drinking didn’t
theory (p. 33) seem to vary by race/ethnicity.
What can we conclude from this study?
Can we conclude that there is no difference
Critical Thinking Skill: in alcohol attitudes and behavior by race
Understanding the Importance of Sampling among college students generally? By race
among students at this college? That busi-
Every type of research in social psychology ness and engineering students are equally
involves a sample. Surveys involve asking likely to drink? Think about these questions
questions of a sample of persons drawn and then answer them. When you have fin-
from some population (students, adult vot- ished, read on.
ers, visitors to an Internet website, and so The sample in this study is a volunteer
on). Experiments involve participants re- sample. The participants volunteered based
cruited/sampled from some population, on a flier that described the study as a study
often students at a college or university. of drinking. It is likely that most of the vol-
Ethnographic and observational studies unteers were men who currently drank. A
involve a sample of settings (such as bars) nondrinker would probably think the re-
or persons (for example, workers at Mc- searcher wasn’t interested in talking to him.
Donald’s). The character of the sample has The men are all from the same college; we
a major impact on the conclusions one can certainly can’t infer anything about men at
make from the research. other colleges and universities. And these
A researcher was interested in studying men were all recruited from social groups
the culture of alcohol consumption on the on the campus, and so they probably aren’t
campus where he taught. In particular, he representative of Black and White male stu-
wanted to compare Black and White male dents on the campus. In fact, it takes money
students’ attitudes and consumption pat- to belong to a fraternity or eating club. The
terns. He decided to approach several Black researcher may have found that college stu-
student groups and several White student dents who have money drink a lot; not an
groups to recruit men to be interviewed. especially newsworthy result!
He contacted two Black and two White So whenever you read a report of the re-
fraternities, two Black and two White eat- sults of research, find out the nature of the
ing clubs, and two Black and two White sample before you draw any conclusions. A
professional groups (business students and sample that is representative of some group
engineering students). He distributed fliers or population is usually a prerequisite for
to members of each group describing the valid research.
9780813349503.indb 63 5/16/14 1:50 PM

9780813349503.indb 64 5/16/14 1:50 PM
chaPter 3
sociAlizATion ThRough
The liFe couRse
introduction 66 outcomes of Socialization 87
Perspectives on Socialization 67 Gender role 87
the Developmental Perspective 67 linguistic and cognitive

competence 90
the Social learning Perspective 68
moral Development 93
the interpretive Perspective 69
Work orientations 97
the impact of Social Structure 70
the Life Course 98
Agents of Childhood Socialization 70
components of the life course 99
family 71
influences on life course
Peers 77
Progression 102
School 79
historical Variations 107
mass media 80
Summary 112
Processes of Socialization 81
instrumental conditioning 81
observational learning 85 Critical Thinking Skill: Understanding the
Difference Between Truth and Validity 114
internalization 86
65
9780813349503.indb 65 5/16/14 1:50 PM

66 soCIalIzaTIon Through ThE lIfE CoursE
IntroductIon ents of the band members, loved it. I waited

outside the band room after the concert.
My daughter is the percussionist in her She was the last band member to come
middle-school band. At the first session in out. I saw her, smiled, and walked toward
September when the director asked for vol- her with my arms out. I hugged her. She
unteers, six boys shouted “Me!” “I want to started crying. “Dad, I was awful.” I was
do it!” and so on. Then the director asked, stunned. I stuttered and said, “No, you were
“Who can play the piano?” Kimberly and great.” She said, “I missed my cue once, and
two other girls raised their hands. The my timing was off in the Souza.” I said, “I
band director auditioned the three girls. He didn’t notice, and I am sure no one else did.”
wanted a percussionist who could read mu- She is like me—a perfectionist. It is won-
sic; a really good idea. derful that she has musical talent. She also
Kimberly got the position. She jumped got my perfectionism.
right in, practicing on the bass drum, the One of the striking features of social life
snare drum, and the chimes after school; is that there is great continuity from one
we had to pick her up when she finished generation to the next—continuity both
because she missed the bus. She brought in physical characteristics and in behav-
the drums home sometimes on weekends ior. Genetic inheritance is one source of
(I had to pick her up and transport the in- continuity. But a major contributor to in-
struments on Friday, and return her and the tergenerational similarity is socialization,
instruments on Monday morning). I was the ways in which individuals learn and
amazed. I had no musical talent at all, and re-create skills, knowledge, values, motives,
here she was improving every week. and roles appropriate to their positions in a
I had gone to a small school. The admin- group or society.
istration wanted a big band. I knew I had no How does an infant become “human”—
talent or even training. but everybody had to that is, an effective participant in society?
audition. The band director gave me a clari- The answer is, through socialization. As we
net and said, “Just move your fingers in time grew from infancy, we interacted continu-
to the music.” I lasted about two concerts, ally with others. We learned to speak a lan-
after which he grudgingly conceded that I guage—a prerequisite for participation in
couldn’t play at all and dismissed me from society. We learned basic interaction rituals,
the band. Of course, the 95 percent of the such as greeting a stranger with a handshake
students who were still in the band made and a loved one with a kiss. We also learned
my life hell for several weeks. So I was really the socially accepted ways to achieve various
pleased that Kimberly not only made the goals, both material (food, clothing, shelter)
band, but was practicing and improving and and social (respect, love, help of others). As
getting good! I could hardly believe it. She we learned these, we used them; as we used
wasn’t like me at all. But I was really proud! them, we re-created them—adapted them
In late October, the band gave their first to our particular circumstances.
public concert. I was in the second row. It It is obvious that socialization makes us
was great! They played the “Star Spangled like most other members of society in im-
Banner,” then a couple of short pieces, a portant ways. It is not so obvious that so-
march by John Philip Souza, “The Tem- cialization also produces our individuality.
pest,” and finished with “The Pirates of the The sense of self and the capacity to engage
Caribbean theme.” It was awesome!! I was in self-oriented acts (discussed in Chap. 4)
so proud of her. The audience, mostly par- are a result of socialization.
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soCIalIzaTIon Through ThE lIfE CoursE 67
The first part of this chapter will examine

childhood socialization. By childhood, we
mean the period from birth to adolescence.
Childhood is a social concept, shaped by
historical, cultural, and political influences
(Elkin & Handel, 1989). In contemporary
American society, we define children as im-
mature—in need of training at home and of
a formal education. The second part exam-
ines socialization beyond childhood.
The discussion focuses on the following
Responsiveness to another person develops
five questions: early in life. By 16 weeks of age, a child smiles in
response to a human face. By 28 weeks, a child can
1. What are the basic perspectives in distinguish caregivers from strangers. © video1/
the study of socialization? iStock
2. What are the socializing agents in gage in various social behaviors at about the
contemporary American society? same age as most other children.
Some theorists view socialization as
3. What are the processes through largely dependent on processes of physi-
which socialization occurs? cal and psychological maturation, which
are biologically determined. Gesell and Ilg
4. What are the outcomes of (1943) documented the sequence in which
socialization in childhood? motor and social skills develop and the ages
at which each new ability appears in the av-
5. What is the nature of socialization in erage child. They viewed the development
adolescence and adulthood? of many social behaviors as primarily due to
physical and neurological maturation, not
social factors. For example, toilet training
PerSPectIveS on SocIalIzatIon requires voluntary control over sphincter
muscles and the ability to recognize cues of
Which is the more important influence pressure on the bladder or lower intestine.
on behavior—nature or nurture, heredity According to developmental theory, when
or environment? This question has been children around age 2½ develop these skills,
especially important to those who study they learn by themselves without environ-
children. Although both influences are im- mental influences.
portant, one view emphasizes biological Table 3.1 lists the sequences of devel-
development (heredity), whereas another opment of various abilities that have been
emphasizes social learning (environment). identified by observational research. The
ages shown are approximate; some children
The Developmental Perspective will exhibit the behavior at younger ages,
whereas others will do so later.
The human child obviously undergoes a As an example, consider the develop-
process of maturation. He or she grows ment of responsiveness to other persons.
physically, develops motor skills in a rela- As early as 4 weeks, many infants respond
tively uniform sequence, and begins to en- to close physical contact by relaxing. At 16
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TABle 3.1 The Process of Development

16 WeekS 28 WeekS 1 YeAr 2 YeArS 3 YeArS
Visual Activity Follows objects Watches activity Enjoys watching Responds
with eyes; eyes intently; hand- moving objects to stimuli in
adjust to objects eye coordination (like TV picture) periphery of
at varying visual field; looks
distances intently for long
periods
Interpersonal Smiles at human Responds to Engages in Prefers solitary Can play
face; responds to variation in responsive play; play; rudimentary cooperatively
caregiver’s voice; tone of voice; shows emotions, concept of with an older
demands social differentiates anxiety; ownership child; strong
attention people (fears shows definite desire to
strangers) preferences for please; gender
some persons differences in
choice of toys,
materials
Vocal Activity Vocalizes Vocalizes vowels Vocalizes Vocalizes Uses three-word
pleasure (coos, and consonants; syllables; constantly; sentences; likes
gurgles, laughs); tries to imitate practices two names actions; novel words
babbles (strings sounds to eight known repeats words
of syllable-like words
sounds)
Bodily Movement Can hold head Can sit up; Can stand; can Can run; likes Motion fluid,
up; can roll over climb up and large-scale motor smooth; good
down stairs activity— push, coordination
pull, roll
Manual dexterity Touches objects Can grasp with Manipulates Good control of Good fine-motor
one hand; objects serially hand and arm control— uses
manipulates fingers, thumb,
objects wrist well
Source: Adapted from Caplan, 1973; and The Infant and Child in the Culture of Today (1943) by Arnold Gesell and Frances L.
Ilg. Used with permission of the Gesell Institute of Human development.
weeks, babies can discriminate the human ers depends in part on the development of
face and usually smile in response. They visual and auditory discrimination.
also show signs of recognizing the voice Development continues throughout life.
of their usual caregiver. By 28 weeks, the Important physical and hormonal changes
infant clearly differentiates faces and re- occur during puberty, pregnancy, and
sponds to variations in facial expression. At menopause/later life and impact on motiva-
1 year, the child shows a variety of emotions tion and behavior. Recognition of this life-
in response to others’ behavior. He or she long process is one aspect of the life-course
will seek interaction with adults or with sib- perspective, discussed later in this chapter.
lings by crawling or walking toward them
and tugging on clothing. Thus, recognition The Social Learning Perspective
of, responsiveness to, and orientation to-
ward adults follow a uniform developmen- Whereas the developmental perspective
tal pattern. The ability to interact with oth- focuses on the unfolding of the child’s own
9780813349503.indb 68 5/16/14 1:50 PM

abilities, the social learning perspective em- cannot walk. All cultures have adapted to
phasizes the child’s acquisition of cognitive these developmental limitations by coordi-
and behavioral skills in interaction with the nating the performance expectations placed
environment. Successful socialization re- on children with the maturation of their
quires that the child acquire considerable abilities. However, developmental processes
information about the world. The child alone are not sufficient for the emergence of
must learn about many physical or natural complex social behavior. In addition to de-
realities, such as what animals are danger- velopmental readiness, social interaction—
ous and which things are edible. Children learning—is necessary for the development
also must learn about the social environ- of language. This is illustrated by the case
ment. They must learn the language used by of Isabelle, who lived alone with her deaf-
people around them to communicate their mute mother until the age of 6½. When she
needs to others. They also need to learn the was discovered, she was unable to make any
meanings their caregivers associate with sound other than a croak. Yet within 2 years
various actions. Children need to learn to after she entered a systematic educational
identify the kinds of persons encountered program, her vocabulary numbered more
in their immediate environment. They need than 1,500 words and she had the linguistic
to learn what behaviors they can expect of skills of a 6-year-old (Davis, 1947).
people, as well as others’ expectations for Thus, both nature and nurture influence
their own behavior. behavior. Developmental processes pro-
According to the social learning perspec- duce a readiness to perform certain behav-
tive, socialization is primarily a process of iors. The content of these behaviors is de-
children learning the shared meanings of termined primarily by social learning—that
the groups in which they are reared (Shibu- is, by cultural influences.
tani, 1961). Such variation in meanings gives
groups, subcultures, and societies their dis- The Interpretive Perspective
tinctiveness. Although the content—what
is learned—varies from group to group, the Socialization occurs primarily through so-
processes by which social learning takes cial interaction. Whereas the social learn-
place are universal. This viewpoint empha- ing perspective emphasizes the process
sizes the adaptive nature of socialization. of learning—for example, the role of rein-
The infant learns the verbal and interper- forcement in the acquisition of behavior—
sonal skills necessary to interact success- the interpretive perspective (Corsaro &
fully with others. The processes by which Fingerson, 2003) focuses on the interaction
this occurs are the concern of reinforce- itself. Drawing on symbolic interaction the-
ment theory. Having acquired these skills, ory (see Chap. 1), this perspective views the
children can perpetuate the meanings that child’s task as the discovery of the mean-
distinguish their social groups and even add ings common to the social group (such as
to or modify these meanings by introducing the family or a school band). This process
innovations of their own. of discovery requires communication with
Recent research on socialization has con- parents, other adults, and other children.
sidered both the importance of develop- Especially important is the child’s partici-
mental processes and the influence of social pation in cultural routines, which are re-
learning. The developmental age of the child current and predictable activities that are
obviously determines which acts the child basic to day-to-day social life (Corsaro &
can perform. Infants less than 6 months old Fingerson, 2003). Greeting rituals, common
9780813349503.indb 69 5/16/14 1:50 PM

games, and mealtime patterns are examples according to the sequence of roles that
of such cultural routines. These routines newcomers to the society ordinarily pass
provide a sense of security and of belong- through. In American society, these include
ing to a group. At the same time, their pre- familial roles, such as son or daughter, and
dictability enables children to use them to roles in educational institutions, such as
display their developing cultural knowledge preschooler, elementary school student, and
and skills. A good example is Kimberly, who high school student. These are age-linked
we met in the opening essay. There are cul- roles; we expect transitions from one role to
tural routines for playing a musical instru- another to occur at certain ages. Distinctive
ment, but Kimberly, like other young musi- socialization outcomes are sought for those
cians, develops her own particular style in who occupy each role. Thus, we expect
playing the snare drum. young children to learn language and ba-
According to this perspective, socializa- sic norms governing such diverse activities
tion is a process of interpretive reproduction. as eating, dressing, and bowel and bladder
Children don’t simply learn culture. In daily control. Most preschool programs will not
interaction, children use the language and enroll a child who has not learned the latter.
interpretive skills that they are learning or Furthermore, social structure designates
discovering. As they become more proficient the persons or organizations responsible for
in communicating and more knowledgeable producing desired outcomes. In a complex
about the meanings shared in the family and society such as ours, there is a sequence of
school, children attain a deeper understand- roles and a corresponding sequence of so-
ing of the culture. Children, through interac- cializing agents (see Box 3.1). From birth
tion, acquire and reproduce the culture. through adolescence, the family is primarily
When children communicate with one responsible for socializing the child. From
another (as in school or at play), they do not ages 6 to 12, a child is an elementary school
simply imitate the acquired culture. They student; we expect elementary school
use what they have learned to create their teachers to teach the basics to their stu-
own somewhat unique peer culture. Chil- dents. Next, the adolescent becomes a high
dren take a traditional game such as one school student, with yet another group of
group chasing another group and change agents to further develop his or her knowl-
the rules to fit their needs and the physical edge and abilities. In adulthood, men and
and social context in which they are enact- women become partners and coworkers,
ing the game. In the 1950s the two groups and need to learn these roles from persons
were often cowboys and Indians; in the in related roles.
2000s they might be cops and Blacks (Goff- This perspective is sociological; it con-
man, 2014). The changed rules become siders socialization as a product of group
part of a new routine of chase. Thus, from life. It calls our attention to the changing
an early age, children are not just imitating content of and responsibility for socializa-
culture, but creating it. tion throughout the individual’s life. This
theme is fundamental to the life-course
The Impact of Social Structure perspective, discussed later in this chapter.
A fourth perspective emphasizes the influ-

ence of social structure. Socialization is not agentS of chIldhood SocIalIzatIon
a random process. Teaching new members
the rules of the game is too important to Socialization has four components. It al-
be left to chance. Socialization is organized ways involves (1) an agent—someone who
9780813349503.indb 70 5/16/14 1:50 PM

serves as a source for what is being learned; sic biological needs. However, they had lim-
(2) a learning process; (3) a target—a per- ited contact with the babies, and there was
son who is being socialized; and (4) an out- little evidence of emotional ties between the
come—something that is being learned. nurses and the infants. Within 1 year, the
This section will consider the four primary infants’ scores on developmental tests fell
agents of childhood socialization—family, dramatically from an average of 124 to an
peers, school, and mass media. Later sec- average of 72. Within 2 years, one-third had
tions will focus on the processes and out- died, 9 had left, and the 21 who remained
comes of childhood socialization. in the institution were severely retarded.
Recent research on children who lived in
Family orphanages for an average of 16 months fol-
lowing birth found that at age 4½, they had
At birth, infants are primarily aware of their significant difficulty matching facial expres-
own bodies. Hunger, thirst, or pain creates sions of emotion with stories, compared
unpleasant and perhaps overwhelming to children from control families (Fries &
bodily tensions. The infant’s primary con- Pollak, 2004). These findings dramatically
cern is to remove these tensions and satisfy support the hypothesis that an emotionally
bodily needs. To meet the infant’s needs, responsive caregiver is essential.
adult caregivers must learn to read the in- Thus, infants need a secure attach-
fant’s signals accurately (Ainsworth, 1979). ment—a warm, close relationship with an
Also, infants begin to perceive their princi- adult that produces a sense of security and
pal caregivers as the source of need satisfac- provides stimulation—to develop the in-
tion. These early experiences are truly interpersonal and cognitive skills needed for
teractive (Bell, 1979). The adult learns how proper growth (Ainsworth, 1979). More-
to care effectively for the infant, and the in- over, being cared for in such a relation-
fant forms a strong emotional attachment ship provides the foundation of the infant’s
to the caregiver. sense of self.
For many decades, gender role defini-
Is a Mother Necessary? Does it matter who tions in American society made mothers
responds to and establishes a caring relation- primarily responsible for raising children.
ship with the infant? Must there be a single Fathers’ parental responsibility was to work
principal caregiver in infancy and childhood outside the home and provide the income
for effective socialization to occur? needed by the family. The division of la-
Psychoanalytic theory (as originally bor in many families conformed to these
framed by Freud) asserts that an intimate definitions. As a result, some analysts
emotional relationship between infant and concluded that a warm, intimate, contin-
caregiver (almost always the mother at the uous relationship between a child and its
time Freud wrote) is essential to healthy mother is essential to normal child devel-
personality development. This was one of opment (Bowlby, 1965). Perhaps only in the
the first hypotheses to be studied empiri- mother-infant relation can the child expe-
cally. To examine the effects of the absence rience the necessary sense of security and
of a single, close caregiver on children, re- emotional warmth. According to this view,
searchers have studied institutionalized other potential caregivers have less emo-
infants. In the earliest reported work, Spitz tional interest in the infant and may not be
(1945, 1946) studied an institution in which adequate substitutes.
six nurses cared for 45 infants under 18 Research on parent-child interaction in-
months old. The nurses met the infants’ ba- dicates that if mothers are sensitive to the
9780813349503.indb 71 5/16/14 1:50 PM

child’s needs and responsive to his or her children’s achievement outcomes—IQ, test
distress in the first year of life, the child is scores—and child behavior problems (Lu-
more likely to develop a secure attachment cas-Thompson, Goldberg, & Prause, 2010).
(Demo & Cox, 2001). This is true in both Early employment was most beneficial in
two-parent and mother-only families. In- single-parent families. Employment during
fants who are securely attached to their the child’s first year had a small negative
mothers in the first 2 years of life evidence effect.
less problem behavior and more coopera- The Fragile Families and Child Well-
tive behavior from ages 4 to 10. Thus, se- being researchers collected data from
cure mother-infant attachment is associ- White, Black, and Hispanic families. Re-
ated with positive outcomes (see Box 3.1). searchers analyzed the relationship be-
Research also indicates that a father’s sen- tween maternal employment during the
sitivity to the child at 13 months is associ- child’s first year and several outcomes at
ated with father-child attachment at 3 years 3 years of age. Maternal employment was
of age (Brown, Manglesdorf, & Neff, 2012). associated with lower vocabulary scores in
Thus, parent-child attachment does not de- White, but not Black or Hispanic families,
pend on the parent’s gender. and with higher levels of behavior problems
A related question is whether children in Hispanic families (Berger, Brooks-Gunn,
need or benefit from having both a male and Paxson, & Waldfogel, 2008). These out-
a female parent—that is, does the gender comes were not related to maternal stress
of parents matter? Researchers (Biblarz & or parenting behaviors. A study of the ef-
Stacy, 2010) compared studies of two-par- fects of employment during the preceding
ent families with same or different gender year found that it was associated with fewer
co-parents with studies of single-parent positive mother-child interactions, and less
families. The relationships between par- reading with parents at ages 2 and 4 (No-
enting practices and child outcomes re- maguchi, 2006).
ported in studies of heterosexual families There have been dozens of studies of the
were also found in lesbian families, and in effects of maternal employment on achieve-
the few studies of gay co-parents that have ment outcomes in children and adolescents.
been published. In general, in single-parent A meta-analysis of 68 studies looked at four
families, children fared better with a single outcomes: tests of achievement, tests of in-
mother than a single father, but such fami- tellectual functioning, grades, and teacher
lies differ on important dimensions like cir- ratings of cognitive competence (Gold-
cumstances of formation, gender of child, berg, Prause, Lucas-Thompson, & Him-
and income. sel, 2008). Comparing children of mothers
Since 1960, gender role definitions have who worked (including part- and full-time)
been changing. Married women with chil- with children of mothers who did not, there
dren are increasingly working outside the were no significant differences on the four
home (see Figure 3.3). The effects of ma- outcomes. Part-time work was positively
ternal employment on the child is a major associated with all four outcomes; there
continuing public concern. were more positive effects for girls.
The effects of maternal employment
Effects of Maternal Employment. What on older children depend partly on work
effect does maternal employment have characteristics. Nonstandard work (for ex-
on children? A meta-analysis of 69 stud- ample, working nights or rotating shifts)
ies found mostly nonsignificant effects on can negatively affect parent-child closeness
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Box 3.1 Test Yourself: Attachment in Children and Adults
Which of the following best describes your feel- approaches the caregiver and expresses anger or
ings about relationships? hostility toward him or her. Children as young as
2 years behave consistently in one of these ways
1. I find it relatively easy to get close to others when distressed.
and am comfortable depending on them and We bring the style we developed as children
having them depend on me. I don’t often into our intimate adult relationships. Surveys of
worry about being abandoned or someone adults (for example, Hazan & Shaver, 1987) have
getting too close to me. found that about 55 percent describe themselves
2. I am somewhat uncomfortable being close as secure, 25 percent as avoidant, and 20 percent
to others; I find it difficult to trust them com- as anxious/ambivalent. Attachment style influ-
pletely, difficult to allow myself to depend on ences our responses to other people (Feeney,
them. I am nervous when anyone gets too 1999). It leads us to pay attention to certain as-
close, and often, love partners want me to be pects of a person (for example, his or her trustwor-
more intimate than I feel comfortable being. thiness), creates biases in memory (we remem-
3. I find that others are reluctant to get as close ber events consistent with our style), and affects
as I would like. I often worry that my partner how we explain relationship events. A secure per-
doesn’t really love me or won’t want to stay son will ignore an event (his partner talking to an
with me. I want to merge completely with attractive person) that would make an anxious
another person, and this desire sometimes person feel jealous. Attachment style also influ-
scares people away. (Hazan & Shaver, 1987) ences relationship quality. Men and women who
describe themselves as secure report that their
Each of these statements represents one at- romantic relationships involve interdependence,
tachment style, an individual’s characteristic way trust, and commitment (Simpson, 1990). Adults
of relating to significant others (Hazan & Shaver, who describe themselves as avoidant say that
1987). The first describes a secure style, the sec- they do not trust others and are afraid of getting
ond an avoidant style, and the third an anxious/ close (Feeney & Noller, 1990). Those who are anx-
ambivalent style. ious/ambivalent report intense emotions toward
The roots of the individual’s style may be the partner and a desire for deep commitment in
found in childhood. Ainsworth (1979) identified a relationship. Since attachment style develops
three styles of attachment in caregiver-child in- on the basis of childhood experience, analysts
teractions. The attachment style of a young child assume that it precedes adult relationships. Lon-
is assessed by observing how the child relates gitudinal data point to stability in style over time
to his or her caregiver when distressed (by, for (Feeney, 1999). However, particularly significant
example, a brief separation in a strange envi- relationship experiences may lead to change in
ronment). The secure child readily approaches style. A secure person who spends a long time
the caregiver and seeks comfort. The avoidant with someone who is chronically unfaithful un-
child does not approach the caregiver and ap- derstandably may become anxious.
pears detached. The anxious/ambivalent child
9780813349503.indb 73 5/16/14 1:50 PM

and delay cognitive development (Crosnoe men have adopted these expectations for
& Cavanagh, 2010). Mother’s exposure to themselves. Research finds that married
physical hazards at work also negatively fathers spent significantly more time with
affects cognitive development, and expo- their child(ren) each day in 1998 than they
sure to work-related stressors has a nega- did in 1965 (Sayer, Bianchi, & Robinson,
tive effect on behavior (Felfe & Hsin, 2012). 2004). The father’s contribution is often
Father’s exposure to physical hazards and through rough-and-tumble play; such play
stressors may have similar effects. is thought to facilitate the child’s develop-
What about the effects of child care? It ment of motor skills. Fathers increasingly
depends on the type, quality, and amount also engage in child care and developmental
of care. A large-scale research project con- activities. These patterns are found in Eu-
ducted at 10 sites around the United States ropean-American, African-American, and
followed 1,000 children from birth. At age Hispanic two-parent families (Parke, 1996).
4½, children who experienced higher-qual- Several variables influence the extent of
ity care and whose care was provided in a fathers’ involvement with their children.
center had significantly better cognitive Maternal attitudes are one important factor;
skills and language performance; quality a father is more involved when the mother
was measured using observers who com- encourages and supports his participation.
pleted a standardized observational re- Maternal employment is another influence.
cord. Children who received more hours of Husbands of employed women are more
care between the ages of 3 months and 4½ involved in child care and in some cases
years were given higher ratings on behavior provide full-time care for the child. Also,
problems (on the 113-item Child Behavior a study found that lower levels of stress on
Checklist) by care providers. Twenty-four the job and greater support from cowork-
percent of the sample were children of ers for being an active father were associ-
color; it appears that the results do not ated with greater involvement (Volling &
vary by ethnicity (NICHD Early Child Care Belsky, 1991). Thus, research suggests that
Research Network, 1997a, 1997b, 2002; work stressors have negative effects on both
Belsky, 2006). fathers’ and mothers’ involvement in child
Researchers have continued to follow rearing. Research on Mexican-American
these youth. At age 15, both quality and families finds that a positive relationship
quantity of nonrelative child care at young between mother and father was related to
ages were linked to adolescent outcomes. quality fathering (Formoso, Gonzales, Bar-
Higher quality care predicted higher cogni- rera, & Dumka, 2007). Finally, parental ed-
tive and academic achievement, and youth ucation is positively related to time spent
reports of fewer school and emotional with children by both fathers and mothers
problems (Vandell et al., 2010). (Guryan, Hurst, & Kearney, 2008).
Father’s Involvement with Children. The Child Rearing in a Diverse Society. There
broadening of maternal role definitions to is diversity in the living arrangements of
include work outside the home has been ac- children in the United States today. Table
companied by changes in expectations for 3.2 indicates the living arrangements of all
fathers. This new ideology of fatherhood, children in 2000 (Lichter & Qian, 2004).
promoted by television and film, encour- Sixty-one percent of all children lived with
ages active involvement of fathers in child married parents. Fifteen percent lived with
care and child rearing (Parke, 1996). Some a single mother; note that more than 2 mil-
9780813349503.indb 74 5/16/14 1:50 PM

TABle 3.2 children’s living Arrangements, 2000, 2007

All ChIlDren BY rACe/eThnICITY
ArrAngeMenT PerCenT ArrAngeMenT WhITe BlACk ASIAn hISPAnIC
Working father/
21% Two parents 78% 75 38% 34 87% 86 68% 63
nonworking mother
Married, both working Biological
41 68 31 82 61
mother & father
Male-headed 2.3 Father 3.6 3.3 2 2
Female, previously
10 Mother 16 50 9 26
married
Female, never married 5
Cohabiting couple 4.1
Grandparents 6 Grandparents 1.4 5.4 0.5 2
Unknown 10.6
Source: All: Lichter and Qian. (2004). Marriage and Family in a Multiracial Society. New York Russell Sage Foundation, Table
6. By race/ethnicity: U.S. Bureau of the Census (2007). Survey of Income and Program Participation, 2004 Panel, Wave 2,
Table 1.
lion children are living with a single father Spanking of children ages 1 to 3 is more
(U.S. Bureau of the Census, 2005). These likely when the child is fussy or has behav-
arrangements vary by race/ethnicity, as ior problems, the mother is experiencing
seen in the right-hand panel of Table 3.2. In psychological distress, and the family is low
2007, compared to White (18%) and Asian SES (Hahlweg et al., 2008). In a large, eth-
(9%), more African-American children nically diverse sample, spanking at ages 1
lived with a single mother (50%). Asian and 2 is associated with behavior problems
children were most likely (82%) to live with at school entry (Slade & Wissow, 2004). In
married, biological parents, compared to low-income White, African-American, and
White (68%), Hispanic (61%), and Black Mexican-American families, spanking at
(31%) (Krieder & Ellis, 2011). age 1 predicts aggressive behavior at age 2
Studies of socialization have focused on and lower mental development scores at
child-rearing techniques or parenting styles age 3 (Berlin et al., 2009).
and their impact on cognitive and social de- The negative outcomes reported by re-
velopment. Research has consistently found search to be associated with physical pun-
that authoritative parenting—character- ishment and authoritarian styles of par-
ized by high levels of warmth combined enting lead some observers to conclude
with control—benefits children. Reliance that these are improper child-rearing tech-
by parents on this style is associated with niques. Minority researchers challenge
greater achievement in school and positive the validity of this conclusion for minority
relations with other adults and peers. Au- families (McLoyd, Cauce, Takeuchi, & Wil-
thoritarian styles, including physical pun- son, 2001). White and Black mothers living
ishment, and permissive styles are more in poverty are more likely to use physical
likely to be associated with poor adjustment punishment, partly due to chronic financial
in childhood (Demo & Cox, 2001). stress (Demo & Cox, 2001). Research by
9780813349503.indb 75 5/16/14 1:50 PM

Deater-Deckard and Dodge (1997) has sug- family’s financial resources, and perhaps a
gested that physical discipline is more com- change of schools. Therefore, it is difficult
mon in African-American families and that to isolate the effects of divorce—the change
they define it as positive parenting. Other in family structure—independently of these
research (Chao, 1994) has suggested that other changes. Research consistently finds
Asian-American parents rely on providing that the number of transitions a child expe-
training and clear and concrete guidelines riences is positively associated with unde-
for behavior, and that this should not be sirable outcomes (Cherlin, 2010). An addi-
seen as authoritarian. tional confounding fact is that divorce is not
With respect to values, White parents a one-time crisis; it is a process that begins
emphasize the development of autonomy with marital discord while the couple is liv-
(Alwin, 1990), which is consistent with the ing together, continues through physical
mainstream culture’s emphasis on individu- separation and legal proceedings, and ends,
alism and independence. Minority children if ever, when those involved have completed
are more likely to be socialized to value co- the uncoupling process (Amato, 2001).
operation and interdependence (Demo & Research comparing children of di-
Cox, 2001). African-American parents tend vorced with children of married parents
to emphasize assertiveness, whereas Mex- has consistently found that the children of
ican-American families emphasize family divorced parents score lower on measures
unity and solidarity with the extended fam- of academic success (such as grades), psy-
ily. Asian-American parents teach children chological adjustment, self-esteem, and
to value family authority. Thus, as we would long-term health, among other outcomes
expect, socialization in distinctive com- (Amato, 2001). Some research (for exam-
munities tends to emphasize the values of ple, Hetherington, 1999) has reported that
those communities. these deficits were present several years be-
Contemporary scholars stress that the fore the divorce, leading to the suggestion
meaning and the impact on the child of a that children’s problem behaviors cause the
parenting technique varies depending upon discord that leads to divorce. However, if
cultural background, family structure, and we view the divorce as a process, problems
social context. This suggests that we should prior to the divorce could be caused by the
focus on specific techniques and not group marital discord. A few studies report posi-
differences in their use (Crosnoe & Cava- tive consequences for some children. Some
nagh, 2010). Scholars also point to diversity offspring, especially daughters, develop
within racial categories, rendering gener- very positive relationships with custodial
alizations about a group, such as Blacks or mothers (Arditti, 1999).
Hispanics, questionable (Burton et al., 2010). The view of divorce as a one-time crisis
implies that children will show improved
Effects of Divorce. Forty to fifty percent of function as the time since divorce increases.
all marriages end in divorce (Cherlin, 2010); Some studies (for example, Jekielek, 1998)
the probability of marital disruption is much report that children’s well-being does im-
lower for a woman with a college education. prove over time. On the other hand, longi-
About one-half of these divorces involve tudinal research finds that the gap in well-
children under the age of 18 years. Divorce being between children of divorced parents
usually involves several major changes in and children of intact couples increases
the life of a child: a change in family struc- (Cherlin, Chase-Lansdale, & McRae, 1998)
ture, a change in residence, a change in the or remains the same (Sun & Li, 2002) over
9780813349503.indb 76 5/16/14 1:50 PM

time. A unique study documents intergen- ucation and taking advantage of extracur-
erational effects of divorce. The researchers ricular and other opportunities, and may
reported negative effects on subsequent ac- funnel her into early childbearing and mar-
ademic achievement, later marital discord, riage (Dodson & Dickert, 2004). Very few
and weak ties to mothers and fathers in studies have been done of the effects of di-
both the second and third generations (that vorce in non-European-American families.
is, effects on children and grandchildren) We don’t know whether we would find the
(Amato & Cheadle, 2005). effects described here in racial and ethnic
Although most people acknowledge the minority groups.
undesirability of divorce, it is often justified
with the argument that it is less harmful Peers
than growing up in a family with chronic
marital, social, and perhaps economic As the child grows, his or her peers become
problems. Is this true? A longitudinal study increasingly important as socializing agents.
in Great Britain followed thousands of The peer group differs from the family on
children from birth to age 33, enabling re- several dimensions. These differences in-
searchers to compare adults whose parents fluence the type of interaction and thus the
divorced when they were 7 to 16, 17 to 20, kinds of socialization that occur.
or 21 to 33 years of age (Furstenberg & Kier- The family consists of persons who differ
nan, 2001). The results show that men and in status or power, whereas the peer group
women whose parents divorced when they is composed of relative equals. From an
were 7 to 16, compared to men and women early age, the child is taught to treat parents
whose parents divorced when they were with respect and deference. Failure to do so
older, completed less schooling and earned will probably result in discipline, and the
higher scores on an index of psychologi- adult will use the incident as an opportunity
cal symptoms; women were more likely to to instruct the child about the importance
drink heavily as adults. The researchers also of deference (Cahill, 1987; Denzin, 1977).
found higher rates of early and nonmari- Interaction with peers is more open and
tal pregnancy among those whose parents spontaneous; the child does not need to be
had divorced early. All of these results have deferential or tactful. Thus, children at the
been reported in studies of persons in the age of 4 years bluntly refuse to let children
United States (Demo & Acock, 1988; Garf- they dislike join their games. With peers,
inkel & McLanahan, 1986). Reduced educa- they may say things that adults consider
tional attainment and early parenthood and insulting, such as “You’re ugly,” to another
marriage result in a higher rate of poverty child. This interactional give-and-take is a
among adults raised in single-parent fami- basic aspect of the friendship process (Cor-
lies (McLanahan & Booth, 1989). saro & Fingerson, 2003).
A review of research on low-income Membership in a particular family is as-
families (often single-parent families) con- cribed, whereas peer interactions are volun-
cludes that the need for the parent(s) to tary (Gecas, 1990). Thus, peer groups offer
work long hours in order to earn enough children their first experience in exercising
money shifts the burden of family labor choice over whom they relate to. The op-
onto one or more children, usually girls. portunity to make such choices contributes
This labor includes caring for younger sib- to the child’s sense of social competence
lings, cooking, and cleaning; it prevents the and allows interaction with other children
person providing it from focusing on ed- who complement the developing identity.
9780813349503.indb 77 5/16/14 1:50 PM

Box 3.2 The Peer group
American society is highly segregated by age. come concerned with gaining control over adult
Most of us spend most of our time with people authority, and they learn that a request or plea
of about the same age. This is especially true in by several children is more likely to be granted.
childhood and adolescence, because age segre- In elementary school, children develop a strong
gation is the fundamental organizing principle of group identity, which is strengthened by minor
our schools. Research provides important sights rebellions against adult authority. Thorne (1993)
into the nature of peer groups and their signifi- observed that in one fourth-/fifth-grade class-
cance for socialization. room, most of the students had contraband—
Among preschool-age children, a major con- small objects such as toy cars and trucks, nail pol-
cern is social participation. Kids in American ish, and stuffed animals—which were prohibited
society learn about the role of friends and the by school rules. By keeping these items in desks
expectations associated with that role. Their un- and by displaying or exchanging them at key
derstanding of this role provides a basis for eval- moments during class, the kids were displaying
uating their relationships with other children. resistance, a form of nonconformity challenging
As children begin to play in groups, maintaining the academic regime and rules in the classroom
access to the group becomes an issue. Children (McFarland, 2004). Both children and adolescents
become concerned with issues of inclusion and assert themselves by making fun of and mocking
exclusion—who is in the group and who is not. teachers and administrators. Peer groups play a
These issues remain important ones throughout major role in socializing young persons to gender
childhood and into adolescence (Adler & Adler, role norms.
1995). As children move through elementary school,
Peer groups reflect the desire of children to they increasingly form groups that are homo-
gain some control over the social environment geneous by gender. For instance, in one study,
and to use that control in concert with other Thorne (1993) observed that there is a geography
children (Corsaro & Eder, 1995). Children be- of gender in the school yard. Boys generally were
Unlike the child’s family, peer groups in number of boys and girls in each grade, sub-
early and especially middle childhood (aged stantial sex homogeneity in both boys’ and
6 to 10) are usually homogeneous in sex girls’ networks (Neal, 2010). Sex homophily
and age. A survey of 2,299 children in third was consistent from grades three through
through twelfth grade measured the ex- nine; significant homophiliy by race de-
tent to which they belonged to tightly knit veloped in seventh grade. Other research
peer groups, the size of such groups, and indicates that friendships of seventh- to
whether they were homogeneous by race twelfth-grade Black, Hispanic, and White
and gender (Schrum & Creek, 1987). The students tend to be homogeneous by race
proportion belonging to a group peaked (Quillian & Campbell, 2003).
in sixth grade and then declined. The size Peer associations make a major contri-
of peer groups declined steadily from third bution to the development of the child’s
through twelfth grade. Boys’ groups are identity. Children learn the role of friend
generally larger than girls’ groups (Rose & in interactions with peers, contributing to
Rudolph, 2006). A study of third through greater differentiation of the self (Corsaro
eighth graders found, controlling for the & Rizzo, 1988). Peer and other relationships
9780813349503.indb 78 5/16/14 1:50 PM

found on the playing fields, whereas girls were eighth grades, young adolescents shift their fo-
concentrated in the areas closer to the building cus from gender role norms to norms governing
and in the jungle gyms. Children who violated male-female relationships. Boys learn from other
these gender boundaries risked being teased or boys the “proper” view of girls; in some but not
even ridiculed. Thorne identified several varieties all groups, the prescribed view was that girls
of borderwork, which is “interaction across— were objects of sexual conquest. Girls learn to
yet interaction based on and even strengthen- view boys as potential participants in romantic
ing—gender boundaries” (1993, p. 64). One form relationships. Public teasing and ridicule of those
of borderwork was the chase, which almost al- who violate norms—common in elementary
ways involved a boy chasing a girl or vice versa. school—are replaced by gossip and exclusion
Another form was cooties, or treating an individ- from the group as sanctions for violations of
ual or group as contaminated, which also was group norms in middle school.
often cross-gender; girls were often identified as Eder (1995) also observed that the status hi-
the ultimate source of contamination, whereas erarchy in the school generally reproduced the
boys typically were not. Finally, invasion occurred class structure of the wider community. Status
when a group of boys physically occupied the was accorded to students based on popularity.
space that girls were using for some activity; One became popular by being visible. The most
Thorne never observed girls invading a boys’ visible students were those on athletic teams and
game. All of these activities involve the themes the cheerleader squad. Participating in these ac-
of gender and aggression—themes common to tivities required money, as they were not funded
heterosexual relationships in American society. by the school. Furthermore, the teams and cheer-
There is also the implicit message that boys and leaders relied on parents to transport them to
their activities are more important than girls and games, giving an advantage to students who had
their activities. one parent who did not work or parents whose
In another study, Eder (1995) and her col- jobs allowed them to take time off for such ac-
leagues observed peer relationships in a middle tivities. Not surprisingly, the popular, visible stu-
school for 3 years. during the sixth, seventh, and dents were those from middle-class families.
outside the family provide a basis for estab- the opportunity to be in charge, and decide
lishing independence; the child ceases to be which children are included and excluded
exclusively involved in the roles of offspring, from the game.
sibling, grandchild, and cousin. These alter- Although peer culture tends to be con-
nate, nonfamilial identities may provide a cerned with the present, it plays an import-
basis for actively resisting parental social- ant role in preparing children and adoles-
ization efforts (Stryker & Serpe, 1982). For cents for role transitions. An observational
example, a parent’s attempt to enforce cer- study of Italian preschoolers found that the
tain rules may be resisted by a child whose transition to elementary school was a com-
friends make fun of children who behave mon topic of discussion and debate (Cor-
that way. As suggested in Box 3.2, chil- saro & Molinari, 2000).
dren actively resist adult culture through
peer interaction and talk (Kyratzis, 2004). School
Playing house may provide an occasion for
mimicking a parent, using parentlike words Unlike the peer group, school is intention-
and tone. It may also provide “mom” with ally designed to socialize children. In the
9780813349503.indb 79 5/16/14 1:50 PM

classroom, there is typically one adult and especially important to the child because of
a group of children of similar age. There is the homogeneity of the classroom group.
a sharp status distinction between teacher Even if the teacher de-emphasizes a child’s
and student. The teacher determines what low score on a spelling test, the child inter-
skills he or she teaches and relies heavily prets the performance as a poor one relative
on instrumental learning techniques, with to those of classmates. A consistent perfor-
such reinforcers as praise, blame, and priv- mance will affect a child’s image of self as a
ileges to shape student behavior (Gecas, student.
1990). School is the child’s first experience An observational study of children in
with formal and public evaluation of per- kindergarten, first, second, and fourth
formance. Every child’s behavior and work grades documented the development of so-
is evaluated by the same standards, and the cial comparison in the classroom (Frey &
judgments are made public to others in the Ruble, 1985). In kindergarten, comparisons
class as well as to parents. were made to personal characteristics—for
We expect schools to teach reading, example, liking ice cream. Comparisons
writing, and arithmetic, but they do much of performance increased sharply in first
more than that. Teachers use the rewards grade; at first, comparisons were blatant,
at their disposal to reinforce certain per- but they became increasingly subtle in sec-
sonality traits, such as punctuality, perse- ond and fourth grades.
verance, and tact. Schools teach children
which selves are desirable and which are Mass Media
not. Thus, children learn a vocabulary that
they are expected to use in evaluating them- In recent decades the mass media has be-
selves and others (Denzin, 1977). The traits come a very influential agent of social-
chosen are those thought to facilitate social ization. Media portrayals—news articles,
interaction throughout life in a particular television programs, videos, films, internet
culture or society. In this sense, schools civ- sites—present information about every as-
ilize children. pect of daily life and the world around us.
A key feature of social life in the United These images shape our perception of peo-
States is making statements or “claims” ple, places and events, and thus influence
about reality and supporting them with our attitudes toward these objects. The im-
evidence. Each of us engages in such dis- ages also shape our scripts, our images of
courses many times each day. In legislative the people and behaviors that are appropri-
arenas and courtrooms, there are multiple ate in various types of relationships.
perspectives, each with its claims and sup- Media portrayals shape the child’s im-
porting arguments contending for adher- age of self as male or female, as well as their
ents. Schools, especially public speaking expectations about and treatment of oth-
and debate classes and clubs, are the set- ers based on gender (and of course, race
tings in which youth learn and hone these and age). Older children and adolescents
skills (Fine, 2000). learn schemas and scripts for various types
Social comparison has an important in- of relationships from watching familial,
fluence on the behavior of schoolchildren. romantic, and work relationships unfold
Because teachers make public evaluations on the movie or television screen and on
of the children’s work, each child can judge YouTube. For example, Ward and Fried-
his or her performance relative to the per- man (2006) have shown that adolescents’
formance of others. These comparisons are attitudes and sexual behavior are associated
9780813349503.indb 80 5/16/14 1:50 PM

with viewing sexual content on television. Instrumental Conditioning

Prime-time television in particular portrays
a heterosexual script that includes not only When you got dressed this morning, chances
behavioral but cognitive and emotional are you put on a shirt or blouse, pants, a
guidelines for men and women in romantic dress, or a skirt that had buttons, hooks, or
relationships (Kim et al., 2007). zippers. When you were younger, learning
In the discussion of aggression we will how to master buttons, hooks, zippers, and
summarize the correlational and experi- shoelaces undoubtedly took considerable
mental evidence linking exposure to por- time, trial and error, and slow progress ac-
trayals of violence in the mass media with companied by praise from adults. You ac-
aggressive and violent behavior (see Chap. quired these skills through instrumental
11). There is also concern that viewing conditioning, a process wherein a person
aggressive pornography contributes to vi- learns what response to make in a situation
olence against girls and women. Another in order to obtain a positive reinforcement
concern is the link between frequent play- or avoid a negative reinforcement. The per-
ing of violent video games and murder or son’s behavior is instrumental in the sense
mass murder. Anecdotal evidence suggests that it determines whether he or she is re-
that some recent incidents in which many warded or punished.
people died from gunfire were perpetrated The most important process in the ac-
by persons with extensive exposure to quisition of many skills is a type of instru-
“shooter” video games. mental learning called shaping (Skinner,
Media have an especially powerful so- 1953, 1957). Shaping refers to learning in
cializing effect because many children and which an agent initially reinforces any be-
adolescents are exposed to media content havior that remotely resembles the desired
several hours per day. According to a sur- response and later requires increasing cor-
vey of a nationally representative sample of respondence between the learner’s behavior
children 6 and under, 75 percent watch TV, and the desired response before providing
32 percent watch videos, 16 percent use a reinforcement. Shaping thus involves a se-
computer, and 11 percent play video games ries of successive approximations in which
(Rideout & Hamel, 2006). More than 40 the learner’s behavior comes closer and
percent of 2- to 6-year-olds spend two or closer to resembling the specific response
more hours with screen media per day. The desired by the reinforcing agent.
average number of hours per day spent in In socialization, the degree of similarity
media activities by youth ages 8 to 18 are between desired and observed responses
shown in Figure 3.1. Note that children 8 required by the agent depends in part on
to 10 are exposed to media content almost the learner’s past performance. In this
8 hours per day, while older children spend sense, shaping is interactive in character.
more than 11 with media. In teaching children to clean their rooms,
parents initially reward them for picking up
their toys. When children show they can do
ProceSSeS of SocIalIzatIon this consistently, parents may require that
the toys be placed on certain shelves as the
How does socialization occur? We will ex- condition for a reward. Shaping is more
amine three processes that are especially likely to succeed if the level of performance
important: instrumental conditioning, ob- required is consistent with the child’s abil-
servational learning, and internalization. ities. Thus, a 2-year-old may be praised
9780813349503.indb 81 5/16/14 1:50 PM

14:00
82
9780813349503.indb 82
12:00 11:53
11:23
10:00
8:40
7:51 7:58
8:00
Hours
6:00
5:29
5:03
4:22
4:00 3:41
3:03
2:22
2:00 1:46 1:39
1:25
1:08 1:01 1:08
0:46
0:00
TV Content Music Computers Video Games Total Media Total Media Use
Exposure
8–10-year-olds 11–14-year-olds 15–18-year-olds
FIgure 3.1 Media use by Age

Source: Rideout, Foehr, & Roberts (2010). Generation M2: Media in the Lives of 8- to 18-year-olds. Menlo Park, CA: Kaiser Family Foundation (p. 9).
5/16/14 1:50 PM
volves reinforcing the first correct response

after a specified period has elapsed. This
schedule produces the fewest correct re-
sponses per unit of time; if the learner is
aware of the length of the interval, he or she
will respond only at the beginning of the
interval. It is interesting that many schools
give examinations at fixed intervals, such
as the middle and end of the semester; per-
haps that is why many students study only
just before an exam. The variable-interval
schedule involves reinforcing the first cor-
rect response after a variable period. In this
case, the individual cannot predict when
reinforcement will occur, so he or she re-
Shaping is a process through which many complex sponds at a regular rate. Grading a course
behaviors, such as playing the violin, are learned.
based on several surprise or “pop” quizzes
Initially, the socializer (teacher or parent) rewards
behavior that resembles the desired response. uses this schedule.
As learning progresses, greater correspondence The fixed-ratio schedule provides a re-
between the behavior and the desired response is inforcement following a specified number
required to earn a reward, such as praise. © Bill of correct, nonreinforced responses. Paying
Oxford/iStock a worker on a piece rate, such as 5 dollars
for every three items produced, uses this
for drawing lines with crayons, whereas a pattern. If the reward is sufficient, the rate
5-year-old may be expected to draw recog- of behavior may be high. Finally, the vari-
nizable objects or figures. able-ratio schedule provides reinforcement
after several non-rewarded responses, with
Reinforcement Schedules. When shaping the number of responses between rein-
behavior, a socializing agent can use either forcements varying. This schedule typically
positive reinforcement or negative rein- produces the highest and most stable rates
forcement. Positive reinforcers are stimuli of response. An excellent illustration is the
whose presentation strengthens the learn- gambler, who will insert quarters in a slot
er’s response; positive reinforcers include machine for hours, receiving only occa-
food, candy, money, or high grades. Neg- sional, random payoffs.
ative reinforcers are stimuli whose with-
drawal strengthens the response, such as the Punishment. By definition, punishment
removal of pain. (Shaw & Costanzo, 1982) is the presentation of a painful or discom-
In everyday practice, it is rare for a forting stimulus or the removal of a posi-
learner to be reinforced each time the de- tive stimulus (by a socializing agent) that
sired behavior is performed. Instead, rein- decreases the probability that the preceding
forcement is given only some of the time. behavior (by the learner) will occur. Pun-
In fact, it is possible to structure when re- ishment is one of the major child-rearing
inforcements are presented to the learner, practices used by parents. The Gallup or-
using a reinforcement schedule. ganization interviewed a nationally repre-
There are several possible reinforcement sentative sample of parents in 1995 (Straus
schedules. The fixed-interval schedule in- & Stewart, 1999; Straus & Field, 2003). The
9780813349503.indb 83 5/16/14 1:50 PM

percentage of parents who reported using 100%

corporal punishment—pinching, slapping, 95%
90%
spanking, or hitting—during the preceding 85%
year varied by the age of the child. The use 80%
75%
of corporal punishment was reported by 94 70%
percent of the parents of 3- and 4-year-olds; 65%
PUNISHMENT
the prevalence declined steadily from age 5 60%
55%
to age 17. The use of psychological tech- 50%
niques—shouting, name-calling, threaten- 45%
ing—was reported by more than 85 percent 40%
35%
of parents of children of all ages. The results 30%
are displayed in Figure 3.2. 25%
Observed Psychological
20%
Punishment is obviously widely used 15% Observed Physical
in the United States, suggesting that our 10% Moving Average Physical
culture is tolerant of or encourages its 5%
0%
use. As discussed earlier, corporal pun- 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17
ishment was more commonly reported by AGE OF CHILD
African-American and low-income parents
(Straus & Stewart, 1999), while the use of FIgure 3.2 Percentage of Parents Who
psychological techniques did not vary by use Physical Punishment and Psychological
race or other sociodemographic character- Punishment
istics (Straus & Field, 2003). The Gallup Organization interviewed a representative
So, does punishment work? Research in- sample of 991 parents in 1995. Each parent was asked
dicates that it is effective in some circum- whether and how often he or she used physical pun-
stances but not in others. One aspect is ishment (spanked the bottom; slapped hand, arm, or
timing. Punishment is most effective when leg; pinched; shook; hit on the bottom with an object;
it occurs in close proximity to the behavior. or slapped head, face, or ears) and psychological pun-
ishment (shouted, yelled, or screamed; threatened to
A verbal reprimand delivered as the child
hit or spank; swore or cursed; threatened to kick out of
touched the toy was more effective than a the house; or called names, such as dumb or lazy). Most
prior warning or a reprimand following the parents reported using both types. The use of physical
action (Aronfreed & Reber, 1965). Also, the punishment peaked with 4-year-old children and then
effectiveness may be limited to the situation declined steadily through age 17. By contrast, the use of
in which it is given. Because punishment is psychological punishment was reported to be as com-
usually administered by a particular person, mon with 17-year-olds as with 1-year-olds (90 percent).
it may be effective only when that person is Source: Straus and Stewart, 1999; Straus and Field, 2003.
present. This probably accounts for the fact
that when their parents are absent, children
may engage in activities that their parents the child not to touch it because it is “hot”
earlier had punished (Parke, 1969, 1970). enables him or her to learn to avoid hot ob-
Another factor in the effectiveness of jects as a group. Finally, consistency between
punishments is whether they are accompa- the reprimands given by parents and their
nied by a reason (Parke, 1969). Providing a own behavior makes punishment more ef-
reason allows the child to generalize the pro- fective than if parents do not practice what
hibition to a class of acts and situations. Yell- they preach (Mischel & Liebert, 1966).
ing “No!” as a child reaches out to touch the What about the long-term consequences
stove may suppress that behavior. Telling of punishment? Clearly, parents and care-
9780813349503.indb 84 5/16/14 1:50 PM

givers need to control children’s behavior. 1982b). This, in turn, makes the individ-
At the same time, they need to recognize ual more likely to seek opportunities to
that corporal punishment may be associ- engage in that behavior. The greater one’s
ated with subsequent antisocial behavior by sense of self-efficacy, the more effort one
children. Punishment should focus on the will expend at a task and the greater one’s
behavior and not the child, and should be persistence in the face of difficulty. For in-
balanced by praise and rewards. stance, a young girl who perceives herself
as a good basketball player is more likely to
Self-Reinforcement and Self-Efficacy. try out for a team. Conversely, experiences
Children learn hundreds, if not thousands, of failure to perform a task properly, or of
of behaviors through instrumental learning. the failure of the performance to produce
The performance of some of these behaviors the expected results, create the perception
will remain extrinsically motivated—that that one is not efficacious. Perceived lack of
is, they are dependent on whether someone efficacy is likely to lead to avoidance of the
else will reward appropriate behaviors or task. A boy who perceives himself as poor at
punish inappropriate ones. However, the spelling will probably not enter the school
performance of other activities becomes in- spelling bee.
trinsically motivated—that is, performed
in order to achieve an internal state that the Observational Learning
individual finds rewarding (Deci, 1975). Re-
search has demonstrated that external re- Children love to play dress-up. Girls put
wards do not always improve performance. on skirts, step into high-heeled shoes, and
Providing a reward for a behavior that is in- totter around the room; boys put on sport
trinsically motivated, such as drawing, may coats and drape ties around their necks.
actually reduce the frequency or quality Through observing adults, children have
of the activity (Lepper, Greene, & Nisbett, learned the patterns of appropriate dress in
1973). their society. Similarly, children often learn
Closely related to the concept of intrin- interactive rituals, such as shaking hands or
sic motivation is self-reinforcement. As waving goodbye, by watching others per-
children are socialized, they learn not only form the behavior and then doing it on their
specific behaviors but also performance own.
standards. Children learn not only to write Observational learning, or modeling,
but to write neatly. These standards be- refers to the acquisition of behavior based
come part of the self; having learned them, on the observation of another person’s
the child uses them to judge his or her own behavior and of its consequences for that
behavior and thus becomes capable of self- person (Shaw & Costanzo, 1982). Many be-
reinforcement (Bandura, 1982b). The child haviors and skills are learned this way. By
who has drawn a house and comes running watching another person (the model) per-
up to her father with a big smile, saying, form skilled actions, a child can increase his
“Look what I drew,” has already judged the or her own skills. The major advantage of
drawing as a good one. If her father agrees, modeling is its greater efficiency compared
her standards and self-evaluation are con- with trial-and-error learning.
firmed. Does observational learning lead directly
Successful experiences with an activ- to the performance of the learned behav-
ity over time create a sense of competence ior? No; research has shown that there is a
at the activity, or self-efficacy (Bandura, difference between learning a behavior and
9780813349503.indb 85 5/16/14 1:50 PM

model with a magazine. In the third version,

there were no rewards or punishments.
Later, each child was left alone with vari-
ous toys, including a Bobo doll. The child’s
behavior was observed through a one-way
mirror. Children who had observed the
model who was punished were much less
likely to punch and kick the doll than the
other children.
Did these other children not learn the
aggressive behaviors, or did they learn them
Observational learning or imitation is an by observation but not perform them? To
important process through which children learn answer this question, the experimenter re-
appropriate behaviors. © Images_Bazaar/iStock turned to the room and offered a reward for
each act of the model that the child could
performing it. People can learn how to per- reproduce. Following this offer, the chil-
form a behavior by observing another per- dren in all three groups were equally able to
son, but they may not perform the behavior reproduce the acts performed by the model.
until the appropriate opportunity arises. Thus, a child is less likely to perform an act
Considerable time may elapse before the learned by observation if the model experi-
observer is in the presence of the eliciting enced negative consequences.
stimulus. A father in the habit of mutter- Whether children learn from observing
ing “damn” when he spills something may, a model also depends on the characteris-
much to his chagrin, hear his 3-year-old tics of the model. Children are more likely
daughter say “damn” the first time she spills to imitate high-status and nurturant mod-
milk. Children may learn through observa- els than models who are low in status and
tion many associations between situational nurturance (Bandura, 1969). Preschool
characteristics and adult behavior, but they children given dolls representing peers,
may not perform these behaviors until they older children, and adults consistently
occupy adult roles and find themselves in chose adult dolls as people they would go to
such situations. for help and older children as people they
Even if the appropriate stimulus occurs, would go to for teaching (Lewis & Brooks-
people may not perform behaviors learned Gunn, 1979). Children also are more likely
through observation. An important influ- to model themselves after nurturant per-
ence is the consequences experienced by sons than after cold and impersonal ones.
the model following the model’s perfor- Thus, socialization is much more likely to
mance of the behavior. For instance, in be effective when the child has a nurturant,
one study (Bandura, 1965), nursery school loving primary caregiver.
children watched a film in which an adult
model punched, kicked, and threw balls at Internalization
a large, inflated rubber Bobo doll. Three
versions of the film were shown to three Often, we feel a sense of moral obligation
groups of children. In the first, the model to perform some behavior. At other times,
was rewarded for his acts: A second adult we experience a strong internal feeling that
appeared and gave the model soft drinks a particular behavior is wrong. Usually, we
and candy. In the second version, the model experience guilt if these moral prescriptions
was punished: The other adult spanked the or prohibitions are violated.
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Internalization is the process by which competent—competitive, logical, able to

initially external behavioral standards (for make decisions easily, ambitious. Women
example, those held by parents) become in- have been expected to be high in warmth
ternal and subsequently guide the person’s and expressiveness—gentle, sensitive, tact-
behavior. An action is based on internal- ful (Broverman, Vogel, Broverman, Clark-
ized standards when the person engages in son, & Rosenkrantz, 1972). Parents employ
it without considering possible rewards or these or other expectations as guidelines
punishments. Various explanations have in socializing their children, and differen-
been offered of the process by which inter- tial treatment begins at birth. Male infants
nalization occurs, but all of them agree that are handled more vigorously and roughly,
children are most likely to internalize the whereas female infants are given more
standards held by more powerful or nurtur- cuddling (Lamb, 1979). Boys and girls are
ant adult caregivers. dressed differently from infancy and often
Internalization is an important social- are given different kinds of toys to play with.
izing process. It results in the exercise of Moreover, mothers and fathers differ in
self-control. People conform to internal the way they interact with infants. Mothers
standards even when there is no surveil- engage in behavior oriented toward ful-
lance of their behavior by others and, there- filling the child’s physical and emotional
fore, no rewards for their conformity. Peo- needs (Baumrind, 1980), whereas fathers
ple who are widely admired for taking po- engage the child in rough-and-tumble,
litical or religious actions that are unpopu- physically stimulating activity (Walters
lar—for standing up for their beliefs—often & Walters, 1980). Fathers also engage
do so because those beliefs are internalized. sons in more rough-and-tumble play than
daughters. These differences are found in
European-American, African-American,
outcoMeS of SocIalIzatIon and Hispanic families (Parke, 1996). Thus,
almost from birth, infants are exposed to
Persons being socialized acquire new skills, models of masculine and feminine behav-
knowledge, and behavior. In this section, ior. Mothers and fathers differ in their talk
we discuss some specific outcomes of the to young children; mothers talk more than
socialization process, including gender role, fathers, and mothers’ talk is socioemotional
linguistic and cognitive competence, moral (supportive or negative), whereas fathers’
development, and orientation toward work. talk is instrumental (Leaper, Anderson, &
Sanders, 1998).
Gender Role By age 2, the child’s gender identity—his
or her conception of self as male or female—
“Congratulations, you have a girl!” Such a is firmly established (Money & Ehrhardt,
pronouncement by a birth attendant may 1972). Boys and girls show distinct prefer-
be the single most important event in a ences for different types of play materials
new person’s life. The gender assigned to and toys by this age. Between the ages of 2
the infant—male or female—has a major and 3, differences in aggressiveness become
influence on the socialization and life expe- evident, with boys displaying more physical
riences of that child. and verbal aggression than girls (Hyde &
Every society has differential expecta- Else-Quest, 2012). This difference is stable
tions regarding the characteristics and be- across ages 3, 4, and 5 (Lussier, Corrado &
havior of men and women. In our society, Tzoumakis, 2012). In data from nine coun-
men traditionally have been expected to be tries, boys ages 7 to 10 were found to engage
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in more physical and relational aggression turn depend on the network of extended
than girls (Lansford et al., 2012). By age 4, family—grandparents, aunts and uncles,
the games typically played by boys and girls and other relatives—and friends of the fam-
differ; groups of girls play house, enacting ily. The expectations held by these people
familial roles, whereas groups of boys play are influenced by the institutions to which
space rangers. In middle childhood, gen- they belong, such as churches and work or-
der-segregated play appears to be almost ganizations (Stryker & Serpe, 1982). With
universal (Edwards, Knoche, & Kumru, regard to religion, research suggests that
2001). the differences among denominations in
We noted early in this chapter the im- socialization techniques and in outcomes
portance of “nature” in understanding chil- such as gender role attitudes have declined
dren’s development. Research involving in recent decades (Alwin, 1986). The data
almost 4,000 twin and non-twin sibling suggest that church attendance is more in-
pairs (Iervolino, Hines, Golombok, Rust, & fluential than the denomination to which
Plomin, 2005) identified both genetic and one belongs.
shared environmental (family) influences Gender role definitions vary by culture.
on sex-typed behavior (play activities) for Some research suggests that Latino fam-
both boys and girls. In related research, ilies teach more traditional expectations
Hines and colleagues (2002) measured for behavior of boys and girls compared to
women’s blood levels of testosterone during other groups in U.S. society. These fami-
pregnancy, and gender-role behaviors when lies also encourage a strong sense of fam-
the children were 3½ years old. There was a ily obligation, which has benefits but may
positive relationship between testosterone tie offspring physically to the family, limit-
and male-typed behavior among girls, but ing educational and occupational mobility
not among boys. (Crosnoe & Cavanagh, 2010). Other re-
Parents are an important influence on search finds that as education and female
the learning of gender role—the behavioral labor-force participation increase, families
expectations associated with one’s gender. have more egalitarian views of behavior and
Children learn gender-appropriate behav- decision making (Ginorio, Gutierrez, Cauce,
iors by observing their parents’ interaction. & Acosta, 1995). It is important to remem-
Children also learn by interacting with par- ber that “Latino” encompasses people from
ents, who reward behavior consistent with several different cultural backgrounds, in-
their expectations and punish behavior cluding Mexican-American, Puerto Rican,
inconsistent with them. The child’s earli- and Cuban. Asian cultures are patriarchal,
est experiences relating to members of the and parents may socialize female children
other gender occur in interaction with the to restrictive norms designed to serve the
opposite-gender parent. A woman may be family rather than express their individu-
more likely to develop the ability to have ality (Root, 1995). Again, “Asian” includes
warm, psychologically intimate relation- persons of Chinese, Taiwanese, Japanese,
ships with men if her relationship with her Korean, and Vietnamese descent; these
father was of this type (Appleton, 1981). cultures may differ in the prevailing gender
Obviously, boys are not all alike in our role definitions.
society, and neither are girls. The specific Schools also teach gender roles. Teach-
behaviors and characteristics that the child ers may reward appropriate gender role be-
is taught depend partly on the gender role havior. A more subtle influence on social-
expectations held by the parents. These in ization is the content of the stories that are
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Children and adolescents learn gender-role expectations and behavior through interaction with adults.
Meeting their hero, basketball player Dwyane Wade, may have a lifelong impact on these boys/girls/
youth. © AP Photo/J. Pat Carter
read and told in preschool and first-grade active, and more likely to be portrayed as
classes. Many of these stories portray men adults, and as superheroes (Fitzpatrick &
and women as different. In the past, men McPherson, 2010).
were depicted as rulers, adventurers, and A major influence on gender role social-
explorers; women were wives (Weitzman, ization is the mass media. Media provide
Eifler, Hokada, & Ross, 1972). A study of images of masculinity and femininity that
award-winning books for children pub- can readily be imitated. Researchers ana-
lished from 1995 to 1999 found men and lyzing the contents of television programs,
women equally represented as main char- television advertising, feature films, and
acters, but men played a greater variety other media report that portrayals of men
of roles and were seldom shown engag- and women and girls and boys reinforce
ing in child care, shopping, or housework traditional definitions of gender roles. A
(Gooden & Gooden, 2001). An analysis of content analysis of 175 episodes of 41 ani-
200 children’s picture books found that mated TV series found that male characters
males were title characters twice as often were portrayed as independent, athletic,
as females, and females were more often ambitious, and aggressive, whereas female
portrayed as nurturing, in indoor scenes, characters were shown as dependent, emo-
and appeared to have no paid employment tional, domestic, and romantic (Thomp-
(Hamilton et al., 2006). A study of illustra- son & Zerbinos, 1995). A content analysis
tions in a sample of 56 contemporaneous of 160 hours of children’s cartoons found
coloring books found that males were more that superheroes are defined in masculine
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terms (Baker & Raney, 2007). A study of high school students surveyed their media
the fiction in Seventeen and Teen, the two usage and gender role attitudes. Later, stu-
highest-selling magazines for teenage girls, dents viewed either four music videos with
found that the stories reinforced traditional stereotypic portrayals of gender or four non-
messages (Peirce, 1993). Half of the con- stereotypic ones. More frequent viewing of
flicts were about relationships, and half the music videos was associated with more tra-
female characters relied on someone else ditional gender role attitudes. Youth who
to solve their problems. Adult men in the viewed stereotypic videos expressed more
stories were doctors, lawyers, and bankers; traditional views of gender and sexual re-
adult women were nurses, clerical workers, lationships (Ward, Hansbrough, & Walker,
and secretaries. Perhaps the most stereo- 2005). Clearly, gender role portrayals are
typed portrayals are found in music videos. related to gender role attitudes of children
An analysis of 40 music videos found that and adolescents.
men engaged in more dominant, aggressive During childhood and adolescence,
behavior, whereas women engaged in sub- youth are explicitly taught and rewarded for
servient behavior; women were frequently behavior consistent with gender role norms.
the object of explicit, implicit, and aggres- They also observe models behaving in a va-
sive sexual advances (Sommers-Flanagan, riety of ways. Children do not simply mimic
Sommers-Flanagan, & Davis, 1993). their parents, siblings, or MTV performers.
An analysis of music videos broadcast in As the interpretive perspective suggests,
2004 on MTV and MTV2 found that gender children learn gender role behaviors and
displays reinforced stereotypes of women as then re-create them, adapting them to their
sex objects, and males as aggressive and fe- individual social contexts. Williams (2002)
males as submissive (Wallis, 2010). Another refers to this process as trying on gender—
study of 120 videos revealed that videos of experimenting, resisting, and rehearsing
African-American musical genres (rap, hip- ways to be female or male.
hop) or featuring black performers were
much more likely to portray sexual content Linguistic and Cognitive Competence
and women in provocative dress, compared
to videos of white musical genres (Turner, Another important outcome of socializa-
2011). tion is the ability to interact effectively with
Research is now focusing on the impact others. We discuss two specific competen-
of these portrayals on young media con- cies: language and the ability to cognitively
sumers. Researchers asked 190 first- and represent the world.
second-graders to name their three favorite
television programs. They analyzed por- Language. Using language to communicate
trayals of gender in the six programs named with others is a prerequisite for full partic-
most often. Male characters were more ipation in social groups (Shibutani, 1961).
likely to answer questions, boss others, and The child’s acquisition of speech reflects
achieve goals. Boys who preferred stereo- both the development of the necessary per-
typic male characters were more likely to ceptual and motor skills and the impact of
value hard work. Boys and girls who pre- social learning (Bates, O’Connell, & Shore,
ferred female/male counterstereotypic con- 1987).
tent were more likely to report attraction The three main components of language
to female/male characters (Aubrey & Har- are the sound system (phonology), the words
rison, 2004). A study of African-American and their associated meanings (lexicon), and
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the rules for combining words into mean- At about 18 months, there is a vocabu-
ingful utterances (grammar). Young chil- lary burst, with a doubling in a short time
dren appear to acquire these in sequence, of the number of words that are correctly
first mastering meaningful sounds, then used. The suddenness of this increase sug-
learning words, and finally learning sen- gests that it reflects the maturation of some
tences. In reality, acquiring speech is a pro- cognitive abilities. This, in turn, is followed
cess that involves all three at the same time by an increase in the complexity of vocaliza-
and continues throughout childhood. tions, leading to the first sentence stage at 18
Language acquisition in the first 3 years to 22 months. Examples of such sentences
passes through four stages (Bates et al., include “See truck, Mommy” and “There
1987). The pre-speech stage lasts for about go one.” Such speech is telegraphic—that
10 months and involves speech perception, is, the number of words is greatly reduced
speech production, and early intentional relative to adult speech (Brown & Fraser,
communication. In the first few weeks of 1963). At the same time, such utterances are
life, infants can perceive all of the speech clearly more precise than the single-word
sounds. They begin producing sounds at 2 utterances of the 1-year-old child.
to 3 months, and begin producing sounds The fourth stage, grammaticization, oc-
specific to their parents’ language at 4 to 7 curs at 24 to 30 months. The child’s use of
months. Speech production involves imita- language now reflects the fundamentals of
tion of the sounds they hear. With regard to grammar. Children at this age frequently
intentional communication, observational overgeneralize, applying rules indiscrim-
data indicate that vocal exchanges involving inately. For example, they will add an ap-
4-month-old infants and their mothers are propriate ending to a novel word although
patterned (Stevenson, Ver Hoeve, Roach, & it is incorrect: “He runned.” Such usage
Leavitt, 1986). Vocalization by either infant indicates that the child understands that
or mother was followed by silence, allowing there are rules. At about the same age, a
the other to respond. Vocalization by one child puts series of acts in the conventional
was likely to be followed by vocalization by sequence—for example, undressing a doll,
the other, a pattern like that found in adult bathing it, drying it, and dressing it. Perhaps
conversation. both activities reflect the maturation of an
The first intentional use of gestures oc- underlying ability to order arbitrary units.
curs at about 9 months. At this age, infants An important process in learning to
orient visually to adults rather than to de- make grammatically correct sentences is
sired objects, such as a cookie. Further- speech expansion. That is, adults often re-
more, if an initial gesture is not followed by spond to children’s speech by repeating it in
the adult engaging in the desired behavior, expanded form. In response to “Eve lunch,”
the infant will repeat the gesture or try a dif- the mother might say “Eve is eating lunch.”
ferent gesture. One study showed that mothers expanded
The second or first word stage occurs at 30 percent of the utterances of their 2-year-
10 to 14 months and involves the infant’s old children (Brown, 1964). Adults probably
recognition that things have names. The expand on the child’s speech to determine
first words produced are usually nouns that the child’s specific meaning. Speech expan-
name or request specific objects (March- sion contributes to language acquisition by
man, 1991). Obviously, this ability to use providing children with a model of how to
names reflects cognitive as well as linguistic convey more effectively the meanings they
development. intend.
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The next stage of language development several differences between mothers and
is highlighted by the occurrence of private fathers in types of communication. For ex-
speech, in which children talk to them- ample, mothers were more supportive and
selves, often for extended periods. Private less directive compared to fathers. More-
speech begins at about age 3, increases in over, mothers and fathers differed in the
frequency until age 5, and disappears by way they talked to sons and to daughters
about age 7. Such private talk serves three (Leaper, Anderson, & Sanders, 1998). Thus
functions. First, it contributes to the child’s children are socialized to gender differences
developing sense of self. Private speech is in language use as they observe and interact
addressed to the self as object, and it often with their parents/caregivers.
includes the application of meanings to the Language socialization involves much
self, such as “I’m a girl.” Second, private more than learning to talk. It also involves
speech helps the child develop an aware- learning to think, how to behave, and how
ness of the environment. It often consists to feel and express feelings (Garrett &
of naming aspects of the physical and so- Baquedano-Lopez, 2002). As the interpre-
cial environment. The repeated use of these tive perspective suggests, language learning
names solidifies the child’s understanding occurs in the routine, everyday interaction
of the environment. Children also often en- of children and adults. It is responsive to
gage in appropriate actions as they speak, and reflects local values, patterns of social
reflecting their developing awareness of organization, and (sub)cultural features.
the social meanings of objects and persons.
Thus, a child may label a doll a “baby” and Cognitive Competence. Children must de-
dress it and feed it. Third, children engage velop the ability to represent in their own
in more private speech during novel or minds the features of the world around
open-ended tasks than during tasks where them. This capacity to represent reality
the teacher or parent tells them what to mentally is closely related to the develop-
do (Kyjonkova & Lacinova, 2010), or self- ment of language.
selected activity (Winsler, Carlton & Barry, The child’s basic tasks are to learn the
2000), suggesting that its use facilitates regularities of the physical and social en-
self-regulation of behavior by the child. vironment and to store past experience
Gradually, the child begins to engage in in a form that can be used in current sit-
dialogues, either with others or with the uations. In a complex society, there are so
self. These conversations reflect the ability many physical objects, animals, and peo-
to adopt a second perspective. Thus, by age ple that it is not possible for a child (or an
6, when one child wants a toy that another adult) to remember each as a distinct entity.
child is using, the first child frequently of- Things must be categorized into inclusive
fers to trade. She knows that the second groupings, such as dogs, houses, or girls. A
child will be upset if she merely takes the category of objects and the cognitions that
toy. This movement away from a self-cen- the individual has about members of that
tered view also may reflect maturational category (for example, “dog”) makes up a
changes. Dialogue requires that the child’s schema. Collectively, our schemas allow us
own speech meshes with that of another. to make sense of the world around us.
Language is important in the socializa- Young children must learn schemas (see
tion of gender. A meta-analysis of obser- Chap. 1). Learning language is an essen-
vational studies of parents’ use of language tial part of the process, because language
in interaction with their children identified provides the names around which sche-
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mas can develop. It is noteworthy that the tive and negative attitudes toward the wide
first words that children produce are usu- range of social objects they come to recog-
ally nouns that name objects in the child’s nize. The particular schemas and evalua-
environment. At first, the child uses a few tions that children learn are influenced by
very general schemas. Some children learn the social class, religious, ethnic, and other
the word dog at 12 to 14 months and then subcultural groupings to which those who
apply it to all animals—to dogs, cats, birds, socialize them belong.
and cows. Only with maturation and expe-
rience does the child develop the abstract Moral Development
schema “animals” and learn to discriminate
between dogs and cats. In this section, we discuss moral develop-
Researchers can study the ability to use ment in children and adults. Specifically, we
schemas by asking children to sort objects, focus on the acquisition of knowledge of so-
pictures, or words into groups. Young chil- cial rules and on the process through which
dren (aged 6 to 8) rely on visual features, children become capable of making moral
such as color or word length, and sort ob- judgments.
jects into numerous categories. Older chil-
dren (aged 10 to 12) increasingly use func- Knowledge of Social Rules. To interact ef-
tional or superordinate categories, such as fectively with others, people must learn the
foods, and sort objects into fewer groups social rules that govern interaction and in
(Olver, 1961; Rigney, 1962). With age, chil- general adhere to them. Beliefs about which
dren become increasingly adept at classi- behaviors are acceptable and which are
fying diverse objects and treating them as unacceptable for specific persons in spe-
equivalent. cific situations are termed norms. Without
These skills are very important in so- norms, coordinated activity would be very
cial interaction. Only by having the ability difficult, and we would find it hard or im-
to group objects, persons, and situations possible to achieve our goals. Therefore,
can one determine how to behave toward each group, organization, and society de-
them. Person schemas and their associ- velops rules governing behavior.
ated meanings are especially important to Early in life, an American child learns
smooth interaction. Even very young chil- to say “Please,” a French child “S’il vous
dren differentiate people by age (Lewis & plait,” and a Serbian child “Molim te.” In
Brooks-Gunn, 1979). By about 2 years of every case, the child is learning the value of
age, children correctly differentiate babies conforming to arbitrary norms governing
and adults when shown photographs. By requests. Learning language trains the
about 5, children employ four categories: child to conform to linguistic norms and
little children, big children, parents (aged serves as a model for the learning of other
13 to 40), and grandparents (aged 40-plus). norms. Gradually, through instrumental
As children learn to group objects into and observational learning, the child learns
meaningful schemas, they learn not only the the generality of the relationship between
categories but also how others feel about conformity to norms and the ability to
such categories. Children learn not only interact smoothly with others and achieve
that Catholics are people who believe in one’s own goals.
the Trinity of Father, Son, and Holy Spirit, What influences which norms children
but also whether their parents like or dis- will learn? The general culture is one
like Catholics. Thus, children acquire posi- influence. All American children learn to
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cover parts of the body with clothing in involvement with their peers, children may
public. The position of the family within become aware that other children routinely
the society is another influence. Parental play with such toys. As a result, some
expectations reflect social class, religion, children will experience normative conflict
and ethnicity. Thus, the norms that and discover the need to develop strategies
children are taught vary from one family for resolving such conflicts.
to another. Interestingly, parents often A second way that peer norms differ
hold norms that they apply distinctively to from parental norms is that the former
their own children. Mothers and fathers reflect a child’s perspective (Elkin &
expect certain behaviors of their own Handel, 1989). Many parental expectations
sons or daughters but may have different are oriented toward socializing the child for
expectations for other people’s children adult roles. Children react to each other as
(Elkin & Handel, 1989). For instance, they children and are not concerned with long-
may expect their own children to be more term outcomes. Thus, peers encourage
polite than other children in interaction impulsive, spontaneous behavior rather
with adults. Parental expectations are not than behavior directed toward long-term
constant over time; they change as the goals. Peer norms emphasize participation
child grows older. Parents expect greater in group activities, whereas parental norms
politeness from a 10-year-old than from may emphasize homework and other
a 5-year-old. Finally, parents adjust their educational activities that may contribute
expectations to the particular child. They to academic achievement.
consider the child’s level of ability and When children enter school, they are ex-
experiences relative to other children; they posed to a third major socializing agent—
expect better performance in school from the teacher. In school, children are exposed
a child who has done well in the past than to universalistic rules—norms that apply
from one who has had problems in school. equally to all children. The teacher is much
In all of these ways, each child is being less likely than the parents to make allow-
socialized to a somewhat different set of ances for the unique characteristics of the
norms. The outcome is a young person individual; children must learn to wait their
who is both similar to most others from
the same social background and unique in
certain ways.
When children begin to engage in
cooperative play at about 4 years of age, they
begin to experience normative pressure
from peers. The expectations of age-mates
differ in two important ways from those of
parents. First, children bring different norms
from their separate families and, therefore,
introduce new expectations. Thus, through
their peers, children first become aware
there are other ways of behaving. In some At school, children get their first exposure to
universal norms—behavioral expectations that
cases, peers’ expectations conflict with
are the same for everyone. Although parents and
those of parents. For example, many friends treat the child as an individual, teachers
parents do not allow their children to play are less likely to do so. © monkeybusinessimages/
with toy guns, knives, or swords. Through iStock
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turn, to control impulsive and spontaneous Kohlberg (1969) extended Piaget’s work
behavior, and to work without a great deal by analyzing the reasoning by which people
of supervision and support. In this regard, reach moral judgments. He uses stories in-
the school is the first of many settings volving conflict between human needs and
where the individual is treated primarily social norms or laws. Here is an example:
as a member of the group rather than as a In Europe, a woman was near death from
unique individual. As noted in Box 3.2, chil- cancer. One drug might save her, a form of
dren may engage in resistance in response radium that a druggist in the same town
to the authority structure in a school. had recently discovered. The druggist was
Thus, school is the setting in which charging $2,000, ten times what the drug
children are first exposed to universalis- cost him to make. The sick woman’s hus-
tic norms and the regular use of symbolic band, Heinz, went to everyone he knew to
rewards, such as grades. Such settings be- borrow money, but he could only get to-
come increasingly common in adolescence gether about half of what it cost. He told the
and adulthood, in contrast with the individ- druggist that his wife was dying and asked
ualized character of familial settings. him to sell it cheaper or let him pay later.
But the druggist said no. The husband got
Moral Judgment. We not only learn the desperate and broke into the man’s store to
norms of our social groups, we also develop steal the drug for his wife (Kohlberg, 1969).
the ability to evaluate behavior in specific Respondents are then asked, “Should
situations by applying certain standards. Heinz have done that? Was Heinz right or
The process through which children be- wrong? What obligations did Heinz and the
come capable of making moral judgments druggist have? Should Heinz be punished?”
is termed moral development. It involves Kohlberg proposes a developmental
two components: (1) the reasons one ad- model with three levels of moral reason-
heres to social rules and (2) the bases used ing, each level involving two stages. This
to evaluate actions by self or others as good model is summarized in Table 3.3. Kohl-
or bad. berg argues that the progression from stage
How do children evaluate acts as good 1 to stage 6 is a standard or universal one,
or bad? One of the first people to study this and that all children begin at stage 1 and
question in detail was Piaget, the famous progress through the stages in order. Most
Swiss developmental psychologist. Piaget adults reason at stages 3 or 4. Few people
read a child stories in which the central reach stages 5 or 6. Several studies have
character performed an act that violated so- shown that such a progression does occur
cial rules. In one story, for example, a young (Kuhn, Langer, Kohlberg, & Haan, 1977). If
girl, contrary to rules, was playing with scis- the progression is universal, children from
sors and made a hole in her dress. Piaget different cultures should pass through the
asked the children to evaluate the behaviors same stages in the same order. Again, data
of the characters (that is, to indicate which suggest that they do (White, Bushnell, &
characters were naughtier) and then to Regnemer, 1978). On the basis of such ev-
explain their reasons for these judgments. idence, Kohlberg claims that this progres-
Based on this work, Piaget concluded there sion is the natural human pattern of moral
were three bases for moral judgments: development. He also believes that attain-
amount of harm/benefit, actor’s intentions, ing higher levels is better or more desirable.
and the application of agreed-upon rules or Kohlberg’s model is an impressive at-
norms (Piaget, 1965). tempt to specify a universal model of moral
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TABle 3.3 Kohlberg’s Model of Moral a morality of caring. A justice orientation

Development is concerned with adherence to rules and
fairness, whereas a caring orientation is
PreConvenTIonAl MorAlITY
concerned with relationships and meeting
Moral judgment based on external, physical the needs of others. Gilligan argues that the
consequences of acts. former is characteristic of men and is the
Stage 1: Obedience and punishment orientation. Rules basis of Kohlberg’s model. She believes the
are obeyed in order to avoid punishment, trouble. latter is more characteristic of women. A
Stage 2: Hedonistic orientation. Rules are obeyed in meta-analysis of studies testing predictions
order to obtain rewards for the self. from the two models indicates that there is a
ConvenTIonAl MorAlITY significant but modest tendency for women
Moral judgment based on social consequences of acts.
to base judgments on caring criteria and for
men to base judgments on considerations
Stage 3: “Good boy/nice girl” orientation. Rules are of justice (Jaffee & Hyde, 2000). Several of
obeyed to please others, avoid disapproval.
these experiments suggest that the content
Stage 4: Authority and social-order-maintaining
of the dilemma has greater influence on the
orientation. Rules are obeyed to show respect for
authorities and maintain social order. criteria used than does gender; thus, both
men and women are flexible in the making
PoSTConvenTIonAl MorAlITY
of moral judgments (Crandall, Tsang, Gold-
Moral judgment based on universal moral and ethical man, & Pennington, 1999).
principles. Third, Kohlberg shows little interest
Stage 5: Social-contract orientation. Rules are obeyed in the influence of social interaction on
because they represent the will of the majority, to moral reasoning. In response to this lim-
avoid violation of rights of others. itation, Haan (1978) has proposed a model
Stage 6: Universal ethical principles. Rules are obeyed of interpersonal morality. Moral decisions
in order to adhere to one’s principles.
and actions often result from negotia-
Source: Adapted from Kohlberg, 1969, Table 6.2.
tions between people in which the goal is
a “moral balance.” Participants attempt to
balance situational characteristics, such as
development. However, it has limitations. the options available, with their individual
First, like Piaget, Kohlberg locates the de- interests to arrive at a decision that allows
terminants of moral judgment within the them to preserve their sense of themselves
individual. He does not recognize the influ- as moral persons. Haan (1978, 1986) pre-
ence of the situation. Studies of judgments sented moral dilemmas to groups of friends
of aggressive behavior (Berkowitz, Mueller, and asked them to decide. In some cases,
Schnell, & Pudberg, 1986), of driving while the decisions were more influenced by in-
intoxicated (Denton & Krebs, 1990), and dividual moral principles; in others, by the
of decisions about reward allocation (Kur- group interaction.
tines, 1986) have found that both moral Recent research on children’s moral
stage and type of situation influenced moral judgment finds that evaluations of an ac-
judgment. tion as “right” or “wrong” are influenced by
Second, Kohlberg’s model has been their attributions of emotion, that is, beliefs
criticized as sexist—not applicable to the about how the transgressor will feel after
processes that women use in moral reason- the action (Malti et al., 2010). In a sample
ing. Gilligan (1982) identifies two concep- of 5-, 7- and 9-year-olds, older children
tions of morality: a morality of justice and were more likely to employ moral reasons
9780813349503.indb 96 5/16/14 1:50 PM

in judging transgressions, and to attribute not. So the meaning of work depends on the
feeling guilty to the transgressor. Other type of job the individual has.
research shows that prosocial moral rea- Adults in different occupations should
soning increases from adolescence (ages 15 have different orientations toward work,
to 16) to young adulthood (ages 25 to 26) and these orientations should influence
(Eisenberg, Cumberland, Guthrie, Murphy, how they socialize their children. Based
& Shepard, 2005). on this hypothesis, extensive research has
been conducted on the differences between
Work Orientations social classes in the values transmitted
through socialization (Kohn, 1969). Fathers
Work is of central importance in social life. are given a list of traits, including good
In recognition of this, occupation is a major manners, success, self-control, obedience,
influence on the distribution of economic and responsibility, and asked to indicate
and other resources. We identify others by how much they value each for their chil-
their work; its importance is evidenced by dren. Underlying these specific character-
the fact that one of the first questions we ask istics, a general dimension—“self-direction
a new acquaintance is “What do you do?” versus conformity”—is usually found. Data
Most adults want to work at jobs that from fathers of 3- to 15-year-old children
provide economic and perhaps other re- indicate that the emphasis on self-direc-
wards. Therefore, it is not surprising that tion and reliance on internal standards in-
a major part of socialization is the learning creases as social class increases. The rela-
of orientations toward work. By the age of tionship of values and social class is found
2, the child is aware that adults “go work” not only in samples of American fathers but
and asks why. A common reply is “Mommy also in samples of Japanese and Polish fa-
goes to work to earn money.” A study of thers (Kohn, Naoi, Schoenbach, Schooler,
900 elementary school children found that & Slomczynski, 1990).
80 percent of first-graders understood These differences in the evaluations
the connection between work and money of particular traits reflect differences in
(Goldstein & Oldham, 1979). The child, in the conditions of work. In general, mid-
turn, learns that money is needed to obtain dle-class occupations involve the manipu-
food, clothing, and toys. The child of a phy- lation of people or symbols, and the work
sician or nurse might be told “Mommy goes is not closely supervised. Thus, these oc-
to work to help people who are ill.” Thus, cupational roles require people who are
from an early age the child is taught the so- self-directing and who can make judgments
cial meaning of work. based on knowledge and internal standards.
Occupations vary tremendously in char- Working-class occupations are more rou-
acter. One dimension on which jobs differ tinized and more closely supervised. Thus,
is closeness of supervision; a self-employed they require workers with a conformist ori-
auto mechanic has considerable freedom, entation. Kohn argues that fathers value
whereas an assembly-line worker may be those traits in their children that they asso-
closely supervised. The nature of the work ciate with success in their occupation.
varies: mechanics deal with things, sales- Do the differences in the value parents
people deal with people, lawyers deal with place on self-direction influence the kinds of
ideas. Finally, occupations such as lawyer activities in which they encourage their chil-
require self-reliance and independent judg- dren to participate? A study of 460 adoles-
ment, whereas an assembly-line job does cents and their mothers (Morgan, Alwin, &
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Griffin, 1979) examined how maternal em- likely to prefer accountant, beautician, and
phasis on self-direction affected the young CEO (Ellis & Ratnasingam, 2006).
person’s grades in school, choice of curric-
ulum, and participation in extracurricular
activities. The researchers reasoned that the lIfe courSe
parents who valued self-direction would en-
courage their children to take college-prepa- Socialization continues throughout one’s
ratory courses, because a college education life. Maturation and social learning, parents,
is a prerequisite to jobs that provide high peers and media, and social structural posi-
levels of autonomy. Similarly, they expected ton continue to influence development as a
mothers who valued self-direction to en- social actor. In adulthood, prior experience
courage extracurricular activities, because and the cultural capital (education, wealth,
such activities provide opportunities to de- and status) derived from it become impor-
velop interpersonal skills. The researchers tant, as do historical events. A viewpoint
did not expect differences in grades. The re- that integrates all of these is the life-course
sults confirmed all three predictions. Thus, perspective. First, an introduction.
parents who value particular traits in their
children do encourage activities that they “I still can’t get over Liz,” said Megan. “I
believe are likely to produce those traits. sat next to her in almost every class for 3
We met Kimberly in the opening essay; years, and still, I hardly recognized her.
her mother started her in piano lessons in Put on some weight since high school,
fourth grade because she valued music, and and dyed her hair. But mostly it was the
that gave her the skills required when the defeated look on her face. When she
band director needed a percussionist. and Hank announced they were getting
By age 16, many adolescents have expec- married, they were the happiest couple
tations about jobs they will hold as adults. A ever. But that lasted long enough for a
longitudinal study in the United Kingdom baby. Then there were years of under-
found that these expectations at 16 were paid jobs. She works part-time in sport-
influenced by both parents and teachers; ing goods at Sears now. Had to take that
these expectations, in conjunction with the job when her real estate work collapsed
level of education completed, were associ- in the recession.”
ated with adult occupational attainment Jim had stopped listening. How
at ages 23, 33, and 42 (Brown, Sessions, & could he get excited about Megan’s Lin-
Taylor, 2004). Thus, adolescents’ expecta- coln High School reunion and people
tions provide a basis for educational and he’d never met? But Megan’s mind kept
career choices. racing. A lot had happened in 25 years.
Occupational choices are associated with
gender and sexual orientation in the United John—Still larger than life. Football
States, according to data from 9,000 men coach at the old school, and assistant
and women ages 18 to 56. Heterosexual principal too. Must be a fantastic model
males were significantly more likely to pre- for the tough kids he works with. That
fer such jobs as athlete, auto mechanic, elec- scholarship to Indiana was the break he
trician, high school coach, and police officer. needed.
Gay men’s preferences were more likely to
include actor, artist, beautician, nurse, and José—Hard to believe he’s in a mental
novelist. Heterosexual females were more hospital! He started okay as an engineer.
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Severely burned in a helicopter crash, through a series of age-linked social roles

and then hooked on painkillers. Just fell embedded in social institutions (Elder &
apart. And we voted him Most Likely to O’Rand, 1995), and the important influ-
Succeed. ences that shape the life course that one
experiences. Our examination of the life
Precious—Thinking about a career in course is organized around three broad
politics. She didn’t start college until questions:
her last kid entered school. Now she’s
an urban planner in the mayor’s office. 1. What are the major components of
Couldn’t stop saying how she feels like a the life course?
totally new person. 2. What are the major influences on
progression through the life course?
Tom—Head nurse at Westside Hospi- That is, what causes people’s careers
tal’s emergency ward. Quite a surprise. to follow the paths they do?
Last I heard, he was a car salesman. 3. In what ways do historical trends and
Started his nursing career at 28. Got the events modify the typical life-course
idea while lying in the hospital for three pattern?
months after a car accident.
Components of the Life Course
Maria—Right on that one, voting her
Most Ambitious. Finished Yale Law, Lives are too complex to study in all their
clerked for the New York Supreme aspects. Consequently, we will focus on the
Court, and just promoted to senior three main components of the life course:
partner with Kennedy, Sanchez and Or- (1) careers, (2) identity and self-esteem, and
tega. Raised two kids at the same time. (3) stress and satisfaction. By examining
Having a husband who writes nov- these components, we can trace the conti-
els at home made life easier. Says she nuities and changes that occur in what we
was lucky things were opening up for do through the life course.
women just when she came along.
Careers. A career is a sequence of roles—
Megan’s reminiscences show how differ- each with its own set of activities—that a
ent lives can be—and how unpredictable. person enacts during his or her lifetime.
When we think about people like Liz or Our most important careers are in three
José or Tom, change seems to be the rule. major social domains: family and friends,
There is change throughout life for all of us. education, and work. The idea of a career
But there is continuity too. Maria’s string of comes from the work world, where it refers
accomplishments is based on her continu- to the sequence of jobs held. Liz’s work ca-
ing ambition, hard work, and competence. reer, for example, consisted of a sequence
John is back at Lincoln High—once a foot- of jobs as waitress, checkout clerk, clothing
ball hero, now the football coach. Even José sales, real estate agent, and sporting-goods
had started on the predicted path to success sales.
before his tragic helicopter crash. The careers of one person differ from
As adults, each of us will experience those of another in three ways—in the roles
a life characterized both by continuity that make up the careers, the order in which
and by change. This section examines the the roles are performed, and the timing and
life course—the individual’s progression duration of role-related activities. For exam-
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ple, one woman’s family career may consist

of roles as infant, child, adolescent, spouse,
parent, grandparent, and widow. Another
woman’s family career may include roles
as stepsister and divorcée but exclude the
parent role. A man’s career might include
the roles of infant, child, adolescent, part-
ner, and uncle. The order of roles also may
vary. “Parent” before “spouse” has very dif-
ferent consequences from “spouse” before
“parent.” Furthermore, the timing of career
events is important. Having a first child at
36 has different life consequences than hav-
ing a first child at 18. Research indicates
that marrying before age 23 is strongly asso-
ciated with returning to school as an adult
(Hostetler, Sweet, & Moen, 2007). Finally,
the duration of enacting a role may vary.
For example, some couples end their mar-
riages before the wedding champagne has
gone flat, whereas others go on to celebrate Some parents are able to blend work roles and
their golden wedding anniversary. family roles by working at home. As further
Societies provide structured career paths advances occur in telecommunications, more
that shape the options available to individu- women and men may choose this option.
However, some major companies have barred
als. The cultural norms, social expectations, employees from working off-site. © Fertnig/iStock
and laws that organize life in a society make
various career options more or less attrac-
tive, accessible, and necessary. In the United stressor that affects the child’s attachment
States, for example, educational careers are to school and GPA (Heard, 2007). The tim-
socially structured so that virtually everyone ing of the event matters; changes occurring
attends kindergarten, elementary school, at age 6 or younger have greater impact than
and at least a few years of high school. changes from age 7 to adolescence. Dura-
Thereafter, educational options are more tion also matters; the number of years spent
diverse—night school, technical and voca- in a mother-stepfather or single-parent
tional school, apprenticeship, community (mother or father) home is negatively re-
college, university, and so on. But individual lated to GPA in grades 7 through 11.
choice among these options is also socially A person’s total life course consists of
constrained. The norms and expectations of intertwined careers in the worlds of work,
our families and peer groups strongly influ- family, and education (Elder, 1975). The
ence our educational careers; so do the eco- shape of the life course derives from the
nomic resources available to us. contents of these careers, from the way they
Events in the family affect the child’s/ad- mesh with one another, and from their in-
olescent’s educational career, via linkages terweaving with those of family members.
between adults and child(ren). Changes in Sally’s classmates, Maria and Precious, en-
family structure (exit or entry of mother/ acted similar career roles: Both finished col-
stepmother or father/stepfather) is a lege, held full-time jobs, married, and raised
9780813349503.indb 100 5/16/14 1:50 PM

children. Yet the courses of their lives were of prospective father as incompatible with
very different. Maria juggled these roles the identity of gay man. However, some
simultaneously, helped by a husband who gay men are fathers. Interviews focused on
was able to work at home. Precious waited how this identity change occurred; consid-
until her children were attending school eration by a man of parenthood was trig-
before continuing her education and then gered by caring for a child, meeting a gay
adding an occupational role. The different or lesbian parent, or contact with an adop-
content, order, timing, and duration of in- tion agency (Berkowitz & Marsiglio, 2007).
tertwining careers make each person’s life Adoption of the identity was the product of
course unique. negotiations with intimate partners, birth
Why and when do people move? A mothers, lawyers, and other agents of orga-
rarely studied phenomenon is the housing nizations associated with reproduction.
or residential career. A person may move As we enact major roles, especially fa-
upward—into a larger, more expensive, or milial and occupational roles, we evaluate
single-family residence—or downward— our performances and thereby gain or lose
into a smaller, lower-quality, or multi- self-esteem—one’s sense of how good and
family dwelling. This residential career is worthy one is. Self-esteem is influenced
interwoven with educational, family, and by one’s achievements; Maria has high
occupational careers. In fact, a move is usu- self-esteem as a consequence of being the
ally associated with events in these other first in her family to earn a law degree, and
realms. With regard to family careers, en- a senior partner in a prestigious law firm.
tering cohabitation or marriage often in- Self-esteem is also influenced by the feed-
volves a move up for one or both partners; a back one receives from others.
separation or divorce often involves moves Identities and self-esteem are crucial
down. Comparing married and cohabiting guides to behavior, as discussed in Chap-
couples, couples who divorced experienced ter 4. We therefore consider identities and
a larger drop in housing quality (Feijten & self-esteem as the second component of the
van Ham, 2010). life course.
Identities and Self-Esteem. As we engage Stress and Satisfaction. Performing career

in career roles, we observe our own perfor- activities often produces positive feelings,
mances and other people’s reactions to us. such as satisfaction, and negative feelings,
Using these observations, we construct role including stress. These feelings reflect how
identities—conceptions of the self in spe- we experience the quality of our lives. Thus,
cific roles. The role identities available to stress and satisfaction are the third compo-
us depend on the career paths we are fol- nent of the life course.
lowing. When Liz’s work in real estate col- An important influence on the amount
lapsed, she got a job in sales at Sears; she of stress or satisfaction experienced by a
was qualified to sell sporting goods because partner in a dual-earner relationship is the
of her prior work experience. balance between marital and work roles.
As we will see in Chapter 4, identities A study of dual-earner couples found that
are negotiated. To become a parent, one couples who shared in making decisions and
must negotiate with a partner, or with per- in which both spent time doing household
sons representing alternative paths (artifi- or housekeeping tasks experienced equity
cial insemination, surrogates, adoption) to (see Chap. 14) (Bartley, Blanton, & Gilliard,
parenthood. Many gay men see the identity 2005). Couples in which one person exerted
9780813349503.indb 101 5/16/14 1:50 PM

unilateral influence and did a dispropor- form of advice and emotional and material
tionate share of housework perceived less aid—increases our ability to cope success-
equity and experienced stress. fully with change. To help their members,
Changes in career roles, such as having families reallocate their resources and re-
a baby, adopting a child, or changing jobs, organize their activities. Thus, parents lend
place emotional and physical demands on money to young couples, and older adults
the person. Life events, such as moving or provide care for their grandchildren so
serious conflict with a parent or lover, may their children can work.
have similar effects. These are referred to as Personal resources and competence in-
stressful life events. These may have posi- fluence how one copes with stress. Coping
tive effects such as motivating career or successfully with earlier transitions pre-
housing improvements; when the person pares individuals for later transitions. Men
responds to stress as a positive challenge, who develop strong ego identities in young
it is referred to as eustress. At other times, adulthood perceive events later in their
the demands made on a person exceed the lives as less negative (Sammon, Reznikoff,
individual’s ability to cope with them; such & Geisinger, 1985). Life course mastery re-
a discrepancy is called stress (Dohrenwend, fers to the belief that an individual has di-
1961). People who are under stress often rected and managed the trajectories of his
experience psychological (anxiety, tension, or her life. Influences on this sense of mas-
depression) and physical (fatigue, head- tery were studied through face-to-face in-
aches, illness) consequences (Wickrama, terviews with more than 1,100 persons aged
Lorenz, Conger, & Elder, 1997). 65 and older (Pearlin, Nguyen, Schieman, &
These feelings vary in their intensity in Milkie, 2007). Attaining occupational pres-
response to life course events (see Chap. 1). tige (see Chap. 15) and accumulated wealth
Levels of stress, for example, change as ca- were positively related to life course mas-
reer roles become more or less demanding tery. Experiences of unfair treatment in ed-
(parenting roles become increasingly de- ucational or work settings, and number and
manding as children enter adolescence), as severity of periods of economic hardship,
different careers compete with one another were negatively related to it.
(family versus occupational demands), and
as unanticipated setbacks occur (one’s em- Influences on Life Course Progression
ployer goes bankrupt). Levels of satisfaction
vary as career rewards change (salary in- At the beginning of this section, we noted
creases or cuts) and as we cope more or less many events that had important impacts
successfully with career demands (meeting on the lives of Sally’s classmates: loss of a
sales quotas, passing exams) or with life job due to economic recession, a helicop-
events (a heart attack or a car accident). ter crash, a car accident, having a baby, and
The extent to which particular events graduating from a prestigious law school.
or transitions are stressful depends on These are life events—episodes that mark
several factors. First, the more extensive transition points in our lives and involve
the changes associated with the event, the changes in roles. They provoke coping and
greater the stress. For example, a change readjustment (Hultsch & Plemons, 1979).
in employment that requires a move to an For many young people, for example, the
unfamiliar city is more stressful than the move from home to college is a life event
same new job located across town. Second, marking a transition from adolescence to
the availability of social support—in the young adulthood. This move initiates a pe-
9780813349503.indb 102 5/16/14 1:50 PM

riod during which students work out new A major life event or transition for em-
behavior patterns and revise their self- ployed people is retirement. Many people
expectations and priorities. base retirement decisions on biological age,
There are three major influences on the retiring at 62 or 65 or 70. There are two other
life course: (1) biological aging, (2) social ways in which one can exit the labor force:
age grading, and (3) historical trends and suffering work-related disability or dying.
events. These influences act on us through Research on a sample of more than 7,200
specific life events (Brim & Ryff, 1980). women aged 50 to 80 used data collected in
Some life events are carefully planned—a 1992 to identify variables associated with
trip to Europe, for example. Other events, work status in 2004 (Brown & Warner,
no less important, occur by chance—like 2008). White, Black, and Hispanic women
meeting one’s future spouse in an Amster- were equally likely to die before leaving the
dam hostel (Bandura, 1982a). labor force, but Black and Hispanic women
were 65 percent more likely to leave due to
Biological Aging. Throughout the life cy- disability. Not surprisingly, women without
cle, we undergo maturation—biological health insurance, who rated their health as
changes in body size and structure, in the poor, or who reported greater limitations
brain and central nervous system, in the enon their functioning in 1992 were more
docrine system, in our susceptibility to var- likely to suffer disability. This, in turn, re-
ious diseases, and in the acuity of our sight, flects their access to resources. Biologically
hearing, taste, and so on. These changes based capacities and characteristics limit
are rapid and dramatic in childhood. Their what we can do. Their impact on the life
pace slows considerably after adolescence, course depends, however, on the social sig-
picking up again in old age. Even in the nificance we give them. How does the first
middle years, however, biological changes appearance of gray hair affect careers, iden-
may have substantial effects. The shifting tities, and stress, for instance? For some,
hormone levels associated with menstrual this biological event is a painful source of
periods in women and with aging in men stress. It elicits dismay, sets off thoughts
and women, for example, are thought by about mortality, and instigates desperate
many to affect mood and behavior (Som- attempts to straighten out family relations
mer, 2001). and to make a mark in the world before it
Biological aging is inevitable and irre- is too late. Others take gray hair as a sign to
versible, but it is only loosely related to stop worrying about trying to look young,
chronological age. Puberty may come at any to start basing their priorities on their own
time between 8 and 17, for example, and values, and to demand respect for their ex-
serious decline in the functioning of body perience. Similarly, the impact of other bi-
organs may begin before age 40 or after age ological changes on the life course—such
85. The neurons of the brain die off steadily as the growth spurt during adolescence, or
throughout life and do not regenerate. Yet menopause in middle age—also depends on
intellectual functioning—long assumed to the social significance given them.
be determined early in life and to decline
with aging—is now known to be capable Social Age Grading. Which members of
of increase over the life course. Even in old a society should raise children, and which
age, mental abilities can improve with op- should be cared for by others? Who should
portunities for learning and practice (Baltes attend school, and who should work full-
& Willis, 1982). time? Who should be single, and who
9780813349503.indb 103 5/16/14 1:50 PM

should marry? Age is the primary criterion

that every known society uses to assign peo-
ple to such activities and roles (Riley, 1987).
Throughout life, individuals move through
a sequence of age-graded social roles. Each
role consists of a set of expected behaviors,
opportunities, and constraints. Movement
through these roles shapes the course of
life.
Each society prescribes a customary se-
quence of age-graded activities and roles.
Violating the age norms associated with a major
In American society, many people expect a transition, such as the transition to parenthood,
young person to finish school before he or may have lasting consequences. Having a baby at
she enters a long-term relationship. Many age 16 may force a young woman to leave school
people expect a person to marry before she and limit her to a succession of poorly paid jobs.
or he has or adopts a child. There are also © Ian Hooton/Science Photo Library/Corbis
expectations about the ages at which these
role transitions should occur. These expec- tween 1972 and 1980, researchers found
tations vary by race and ethnicity; Hispanic that half of the men and women experienced
adolescent girls expect to marry and have a sequence that violated this “normal” path
a first child at younger ages (22, 23) than (Rindfuss, Swicegood, & Rosenfeld, 1987).
Whites (23, 24) or Blacks (24, 24) (East, Common violations included entering mil-
1998). These age norms serve as a basis for itary service before one finished school and
planning, as prods to action, and as brakes returning to school after a period of full-
against moving too quickly (Neugarten & time employment.
Datan, 1973). In some cases, violating the age norms
Pressure to make the expected tran- associated with a transition has lasting con-
sitions between roles at the appropriate sequences. The transition to marriage is ex-
times means that the life course consists pected to occur between the ages of 19 and
of a series of normative life stages. A nor- 25. Research consistently finds that making
mative life stage is a discrete period in the this transition earlier than usual has long-
life course during which individuals are ex- term effects on marital as well as occupa-
pected to perform the set of activities asso- tional careers. A survey of 63,000 adults
ciated with a distinct age-related role. The allowed researchers to compare men who
order of the stages is prescribed, and people married as adolescents with men of similar
try to shape their own lives to fit socially ap- age who married as adults (Teti, Lamb, &
proved career paths. Moreover, people per- Elster, 1987). Because the sample included
ceive deviations from expected career paths people of all ages, the researchers could
as undesirable. study the careers of men who married 20,
Not everyone experiences major transi- 30, and 40 years earlier. Men who married
tions in the socially approved progression. as adolescents completed fewer years of ed-
Consider the transition to adulthood; the ucation, held lower-status jobs, and earned
normative order of events is leaving school, less income. Furthermore, the marriages of
performing military service, getting a job, those who married early were less stable.
and getting married. Analyzing data about These effects were evident 40 years after
the high school class of 1972 collected be- marriage. Early marriage has similar effects
9780813349503.indb 104 5/16/14 1:50 PM

on women. Women who marry before age Historical Trends and Events. Recall that
20 experience reduced educational and oc- Megan’s classmate Maria attributed her
cupational attainment, and are more likely rapid rise to senior law partner to lucky his-
to get divorced (Teti & Lamb, 1989). torical timing. Maria applied to Yale Law
Movement from one life stage to an- School shortly after the barriers to women
other involves a normative transition—so- had been broken, and she sought a job just
cially expected changes made by all or most when affirmative action came into vogue at
members of a defined population (Cowan, the major law firms. Megan’s’s friend Liz
1991). Although most members undergo attributed her setback as a real estate bro-
this institutional passage, each individual’s ker to an economic recession coupled with
experience of it may be different, reflecting high interest rates that crippled the housing
his or her past experience. Normative tran- market. As the experiences of Maria and Liz
sitions are often marked by a ceremony, illustrate, historical trends and events are
such as a bar mitzvah, graduation, commit- another major influence on the life course.
ment ceremony, wedding, baby shower, or The lives of individuals are shaped by trends
retirement party. But the actual transition that extend across historical periods (such
is a process that may occur over a period as increasing equality of the sexes and im-
of weeks or months. This process involves proved nutrition) and by events that occur
both a restructuring of the person’s cogni- at particular points in history (such as re-
tive and emotional makeup and of his or her cessions, wars, earthquakes, and tsunamis).
social relationships. Birth Cohorts. To aid in understanding
Transitions from one life stage to an- how historical events and trends influence
other influence a person in three ways. the life courses of individuals, social scien-
First, they change the roles available for tists have developed the concept of cohorts
building identities. The transition to adult- (Ryder, 1965). A birth cohort is a group of
hood brings major changes in roles. Those people who were born during the same pe-
who marry or have their first child begin riod. The period could be 1 year or several
to view themselves as spouses and parents, years, depending on the issue under study.
responsible for others. Second, transitions What is most important about a birth co-
modify the privileges and responsibilities hort is that its members are all approxi-
of persons. Age largely determines whether mately the same age when they encounter
we can legally drive a car, be employed particular historical events. The birth co-
full-time, serve in the military, or retire. hort of 1970 graduated from college about
Third, role transitions change the nature 1992, the beginning of a decade of sustained
of socialization experiences. The content economic growth. Most of the graduates
of socialization shifts from teaching basic got good jobs and experienced several years
values and motivations in childhood, to of growth in their average annual house-
developing skills in adolescence, to trans- hold income (www.demos.org/data-byte/
mitting role-related norms for behavior in changes-average-annual). Between 1990
adulthood (Lutfey & Mortimer, 2003). The and 2000, incomes grew between 10 and 28
power differences between socializee and percent. This growth facilitated establish-
socializing agents also diminish as we age ing relationships and families and purchas-
and move into higher education and occu- ing homes. In contrast, the cohort of 1980
pational organizations. As a result, adults graduated about 2002, the beginning of a
are more able to resist socialization than decade of economic shocks—9/11, major
children (Mortimer & Simmons, 1978). corporate bankruptcies, and the recession
9780813349503.indb 105 5/16/14 1:50 PM

of 2008. During that decade average annual reduced retirement benefits because their
household incomes declined between 5 and numbers threaten to overwhelm the Social
15 percent. Security system. Table 3.4 presents exam-
A person’s membership in a specific ples of how the same historical events affect
birth cohort locates that person historically members of different cohorts in distinct
in two ways. First, it points to the trends ways. These historically different experi-
and events the person is likely to have en- ences mold the unique values, ideologies,
countered. Second, it indicates approxi- personalities, and behavior patterns that
mately where an individual is located in characterize each cohort through the life
the sequence of normative life stages when course. Within each cohort, there are dif-
historical events occur. Life stage location ferences too. For example, the wars in Iraq
is crucial because historical events or trends and Afghanistan led to a father’s or moth-
have different impacts on individuals who er’s absence for some children but not for
are in different life stages. others.
To illustrate, consider the effects of the Cohorts and Social Change. Due to the
economic collapse of several large corpora- differences in their experiences, each birth
tions in 2001 and 2002. Enron and Arthur cohort ages in a unique way. Each cohort
Andersen virtually collapsed; several other has its own set of collective experiences and
firms went out of business; and K-Mart, opportunities. As a result, cohorts differ in
Tyco, and others downsized. Tens of thou- their career patterns, attitudes, values, and
sands of workers and managers ages 30 to self-concepts. As cohorts age, they succeed
60 were laid off. Some people in their 50s one another in filling the social positions in
found it impossible to get new jobs, perhaps the family and in political, economic, and
due to age discrimination, and experienced cultural institutions. Power is transferred
prolonged unemployment. Some persons from members of older cohorts with their
in their 30s and 40s returned to school and historically based outlooks to members of
subsequently entered new fields. Workers younger cohorts with different outlooks.
who kept their jobs were left with inse- In this way, the succession of cohorts pro-
curity and increased workloads. Persons duces social change. It also causes inter-
just finishing college—the birth cohort of generational conflict about issues on which
1980—found fewer employment opportu- successive cohorts disagree (Elder, 1975).
nities than those who graduated in 1995. Occasionally, a major event or trend oc-
Of course, not all members of a cohort ex- curs that is profoundly discontinuous with
perience historical events in the same way. the past; examples include Operation Des-
Members of the class of 2002 who majored ert Storm in 1991, the attacks on the World
in liberal arts faced more limited opportu- Trade Center and the Pentagon on Septem-
nities than those earning professional de- ber 11, 2001, and the wars in Iraq and Af-
grees. ghanistan that began in 2003. Cohorts that
Placement in a birth cohort also affects are in late adolescence or early adulthood
access to opportunities. Members of large when such events occur may be profoundly
birth cohorts, for example, are likely to affected by them and, in consequence, may
be disadvantaged throughout life. They develop a generational identity—a strong
begin their education in overpopulated identification with their own generation
classrooms. They then must compete for and a sense of difference from older and
scarce openings in professional schools and younger cohorts (Stewart, 2002). This iden-
crowded job markets. As they age, they face tity may shape their lives, influencing their
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TABle 3.4 history and life stage

CohorT oF 1970–1975 CohorT oF 1990–1995
SoMe lIFe CourSe SoMe lIFe CourSe

lIFe STAge When evenT IMPlICATIonS oF The lIFe STAge When evenT IMPlICATIonS oF The
TrenD or evenT oCCurreD evenT oCCurreD evenT
Economic Expansion Young Adulthood Good job Childhood Raised in dual-career
(1992–2000) opportunities, family. Good schools.
income. Affordable
housing.
Terrorist Attacks Adulthood Increased awareness Youth Shaken sense of
(9/11/01) of family, reordered security, uncertainty
priorities. Anxiety about the future.
about health, safety. Increased stress.
War in Iraq, Increased political Adolescence Crowded schools,
Afghanistan awareness, Military school violence.
service disrupts
careers, families.
Recession of Midlife Economic Young Adulthood High unemployment,
2008–2010 uncertainty, possibly poor job prospects.
unemployment, loss difficulty launching.
of home.
choice of work, political views, and family Americans experience the normative tran-
relationships. sition of marriage. Most persons choose
In this section, we have provided an when and whom they marry. Longitudinal
overview of changes during the life course. research indicates that we choose a spouse
Based on this discussion, it is useful to who is compatible with our own person-
think of ourselves as living simultaneously ality, thus promoting stability over time
in three types of time, each deriving from a (Caspi & Herbener, 1990).
different source of change. As we age bio-
logically, we move through developmental Historical Variations
time in our own biological life cycle. As we
pass through the intertwined sequence of Unique historical events—wars, depres-
roles in our society, we move through social sions, medical innovations—change life
time. And as we respond to the historical courses. And historical trends—fluctuating
events that impinge on our lives, we move birth and divorce rates, rising education,
together with our cohort through historical varying patterns of women’s work—also in-
time. fluence the life courses of individuals born
We have emphasized the changes that in particular historical periods.
occur as individuals progress through the No one can predict with confidence the
life course. However, there is also stabil- future changes that will result from histor-
ity. Normative transitions usually involve ical trends and events. What we can do is
choices, and individuals usually make to examine how major events and trends
choices that are compatible with preexist- have influenced life courses in the past.
ing values, selves, and dispositions (Elder & Two examples will be presented: the his-
O’Rand, 1995). More than 90 percent of all torical trend toward greater involvement of
9780813349503.indb 107 5/16/14 1:50 PM

women in the occupational world, and the 1, and statements 2 and 3 were endorsed by
effects of historical events on different co- only 15 and 21 percent, respectively (Davis,
horts of high school graduates. The goals of Smith, & Marsden, 2000). This shift from
this section are (1) to emphasize the influ- traditional to egalitarian gender role atti-
ence of historical trends on the typical life tudes has been quite strong among women.
course, and (2) to illustrate how to analyze Hispanic women are often characterized
the links between historical events and the as having more traditional gender role
life course. attitudes. However, young, well-educated,
working Latinas have more egalitarian at-
Women’s Work: Gender Role Attitudes titudes, similar to White women (Ginorio,
and Behavior. There has been a substan- Gutierrez, Cauce, & Acosta, 1995). Many
tial increase in the percentage of women Asian women struggle with conflicts be-
who work outside the home in the United tween traditional attitudes common in their
States since 1960. We will consider the role cultures and the more egalitarian attitudes
of attitudes and of economic changes in this found in the United States (Root, 1995).
trend. Workforce Participation. This historical
Gender Role Attitudes. In the past five trend is not limited to attitudes. Wom-
decades, attitudes toward women’s roles in en’s actual participation in the workforce
the world outside the family have changed has been on the increase for almost a cen-
dramatically. The historical trend in atti- tury. Figure 3.3 shows the percentage of
tudes has been away from the traditional women employed outside the home since
division of labor (paid occupations for men 1960. The proportion of married women
and full-time homemaking for women) to a who are employed grew steadily from 1960
more egalitarian view. to 1995; since 1995, employment levels
Consider the following statements. Do have remained stable or declined slightly.
you agree with them? Among young single women, the employ-
ment level, already very high in 1960, has
1. It is much better for everyone remained high. The proportion of women
involved if the man is the achiever who work during pregnancy and who re-
outside the home and the woman turn to work while the child is still an in-
takes care of home and family. fant has also grown steadily over this time
2. Women should take care of running period (Sweet & Bumpass, 1987). In 1999,
their homes and leave the running of Black women, controlling for age and fam-
the country up to men. ily status, were more likely to be employed
3. Most men are better suited outside the home than White women
emotionally for politics than are most (U.S. Bureau of the Census, 2000). Over-
women. all, Hispanic women were less likely to be
employed than Whites; rates for Asian
These are typical of attitude statements women vary considerably, from 59 percent
included in one or more large-scale sur- for South Asian women to 77 percent for
veys of adults during the 1970s, 1980s, and Filipinas (Cotter, Hermsen, & Vanneman,
1990s. In the 1970s, two-thirds or more of 2004).
the people surveyed agreed with the first Why have women joined the workforce
statement, and one-third agreed with the in ever greater numbers throughout the
second and third statements. However, by twentieth century? Has the spread of egal-
1998, only one-third agreed with statement itarian attitudes been an important source
9780813349503.indb 108 5/16/14 1:50 PM

Many elderly people participate in organized activities, such as this exercise group. As long as they remain
healthy and economically independent, most elderly people maintain their social involvements, activities,
and self-esteem. © monkeybusinessimages/iStock
of influence? Probably not. The idea that rapidly, for example, and service jobs in ed-
wives and mothers should not work ex- ucation, health services, and secretarial and
cept in cases of extreme need was widely clerical work have multiplied. Many of these
held until the 1940s. Yet women’s employ- occupations were so strongly segregated by
ment increased steadily between 1900 and sex that men were reluctant to enter them
1940. The change in gender role attitudes (Oppenheimer, 1970). Moreover, male la-
occurred largely in the 1970s, yet women’s bor has been scarce during much of the
employment rose rapidly during the two century due to rapidly expanding industry
decades preceding these attitude changes. and commerce. The majority of the slack
It therefore seems likely that gender role was taken up by a large pool of unemployed
attitude changes have not been a cause of married women. These women could be
the increased employment of women but a pulled into the workforce at a lower wage
response to it—an acceptance of what more because they were often supplementing
and more women are, in fact, doing. their family income.
What, then, are the causes? Perhaps most The changes noted in the preceding para-
convincing is the argument that the types of graph led to increased job opportunities for
industries and occupations that tradition- women. Other factors influenced women’s
ally demand female labor are the ones that desire to work outside the home. One of
have expanded most rapidly in this century. these was continuing inflation and rising in-
Light industries like electronics, pharma- terest rates; in many families, two incomes
ceuticals, and food processing have grown became necessary to make ends meet.
9780813349503.indb 109 5/16/14 1:50 PM

90%
80%
70%
PERCENTAGE OF WOMEN
60%
50%
40%
30%
Single, Ages 25–34 Married, Children 6–17
20%
Married, No Children Under 18 Married, Children Under 6
10%
0%
1960 1970 1980 1990 1995 2000 2005 2012
YEAR
FIgure 3.3 Women’s employment: 1960–2012

The percentage of married women who are employed rose steadily from 1960 to 1995. Young single women main-
tained virtually the same high level of employment throughout this period. Among married women, the level of
employment rose slowly for those with no children and more rapidly among those with children under age 17.
From 1995 to 2005, women’s employment rates were stable, except for single women whose rate declined steadily
from 2000 to 2012. Since 2005, employment rates have declined for all four groups, probably due in part to the
recession of 2008–2009.
Source: U.S. Bureau of the Census and U.S. Bureau of Labor Statistics.
Other factors that may have promoted the ucation, marry, have children, divorce, die
increased employment of women include young or old, and so on.
rising divorce rates, falling birth rates, ris-
ing education levels, and the invention of Impact of Events. Life course researchers
labor-saving devices for the home. None of are also interested in the impact of events
these factors alone can explain the continu- on those who experience them. One di-
ing rise in the employment of women over mension of impact is the magnitude of the
the whole century. However, at one time event—that is, the number of people who
or another, each of these factors probably are affected. The events of September 11,
strengthened the historic trend, along with 2001, in the United States affected millions
changes in gender role attitudes. of people across the United States and in
The specific changes in women’s work other parts of the world. The closing of a
behavior demonstrate that the timing of a school affects hundreds of people in the
person’s birth in history greatly influences community where the school is located.
the course of his or her life. Whether you How an event affects people depends on
join the workforce depends in part on his- the life stage at which it is experienced. One
torical trends during your lifetime. So does model of this relationship is displayed in Ta-
the likelihood that you will get a college ed- ble 3.5. In one sense, events have the great-
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TABle 3.5 The impact of social events on the African-American students and their sup-
Person porters, and public protests; some parents
demanded action by the Oak Valley school
lIFe STAge When evenT IS
board. Eventually, the board decided to
exPerIenCeD FoCuS oF IMPACT oF evenT
close the school (Stewart, 2002).
Childhood Values and attitudes
A team of researchers has been study-
Adolescence, young Identities, opportunities ing two cohorts of persons who were stu-
adulthood
dents at the school: members of the classes
Adulthood Behavior, opportunities of 1955, 1956, and 1957, and of the classes
Later adulthood New life choices, revised of 1968 and 1969 (Stewart, 2000; Stew-
identity
art, Henderson-King, Henderson-King, &
Source: Adapted from Stewart, 2000. Winter, 2000). The research involves three
methods—ethnographic observation, sur-
veys, and in-depth interviews with selected
est impact on children, by influencing their persons. The team is interested in how the
basic values and attitudes. The effects of an social structure—that is, race, class, and
event on adolescents and young adults may gender—shaped the students’ lives in in-
be on one or more of their identities and teraction with their experiences at the high
on the social and economic opportunities school. Note that these people went to the
they experience. A helicopter accident had a same school in the same neighborhood,
profound effect on the opportunities of José and many knew one another. The research-
(whom we met earlier), leaving him partially ers could talk to each participant about the
paralyzed. Events may affect an adult’s be- same people and events, being attentive
havior, but they are unlikely to influence his to differences from one person to another
or her identity or basic values. On the other in interpretation and experience. Many of
hand, for those at midlife, some events, such the graduates still live in Oak Valley. The
as a major illness or the loss of a job, may researchers also read newspapers and other
create new identities and opportunities. documents from the 1950s and 1960s and
The impact of an event may also vary interviewed people who were teachers, ad-
depending on the person’s location in the ministrators, ministers, and other commu-
social structure—that is, class, gender, and nity members during this period.
race. Consider the closing of a high school The 1950s graduates, asked 45 years later
in Oak Valley, a prosperous Midwestern about the significance of events in their
community. In the mid-1960s, the commu- lives, rated past events like World War II
nity and the school were racially integrated; high in meaning to them personally. They
about 50 percent of the students were Af- viewed their years in high school as idyllic;
rican-American. As the civil rights move- both African and European Americans de-
ment gathered momentum in the United scribed the school as a successful “melting
States, it affected the identities and be- pot,” where differences were accepted and
havior of some of the students; some Afri- there was no conflict. There also were no
can-American students adopted distinctive major differences in the descriptions of men
dress and grooming patterns. The principal and women. In contrast, the 1960s cohort
of the high school responded by imposing rated then-current events such as the civil
a dress code prohibiting facial hair; some rights and women’s movements as highly
students, parents, and faculty interpreted meaningful personally. Reflecting the sig-
his action as racist. There was a walkout by nificance of race, African Americans rated
9780813349503.indb 111 5/16/14 1:50 PM

the civil rights movement as much more cialization is the process through which
meaningful than did European Americans. infants become effective participants in so-
Both Blacks and Whites described Midwest ciety. It makes us like all other members of
High in terms of the diversity of students society in certain ways (shared language)
and teachers. Probing deeper, differences but distinctive in other ways.
by race reappeared; African Americans
discussed discrimination, racism, and the Perspectives on Socialization. (1) One
dress code, whereas European Americans approach to the study of socialization em-
discussed their fear of violence. phasizes biological development; it views
Turning to gender, African-American the emergence of interpersonal responsive-
men spoke of the school with pride and ness and the development of speech and of
noted the power of the community in the cognitive structure as influenced by matu-
response to the dress code. These men suc- ration. (2) Another approach emphasizes
cessfully resisted a code they viewed as rac- learning and the acquisition of skills from
ist. One said, “My experience left little to be other persons. (3) A third approach empha-
desired.” African-American women spoke sizes the child’s discovery of cultural rou-
of the good teachers and the friends they tines as he or she participates in them. (4) A
made, but also about their limited social life fourth approach emphasizes the influence
as Black women and about racism. One said of social structure, which specifies who is
the worst thing about high school was “not responsible for socializing children, adoles-
being accepted or even noticed by many cents, and other types of persons, and what
students.” White men discussed the diver- they should be taught.
sity of the student body; they also some-
times pointed to a breakdown of authority Agents of Childhood Socialization. There
in the school. One said the worst thing was are four major socializing agents in child-
“getting beat up a couple of times.” Like hood. (1) The family provides the infant
Black women, White women discussed with a strong attachment to one or more
friendships, but they also discussed the caregivers. This bond is necessary for the
breakdown of authority, recalling instances infant to develop interpersonal and cogni-
of sexual harassment. tive skills. Family composition and social
Thus, the social structure interacts with class affect socialization by influencing the
events to determine their impact on per- amount and kind of interaction between
sons. Carrying out an intensive study of parent and child. Ethnic and racial groups
specific events, such as the imposition of differ in the child-rearing techniques they
the dress code and subsequent events at use and in the values they emphasize. (2)
Midwest High, makes us aware that the Peers provide the child with equal status
same events may be perceived very differ- relationships and are an important influ-
ently depending on the perceiver’s race and ence on the development of self. (3) Schools
gender. teach skills—reading, writing, and arithme-
tic—as well as traits like punctuality and
perseverance. (4) Mass media provide chil-
SuMMary dren and adolescents with powerful images
of some of the identities available in the
This chapter has discussed the life course society and scripts for various types of rela-
and gender roles in American society. So- tionships and behaviors.
9780813349503.indb 112 5/16/14 1:50 PM

Processes of Socialization. Socialization is directed behavior. Orientations toward

based on three different processes. (1) In- work are influenced primarily by parents;
strumental conditioning—the association middle-class families emphasize self-direc-
of rewards and punishments with particu- tion, whereas working-class families em-
lar actions—is a basis for learning both be- phasize conformity.
haviors and performance standards. Studies
of the effectiveness of various child-rearing Components of the Life Course. To aid
techniques indicate that rewards do not al- our understanding of adult lives, we focused
ways make a desirable behavior more likely on three components of the life course. (1)
to occur, and punishments do not always The life course consists of careers—se-
eliminate an undesirable behavior. The use quences of roles and associated activities.
of corporal punishment appears to increase The principal careers involve work, fam-
the likelihood of later antisocial behavior. ily, and friends. (2) As we engage in career
Through instrumental learning, children roles, we develop role identities, and eval-
develop the ability to judge their own be- uations of our performance contribute to
haviors and to engage in self-reinforce- self-esteem. (3) The emotional reactions we
ment. (2) We learn many behaviors and have to career and life events include feel-
skills by observation of models. We may not ings of stress and of satisfaction.
perform these behaviors, however, until we
are in the appropriate situation. (3) Social- Influences on Life Course Progression.
ization also involves internalization—the There are three major influences on pro-
acquisition of behavioral standards, making gression through the life course. (1) The
them part of the self. This process enables biological growth and decline of body and
the child to engage in self-control. brain set limits on what we can do. The
effects of biological developments on the
Outcomes of Socialization. (1) The child life course, however, depend on the social
gradually learns a gender role—the expec- meanings we give them. (2) Each society has
tations associated with being male or fe- a customary, normative sequence of age-
male. Whether the child is independent or graded roles and activities. This normative
dependent, aggressive or passive, depends sequence largely determines the bases for
on the expectations communicated by par- building identities, the responsibilities and
ents, kin, and peers. (2) Language skill is an- privileges, and the socialization experiences
other outcome of socialization; it involves available to individuals of different ages. (3)
learning words and the rules for combining Historical trends and events modify an in-
them into meaningful sentences. Related to dividual’s life course. The impact of a his-
the learning of language is the development torical event depends on the person’s life
of thought and the ability to group objects stage when the event occurs.
and persons into meaningful categories.
(3) The learning of social norms involves Historical Variations. The historical tim-
parents, peers, and teachers as socializing ing of one’s birth influences the life course
agents. Children learn that conformity to through all stages. (1) Over the past 40 years,
norms facilitates social interaction. Chil- women’s participation in the workforce has
dren also develop the ability to make moral increased dramatically, and attitudes to-
judgments. (4) Children acquire motives— ward women’s employment have become
dispositions that produce sustained, goal- much more favorable. It is likely that the
9780813349503.indb 113 5/16/14 1:50 PM

changes in attitudes reflect the changes in the interpretive perspective, and the life-
labor force participation, rather than the course perspective. A common reaction by
reverse. The likelihood that women will students is to ask “So which one is right?”
experience pressures and opportunities to or “Which one is the best?” These questions
work outside the home is now greater at ev- reflect the belief that a theory is correct or
ery life stage. (2) Events also influence the incorrect, right or wrong. Truth can be de-
life course of those affected by them. The fined as consistent with facts or reality. The
impact of an event depends on its scope and belief that some things are true and others
on the life stage and social structural loca- are not is one that most of us rely on as we
tion of the persons influenced by it. navigate the world, so we often try to sort
out truth from falsity.
However, this belief will not serve us well
List of Key Terms and Concepts if we apply it to evaluating theory. A theory
is an abstraction, a simplification, an inten-
attachment (p. 71) tional focus on one or a few elements of a
birth cohort (p. 105) complex situation in order to make sense
borderwork (p. 79) of that situation. Every observer of children
career (p. 99) notes that they develop the skills needed to
cultural routines (p. 69) interact successfully with adults. But the
extrinsically motivated (p. 85) explanation the observer provides depends
gender role (p. 88) upon his or her theoretical lens. The devel-
instrumental conditioning (p. 81) opmental perspective says that this reflects
internalization (p. 87) the development of the brain so that it can
intrinsically motivated (p. 85) process complex information, the devel-
life course (p. 99) opment of motor control over posture,
life events (p. 102) speech, and so on, and the maturation of
moral development (p. 95) vocal organs. The learning theorist would
normative life stage (p. 104) say that this reflects learning language via
normative transition (p. 105) social learning and reinforcement, and in-
norms (p. 93) teractional skills by observation of other
observational learning (p. 85) children and adults interacting. The inter-
punishment (p. 83) pretive theorist would point out that she
self-reinforcement (p. 85) practiced many times per day interacting
shaping (p. 81) with other children, and developed her own
socialization (p. 66) unique brand of speech and gestures. Each
stress (p. 102) theorist’s interpretations are consistent
with some of the reality they are observing
in the child’s behavior, so in this sense, each
Critical Thinking Skill: theory is “true.” So asking “Which one is
Understanding the Difference Between true?” doesn’t help us evaluate the different
Truth and Validity theories.
Instead, we evaluate theories in terms of
In this chapter we introduced several theo- their validity. We look for evidence. We use
ries about how a person becomes an effec- the theory to generate testable questions or
tive member of society: the developmental hypotheses, collect data or observations that
perspective, the social learning perspective, are relevant to the hypotheses, and evaluate
9780813349503.indb 114 5/16/14 1:50 PM

the consistency between the observations not be confirmed by subsequent research,

or data and the hypotheses. We described gives us less confidence in the validity of the
this process in detail in Chapter 2. To the theory. In writing this book, we pay care-
extent that the evidence is consistent with ful attention to the consistency of evidence,
the theory each time the theory is tested, we and often don’t include theories or ideas
develop confidence that the theory is valid. because the evidence for them isn’t consis-
Evidence that is not consistent, or evidence tent. So the next time you meet a new the-
reported by one researcher/group that can- ory, what question will you ask?
9780813349503.indb 115 5/16/14 1:50 PM

9780813349503.indb 116 5/16/14 1:50 PM
chaPter 4
SELF ANd
Self-PreSentation
introduction 118 Self-Presentation in everyday Life 147
the nature and genesis of Self 120 Definition of the Situation 147
the Self as Source and object of action 120 Self-Disclosure 148
Self-Differentiation 122 tactical impression Management 149

role taking 122 managing appearances 150
the Social origins of Self 122 ingratiation 152
identities: the Self We Know 125 aligning actions 156
role identities 125 altercasting 157
Social identities 126 impression management online 158
research on Self-concept formation 127 detecting deceptive impression

the Situated Self 130 Management 160
Ulterior motives 160
identities: the Self We enact 130
nonverbal cues of Deception 161
identities and Behavior 131
choosing an identity to enact 133 ineffective Self-Presentation and
Spoiled identities 164
identities as Sources of consistency 135
embarrassment and Saving face 164
Self-awareness and Self-Discrepancies 136
cooling-out and identity Degradation 167
Self-esteem 138
Stigma 168
assessment of Self-esteem 138
Summary 172
Sources of Self-esteem 140
Self-esteem and Behavior 142 List of Key Terms and Concepts 174
Protecting Self-esteem 142 Critical Thinking Skill: Defending Against
Everyday Persuasive Techniques 174
Self-Presentation 144
117
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118 sElf and sElf-prEsEnTaTIon
IntroductIon “Who am I?” Few human beings in

Western societies live out their lives with-
He is a stranger to himself, a mystery to out pondering this question. Some people
everyone else. Police call him Al, so at pursue the search for self-knowledge and
least he has a name, even if he knows it for a meaningful identity eagerly; others
isn’t his own. pursue it desperately. College students in
Al’s earliest memory takes him to particular are often preoccupied with dis-
the morning of September 10, when covering who they are. Few, however, have
he woke up frightened and disoriented experienced existential uncertainty to the
on the sidewalk in front of the World degree faced by Al.
Trade Center in downtown Denver. Each of us has unique answers to this
Every memory before that moment is question, answers that reflect our self-
gone. “I want my past,” Al says. “I want schema or self-concept, the organized
who I was. I don’t care about anything structure of cognitions or thoughts we have
else.” about ourselves. The self-schema comprises
He learns something new about him- our perceptions of our social identities and
self every day. He has discovered that personal qualities and our generalizations
he likes lasagna and “when it’s warm about the self based on experience.
outside.” But he can’t remember how to One way to assess the contents of self-
cook and isn’t sure if he knows how to schema is by asking people to answer the
drive. When Al was examined, doctors question “Who am I?” This is the focus of
found no drugs or alcohol in his sys- Box 4.1. Before you read on, take a few mo-
tem, or any sign of a head injury. Mental ments and respond to this question yourself
health experts who have interviewed Al in the space provided in the box. For com-
believe he is suffering from retrograde parison, read the answers of a 9-year-old
amnesia. boy and a female college sophomore to the
He is expecting to go on national question “Who am I?” Their responses are
news shows in hopes someone will rec- listed at the bottom of the box.
ognize him. Some clues come forward. The first half of this chapter addresses
Al was wearing a ring, a watch, yellow four major questions:
baseball cap, and glasses when he was
found. He had a cigarette lighter and 1. What is the self and how does it arise?
$8 in his pocket. Police have unsuccess-
fully tried to trace where his watch and 2. How do we acquire unique identities?
ring were purchased. They ran his fin- How do we use them to locate
gerprints through FBI databases, but no ourselves in the world relative to
matches were found. others?
“I feel totally lost,” Al said. “I feel 3. How do our identities guide our plans
totally alone, very depressed, very anx- and behavior?
ious about everything.” Al now lives in
a transitional housing facility where he 4. We are constantly experiencing self-
spends much of his time contemplating evaluations. Where do they come
what he doesn’t have—family, friends, from, and how do they affect our
his past, his identity (Bernuth, The Den- behavior? How do we protect our
ver Post, 10/22/2006). self-esteem against attack?
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sElf and sElf-prEsEnTaTIon 119
Box 4.1 Test Yourself: Measuring Self-Concepts
In order to study self-concepts, we need ways to 1. _______________ 9. _______________

measure them. Several methods have been used. 2. _______________ 10. _______________
For example, one approach asks people to check 3. _______________ 11._______________
those adjectives on a list (intelligent, aggressive, 4. _______________ 12. _______________
trusting, and so on) that describe themselves 5. _______________ 13. _______________
(Sarbin & Rosenberg, 1955). In another approach 6. _______________ 14. _______________
(Osgood, Suci, & Tannenbaum, 1957), people 7. _______________ 15. _______________
rate themselves on pairs of adjectives (strong- 8. _______________
weak, good-bad, active-passive): Are they more
like one of the adjectives in the pair or more like The following responses have been obtained
its opposite? Another technique, developed by from two persons, Josh and Arlene.
Miyamoto and dornbusch (1956), asks people
whether they have more or less of a characteristic Arlene: A FeMAle College
(self-confidence, likableness) than members of a JoSh: A 9-YeAr-olD MAle SoPhoMore
particular group (such as fraternities, sororities, a boy a person
and so on). In yet another technique, people sort
cards containing descriptive phrases (interested do what my mother member of the human
says, mostly race
in sports, concerned with achievement) into
piles according to how accurately they think the Louis’s little brother daughter and sister
phrases describe them (Stephenson, 1953). Josh a student
Each of these popular methods provides
have big ears people-lover
respondents with a single standard set of cat-
egories to use in describing themselves. Using can beat up Andy people-watcher
the same categories for all respondents makes play soccer creator of written,
it easy to compare the self-concepts of different drawn, and spoken
people. These methods have a weakness, how- (things) creations
ever. They do not reveal the unique dimensions sometimes a good sport
that individuals use in spontaneously thinking a skater music enthusiast
about themselves. For this purpose, techniques
that ask people simply to describe themselves in make a lot of noise enjoyer of nature
their own words are especially effective (Kuhn & like to eat partly the sum of my
McPartland, 1954; McGuire & McGuire, 1982). experiences
Instructions for the “Who am I?” technique for talk good always changing
measuring self-concepts (Gordon, 1968) are pro-
go to third grade lonely
vided below. You can try this test yourself.
In the 15 numbered blanks, write 15 different bad at drawing all the characters in the
books I read a small part
answers to the simple question “Who am I?” An-
of the universe, but I can
swer as if you were giving the answers to your-
change it I’m not sure?
self, not to somebody else. Write the answers in (Gordon, 1968)
the order they occur to you. don’t worry about
“logic” or “importance.”
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the nature and geneSIS of Self pulse becomes the object of self-reflection
and, hence, part of the me (“If I don’t work
The Self as Source and Object of Action on that paper tonight, I won’t get it done
on time”). Next, George responds actively
We can behave in a wide variety of ways to- to this self-awareness, again an I phase
ward other persons. For example, if George (“But I want to see Keisha, so I won’t write
is talking to Keisha, he can perceive her, the paper”). This, in turn, becomes the ob-
evaluate her, communicate with her, moti- ject to be judged, again a me phase (“That
vate her to action, attempt to control her, would really hurt my grade”). So George ex-
and so on. Note, however, that George also ercises self-control and sits down to write.
can act in the same fashion toward himself— The I and me phases continue to alternate
that is, he can engage in self-perception, as every new action (I) becomes in the next
self-evaluation, self-communication, self- moment the object of self-scrutiny (me).
motivation, and self-control. Behavior of Through these alternating phases of self we
this type, in which the individual who acts plan, act, monitor our actions, and evaluate
and the individual toward whom the action outcomes (Markus & Wurf, 1987).
is directed are the same, is termed reflexive Mead (1934) portrays action as guided
behavior. by an internal dialogue. People engage in
For example, if George, a student, has an conversations in their minds as they regu-
important term paper due Friday, he en- late their behavior. They use words and im-
gages in the reflexive process of self-control ages to symbolize their ideas about them-
when he pushes himself (“Got to work on selves, other persons, their own actions,
that history paper now”). He engages in and others’ probable responses to them.
self-motivation when he makes a promise This description of the internal dialogue
to himself (“You can go out for pizza and suggests there are three capacities human
a movie Friday night”). Both processes are beings must acquire in order to engage suc-
part of the self. To have a self is to have the cessfully in action: They must (1) develop
capacity to engage in reflexive actions—to an ability to differentiate themselves from
plan, observe, guide, and respond to our own other persons, (2) learn to see themselves
behavior (Bandura, 1982c; Mead, 1934). and their own actions as if through others’
Our understanding of reflexive behavior eyes, and (3) learn to use a symbol system or
and the self is drawn from symbolic inter- language for inner thought. In this section,
action theory (see Chap. 1). By definition, we examine how children come to differen-
the self is the individual viewed as both the tiate themselves and how they learn to view
source and the object of reflexive behavior. themselves from others’ perspectives. We
Clearly, the self is both active (the source also discuss how language learning is inter-
that initiates reflexive behavior) and passive twined with acquiring these two capacities.
(the object toward whom reflexive behavior
is directed). The active aspect of the self is Self-Differentiation
labeled the I, and the object of self-action is
labeled the me ( James, 1890; Mead, 1934). To take the self as the object of action, we
It is useful to think of the self as an ongo- must—at a minimum—be able to recognize
ing process (Gecas & Burke, 1995). Action ourselves. That is, we must distinguish our
involving the self begins with the I—with an own faces and bodies from those of others.
impulse to act. For example, George wants This may seem elementary, but infants are
to see Keisha. In the next moment, that im- not born with this ability. At first, they do
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not even discriminate the boundaries be-

tween their own bodies and the environ-
ment. Cognitive growth and continuing tac-
tile exploration of their bodies contribute to
infants’ discovery of their physical unique-
ness. So does experience with caregivers
who treat them as distinct beings. Studies
of when children can recognize themselves
in a mirror suggest that most children are
able to discriminate their own image from
others’ by about 18 months (Bertenthal &
Fischer, 1978). Research indicates that chil- To take the self as the object of our action—
dren become capable of representing self- observing and modifying our own behavior—we
other contingencies (for example, “If I do X, must be able to recognize ourselves. Although
she does Y”) at 18 to 24 months old (Hig- infants are not born with this ability, they acquire
gins, 1989). it quickly. © Plus/iStock
Children must learn not only to discrim-
inate their physical selves from others, but knowing goes on inside their heads. Asked
also to discriminate themselves as social further, “Can I see you thinking in there?”
objects. Mastery of language is critical in they generally answer, “No,” demonstrating
children’s efforts to learn the latter (Den- their awareness that self-processes are pri-
zin, 1977). Learning one’s own name is one vate (Flavell, Shipstead, & Croft, 1978).
of the earliest and most important steps in Changes in the way children talk also re-
acquiring a self. As Allport (1961) put it, veal their dawning realization that the self
has access to private information. At first,
By hearing his name repeatedly the children’s speech patterns are the same
child gradually sees himself as a distinct whether they are talking aloud to themselves
and recurrent point of reference. The or directing their words to others. Gradually,
name acquires significance for him in however, they begin to distinguish speech to
the second year of life. With it comes self from speech to others (Vygotsky, 1962).
awareness of independent status in the Speech to self becomes abbreviated until it
social group. (p. 115) is virtually incomprehensible to the outside
listener, whereas speech to others becomes
A mature sense of self entails recogniz- more elaborated over time. “Cold” suffices
ing that our thoughts and feelings are our for Shanice to tell herself she wants to take
private possessions. Young children often off her wet socks. But no one else would un-
confuse processes that go on in their own derstand this without access to her private
minds with external events (Piaget, 1954). knowledge. When addressing others, Shan-
They locate events in their own dreams, ice would expand her speech to include
for example, in the world around them. whatever private information they would
The distinction between self and nonself need to understand (“Gotta change my wet
sharpens as social experience and cogni- socks. They’re making me cold”).
tive growth bring children to realize that Access to private information about the
their own private awareness of self is not self leads to systematic differences in adults’
directly accessible to others. By about age self-descriptions compared to descriptions
4, children report that their thinking and of others (McGuire & McGuire, 1986).
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Descriptions of the self focus on what one tive role taking at this age. Studies indicate
does—on physical action and on cognitive that children develop the ability to infer the
and affective reactions to others. Descrip- thoughts and expectations of others be-
tions of others focus on who the person is— tween ages 4 and 6 (Higgins, 1989).
as evidenced in his or her visible behavior
and characteristics. Furthermore, people The Social Origins of Self
perceive themselves as more complex than
other people (Sande, Goethals, & Radloff, Our self-schema is produced in our social
1988). Did your responses in Box 4.1 reflect relationships. Throughout life, as we meet
these characteristics of self-descriptions? new people and enter new groups, our view
of self is modified by the feedback we re-
Role Taking ceive from others. This feedback is not an
objective reality that we can grasp directly.
Recognizing that one is physically and men- Rather, we must interpret others’ responses
tally differentiated from others is only one in order to figure out how we appear to
step in the genesis of self. Once we can dif- them. We then incorporate others’ imag-
ferentiate ourselves from others, we also ined views of us into our self-schema.
can recognize that the other person sees To dramatize the idea that the origins
the world from a different perspective. The of self are social, Cooley (1902) coined the
second crucial step in the genesis of self is term looking-glass self. The most import-
role taking—the process of imaginatively ant looking glasses for children are their
occupying the position of another person parents and immediate family and, later,
and viewing the self and the situation from their playmates. They are the child’s signif-
that person’s perspective (Hewitt, 2000). icant others—the people whose reflected
Role taking is crucial to the genesis of views have greatest influence on the child’s
self because through it the child learns to self-concepts. As we grow older, the wid-
respond reflexively. Imagining others’ re- ening circle of friends and relatives, school
sponses to the self, children acquire the ca- teachers, clergy, and fellow workers pro-
pacity to look at themselves as if from the vides our significant others. The changing
outside. Recognizing that others see them images of self we acquire throughout our
as objects, children can become objects lives depend on the social relationships we
(me) to themselves (Mead, 1934). They develop. As children acquire digital devices,
can then act toward themselves to praise these provide another source of feedback
(“That’s a good girl”), to reprimand (“Stop about the self.
that!”), and to control or regulate their own
behavior (“Wait your turn”). Play and the Game. Mead (1934) identified
Long ago, Cooley (1908) noted the close two sequential stages of social experience
tie between role taking and language skills. leading to the emergence of the self in chil-
One of the earliest signs of role-taking skills dren. He called these stages play and the
is the correct use of the pronouns you and game. Each stage is characterized by its own
I. To master the use of these pronouns re- form of role taking.
quires taking the role of the self and of the In the play stage, young children imi-
other simultaneously. Most children firmly tate the activities of people around them.
grasp the use of I and you by the middle of Through such play, children learn to or-
their third year (Clark, 1976). This suggests ganize different activities into meaningful
that children are well on their way to effec- roles (nurse, police officer, firefighter). For
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example, using their imaginations, chil- sports. These activities demand interper-
dren carry sacks of mail, drop letters into sonal coordination because the various
mailboxes, greet homeowners, and learn roles are differentiated. Role taking at the
to label these activities as fitting the role of game stage requires children to imagine
“mail carrier.” At this stage, children take the viewpoints of several others at the same
the roles of others one at a time. They do time. For Michael to play center effectively,
not recognize that each role is intertwined for example, he must adopt the perspec-
with others. Playing mail carrier, for ex- tives of the guards and members of the
ample, the child does not realize that mail defensive team as he dribbles the ball and
carriers also have coworkers and bosses to decides whether to pass it or go for three.
whom they must relate. Nor do children in In the game, children also learn that differ-
this stage understand that the same person ent roles relate to one another in specified
simultaneously holds several roles—that ways. Michael must understand the special-
mail carriers are also parents, store custom- ized functions of each position, the ways
ers, and golf partners. the players in different positions coordinate
The game stage comes later, when chil- their actions, and the rules that regulate
dren enter organized activities such as basketball.
complex games of house, school, and team
The Generalized Other. Repeated involve-
ment in organized activities lets children
see that their own actions are part of a pat-
tern of interdependent group activity. This
experience teaches children that organized
groups of people share common perspec-
tives and attitudes. With this new knowl-
edge, children construct a generalized oth-
er—a conception of the attitudes and ex-
pectations held in common by the members
of the organized groups with whom they
interact. When we imagine what the group
expects of us, we are taking the role of the
generalized other. We are also concerned
with the generalized other when we won-
der what people would say or what society’s
standards demand. As children grow older,
they control their own behavior more and
more from the perspective of the general-
ized other. This helps them to resist the in-
fluence of impulse or of specific others who
just happen to be present at the moment.
By playing complex games such as baseball, Over time, children internalize the at-
children learn to organize their actions into titudes and expectations of the general-
meaningful roles and to imagine the viewpoints ized other, incorporating them into their
of others at the same time. Role taking enables
the third baseman to coordinate effectively with
self-concepts. But building up self-concepts
teammates, for example, to tag a runner out. involves more than accepting the reflected
© jpbcpa/iStock views of others. We may misperceive or
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misinterpret the responses that others The self constructed through online in-
direct to us, for example, due to our less- teraction may be termed the digital self. It
than-perfect role-taking skills. Others’ re- has four characteristics (Zhao, 2005). First,
sponses may themselves be contradictory it is inwardly oriented; people may use
or inconsistent. Also, we may resist the CMC to communicate about their inner
reflected views we perceive because they world of thoughts and feelings. Second, like
conflict with our prior self-concepts or with the self more generally, it is a narrative or
our direct experience. A boy may reject his a story—that is, a self-presentation that is
peers’ view that he is a “wuss,” for example, expected by others to be coherent and con-
because he previously thought of himself sistent. Third, it is retractable; in real life,
as brave and could still visualize his experi- our various selves all inhabit the same body,
ence of beating up a bully. and cannot easily be detached. In CMC, you
can delete a self, and it is gone (or at least
Online Communication and the Self. not ordinarily visible to others). Retracting
Since 1995, there has been a rapid expan- a self will be more costly to the extent that
sion in computer-mediated communication it is salient, that the individual has invested
(CMC). People communicate using e-mail, time and resources in it, and receives val-
instant messaging, participation in chat ued rewards from it. Finally the digital self
rooms and interest groups, and via personal is multiplied; one can have several, diverse
webpages and social networking sites (for selves. According to one survey, more than
example, Facebook). We will discuss the re- one-half of teens who use CMC have more
lationship between CMC and other forms than one screen name or e-mail account
of communication, and the role of CMC in (Lenhart, Rainie, & Lewis, 2001). The dig-
self-presentation and in relationships, in ital self is not constrained by geographic
other sections. Here we focus on CMC as and institutional factors; this can be very
a potential influence on the development of important in allowing people with uncom-
self. mon or stigmatized characteristics, such
The self is heavily influenced by feedback as survivors of breast cancer or persons
from others. Our discussion so far has im- struggling with issues of gender identity or
plicitly assumed feedback in face-to-face sexual orientation, to contact similar others
interaction. One difference between CMC and form support networks.
and “real life” is that in CMC, the interac- Research suggests that online self-dis-
tion partner is not physically present; thus, closure tends to be superficial. A study in-
nonverbal cues (facial expressions, body cluding students (ages 18 to 39) and non-
language, and paralinguistic cues) are usu- students (ages 18 to 37) found that they
ally not available (Zhao, 2005). These are were more likely to disclose information
often the cues we use to assess the feedback about their interests than their beliefs and
we receive from others; without them, as- intimate feelings (Attrill & Jalil, 2011). This
sessing the personal meaning of his or her constrains the feedback that one receives,
statements is more difficult. Thus, we may and thus its influence on the self.
be more skeptical of other’s messages, and The impact of others whom we interact
less likely to use them as a looking glass. On with online depends upon the nature of our
the other hand, teens are particularly heavy relationship with them (Zhao, 2005). Some
users of CMC (Ramirez & Broneck, 2009), are strangers, people we don’t know. Inter-
and are in the life stage where feedback action with strangers usually does not im-
from others is especially influential. pact the self. An exception would be mem-
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bers of an online support network. Others plans of action that we expect to carry out.
are people we know both online and off. When Arlene identifies herself as a student,
If such persons are significant others, perfor example, she has in mind that she plans
ceived feedback from them, both face-to- to attend classes, write papers, take exams,
face and online, may be an important in- and so on. If Arlene does not engage in
fluence on self. The third category consists these behaviors, she will have to relinquish
of people we know only online. These rela- her student identity.
tionships may vary greatly in intimacy and In this section, we consider four ques-
longevity; intimate, long-term relationships tions about the self we know: (1) How do
may be very influential. our roles influence the identities we include
in our self? (2) How do group memberships
Self-Evaluation. The views of ourselves influence the self we know? (3) What evi-
that we perceive from others usually im- dence is there that the self we know is based
ply positive or negative evaluations. These on the reactions we perceive from others?
evaluations also become part of the self we (4) How do the aspects of self that people
construct. Actions that others judge favor- note vary from one situation to another?
ably contribute to positive self-concepts. In
contrast, when others disapprove or pun- Role Identities
ish our actions, the self-concepts we derive
may be negative. Each of us occupies numerous positions
We also form self-evaluations when rein society—student, friend, son or daugh-
flecting on the adequacy of our role perfor- ter, customer. Each of us, therefore, enacts
mances—on the extent to which we live up many different social roles. We construct
to the standards we aspire to. Our self-eval- identities by observing our own behavior
uations most commonly focus on our com- and the responses of others to us as we en-
petence, self-determination, moral worth, act these roles. For each role we enact, we
or unity. Self-evaluations also influence the develop a somewhat different view of who
ways we express our role identities. A musi- we are—an identity. Because these iden-
cian, for example, will pursue opportunities tities are concepts of self in specific roles,
to perform in public more persistently if she they are called role identities. The role
sees herself as competent than if she thinks identities we develop depend on the social
she is never quite good enough. Self-evalua- positions available to us in society. As a re-
tions are so important that a later section of sult, the self we know is linked to society
this chapter will be devoted to them. fundamentally through the roles we play.
It reflects the structure of our society and
our place in it (McCall & Simmons, 1978;
IdentItIeS: the Self We KnoW Stryker, 1980). Role identities highlight the
impact on self of social structure via recip-
In Box 4.1, Arlene described herself as a rocal relationships with occupants of com-
person, daughter, student, people-lover, plementary roles.
and creator of things. This is the self she Do societal role expectations strictly
knows, a self that includes specific identi- dictate the contents of our role identities?
ties. Identities are the meanings attached Apparently not. Consider, for example, the
to the self by one’s self and others (Gecas & role expectations for a college instructor.
Burke, 1995). When we think of our iden- Some instructors deliver lectures, whereas
tities, we are actually thinking of various others lead discussions; some encourage
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questions, whereas others discourage them; or psychological styles (optimistic, moody)

some assign papers, and others do not. As that characterize these performances. Indi-
this example indicates, role expectations vidual preferences point to specific ways in
usually leave individuals some room to which people express their role identities.
improvise their own role performances. It For example, a person who sees herself as
is probably more accurate to think of peo- a musician expresses this role identity dif-
ple as “making” their roles—that is, shaping ferently depending on whether she prefers
them—rather than as conforming rigidly Bach or rock. Body image—the aspect of the
to role expectations (Turner, 1978). Socie- self we recognize earliest—remains import-
tal expectations do dictate the goals of role ant throughout life. Beyond this, our self
performance; instructors must instruct us- extends to include our material possessions,
ing means that are consensually agreed on such as our clothing, house, car, music col-
(Burke, 2004). lection, and so on (James, 1890).
Several influences affect the way we make
the roles we enact. Conventional role expec- Social Identities
tations in society set a general framework.
In the role of student, for example, you must A second source of identities is member-
submit assigned work. The person holding ship in social categories or groups based on
the complementary role also has expecta- criteria such as gender, nationality, race/
tions. As a student in Prof. Collett’s class, ethnicity, sexual preferences, or political
you must write a 15-page lit review and re- affiliation (Howard, 2000). A definition of
search proposal. Within the boundaries set the self in terms of the defining charac-
by these expectations, you can fashion your teristics of a social group is a social iden-
actual role performances to reflect your per- tity (Hogg, Terry, & White, 1995; Tajfel &
sonal characteristics and competencies. You Turner, 1979). Each of us associates certain
can select topics that interest you, highlight characteristics with members of specific
your strengths, and cover your weaknesses. groups. These characterizations—Chicago
You also mold your role performances to Bulls fans are loud, women are emotional—
impress your audience (say, writing in the define the group. If you define yourself as a
style that Prof. Collett prefers). Finally, you member of the group, these characteristics
adjust your different performances to main- become standards for your thoughts, feel-
tain some consistency among them (say, ings, and actions. If your interactions with
trying for a level of quality consistent with others, whether members or not, confirm
your other course work). Because each per- the importance of these attributes, they be-
son makes roles in a unique, personal fash- come part of the self you know. Research in-
ion, we each derive somewhat different role dicates that cognitive representations of the
identities even if we occupy similar social self and of the groups to which the person
positions. Consequently, our role identities belongs are closely linked (Smith & Henry,
as student, ball player, and so on differ from 1996). Social identities highlight the impact
the role identities of others who also occupy on self of social structure via consensually
these positions. defined social groupings (Deaux & Martin,
In describing themselves, people fre- 2003). Note that one need not interact with
quently mention the styles of interpersonal other members to identify as a member of
behavior (introverted, cool) that distinguish the group.
the way they fashion their unique role perfor- Social groups are often defined in part by
mances. People also mention the emotional reference to other groups. The meaning of
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being a Young Republican is related to the in individualist cultures (such as the United
meaning of being a Young Socialist and a States) include more individual identities,
Young Democrat. The meaning of being a whereas those of persons in collectivist cul-
man in American society is closely related tures include more group-linked identities
to the meaning of being a woman. Thus, (Triandis, McCusker, & Hui, 1990).
when membership in a group becomes a sa- The adoption of a role identity involves
lient basis for self-definition, perceptions of socialization into the group or organiza-
relevant out-groups are also made salient. tion of which the role is a part. A study of
Often there is an accentuation effect—an members of a volunteer search and rescue
emphasis on perceived differences and un- group, Peak, identified three stages of mem-
favorable evaluations of the out-group and bership: new, peripheral, and core (Lois,
its members (Hogg, 2013). Thus, negative 2003). New members were often attracted
stereotypes directed at persons of a different by the desire to meet people, develop and
gender, race, or religion are often closely re- exercise their outdoor skills, or be a hero.
lated to the self-concept of the person who To make the transition to (be accepted by
holds them. Research indicates that both others as) a peripheral member, they had
in-group favoritism and out-group hostil- to suppress self-oriented attitudes and be-
ity are reinforced in conversations between havior and acknowledge the importance of
group members (Harasty, 1997). the team. They also had to learn survival
skills and rescue techniques, demonstrat-
Research on Self-Concept Formation ing humility and persistence in the process.
To make the transition to core member,
Two of the key theoretical ideas discussed they had to accept the roles offered by the
so far are that (1) the formation of the self- team (sometimes very unglamorous ones)
schema involves the adoption of role and and demonstrate that they were skilled by
social identities, and (2) a person’s self-con- leading training sessions. As members pro-
cept is shaped by the reactions that he or gressed through these stages, they increas-
she receives from significant others during ingly shared in the sense of “we-ness,” and
social interaction. Each of these ideas has their membership became an important
been the focus of empirical research. social identity. They ultimately achieved
the role of hero by becoming a committed
The Adoption of Role and Social Iden- member of the team, not by performing
tities. Self-schemas are formed in part by acts of individual heroism.
adopting identities. The identities available Adopting a social identity involves
to us depend on the culture. One difference self-categorization—the defining of the
between cultures is whether a culture is in- self as a member of a social category such
dividualist or collectivist (Triandis, 1989). as Irish American, Black American, or
Individualist cultures emphasize individual feminist (Stets & Burke, 2000). Whereas
achievement and its associated identities enacting a role identity involves behavior
such as president, team captain, idealist, conforming to a role, enacting a social iden-
and outstanding player. Collectivist cultures tity involves adopting styles of dress, behav-
emphasize values that promote the welfare ior, and thought associated with the social
of the group and its associated identities category. Successful adoption may require
such as son (family), Catholic (religion), consensus by other members of the cate-
Italian (ethnicity), and American. Accord- gory that you can claim the identity (Wong,
ing to research, the self-schemas of persons 2002). Whether one identifies with a social
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Social identities are often displayed by wearing items of clothing displaying the group’s name or logo.
© Tommy LaPorte/Icon SMI/Corbis
category in which one can claim mem- is the perceived reactions of others rather
bership depends on how easily one can be than their actual reactions that are crucial
identified as a member of that group, for for self-concept formation (Felson, 1989).
example, by name or skin color (Lau, 1989). A study of 12- and 14-year-olds got self-
It also depends on the general visibility and descriptions from the youth and one of his
status of that group or category in society. or her parents, teachers, and a peer chosen
by the youth. Agreement in self/parent,
Reflected Appraisals. The idea that the self/teacher, and self/peer descriptions in-
person bases his or her self-schema on the creased with age, and was greater among
reactions he or she perceives from others girls than boys (van Aken, van Lieshout, &
during social interaction is captured by the Haselager, 1996).
term reflected appraisal. Studies of this pro- Research has focused on the differential
cess (Marsh, Barnes, & Hocevar, 1985; Mi- effect of various significant others on one’s
yamoto & Dornbusch, 1956) typically com- appraisal of self in particular roles or do-
pare people’s self-ratings on various quali- mains. Felson (1985; Felson & Reed, 1986)
ties (such as intelligence, self-confidence, has studied the relative influence of par-
physical attractiveness) with the views of ents and peers on the self-perceptions of
themselves that they perceive from oth- fourth- through eighth-graders about their
ers. The studies also compare self-ratings academic ability, athletic ability, and physi-
with actual views of others. The results of cal attractiveness. The results indicate that
these studies support the hypothesis that it parents affect self-appraisals in the areas of
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academic and athletic ability, whereas peers by others. Why is this so? Three reasons
are an important influence on perceived at- are especially important. First, others rarely
tractiveness. One aspect of attractiveness is provide full, honest feedback about their re-
weight. Although there is an objective mea- actions to us. Second, the feedback we do
sure of weight (that is, pounds, or pounds receive is often inconsistent and even con-
in relation to height), it is the social judg- tradictory. Third, the feedback is frequently
ment (“too fat,” “too thin,” or “just right”) ambiguous and difficult to interpret. It may
that is incorporated into the self-concept. be in the form of gestures (shrugs), facial
A study of adolescent health obtained self- expressions (smiles), or remarks that can be
appraisals of weight from 6,500 adolescents, understood in many different ways (“That’s
as well as appraisals from their parents and nice”). For these reasons, we may know lit-
a physician (Levinson, Powell, & Steelman, tle about others’ actual reactions to us. In-
1986). These young people were generally stead, we must rely on our perceptions of
unhappy with their weight, with boys judg- others’ reactions to construct our self-con-
ing themselves to be too thin and girls judg- cepts (Schrauger & Schoeneman, 1979).
ing themselves to be overweight. For both, Evidence that self-concepts are related
parental appraisal was significantly related to the perceived reactions of others does
to the young person’s judgment, whereas not in itself demonstrate that self-concepts
the physician’s rating was not. Research on are actually formed in response to these
a large sample of young adult athletes found perceived reactions. However, one study
that self-perceptions of athletic compe- (Mannheim, 1966) does suggest such an
tence were strongly related to the athlete’s impact of the perceived reactions of others
perception of appraisals by coaches, team- on self-concepts. The investigators in this
mates, and parents (Trouilloud & Amiel, study asked college dormitory residents
2011). However, athletes’ perceptions of to describe themselves and to report how
their future were negatively related to oth- they thought others viewed them. Several
ers’ appraisals. months later, self-concepts were measured
A study of married couples with one again. In the interim, students’ self-con-
child examined the relative influence of cepts had moved closer to the views they
self-appraisal and partner’s appraisal on had originally thought that others held.
two types of behavior: caregiving (tradition- Change toward the perceived reactions of
ally female) and breadwinning (traditionally others had indeed occurred. Similarly, a
male) (Maurer, Pleck, & Rane, 2001). The longitudinal study of delinquent behavior
hypothesis was that self-appraisal would found that parental appraisals of youth as
be more influential for gender-consistent delinquent were associated with subse-
behavior (male breadwinning, female care- quent self-appraisals as delinquent; self-
giving), whereas partner’s appraisal would appraisal as delinquent was in turn related
be more influential for noncongruent be- to delinquent behavior (Matsueda, 1992).
havior (male caregiving, female breadwin-
ning). The results generally supported the Identity and Multiracial Heritage. In a ra-
hypothesis. Thus, the appraisals of those cially diverse society, social identity based
presumed to be more knowledgeable about on racial heritage is a significant component
the role were more important. of self-schema. According to the reflected
Typically, a person’s self-ratings are reappraisal model, it is perceived reactions of
lated more closely to his or her perceived others that influence self-perception. Also,
ratings by others than to the actual ratings successful adoption of an identity requires
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acceptance by others of one’s claims. Thus, (1987) refer to the current, active, acces-
an important influence on racial identity sible self-representations as the working
should be responses of others based on self-concept.
one’s appearance. The racial identity of The self-concepts most likely to enter
some persons seems obvious—that is, their the situated self are those distinctive to the
skin color and physical features fit the so- setting and relevant to the ongoing activi-
cial stereotype of what Asians, Blacks, or ties. Consider a Black woman for whom be-
Whites look like. But the racial identity of ing Black and being a woman are both im-
others is not obvious. People with ambigu- portant self-concepts. When she interacts
ous appearance are frequently asked “What with Black men, she is more likely to think
are you?” and may come to hate having to of herself as a woman. When she interacts
answer that question one more time (Na- with White women, she is more likely to be
varro, 2005). To study multiracial identity, aware that she is Black. Similarly, whether
Khanna (2004) recruited adults who had gender is part of your situated self depends
one Asian parent and one White parent. in part on the gender composition of oth-
She predicted that (apparent) phenotype ers present (Cota & Dion, 1986). Male and
or appearance (How would others catego- female college students placed in a group
rize you, Asian or White?) would be the with two students of the opposite gen-
most important influence on racial identity. der were more likely to list gender in their
But what about persons whose phenotype self-descriptions than members of all-male
is ambiguous? Khanna predicted that cul- or all-female groups. Thus, self-concepts
tural exposure, language proficiency, eating that are distinctive or peculiar to the social
foods, and celebrating holidays would influ- setting tend to enter into the situated self.
ence identity—that is, identifying oneself as Our activities also determine the self-
“Asian.” Both hypotheses were confirmed. concepts that constitute the situated self. A
A study of hundreds of Asian and Latino job interview, for example, draws attention
students entering UCLA found that speak- to your competence; a party makes your
ing the ethnic language at home and having body image more salient. The self we expe-
high school friends of the same ethnicity rience in our imaginings and in our inter-
were the main predictors of strong ethnic actions is always situated, because setting
identity (Sears, Fu, Henry, & Bui, 2003). characteristics and activity requirements
prime or make distinctive and relevant par-
The Situated Self ticular self-concepts.
If we were to describe ourselves on several

different occasions, the identities, personal IdentItIeS: the Self We enact
qualities, and self-evaluations mentioned
would not remain the same. This is not due How does the self influence the planning
to errors of reporting; rather, it demon- and regulation of social behavior? The gen-
strates that the aspects of self that enter our eral answer to this question is that we are
awareness and matter most to us depend on motivated to plan and to perform behaviors
the situation. The situated self is the sub- that will confirm and reinforce the identi-
set of self-concepts chosen from our iden- ties we wish to claim for ourselves (Burke
tities, qualities, and self-evaluations that & Reitzes, 1981; Markus & Wurf, 1987). In
constitutes the self we know in a particular elaborating on this answer, we will examine
situation (Hewitt, 1997). Markus and Wurf three more specific questions: (1) How are
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100%
90%
77%
80%
70%
56% 52%
60%
PERCENT
50% 44%
37%
40%
30%
30%
19%
20%
7%
10%
0%
Birthplace Age Eye Color Weight
U.S. Born Near Mode Brown (common) Average
Foreign Born Older/Younger Blue/Green (unusual) Over/Under
“Tell us about yourself.” “Describe what you are like.”
Distinctive
Common
Feature
Figure 4.1 students spontaneously Mention a Distinctive Feature as Part of Their self-concept
A group of 252 sixth-graders from 10 classrooms were asked to describe themselves. Students mentioned a par-
ticular feature (for example, birthplace) more often if that feature distinguished them from their classmates. Be-
cause these are characteristics on which we stand out from our social groups, attracting more notice and social
comment, we are more likely to build them into our self-concepts. Adapted from “Trait Silence in the Spontaneous
Self-Concept” by W. J. McGuire and A. Padawer-Singer, Journal of Personality and Social Psychology, 33, 743–754.
© 1976 by the American Psychological Association.
behaviors linked to particular identities? (2) pations with names that resemble our own.
Of the different identities available to us, According to this study, it is not an accident
what determines which ones we choose to that Susie sells seashells by the seashore.
enact in a situation? (3) How do our iden- Identities that are important to the per-
tities lend unity and consistency to our son can motivate behavior that is consistent
behavior? with or validates that identity. A longitu-
dinal study of almost 800 seventh-, ninth-,
Identities and Behavior and eleventh-graders measured how much
each student identified with (from “not at
Each of us makes dozens of decisions every all” to “very much like me”) the character-
day; most of them influence our behavior. istics “popular” and “troublemaker.” The
These decisions are influenced by explicit researchers expected that these identities at
and implicit egotism—that is, giving undue Time 1 would be related to sexual debut be-
prominence to the self. A study of major life tween Times 1 and 2. Among boys, identify-
decisions (where to live, choice of career) ing with both was associated with initiating
suggests that these decisions are influenced sex. Among girls, identification with “trou-
by our names (Pelham, Mirenberg, & Jones, blemaker” was associated with sexual debut
2002). We tend to choose places and occu- (Longmore, Manning, & Giordano, 2006).
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The link between identities and behaviors widely shared, Burke and other research-
is through their common meanings (Burke ers use quantitative techniques to assess
& Reitzes, 1981). If members of a group them. Adapting the techniques developed
agree on the meanings of particular identi- by Osgood (see Box 2.1), the meaning of
ties and behaviors, they can regulate their an identity element or action is assessed on
own behavior effectively. They can plan, ini- the dimensions of affect, evaluation, and
tiate, and control behavior to generate the potency. Researchers can compare these
meanings that establish the identities they values across roles or groups or cultures to
wish to claim. If members do not agree on assess the impact of context on meanings.
these meanings, however, people have diffi- Social identities are associated with cat-
culty establishing their preferred identities. egory or group memberships. There are
If Imani sees no connection between com- widely held meanings or stereotypes asso-
petitiveness and femininity, for example, ciated with many categories and groups.
she will have trouble establishing a feminine Thus, claiming a social identity creates
identity in the eyes of friends who think be- a pressure to accept these stereotypes as
ing feminine means being noncompetitive. self-descriptive. This can have a powerful
According to identity control theory impact on behavior. We may voluntarily
(Burke, 1991), an actor uses the social mean- adopt behavior or traits associated with
ing of his or her identity as a reference point positive stereotypes, such as adopting the
for assessing what is occurring in the situa- food preferences associated with “vegan-
tion. The identities of the other actors and ism.” On the other hand, we may avoid en-
elements of the situation also have shared gaging in behaviors we associate with dis-
meanings. The behaviors of others and sit- liked out-groups. Researchers found that
uational elements are evaluated by the ac- American-Indian, African-American, and
tor according to whether they maintain his Mexican-American college students and
or her identity. Subsequent behaviors are eighth-graders viewed healthy behaviors
selected and enacted in order to maintain (for example, good diet, exercise) as white
one’s identity in this situation. The (shared) and middle-class, and were less likely to
meaning of an identity operates like a ther- engage in them. Minority students were
mostat; if reflected appraisals or situational more likely to identify unhealthy behaviors
elements are inconsistent with identity, an as consistent with in-group identity (Oyser-
actor will behave in ways designed to re- man, Fryberg, & Yoder, 2007).
store it (Smith-Lovin & Robinson, 2006). We may be influenced by negative ste-
Consider a woman whose identity is a reotypes as well; stereotype threat refers to
“considerate professor.” When students a situation in which one is at risk of con-
hand in assignments on time, her identity firming as self-characteristic a negative ste-
is reinforced. Occasionally, when an appar- reotype about a group to which one belongs
ently hardworking student asks for an exten- (see Chap. 6). For instance, Blacks may un-
sion of a due date, it is consistent with her derperform in an academic testing situation
identity as “considerate” to grant the request. because they believe that others stereotype
But if numerous students ask for extensions them as “dumb,” which creates anxiety that
for reasons that seem trivial, she may “crack disrupts their performance.
down” and refuse to give an extension to On the other hand, some group mem-
anyone, enacting the “professor” identity. bers will obviously violate any stereotype
Since the meanings of role-identity el- of the group. We noted earlier that charac-
ements, actions, and other identities are teristics that distinguish us from others are
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more likely to be part of our self-concept. expectations attached to the identities that
Indeed, research indicates that people are we consider the most important.
more likely to include in their self-schema What determines whether a particular
areas in which their performance is coun- identity occupies a central or a peripheral
terstereotypic—that is, distinctive (von position in the salience hierarchy? In gen-
Hippel, Hawkins, & Schooler, 2001). eral, the importance we attach to a role
identity is affected by (1) the resources we
Choosing an Identity to Enact have invested in constructing the identity
(time, effort, and money expended, for ex-
Each of us has many different identities. ample, in learning to be a sculptor); (2) the
Each identity suggests its own lines of ac- extrinsic rewards that enacting the identity
tion. These lines of action are not all com- has brought (for example, purchases by col-
patible, however, nor can they be pursued lectors, acclaim by critics); (3) the intrinsic
simultaneously in a single situation. If you gratifications derived from performing the
are at a family reunion in your parents’ identity (for example, the sense of com-
home, for example, you might wish to claim petence and aesthetic pleasure obtained
an identity as a helpful son or daughter, when sculpting a human figure); and (4) the
an aspiring rap artist, or a witty conversa- amount of self-esteem staked on enacting
tionalist. These identities suggest differ- the identity well (for example, the extent to
ent, even conflicting ways of relating to the which a positive self-evaluation has become
other guests. What influences the decision tied to being a good sculptor). As we engage
to enact one rather than another identity? in interaction and experience greater or
Several factors affect such choices. lesser success in performing our different
identities, their salience shifts.
The Hierarchy of Identities. The many
different role identities we enact do not Social Networks. Each of us is part of net-
have equal importance for us. Rather, we works of social relationships. These relation-
organize them into a hierarchy according ships may stand or fall depending on whether
to their salience—their relative impor- we continue to enact particular role iden-
tance to the self-schema. This hierarchy tities. The more numerous and significant
exerts a major influence on our decision the relationships that depend on enacting an
to enact one or another identity (McCall identity, the more committed we become to
& Simmons, 1978; Stryker, 1980). First, the that identity (Callero, 1985). Consider, for
more salient an identity is to us, the more example, your role as a student. Chances
frequently we choose to perform activities are that many of your relationships—with
that express that identity (Stryker & Serpe, roommates, friends, instructors, and per-
1981). Second, the more salient an identity, haps a lover—depend on your continued
the more likely we are to perceive that sit- occupancy of the student role. If you left
uations offer opportunities to enact that school, you could lose a major part of your
identity. Only a person aspiring to the iden- life. Given this high level of commitment, it
tity of a rap artist, for example, will perceive isn’t surprising that for many students, being
a family reunion as a chance to demonstrate forced to leave school is traumatic.
his or her skill. Third, we are more active in The more commitment we have to a role
seeking opportunities to enact salient iden- identity, the more important that identity
tities (say, searching for an open-mic ses- will be in our salience hierarchy. For in-
sion). Fourth, we conform more to the role stance, adults for whom participating in
9780813349503.indb 133 5/16/14 1:50 PM

religious activities is crucial for maintaining in a particular situation, the identity we

everyday social relationships rank their re- choose to enact depends partly on whether
ligious identity as relatively important com- the situation offers opportunities for profit-
pared with their parent, spouse, and worker able enactment. Regardless of the salience
identities (Stryker & Serpe, 1981). Simi- of your identity as musician, if no one wants
larly, the importance rank that undergrad- to listen to your music, there will be no op-
uates give to various identities (student, portunity to enact that identity.
friend, son or daughter, athlete, religious In a series of studies, Kenrick, McCreath,
person, and dating partner) depends on the Govern, King, and Bordin (1990) asked
importance to them of the social relation- students to rate the extent to which vari-
ships maintained by enacting each identity ous personal qualities could be displayed
(Hoelter, 1983). in each of six different settings. The traits
Online networks provide us with oppor- were adjustment, dominance, intellectual
tunities to enact identities. Some provide us ability, likableness, social control, and so-
with opportunities to enact and get feed- cial inclination. The students agreed that
back about our professional identities, for one can display intellectual ability in aca-
example, SPN (Social Psychology Network) demic settings but not in recreational ones.
or LinkedIn. Others such as eHarmony or Behaviors expressive of dominance can be
Chemistry provide opportunities to enact displayed in athletic and business settings
identities related to meeting potential part- but not in religious ones. Finally, there are
ners and intimate relationships. Obviously opportunities to display adjustment and so-
your posts on LinkedIn will be quite differ- cial inclination in recreational settings but
ent from those on AVEN (Asexuality Visi- not in church.
bility and Education Network)! Opportunities to enact an identity de-
pend in part on other persons offering ac-
Need for Identity Support. We are likely to cess to the aspiring actor. Offers of access
enact those of our identities that most need often depend on perceptions of actors or
support because they have recently been those who control access. In this situation,
challenged. For instance, suppose that some- is it better to be perceived as a specialist or
one has recently had difficulty “hooking up,” as someone who is versatile at a number of
or getting a date. That person may now roles? In order to get invited to the party,
choose actions calculated to elicit responses is it better to have a reputation as the “life
indicating he or she is an attractive dating of the party” or as a bright, friendly, warm
partner. We also tend to enact identities person? Research designed to answer this
likely to bring intrinsic gratifications (such question looked at the careers of U.S. film
as a sense of accomplishment) and extrinsic actors, specifically at the odds they would
rewards (such as praise) that we especially get roles in subsequent films (Zuckerman,
need or miss at the moment. For example, if, Kim, Ukanwa, & von Rittman, 2003). Spe-
after hours of solitary study, you feel a need cialization increased the odds that novices
for relaxed social contact, you might seek would get future roles, but decreased the
gratification by going to a student union or a odds for veterans; when you are relatively
bar to find someone to chat with. unknown, you are more likely to get op-
portunities if you are known to be good at
Situational Opportunities. Social situa- a specialty. Once you are known, versatility
tions are restrictive; they let us enact only will get you more opportunities than if you
some identities profitably, not others. Thus, are a specialist.
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The more important an identity is to us, the more consistently we act to express it, regardless of
others’ reactions. Are any of your identities so important that you would express them by wearing such
distinctive clothing as this high schooler? © Ed Kashi/VII/Corbis
Identities as Sources of Consistency mons, Diener, & Larsen, 1986) found clear
patterns of choice and avoidance in each
Although the self includes multiple identi- student’s interactions; these patterns were
ties, people usually experience themselves consistent with the student’s characteris-
as a unified entity. One reason is the in- tics, such as sociability.
fluence of the salience hierarchy. Another Second, the hierarchy influences the
reason is that we use several strategies that consistency of behavior across different sit-
verify our perceptions of self. uations. In another study, each person was
asked to report the extent to which each
Salience Hierarchy. Our most salient iden- of 10 affective states and 10 behavioral re-
tities provide consistent styles of behavior sponses occurred in various situations over
and priorities that lend continuity and unity a 30-day period (Emmons & Diener, 1986).
to our behavior. In this way, the salience hi- The results indicated a significant degree of
erarchy helps us to construct a unified sense consistency across situations.
of self from our multiple identities. Third, the hierarchy influences consis-
The hierarchy of identities influences tency in behavior across time. Serpe (1987)
consistency in three ways. First, the hier- studied a sample of 310 first-year college
archy provides us with a basis for choos- students, collecting data at three points
ing which situations we should enter and during their first semester in college. The
which ones we should avoid. A study of the survey measured the salience at each point
everyday activities of college students (Em- of five identities: academic ability, athletic/
9780813349503.indb 135 5/16/14 1:50 PM

recreational involvement, extracurricular lieve they were prejudiced toward Blacks.

involvement, personal involvement (that is, When they were subsequently approached
friendships), and dating. There was a gen- by a Black panhandler, they gave him more
eral pattern of stability in salience. Change money than did students whose egalitarian
in salience was more likely for those identi- identity had not been threatened (Dutton &
ties where there was greater opportunity for Lake, 1973).
change, such as dating. Another set of strategies involves the
Although the self-concept exhibits con- processing of feedback from others. As
sistency over time, it may change (Demo, noted in the next section, we often do this
1992). Life transitions may change situa- in ways that make others’ responses to us
tions one encounters. This creates a need seem to support our self-concept.
to exit from one or more roles, adopt new There are limits to the extent to which
roles, and change the salience hierarchy. we engage in self-verifying strategies. There
During times such as adolescence and re- are times when we want accurate feedback
tirement, we are likely to feel a weakened about our abilities or about another person’s
sense of unity and a confusion about how view of our relationship with him or her.
to behave. This has been called an identity When we want such feedback, and we have
crisis (Erikson, 1968). To overcome such the necessary cognitive resources (attention,
confusion, we must reorganize our iden- energy), we evaluate feedback from others by
tity hierarchy, giving greater importance to comparing it with our self-representations
identities based on our newly available or (Swann & Schroeder, 1995). This evaluation
remaining social positions. A retiree may may lead to changes in behavior, such as
successfully reorganize the hierarchy, for moving toward a goal or a desired identity,
example, by upgrading identities based on or to a change in self-representation.
new hobbies (gardener) and on continuing
social ties (witty conversationalist). Self-Awareness and Self-Discrepancies
Self-Verification Strategies. We experi- In this section, we discuss two ways in which

ence ourselves as consistent across time the self affects our behavior. These include
and situations because we employ several (1) ways in which focusing attention on the
strategies that verify our self-perceptions self influences the relationship between our
(Banaji & Prentice, 1994). identities and our behavior; and (2) the ef-
One set of strategies consists of behav- fect of self-discrepancies on emotional state
iors that lead to self-confirming feedback and behavior.
from others. First, we engage in selective in-
teraction; we choose as friends, roommates, Effects of Self-Awareness. While eating
and intimates people who share our view of with friends, reading a book, or participat-
self. Second, we display identity cues that ing in conversation, your attention is usu-
elicit identity-confirming behavior from ally directed toward the objects, people, and
others. In a hospital setting, most people events that surround you. But what happens
treat a middle-aged person wearing a white if, on looking up, you discover a photogra-
coat as a physician. Third, we behave in pher, lens focused on you, snapping away?
ways that enhance our identity claims, es- Or what if you suddenly notice your image
pecially when those claims are challenged. reflected in a large mirror? In such circum-
In one study, White students who viewed stances, most of us become self-conscious.
themselves as unprejudiced were led to be- We enter a state of self-awareness—that
9780813349503.indb 136 5/16/14 1:50 PM

is, we take the self as the object of our at- ties, sororities, military organizations—in
tention and focus on our own appearance, initiation rituals.
actions, and thoughts. This corresponds to
the “me” phase of action (Mead, 1934). Effects of Self-Discrepancies. Research
Numerous circumstances cause people has shown that the relationships between
to become self-aware. Mirrors, cameras, components of one’s self-schema influence
and recordings of our own voice cause one’s emotional state and behavior. There
self-awareness because they directly pres- are three components of the self-schema:
ent the self to us as an object. Unfamiliar self as one is (actual), as one would like to
situations and blundering in public also be (ideal), and as one ought to be (ought).
cause self-awareness, because they disrupt When we evaluate ourselves, we typically
the smooth flow of action and interaction. use the ideal self or the ought self as the ref-
When this happens, we must attend to our erence point. When the actual self matches
own behavior more closely, monitoring its the ideal self, we feel satisfaction or pride.
appropriateness and bringing it into line However, when there is a self-discrep-
with the demands of the situation. In gen- ancy—that is, a component of the actual
eral, anything that reminds us that we are self is the opposite of a component of the
the objects of others’ attention will increase ideal self or the ought self—we experience
our self-awareness. discomfort (Higgins, 1989).
How does self-awareness influence be- According to self-discrepancy theory,
havior? When people are highly self-aware, the two types of discrepancies produce two
they are more likely to be honest and to different emotional states. Someone who
more accurately report on their mood state, has an actual-ideal discrepancy will expe-
psychiatric problems, and hospitalizations rience dejection, sadness, or depression.
(Gibbons et al., 1985). In general, people who Someone who perceives an actual-ought
are self-aware act in ways more consistent discrepancy will experience fear, tension,
with personal and social standards (Wick- or restlessness. The theory predicts that the
lund, 1975; Wicklund & Frey, 1980). Their larger the discrepancy, the greater the dis-
behavior is controlled more consciously by comfort.
the self. In the absence of self-awareness, be- In a study designed to test these hypothe-
havior is more automatic or habitual. Soci- ses (Higgins, Klein, & Strauman, 1985), stu-
ety gains control over its members through dents were asked to list up to 10 attributes
the self-control that individuals exercise each of the actual self, the ideal self, and the
when they are self-aware (Shibutani, 1961). ought self. Discrepancy was measured by
This is because the standards to which peo- comparing two lists (say, the actual and the
ple conform are largely learned from sig- ideal); a self-state listed in both was a match,
nificant groups in society. Self-awareness is whereas a self-state listed on one list with
thus often a civilizing influence. its antonym (opposite) listed on the other
These findings suggest that groups en- was a mismatch. The self-discrepancy score
hance their social control over individual was the number of mismatches minus the
behavior when they expose individuals to number of matches. Discomfort was mea-
conditions—like an attentive audience, un- sured by several questionnaires. The results
familiar circumstances, or socially awkward showed that as the actual-ideal discrepancy
tasks—that increase awareness of the pub- increased, the frequency and intensity of
lic self. Interestingly, these are precisely the reported dissatisfaction and depression in-
conditions used by many groups—fraterni- creased. As the actual-ought discrepancy
9780813349503.indb 137 5/16/14 1:50 PM

increased, the frequency and intensity of re- cies of self-esteem, and (2) how we evalu-
ported fear and irritability increased. ate each of them. Some of our specific role
Self-discrepancy scores also are related and social identities and personal qualities
to various behaviors. A study of satisfac- are important to us; characteristics of self
tion with one’s body and of eating disorders or categories of outcomes on which a per-
found that a form of actual-ideal discrep- son stakes self-esteem are contingencies of
ancy was associated with bulimic behaviors, self-esteem (Crocker & Wolfe, 2001). Oth-
whereas an actual-ought discrepancy was ers are unimportant. For instance, you may
associated with anorexic behaviors (Strau- consider yourself an excellent student and a
man, Vookles, Berenstein, Chaiken, & Hig- worthy friend, an incompetent athlete and
gins, 1991). A study of 100 women found an unreliable employee, and not care about
that number of discrepancies was associated your social identity as Basque French. Ac-
with both depressive symptoms and eating cording to theory, our overall level of
disorders. When experiencing symptoms self-esteem is the product of these individ-
was controlled, actual-potential discrepan- ual evaluations, with each identity weighted
cies were associated with eating disorders according to its salience (Rosenberg, 1965;
(Sawdon, Cooper, & Seabrook, 2007). Re- Sherwood, 1965).
search involving 112 female undergradu- Ordinarily, we are unaware of precisely
ates found that exposure to ads portraying how we combine and weigh the evaluations
thin women increased body dissatisfac- of our specific contingencies. If we weigh
tion and levels of depression, and lowered our positively evaluated identities and traits
self-esteem. Women with high body-image as more important, we can maintain a high
self-discrepancy were more likely to experi- level of overall self-esteem while still ad-
ence these effects (Bessenoff, 2006). mitting to certain weaknesses. If we weigh
our negatively evaluated identities heavily,
we will have low overall self-esteem even
Self-eSteeM though we have many valuable qualities.
There are several approaches to measur-
Do you have a positive attitude about ing self-esteem. Probably the most widely
yourself, or do you feel you do not have used is the Rosenberg Self-Esteem Scale
much to be proud of? Overall, how capa- (see Box 4.2). It consists of 10 statements
ble, successful, significant, and worthy are about feelings toward and evaluations of
you? Answers to these questions reflect oneself, and assesses the extent of agree-
self-esteem, the evaluative component of ment or disagreement with each. A second
self-concept (Gecas & Burke, 1995). approach is the attempt to measure implicit
This section addresses four questions: self-esteem—the unaware, automatic eval-
(1) How is self-esteem assessed? (2) What uation of the self—by assessing the person’s
are the major sources of self-esteem? (3) evaluation of objects and qualities associ-
How is self-esteem related to behavior? (4) ated with the self (Greenwald & Farnham,
What techniques do we employ to protect 2000). A third technique involves using
our self-esteem? trained coders to assess autobiographical
narratives; the coder reads the narrative
Assessment of Self-Esteem and assigns two overall ratings, each on a
9-point scale. The coder rates the degree of
Our overall self-esteem depends on (1) self-liking and of self-confidence evident in
which characteristics of self are contingen- the narrative (Anderson, 2006).
9780813349503.indb 138 5/16/14 1:50 PM

Box 4.2 TeST YourSelF: The roSenBerg SelF-eSTeeM SCAle
STronglY
STATeMenT STronglY Agree Agree DISAgree DISAgree
1. I feel that I am a person of worth,

at least on an equal plane with
others.
2. I feel that I have a number of

good qualities.
3. All in all, I am inclined to feel that

I am a failure.
4. I am able to do things as well as

most other people.
5. I feel I do not have much to be

proud of.
6. I take a positive attitude toward

myself.
7. On the whole, I am satisfied with

myself.
8. I wish I could have more respect

for myself.
9. I certainly feel useless at times.
10. At times I think I am no good

at all.
Scores are calculated as follows: Your score on the Rosenberg Scale:

The scale ranges from 0 to 30. Scores between
For items 1, 2, 4, 6, and 7: 15 and 25 are within normal range; scores be-
Strongly agree = 3 low 15 suggest low self-esteem.
Agree = 2
disagree = 1 Source: Morris Rosenberg, Society and the Adolescent
Strongly disagree = 0 Self-Image, 1989. Revised edition. Middletown, CT:
Wesleyan University Press.
For items 3, 5, 8, 9, and 10 (which are reversed
in valence):
Strongly agree = 0
Agree = 1
disagree = 2
Strongly disagree = 3
9780813349503.indb 139 5/16/14 1:50 PM

Sources of Self-Esteem Research also suggests that self-esteem

is produced by the reciprocal influence of
Why do some of us enjoy high self-esteem, parents and their children on each other
whereas others suffer low self-esteem? To (Felson & Zielinski, 1989). Children with
help answer this question, consider three higher self-esteem exhibit more self-confi-
major sources of self-esteem—family ex- dence, competence, and self-control. Such
perience, performance feedback, and social children are probably easier to love, accept,
comparisons. reason with, and trust. Consequently, they
are likely to elicit responses from their par-
Family Experience. As one might expect, ents that further promote their self-esteem.
parent-child relationships are important As young people move into adolescence,
for the development of self-esteem. From their overall or global self-esteem becomes
an extensive study of the family experiences linked to the self-evaluations tied to specific
of fifth- and sixth-graders, Coopersmith role identities. A study of 416 sixth-graders
(1967) concluded that four types of paren- found that evaluations of self as athlete, son
tal behavior promote higher self-esteem: (1) or daughter, and student were positively re-
showing acceptance, affection, interest, and lated to global self-esteem (Hoelter, 1986).
involvement in children’s affairs; (2) firmly Also, the number of significant others ex-
and consistently enforcing clear limits on pands to include friends and teachers in ad-
children’s behavior; (3) allowing children dition to parents. The relative importance
latitude within these limits and respecting of these others appears to vary by gender.
initiative (such as older children setting A study of 1,367 high school seniors found
their own bedtime and participating in that the perceived appraisals of friends had
making family plans); and (4) favoring non- the biggest impact on girls’ self-esteem,
coercive forms of discipline (such as deny- whereas the perceived appraisals of parents
ing privileges and discussing reasons, rather had the biggest impact on boys’ self-esteem
than punishing physically). Findings from a (Hoelter, 1984). For both boys and girls,
representative sample of 5,024 New York teachers’ appraisals were second in impor-
high school students corroborate these con- tance.
clusions (Rosenberg, 1965). Note that these Both popular (Pipher, 1994) and aca-
results are consistent with our discussion of demic (American Association of Univer-
socialization techniques in Chapter 3. sity Women, 1992) works have argued that
Family influences on self-esteem confirm a substantial difference between male and
the idea that the self-concepts we develop female self-esteem emerges in adolescence.
mirror the view of ourselves communicated Various causes have been suggested, such
by significant others. Children who see as the devaluing of female roles in U.S. so-
that their parents love, accept, care about, ciety, the development of body conscious-
trust, and reason with them come to think ness and concern with appearance among
of themselves as worthy of affection, care, girls, and the preferential treatment of boys
trust, and respect. Conversely, children who by teachers. A meta-analysis of studies in-
see that their parents do not love and accept volving more than 146,000 participants of
them may develop low self-esteem. A longi- all ages finds a small difference in overall
tudinal study of adolescents found that ex- self-esteem favoring boys that is larger but
cessive parental shaming and criticism were not substantial in adolescence (Kling, Hyde,
associated with low self-esteem and depres- Showers, & Buswell, 1999). Furthermore,
sion (Robertson & Simons, 1989). the difference declines from ninth grade to
9780813349503.indb 140 5/16/14 1:50 PM

twelfth grade (Falci, 2011), and there is no

gender difference at age 30 (Erol & Orth,
2011).
Performance Feedback. Everyday feedback

about the quality of our performances—
our successes and failures—influences our
self-esteem. We derive self-esteem from ex-
periencing ourselves as active causal agents
who make things happen in the world, who
attain goals and overcome obstacles (Franks
Few athletes win an Olympic gold medal. Those
& Marolla, 1976). In other words, self- who do often experience great exhilaration. But
esteem is based partly on our sense of effi- for all of us, an inner sense of self-esteem depends
cacy—of competence and power to control on experiencing ourselves as causal agents who
events (Bandura, 1982c). People who hold make things happen, overcome obstacles, and
low-power positions (such as clerks, un- attain goals. © Tim Clayton/Corbis
skilled workers) have fewer opportunities to
develop efficacy-based self-esteem because most likely to receive evaluative feedback
such positions limit their freedom of action. from others in our immediate social con-
Even so, people seek ways to convert almost text—our family, peers, teachers, and work
any kind of activity into a task against which associates. We are also most likely to com-
to test their efficacy and prove their compare ourselves with these people and with
petence (Gecas & Schwalbe, 1983). In this others who are similar to us (Festinger,
way, they obtain performance feedback use- 1954; Rosenberg & Simmons, 1972). This
ful for building self-esteem. reasoning suggests that the self-esteem
of minority persons may benefit from be-
Social Comparison. To interpret whether ing in a consonant environment, that is,
performances represent success or failure, one where most people are from the same
we must often compare them with our own group; a longitudinal study of a national
goals and self-expectations or with the per- sample of Blacks found that as the percent-
formances of others. Getting a B on a math age of Blacks in the college attended in-
exam, for example, would raise your sense creased, post-college self-esteem increased
of math competence if you had hoped for a (St. C. Oates, 2004). A study of adult Chi-
C at best, but it would shake you if you were nese in Los Angeles County also found con-
counting on an A. The impact of the B on text effects on self-esteem; participation in
your self-esteem also would vary depending Chinese culture, for example, speaking Chi-
on whether most of your friends got As or nese, eating ethnic foods, and celebrating
Cs. ethnic festivals, was associated with higher
Social comparison is crucial to self- self-esteem for persons living in predom-
esteem, because the feelings of competence inantly Chinese neighborhoods, but not
or worth we derive from a performance for Chinese living in predominantly White
depend in large part on with whom we are neighborhoods (Schnittker, 2002).
compared, both by ourselves and by others. Losing one’s job is generally interpreted
Even our personal goals are largely derived as a serious failure in our society. A national
from our aspirations to succeed in compar- survey of American employees reveals that
ison with people whom we admire. We are job loss undermined self-esteem, but the
9780813349503.indb 141 5/16/14 1:50 PM

size of the drop in self-esteem depended by criticism. Lacking confidence in their

on social comparison (Cohn, 1978). In own judgments and opinions, they yield
neighborhoods with little unemployment, more readily in the face of opposition. They
persons who lost their jobs suffered a large expect others to reject them and their ideas,
drop in self-esteem. In neighborhoods and they have little faith in their ability to
where many others were unemployed too, achieve. In school, they set lower goals for
the drop was less. This difference points themselves, are less successful academi-
to the importance of the immediate social cally, less active in the classroom and in
context for defining success or failure. extracurricular activities, and less popular.
People with lower self-esteem appear more
Self-Esteem and Behavior depressed and express more feelings of un-
happiness and discouragement. They more
People with high self-esteem often be- frequently manifest symptoms of anxiety,
have quite differently from those with low poor adjustment, and psychosomatic illness.
self-esteem. At the same time, we should Self-esteem influences our attributions
not overestimate the effects of self-esteem regarding events in our close relationships.
(Baumeister, 1998). College students in dating relationships
Compared with those having low self- were recruited to participate in research.
esteem, children, teenagers, and adults Their self-esteem was measured, and then
with higher self-esteem are socially at they imagined two scenarios. In one, his or
ease and popular with their peers. They her partner was in a good mood; in the other,
are more confident of their own opinions he or she was in a bad mood. When the
and judgments, and more certain of their partner’s mood was negative and the cause
perceptions of self (Campbell, 1990). They ambiguous, those with low self-esteem felt
are more vigorous and assertive in their more responsible, more rejected, and more
social relations, more ambitious, and more hostile (Bellavia & Murray, 2003).
academically successful. During their school Most of these contrasts are drawn from
years, persons with higher self-esteem comparisons between naturally occurring
participate more in extracurricular activities, groups of people who report high or low
are elected more frequently to leadership self-esteem. It is, therefore, difficult to de-
roles, show greater interest in public affairs, termine whether self-esteem causes these
and have higher occupational aspirations. behavior differences or vice versa. For ex-
Persons with high self-esteem achieve higher ample, high self-esteem may enable people
scores on measures of psychological well- to assert their opinions more forcefully and,
being (Rosenberg, Schooler, Schoenbach, thus, to convince others. But the experience
& Rosenberg, 1995). Adults with high self- of influencing others, in turn, may increase
esteem experience less stress following the self-esteem. Thus, reciprocal influence,
death of a spouse and cope with the resulting rather than causality from self-esteem to be-
problems more effectively (Johnson, Lund, havior, is probably most common (Rosen-
& Dimond, 1986). berg, Schooler, & Schoenbach, 1989).
The picture of people with low self-
esteem forms an unhappy contrast. People Protecting Self-Esteem
low in self-esteem tend to be socially anx-
ious and ineffective. They view interper- What grade would you like to get on your
sonal relationships as threatening, feel less next exam in social psychology—an A or a
positively toward others, and are easily hurt C? Your answer depends in part on whether
9780813349503.indb 142 5/16/14 1:50 PM

your self-esteem is high or low. We often stance, college students took an analogies
think that everybody wants to get positive test and subsequently were given positive,
feedback from others, to have others like negative, or no feedback about their perfor-
them, to be successful—that is, to expe- mance (Jussim, Coleman, & Nassau, 1987).
rience self-enhancement. As noted in the Each student then completed a question-
previous section, people with high self- naire. Students with high self-esteem per-
esteem expect to perform well and usually ceived the feedback—whether positive or
do. People with low self-esteem, on the negative—as more positive than students
other hand, expect to perform poorly and with low self-esteem.
usually do. People are motivated to protect
their self-esteem whether it is high or low— Selective Information Processing. An-
that is, to experience self-verification in the other way we protect our self-esteem is
feedback they receive. Most people have by attending more to those occurrences
high self-esteem and want self-enhancing that are consistent with our self-evalu-
feedback. Some people have low self- ation. In one study, participants high or
esteem; to verify their self-evaluation, they low in self-esteem performed a task; they
want self-derogating feedback. were then told either that they succeeded
Research with sixth- through eighth- or that they failed at the task. On a later
graders assessed their perception of their self-rating, all the participants gave biased
strengths and their weaknesses, making ratings. High-self-esteem participants who
them salient. They were then given the succeeded increased their ratings, whereas
choice of self-enhancing or self-verifying their low-self-esteem counterparts did not.
feedback. These early adolescents preferred Low-self-esteem participants who failed
self-verification (Rosen, Principe, & Lang- gave themselves lower ratings, whereas
lois, 2013). A meta-analysis of research on high-self-esteem participants who failed did
feedback found that context makes a differ- not (Schlenker, Weigold, & Hallam, 1990).
ence; when the risk of rejection is high, peo- Memory also acts to protect self-esteem.
ple prefer self-enhancing feedback (Kwang People with high self-esteem recall good,
& Swann, 2010). responsible, and successful activities more
People use several techniques to main- often, whereas those with low self-esteem
tain their self-esteem. We will examine four are more likely to remember bad, irrespon-
of them (McCall & Simmons, 1978). sible, and unsuccessful ones.
Manipulating Appraisals. We choose to Selective Social Comparison. When we

associate with people who share our view lack objective standards for evaluating our-
of self and avoid people who do not. For selves, we engage in social comparison (Fes-
example, a study of interaction in a college tinger, 1954). By carefully selecting others
sorority revealed that women associated with whom to compare ourselves, we can
most frequently with those they believed further protect our self-esteem. We usually
saw them as they saw themselves (Backman compare ourselves with persons who are
& Secord, 1962). People with negative self- similar in age, sex, occupation, economic
views seek people who think poorly of them status, abilities, and attitudes (Suls & Miller,
(Swann & Predmore, 1985). Another way 1977; Walsh & Taylor, 1982). We generally
to maintain our self-esteem is by interpret- rate ourselves more favorably than we rate
ing others’ appraisals as more favorable or our friends (Suls, Lemos, & Stewart, 2002).
unfavorable than they actually are. For in- We tend to avoid comparing ourselves with
9780813349503.indb 143 5/16/14 1:50 PM

the class valedictorian, homecoming queen, tribution to its success. Low-self-esteem

or star athlete, thereby forestalling a nega- participants were more likely to link them-
tive self-evaluation. selves to the successful group when they
were not members of it (Brown, Collins, &
Selective Commitment to Identities. Still Schmidt, 1988).
another technique to protect self-esteem in- All four techniques for protecting
volves committing ourselves more to those self-esteem described here portray human
self-concepts that provide feedback consis- beings as active processors of social events.
tent with our self-evaluation, downgrading People do not accept social evaluations pas-
those that provide feedback that challenges sively or allow self-esteem to be buffeted by
it. This protects overall self-esteem because the cruelties and kindnesses of the social
self-evaluation is based most heavily on environment. Nor do successes and failures
those identities and personal qualities that directly affect self-esteem. The techniques
are contingencies of self-esteem. This pro- described here testify to human ingenuity
cess may also lead us to change roles, exit- in selecting and modifying the meanings of
ing those that are associated with negative events in the service of self-esteem.
feedback.
People tend to enhance self-esteem by
assigning more importance to those iden- Self-PreSentatIon
tities (religious, racial, occupational, family)
they consider particularly admirable (Hoel- Strolling down the aisle of the exhibi-
ter, 1983). They also increase or decrease tion hall at the food fair, you notice the
identification with a social group when the man in the next booth. He sees you at
group becomes a greater or lesser potential the same time and says, “Come on up.
source of self-esteem (Tesser & Campbell, We’re going to do it for you one more
1983). In one study, students were part of time.” As you get closer, you see that
a group that either succeeded or failed at a he is surrounded by bowls of salsa and
task (Snyder, Lassegard, & Ford, 1986). On of coleslaw and piles of vegetables. On
measures of identification with the group, the table in front of him is a hard-plas-
students belonging to a successful group tic, hand-operated food processor—the
claimed closer association with the group Quick Chopper.
(that is, basked in the reflected glory), “Let me show you how to work these
whereas those in an unsuccessful group real quick, all right? You guys seen
distanced themselves from the group. Simi- these on TV before? Cool. You didn’t
larly, students are more apt to wear clothing see me on TV, did you, America’s Most
that displays their university affiliation fol- Wanted, Saturday? Now the blades are
lowing a football victory than after a defeat. the best part.”
They also identify more with their school He makes it look effortless. He chops
when describing victories (“We won”) than tomatoes, green peppers, and onions,
defeats (“They lost”), thereby enhancing or all the while keeping up a steady ban-
protecting self-esteem (Cialdini, Borden, ter. “Folks,” he calls out, “come on up
Thorne, Walker, & Freeman, 1976). here. Help me get a crowd together. Sir,
People who want to verify their low come on up here. You don’t have to buy
self-esteem behave differently. Low-self- a thing, sir. Nobody else has.” Other po-
esteem participants who were members of a tential customers approach the booth.
successful group downplayed their connec- He finishes the onions. “And then salt
tion to the group and minimized their con- it to taste. This is my daddy’s recipe, by
9780813349503.indb 144 5/16/14 1:50 PM

Box 4.3 Minority Status and Self-esteem
Members of racial, religious, and ethnic minorities sures to be somewhat higher than Whites’; the
might have special issues related to self-esteem. means of the other three groups were somewhat
Because of prejudice, minority group members below the means of Whites.
may see a negative image of themselves reflected Recent research has assessed self-esteem
in appraisals by members of majority groups. levels across the life course. Analyzing data from
When they make social comparisons of their own a longitudinal sample of 7,100 persons aged
educational, occupational, and economic success 14–30 (Add Health data), researchers found that
with that of the majority, they are likely to com- self-esteem increases for everyone from adoles-
pare unfavorably. Therefore, we might assume cence into young adulthood. Hispanics had lower
that members of minority groups will interpret self-esteem in adolescence than Blacks or Whites,
their performances and failures to achieve as evi- but subsequently experienced a larger increase.
dence of a basic lack of worth and competence— At age 30, Blacks and Hispanics had higher es-
that they will have low self-esteem. teem than Whites (Erol & Orth, 2011). data from
Is this hypothesis true? Hundreds of studies 3,600 adults ages 25 to 75+ showed that Blacks
have sought to determine whether minority sta- and Whites had similar levels of esteem until age
tus undermines self-esteem in America (Porter & 65. Beyond 65, Blacks’ self-esteem dropped more
Washington, 1993; Wylie, 1979). The vast major- sharply than Whites’ (Shaw, Liang, & Krause, 2010).
ity of studies offer little support for the conclu- Group self-esteem, on the other hand, is not
sion that minorities (racial, religious, or ethnic) associated with reflected appraisals. Among
have significantly lower self-esteem. Further Black Americans, group self-esteem includes
research suggests that self-esteem among racial Black consciousness, Black racial identity, and
and ethnic minorities has two components. One support for independent Black politics. High
is group self-esteem—how the person feels as group self-esteem among Blacks is associated
a member of a racial or ethnic group. The other with higher education and more frequent con-
is personal self-esteem—how the person feels tact with Whites, not with relationships with fam-
about the self (Porter & Washington, 1993). ily and friends (demo & Hughes, 1990). Research
A meta-analysis of data from more than 120 indicates that Puerto Ricans, Mexican Ameri-
sources found that Blacks score significantly cans, and Asian Americans have high levels of
higher than Whites on global measures of per- group self-esteem (Porter & Washington, 1993).
sonal self-esteem (Gray-Little & Hafdahl, 2000). Other data suggest that when members of these
Reflected appraisals from significant others affect groups receive negative feedback from members
minority group members just as they do majority of other groups, they attribute it to racial preju-
group members. The self-esteem of Black school- dice (Crocker, Voelkl, Testa, & Major, 1991).
children is strongly related to their perception of But what about the effects of social compar-
what their parents, teachers, and friends think of isons? Many minority group members are dis-
them. These appraisals are not negative (Rosen- advantaged in terms of education, occupation,
berg, 1973, 1990). Living in segregated neighbor- and income. Minority individuals do compare
hoods, minority group children usually see them- themselves with the majority, but they often do
selves through the unprejudiced eyes of their not blame themselves for their disadvantaged
own group, not the prejudiced eyes of members position. Minorities can protect their personal
of other groups. Similarly, the self-esteem of Black self-esteem by blaming the system of discrim-
adults is related to the quality of their relation- ination for their lesser accomplishments. In-
ships with family and friends and their involve- deed, minority statuses such as race, religion,
ment in religion (Hughes & demo, 1989). and ethnicity show virtually no association with
What about other racial/ethnic groups? A self-esteem (Jacques & Chason, 1977; Rotheram-
meta-analysis of data from 354 samples of peo- Borus, 1990). Social failure affects self-esteem
ple of all ages, including Hispanics, Asians, and only when people attribute it to poor individual
Native Americans (Twenge & Crocker, 2002), achievement (Rosenberg & Pearlin, 1978).
again found Blacks’ mean scores on global mea-
9780813349503.indb 145 5/16/14 1:50 PM

the way. He’s from Cuba. My mother’s tic self-presentation, our goal is to create
from Iceland. I’m an Ice Cube. What an image of ourselves in the eyes of others
can I tell you? That’s cool.” A woman that is consistent with the way we view our-
reaches into her purse. “Did you want selves (our real self). In ideal self-presenta-
to go ahead and get that now, ma’am? tion, our goal is to establish a public image
Cash, check, or charge? Folks, come on of ourselves that is consistent with what we
up here. Grab him by the hand. Hi there. wish we were (our ideal self). In tactical self-
I’ll get your change, ma’am.” presentation, our concern is to establish a
It looks easy. But it isn’t. Bill Daniels public image of ourselves that is consistent
and other product demonstrators who with what others want or expect us to be.
work food fairs spend weeks in training We may do this, for instance, by claiming to
before they hit the stage. They are learn- have some attributes they value, even if we
ing the art of “retailtainment”—how to really do not have them.
run the demonstration, take the money, Persons engaging in tactical self-presen-
run the credit cards, keep talking the tation usually have some ulterior motive(s)
whole time, roll over the audience, and in mind. In some cases, they want others
start another demonstration smoothly. to view them positively because it will en-
Much harder than it looks, but very re- able them to get some reward(s) that others
warding if you are good at it; you can control. Bill Daniels, for example, is earn-
earn $70,000 per year working long ing money to support his lifestyle. In other
weekends. The successful ones have cases, they are trying to pass as specific kinds
learned the art of tactical impression of persons in hopes of gaining access to in-
management and are making it pay (Na- dividuals and situations that are otherwise
tional Public Radio, 2002). (Watch the unavailable. If an undercover narcotics agent
demonstration online: http://www.you is trying to set up a sting, for example, he
tube.com/watch?v=a2HKYGn5oag.) needs to infiltrate the drug operation, cre-
ate the impression that he is an experienced
Although few of us make our living by drug runner, and gain the confidence of the
creating such a finely tuned impression, we bad guys. In tactical self-presentation, a per-
all present particular images of who we are. son cares only about the impact of the image
When we shout or whisper, dress up or dress he or she is presenting to others, not about
down, smile or frown, we actively influence whether that image is consistent with his
the impressions others form of us. In fact, or her real self or ideal self. When a person
presenting some image of ourselves to oth- uses self-presentation tactics calculated to
ers is an inherent aspect of all social interac- manipulate the impressions formed of him
tion. The term self-presentation refers to or her by others, we say that he or she is en-
the processes by which individuals attempt gaging in tactical impression management.
to control the impressions that others form Of course, there are hybrid situations
of them in social interaction (Leary, 1995; in which a person uses several forms of
Leary & Kowalski, 1990; Schlenker & Wei- self-presentation simultaneously. For in-
gold, 1992). The individuals involved may stance, a woman might try to remain largely
be aware of these processes or not. authentic in self-presentation (that is, giv-
For certain purposes, it is useful to dis- ing others a correct impression of her) but
tinguish between authentic self-presen- also try to hide a few little flaws (so that oth-
tation, ideal self-presentation, and tacti- ers form a positive impression of her).
cal self-presentation (Baumeister, 1982; The second half of this chapter considers
Kozielecki, 1984; Swann, 1987). In authen- the ways in which people actively determine
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how others perceive them. It addresses the Successful self-presentation involves ef-
following questions: forts (1) to establish a workable definition
of the situation and (2) to disclose informa-
1. What content is conveyed through tion about the self that is consistent with
self-presentation in everyday life? the claimed identity. We discuss each of
What factors—both personal and these topics in turn.
situational—affect self-disclosure
between persons? Definition of the Situation
2. What impression-management
tactics can we use when we want to For interaction to be successful, partici-
claim a particular identity such as pants in a situation must share some un-
“overworked employee,” “attractive derstandings about their social reality.
date,” or “competent student”? What Symbolic interaction theory (Blumer, 1962;
factors influence our choice to use Charon, 1995; Stryker, 1980) holds that
one impression-management tactic for social interaction to proceed smoothly,
rather than another? people must somehow achieve a shared
3. To what extent can people detect definition of the situation—an agreement
when others are using impression- about their situated identities, what their
management tactics against them? goals are, what actions are proper, and what
What cues reveal that an impression their behaviors mean. In some interactions,
manager is trying to deceive them? they can establish a shared definition by
4. What are some of the consequences actively negotiating the meaning of events
when people try but ultimately fail (McCall & Simmons, 1978; Stryker & Got-
to project the social identities they tlieb, 1981). In other interactions, people
desire? may invoke preexisting event schemas to
provide a definition of the situation. Event
schemas are particularly relevant when the
Self-PreSentatIon In everyday lIfe event is of a common or recurring type,
such as classes, job interviews, funerals, first
In this section, our primary concern is au- dates, and the like.
thentic self-presentation, although we must To establish a definition of the situation,
recognize that many processes in authentic people must agree on the answers to two
self-presentation also are involved in tacti- questions: (1) What type of social occasion
cal self-presentation. In everyday settings, is at hand? That is, what is the frame of
people routinely project specific social iden- the interaction? (2) What identities do the
tities, and they must take care that others participants claim, and what identities will
understand and accept their identity claims. they grant one another? We consider these
For example, when a temporarily out-of- issues in turn.
work individual meets a potential employer
during a job interview, she may naturally Frames. The first requirement in defining
strive to create a positive first impression and the situation is for people to agree regard-
claim the identity of “productive worker.” ing the type of social occasion in which they
However, she has to be careful to create an are participating. Is it a commitment cer-
authentic impression and not to claim too emony/wedding? A family reunion? A job
much. If she is hired, it would be quite dif- interview? The type of social occasion that
ficult to maintain a false image for very long people recognize themselves to be in is called
when she has to perform on the job. the frame of the interaction (Goffman, 1974;
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Manning & Cullum-Swan, 1992). More Each person participating in an interac-

strictly, a frame is a set of widely under- tion has a situated identity—a conception
stood rules or conventions pertaining to a of who he or she is in relation to the other
transient but repetitive social situation that people involved in the situation (Alexander
indicates which roles should be enacted and & Rudd, 1984; Alexander & Wiley, 1981).
which behaviors are proper. When people Identities are “situated” in the sense that
recognize a social occasion to be a commit- they pertain to the particular situation. For
ment ceremony or wedding, for example, instance, the identity projected by a person
they immediately expect that two partners while discussing a film (“insightful critic”)
or a bride and groom, and someone autho- differs from the identity projected by the
rized to perform the ceremony will be pres- same person when asking for a small loan
ent. They also know that the other guests (“reliable friend”). Situated identities usu-
attending are mostly friends and relatives of ally facilitate smooth interaction. For this
the couple and that it is acceptable—indeed, reason, people sometimes support situ-
appropriate—to congratulate both persons. ated identities claimed by others in public
Participants usually know the frame of in- settings even though they may not accept
teraction in advance, or else they discover it them privately (Muedeking, 1992). To avoid
quickly once interaction commences. Some- unpleasant arguments, for example, you
times, however, there will be conflict and might relate to your friend as if she were
they must negotiate the frame of interaction. an insightful or reliable person even though
When parents send their wayward teenage privately you believe she is not.
daughter to a physician for a talk, for exam- Much of the time, our identities are not
ple, the discussion may begin with subtle ne- self-evident to others because their percep-
gotiations about whether this is a psychiatric tions of us filter through the person sche-
interview or merely a friendly chat. Once mas and stereotypes they bring to a situa-
established, the frame limits the potential tion. These schemas bias the identities they
meanings that any particular action can have perceive and grant to us. Thus, even if the
(Gonos, 1977). If the persons involved de- identity claimed by us is authentic—in the
fine the situation as a psychiatric interview, sense of being consistent with our self-con-
for example, any jokes the teenager tells may cept—we may need to highlight or drama-
end up being interpreted as symptoms of ill- tize it (Goffman, 1959b). For instance, con-
ness, not as inconsequential banter. sider some adolescents who are innocent of
any wrongdoing. If they display their usual
Identities. Another issue in defining a situ- nonchalant, defiant image when stopped by
ation is for people to agree on the identities police, they risk being detained or arrested.
they will grant one another and, relatedly, They are more likely to avoid arrest if they
on the roles they will enact. That is, peo- dramatize their innocence by presenting
ple must agree on the type of person they a polite, deferential demeanor (Piliavin &
will treat each other as being (Baumeister, Briar, 1964).
1998). The frame places limits on the iden-
tities that any person might claim. For ex- Self-Disclosure
ample, a teenager in a psychiatric interview
cannot easily claim an identity as a “normal, A primary means we use to make authen-
well-adjusted kid.” And employers would tic identity claims is to reveal certain facts
find it incongruous and bizarre if a young about ourselves. When we first meet some-
woman tried to claim the identity of “blush- one, we usually discuss only safe or super-
ing bride” in a job interview. ficial topics and reveal rather little about
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the self-disclosure complements what their

partner has revealed (Daher & Banikiotes,
1976; Davis & Perkowitz, 1979).
Although self-disclosure usually pro-
duces liking, there is such a thing as reveal-
ing too much about oneself. Self-disclosure
that violates the audience’s normative ex-
pectations may actually produce dislike.
For instance, self-disclosure that is too
intimate for the depth of the relationship
(such as a new acquaintance describing the
These chess players seem to be building trust
and liking through reciprocal self-disclosure, an details of her latest bladder infection) will
important process in authentic self-presentation. not strengthen the friendship and may just
© Kali Nine LLC/iStock create the impression that the discloser is
indiscreet or maladjusted (Cozby, 1972).
ourselves. Eventually, however, as we get to Likewise, self-disclosure that reveals neg-
know the other better, we disclose more re- atively valued attributes (such as a person
vealing and intimate details about ourselves. discussing his prison record for felonious
This might include information about our assault) or profound dissimilarities with
needs, attitudes, experiences, aspirations, the partner (such as a believer revealing his
and fears (Archer, 1980). This process of strong religious commitment to a nonbe-
revealing personal aspects of one’s feel- liever) may produce disliking (Derlega &
ings and behavior to others is termed self- Grzelak, 1979). Constant updates of one’s
disclosure (Derlega, Metts, Petronio, & Facebook profile may result in disclosing
Margulis, 1993; Jourard, 1971). more than your friends want to know.
Self-disclosure is usually reciprocal. Perhaps not surprisingly, the level of
There is a widely accepted social norm self-disclosure is related to loneliness.
that one person should respond to anoth- Young adults low in self-disclosure feel
er’s disclosures with disclosures at a similar more lonely and isolated than those high
level of intimacy (Rotenberg & Mann, 1986; in self-disclosure (Mahon, 1982). Lonely
Taylor & Belgrave, 1986). This is termed persons tend to have fewer skills in self-pre-
the norm of reciprocity in disclosure. Most sentation and are less effective in making
people follow it, although strict reciprocity themselves known to others than are non-
in disclosure is more common in new re- lonely persons (Solano, Batten, & Parish,
lationships or developing friendships than 1982). The self-disclosure style of lonely
in established ones where people already persons may impair the normal develop-
know a lot about one another (Davis, 1976; ment of social relations.
Won-Doornink, 1979). Furthermore, we
are more likely to reveal more personal in-
formation to those we initially like and find tactIcal IMPreSSIon ManageMent
attractive (Collins & Miller, 1994).
Self-disclosure usually leads to liking and As we noted previously, self-presentation
social approval from others. People who reis inherent in social situations. Most peo-
veal a lot of information about themselves ple strive to create images of themselves
tend to be liked more than people who dis- that are authentic or true—that is, con-
close at lower levels (Collins & Miller, 1994). sistent with their own self-concept. These
This holds especially true if the content of processes are automatic: The person is not
9780813349503.indb 149 5/16/14 1:50 PM

be polite to customers and to conceal anger,

even if the customer is being unreasonable
or insulting (Hochschild, 1983). Profes-
sional hockey players, on the other hand,
are required to act aggressively on the ice
and even attack an opponent if provoked.
An important part of the socialization into
some professions involves learning to man-
age emotions; for instance, mortuary sci-
ence students must learn to suppress neg-
ative reactions to dead bodies, bodily fluids,
Physical appearance is important in impression
management. If impression management is to and disfigurement (Cahill, 1999). Some sit-
be successful, one’s appearance in the eyes of the uations, such as the loss of a spouse, a job,
audience must be consistent with the identity one or some other salient identity or resource,
claims. If he lacked the makeup and costume of may elicit very strong emotions that the
a clown, this performer would have a hard time person has difficulty managing. One reac-
convincing even young children that he really is
a clown. © REB Images/Blend Images/Corbis
tion to such loss is aggression directed at
others (see Chap. 11). Alternatively, the
person may seek professional help from
conscious of them, they involve limited or
a therapist, counselor, or support group.
no cognitive effort, and they are autono-
Support groups frequently provide a redef-
mous and involuntary (Schlenker, 2003).
inition of the event (for instance, a divorce
Nevertheless, under certain conditions,
is an opportunity to start over—“turn your
individuals may try to present themselves
scar into a star”) and an identity for the per-
in such a way as to create narrow, exagger-
son that encourages emotions that are con-
ated, or misleading images in the eyes of
sistent with the group’s ideology (Francis,
others. The use of conscious, goal-directed
1997).
activity to control information to influence
In this section, we examine some of the
impressions is called tactical impression
tactics used in impression management. In
management.
particular, we discuss managing appear-
There are various reasons we might
ances, ingratiation, aligning actions, and
engage in tactical impression manage-
altercasting.
ment (Jones & Pittman, 1982; Tetlock &
Manstead, 1985). One is to make others like
us more than they would otherwise (ingra- Managing Appearances
tiation). Other reasons for impression man-
People often try to plan and control their
agement are to make others fear us (intim-
appearance. As used here, the term ap-
idation), respect our abilities (self-promo-
pearance refers to everything about a per-
tion), respect our morals (exemplification),
son that others can observe. This includes
or feel sorry for us (supplication).
clothes, grooming, overt habits such as
One aspect of the self that often requires
smoking or chewing gum, choice and ar-
management is the expression of emotion.
rangement of personal possessions, verbal
The frame of a situation defines some emo-
communication (accents, vocabulary), and
tions as appropriate and others as inappro-
nonverbal communication. Through the
priate. Service workers such as airline flight
appearances we present, we show others
attendants and food servers are required to
the kind of persons we are and the lines of
9780813349503.indb 150 5/16/14 1:50 PM

action we intend to pursue (DePaulo, 1992; and a man may pointedly ask “Are you a les-
Stone, 1962). bian?” Thus, this nonconformity of appear-
ance leads others to question the woman’s
Physical Appearance and Props. Many sexual orientation.
everyday decisions regarding appearance— Visible tattoos as a type of intentional
which clothes to wear, how to arrange our personal adornment are becoming increas-
hair, whether and what to shave, and so ingly popular; one source estimates that 7
on—stem from our desire to claim certain million people in the United States have
identities. In some situations, we arrange tattoos, most of them between ages 18 and
our clothing and accessories to achieve cer- 40 (Knutson, 2002). Several studies have
tain effects. This would be true, for exam- compared college students with and with-
ple, if we were attending a party or going to out tattoos on various measures; in these
a football game. It is also true when we go studies, 12 to 33 percent of the participants
to a job interview, as illustrated in a study of report having one or more tattoos. Those
female job applicants (von Baeyer, Sherk, & with tattoos do not differ in personality
Zanna, 1981). Some applicants in this study characteristics or reported childhood expe-
were led to believe that their (male) inter- riences from those without (Forbes, 2001).
viewer felt that the ideal female employee Men and women with tattoos do report
should conform closely to the traditional fe- significantly more risk-taking behavior and
male stereotype (passive, gentle, and so on); greater use of alcohol and drugs (Drews,
other applicants were led to believe that Allison, & Probst, 2000; Dukes & Stein,
he felt the ideal female employee should 2011), and earlier experience with sexual
be nontraditional (independent, assertive, intercourse (Gueguen, 2012). Studies of
and so on). The results showed that appli- students’ reactions to tattoos find that both
cants managed their physical appearance men and women have significantly more
to match their interviewer’s stereotyped negative reactions to a woman with a visible
expectations. Those expecting to meet the tattoo (Degelman & Price, 2002); also, par-
traditionalist wore more makeup and used ticipants with more conservative gender at-
more accessories, such as earrings, than titudes rank her more negatively (Hawkes,
those planning to meet the nontraditional Senn, & Thom, 2004).
interviewer. In a survey of 1,400 high school students,
An important aspect of personal appear- 9 percent of boys and 7 percent of girls re-
ance is the location and visibility of hair on ported tattoos, and 42 percent of girls re-
the body. U.S. social norms dictate groomed ported piercings (not including ear lobes)
hair on the heads of both men and women (Dukes & Stein, 2011). Girls with piercings
unless one is bald; hair on parts of the body were less school oriented and reported
such as underarms and legs is expected on more substance use. Apparently, uncon-
men but not on women. In fact, women ventional body markers are associated with
who do not shave these areas are subject to unconventional behavior.
harassment and ridicule (Hawkins, 2004). The impression an individual makes
A woman may refuse to shave as a matter on others depends not only on clothes,
of principle, of not yielding to an arbitrary makeup, and grooming, but also on props
grooming norm, and may want this act of in the environment. The impression Ashley
independence to be visible to others. But makes on her friends and acquaintances, for
other women react with “How do you ex- instance, will depend in part on the props
pect to get a boyfriend looking like that?” she uses—the titles in the pile of books she
9780813349503.indb 151 5/16/14 1:50 PM

waiters shout, slop food on plates, and even

mimic their customers. In general, persons
use back regions to prepare, rehearse, and
rehash the performances that occur in front
regions.
Front and back regions are often sepa-
rated by physical or locational barriers to
perception, like the restaurant’s kitchen
door. These barriers facilitate impression
management, because they block access of
outsiders to the violations of images that
We can see the embarrassment in former U.S.
representative Anthony Weiner’s face as he ad- occur in back regions. Any breakdown in
mits at a press conference that he had exchanged these barriers will undermine the ability of
explicit messages and photos with several women. persons to manage appearances. In recent
People experience embarrassment when an im- years, for example, such breakdown has oc-
portant social identity that they claim for them- curred regarding national political figures.
selves is discredited. © John Moore/Getty Images
Because the mass media are pervasive, they
sometimes catch presidents, senators, and
places on her desk, the music she selects for corporate officers off guard. National fig-
her CD player, the wine she serves, and the ures are shown expressing views and per-
like. A study of the impact of cleanliness of forming actions they would strongly prefer
an apartment on perceptions of the resident to keep hidden from the public. American
found that persons (both male and female) presidents find it difficult to project a he-
with dirty apartments were given signifi- roic identity when the media publicize one
cantly lower ratings on agreeableness, con- choking on a pretzel, another collapsing
scientiousness, and intelligence, and higher while jogging, and a third losing the TV re-
ratings on openness and neuroticism. Rat- mote. It was much easier to be a hero in the
ings did not vary by the gender of the rater days of Jefferson or Lincoln, before the in-
(Harris & Sachau, 2005). Thus, others make vention of electronic media that penetrate
inferences about one’s character and inter- the barriers between front and back regions
ests from the props that surround her. (Meyrowitz, 1985).
Regions. Goffman (1959b) draws a parallel

Ingratiation
between a theater’s front and back stages
and the regions we use in managing appear- Most people want to be liked by others. Not
ances. He uses the term front regions to only do we find it inherently pleasant, but
denote settings in which people carry out being liked may gain us a promotion or a
interaction performances and exert efforts better grade, and it may save us from being
to maintain appropriate appearances vis-à- fired or flunked. How do we persuade oth-
vis others. One example of a front region is ers to like us? Whereas much of the time we
a restaurant’s dining room, where waiters are authentic and sincere in our relations
smile and courteously offer to help custom- with others, occasionally we may resort to
ers. Back regions are settings inaccessible ingratiation—attempts to increase a target
to outsiders in which people knowingly vi- person’s liking for us (Wortman & Linsen-
olate the appearances they present in front meier, 1977). The original theory (Jones,
regions. Behind the kitchen doors, the same 1964) included the assumption that these
9780813349503.indb 152 5/16/14 1:50 PM

attempts are conscious, but subsequent Opinion conformity sometimes requires

work has broadened the definition to in- us to tailor the content of the opinions we
clude attempts that occur automatically due express to match a target person’s general
to social learning (Jones & Wortman, 1973). values rather than any specific opinions
Certain preconditions make ingratia- he or she may hold. There is evidence that
tion more likely. Individuals may try to in- persons tend to show more ingratiation
gratiate themselves when they depend on responses of all kinds toward their boss
the target person for certain benefits and than toward a stranger or a friend (Bohra
believe or assume that the target person is & Pandey, 1984). However, a meta-analysis
more likely to grant those benefits to some- of 69 studies (Gordon, 1996) indicates that
one he or she likes. Moreover, people are ingratiation attempts directed upward (that
more likely to use ingratiation tactics when is, toward persons of higher status) are less
the target is not constrained by regulations likely to be effective in promoting liking
and can therefore exercise his or her discre- than are ingratiation attempts directed lat-
tion in distributing rewards (Jones, Gergen, erally (that is, toward persons of equal sta-
Gumpert, & Thibaut, 1965). In organiza- tus) or downward (that is, toward persons
tional settings, when roles are ambiguous, of lower status). High-status targets, aware
so that members are uncertain whether they that others may have a motive to ingratiate,
are doing a good job, they may engage in in- may be somewhat more vigilant than equal-
gratiation in an effort to ensure that they are or low-status targets.
perceived as competent and to receive re-
wards (Kacmar, Carlson, & Bratton, 2004). Other Enhancement. A second ingratia-
There are a number of ingratiation tac- tion tactic is other enhancement—that is,
tics. Three of them are intended to increase using flattery on the target person. To be
the other’s liking for an actor—that is, are effective, flattery cannot be careless or in-
other-focused. These are opinion confor- discriminate. More than two centuries ago,
mity (that is, pretending to share the target Lord Chesterfield (1774) stated that people
person’s views on important issues), other are best flattered in those areas where they
enhancement (that is, outright flattery or wish to excel but are unsure of themselves.
complimenting of the target person), and This hypothesis was tested in a study in
supplication (that is, convincing others you which female participants were told that
are deserving). their supervisor valued either efficiency or
sociability (Michener, Plazewski, & Vaske,
Opinion Conformity. Faced with a target 1979). The supervisor was a target for ingra-
person who has discretionary power, an tiation because the participants’ earnings
ingratiator may try to curry favor by ex- depended on the evaluations they received
pressing insincere agreement on important from her. Before the supervisor made these
issues. This tactic, termed opinion confor- evaluations, the participants had an op-
mity, is often successful because people portunity to flatter her. The experimenter
tend to like others who hold opinions sim- asked them to rate the supervisor’s effi-
ilar to their own (Byrne, 1971). Of course, ciency and sociability, and indicated that
obvious or excessive opinion conformity on the supervisor would see the ratings. The
issue after issue would quickly arouse a tar- results showed that the supervisor’s as-
get’s suspicion, so a clever ingratiator will sumed values channeled the form of flattery
mix conformity on important issues with the participants used. Those who believed
disagreement on unimportant issues. the supervisor valued efficiency publicly
9780813349503.indb 153 5/16/14 1:50 PM

rated her higher on efficiency than on socia- own attributes to increase the likelihood
bility, whereas those who believed she val- of being judged attractive by the target.
ued sociability publicly rated her higher on There are two distinct forms of selective
sociability than on efficiency. Thus, the par- self-presentation: self-promotion (Bau-
ticipants were discriminating in their use meister, 1998) and self-deprecation. When
of praise; moreover, they avoided extreme using self-promotion, a person advertises
ratings that might suggest insincerity. his or her strengths, virtues, and admirable
Ingratiation works. Research shows that qualities. If successful, this tactic creates a
targets of flattery are more likely to believe positive public identity and gains liking by
it—and to like the flatterer—than observers others. A field study of job interviews in a
(Gordon, 1996). A set of experiments were campus placement office assessed the de-
conducted to identify which of several plau- gree to which each applicant (61 men, 58
sible reasons—vanity of the target, reduced women, 91 percent White) used opinion
ability to make accurate attributions, or the conformity and self-promotion during the
desire to like the other person—account for interview; the interviewer’s perception of
the target’s reactions. The results suggest the applicant’s fit to the job was assessed
that it is the target’s vanity; people like to following the interview. The results indi-
be evaluated positively (Vonk, 2002). Other cated that opinion conformity enhanced
enhancement can also take forms other perceived fit and influenced hiring recom-
than flattery; one example, playing dumb, is mendations, whereas self-promotion had
discussed in Box 4.4. little effect (Higgins & Judge, 2004).
In contrast, when using self-deprecation,
Supplication. A third other-focused tac- a person makes only humble or modest
tic is supplication—convincing a target claims. Self-deprecation can be an effective
person that you are needy and deserving way to increase others’ approval and lik-
(Baumeister, 1998). This is the tactic that ing, especially when it aligns the ingratiator
roadside panhandlers use. By dressing in with such important cultural values as hon-
ragged clothes, they convey their need for esty and objectivity in self-appraisal.
money; by holding a sign that suggests a Although often effective, the tactic of se-
good use of the money (“Vet needs money lectively emphasizing our admirable quali-
to feed kids”), they attempt to convey that ties can be risky. This is especially true if the
they are deserving. Students sometimes use target knows enough about us to suspect
this tactic in attempts to get an instruc- we are boasting or if uncontrollable future
tor to change a grade: “But I studied really events could prove our claims invalid. Wise
hard and I knew a lot more than was on the ingratiators, therefore, use self-promot-
exam.” Whereas some people choose to use ing descriptions only when these risks are
this tactic, others are forced to do so, for minimal—that is, when the target person
example, to get benefit payments from gov- does not know them well and has no way
ernment or charitable agencies. In the latter to check their future performances (Frey,
case, the supplicant may feel embarrassed 1978; Schlenker, 1975).
or angry, and will have to manage his or her Due to the risks inherent in self-enhance-
emotional display. ment, the opposite approach—self-depre-
cation or modest self-presentation—is of-
Selective Self-Presentation. The fourth, ten a safer tactic. To be effective, however,
self-focused ingratiation tactic is selective self-deprecation must be used in modera-
self-presentation, which involves the ex- tion. Excessively harsh and vigorous pub-
plicit presentation or description of one’s lic self-criticism may gain expressions of
9780813349503.indb 154 5/16/14 1:50 PM

Box 4.4 research update: Playing Dumb
“Playing dumb” is an ingratiation tactic used with many of these people are located at the bottom
some frequency in interaction. When playing of an occupational ladder they aspire to climb.
dumb, impression managers pretend to be less These people interact with superiors in set-
intelligent or knowledgeable than they really are. tings where intelligence and knowledge are
By playing dumb, they present themselves as in- prized. Under these circumstances, one’s rela-
ferior, thereby giving the target person a sense of tively low status may require deferring to superi-
superiority. Thus, playing dumb is a form of other ors despite one’s own knowledge and ability. Peo-
enhancement. ple may stand to gain by hiding any intellectual
Although popular belief and early research superiority they feel—that is, by playing dumb.
suggested that women are more prone than Among college students, both men and
men to playing dumb (Wallin, 1950), a national women report playing dumb with dates, friends,
survey of American adults indicated just the op- and partners (Thornton et al., 2009). Measures
posite (Gove, Hughes, & Geerken, 1980). Signifi- of both hypercompetitiveness—desire to win—
cantly more men than women said that they had and competition avoidance were associated with
pretended at least once to be less intelligent or more frequent use of the tactic.
knowledgeable than they really were. Men re- Alternatively, playing dumb may be a defen-
ported playing dumb more often than women in sive tactic, used to avoid action (Ashforth & Lee,
most of the situations examined, including work. 1990). The actor may attempt to avoid acting by
A recent review of research on the use of im- pleading ignorance or lack of ability. Again, this
pression management tactics in organizations may be more common in a highly structured,
found that both men and women use them, competitive organization, where midlevel per-
and use tactics consistent with gender-role ex- sonnel are motivated to avoid irritating others
pectations. In organizational settings, women in order to enhance their long-term prospects.
reported “playing dumb” more than men (Gua- In the early years of the twenty-first century,
dagno & Cialdini, 2007). playing dumb has become a common tactic for
What leads people to play dumb? The data avoiding responsibility for corporate misconduct
indicate that people who use this technique tend and fraud (Steffy, 2005). On trial for fraudulent
to be young, highly educated men (Gove et al., financial practices, a CEO pleads ignorance, ar-
1980). In contemporary American society, these guing that he didn’t know what the CFO (chief
persons are likely to hold lower-status positions financial officer) or the auditors were doing. In
in competitive occupations where knowledge is this case, the actor is playing dumb in an effort
valued (junior executives, law clerks, graduate to avoid significant penalties rather than to en-
students, and the like). Because of their youth, hance others’ liking for him or her.
support from others, but these expressions cess or failure at a task (Forsyth, Berger, &
run the risk that others may actually believe Mitchell, 1981). Group members reported
them and form a negative private evaluation greater liking for those who took blame for
of the person using them (Powers & Zuroff, the group’s failure or credited others for
1988). A more effective form of self-depre- the group’s success (self-deprecation) than
cation is an assured, matter-of-fact modesty for those who blamed others for failure and
that understates or downplays one’s sub- claimed credit themselves for the group’s
stantial achievements. In one experiment, success (self-enhancement). These results
members of a group were asked to evaluate suggest that when observers have evidence
other members following the group’s suc- about someone’s performance—whether
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favorable or unfavorable—self-deprecation ten employ disclaimers. A disclaimer is a

can be an effective tactic of ingratiation. verbal assertion intended to ward off any
Not only individuals but groups, organi- negative implications of impending actions
zations, and entire nations may experience by defining these actions as irrelevant to
stigma, or spoiled identity. The nation of one’s established identity (Bennett, 1990;
Croatia has a “difficult past” as a result of Hewitt & Stokes, 1975). By using disclaim-
the wars in the former Yugoslavia in the ers, they suggest that although the impend-
1990s. The publicity about the wars, and ing acts ordinarily imply a negative identity,
the resulting deaths and destruction, had theirs is an extraordinary case. For example,
a big, negative impact on tourism, a major before making a bigoted remark, a person
segment of the Croatian economy. After may point to her extraordinary credentials
the conflict ended, the Croatian Tourist Bu- (for example, “Some of my best friends are
reau launched a public relations campaign gay, but . . .”). Disclaimers are also used
based on selective self-presentation. Post- prior to acts that would otherwise under-
war brochures, advertisements, and feature mine one’s identity as moral (for example,
articles on travel made no mention of the (“I know this may sound weird, but . . .”)
conflict, or of the region’s Balkan roots; in- or as mentally competent (for example,
stead, they stressed Croatia’s “European” “Call me crazy, but . . .”). These disclaimers
character, proximity to Italy, and its lack of emphasize that although the speakers are
“Slavic roots” (Rivera, 2008). aware the act could threaten their identity,
they are appealing to a higher morality or to
Aligning Actions a superior competence.
Still other disclaimers plead for a sus-
During interaction, occasional failures of pension of judgment until the whole event
impression management are inevitable. is clear: “Please hear me out before you
Others may sometimes catch us perform- jump to conclusions.” When individuals
ing actions that violate group norms (such are not certain how others will react to new
as “dissing” other group members) or break information or suggestions, they are more
laws (such as running a red light). Such ac- likely to preface their actions with hedging
tions potentially undermine the social iden- remarks (such as “I’m no expert, but . . .” or
tities we have been claiming and disrupt “I could be wrong, but . . .”). Such remarks
smooth interaction. When this occurs, peo- proclaim in advance that possible mistakes
ple engage in aligning actions—attempts or failures should not reflect on one’s cru-
to define their apparently questionable con- cial identities.
duct as actually in line with cultural norms.
Aligning actions repair cherished social Accounts. After individuals have engaged
identities, restore meaning to the situation, in disruptive behavior, they may try to re-
and reestablish smooth interaction (Hunter, pair the damage by using accounts. Ac-
1984; Spencer, 1987). In this section, we counts are the explanations people offer to
discuss two important types of aligning ac- mitigate responsibility after they have per-
tions—disclaimers and accounts. formed acts that threaten their social identi-
ties (Harvey, Weber, & Orbuch, 1990; Scott
Disclaimers. When people anticipate that & Lyman, 1968; Semin & Manstead, 1983).
their planned actions will disrupt smooth There are two main types of accounts: ex-
social interaction, invite criticism, or cuses and justifications. Excuses reduce or
threaten their established identity, they of- deny one’s responsibility for the unsuitable
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behavior by citing uncontrollable events (“I did accept $200,000 from that group. I
(for example, “My car broke down”), coer- did so on the advice of my lawyer that it was
cive external pressures (for example, “My legal”). How effective are these responses?
boss made me do it”), or compelling in- Does their effectiveness vary depending on
ternal pressures (for example, “I suddenly the transgression and the politician’s gen-
felt dizzy and couldn’t concentrate on the der? To answer these questions, researchers
exam”). Presenting an excuse reduces the prepared four newspaper stories involving
observer’s tendency to hold the individual hiring an illegal alien, engaging in sex with
responsible or to make negative inferences a superior, accepting illegal gifts, and engag-
about his or her character (Riordan, Marlin, ing in sex with a subordinate. Within each,
& Kellogg, 1983; Weiner, Amirkhan, Fol- gender was varied. Within each, the politi-
kes, & Verette, 1987). Excuses also preserve cian’s response was denial, an excuse, or a
the individual’s self-image and reduce the justification. The results (mean ratings by
stress associated with failure (Snyder, Hig- undergraduates and adults from the com-
gins, & Stucky, 1983). Justifications admit munity) show that denials and justifications
responsibility for the unsuitable behavior were associated with more favorable ratings
but also try to define the behavior as appro- than were excuses. Contrary to predictions,
priate under the circumstances (for exam- respondents did not judge female politi-
ple, “Sure I hit him, but he hit me first”) or cians more harshly than men for the same
as prompted by praiseworthy motives (for offence. However, respondents did judge
example, “It was for her own good”). Jus- more harshly persons whose offense was
tifications are intended to reduce the per- consistent with gender stereotypes: men ac-
ceived wrongness of the behavior. cepting illegal contributions and having sex
Persons are more likely to accept ac- with a subordinate, and women hiring an
counts when the content appears truthful illegal alien and having sex with a superior
and conforms with the explanations com- (Smith, Powers, & Suarez, 2005). Thus, had
monly used for such behavior (Riordan Pres. Bill Clinton been a woman, he might
et al., 1983). Accounts are honored more have escaped impeachment!
readily when the individual who gives them
is trustworthy, penitent, and of superior Altercasting
status, and when the identity violation is
not serious (Blumstein, 1974). Thus, we are The tactics discussed so far illustrate how
more likely to accept a psychiatrist’s quiet people claim and protect identities. The
explanation that he struck an elderly men- actions of one person in an encounter will
tal patient because she kept shouting and place limits on who the others can claim to
would not talk with him than to accept a be. Therefore, to gain an advantage in the
delinquent’s defiant use of the same excuse interaction, we might try to impose identi-
to explain why he struck an elderly woman. ties on others that complement the identi-
A staple of public life in many countries is ties we claim for ourselves. We might also
the political scandal: allegations that a politi- pressure others to enact roles that mesh
cian has engaged in some improper or illegal with the roles we want for ourselves. Alter-
behavior. The politician typically either de- casting is the use of tactics to impose roles
nies the allegation outright (“I did not have and identities on others. Through altercast-
sex with that woman”) or offers an excuse ing, we place others in situated identities
(“I did not know that my housekeeper was in and roles that are to our advantage (Wein-
the United States illegally”) or a justification stein & Deutschberger, 1963).
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In general, altercasting involves treating years (Lee, 2006). Members took a variety
others as if they already have the identities of steps to limit information about them-
and roles that we wish to impose on them. selves. For example, 27 of the 66 members
Teachers engage in altercasting when they used a remailer to secure their privacy; only
tell a student, “I know you can do better 5 included the URL of their personal web-
than that.” This remark pressures the stu- page in their postings. Members based their
dent to live up to an imposed identity of “knowledge” of other members by inference
competence. Altercasting can entail care- from e-mail address and domain, name,
fully planned duplicity. An employer may signature, and message content. Members
invite subordinates to dinner, for example, often tested identity inferences indirectly,
casting them as close friends in hopes of by basing a communication on an infer-
learning employee secrets. ence about, for example, gender, and seeing
People frequently use altercasting to put how the recipient reacted. Occasionally, a
someone on the defensive. “Explain to the member would pose a direct question about
voters why you can’t control the runaway another member’s identity (or identities).
national debt,” says the challenger, altercast- Over time, “regulars” revealed age, gender,
ing the incumbent official as incompetent careers, and hobbies. The researcher con-
in dealing with the economy. Should the includes that regulars carefully controlled in-
cumbent rise to her own defense, she admits teraction and employed a variety of protec-
that the charge merits discussion and that tive practices.
the negative identity may be correct. Should Creating and posting a personal web-
she remain silent, she implies acceptance of page or space is “conspicuous self-presen-
the altercast identity. Putting one’s rivals on tation that assumes external observation”
the defensive is an effective technique, be- (Schau & Gill, 2003). Researchers drew a
cause a negative identity is difficult to escape. sample of 326 sites and performed a con-
The news about self-presentation and tent analysis on them; they also interviewed
impression management is not all good; the creators of 35 of these sites. Creators
these may have negative effects on health carefully select and embed text, photos and
and relationships, as outlined in Box 4.5. drawings, icons, and hyperlinks. Hyperlinks
may be used to tell one’s story, such as links
Impression Management Online to schools attended and past/present em-
ployers. Some pages include references to
The widespread use of computer-mediated or links to retailers, providing information
communication has multiplied the oppor- about preferred clothing, makeup, or jew-
tunities to engage in tactical self-presenta- elry. The researchers observed variation in
tion. As senders, CMC users can selectively whether and how the site referenced the
present themselves; they have complete creator’s physical body. One woman in-
control over the content and timing of mes- tentionally used the word sexy and profes-
sages (Walther, 2007). The writer and the sional photos of herself in lingerie on her
receiver are physically isolated from each site; other creators carefully avoided any
other, so the receiver does not have access reference to appearance or the body. People
to nonverbal cues, which are often less con- began to create a website in response to a
trolled and therefore more revealing. Thus, life transition (graduation, career change), a
messages and postings can be carefully desire for personal growth or experience, or
crafted and manipulated (Lee, 2006). to advocate for something. As they became
A study of one user group included ob- more experienced through viewing other
servation and analysis of messages for 2½ sites and getting feedback on their own,
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Box 4.5 research update: The Downside of Self-Presentation
Self-presentation facilitates smooth interaction, than 25 percent of teenage girls use tanning de-
and impression management tactics may benefit vices each year; the rate doubles from age 14 to
the user. However, these practices also may have 15, and again from age 15 to 17 (Balk, Fisher, &
harmful effects. Geller, 2013).
Self-Presentation May Be Hazardous to Your Numerous other risky behaviors result in part
Health. Leary and his colleagues (Leary, Tchiv- from the desire to make a favorable impression
idjian, & Kraxberger, 1994; Martin, Leary, & on others, including excessive dieting and eating
Rejeski, 2000) study the relationship between disorders; alcohol, tobacco, and drug use; and ex-
concern with how others perceive you and risky cessive use of steroids by athletes. Teens may en-
behavior. We usually want others to evaluate us gage in risky behavior in order to be accepted by
favorably and support the identities we claim in their friends: discussing why she started smok-
interactions. We want to avoid failures in self-pre- ing, one woman said, “There are many times
sentation because they are painful and because when I’ll cross the line just so I won’t lose friends”
they tarnish others’ images of us. These motives (Green, 2002, p. d1). Numerous teens die every
may lead to behaviors that jeopardize our phys- year as a result of showing off, whether by driving
ical health. recklessly or diving into shallow water.
Teen pregnancy and sexually transmitted Deception May Be Hazardous to Your Relation-
infections (STIs) are major public health prob- ships. Many of us engage in selective self-presen-
lems and can be traumatic or life threatening tation—that is, accentuating our positive fea-
to those affected by them. There are 750,000 tures and withholding information or avoiding
pregnancies among teens and 4 million new issues that might create negative impressions.
cases of STIs among people under 25 in the Research indicates that we are most likely to en-
United States each year. Most of these could be gage in these practices in our romantic relation-
prevented by the correct and consistent use of ships. Obviously, we engage in these practices
condoms. Why don’t sexually active young peo- in an effort to preserve the relationship and to
ple, many of whom are aware of these risks, use avoid costly interactions, such as conflict with
condoms? Research indicates that self-presenta- or punishment by our partner. A study of 128
tional concerns are a major reason (Leary et al., heterosexual couples found that many men and
1994). Some men and women are afraid to buy women reported using “misleading communi-
condoms because others will infer they are sexu- cation” with their partners for such purposes
ally active. Some are afraid to produce a condom (Cole, 2001). However, they also reported using
during sexual interaction for fear they will appear these practices when they perceived that their
prepared (gasp!) for sexual activity. Some are partner was using these tactics. And people who
afraid to suggest condom use because it might reported using deception or who perceived that
suggest that they are unfaithful or that they think their partner was dishonest reported lower levels
their partner is unfaithful. of satisfaction with and commitment to their re-
Consider skin cancer. The incidence of skin lationships.
cancer increases every year in the United States. One of the processes at work in this situation
A major cause is excessive exposure to ultravio- is the norm of reciprocity. Just as there is reci-
let radiation. Many people intentionally expose procity in self-disclosure, there is reciprocity in
themselves to this radiation by sunbathing. Why? withholding information and intentionally us-
To enhance others’ impressions of their attrac- ing misleading communication (that is, lying) in
tiveness. Research indicates that people who are close relationships. These behaviors, motivated
concerned with others’ impressions or high in by a desire to preserve the relationship, can lead
body consciousness are more likely to sunbathe to a downward spiral and the eventual dissolu-
or use tanning facilities (Leary et al., 1994). More tion of the relationship.
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they continuously upgraded or fine-tuned to project identities and control relation-

it, or created new sites, indicating the im- ships. Now we will shift our focus to the
portance of intentionality in the construc- person (target) toward whom impression
tion of sites. The self presented on these management tactics are directed. Impres-
sites was often an idealized or imagined self; sion managers intentionally try to create a
the creators sometimes visually enhanced particular image. This image may or may
images of the body, for example, by careful not be challenged by the person targeted.
attention to pose. So websites or spaces al- In some cases, the target will accept a false
low one to explore changing identities and image because he or she has little to gain by
monitor the feedback; obviously this could questioning the sincerity of the impression
lead in some cases to a change in identity in manager. For instance, funeral directors
the real world. strive to convey an air of sympathy and con-
A study of social networking sites an- cern although they usually did not know the
alyzed the content of sites posted by 51 deceased person. Mourning relatives realize
men and 49 women (Magnusen & Dundes, that the sympathy is superficial, but they ask
2008). Researchers were interested in the very few questions because they would only
extent to which self-presentation was gen- be more upset to discover the mortician’s
dered. They found that men were less likely true feelings of boredom and indifference.
than women to mention their significant In other cases, however, the accurate de-
other in the space. They interpreted this as tection of deception is crucial for protect-
reflecting the norm of masculine individ- ing our own interests. In attempting to win
uality, in contrast to the expectation that a contract, for example, builders may claim
women derive their identity in part from to be reliable businesspeople and skilled
their relationships to others. artisans even when they are total frauds.
One group of researchers (Ellison, Han- For the homeowner about to make a down
cock, & Toma, 2011) studied the sites payment, it is literally worth thousands of
posted by 37 online daters. These men and dollars to determine whether the builder’s
women are trying to construct a site that hearty handshake belongs to a responsible
will appeal to potential partners for several contractor or to a fly-by-night operator.
months into the future. Thus, they were less How do people go about trying to un-
concerned about the accuracy of the profile. mask the impression manager? In general,
Their criterion for what they posted was they attend to two major types of infor-
whether the self presented could be pro- mation: (1) the ulterior motives the other
duced in the future. Thus, they perceived person may have for an action, and (2) the
their presented self as a “promise” (losing nonverbal cues that accompany the action.
10 pounds, quitting smoking, reducing al- In this section, we discuss both of these.
cohol consumption, earning more money)
that could be fulfilled if they met the right Ulterior Motives
person. Promises, promises.
The recognition that another person has a
strong ulterior motive for his or her behav-
detectIng decePtIve IMPreSSIon ior usually colors an interaction. For exam-
ManageMent ple, when a used car salesman tells us that
a battered vehicle with sagging springs was
Up to this point, we have discussed various driven only on Sundays by his aged aunt, his
techniques used by impression managers ulterior motive is transparent, and we are
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certain to suspect deceit. In such a case, we munication can pose problems for impres-
will probably discount what the salesman sion managers, because the meanings trans-
says about any car on his lot or even refuse mitted through some of these channels are
to do business with him. more controllable than those transmitted
Ironically, the very conditions that in- through others. For instance, if an impres-
crease the temptation to use ingratiation sion manager is trying to deceive a target,
tactics also make the target more vigilant. he or she may tell a lie verbally but then in-
As noted earlier, ingratiators are especially advertently reveal his or her true intentions
prone to use such tactics as flattery or opin- or emotions through nonverbal channels.
ion conformity when the target person con- The term nonverbal leakage denotes the
trols important rewards and can use dis- inadvertent communication of true inten-
cretion in distributing them. Unhappily for tions or emotions through nonverbal chan-
ingratiators, these same conditions alert the nels (Ekman & Friesen, 1969, 1974).
target to be vigilant and to expect deception. An impression manager will generally
This state of affairs, termed the ingratia- have a high level of control over his or her
tor’s dilemma, means that ingratiators must verbal expression (choice of words) and a
be doubly careful to conceal their ulterior fair amount of control over facial expres-
motives and avoid detection under condi- sions (smiles, frowns, and so on). The de-
tions of high dependency. As documented ceiver may have less control, however, over
by Gordon (1996) based on a meta-analysis, body movements (arms, hands, legs, feet)
ingratiation attempts that are transparent and over voice quality and vocal inflections
tend to be relatively ineffective, sometimes (the pitch and waver of his or her voice).
to the point of backfiring. Ingratiators usu- The nonverbal channels that are least con-
ally understand this, and indeed, there is trollable—voice quality and body move-
some evidence that ingratiators avoid using ments—are the ones that leak the most in-
tactics such as opinion conformity under formation (Blanck & Rosenthal, 1982; De-
conditions of blatant power inequality; they Paulo & Rosenthal, 1979).
are more likely to use them under condi- Several studies have demonstrated that
tions that are less likely to alert the target the fundamental pitch of the voice is higher
(Kauffman & Steiner, 1968). when someone is lying than when telling the
truth (DePaulo, Stone, & Lassiter, 1985; Ek-
Nonverbal Cues of Deception man, Friesen, & Scherer, 1976). The differ-
ence is fairly small—individuals cannot dis-
Research indicates that nonverbal cues do criminate just by listening. Other vocal cues
provide a basis for detecting deception at associated with deception include speech
a rate somewhat better than chance (De- hesitation (liars hesitate more), speech er-
Paulo, Zuckerman, & Rosenthal, 1980; rors (liars stutter and stammer more), and
Kraut, 1980). response length (liars give shorter answers;
DePaulo et al., 1985; Zuckerman, DePaulo,
Cues Indicating Deception. When people & Rosenthal, 1981). Notice that interroga-
interact face-to-face, they send messages tors on TV crime dramas use these cues.
through both verbal and nonverbal chan- Certain facial and body cues are also as-
nels. People transmit meanings not only by sociated with deception. Tipoffs regarding
words (verbal expressions), but also by fa- deception include eye pupil dilation (liars
cial expressions, bodily gestures, and voice show more dilation) and blinking (liars
quality. The multichannel nature of com- blink more); another tipoff is self-directed
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gestures (liars touch themselves more) (De- in New York were asked to participate in a
Paulo et al., 1985). The musculature of a mock inspection procedure (Kraut & Poe,
smile is slightly different when people are 1980). Some of these travelers were given
lying than when they are telling the truth. “contraband” to smuggle past inspection,
Lying smiles contain a trace of muscular ac- whereas others carried only their own le-
tivity usually associated with expression of gitimate luggage. All participants were in-
disgust, fear, or sadness (Ekman, Friesen, & structed to present themselves as honest
O’Sullivan, 1988) (see Box 4.6). persons. As motivation, the researchers
Using a high-tech heat detection camera, offered travelers prizes up to $100 for ap-
researchers found that people who are ly- pearing honest. Later, professional customs
ing get hot around the eyes (Pavlidis et al., inspectors and lay judges watched video-
2002). In the popular mind and in the me- taped playbacks of each of the travelers and
dia, the lie detector is often associated with tried to decide which travelers ought to be
detecting deception, via the sensors that searched. The results showed that both the
supposedly monitor pulse, breathing, and customs inspectors and the inexperienced
sweating. But the polygrapher rarely looks judges failed to identify a substantial pro-
at the machine’s output; he is busy listen- portion of the travelers who were smuggling
ing for the verbal cues and watching for the contraband. The rate of detection, even by
behavioral changes listed here (Editorial, the customs inspectors, was no better than
2004). chance. Interestingly, however, the pro-
fessional inspectors and the inexperienced
Accuracy of Detection. Most of us rarely judges agreed on which travelers should be
concern ourselves with the possibility of searched. That is, the inspectors and the lay
deception as we interact with others. But judges used the same (invalid) behavioral
the events of September 11, 2001, led us cues as indicative of deception. Travelers
to realize that in some situations, the costs were more likely to be selected for search if
of undetected deception are high indeed. they were young and lower-class, appeared
As a result, there is much greater interest nervous, hesitated before answering ques-
in the question “How good are observers tions, gave short answers, avoided eye con-
at detecting acts of deception?” Although tact, and shifted their posture frequently.
some people believe they can always detect Unfortunately for the inspectors, these cues
deception when it is used by an impression were imperfect indicators of deception. The
manager, research suggests the contrary. results of this experiment remind us of the
The results of most experiments reveal difficulties facing immigration and customs
that observers are not especially adept at officials in airports and at border crossings.
correctly identifying when others are lying. Why aren’t observers better at detect-
Rates of detection are generally somewhat ing deception? First, nonverbal behaviors
better than chance but not especially good that do reveal deception—such as high vo-
in absolute terms (Ekman & O’Sullivan, cal pitch and short response length—are
1991; Zuckerman et al., 1981). This occurs imperfect indicators. They do arise from
in part because observers often use the deception, but they can also result from
wrong cues or do not rely on the most use- conditions unrelated to deception, such
ful kinds of information in judging whether as excitement or anxiety. In such circum-
someone is lying. stances, the innocent will appear guilty,
Difficulty in liar detection is illustrated and observers will make mistakes in de-
by a study in which travelers at an airport tection. Second, there are certain cues that
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Box 4.6 Test Yourself: Can You Detect the Deception?
Research indicates that most lay people are not ences between the two. To learn more and to
very accurate in detecting deception. How about test yourself on spotting fake smiles, go to http://
you? Can you tell the difference between Nicolas www.bbc.co.uk/science/humanbody/mind/
Cage’s fake and genuine smiles? surveys/smiles/.
On the surface, fake and genuine smiles may
look quite similar, but there are distinct differ-
© EdStock/iStock
are commonly believed to reveal deception (such as facial animation, some exhibition-
but that actually do not (DePaulo et al., ism, few nervous behaviors) even when they
1985). These cues include speech rate (peo- are deceiving. If an impression manager has
ple think liars talk slower), smiling (people this capability, he or she will appear inno-
think liars smile less), gaze (people think li- cent, again causing mistakes in detection by
ars engage in less eye contact), and postural observers. Fourth, we note that face-to-face
shifts (people think liars shift more). If ob- interaction is a two-way street; impression
servers rely heavily on these cues, they will managers not only exhibit behavior, but
make mistakes in detection. Third, certain they also observe the reactions of their au-
skilled impression managers are able to give diences. The feedback from audiences in
near-flawless performances when deceiv- face-to-face situations is fairly rich, and it
ing. One study (Riggio & Friedman, 1983) often provides impression managers with
finds evidence that certain people can give a clear indication whether their attempts
off what seem to be honest emotional cues at deception are succeeding. If they are not
9780813349503.indb 163 5/16/14 1:50 PM

succeeding, they may be able to adjust or Notice that nonverbal cues play an im-
fine-tune their deceptive communications portant role in detecting false or inaccurate
to be more convincing. images. It is precisely these cues that are
The picture is not entirely bleak, how- lacking in online communication, making it
ever. First, members of some groups are easier to engage in deceitful or fraudulent
accurate at catching liars. Law enforcement interactions online.
officers, judges, and professional psychol-
ogists were shown videotapes of the head
and shoulders of 10 persons; each person IneffectIve Self-PreSentatIon
was speaking about an issue he felt strongly and SPoIled IdentItIeS
about, and half of them were lying about
their position. Federal officers (most from Social interaction is a perilous undertak-
the CIA) attained an accuracy score of 73, ing, for it is easily disrupted by challenges
while sheriffs, federal judges, and clini- to identity. Some of us may recover when
cal psychologists interested in deception a challenge occurs, but others will be per-
attained scores of 67 to 62. Law enforce- manently saddled with spoiled identities. In
ment officers and academic psychologists this section, we discuss what happens when
attained the lowest scores (Ekman, O’Sul- impression management fails. First, we
livan, & Frank, 1999). Second, observers’ consider embarrassment—a spontaneous
success in detecting deception can be in- reaction to sudden or transitory challenges
creased by special discrimination training to our identities. Second, we examine cool-
(Zuckerman, Koestner, & Alton, 1984). ing-out and identity degradation, which
Moreover, success in detecting deception are deliberate actions aimed at destroying
can be affected by the instructions given or debasing the identities of persons who
to observers. For instance, one study (De- fail repeatedly. Third, we analyze the fate
Paulo, Lassiter, & Stone, 1982) varied the of those afflicted with stigmas—physical,
instructions given to observers in face-to- moral, or social handicaps that may spoil
face interaction. When given instructions their identities permanently.
to pay particular attention to auditory cues
and to downplay visual cues, observers were Embarrassment and Saving Face
more successful in discriminating truth
from deception than when they were given Embarrassment is the feeling we experi-
instructions to pay attention to both visual ence when the public identity we claim in an
and auditory cues. By emphasizing auditory encounter is discredited (Edelmann, 1987;
and downplaying visual cues, observers Semin & Manstead, 1982, 1983). It is usually
more fully attended those cues that are least experienced in social interaction (Ho, Fu,
under an impression manager’s control, & Ng, 2004). Many people describe it as an
such as voice quality. In general, lack of at- uncomfortable feeling of exposure, morti-
tention to verbal content and paralinguistic fication, awkwardness, and chagrin (Miller,
cues seriously impairs the ability to detect 1992; Parrott & Smith, 1991). It may entail
deception (Geller, 1977; Littlepage & Pin- such physiological symptoms as blushing,
eault, 1978). We can hope that the events increased heart rate, and increased tem-
of September 11, 2001, have led to changes perature (Edelmann & Iwawaki, 1987).
in the training of officials who are supposed Whereas we experience embarrassment
to detect deception—training based on the when our own identity is discredited, we
research results described here. also experience embarrassment when the
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identities of people with whom we are in- barrassment at the violation of privacy.
teracting are discredited (Miller, 1987). In The sudden and unexpected conversion of
this sense, embarrassment is contagious. It a back region into a front region is embar-
may be more acute when our own adequate rassing for those whose identities are tar-
performance serves as a frame of reference nished or discredited.
that highlights the inadequacy of others’ per- A further condition that often precip-
formances (Bennett & Dewberry, 1989). We itates embarrassment is awkwardness or
feel embarrassment at others’ spoiled identi- lack of poise. A person can lose poise if he
ties because we have been duped about the or she trips, stumbles, spills coffee, or mis-
assumptions on which we built our interac- coordinates physically with others. Loss of
tion with them, including our unwarranted control of equipment (a dentist dropping
acceptance of their identity claims (Edel- her drill), of clothing (a speaker splitting
mann, 1985; Goffman, 1967). For example, his pants), or of one’s own body (trembling,
someone who claims to be an outstanding burping, or worse) also will destroy poise.
ballplayer will experience embarrassment In general, poise vanishes and embarrass-
when he drops the first three routine fly balls ment increases whenever we lose control
to center field, but the manager who let him over those aspects of our self-presentation
play in a crucial game also will feel embar- that we ordinarily manage routinely.
rassment and chagrin for accepting the ball- A study of Japanese undergraduates
player’s claim of competence. (Higuchi & Fukada, 2002) found that the
causes of embarrassment include disrup-
Sources of Embarrassment. Investigators tion of social interaction, fear of negative
have analyzed hundreds of cases of embar- evaluation by others, inconsistency with
rassment to ascertain the conditions that self-image, and loss of self-esteem. The first
produce this feeling (Gross & Stone, 1970; two were rated as most important when
Miller, 1992; Sharkey & Stafford, 1990). The the event occurred in the presence of oth-
results show that any of several conditions ers (criticism by an instructor during class,
can precipitate embarrassment. To begin falling in public), and the last two as most
with, people feel embarrassed if it becomes important when the individual considered
publicly apparent that they lack the skills a prior event in private (failing to support a
to perform in a manner consistent with the friend, failing an examination). In an exper-
identity they claim. This is the plight, for ex- iment, male and female university students
ample, of the math professor who suddenly viewed slides of nudes and erotic couples
discovers that he cannot solve the demon- either alone or with two strangers. Partic-
stration problem he has written on the ipants self-reported greater embarrassment
chalkboard. Closely related to lack of skill when others were present, but careful anal-
is cognitive shortcoming, such as forgetful- ysis of videotapes showed fewer instances
ness. A host’s inability to remember others’ of nonverbal indicators of embarrassment,
names during introductions at a small party such as face touches and downward gazes,
can cause embarrassment for all concerned. in the public condition (Costa, Dinsbach,
Another condition that precipitates em- & Manstead, 2001). It may be that we try
barrassment is violation of privacy norms. to control nonverbal indicators in the pres-
If one person barges unaware into a place ence of others.
where he or she does not belong (such as a
residential bathroom occupied by another), Responses to Embarrassment. A con-
both persons are likely to experience em- tinuing state of embarrassment is uncom-
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fortable for everyone involved. For this that the actor is attached to the social rules
reason, it is usually in everyone’s interest in question despite the violation.
to restore face—that is, to eliminate the When our behavior discredits a particu-
conditions causing embarrassment. The lar, narrow identity, we can sometimes re-
major responsibility for restoring face lies store face through an exaggerated reasser-
with the person whose actions produced tion of that identity. A man whose mascu-
the embarrassment, but interaction part- line identity is threatened by behavior sug-
ners frequently try to help the embarrassed gesting he is infantile, for example, might
person restore face (Levin & Arluke, 1982). try to reassert his courage and strength. In
For instance, if a party guest slips and falls a test of this hypothesis (Holmes, 1971),
while demonstrating his dancing prowess, some male participants were asked to suck
his partner might help him save face by on a rubber nipple, a pacifier, and a breast
remarking that the floor tiles seem newly shield—all embarrassing experiences. Other
waxed and very slippery. Mutual com- participants were asked to touch surfaces
mitment to supporting each other’s social such as sandpaper and cloth. The men were
identities is a basic rule of social interac- next asked how intense an electric shock
tion (Goffman, 1967). they would be willing to endure later in the
To restore face, the embarrassed person experiment. Men who had faced the embar-
will often apologize, provide an account, or rassing experiences indicated willingness to
otherwise realign his or her actions with the endure more intense shocks than men who
normative order (Knapp, Stafford, & Daly, had faced no threat to their masculine iden-
1986; Metts & Cupach, 1989). When pro- tity. By taking the intense shocks, the em-
viding accounts, people will either make barrassed men could present themselves as
excuses that minimize their responsibil- tough and courageous, thereby re-asserting
ity or offer justifications that define their their threatened masculinity.
behavior as acceptable under the circum- Sometimes people embarrass others
stances. If the interaction partners accept intentionally and make no effort to help
these accounts—and partners have been them to save face. A study of self-reports
known to accept the lamest excuses rather of intentional embarrassment found that
than endure continuing embarrassment—a embarrassors reported that their goal was
proper identity is restored. If accounts are to negatively sanction the target, while
unavailable or insufficient, the embarrassed targets reported that the embarrassor’s
individual may offer an apology for the dis- goal was self-satisfaction (Sharkey, Kim,
crediting behavior and admit that his or her & Digs, 2001). In such circumstances, the
behavior was wrong. In this way, the per- embarrassed persons are likely to react ag-
son reaffirms threatened norms and reas- gressively. They may vigorously attack the
sures others that he or she will not violate judgment or character of those who embar-
those norms again. Research suggests that rassed them. Some research indicates that
blushing is particularly important in restor- an aggressive response to embarrassment
ing the normative order. Observers rated is more likely between status unequals than
videotapes of a public gaffe; an actor who between status equals (Sueda & Wiseman,
visibly blushed following the incident was 1992). Alternatively, the embarrassed per-
judged less negatively, as less responsible, sons may assert that the task on which they
and as more trustworthy than an actor who failed is worthless or absurd (Modigliani,
did not blush (Jong, 1999). The results sug- 1971). Finally, they may retaliate against
gest that blushing communicates to others those who embarrassed them intentionally.
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Retaliation not only reasserts an image of radation. Degradation establishes the of-
strength and achieves revenge, it also fore- fender as a nonperson—an individual who
stalls future embarrassment by showing cannot be trusted to perform as a normal
resolve to punish those who discredit us. member of the social group because of rep-
In these ways, embarrassment may lead to rehensible motives. This is the fate of a po-
interpersonal aggression. litical dissident who is fired from her job,
declared a threat to society, and relegated
Cooling-Out and Identity Degradation to isolation in a prison or work camp.
Identity degradation imposes a severe
When people repeatedly or glaringly fail to loss on the offender, so it usually is done
meet performance standards or to present forcibly. Identity degradation often involves
appropriate identities, others cease to help a dramatic ceremony—such as a criminal
them save face. Instead, they may act delib- trial, sanity hearing, or impeachment pro-
erately to modify the offenders’ identities ceeding—in which a denouncer acts in the
or to remove them from their positions in name of the larger society or the law (Scheff,
interaction. Failing students are dropped 1966). In such ceremonies, persons who had
from school, unreliable employees are let previously been treated as free, competent
go, tiresome suitors are rebuffed, people citizens are brought before a group or indi-
with severe mental illness are institution- vidual legally empowered to determine their
alized. Persons will modify an offender’s “true” identity. They are then denounced
identity either by cooling-out (Goffman, for serious offenses against the moral or-
1952) or by degradation (Garfinkel, 1956), der. If the degradation succeeds, offenders
depending on the social conditions sur- are forced to give up their former identities
rounding the failure. and to take on new ones like “criminal,” “in-
The term cooling-out refers to gently sane,” or “dishonorably discharged.”
persuading a person whose performance Two social conditions strongly influence
is unsuitable to accept a less desirable, the choice between cooling-out and degra-
though still reasonable, alternative identity. dation: (1) the offender’s prior relationships
A counselor at a community college may with others, and (2) the availability of alter-
cool-out a weak student by advising him to native identities (Ball, 1976). Cooling-out
switch from pre-med to an easier major, for is more likely when the offender has had
example, or by recommending that he seek prior relations of empathy and solidarity
employment after completing community with others and when alternative identity
college rather than transfer to a univer- options are available. For example, during a
sity. Persons engaged in cooling-out seek breakup, lovers who have been close in the
to persuade offenders, not to force them. past can cool-out their partners by offering
Cooling-out actions usually protect the pri- to remain friends. Identity degradation is
vacy of offenders, console them, and try to more likely when prior relationships en-
reduce their distress. Thus, the counselor tailed little intimacy or when respectable al-
meets privately with the student, empha- ternative identities are not readily available.
sizes the attractiveness of the alternative, Thus, strangers found guilty of sexually
listens sympathetically to the student’s con- molesting children are degraded and trans-
cerns, and leaves the final choice up to him. formed into child molesters—immoral,
The process of destroying the offender’s subhuman creatures.
identity and transforming him or her into Observers have pointed out that in
a lower social type is termed identity deg- U.S. society, there are public degradation
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ceremonies for various types of offenders— having them. Stigmas operate via reflected
trials and sentencing hearings, competency appraisals; “normals” (nonstigmatized
hearings, press conferences where one ad- persons) convey expectations and nega-
mits wrong-doing. However, there are no tive evaluations of the stigmatized person
ceremonies when these persons return to (Kaufman & Johnson, 2004). No matter
society, and so they remain stigmatized. what their other attributes, stigmatized in-
Redemption rituals could ease the reentry dividuals are likely to find that others will
process. To be successful, they should be not view them as fully competent or moral.
community based and public, and eliminate As a result, social interaction between nor-
the person’s “official” record (Fader, 2011). mal and stigmatized persons is shaky and
uncomfortable.
Stigma
Sources of Discomfort. Discomfort arises
A stigma is a characteristic widely viewed as during interaction between normals and
an insurmountable handicap that prevents stigmatized individuals because both are
competent or morally trustworthy behavior uncertain what behavior is appropriate.
(Goffman, 1963b; Jones et al., 1984). There Normals may fear, for example, that if they
are several different types of stigmas. First, show direct sympathy or interest in the
there are physical challenges and deformi- stigmatized person’s condition, they will
ties—missing or paralyzed limbs, ugly scars, be intrusive (for example, “Is it difficult to
blindness, or deafness. Second, there are write with your artificial hand?” “Can you
character defects—dishonesty, sexual at- dance with that artificial leg?”). Yet if they
traction to inappropriate targets, psycholog- ignore the defect, they may make impossi-
ical derangements, or treacherous beliefs. ble demands (for example, “Would you help
These may be inferred from a known re- me move the refrigerator?”). To avoid being
cord of crime, imprisonment, sexual abuse hurt, stigmatized individuals may vacillate
of children or partners, mental illness, or between shamefaced withdrawal (avoiding
radical political activity, for example. Third, social contact) and aggressive bravado (“I
there are characteristics such as race, sex, can do anything anyone else can!”).
and religion that—in particular segments Another source of discomfort for nor-
of society—are believed to contaminate or mals is the threat, a sense of anxiety or
morally debilitate all members of a group. even danger that they experience during
We discussed earlier the relationship interaction with stigmatized individuals
between identity salience and self-esteem. (Blascovich, Mendes, Hunter, Lickel, &
Research involving 300 persons with vari- Kowai-Bell, 2001). Normals may fear that
ous concealable stigmatized identities (for associating with a stigmatized person may
example, history of mental illness, rape, do- discredit them (for example, “If I befriend
mestic violence, substance abuse) indicated a convicted criminal, people may wonder
that the amount of distress experienced was about my trustworthiness”). In recent times,
related to how much stigma the person ex- this problem has arisen frequently with re-
pected, and the centrality (how important spect to AIDS, which is a heavily stigma-
is it?) and salience (how often do you think tized condition due in part to its association
about it?) of the identity (Quinn & Chan- with drug use and homosexuality as well as
dor, 2009). the lingering fear of transmission. Persons
Once recognized during interaction, with AIDS experience the stigma, of course;
stigmas spoil the identities of the persons but beyond that, the compassionate confi-
9780813349503.indb 168 5/16/14 1:50 PM

dants who provide care and social support marks, but nonverbal leakage may carry the
for persons with AIDS often encounter day (Hebl & Dovidio, 2005).
social difficulties as well. The stigma asso- For their part, stigmatized persons also
ciated with AIDS results in some of these have difficulty interacting with normals.
confidants being rejected by their friends Remarkably, the mere belief that we have
and family (Jankowski, Videka-Sherman, & a stigma—even when we do not—leads us
Laquidara-Dickinson, 1996). to perceive others as relating to us nega-
Interestingly, stigmatized persons can tively. In a dramatic demonstration of this
use normals’ discomfort in their presence principle (Kleck & Strenta, 1980), some fe-
to elicit a positive response to appeals. male participants were led to believe that
Confederates soliciting donations for char- a woman with whom they would interact
ities were more successful when seated in a had learned that they had a mild allergy
wheelchair than in a regular chair (Norton (a nonstigmatizing attribute). Other fe-
et al., 2012). male participants believed that the woman
would view them as disfigured due to an
Effects on Behavior and Perceptions. authentic-looking scar that had been ap-
Normals react toward stigmatized persons plied to their faces with stage makeup (a
with an attitude of ambivalence (Katz, 1981; stigmatizing attribute). In fact, the inter-
Katz, Wackenhut, & Glass, 1986). Toward a action partner had no knowledge of either
person with quadriplegia, for instance, nor- attribute. In the allergy condition, the part-
mals have feelings of aversion and revulsion ner had received no medical information
but also of sympathy and compassion. This whatsoever. In the scar condition, there
ambivalence creates a tendency toward was actually no scar to be seen, because the
behavioral instability, in which extremely experimenter had surreptitiously removed
positive or extremely negative responses the scar just before the discussion. After a
may occur toward the stigmatized person, 6-minute discussion with the interaction
depending on the specific situation. partner, the participants described their
When interacting with stigmatized indi- partners’ behavior and attitudes. Those
viduals, normals alter their usual behavior. participants who believed they had a facial
They gesture less than usual, refrain from scar remarked more frequently that their
expressing opinions that reflect their actual partners had stared at them. They also per-
beliefs, maintain less eye contact, and ter- ceived their partners as more tense, more
minate the encounters sooner (Edelmann, patronizing, and less attracted to them than
Evans, Pegg, & Tremain, 1983). Moreover, the nonstigmatized participants did. Judges
normals speak more rapidly in interac- who viewed videotapes of the interaction
tions with stigmatized persons than in in- perceived none of these differences. This is
teractions with other normals, ask fewer not surprising, as the partner knew nothing
questions, agree less, make more directive about either disability. However, these re-
remarks, and allow the stigmatized persons sults show that people who believe they are
fewer opportunities to speak (Bord, 1976). stigmatized perceive others as relating neg-
By limiting the responses of the stigmatized atively to them. This occurs even if the oth-
person, normals reduce uncertainty and ers are not, in fact, doing anything negative
diminish their own discomfort. Negative or irregular. These findings are illustrated
messages are likely to be expressed nonver- in Figure 4.2.
bally; normals often monitor their speech When people believe they are stigma-
and try to restrain or suppress negative re- tized, they tend not only to perceive the
9780813349503.indb 169 5/16/14 1:50 PM

10
High 8.67
9
8
8
7 6.37
RATING OF PARTNER
5
4.12
4
3 2.37
1.87
2
Lo 0
Tense Patronizing Attracted to Them
Stigmatized (Scar) Nonstigmatized (Allergy)
PERCEIVED ATTRIBUTE OF PARTNER
FIgure 4.2 Perceptions of interaction Partners by stigmatized and nonstigmatized individuals

In this study, some female students were led to believe that a large facial scar stigmatized them in the eyes of their
female interaction partner. Others were led to believe their partner knew they had a mild allergy—a nonstigmatized
characteristic. In fact, interaction partners were unaware of either of these characteristics. Nonetheless, students
who believed they were stigmatized perceived their partners as substantially more tense and patronizing and as
less attracted to them. This suggests that the mere belief that we are stigmatized leads us to perceive others as
behaving negatively toward us. Adapted from Kleck and Strenta, “Perceptions of the Impact of Negatively Valued
Physical Characteristics on Social Interaction” by Kleck and Strenta, Journal of Personality and Social Psychology,
39 861–873. © 1980 by the American Psychological Association.
social world differently but also to behave possible (Gramling & Forsyth, 1987). Per-
differently. In one study, for instance, one sons who are handicapped or physically
group of mental patients believed that the challenged often must choose between en-
person with whom they were interacting gaging in interaction (thereby disclosing
knew their psychiatric history, whereas their stigma) or withdrawing from interac-
another group thought their stigma was tion (concealing their stigma; Lennon, Link,
safely hidden (Farina, Gliha, Boudreau, Al- Marbach, & Dohrenwend, 1989). A stut-
len, & Sherman, 1971). Patients in the first terer, for instance, may refrain from intro-
group performed more poorly on a cooper- ducing himself to strangers; were he to in-
ative test and found the task more difficult. troduce himself, he could do so only at the
Moreover, outside observers of the inter- risk of stumbling over his own name and
action perceived these patients to be more drawing attention to his stigma (Petrunik
anxious, more tense, and less well adjusted. & Shearing, 1983). Men with spinal cord
injury have a visible physical limitation.
Coping Strategies. Stigmatized persons They also cannot engage in sexual intimacy
adopt various strategies to avoid awkward- using the traditional script. Some took con-
ness in their interactions with normals and trol of the circumstances and enlisted their
to establish the most favorable identities partners’ active cooperation (helping them
9780813349503.indb 170 5/16/14 1:50 PM

undress, positioning their bodies). Others indelicate questions, inconsiderateness,

rarely disclosed their difficulties and relied and awkward offers of help. They gain some
on their drugs and performance to maintain acceptance and enjoy relatively satisfying
the semblance of the script. A third group interaction in most encounters. Normals
simply stopped engaging in partnered sex- gain because this resolution assuages the
ual activity (Bender, 2012). ambivalence they feel toward stigmatized
In interaction, stigmatized persons often persons and spares them the true pain the
try to induce normals to behave tactfully stigmatized person suffers.
toward them and to build relationships Some persons are stigmatized because
around the aspects of their selves that are of some individual characteristic—birth
not discredited. Their strategies depend defect, illness, disfigurement due to an ac-
on whether their stigma can be defined as cident, or history of deviant or criminal
temporary—such as a broken leg on the behavior. They often rely on these strate-
mend or a passing bout of depression—or gies. Others are stigmatized because they
whether it must be accepted as perma- are members of certain groups—that is,
nent, such as blindness or stigmatized ra- because of a shared social identity: mental
cial identity (Levitin, 1975). Persons who retardation, bipolar disorder, obesity, or ra-
are temporarily stigmatized focus attention cial/ethnic minority status (Crocker & Ma-
on their handicap, recounting how it befell jor, 1989). In these cases, stereotypes that
them, detailing their favorable prognosis, are widely shared by both stigmatized and
and encouraging others to talk about their stigmatizers shape the attitudes and behav-
own past injuries. In contrast, people who ior of members of both groups, including
are permanently stigmatized often try to the identities claimed in interaction (Ren-
focus attention on attributes unrelated to frow, 2004). These persons have an addi-
their stigma (Davis, 1961). They often use tional coping strategy; they can attribute the
props to highlight aspects of the self that are stigma they experience to the prejudiced at-
unblemished, such as proclaiming their in- titudes of others and base their self-percep-
tellectual interests (say, by carrying a heavy tion on traits on which they rank well. They
book), their political involvements (say, by may also seek out relationships with others
wearing campaign buttons), or their hob- who share the stigma in an effort to experi-
bies (say, by toting a knitting bag). ence positive reflected appraisals (Kaufman
In cases where a stigma does not force & Johnson, 2004).
excessive dependency, permanently stig- The widespread advertising of medica-
matized individuals often try to strike a deal tions for depression, bipolar disorder, and
with normals: They will behave in a nonde- other forms of emotional disorders on tele-
manding and nondisruptive manner in ex- vision contributes to the stereotypes of the
change for being treated as trustworthy hu- mentally ill (Smardon, 2007). On the one
man beings despite their stigma. Under this hand, the ads typically portray milder cases,
arrangement, they are expected to cultivate and so in one sense they trivialize emotional
a cheerful manner, avoid bitterness and self- disorders. On the other hand, persons tak-
pity, and treat their stigma as a minor probing a drug such as Prozac have a basis for
lem with which they are coping successfully forming a social network and supporting
(Hastorf, Wildfogel, & Cassman, 1979). others who experience the condition or
Everyone gains some benefit from han- take the drug.
dling stigmas in this way. Stigmatized per- Another coping strategy is passing,
sons avoid the constant embarrassment of distancing oneself from the stigmatized
9780813349503.indb 171 5/16/14 1:50 PM

identity by hiding information (Renfrow, others. As they acquire language, they learn
2004). The person may hide the identity that their own thoughts and feelings are
from normals while cultivating discreet as- also separate. (3) Through role taking, chil-
sociations with others who share the stigma; dren come to see themselves through oth-
this will prevent negative appraisal by nor- ers’ eyes. They can then observe, judge, and
mals and provide the person with positive regulate their own behavior. (4) Children
appraisals by the others. Millions of college construct their identities based on how they
students have used this strategy to gain ac- imagine they appear to others. Both face-
cess to bars and alcoholic beverages before to-face and online interactions influence
they reach the legal drinking age. Or the the development of self. They also develop
person may distance themself from other self-evaluations based on the perceived
stigmatized persons and associate with judgments of others.
normals or withdraw from interaction (the
closeted GLBT person); the latter strategy Identities: The Self We Know. The self we
may result in great psychological distress. know includes multiple identities. (1) Some
The central emotion in passing is fear: fear identities are linked to the social roles we
of the consequences of being identified by enact. (2) Some identities are linked to our
normals as stigmatized leads to passing, and membership in social groups or categories.
fear of discovery dominates the passing ex- These identities may be associated with in-
perience. group favoritism and out-group stereotyp-
Persons may attempt to cope with stigma ing. (3) We form self-concepts primarily
by seeking therapy (Kaufman & Johnson, through learning and adopting role and so-
2004). Physical and occupational therapy cial identities. The self we know is primar-
may reduce or remove the debilitating ef- ily influenced by the perceived reactions of
fects of accidents, loss of limbs, or loss of others. (4) The self we know varies with the
abilities. Psychological or behavioral ther- situation. We attend most to those aspects
apy may change the beliefs and behavior of our selves that are distinctive and rele-
that accompany mental retardation, mental vant to the ongoing activity.
illness, or unnatural passions. A final strat-
egy is to join a social movement intended Identities: The Self We Enact. The self
to change the perceptions and stereotypes we enact expresses our identities. (1) We
of normals. choose behaviors to evoke responses from
others that will confirm particular identi-
ties. To confirm identities successfully, we
SuMMary must share with others our understand-
ing of what these behaviors and identities
The self is the individual viewed both as the mean. Adopting these meanings may lead
source and the object of reflexive behavior. to poorer performance when we experience
stereotype threat. (2) We choose which
The Nature and Genesis of Self. (1) The identity to express based on that identity’s
self is the source of action when we plan, salience, need for support, and situational
observe, and control our own behavior. The opportunities for enacting it. (3) We gain
self is the object of action when we think consistency in our behavior over time by
about who we are. (2) Newborn infants lack striving to enact important identities. We
a sense of self. Later, they come to recog- also employ several strategies that lead to
nize that they are physically separate from verification of our self-conceptions.
9780813349503.indb 172 5/16/14 1:50 PM

Self-Esteem. Self-esteem is the evalua- to be. (2) They ingratiate themselves with
tive component of self. Most people try to others through such tactics as opinion con-
maintain positive self-esteem. (1) Overall formity, other enhancement, and selective
self-esteem depends on the evaluations of presentation of their admirable qualities.
our specific role identities. (2) Self-esteem (3) When caught performing socially unac-
derives from three sources: family experi- ceptable actions, people try to repair their
ences of acceptance and discipline, direct identities through aligning actions, which
feedback on the effectiveness of actions, are attempts to align their questionable
and comparisons of our own successes and conduct with cultural norms. They explain
failures with those of others. (3) People with their motives, disclaim the implications of
higher self-esteem tend to be more popular, their conduct, or offer accounts that excuse
assertive, ambitious, and academically suc- or justify their actions. (4) They altercast
cessful, better adjusted, and happier. (4) We others, imposing roles and identities that
employ numerous techniques to protect mesh with the identities they claim for
self-esteem. Specifically, we seek reflected themselves. (5) Impression management
appraisals consistent with our self-view, is a major component of online communi-
process information selectively, carefully cation. In e-mail, text messages, personal
select those with whom we compare our- webpages, and online dating profiles, peo-
selves, and attribute greater importance to ple intentionally select content to create a
qualities that provide consistent feedback. certain image in the mind of the receiver/
viewer.
Self-Presentation in Everyday Life.
Self-presentation refers to our attempts— The Downside of Self-Presentation. (1)
both conscious and unconscious—to con- Self-presentational motives such as the de-
trol the images we project of ourselves in sire to be liked by or obtain rewards con-
social interaction. Some self-presentation trolled by others may lead to behavior that
is authentic, but some may be tactical. Suc- is risky to your health, such as unprotected
cessful presentation of self requires efforts sexual intercourse or alcohol or drug abuse.
to control how others define the interaction (2) The desire to maintain romantic rela-
situation and accord identities to partici- tionships may lead to withholding informa-
pants. (1) In defining the situation, people tion from or lying to your partner; people
negotiate the type of social occasion consid- who report deceiving their partner or who
ered to be at hand and the identities they perceive their partner as deceptive report
will grant each other. (2) Self-disclosure is reduced commitment to their relationship.
a process through which we not only make
identity claims but also promote friendship Detecting Deceptive Impression Man-
and liking. Self-disclosure is usually two- agement. Observers attend to two major
sided and gradual, and it follows a norm of types of information in detecting deceitful
reciprocity. impression management. (1) They assess
others’ possible ulterior motives. If a large
Tactical Impression Management. People difference in power is present, an impres-
employ various tactics to manipulate the sion manager’s ulterior motives may be-
impressions that others form of them. (1) come transparent to the target, making tac-
They manage appearances (bodily adorn- tics like ingratiation difficult. (2) They scru-
ment, clothes, possessions, and so on) to tinize others’ nonverbal behavior. Although
dramatize the kind of person they claim detection of deceit is difficult, observers are
9780813349503.indb 173 5/16/14 1:50 PM

more accurate when they concentrate on contingencies (of self-esteem) (p. 138)
leaky cues, such as tone of voice, and dis- cooling-out (p. 167)
crepancies between messages transmitted definition of the situation (p. 147)
through different channels. Some profes- disclaimer (p. 156)
sionals are quite accurate in detecting de- embarrassment (p. 164)
ception. frame (p. 148)
front regions (p. 152)
Ineffective Self-Presentation and Spoiled game (p. 123)
Identities. Self-presentational failures lead generalized other (p. 123)
to several consequences. (1) People expe- group self-esteem (p. 145)
rience embarrassment when their identity identities (p. 125)
is discredited. Interaction partners usually identity control theory (p. 132)
help the embarrassed person to restore identity degradation (p. 167)
an acceptable identity. Otherwise, embar- ingratiation (p. 152)
rassed persons tend to reassert their iden- looking-glass self (p. 122)
tity in an exaggerated manner or to attack play (p. 122)
those who discredited them. (2) Repeated role identities (p. 125)
or glaring failures in self-presentation lead role taking (p. 122)
others to modify the offender’s identity salience (p. 133)
through deliberate actions. They may try self (p. 120)
to cool-out offenders by persuading them self-awareness (p. 137)
to accept less desirable alternative identi- self-disclosure (p. 149)
ties, or they may degrade offenders’ iden- self-discrepancy (p. 137)
tities and transform them into lesser social self-esteem (p. 138)
types. (3) Many physical, moral, and social self-presentation (p. 146)
handicaps stigmatize individuals and per- self-schema (p. 118)
manently spoil their identities. Interaction significant others (p. 122)
between stigmatized and “normal” persons situated identity (p. 148)
is marked by ambivalence and is frequently situated self (p. 130)
awkward and uncomfortable. In general, social identity (p. 126)
normals pressure stigmatized individuals to stigma (p. 168)
accept inferior identities, whereas stigma- supplication (p. 154)
tized individuals seek to build relationships tactical impression management (p. 146)
around the aspects of their selves that are
not discredited. Some persons with stigma
attempt to pass to avoid the negative re- Critical Thinking Skill:
flected appraisals they would receive from Defending Against Everyday
normals. Persuasive Techniques
The foundation of our efforts at self-pre-

List of Key Terms and Concepts sentation is our desire to have certain other
people like and accept us, and treat us in
accounts (p. 156) particular ways. We want friends, we want a
aligning actions (p. 156) committed relationship, we want harmony
altercasting (p. 157) with our roommates, and so we are moti-
back regions (p. 152) vated to conform to their expectations by
9780813349503.indb 174 5/16/14 1:50 PM

presenting ourselves in certain ways. The sidered attractive in your social group. But
means by which they communicate their there is a good deal of evidence that tan-
expectations is often by using everyday per- ning, especially in tanning beds, is related
suasion techniques. to increased risk of skin cancer in later life.
Imagine that you have not been in a re- And we reviewed evidence that persons who
lationship for several months. One day a are concerned with others’ impressions are
close friend inquires about your “love life.” more likely to use tanning facilities. So your
You reply honestly, “I don’t have one these inclination to accept the persuasive attempt
days.” The friend replies, “Well, maybe probably reflects a heightened concern with
you’re having trouble because of the way self-presentation, not the merits of the sug-
you look.” “What do you mean?” “Well, you gestion.
don’t look healthy; you’re not trim, and your As we suggest in a later Critical Thinking
skin is awfully white. I think you need to get skill (Chapter 8), direct, honest communi-
some tan. Three times a week in a tanning cation is best in this situation. If you aren’t
bed will work wonders!” sure your friend’s suggestion is a good idea,
This is an example of everyday persua- you could say, “Thanks for that suggestion.
sion. A well-meaning friend or coworker or I’ll check it out.” Then you can gather in-
roommate is trying to persuade you to solve formation about the effects of using tanning
a problem in the way she thinks will work. beds by going to recognized health care in-
In this situation, many of us are tempted to formation sites like the one maintained by
follow the suggestion. She means well, you the Mayo Clinic (http://www.mayoclinic
like her, you don’t want to be critical or start .org/news2012-rst/6777.html). If you con-
an argument. You are inclined to accept in clude it isn’t a good idea, you can ignore the
order to maintain a good relationship with advice. If your friend asks later, you can say
her. But is it a good idea? She is suggesting that you learned there is a link between tan-
tanning sessions to increase your attrac- ning bed use and skin cancer. That might
tiveness. Will it? Being tan is certainly con- lead to an interesting conversation!
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9780813349503.indb 176 5/16/14 1:50 PM
chaPter 5
Emotions
introduction 178 the Social Psychology of emotions 189
defining emotions 179 cognitive labeling theory 189
emotion Work 192
Classical ideas about the origins
of emotion 180 Social emotions 194
Universal emotions and Summary 201

Facial expressions 181 List of Key Terms and Concepts 202
facial expressions of emotions 181
Critical Thinking Skill: Effortful Consideration
Cultural differences in Basic emotions of Ideas 202
and emotional display 184
emotional Display 185
177
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178 EMoTIons
IntroductIon he experienced a severe disappointment

when he found out about his loan. When
Robert Yu is a kindergarten teacher in a his car was hit, he first felt fear and then
suburb of Columbus, Ohio, facing a Mon- anger toward the other driver. Later, he
day morning of teaching 25 energetic five- started watching the basketball game with
year-olds for three hours. Robert is a very excited anticipation, rode a roller coaster
dedicated teacher and always strives to give of ups and downs as the game progressed,
his best to his students. He is usually ener- and came close to tears when the game was
gized for class and follows well-developed over. By Monday morning, he felt positively
lesson plans. His students love him and depressed but then managed to recover—
look forward to school every day. very much by his own doing—during the
Unfortunately, Robert is coming off a course of teaching that morning.
very difficult weekend. On Friday after- How can we explain all of Robert’s emo-
noon, he found out he was denied a loan tional experiences and the changes from
for a new house he wanted to buy, and one emotional state to another? During
on Saturday he was in a serious car acci- the basketball game, for example, Robert
dent caused by a teenager who was texting vacillates quickly between anger, sadness,
rather than paying attention. No one was disgust, joy, and satisfaction, all because
hurt, but Robert’s car was damaged beyond of a few images on a television screen. On
repair and was towed to the junkyard. To Monday morning, he is able to consciously
top it all off, his favorite basketball team lost choose behaviors that end up actually
its final game of the season and, thus, was changing his mood. What is involved, both
eliminated from the playoffs. On Monday on an individual level and a social level, in
morning, Robert got up in his shabby apart- producing all of these different emotional
ment, rode the bus to work, and proceeded states and the changes from one to another?
to pay off a bet he had made on the basket- Given that Robert is not an inherently un-
ball game with another teacher. Needless to stable individual, we need to understand
say, he was not in a very good mood when the social context of his interactions to un-
he headed down the hall to his classroom. derstand his emotional states.
But Robert still wanted to do a good job To facilitate this social psychological
with the children in his class, so he decided interpretation of emotion, in this chapter
to hide his feelings and put on a cheerful we’ll consider several key questions about
face. He bounced into the room acting as emotions that can help us understand emo-
though absolutely nothing was wrong and, tion stories like Robert’s:
in fact, that he was just as happy as he could
be. The students in the class thought Mr. 1. What exactly are emotions and
Yu was in a great mood, as did the teach- psychological emotional states?
er’s aide who helped in the class. They all
reacted very positively toward him, and 2. Where do emotions come from?
everyone had a great day in the classroom. What are the physiological,
As things progressed, Robert himself began psychological, and social bases
feeling much better and, at the end of the of emotions?
day, thought this was one of the best days
he’d ever had in the classroom. 3. What kinds of emotions and
In the space of a few days, Robert has expressions of them are universal
experienced a wide range of emotions. He human traits, and which are specific
started off the weekend feeling fine, until to social or cultural contexts?
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EMoTIons 179
4. How do social contexts produce side of the individual. To distinguish emo-

emotions? tions from other human stimulus-impulse
reactions, sociologist Peggy Thoits (1989)
5. How do we psychologically and delineates four components of emotions:
socially control the expression of (1) a situational stimulus, (2) physiological
emotions? Beyond limiting how we changes, (3) expressive gesturing of some
express them, how can we control kind, and, most importantly, (4) a label to
our emotions, either by suppressing identify a cluster of the first three. Being
or producing them? slapped by one’s girlfriend plus elevated
temperature and heart rate plus a furrowed
brow and a clenched fist equals anger. Be-
defInIng eMotIonS ing slapped by one’s girlfriend plus elevated
heart rate plus laughter and smiling equals
To talk about emotions, we first need to humorous teasing. Various culturally de-
know exactly what we mean by that term. fined combinations produce what we typi-
This can be difficult because emotions are cally think of and experience as an emotion.
not particularly easy to define. To compli- Emotions tend to be related to goals.
cate things, there are other related terms Whether we are frustrated by a blocked
that are partially synonymous with emotion, goal, joyful upon achieving one, anxious
including sentiment, affect, mood, and, of as we approach one, embarrassed that we
course, feelings (Smith-Lovin, 1995). All of failed at a goal, or motivated by an emo-
these terms are used in everyday conversation to pursue a goal (such as fleeing from
tion to refer to the experience of emotion, a fearful situation), emotions and goals are
and social psychologists also use them in intimately entwined (Frijda & Mequita,
specific ways, so we first need to sort them 1994).
out from one another. Sentiment is very close to emotion in
Affect is usually considered the most gen- meaning, but when social psychologists use
eral of the terms. It encompasses virtually the term sentiment, they emphasize the
any kind of subjective positive or negative social aspect of emotion. Early social psy-
evaluation of an object. This includes short- chologists used sentiment to refer to the
term reactions like the anger you might feel components of human responses that sep-
toward another after being the target of an arate them from analogous responses that
insult as well as longer-term orientations animals would have. For example, Cooley
such as the pleasant association many peo- (1909) contrasts love and lust. Although
ple have with the Christmas season. Affect lust is instinctive, we learn what love is
can usually be described in terms of not just through social interaction. In other words,
direction but also strength and the level of sentiment relies not just on the responses
activity associated with it (Osgood, Suci, & of the individual to the stimulus but also on
Tannenbaum, 1957). In other words, it is how other human beings understand that
not just whether one generally feels positive stimulus. In later years, as social psycholo-
or negative toward something—perhaps a gists have come to increasingly accept that
student, sports team, or riding the bus, in social elements are a key piece of emotions,
Robert Yu’s case—but also how intense and the idea of sentiment has become less dis-
dynamic that orientation is. tinguishable from that of emotion (Stets,
Emotions are often treated as a subset 2003). In contemporary work, social psy-
of affect. Usually, emotions are thought of chologists often use the term sentiment to
as short-lived reactions to a stimulus out- distinguish immediate emotional responses
9780813349503.indb 179 5/16/14 1:50 PM

180 EMoTIons
from longer-term emotional states such as blocks used in later understandings of emo-
love, grief, and jealously (S. Gordon, 1990). tions and, thus, require a brief review.
These sentiments can endure for days, The beginnings of the study of emotion
weeks, and even years after the initial event can be found in the work of Charles Dar-
that triggered them. win, especially in his important book, The
Moods are also more enduring than Expression of the Emotions in Man and An-
emotions. Whereas we might experience imals. Darwin was motivated to write this
one emotion and move on to another in book because he thought that if humans and
a matter of seconds or minutes (Ekman, other animals had common ancestors, there
1992), a mood is a general psychological ought to be some similarities in emotional
condition that characterizes our experience expression as well. At the time he wrote,
and emotional orientation for hours or even Darwin was battling those who believed
days. Moods are considerably less specific that humans had all kinds of unique charac-
than emotions. When an emotion occurs, teristics not shared by other animals—and
we have a very good sense of where it is di- this included facial expressions. His book
rected and what stimulus caused it. Moods, pointed out fascinating continuities in the
however, are diffuse; they can be widely di- emotional expressions made by humans
rected at anything that comes in our path— and by other animals, such as monkeys and
regardless of whether it has anything to do dogs, and also found some facial expressions
with the origin of the bad mood. and gestures that he thought were universal
Returning to the experiences of the kin- across cultures (Darwin, 1998).
dergarten teacher, Robert, almost all of the The theory Darwin developed about
events described involve affect—some were emotional expression was based on these
stronger, such as when he was in the car ac- similarities across cultures and species. If
cident, and some were weaker, such as when some emotions and emotional expressions
he paid his gambling debt. He also experi- were universal, then they must be genet-
enced many short-term emotional states ically encoded. And if they are genetically
with a great deal of social content (such as encoded, then they must have value that
the disappointment of losing the loan) and enhances genetic survival. Thus, emotional
others with much less social content (such gestures, for example, were residual expres-
as the initial fear and shock when hit by an- sions related to threat or sexual attraction.
other car). These events accumulated, and The act of gritting and showing our teeth
by the time he got to work on Monday, he when angry could be a derivative of the act
had probably been experiencing a morose of biting in a battle for survival.
mood for quite a number of hours. Although Darwin focused on the expres-
sion of emotions, other early thinkers were
more concerned about the internal sources
claSSIcal IdeaS about of emotions. Lange and James (1922) sep-
the orIgInS of eMotIon arately proposed a biological approach
to emotions that focused heavily on the
Where do emotions come from? Some of physiological responses to stimulus. In this
the earliest scientific work on emotions model, the stimulus is followed by the bi-
focuses largely on the nonsocial origins ological reaction, and then the individual
of emotions. Although these perspectives cognitively processes the physiological sen-
are now viewed as quite incomplete, they sation and interprets it as an emotion. The
do provide some of the essential building physiological component of the emotional
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EMoTIons 181
experience (for example, increased blood ars have focused a great deal of attention on
pressure) helps us to identify the emotion facial expression of emotion.
(anger) rather than anger causing the phys-
iological change. Facial Expressions of Emotions
Sigmund Freud (1962) believed that re-
pressed childhood sexual desires were the Some of the facial expressions we make
sources of emotions (principally anxiety are largely involuntary—we perform them
and guilt). Although many of Freud’s ideas without thought or conscious effort. If we
have been discredited over time, he did con- are trying to hide our emotions, we often
tribute to the study of emotions in several try to look away or hide our face because
ways. First, he drew attention to the ways we know we are involuntarily revealing our
emotions could develop unconsciously. In- feelings (Goffman, 1959b). Other emotion
dividuals can hide their feelings from them- displays are conscious. For example, we
selves and yet still have these emotions might express an emotion to emphasize a
affect the way they think and act. Second, point, to appear friendly and welcoming, or
he drew attention to the role an individu- to threaten others.
al’s past experience plays in helping to un- Social psychologists have used this dis-
derstand the meaning of emotions and the tinction between involuntary and volun-
physical sensations that accompany them. tary facial displays to study the issue of
Recognizing the past context of emotional emotional universality. If involuntary facial
reactions is an important step toward un- expressions are (1) produced by the same
derstanding the social forces that shape and emotional state across individuals and (2)
define emotions. identified by many observers as meaning
the same thing, then we have reason to
believe they are universal expressions of
unIverSal eMotIonS and emotions (Ekman, Sorenson, & Friesen,
facIal eXPreSSIonS 1969). Furthermore, if these emotional ex-
pressions are consistent across all world
The classic perspectives discussed above cultures, then Darwin’s view of emotion is
point to one of the more persistent ques- supported.
tions in the study of emotions: Are some Paul Ekman has worked on this very
emotions genetically encoded in human bi- problem for almost 50 years, finding sup-
ology? If so, are emotions universal human port for the universality of particular emo-
experiences that are similar across cultural tional expressions. In his initial studies, Ek-
and geographic boundaries as well as over man showed photographs of varied facial
historical epochs? When we feel anger, for expressions to thousands of people across
example, are we feeling the same physio- a number of different cultures and asked
logical and psychological sensations people them to identify the related emotions. He
experienced hundreds and thousands of found six emotions that were widely agreed
years ago or experience in other parts of the upon across groups, even in a preliterate
world? Darwin’s work suggests that at least culture in New Guinea (Ekman & Friesen,
some (but not all, he believed) emotions are 1971, Ekman et al., 1969). These six funda-
universal—not just among humans but also mental emotions were happiness, sadness,
across some different species. surprise, fear, anger, and disgust (Ekman
As questions about the universality of & Friesen, 1975). More recently, contempt
emotions have developed over time, schol- has emerged as a seventh emotion that is
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182 EMoTIons
TABle 5.1 single-emotion Judgment Task: Percentage of Participants Within each culture Who chose
the Predicted emotion
nATIon hAPPIneSS SurPrISe SADneSS FeAr DISguST Anger
Estonia 90 94 86 91 71 67
Germany 93 87 83 86 61 71
Greece 93 91 80 74 77 77
Hong Kong 92 91 91 84 65 73
Italy 97 92 81 82 89 72
Japan 90 94 87 65 60 67
Scotland 98 88 86 86 79 84
Sumatra 69 78 91 70 70 70
Turkey 87 90 76 76 74 79
United States 95 92 92 84 86 81
Source: Adapted from P. Ekman and M. Friesen, “Single Judgment Emotion Task,” Journal of Personality and Social Psychology, 53,
712–717. Copyright © 1987 by the American Psychological Association. Adapted with permission.
universally recognized (Ekman & Friesen, research on universal emotion displays.

1986). Later research on people who were born
Ekman also explored the universality of blind further supports Ekman’s claim. Even
the expression of emotion. Most notably, though they never visually learned from
he asked members of the Fore, the primi- other people how to express emotions,
tive, preliterate culture he studied in New blind people still smile, laugh, and frown
Guinea, to act out their facial expression in much the same way as sighted people do
in different scenarios, such as, “Your child (Eibl-Eibesfeldt, 1979).
has died and you are sad,” or “You are an- In an effort to further this research, Ek-
gry and about to fight.” After returning to man and his colleagues (Ekman & Friesen,
the United States, Ekman asked college stu- 1978) developed the Facial Action Coding
dents to look at the photographs and film System (FACS), a methodology to classify
clips he had taken of the Fore acting out visible facial behavior. Each of the fun-
these scenarios. Despite vast cultural differ- damental emotions involves movement
ences across a number of dimensions, the among a particular configuration of facial
American students were able to accurately muscles. Ekman calls these action units
identify the expressed emotion in the pho- (AU) and argues that any facial movement,
tos. Critics argued, though, that this study even those unrelated to emotion, can be
still captured the universality of emotion described using the action units that pro-
recognition and not of emotional expres- duced it. For example, happiness involves
sion. To combat these claims, Ekman did the “cheek raiser” (AU 6) and “lip corner
another study where he videotaped Jap- puller” (AU 12). These configurations are
anese and American participants as they not only crucial for the expression of each
watched an emotional film (Ekman, 1972). emotion but also what we use to determine
He found that the expressions among the the emotions of others. The importance of
two groups throughout the viewing were these action units is, in part, why younger
not only similar but also the same expres- people have difficulty interpreting emo-
sions expected based on Ekman’s previous tion displays in the elderly (Hess, 2013). In
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EMoTIons 183
Specific combinations of these action units (AU) have been categorized as emotional expressions that
are fundamental across cultures (Ekman & Friesen, 1978). AU 6 (“cheek raiser”) and AU 12 (“lip corner
puller”) combine for an expression of happiness, while AU 1 + AU 4 + AU 15 are a universal expression of
sadness. © Paul Ekman Group, LLC
a recent research study, young people who al., 2006). Although this is useful across a
were shown neutral faces—expressions variety of domains, including in emotions
with no emotion—were more likely to rate research, the technological advances are
the faces as angry or sad not because of of particular interest to advertisers. When
stereotypes they had about older people’s computers are able to recognize the emo-
emotional states but because wrinkles cause tions that users are feeling based on facial
the mouth to drop or the forehead to crin- expressions, they can measure the efficacy
kle (Garrido et al., 2013). of particular media—whether it be a com-
Recent technological developments have mercial or movie trailer—or offer users ad-
made real-time coding of facial expressions vertising content based on those specific
by computer software possible (Bartlett et emotions (Bosker, 2013).
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184 EMoTIons
Criticisms and Limitations. Although Second, Ekman’s studies of emotional

most of the research about the facial ex- universality also examined a very limited
pressions of emotions seems to support the set of emotions. Six emotions (happiness,
notion that some emotions are universal sadness, anger, fear, disgust, and surprise)
across cultures, the research has its limita- appear repeatedly in emotion studies and a
tions as well. There are two main concerns seventh (contempt) is gaining in popularity
about the methods. The first concerns the (Ekman & Friesen, 1986). There is no reason
highly contrived circumstances of the ex- to believe that these are the core emotions.
periments and contends that the results Social psychologists using different meth-
are in some ways elicited from the partic- ods have clustered “basic” emotions into
ipants (Zajonc, 1998; Zajonc & McIntosh, five categories: love, joy, anger, sadness, and
1992). The second argues that the research fear (Shaver, Schwartz, Kirson, & O’Con-
in the area that asks participants to identify nor, 1987). Whereas Ekman’s approach fo-
the emotion expressed using a selection cuses on those emotions that have uniquely
of possible emotion labels is more like a identifiable facial expressions, Shaver uses a
matching or multiple-choice test, which is method by which subjects generate a list of
likely to end up with much higher degrees emotions in a free-form way.
of agreement than if the participants could There may be other universal emotions
give any emotional description they wish to missing from the list. For example, also us-
the facial expression. Subsequent research ing the emotional display approach, Kelt-
has tried to address these concerns and in ner and colleagues have demonstrated that
general has successfully supported Ekman’s there is a unique way of expressing embar-
findings (see Haidt & Keltner, 1999). rassment that is widely recognized by oth-
There are two important limitations to ers (Haidt & Keltner, 1999; Keltner, 1996).
Ekman’s approach: When we are embarrassed, we tend to avert
First, just because subjects who see a our gaze, move our heads down, and touch
certain facial expression associate it with a our faces. Future research may find that
particular emotion does not mean that the additional emotions, beyond the seven cur-
particular emotion is always expressed that rently identified, also have universal recog-
way or even expressed on the face at all. For nition.
instance, we might recognize a smiling face
as expressing happiness, but we do not smile
every time we are happy. A study of sports cultural dIfferenceS In baSIc
fans who were watching their favored team eMotIonS and eMotIonal dISPlay
win found that even during periods of in-
tense happiness, these individuals often did Not all emotion is universal. Because of the
not smile (Fernandez-Dols & Ruiz-Belda, importance of labels in emotion (Thoits,
1995). Furthermore, some people are very 1989), cultural expression and language
good at faking their emotional displays and influence the experience of emotion. For
can smile very convincingly, even when they example, Shaver, Wu, and Schwartz (1992)
are angry or sad. Remember the story of discerned a unique category called “sad
Robert, who convinced his coworkers and love” in Chinese culture that combined no-
students that he was in a very good mood. tions about unrequited love and nostalgia.
We will explore the selective display of emo- The German culture has a word for vicari-
tion in more detail later in this chapter. ous embarrassment (being embarrassed for
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EMoTIons 185
someone else): fremdschämen. Although in one of several ways. They may require
Americans may understand these emotions (1) greater intensity in the expression of an
and have similar feelings from time to time, emotion, (2) less intensity in the expression
they cannot label emotions as such because of an emotion, (3) complete neutralization
they lack the language or label to do so. Cul- of the emotional expression, or (4) masking
tural forces can influence emotion in other one emotion with a different one.
ways. For example, emotions may not be Cultures can vary more generally in their
distinct from each other in some cultures as demands about emotional display in addi-
they are in ours. In China, joy and love are tion to providing guidance for displays in
not differentiable from each other as they specific kinds of situations (Ekman & Frei-
are in the United States. sen, 1969). For example, some cultures have
Even if some basic emotions are invari- a much more disapproving stance toward
ant across cultures, meaning that they lead anger in general. In other cultures, anger
us all to use certain combinations of facial and the expression of it is seen as a normal
muscles in a particular way, there are strong part of healthy social interaction. When an-
cultural influences that can suppress, exagger is viewed more negatively, as in Eskimo
gerate, or change the display of these emo- culture (see Briggs, 1970), whatever nat-
tions. As we interact in daily life, certain ural expression of anger may exist can be
situations call for the display of a particular moderated in such a way that people from
emotion or demand that we do not show other cultural groups, who are accustomed
others. In most situations, attending a fu- to a more open and obvious expression of
neral requires the expression of sadness and anger, might not even recognize that there
suppression of any levity or laughter. Typi- is a problem.
cally, a reunion with a cherished brother or One of the most important cultural dif-
sister you haven’t seen in 10 years requires ferences that affects the expression of emo-
the expression of excitement and joy. But if tions is how collectivist or individualistic
this reunion occurs at a funeral, it is usu- the culture is (Matsumoto, 1990). Individ-
ally required that the excitement and joy be ualistic cultures, like in the United States,
suppressed. However, the requirement for are usually more focused on the individual
solemn sadness at a funeral is not a cultural person as a key social unit. Individuals have
universal, and we must learn the norms of their own goals, accomplishments, and be-
our culture in order to produce the proper haviors that stand apart from group mem-
emotional displays in each social situation. bership. Collectivist cultures are more fo-
cused on groups as the sources of identity.
Emotional Display For example, individuals are seen in terms
of their membership in their family and are
One set of cultural norms about emotional much more affected by the interconnected
expression deals with how we must mod- behaviors, accomplishments, and failures of
ify our facial expressions to make them fit others in their groups. They are less inde-
social situations. These norms are called pendent and more interdependent in their
display rules (Ekman, 1972). Display rules social relationships and identities.
are typically learned in childhood and How does collectivism or individualism
sometimes become habits that automati- affect the expression of emotion? Most of-
cally control facial muscles. Display rules ten, the studies compare American partici-
may modify facial expressions of emotion pants, who are usually highly individualistic,
9780813349503.indb 185 5/16/14 1:50 PM

186 EMoTIons
and Japanese participants, who are usually words themselves (Ishii, Reyes, & Kitayama,
highly collectivist. It is important to note, 2003). Thus, whereas collectivist cultures
however, that there are many cultural con- might work at reducing the expression and
texts that are more and less collectivist and interpretation of negative emotions, they
individualistic than these two, and that indi- are actually more sensitive to them than
viduals within each country vary a great deal those from individualistic cultures.
in terms of their orientation toward collec- Collectivist and individualist cultures
tivism and individualism. also differ in their approaches to happiness.
To understand some of these differences, What might those in individualist cultures
remember that collectivistic cultures are be most likely to express happiness about?
more concerned about disrupting social in- The answer, of course, is individual achieve-
teraction. When social relations, as opposed ments and attributes. If the individual is
to individual states, are at the center of good at something or has a characteristic
identity and interaction, ensuring smooth, that causes a positive reaction, then that
trouble-free exchange with others becomes individual has reason to be happy and to
more important. To avoid negative dis- express it. Members of collectivist cultures
ruptions in social interaction, members of express happiness in situations that em-
collectivist cultures such as Japan are more phasize their connectedness with others in
likely to suppress emotional expression and their identity groups. When they feel close
also to downplay the intensity of emotional to and consonant with other people, this is
reaction they observe in others’ faces (Mat- the primary reason to experience and dis-
sumoto, 1987; Matsumoto & Ekman, 1989). play happiness. This difference was demon-
Thus, collectivistic cultures have not only strated by Mequita and Karasawa (2002)
more subdued display rules but also decod- in what is called a diary study. During the
ing norms that reduce the interpretation of course of one week, American and Japa-
emotional intensity. nese students recorded information about
This does not mean, however, that col- their emotions every three hours. Japanese
lectivist cultures are less sensitive to emo-
tional expression. In fact, experimental
research comparing Japanese and Ameri-
cans showed that the Japanese were more
sensitive to indirect emotional cues. In
this study, the experimenters listened to
words that were pleasant or unpleasant in
meaning and were read in either a pleasant
or unpleasant manner. Thus, the research
subjects were presented with a curious
mix of words with unpleasant meaning but
were conveyed using positive vocal cues. Cultural norms strongly influence the expression
Likewise, they were also presented with of emotions. The expression of bereavement,
pleasant words conveyed using negative for example, varies widely, ranging from solitary
reflection to group wailing practices. Here,
emotional cues. The results demonstrated
the tight-knit community of Hasidic Jews in
that the Japanese participants were much Williamsburg, Brooklyn, come together in public
more attentive to the vocal cues, whereas to mourn the loss of a young couple killed in a
the Americans were more attentive to the car accident. © AP Photo/John Minchillo
9780813349503.indb 186 5/16/14 1:50 PM

EMoTIons 187
students, reflecting their collectivist orien- But how might collectivist and individ-
tation, reported pleasant feelings mainly ualist cultures differently approach anger?
when they experienced positive interdepen- Your first guess might be that collectivist
dent engagement with others. The Ameri- cultures try to avoid the expression of an-
can students reported positive feeling with ger. Given that it has such potential to upset
respect to both interdependent events and and damage social interactions with others,
independent events (such as having control we should expect that collectivists would
or mastery). work very hard to avoid experiencing and
Another important emotional experi- acting on anger. Briggs’s (1970) study of an
ence that differentiates collectivist and in- Eskimo culture provides dramatic support
dividualist cultures is shame. We will dis- for this thesis. Briggs determined that she
cuss shame in more detail at the end of this was studying a highly interdependent, col-
chapter, but shame plays a substantially lectivist culture. The group she studied de-
different role—in fact, a much more central pended heavily on the relationships among
role—in some cultures. Collectivist cultures those in the group for survival. They were
emphasize the relationship of the individual very isolated and often faced difficult con-
to other people. Therefore, shame results ditions. Combined, these factors led them
from the negative evaluation that others to emphasize group harmony very heavily,
have of the individual. The interpersonal and anger was seen as a major threat to
sanctions that result are most important in the stability and existence of the group. In
the collectivist cultures. In contrast, indi- Western, individualist cultures, however,
vidualistic cultures tend to focus more on anger is often encouraged because it is as-
guilt—failing to meet one’s own standards, sociated with assertiveness and individual
which is internally evaluated. Two studies rights (Averill, 1980; Braesicke et al., 2005).
suggest the relative importance of shame Anger is seen as a means to let others know
in different cultures. In one study, the re- how we feel, as a tool to rectify an unjust sit-
searchers found that 95 percent of Chinese uation, and a way to blow off steam before
mothers reported that their children un- the pressure builds to a catastrophic climax.
derstood the concept of shame by the age A final emotion to consider in the con-
of three (Shaver, Wu, & Schwartz, 1992). text of collectivist and independent cultural
In another study, none of a group of Dutch contexts is grief. As we look across cultures,
seven-year-olds knew what shame was we can witness an incredible range in the
(Wellman, Phillips, & Rodriguez, 2000). expression of grief and mourning. In almost
Anger is a very important emotion beall cultures, mourning a death involves sad-
cause it is so volatile. When people are ness and tears. Given the wide variety of fu-
angry, they can be extremely forceful, lose neral and bereavement practices, it can be
control, and even become highly destruc- difficult to draw clear distinctions among
tive. When people express anger, they can the practices of collectivist and individual-
make others angry—especially the targets istic cultures. However, some of the most
of their anger. The expression of anger can dramatic cultural mourning acts are asso-
lead to retribution and may set off a spiral ciated with social groups in which there are
of escalating anger and destruction. There- strong interdependent relationships. These
fore, anger is an emotion we must find practices can range from elaborate wail-
ways to manage, control, and appropriately ing episodes to the suicide of a widow or
direct. widower. Individualist societies view these
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188 EMoTIons
Box 5.1 research update: Social Status and Anger
For many years, social psychologists who stud- either very high or quite low on occupational sta-
ied emotions posited contradictory expectations tus) are more likely to experience anger than are
about the relationship between social status those who are in the middle. In fact, individuals
(based on dimensions like class, education, or at the top and bottom of the status ladder ex-
occupation) and the experience of anger. Some perience anger, on average, 36 more days a year
argued that status and anger were inversely re- than those in the middle. However, these two
lated, with those of higher status less likely to status groups differ on the type of anger they ex-
experience or express anger than those of lower perience and the likely cause of it. Lower-status
status. In other words, the higher one’s status, the individuals are more likely to experience anger
more positive one’s emotion. Social psychologists that is trans-situational. It endures across social
believed this was the case for a number of rea- situations and is due to chronic stressors in the
sons. Higher-status individuals were less likely to day-to-day experience of those at the bottom
face obstacles than were lower-status individuals of the status ladder. In other words, the anger
(Kemper, 1978), they were viewed more positively is continuous and often directed at impersonal
and were therefore more influential in interactions targets like objects or circumstances rather than
(Lucas & Lovaglia, 1998), and they were also more other people. Without a tangible object toward
likely to have been socialized by their parents and which to direct their anger, this anger is difficult
others to suppress negative emotion (Hochschild, to discharge and tends to endure. High-status
1983). Others suggested that anger and status people, however, experience encounter-based
were positively related and that higher-status anger. They get angry with specific others, most
people experienced anger more and not less. Be- often people of lower status than themselves
cause anger is an emotion that signals mastery who fail to afford them the status they feel they
and dominance, it is seen as legitimate for high- deserve. They are more likely to get angry at rel-
er-status people to employ it in interaction, and atively unfamiliar others in specific situations.
therefore, they likely use it more frequently than Because they are able to focus and direct their
those of lower status. Higher-status people are anger in a specific situation, high-status people
also more inclined to blame others if they are un- are more likely to have the anger dissipate more
able to get their way, contributing to increases in quickly than are lower-status individuals.
both the experience and expression of anger. In sum, although rates of anger may be the
These two accounts were considered in par- same for those of high and low status, social psy-
allel by two researchers who combined them in chological research suggests that the causes and
the same analysis (Collett & Lizardo, 2010). The the consequences of this emotion can be quite
results show that these findings are not compet- different.
ing but rather are complementary. Individuals at
both ends of the status hierarchy (those who are Source: Collett & Lizardo, 2010.
kinds of practices as extremely strange and Looking across cultures and observing
instead carry a belief that although mourn- the different ways emotions are expressed,
ing and grief after a death is normal, there we see a complicated picture of basic emo-
are limits. Mourners who cannot get over a tions. For the most part, social psycholo-
death are considered unstable and may end gists agree that some emotions are universal
up being isolated until they can recover. and that they are physiologically connected
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EMoTIons 189
to distinctive facial expressions, and yet the we think more closely about emotions, we
expression of even the most primary emo- find that they are often just plausible expla-
tions is heavily influenced by cultural norms nations for our physiological reactions, and
and can vary a great deal from place to place. how we interpret them depends very much
If people are to communicate emotions ef- on what is happening in our social world.
fectively in everyday interaction, they must To the degree that we are actively experi-
learn and use the display rules of their own encing, interpreting, and constructing our
culture. In addition, some emotions are far social world, we are also interpreting and
more conditioned on social processes than constructing our emotions.
others, and sociologists who study emotion
are much more focused on these kinds of Cognitive Labeling Theory
social-emotional processes than on the bi-
ological links. One theory that tries to understand the
social roots of emotions is cognitive label-
ing theory (Schachter, 1964). This theory
the SocIal PSychology proposes that emotional experience is the
of eMotIonS result of the following three-step sequence:
A social psychological approach to emo- 1. An event in the environment

tions moves beyond the notion that emo- produces a physiological reaction.
tions are simply natural reactions to things 2. We notice the physiological reaction
that happen in the world around us. The and search for an appropriate
above discussions demonstrate that al- explanation.
though some aspects of emotion may be bi- 3. By examining situational cues (“What
ologically hardwired, others are influenced was happening when I reacted?”), we
by cultural norms and experiences. Social find an emotional label (disgust, grief,
psychologists also argue that much of our excitement, anxiety) for the reaction.
emotional experience is a matter of inter-
pretation. When we experience a physio- The theory further assumes that physical
logical reaction that is part of an emotion, arousal is a general state. In other words,
before we can decide which emotion is arousal does not substantially differ from
involved, we have to interpret the physical one emotional state to another. Because
sensation in its social context. one arousal state is not physiologically dis-
Consider the feeling of being slightly tinguishable from another, virtually any
nauseous and having sweaty palms. There emotion can be attached to the arousal
are many potential interpretations of these state. Which emotion becomes attributed
physical symptoms. Perhaps you are a first- to the arousal depends on the context.
year medical student feeling disgusted Many social psychologists have demon-
upon seeing your first cadaver. Maybe you strated that individuals’ understanding
are grief stricken at the unexpected death of physical arousal is indeed fairly easy to
of a cherished pet. Then again, perhaps manipulate. For example, in an early study
you are excited about an upcoming date of cognitive labeling theory (Schachter &
that you have been looking forward to. Or Singer, 1962), researchers gave students
perhaps you are nervously heading into an an injection of epinephrine, a drug that
exam you did not study enough for. When produces mild physiological arousal. The
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190 EMoTIons
experimenters told one group of partici- Research suggests that the emotional la-
pants that this injection would probably bel sometimes even precedes the awareness
cause them to experience a pounding heart, of arousal (H. Leventhal, 1984; Pennebaker,
flushed face, and trembling. They told a sec- 1980). Our social context suggests that we
ond group nothing about the drug’s effects. should be experiencing a particular emo-
All students then waited with a confederate tion, and only then do we search our bodily
who, though appearing to be another par- sensations for signs that will verify our be-
ticipant, was actually employed by the relief. If environmental cues give us reason
searchers. Depending on the experimental to believe we are angry, we attend to our
treatment, the confederate behaved either flushed face and racing heart and verify our
euphorically (for example, shooting crum- anger. If the cues suggest we are happy, we
pled paper at a waste basket, flying paper air- attend to our feelings of alertness and trem-
planes, playing with a hula hoop) or angrily bling and confirm our happiness. At any
(for example, reacting with hostility to items given time, our physiological state may af-
on a questionnaire and finally tearing it up). ford evidence to support several emotional
According to the theory, students in the labels. Once the emotional label is applied,
informed group would not need to seek an it can induce further physiological arousal
explanation for their arousal because they that provides additional confirmation of the
knew their symptoms were drug induced. emotional label we have applied. Put an-
Students in the uninformed group, how- other way, our expectations can help gener-
ever, lacked an adequate explanation for ate that affective response.
their symptoms and thus would need to As the study of emotions has developed,
search the environment for cues to help researchers have come to better understand
them label their feelings. The results con- the centrality of the social situation in de-
firmed these predictions. Students in the fining emotions. As cognitive labeling the-
uninformed group adopted the label for ory posits and the empirical research on the
their arousal suggested by their environ- topic demonstrates, our immediate emo-
ment. That is, those who waited with the tional reactions are products of internal
euphoric confederate described themselves physical processes that must also be recog-
as happy, whereas those who waited with nized and interpreted in light of the pres-
the angry confederate described themselves ent social context. This is true of not only
as angry. The self-descriptions of the in- immediate emotional reactions that are tied
formed group, however, were largely unaf- to arousal but also complex, enduring feel-
fected by the confederate’s behavior. ings like love and jealousy. These emotional
Numerous later studies have expanded states last even after physical arousal has
these findings to additional emotions (Kel- passed (S. Gordon, 1990). Each is a pattern
ley & Michela, 1980). They show that people of sensations, emotions, actions, and cul-
who are unaware of the true cause of their tural beliefs that are appropriate to a social
physiological arousal can be induced to relationship. Sentiments such as grief, loy-
view themselves as anxious, guilty, amused, alty, envy, and patriotism develop around
or sexually excited by placing them in our attachments to family, friends, fellow
environments that suggest these emotions workers, and country.
(Dutton & Aron, 1974; Zillmann, 1978). As Sentiments reflect the nature of our so-
the theory predicts, environmental condi- cial relationships and the changes in them.
tions strongly influence people’s labeling of Grief and nostalgia reflect social losses.
their physiological arousal. Jealousy and envy reflect problems over
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EMoTIons 191
control of possessions. Anger and resent- gious group, Amy Wilkins (2008) found
ment reflect betrayal of commitments. We that members of the group claimed to be
label our feelings with the culturally ap- happier than non-Christians. Rather than
propriate sentiment to make sense of our see this emotion as a positive mental health
diverse emotional responses. For example, effect stemming from participation in the
a husband’s joy in his wife’s presence, his group, Wilkins saw it as originating in the
sorrow in her absence, his anger when she culture of the group. She found that mem-
is criticized, and his fear when threatened bers of “Unity” (the pseudonym Wilkins
with losing her make sense if he labels his gave the group) often talked about emo-
feeling “love.” Like simpler emotions, sen- tion, particularly happiness, and new mem-
timents are produced by cognitive labeling. bers were taught to think of themselves as
In choosing a sentiment label, however, we happy and learned how to actively produce
consider all the information we have about that emotional response. Group members
our enduring relationships, not just the im- linked emotion to religiosity. They taught
mediate social context. recruits that an important part of signaling
a connection with God and differentiating
The Importance of Others in Emotional themselves from nonmembers was experi-
Experiences. At times, it is people in our encing elation. This prompted new mem-
social circles who define our emotions for bers to both interpret their physiological
us. Like us, they consider physiological re- responses as signs of happiness and to work
actions, social contexts, and our behavior to to elicit positive feelings so they could feel a
determine how we might be feeling and then sense of belongingness and, thus, separate
communicate this to us. On the first day of themselves from non-Christians.
kindergarten, a young child might describe
to her father that she feels strange. When Context in Interpreting the Emotions of
he asks her what she means by strange, she Others. Just as individuals use context to de-
would try to describe her physical symp- termine their own emotional states, they use
toms or emotions but may not have ac- context to determine how others are feeling.
quired the cognitive or linguistic skills to In fact, context is routinely encoded in the
say “lightheaded” or “anxious” or even to perception of emotion (Barrett & Kensigner,
interpret the physiological arousal as an 2010). Social psychologists conducted an ex-
indicator of an emotional state. If she de- periment where they asked participants to
scribes the feeling as a bee buzzing through determine either the specific emotion or the
her body, from up in her head to down in affective significance (positive, negative, or
her stomach, her father would likely explain neutral) of a facial expression that was cou-
to her that she is feeling excited or nervous pled with a context. Participants who were
and that such an emotion is completely asked to label an emotional expression were
normal in a new situation. From then on- much more likely to remember the context
ward, the young girl would understand that (a scene like a desert or a coffee shop) than
the buzzing response should be interpreted those who were only asked to determine the
as a sign of nervousness or excitement and affective significance of an expression. In
that those types of emotions are expected other words, the facial expressions them-
when she tries something new. selves provided all the information that the
This emotional socialization occurs participants needed to determine general af-
throughout our lives. In a study of a uni- fect. However, to determine emotion, partic-
versity-based evangelical Christian reli- ipants relied on context clues and, therefore,
9780813349503.indb 191 5/16/14 1:50 PM

192 EMoTIons
were more likely to remember them when patient for the first time might suppress her
prompted by experimenters. disgust, embarrassment, or arousal so as to
appear professional in front of the patient
Emotion Work and her adviser (Smith & Kleinman, 1989).
Emotion work occurs because we are sub-
There are times when individuals want to ject to feeling rules—rules that dictate what
either experience or express emotions that people with our role identities ought to feel
they might not currently be feeling, partic- in a given situation. If we are receiving a gift,
ularly if they want to elicit emotions that the feeling rule is that we should feel grate-
are more consistent with the social context. ful. If we are at a party, we should be having
When a person enters into a social situ- fun. Social psychologists have attempted to
ation, he or she can make some decisions identify feeling rules by presenting scenar-
about what kind of emotions to display. ios to subjects and asking about appropriate
Have you ever tried to psych yourself up or expected emotions. Many times, there
for a performance, sporting event, or ex- was a high degree of agreement about which
amination? Have you ever forced yourself emotions should be present in certain so-
to have a good time at a party even though cial situations—evidence that there indeed
you were tired? Maybe you have tried to feel are emotional expectation or feeling rules
grateful for a gift that you really didn’t like (Heise & Calhan, 1995). If our feelings are
or displayed a stiff upper lip despite severe not in line with the current feeling rules and
disappointment. These are all instances of we were to unintentionally express our true
emotion work—attempts to change the in- feelings, we would be violating the norms of
tensity or quality of feelings to bring them the situation. Therefore, we try to not only
into line with the requirements of the occa- express the right feeling but also feel the
sion (Hochschild, 1983). right feelings. Efforts to change the experi-
We manage emotions in two ways: ence of emotion stem, in part, from a desire
through evocation and suppression. In to be consistent. It causes dissonance to feel
some situations, it is advantageous to evoke sad while smiling on the outside.
an emotion that is currently absent or at To examine this phenomenon of actually
least beyond what one is really feeling. A working to alter the experience of emotion,
mother who is tired after a long day in the Arlie Hochschild conducted a very interest-
office might put on her happy face when ing study of flight attendants (1983). Gener-
she picks her twins up from daycare. Al- ally speaking, airline flight attendants are ex-
though the mother might be glad to see her pected to feel calm and cheerful as they in-
children, she will work to smile wider and teract with passengers. But suppose a group
express more excitement and cheer than of flight attendants has been working for ten
she is actually feeling to appear involved hours, serving hundreds of people on three
and interested. This may be, in part, be- different flights. Fatigue and irritation may
cause she thinks that a good mother should be the main feelings they are experiencing.
be very happy to see her children and she If so, they must then work directly on their
wants to live up to that expectation for her- own emotions to evoke feelings of cheerful-
self, her children, and the daycare workers. ness and to suppress feelings of irritation.
At other times, emotion work (also called In fact, Hochschild showed that this kind of
emotion management) involves suppress- emotion work was a fundamental require-
ing an emotion that is seen as inappropri- ment of the job and that flight attendants
ate. A medical student who is examining a were trained to perform it (see Table 5.2).
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EMoTIons 193
TABle 5.2 emotion Work Tasks for Flight tendants who appear to be cheerful even if
Attendants they are actually fatigued and irritable tend
to actually feel more cheerful as they con-
eMoTIon Work CATegorY DeTAIleD DeSCrIPTIon
tinue the act. Recall our story about Rob the
Relax and smile Present a calm and cheerful kindergarten teacher at the beginning of
demeanor. “It’s incredible
the chapter. Although he didn’t feel like it
how much we have to smile,
but there it is. We know that,
at all, feeling rules demanded he act ener-
but we’re still doing it, and getic and cheerful in front of his class. The
you would too.” longer he did this, the more cheerful he ac-
Consider passengers as Protect and comfort tually became. This may occur because of
friends and family passengers as you would cognitive consistency effects (see Chapter
your own family. 6), in which we are motivated to bring our
do not engage in No matter how the attitudes in line with our behaviors. It can
ridicule passengers behave or also occur because when we act cheerfully,
what they demand, flight people in turn interact with us in the way
attendants may not ridicule
they would with a cheerful person. Their
them or their requests.
behavior reflects positively on us and can
Never appear alarmed No matter what the
enhance our mood.
or frightened situation, flight attendants
must suppress fear and
As individuals attempt to manage their
panic. “Even though I am emotions, they can engage in either sur-
an honest person, I have face acting or deep acting. Whereas surface
learned not to allow my face acting only changes the expression of emo-
to mirror my alarm or my tion (smiling and exchange pleasantries),
fright.”
deep acting transforms our emotional state
Sincerity Act from the heart. Manage (Larson & Yao, 2005). One method used
others’ emotions by
to evoke suitable emotions and suppress
remaining calm.
unsuitable ones is simply to adopt an ap-
do not blame Even if it is their own fault.
propriate physical posture. Slumping over
passengers for anything
in a chair is unlikely to evoke feelings of
Never display anger Training programs
cheerfulness, but standing up straight and
emphasize strategies for
reducing anger, including
walking briskly can. Other methods include
role-taking as passengers. breathing quickly or deeply or imagining a
situation that produces the required feel-
Source: Adapted from Hochschild (1983), The Managed Heart. ing. To recapture some energy and become
more upbeat, flight attendants may take a
What is most interesting about emotion deep breath to relax and reduce irritation,
work is that when individuals act in accor- imagining how good it will feel to be home
dance with feeling rules, they often begin tonight. Actively pursuing these strategies
to actually change their internal feelings to allows us to gain some control over our
bring them in line with the way they are act- feelings and to project images necessary for
ing. A job requirement for flight attendants a particular social situation.
is to display upbeat, positive, energetic per- Research suggests, however, that the
sonas. Research has found that these por- demands for emotion work—and occu-
trayals of emotions can change the actual pations that require emotional labor—are
emotions the person is feeling under the not evenly distributed. Those who have
surface of his or her performance. Flight at- higher status in a social situation have more
9780813349503.indb 193 5/16/14 1:50 PM

194 EMoTIons
freedom in expressing their emotions. A tal health evaluation found that Slater was
boss or a parent can easily express anger suffering from a clinical disorder and had a
or irritability in circumstances in which series of alcohol-abuse problems, perhaps
lower-level employees and children are contributing to this inability to regulate his
expected to follow the feeling rules more emotional reaction that day.
closely. In effect, a person’s status allows
different feeling rules. Emotion work can Social Emotions
also become a commodity, in that people
who are proficient at it can be rewarded. Although many emotions have both social
For example, employers can demand emo- and nonsocial components, there are cer-
tion work from their employees as a part tain emotions that simply cannot be under-
of their job requirements. When emotion stood or even defined without reference to
work is done for pay and the emotion is one the social world. These emotions are called
of the important goods a worker is produc- social emotions, and they are defined as
ing, it is called emotional labor. Such is the emotions that (1) involve an awareness of
case, in no uncertain terms, for flight atten- oneself in the social context, (2) emerge out
dants. Since Hochschild’s seminal research of interaction with at least one other actor,
on flight attendants and bill collectors, and (3) are often experienced in reference
many other social psychologists have exam- to some kind of societal standard (Barrett,
ined emotion management in workplaces 1995; Stets, 2003). For many social emo-
such as Disneyworld and Disneyland (Rey- tions, it is necessary to place oneself in the
ers & Matusitz, 2012; Van Maanen, 1991), role of others in order to experience the
medical schools and offices (Larson & Yao, emotion (Shott, 1979).
2005; Smith & Kleinman, 1989), and police To understand this rather complex defi-
departments (Schaible & Gecas, 2010). nition, think about the notion of empathy.
Emotion work is not always effective. To experience emotional empathy, you first
When we are unable to effectively manage have to be aware that you have some kind
our emotions and instead project an emo- of connection to a person who is experienc-
tion that is inappropriate (or too high or ing an emotion. For example, when we feel
low an intensity of an emotion), this is re- empathy for someone who is feeling pain,
ferred to as emotional deviance (Thoits, we are at least partially recognizing that we
1990). In 2010, a flight attendant engaged are involved and perhaps even responsible
in emotional deviance when he lost his for easing the person’s pain. (The notion
patience when a passenger ignored his in- that helping can reduce empathic suffer-
structions and, in doing so, accidentally ing is explored in greater detail in Chapter
struck the flight attendant with a piece of 10.) Second, there must be someone else in
luggage. Rather than make light of what the social environment who is experienc-
happened—or smile and brush off the inci- ing some kind of emotion in order for us
dent, as one might expect from a flight at- to experience empathy. By definition, then,
tendant—Steven Slater took to the plane’s empathy is social. Third, when one experi-
public address system and angrily cursed ences empathy, he or she is reminded of so-
out the flier. Although some emotional de- ciety’s standards. If the object of our empa-
viance is expected in social life, persistent thy is feeling pain, we may evaluate, based
or pronounced emotional deviance can on societal standards, our own obligation to
be seen as a sign of mental illness (Thoits, intervene to ease their pain. If their pain is
1985). Sure enough, a subsequent men- minimal and the risk of harm to ourselves
9780813349503.indb 194 5/16/14 1:50 PM

EMoTIons 195
from that we use to judge ourselves? They

come from others in our social groups or
environment. Guilt, therefore, involves a
self-reflexive judgment in which we see our-
selves through other people’s eyes. When
we feel guilt, we are engaged in an appraisal
of ourselves using standards that we may
have accepted but were constructed by oth-
ers. Guilt also implies action. Just like so
many social psychological processes, guilt
involves an uncomfortable feeling. Individ-
uals who feel guilt need to do something to
eliminate it so they can return to a more
pleasant psychological state. They attempt
to engage in some kind of reparative activ-
ity so they can be forgiven by someone who
has the power to release them from guilt
(Stets, 2003). Thus, not only is the negative
emotion itself inherently social, so is the
method of dealing with it.
Returning for a moment to our story
about Rob, the kindergarten teacher, sup-
pose in his frustration he had blown up at
Parents experience strong empathic responses to
his teacher’s aide for not getting the chil-
the emotional states of their children. They find it
easy both to recognize distress in their offspring dren settled for story time. After yelling at
and to put themselves in the place of their his aide, Rob may feel guilty for the unnec-
children. © iofoto/123rtf essary outburst, which made the aide feel
underappreciated; the aide may feel guilty
is great, we are not obligated to intervene for not following classroom procedures
and, therefore, may experience minimal properly; and if the children observed the
empathy. outburst, they might also feel guilty for not
In this section, we will examine the social getting into the story-time circle quickly
bases of five emotions to illustrate how im- enough. In each instance of guilt, there is
portant social interaction is in experiencing a social standard of behavior (for Rob, for
and defining some of our most important the aide, and for the children) that has been
social processes. There are many other so- violated. Each guilty party can reduce or
cial emotions, but here we focus on guilt, eliminate the guilt by, for example, apolo-
shame, jealousy, embarrassment, and love. gizing to the offended party and receiving
forgiveness.
Guilt. We feel guilt when we judge that we Guilt has a number of social functions,
have done something we should not have the first of which is socialization (Hoff-
done. Guilt is, therefore, inherently evalu- man, 2001). When a parent disapproves of
ative. We are not necessarily a bad person a child’s behavior, the result is a feeling of
if we have done something that causes us discomfort. If the parent can then induce
guilt, but we are certainly less good than the child to realize that the source of the
we could be. Where do the standards come discomfort is the child’s own behavior, then
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196 EMoTIons
the child will feel a sense of guilt. The child ily identifiable response that will relieve the
can then be taught to avoid the guilt by guilt. If, for example, you steal something
avoiding the behavior. Closely related, peo- and feel guilty, you can return what you
ple can use guilt as a method to get what stole or replace it. Shame, however, is not
they want from others. If they can induce so much about an incident or transgres-
others to feel guilty about doing or not do- sion as it is about how you evaluate yourself
ing something, they may be able to change as a person. When you feel shame, there
the target’s behavior (Stets, 2003). Panhan- is a deep sense of the self not as someone
dlers use various methods of making their who has just done something wrong but as
targets feel guilty for refusing to help them. someone who is a bad person (Thoits, 2011).
By pointing out the disparities between There is something wrong with your intrin-
the target and their own difficult circum- sic character, and it is not something that
stances, they can induce guilt and inspire can be easily rectified (Babcock & Sabini,
giving (Basil, Ridgway, & Basil, 2008). 1990). As a result, the response to shame is
Finally, although we often think guilt has not as simple as repairing the damage done
a negative impact on social relationships, to the social relationship. Most of the time
social psychologists have found that it ac- the more likely response to shame is to flee.
tually functions to support and strengthen Shamed individuals want to run away from
relationships. It does this in two ways. First, the situation, hide from everyone, or just
it distributes the negative consequences of a disappear completely (Barrett, 1995; Tang-
bad social interaction. If I do something that ney, 1995). Given that shame threatens the
hurts you, you are bearing all of the costs very core of an individual’s self-regard, it is
of the social exchange. But if I feel guilty a very intense emotional experience—much
about it, I also have to bear some costs—so more so than that of guilt.
guilt evens out the suffering to some degree Because shame is such an intense emo-
(Baumeister, Stillwell, & Heatherton, 1994). tion, people are all the more motivated to
Second, when we feel guilt and act to cor- try to escape it. One way of reducing shame
rect whatever problem caused the guilt, we is to escape the blame for the problems that
are sending a powerful message to those caused it. Those who have been shamed
who we harmed—we are telling them that sometimes try to accomplish this by blam-
we value the relationship and that we don’t ing others. The result can be a volatile
want our own poor behavior to damage it. “shame-anger cycle” (Scheff & Retzinger,
If Rob apologizes to his classroom aide, his 1991) that escalates tension and shame.
actions may actually endear him more to Imagine that one person, let’s call her Karla,
her than if he had never yelled at her in the insults her husband, Leo, telling him that he
first place. is a worthless human being, as evidenced by
his repeated failure to hold down a job. If
Shame. A counterpart to the emotion of Leo were to accept this appraisal, he would
guilt is shame. Although both emotions become ashamed. Escaping shame is a pow-
share certain characteristics—a person feel- erful motivator, so Leo responds by getting
ing either of these emotions has committed angry and insulting Karla with a retaliatory
some kind of offense against another— slur that implies she is the reason he has lost
shame is a much deeper and longer-last- his job. He claims that he had to leave work
ing state than guilt. When we feel guilty, it early many times to deal with their son be-
is typically tied to a single incident that is cause she was an incompetent mother. Each
easy to identify and oftentimes has an eas- partner now feels shame and sees the other
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EMoTIons 197
person as the source of the problem. Shame ically think of jealousy as being a destruc-
leads to more anger through a retaliatory tive force—a green-eyed monster—that we
cycle. Oftentimes this is exactly the kind must struggle to control. But if jealousy is
of interaction pattern that leads to spousal really born of social forces and is not com-
assault. pletely natural, it must have some useful
purpose. One function may be to draw one-
Jealousy. Jealousy is also an inherently so- self back into a social interaction. When we
cial emotion. Jealousy is a negative emo- express jealousy, we are signaling to others
tional reaction we feel when something in the environment that we have been left
good happens to someone else (Ben Ze’ev, out, that we want to be included, and that
2000). Because an individual cannot, by they are in some way responsible for help-
definition, experience jealousy without the ing to reintegrate us into the social relation-
participation of someone else, the emo- ship. A child who expresses jealousy when
tional state is dependent on the social con- his mother is attending to some other child
text. One situation that often produces is sending the message that he wants to in-
jealousy is when a relationship moves from teract with her. If she responds, as parents
a dyad (group of two) to a triad (group of often do, by increasing her interaction with
three), causing a person to lose a significant him, picking him up, or drawing him into
relationship with someone they were close activities with the other child, then the ex-
to. The third person, who threatens an in- pression of jealousy has been rewarded and,
dividual’s relationship with the second per- thereby, reinforced.
son, is the object of the jealousy of the first Jealousy can also signal to others in the
person. A good example of this dynamic environment that the jealous person has
is the change that a couple experiences some kind of claim on the object in ques-
with the birth or adoption of a child. The tion (be it a person or a physical item). If,
mother may sense that the father loves the for example, a young girl expresses jeal-
baby more than he loves her, and she may ousy that her brother is getting to play with
feel somehow displaced and, therefore, jeal- a favored toy, it would indicate that she is
ous of the baby. Later on, if the child grows making a claim on the toy: She has a right
close to the mother, the father may feel en- to play with it, she deserves more time with
vious of the bond the two of them share and the toy and he deserves less, and she wants
become jealous of the mother. Research on to exercise that claim by playing with the
siblings shows that toddlers direct jealousy toy. Thus, jealousy and envy help to es-
toward one another when a mother shifts tablish turf boundaries around objects and
her attention from playing with one child to around people.
the other (Draghi-Lorenz, Reddy, & Costall,
2001). This kind of dynamic can be observed Embarrassment. Another social emotion
in virtually any kind of paired relationship. is embarrassment—an uncomfortable feel-
Breakups of a romantically involved couple ing of mortification or exposure. We be-
are another example. If the girlfriend, for come embarrassed when we fail to live up
example, leaves the relationship and starts to an image or identity that we are trying to
dating a new partner, the boyfriend who is claim to an audience. For example, a math
left behind may feel jealous of the new boy- professor will likely experience embarrass-
friend. ment when he makes a simple calculation
If social emotions exist for a reason, what error on the board in front of his class. The
could be the functions of jealousy? We typ- embarrassment he feels is inherently social
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198 EMoTIons
Box 5.2 Test Yourself: What’s Your emotional IQ?
Think you’re smart? Think you’re street smart? B. Become vigilant for an emergency, carefully
Maybe you are, but will those smarts help nego- monitoring the stewardesses and reading the
tiate all social situations? Maybe not, say social emergency instructions card.
psychologists who study emotional intelli- C. A little of both a and b.
gence. A best-selling book called Emotional Intel- d. Not sure—never noticed.
ligence: Why It Can Matter More Than IQ (Goleman, 2. You are in a meeting when a colleague takes
1996, 2006), claims that an individual’s ability to credit for work you have done. What do you do?
understand the emotional content in social in-
A. Immediately and publicly confront the colleague
teractions constitutes a unique dimension of in- over the ownership of your work.
telligence that is substantially different from the B. After the meeting, take the colleague aside and
different kinds of intelligences measured by IQ tell her you would appreciate in the future that
that had traditionally been the focus of the psy- she credits you when speaking about your work.
chological literature on intelligence. C. Nothing—it’s not a good idea to embarrass col-
According to psychologists, emotional intelli- leagues in public.
gence consists of four capacities: d. After the colleague speaks, publicly thank her for
referencing your work and give the group more
1. Being able to accurately perceive emotions
specific detail about what you were trying to ac-
(one’s own and others) complish.
2. Being able to use emotional information in
rational thinking 3. You are a customer service representative and
3. Being able to understand the meaning of have just gotten an extremely angry client on
emotions the phone. What do you do?
4. Being able to manage emotions (both A. Hang up. It doesn’t pay to take abuse from any-
one’s own and those of others) one.
B. Listen to the client and rephrase what you gather
These four capacities have been tied to success he is feeling.
and failure in a number of social environments, C. Explain to the client that he is being unfair, that
including family and marital relationships, man- you are only trying to do your job, and you would
aging employees and coworkers, intergroup rela- appreciate it if he wouldn’t get in the way of this.
tions, and even personal health (Goleman, 2006). d. Tell the client you understand how frustrating
A number of measures have been developed this must be for him, and offer a specific thing
to assess emotional intelligence (see Brackett & you can do to help him get his problem resolved.
Mayer, 2003; Lopes, Salovey, Cote, & Beers, 2005).
4. You are a college student who had hoped to get
One, developed by the Hay Group, is called the
an A in a course that was important for your
Emotional Competence Inventory (ECI). As with
future career aspirations. You just found out
most other measures, the ECI is too long to be
you got a C on the midterm. What do you do?
reproduced here, but some sample items give a
A. Sketch out a specific plan for ways to improve
preliminary sense of how emotional intelligence
your grade and resolve to follow through.
is typically measured.
B. decide you do not have what it takes to make it
1. You are on an airplane that suddenly hits in that career.
extremely bad turbulence and begins rocking C. Tell yourself it really doesn’t matter how much
from side to side. What do you do? you do in the course; concentrate instead on
A. Continue to read your book or magazine or other classes where your grades are higher.
watch the movie, trying to pay little attention to d. Go see the professor and try to talk her into giv-
the turbulence. ing you a better grade.
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EMoTIons 199
5. You are a manager in an organization that is C. Say you are sorry, and ask your partner to apol-
trying to encourage respect for racial and eth- ogize too.
nic diversity. You overhear someone telling a d. Stop for a moment, collect your thoughts, then
racist joke. What do you do? restate your side of the case as precisely as pos-
sible.
A. Ignore it—the best way to deal with these things
is not to react. 9. You have been given the task of managing a
B. Call the person into your office and explain that team that has been unable to come up with a
their behavior is inappropriate and is grounds for creative solution to a work problem. What is
disciplinary action if repeated.
the first thing you do?
C. Speak up on the spot, saying that such jokes are
A. draw up an agenda, call a meeting, and allot a
inappropriate and will not be tolerated in your
specific period of time to discuss each item.
organization.
B. Organize an off-site meeting aimed specifically
d. Suggest to the person telling the joke that he go
at encouraging the team to get to know each
through a diversity training program.
other better.
6. You are an insurance salesman calling on pro- C. Begin by asking each person individually for
spective clients. You have left the last 15 client ideas about how to solve the problem.
meetings empty-handed. What do you do? d. Start out with a brainstorming session, encour-
A. Call it a day and go home early to miss rush-hour aging each person to say whatever comes to
traffic. mind, no matter how wild.
B. Try something new in the next call, and keep 10. You have recently been assigned a young
plugging away. manager in your team and have noticed that
C. List your strengths and weaknesses to identify he appears to be unable to make the simplest
what may be undermining your ability to sell.
of decisions without seeking advice from you.
d. Sharpen up your résumé.
What do you do?
7. You are trying to calm down a colleague who A. Accept that he “does not have what it take to suc-
has worked herself into a fury because the ceed around here” and find others in your team
driver of another car has cut dangerously close to take on his tasks.
in front of her. What do you do? B. Get an HR manager to talk to him about where
he sees his future in the organization.
A. Tell her to forget about it—she’s okay now and
it is no big deal. C. Purposely give him lots of complex decisions to
make so he will become more confident in his
B. Put on one of her favorite tapes and try to dis-
role.
tract her.
d. Engineer an ongoing series of challenging but
C. Join her in criticizing the other driver.
manageable experiences for him, and make
d. Tell her about a time something like this hap-
yourself available to act as his mentor.
pened to you and how angry you felt until you
saw the other driver was on the way to the hos-
pital. Scoring: Question 1. Either A, B, or C-10 points; 2.
B-5, d-10; 3. B-5, d-10; 4. A-10, C-5; 5. B-5, C-10, d-5;
8. A discussion between you and your partner has 6. B-10, C-5; 7. C-5, d-10; 8. A-10; 9. B-10, d-5; 10.
escalated into a shouting match. You are both B-5, d-10. Higher scores suggest greater emotional
upset and, in the heat of the argument, start intelligence.
making personal attacks that neither of you
really mean. What would be the best thing to Source: Hay Acquisition Company 1, Inc. Copyright ©
do? 1999–2005, used with permission.
A. Agree to take a 20-minute break before continu-
ing the discussion.
B. Go silent, regardless of what your partner says.
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200 EMoTIons
because it stems from his imagination of the embarrassment experienced by the rap-
how he appears to his students who realize per who fell off and the vicarious embar-
his mistake. He worries that it threatens his rassment of the onlookers.
students’ impression of him (and his own Another indication of the social nature
identity) as a competent math professor. of embarrassment is the way it maps onto
Lacking the skills necessary for an identity social organization (Goffman, 1956). For
is only one source of embarrassment. As example, we are more likely to experience
covered in Chapter 4, embarrassment can embarrassment in groups rather than when
also come from a violation of privacy norms we are alone or with just one other person
or awkwardness or lack of poise. (Parrott & Smith, 1991; Tangney, Miller,
Embarrassment is also social because it Flicker, & Barlow, 1996). Embarrassment
is contagious; an additional source of em- is also more common when we are among
barrassment is the embarrassment of oth- unfamiliar others, whose favorable impres-
ers. In a study of empathic embarrassment, sions of us might seem more dependent
groups of women observed another woman on our performances in any one social sit-
perform either a very embarrassing or an uation. Family or close friends, however,
ambiguous task (Marcus, Wilson, & Miller, would have more information to draw
1996). Most observers reported feeling em- from and so are less likely to see any one
barrassed as they observed another perform instance of falling short of an identity claim
the embarrassing task. Some observers of as a threat to an identity. We are also more
the innocuous task also reported feeling likely to experience embarrassment in front
embarrassed, suggesting that people vary in of a diverse audience than in a more ho-
their readiness to perceive emotion in others mogenous one. For example, teenagers are
(empathy). Indeed, individuals vary a great much more likely to experience embarrass-
deal in their ability to read, understand, and ment among a mixed-gender group than if
respond to the emotional cues and behavior they are with their same gender peers (Liz-
of others. Those who are skilled in this pro- ardo & Collett, 2013).
cess are said to have high emotional intel-
ligence (see Box 5.2). High levels of empa- Love. Despite our immediate sense that
thy and emotional intelligence increase the love is a happy, positive emotion, it is im-
likelihood that we will experience vicarious portant to remember that it is not always
(or empathic) embarrassment. so. As discussed earlier, in the section on
Because of our ability to experience oth- culture and emotion, some Asian cultures
ers’ embarrassment, we work to help oth- actually identify a separate emotion that
ers save face in interaction. In a study of might be called “sad love,” which usually
street-corner ciphers (impromptu rap ses- involves some unrequited feelings of love.
sions), Lee (2009) found that if a performer Nevertheless, most people experience love
seemed at risk for messing up during a free- as a positive, mood-enhancing emotion.
style performance, others would engage in Love is covered in greater detail in Chap-
collateral face-saving. If a rapper “fell off ” ter 12 (Interpersonal Attraction and Rela-
and lost rhythm, someone else would “jump tionships), including different types of love
in” and begin rapping to keep the flow going that are experienced across a wide range of
in the cipher. Other onlookers would also intensity. It is a complex emotion or, more
use strategies to encourage the audience to appropriately, a set of related emotions.
turn their attention toward the person who Love is, however, an inherently social emo-
jumped in. Both these tactics help minimize tion. It is plain that love involves at least
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EMoTIons 201
two people—one who loves and one who is chological conditions that can last for hours
the object of the love. Growing up, we learn or even days.
that to love someone implies a willingness
to sacrifice something for the object of our Classical Ideas About the Origins and
affection (Nikolajeva, 2012). Expression of Emotion. Charles Darwin
The type of love involved and the experi- believed some emotions and their expres-
ence of it depends very heavily on the rela- sion were universal not only among human
tionship to the object of love and the reac- beings but also across species. These ideas
tion to any expression of love. Friends have were developed to support his theories of
different experiences of love than spouses, evolution. James and Lange developed a
teenage boyfriends and girlfriends have dif- physiological notion of emotion in which
ferent experiences of love than a couple who physical changes occurred first and then
has been married for 30 years. Even within a were cognitively processed and interpreted
single loving relationship, there can be sig- as demonstrated that facial expressions of
nificant asymmetry. A parent, for example, happiness, sadness, surprise, fear, anger,
shares love with a child, but the adult’s expe- and disgust are all readily recognized by al-
rience of love is considerably different from most all cultures, thereby suggesting they
the child’s. The differences in all of these ex- are universal, basic emotions. But there
periences of love are not derived from some are also significant differences in the expe-
kind of natural reaction but rather from the rience and expression of emotions across
different expectations associated with the cultures. Some exaggerate or suppress ba-
role of parent, child, boyfriend, girlfriend, sic emotions via complex display rules that
husband, wife, best friend, and so on. Par- may make emotions harder or easier to
ents have responsibilities for the growth, de- recognize. Collectivist cultures process and
velopment, and well-being of their children display emotion in ways that protect and re-
that indicates a caretaking element in their inforce social bonds. Individualist cultures
concept of parental love, an element their display emotions in ways that broadcast
children do not share. Other role demands individual states and draw attention to the
produce very different conceptions of love, individual as the key social unit.
not only in different types of relationships
but also across cultures. The Social Psychology of Emotions. Social
psychologists argue that much of our emo-
tional experience is a matter of interpreta-
SuMMary tion. Cognitive labeling theory describes
the three-step sequence through which we
Defining Emotions. Affect is a general la- experience a physiological reaction, search
bel that encompasses any kind of evalua- for an explanation for that reaction, and la-
tion of an object. Affect varies in direction, bel our emotion based on that explanation.
intensity, and activity. Emotions are short- Others can also help us label our emotions,
lived reactions to stimuli involving cogni- both teaching us how to interpret specific
tive reactions, physiological reactions, and cues and helping us do so in interaction.
expressive gesturing and is also a label we We use context to interpret both our own
associate with a cluster of the first three ele- emotions and the emotions of others. So-
ments. Today’s social psychologists use the cial environments also define feeling rules,
term “sentiment” to refer to longer-term which dictate which emotions are appropri-
emotional states. Moods are general psy- ate for particular roles in that social context.
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202 EMoTIons
Individuals often engage in emotion work, merely players.” By this point in the text, you
in which they attempt to suppress or evoke have ample evidence that this is a perspec-
particular emotions to bring their emotional tive in social psychology as well. For exam-
expression and experience in line with sit- ple, the last chapter (Chapter 4) introduced
uational expectations. Some occupations you to the importance of self-presentation
require workers, like flight attendants, to and impression management in everyday
market their emotions as a commodity. If life, and the current chapter extended this by
we fail to manage our emotions effectively discussing the role of emotion management
and express or experience an emotion that in social interactions. Although students
is inappropriate in any given situation, we seem to intuitively understand this material
are engaged in emotional deviance. and enjoy these topics, it is important that
they see beyond Shakespeare’s stage. It is
Social Emotions. Many emotions, like em- not simply that we are acting in social life;
pathy, cannot be defined or experienced these performances have enduring effects.
without reference to the social context in To consider this requires additional effort
which they exist. Guilt and shame require but provides great payoff.
the judgments of others. Jealousy requires As Thomas and Thomas (1928) wrote,
another person to compare oneself to. Em- if persons define situations as real, they are
barrassment requires an audience, and love real in their consequences. If you put on
requires an object of affection. a suit to present yourself as a respectable
young man when meeting your girlfriend’s
parents for the first time, they are likely to
List of Key Terms and Concepts accept that image and treat you as respect-
able. If you work to evoke tears at your god-
action units (p. 182) mother’s funeral despite your excitement
affect (p. 179) over your favorite team’s win earlier that
cognitive labeling theory (p. 189) day, others around you will likely accept
collectivist cultures (p. 185) that performance as reality and empathize
display rules (p. 185) with you further. In other words, your ex-
emotion work (p. 192) pression of emotion might influence their
emotional deviance (p. 194) own emotional experience.
emotional intelligence (p. 198) To push this further, these performances
emotional labor (p. 194) can ultimately affect you as well. If your
emotions (p. 179) girlfriend’s parents treat you as respectable,
feeling rules (p. 192) their treatment might influence your be-
individualist cultures (p. 185) havior and actually encourage you to live up
mood (p. 180) to their expectations. If others at the funeral
sentiment (p. 179) begin to express more sadness in response
social emotions (p. 194) to your own, you may experience more
“real” emotion.
Consider some of your recent perfor-
Critical Thinking Skill: mances. Given what you know about social
Effortful Consideration of Ideas psychology thus far—symbolic interaction,
socialization, the self, deep acting—can you
William Shakespeare famously said, “All the think of how they might have come to affect
world’s a stage, and all the men and women you and not just those around you?
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EMoTIons 203
A team of scientists (a doctor and a social any particular person. But neutralizing the
psychologist) conducted research on medi- body makes intimacy outside of work more
cal students and their self-presentation and difficult. One student reported that one
emotion management (Smith & Kleinman, night, while being intimate with his wife,
1989). They found that the tactics medical he realized he was giving her a breast exam,
students use to make it possible for them to searching for signs of cancer.
do their work came home with them, influ- Although it might be easy to assume
encing them long after the performance was that the performative nature of social life
over. For example, medical students have to discounts the importance of our socially
engage in intimate bodily contact with pa- constructed reality, the effortful consider-
tients. To limit embarrassment or arousal, ation of the effects of these performances
the medical students come to regard the provides a more nuanced view of social psy-
patient’s body as an intellectual puzzle or chological processes and social life.
to see body parts as disconnected from
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9780813349503.indb 204 5/16/14 1:50 PM
chaPter 6
SOCIAL PERCEPTION
ANd COGNITION
introduction 206 Bias and error in Attribution 233
Schemas 208 overattribution to Dispositions 233
types of Schemas 209 focus-of-attention Bias 234
Schematic Processing 210 actor-observer Difference 235

motivational Biases 237
Person Schemas and group
Stereotypes 214 attributions for Success and failure 238
Person Schemas 214 Summary 239

Group Stereotypes 216 List of Key Terms and Concepts 240
impression Formation 223 Critical Thinking Skill:
trait centrality 223 Understanding Stereotyping 241
first impressions 224
impressions as Self-fulfilling
Prophecies 225
heuristics 226
Attribution theory 227

Dispositional versus Situational
attributions 228
inferring Dispositions from acts 229
covariation model of attribution 231
205
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206 soCIal pErCEpTIon and CognITIon
IntroductIon A man voluntarily checking into a psy-

chiatric hospital may pose a confusing
It is 10 p.m., and the admitting physician problem for the hospital staff. Is he really
at the psychiatric hospital is interviewing “mentally ill” and in need of hospitaliza-
a respectable-looking man who has asked tion, or is he “healthy”? Is he no longer able
for treatment. “You see,” the patient says, “I to function in the outside world? Or is he
keep hearing voices.” After taking a full his- merely faking and trying to get a break from
tory, the physician diagnoses the man with his work or his family?
schizophrenia and assigns him to an inpa- To try to answer these questions, the
tient unit. The physician is well trained and admitting physician gathers information
makes the diagnosis with apparent ease. Yet about the person and classifies it as indicat-
to diagnose someone’s mental condition ing illness or health. Then the doctor com-
correctly is a difficult problem in social per- bines these facts to form a general diagnosis
ception. The differences between paranoia, (paranoia, schizophrenia, or depression)
schizophrenia, depression, and normality and determines what treatment the person
are not always easy to discern. needs. While performing these actions, the
A classic study conducted by Rosenhan doctor is engaging in social perception.
(1973) demonstrates this problem. Eight Broadly defined, social perception refers
pseudo-patients who were actually research to constructing an understanding of the
investigators gained entry into mental hos- social world from the data we get through
pitals by claiming to hear voices. During our senses. More narrowly defined, it refers
the intake interviews, the pseudo-patients to the processes by which we form impres-
gave true accounts of their backgrounds, sions of other people’s traits and personal-
life experiences, and present (quite ordi- ities.
nary) psychological condition. They fal- In making her diagnosis, the physician
sified only their names, occupations, and not only forms an impression about the
their complaint of hearing voices. Once in traits and characteristics of the new patient,
the psychiatric unit, the pseudo-patients but she also tries to understand the causes
immediately stopped simulating symptoms of that person’s behavior. She tries, for in-
of schizophrenia. They reported that the stance, to figure out whether the patient
voices had ceased and talked normally with acts as he does because of some internal dis-
other patients. The other patients began to positions or because of external pressures
suspect that the investigators were not re- from the environment. Social psychologists
ally mentally ill, but the staff continued to term this process attribution. In attribution,
believe they were. The nurses and orderlies we observe others’ behavior and then infer
made note of the pseudo-patients’ “strange” backward to causes—intentions, abilities,
behavior, including a tendency to line up traits, motives, and situational pressures—
very early for meals and to spend significant that explain why people act as they do.
amounts of time writing in their notebooks. Social perception and attribution are
Although such behavior would not be seen not passive activities. We do not simply
as odd for healthy researchers with little register the stimuli that impinge on our
else to do, the staff considered it evidence senses; rather, our expectations and cog-
of mental illness. Because of these enduring nitive structures influence what we notice
beliefs, upon discharge, the pseudo-patients and how we interpret it. This is closely tied
were still diagnosed with schizophrenia, al- to the dual-process model introduced in
though now it was “schizophrenia in remis- Chapter 1. The intake physician at the psy-
sion.” chiatric hospital, for example, does not ex-
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soCIal pErCEpTIon and CognITIon 207
pect to encounter researchers pretending to slower to act if Diallo had been White. Did
be mentally ill; instead, she expects to meet race help activate a dangerous image in the
people who are mentally ill. Thus, even be- police officers’ minds and encourage them
fore the interaction begins, the doctor has to respond aggressively? Thirteen years
categorized the patient as mentally ill. With later, the shooting of an unarmed Trayvon
that categorization firmly in place, the doc- Martin prompted similar questions. George
tor falls victim to confirmation bias, focus- Zimmerman, a neighborhood watch coor-
ing on information relevant to that condi- dinator, shot Martin, a 17-year-old African
tion and ignoring or downplaying informa- American, during a confrontation in Zim-
tion that is inconsistent with a diagnosis of merman’s gated community. Just moments
mental illness (Nickerson, 1998). In other before the shooting, Zimmerman called
words, her interpretation is influenced by the local police department because he was
her expectation that the patient is a real concerned about Martin’s behavior: “There
patient. Most of the time, the impressions is a really suspicious guy.…This guy looks
we form of others are sufficiently accurate like he’s up to no good. Or he’s on drugs or
to permit smooth interaction. After all, few something. It’s raining and he’s just walking
people who are admitted to psychiatric hos- around, looking about” (CNN, March 20,
pitals are researchers faking mental illness. 2012). The case received national attention
Yet social perception and attribution can be and left many asking whether it was racially
unreliable. Even highly trained observers motivated. Did an African American teen
can misperceive, misjudge, and reach the in a hoodie elicit different reactions from
wrong conclusions. what he would have if he been wearing
In February 1999, police officers in New something else? If Martin had been White,
York City were attempting to track down would Zimmerman have interpreted his
a serial rapist. Sketches of the rapist had actions—“walking through [the neighbor-
been circulated to the police, and so they hood], looking about”—as less threatening?
had some idea what the rapist looked like. Studies conducted in laboratory settings
Four White officers patrolling the Bronx confirm this type of dynamic. In one study,
encountered Amadou Diallo, a Black man, subjects were asked to act as police officers
and thought he resembled the sketches of and decide whether to shoot at suspected
the rapist. As Diallo was entering his apart- criminals. The suspected criminals were ei-
ment building, the police officers ordered ther holding a gun (in which case the offi-
him to stop. Diallo stopped and began to cer should shoot) or were holding a neutral
reach for his wallet to produce his identi- object such as a cell phone (in which case
fication. The police officers interpreted this the officer should not shoot). The results
action quite differently, however. Believ- showed that the subjects were more likely
ing he was reaching for a gun, the officers to mistakenly shoot a suspect holding a cell
opened fire. They fired a total of 41 shots, phone if the suspect was Black. Similarly,
and Diallo died immediately. Diallo was not they were also more likely to mistakenly
the rapist and had no criminal record—the hold back from shooting a suspect holding
officers’ snap judgments were wrong. a gun if the suspect was White (Plant, Pe-
The image of a Black man in a bad neigh- ruche, & Butz, 2005). Research replicated
borhood, reaching into his pocket as he was with actual police officers had similar re-
being stopped by the police, provided too sults (Plant & Peruche, 2005).
many dangerous cues that caused the officers This chapter focuses on these processes
to act immediately. Many have wondered of social perception and attribution and ad-
whether the police officers would have been dresses the following questions:
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1. How do we make sense of the flood of we know the woman should be categorized
information that surrounds us? How as a ballerina and not as an “actress” or a
do we categorize that information “cheerleader”? To categorize some person,
and use it in social situations? we usually compare that person to our pro-
totype of the category. A prototype is an
2. Why do we rely so much on notions abstraction that represents the “typical” or
about personality and group quintessential instance of a class or group—
stereotypes? What problem does this as least to us. It is the best example of the
practice solve, and what difficulties category. Perhaps your prototypical quar-
does it create? terback is Tom Brady. Others may have a
different prototype for the same category,
3. How do we form impressions of like Joe Montana or Peyton Manning. Al-
others? That is, how do we integrate though he was an outstanding quarterback,
the information into a coherent, few might think of Donovan McNabb as a
overall impression? prototypical quarterback, in part because
of his race. Although the number is grow-
4. How do we ascertain the causes of ing, there have been very few Black quar-
other people’s behavior and interpret terbacks in the history of the NFL. Usually,
the origins of actions we observe? For prototypes are specified in terms of a set
instance, when we judge someone’s of common attributes among members of
behavior, how do we know whether to a category. For example, the prototype of a
attribute the behavior to that person’s “quarterback” may be someone who is tall,
internal dispositions or to the external White, athletic, intelligent, and who has
situation affecting that person? had a successful career, perhaps even win-
ning a Super Bowl.
5. What sorts of errors do we Categorizing people, objects, situations,
commonly make in judging the events, and even the self becomes compli-
behavior of others, and why do we cated because the categories we use are not
make such errors? isolated from one another; rather, they link
together and form a structure. For instance,
we may think of a person (Jonathan) not only
ScheMaS as having various attributes (tall, wealthy)
but also as bearing certain relations to other
The human mind is a sophisticated system persons or entities (friend of Kareem, stron-
for processing information. One of our ger than Bill, owner of a Lexus). These other
most basic mental processes is categoriza- persons or entities will themselves have at-
tion—our tendency to perceive stimuli as tributes (Kareem: thin, athletic, Black; Bill:
members of groups or classes rather than short, fat, balding; Lexus: silver, two-door,
as isolated, unique entities. For instance, at new). They also have relations with still
the theater, we see a well-groomed woman other persons and entities (Kareem: co-
on stage wearing a short dress and dancing worker of Bill, husband of Lisa; Bill: friend of
on her toes; rather than viewing her as a Lisa, owner of a Prius). In this way, we build
novel entity, we immediately categorize her a cognitive structure consisting of persons,
as a “ballerina.” attributes, and relations.
How do we go about assigning people or Social psychologists use the term schema
things to categories? For instance, how do to denote a well-organized structure of cog-
9780813349503.indb 208 5/16/14 1:50 PM

nitions about some social entity such as a Person schemas organize our conceptions
person, group, role, or event. Schemas usu- of others’ personalities and enable us to
ally include information about an entity’s develop expectations about others’ behavior.
attributes and about its relations with other Self-schemas are structures that organize
entities. To illustrate, suppose Chandra, our conception of our own characteristics
who is somewhat cynical about politics, has (Catrambone & Markus, 1987; Markus,
a schema about the role of “member of Con- 1977). For instance, if you conceive of your-
gress.” In Chandra’s schema, the member self as independent (as opposed to depen-
of Congress will insist he or she serves the dent), you may see yourself as individualistic,
needs of his constituents but will actually unconventional, and assertive. To behave in
vote for the special interests of those who a manner consistent with your self-schema,
contributed most to his campaign, will run you may refuse to accept money from your
TV advertisements containing half-truths parents, refuse to ask others for help with
at election time, will spend more time in schoolwork, take a part-time job, or dye
Washington, DC, than in his home district, your hair an unusual color. Self-schemas are
will put avoiding scandal above ethics, will discussed in detail in Chapter 4.
vote for large pay raises and retirement ben- Group schemas—also called stereo-
efits for himself, and, above all, will never types—are schemas regarding the members
do anything to lessen his own power. of a particular social group or social cate-
Someone else, of course, may hold a less gory (Hamilton, 1981). Stereotypes indicate
cynical view of politics than Chandra and the attributes and behaviors considered
have a different schema about the role of typical of members of that group or social
“member of Congress.” But, like Chandra’s, category. These are rigid conceptions and
this schema will likely incorporate such ele- widely shared by members of a culture or
ments as the congressional representative’s community. American culture uses a wide
typical activities, relations, motives, and variety of stereotypes about different races
tactics. Whatever their exact content, sche- (Blacks, Asians), religious groups (Protes-
mas enable us to organize and remember tants, Catholics, Jews), and ethnic groups
facts, to make inferences that go beyond the (Arabs, Irish, Latinos, Italians).
facts immediately available, and to assess Role schemas indicate which attributes
new information (Fiske & Linville, 1980; and behaviors are typical of persons occu-
Wilcox & Williams, 1990). pying a particular role in a group. Chandra’s
conception of the role of a congressional
Types of Schemas representative illustrates a role schema.
Role schemas exist for most occupational
There are several distinct types of schemas, roles—nurses, cab drivers, store managers,
including person schemas, self-schemas, and the like—but they also exist for other
group schemas, role schemas, and event kinds of roles in groups: group leader, cap-
schemas (Eckes, 1995; Taylor & Crocker, tain of a sports team. Role schemas are often
1981). used to understand and predict the behav-
Person schemas are cognitive structures iors of people who occupy particular roles.
that describe the personalities of others. Event schemas (also called scripts) are
Person schemas can apply either to specific schemas regarding important, recurring
individuals (such as Barack Obama, Lady social events (Abelson, 1981; Hue & Erick-
Gaga, your father) or to types of individuals son, 1991; Schank & Abelson, 1977). In
(such as introvert, class clown, sociopath). our society, these events include weddings,
9780813349503.indb 209 5/16/14 1:50 PM

funerals, graduation ceremonies, job inter- reputations that may come from being seen
views, cocktail parties, and hook-ups. An as too promiscuous. Although people might
event schema specifies the activities that sometimes ask for details, when a friend
constitute the event, the predetermined or- tells us that they attended a cousin’s wed-
der or sequence for these activities, and the ding or hooked up with a co-ed this past
persons (or role occupants) participating in weekend, we usually fill in the gaps based
the event. Scripts can be revealed by asking on knowledge from our event schemas (and
people to describe what typically happens schemas for cousins and co-eds).
during an event.
One type of script of interest to both Schematic Processing
social psychologists and college students
alike is a hook-up script (Cohen & Wade, Why Do We Use Schemas? Although
2012). Hooking up—or engaging in a casual schemas may produce reasonably accurate
physical encounter—has replaced dating on judgments much of the time, they do not
many college campuses (Simon & Gagnon, always work. Wouldn’t it be better for us to
2003). As shown in Table 6.1, when asked to rely less on schemas, perhaps to avoid the
describe a “typical” hook-up, students tend kind of tragic mistake the police made with
to agree on a number of important charac- Amadou Diallo or to not jump to conclu-
teristics (Paul & Hayes, 2002): Hook-ups sions about a friend’s promiscuity (or chas-
tend to occur between strangers or acquain- tity)? Perhaps, but we come to rely on sche-
tances. Although someone may go out in- mas because they give us a way to efficiently
tending to hook-up, in most cases hooking organize, understand, and react to the com-
up with a particular person is not planned. plex world around us. It is simply impossi-
Men usually initiate the encounter, and the ble to process all the information present in
couples tend to meet one another at parties. each interaction. We have to find a way to
Alcohol or drugs are often involved, and focus on what is most important in defin-
hook-up partners seldom talk about what ing the situation and the persons involved
is happening (or what has happened, after so we can respond appropriately. Schemas
the hook-up ends). Although most hook- help us do this in several ways: (1) they in-
ups are one-time encounters, couples will fluence our capacity to recall information
occasionally engage in multiple hook-ups by making certain kinds of facts more sa-
with the same person (Bogle, 2007). How- lient and easier to remember, (2) they help
ever, unlike a couple who is dating exclu- us process information faster, (3) they guide
sively, a couple who is hooking-up—even our inferences and judgments about people
repeatedly—has no obligations toward one and objects, and (4) they allow us to reduce
another. The component of the hook-up ambiguity by providing a way to interpret
script in which there is the least agree- ambiguous elements in the situation. Once
ment among young people is what exactly we have applied a schema to the situation,
“hooking up” implies (Glenn & Marquardt, our decisions about how to interact in it be-
2001). Hooking up can range from kissing come much more straightforward (Mayer,
to intercourse. This ambiguity is one of the Rapp, & Williams, 1993).
reasons the term “hooking up” appeals to
young people, particularly women. Because Schematic Memory. Human memory is
it has a casual tone and could imply simply largely reconstructive. That is, we do not
kissing or heavy petting, using the term can usually remember all the precise details of
save women from potential damage to their what transpired in a given situation—we
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TABle 6.1 illustrative Descriptions of a Typical hook-up (quotes from student questionnaires)
FroM A 20-YeAr-olD WoMAn FroM A 21-YeAr-olD MAn
Who is involved? A guy and a girl who are somewhat Any two people who find each other
attracted to each other but are strangers. attractive or just there.
It can also be a guy and a girl who are
acquaintances and under the right
conditions hook-up.
What leads to the hook-up? The two may talk, flirt, dance together, Sometimes investigation is done. One of
Is planning involved? Who drink together, make glances at each the people may inquire about the other
instigates the hook-up? other. They are close to each other. person in hopes of initiating the hook-up.
Planning can be involved if one person Most often, however, the hook-up just
scopes out the other or plans certain kind of happens. The girl lets it be known
things to say. Usually the guy instigates (with eye contact or extremely friendly
the hook-up, but sometimes it is mutual behavior) that she wants it, and generally
instigation. the guy must then go and give it to her.
Where does it happen? In rooms, at clubs, at parties. It can Anywhere possible. Most often on a couch
happen in a stairwell. or in adjacent chairs. Maybe in a bed if
you’re lucky.
Is alcohol or other drugs Sometimes, actually often. From my Alcohol is almost always involved. This
involved? experiences, hook-ups always happen at helps the guy with his confidence to
parties…. Many situations involve alcohol initiate the hook-up.
and drugs because people lose inhibition
and wear beer goggles, increasing the
likelihood of hooking up.
What sexual behaviors take It depends. Some people just kiss. Condoms are sometimes used if
place? Are precautions taken Others go further into oral sex and intercourse takes place. But a lot of
to prevent transmission of sexual intercourse. Usually in oral sex, hook-ups go to oral sex, in which case no
sexually transmitted diseases precautions aren’t taken to prevent the preventative measures are used.
(STDs)? transmission of STds. Sometimes in sex,
condoms are used. In situations with
alcohol and drugs, condoms are often
forgotten.
What communication takes Usually not a lot. They mainly just hook up Sometimes partners may say, “I can’t
place between the hook-up or communicate with sexual noises. believe I’m doing this. I don’t even know
partners? Do they talk about you!” But this is generally only the females,
what is happening? and the males are just hoping this will not
put a premature end to the hook-up.
These representative highlights demonstrate the consistency among students’ event schemas for hook-ups and illustrate
the tremendous agreement (and some differences) between men and women.
Source: Adapted from Paul & Hayes, 2002.
are not a camera capturing a video, in- ganize information in memory and, there-
stantly recording all the images and sounds. fore, affect what we remember and what we
Instead, we typically remember some of forget (Hess & Slaughter, 1990; Sherman,
what happened, enough to identify the Judd, & Park, 1989). When trying to recall
appropriate schema and then rely on that something, people often remember better
schema to fill in other details. Schemas or- those facts that are consistent with their
9780813349503.indb 211 5/16/14 1:50 PM

schemas. For instance, one study (Cohen, other social entities (Fiske & Taylor, 1991).
1981) investigated the impact of an occu- That is, they supply missing facts when gaps
pational role schema on recall. Participants exist in our knowledge. If we know certain
viewed a video of a woman celebrating her facts about a person but are ignorant about
birthday by having dinner with her husband others, we fill in the gaps by inserting sup-
at home. Half the participants were told the positions consistent with our schema for
woman was a librarian; the other half were that person. For example, knowing your
told she was a waitress in a local diner. roommate is head of the campus PETA
Some characteristics of the woman were (People for the Ethical Treatment of Ani-
consistent with the schema of a librarian: mals) chapter, you can infer he will not want
She wore glasses, had spent the day reading, to spend time with your new friend who
liked classical music, and received a roman- enjoys hunting. Of course, the use of sche-
tic novel as a gift. Other characteristics of mas can lead to erroneous inferences. If the
the woman, however, were consistent with schema is incomplete or does not correctly
the schema of a waitress: She drank beer, mirror reality, some mistakes are likely. For
had a bowling ball in the room, ate choco- instance, the police officers who confronted
late birthday cake, flirted with her husband, Amadou Diallo applied a schema that was
and received a nightgown as a gift. Later, incorrect. Their schema for “a Black man
when participants tried to recall details of who puts his hand in his pocket as he is be-
the video, they recalled most accurately ing confronted by the police” includes the
those facts consistent with the woman’s oc- element that the suspect would be reaching
cupational label. That is, participants who for a gun in his pocket. From this, they in-
thought she was a librarian remembered ferred that he would try to shoot at them,
facts consistent with the librarian schema, and they reacted according to that errone-
whereas those who thought she was a wait- ous inference.
ress remembered facts consistent with the Schemas—especially well-developed sche-
diner-waitress schema. mas—can also help us infer new facts. For in-
What about memory for material incon- stance, if a physician diagnoses a patient as
sistent with schemas? Several studies have having the flu, he can make inferences about
tested the recall of three types of informa- how the patient contracted the disease,
tion: material consistent with schemas, ma- which symptoms might be present, what
terial contradictory to schemas, and material side effects or complications might arise, and
irrelevant to schemas. The results show that what treatment will be effective. For another
people recall both schema-consistent and person who has no schema regarding this
schema-contradictory material better than disease, these inferences would be virtually
schema-irrelevant material (Cano, Hopkins, impossible.
& Islam, 1991; Higgins & Bargh, 1987). Peo-
ple recall schema-contradictory material Schematic Judgment. Schemas can in-
better when the schema itself is concrete fluence our judgments or feelings about
(for example, spends money wisely, often persons and other entities. The schemas
tells lies, brags about her accomplishments) themselves may be organized in terms of
rather than abstract (for example, practical, evaluative dimensions; this is especially true
dishonest, egotistical). of person schemas. For example, Chan-
dra’s schemas for members of Congress
Schematic Inference. Schemas affect the had a negative valence, predisposing her to
inferences we make about persons and view any congressperson unfavorably. The
9780813349503.indb 212 5/16/14 1:50 PM

complexity of a schema—or the variety of vantages. First, people are overly accepting
attributes included in a schema—also af- of information that fits consistently with a
fects our evaluations of other persons. The schema. In fact, some research suggests that
complexity of schemas is directly tied to di- perceivers show a confirmatory bias (also
versity of experience with the group (Crisp called a confirmation bias) when collect-
& Turner, 2011). The more members of a ing new information relevant to schemas
group we interact with, the less uniform we (Higgins & Bargh, 1987; Snyder & Swann,
see group members (perhaps their person- 1978). That is, when gathering information,
ality, values, and so forth), and the more perceivers tend to ask questions that will
complex our schema of the group is. Con- elicit information supportive of the sche-
versely, less complex schemas lead to more mas rather than questions that will elicit
extreme judgments and evaluations. This is information contradictory to the schemas.
called the complexity-extremity effect. Consider the intake process of Rosenhan’s
For instance, in one study (Linville & study at the mental hospital. The doctors
Jones, 1980), White college students evalu- asked particular questions of the research-
ated a person applying for admission to law ers, assuming they were mentally ill, that bi-
school. Depending on treatment, the ap- ased responses toward confirmation of that
plicant was either White or Black and had belief. The nurses and orderlies interpreted
an academic record that was either strong information about pseudo-patients’ behav-
or weak. The results showed an interaction ior in ways that confirmed their schemas
effect between academic record and race. and ignored or downplayed information
Participants rated a weak Black applicant suggesting that the pseudo-patients were
more negatively than a weak White appli- actually not ill, because it contradicted their
cant, but they rated a strong Black appli- existing schemas.
cant more positively than a strong White Second, when faced with missing infor-
applicant. Judgments about Black appli- mation, people fill in gaps in knowledge by
cants were more extreme—in both direc- adding elements that are consistent with
tions—than those about White applicants their schemas. Sometimes these added el-
because the participants’ schema for their ements turn out to be erroneous or factu-
own in-group (White) was more com- ally incorrect. When this happens, it will, of
plex than their schema for the out-group course, create inaccurate interpretations or
(Black). Because these White students had inferences about people, groups, or events.
more experience with a variety of Whites, As an example, research on eyewitness ac-
it was difficult to infer competence based counts of crimes finds that witnesses draw
solely on this quality, and the schema was on event schemas of “typical crimes” when
more complex. Further research (Linville, recalling specific incidents. This can distort
1982) shows that the complexity-extremity memories in schema-consistent ways, lead-
effect also holds for other attributes, such ing to misinformation in reporting (Holst &
as age. College students have less complex Pezdek, 1992). Furthermore, as witnesses
schemas for older persons than for persons share their accounts of events, listeners
their own age, so they are more extreme in who were not privy to the scene are likely
judgments of older persons. to interpret events in ways that are influ-
enced by their own existing beliefs (Allport
Drawbacks of Schematic Processing. Al- & Postman, 1947). This introduces further
though schemas provide certain advantages, distortion, like a children’s game of tele-
they also entail some corresponding disad- phone.
9780813349503.indb 213 5/16/14 1:50 PM

Joan, Sarah has an elaborate schema of her

mother. She can usually predict how Joan
will react to new situations, information,
or problems and plan accordingly. Simi-
larly, we often have individual schemas for
public figures (for instance, Oprah Win-
frey, former talk show host, actor, advocate
for women, Black, extremely wealthy) or
When schematic categories are not salient, we for famous historical figures (for instance,
view persons as individuals and their behaviors Abraham Lincoln, political leader during
as unique. However, when we view persons as the Civil War, honest, determined, opposed
category members, we tend to interpret their to slavery, committed to holding the Union
behavior as stereotypic and representative of the
together).
entire category or group. Comic courtesy of xkcd
.com Other person schemas are very abstract
and focus on the relations among person-
ality traits. A schema of this type is an im-
Third, because people are often reluc- plicit personality theory—a set of unstated
tant to discard or revise their schemas, they assumptions about which personality traits
occasionally apply schemas to persons or are correlated with one another (Anderson
events even when the schemas do not fit & Sedikides, 1991; Grant & Holmes, 1981;
the facts very well. Forced misapplication Sternberg, 1985). These theories tend to
of a schema may lead to incorrect charac- also include beliefs about the behaviors
terization and inferences, and this in turn associated with various personality traits
can produce inappropriate or inflexible re- (Skowronski & Carlston, 1989). If you learn
sponses toward other persons, groups, or that a child is gifted, do you automatically
events. A teacher who believes a child is lazy assume the child has other attributes? Re-
because she is not getting the class reading cent research explored the beliefs that
done may be less inclined to engage with teachers in Germany associate with gift-
the child in class or encourage the child’s edness (Baudson & Preckel, 2013). When
parents to have her tested for dyslexia or a student was described as “gifted,” teach-
ADD (attention deficit disorder). ers were more likely to also perceive the
student as emotionally deficient. Although
teachers believed gifted students would be
PerSon ScheMaS and more open to new experiences than stu-
grouP StereotyPeS dents of average ability, they also saw them
as more introverted, less emotionally stable,
Person Schemas and less agreeable. These beliefs are con-
sidered implicit, or automatic, because we
As noted earlier, person schemas are cogni- seldom subject our person schemas to close
tive structures that describe the personali- examination and are usually not explicitly
ties of other individuals. There are several aware of the schemas’ contents. Therefore,
distinct types of person schemas. Some per- the teachers were likely unaware of their bi-
son schemas are very specific and pertain to ased judgments of gifted students and how
particular people. For example, Sarah is a these implicit assumptions were influenc-
17-year-old high school student, and Joan is ing their behavior toward the students in
her mother. After years of interacting with class.
9780813349503.indb 214 5/16/14 1:50 PM

Good-Intellectual
Scientific
Persistent Determined
Skillful
Industrious
Imaginative Intelligent
Serious
Stern Shrewd Important
Unsociable Cold Critical Discriminating
Humorless Cautious Practical
Pessimistic Dominating Daring Meditative
Unpopular Artistic
Bad-Social Irritable Moody Reserved
Unhappy Reliable
Vain Finicky
Boring Unimaginative
Dishonest Honest Good-Social
Modest
Squeamish Impulsive Tolerant
Insignificant Helpful
Superficial Submissive Sincere
Unreliable
Wavering Clumsy Naive Sentimental
Irresponsible Wasteful Humorous Happy
Unintelligent Popular
Good natured
Frivolous Warm Sociable
Foolish
Bad-Intellectual
FIgure 6.1 Relationships Among Attributes: A Mental Map

Each of us has an implicit theory of personality—a theory about which personality attributes tend to go together
and which do not. We can represent our theories of personality in the form of a mental map. The closer attributes
are located to each other on our mental map, the more we assume these attributes will appear together in the same
person. The mental map shown above was created based on the mental maps of American college students. Adapt-
ed from Rosenberg, Nelson, & Vivekanandan, 1968
Implicit Personality Theories and Mental dents, shows how various personality traits
Maps. As do all schemas, implicit person- stand in relation to one another (Rosenberg,
ality theories enable us to make inferences Nelson, & Vivekananthan, 1968). Traits
that go beyond the available information. thought to be similar are located close to-
Instead of withholding judgment, we use gether within our mental map, meaning we
them to flesh out our impressions of a per- expect people who have one trait to have
son about whom we have little information. the other. Traits thought to be dissimilar
For instance, if we learn someone has a are located far apart, meaning we believe
warm personality, we might infer she is also they rarely occur together in one person.
likely to be sociable, popular, good-natured, If your mental map resembles the one
and so on. If we hear that somebody else is portrayed in Figure 6.1, you think that
pessimistic, we may infer he is humorless, ir- people who are wasteful are also likely to
ritable, and unpopular, even though we lack be unintelligent and irresponsible (see the
evidence that he actually has these traits. lower left part of the map). Similarly, you
We can depict an implicit personality think that people who are persistent are
theory as a mental map indicating the way also likely to be determined and skillful (the
traits are related to one another. Figure 6.1 upper right part of the map).
displays such a mental map. This figure, Early research, like that presented in
based on judgments made by college stu- Figure 6.1, believed that the two distinct
9780813349503.indb 215 5/16/14 1:50 PM

evaluative dimensions traits fell upon were captures traits like friendliness, helpfulness,
social and intellectual. For instance, the and sincerity. The competence dimension,
traits “warm” and “cold” differ mainly on the however, is related to ability and includes
social dimension, whereas “frivolous” and traits like intelligence, creativity, and skill.
“industrious” differ on the intellectual di- Although everyone lends primacy to the
mension (Rosenberg & Sedlak, 1972). Traits warmth dimension in forming impressions,
usually tend to be either good on both di- women and individuals from collectiv-
mensions (like “important”) or bad on both ist cultures appear particularly cued in to
dimensions (like “unreliable,” explaining a warmth (Abele, 2003).
common bias in impression formation). We Our impressions influence the emotions
tend to judge persons who have several good we feel toward others. We are likely to pity
traits as generally good and persons who those who we consider high on warmth but
have several bad traits as generally bad. Once low on competence and envy those who are
we have a global impression of someone as, high on competence and low on warmth.
say, generally good, we assume that other We admire those who we believe are high
positive traits (located nearby in the mental on both dimensions and hold contempt for
map) also apply. This tendency for our gen- those who are seen as low on both (Cuddy,
eral or overall liking for a person to influence Fiske, & Glick, 2007). Similar emotions are
our subsequent assessment of more specific directed toward groups that we classify us-
traits of that person is called the halo effect ing the same two dimensions. We envy the
(Lachman & Bass, 1985; Thorndike, 1920). rich (high-competence, low-warmth), ad-
The halo effect produces bias in impression mire the middle-class (high-competence,
formation; it can lead to inaccuracy in our high-warmth), pity the elderly (low-com-
ratings of others’ traits and performances petence, high-warmth), and have contempt
(Cooper, 1981; Fisicaro, 1988). for welfare recipients (low-competence,
In the decades since Rosenberg’s men- low-warmth).
tal map was published, social psychologists
have worked to refine the dimensions and Group Stereotypes
test impression formation across differ-
ent cultures and groups. There is growing • “Politicians are liars and cheaters, with
consensus that the two universal dimen- no compassion for ordinary people.”
sions are better conceived of as warmth and • “Asian women are ‘tiger moms,’
competence (rather than social and intel- demanding perfection from their kids.”
lectual). As early research (Asch, 1946, dis- • “People on welfare are lazy, wasteful, and
cussed later in this chapter) found, warmth unemployed.”
is a highly influential trait in impression for- • “Arabs and Muslims are terrorists who
mation, and it appears to take precedence hate America.”
over competence, both in how rapidly it is • “Jocks might be strong and athletic, but
judged and how much weight it carries in they’re stupid and arrogant.”
impressions (Fiske, Cuddy, & Glick 2007).
Immediately upon encountering someone An unfortunate reality in our society is that
else, we must determine whether they are we have all heard remarks like these—cat-
more likely to harm or help us. To do so, we egorical, extreme, inaccurate characteriza-
gauge their level of warmth because it is the tions. Each of these is an example of a group
dimension that is tied to our perceptions of schema or stereotype. A stereotype is a set
another’s intent. The warmth dimension of characteristics attributed to all members
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of some specified group or social category another is lesbian. It is certainly false, how-
(McCauley, Stitt, & Segal, 1980; Taylor, ever, that all your feminist acquaintances
1981). Just like other types of schemas, ste- are as politically active or eschew relation-
reotypes simplify the complex social world. ships—romantic or otherwise—with men.
Rather than encouraging us to treat each It is also false that all feminists are women.
member of a group individually, stereo- Throughout our daily lives, we are con-
types encourage us to think about and treat stantly categorizing people who we encoun-
all politicians, welfare recipients, or jocks ter into existing groups to conserve mental
the same way. By helping us quickly place attention. Walking down the street, we pass
people into categories, stereotypes enable men and women, Blacks and Whites, young
us to form impressions of people and pre- people and the elderly. Without much con-
dict their behavior with only minimal infor- scious thought, we sort these strangers into
mation—the groups to which they belong. groups based on distinguishing characteris-
Stereotypes, however, involve overgen- tics and then draw on group schemas (ste-
eralization. They lead us to think that all reotypes) to decide how to respond to these
members of a particular group or social others without giving our actions much
category possess certain attributes. Al- consideration (Fiske & Neuberg, 1990). We
though stereotypes might contain a kernel tend to not notice the work that our minds
of truth—some members of the stereotyped are doing until we encounter someone who
group may have some of the imputed char- does not neatly fit into one of our group
acteristics—it is almost never the case that schemas: an individual whose gender, race,
all members have those characteristics. For or age is ambiguous. In these situations, be-
this reason, stereotypes often lead to inac- cause we need to gather additional informa-
curate inferences. Consider, for instance, tion, processing takes longer and becomes
all the feminists you know. Perhaps one more conscious. If it is difficult to determine
of them is—as the stereotype suggests—a a person’s gender from a cursory glance, we
radical who would like to have the gender may look for other nonverbal or vocal clues.
binary completely eradicated, and maybe If we are unable to classify someone—a
running joke on Saturday Night Live with
the infamous, gender-ambiguous character,
Pat—we grow increasingly uncomfortable.
Thinking back to moments when we sought
such clarification and considering how sel-
dom such moments occur demonstrates
the ubiquity of categorization and stereo-
types in our everyday lives.
Although stereotypes are overgeneral-
izations, we still constantly use them and
are often unaware of their impact on our
judgments of others (Hepburn & Lock-
sley, 1983; Bornstein & Pittman, 1992).
And although there is nothing inherent in
We can hardly avoid making a snap judgment stereotypes that requires them to be nega-
about the personalities of these individuals, but
are we right? We draw on stereotypes to form
tive, many stereotypes do contain negative
impressions about people merely by knowing the elements. Of course, some stereotypes are
group to which they belong. © Renphoto/iStock positive (“Asians excel at math”; “Blacks are
9780813349503.indb 217 5/16/14 1:50 PM

gifted athletes”), but many others disparage signed a masculine (John) or feminine (Jen-
or diminish the group stereotyped. Stereo- nifer) name. Other than the name, the ap-
types can have many negative effects, espe- plication materials sent out were identical.
cially when they are used to limit access to Both men and women faculty who received
important social roles—for example, when John’s application rated the applicant as
an individual applies for a job or for admis- significantly more competent and hireable
sion to college. than those who received Jennifer’s (identi-
To explore the effect of gender stereo- cal) application. Faculty also reported that
types on women’s underrepresentation they would offer a higher starting salary
in science, a group of scientists recently and more mentoring to John than to Jen-
asked science faculty at research-intensive nifer. None of the faculty actively disliked
universities to rate the materials of a stu- women. In fact, faculty perceived Jenni-
dent applying for a lab manager position fer as a more likeable applicant than John.
(Moss-Racusin et al., 2012). The scientists However, the pervasive gender stereotypes
used an experimental design and created of women being less competent at science
fake applications that were randomly as- unintentionally influenced the raters’ eval-
Box 6.1 research update: Stereotype Threat
When people act on their stereotypes, this can of the test provided a stereotype threat for Black
produce many negative effects for those who are students because poor performance would con-
the subjects of these stereotypes. Members of firm a stereotype that they were not as able as
racial groups may be denied jobs or promotions White students. Even though the White and
because of the stereotypes employers hold of Black students were matched on ability, the Black
their racial group (Pager, Western, & Bonikowski, students scored much lower than the White
2009). As damaging as these direct uses of ste- students. However, when researchers told the
reotypes can be, researchers have recently dis- students that the test was part of a study to un-
covered a second, less direct negative effect of derstand how people solved problems and that
stereotypes called stereotype threat (Steele, 1997, it did not measure ability, the stereotype threat
1999). was removed and the Black and White students
Stereotype threat occurs when a member of did equally well.
a group suspects that he or she will be judged Why does performance deteriorate when ste-
based on a common stereotype that is held of that reotype threat is present? Isn’t it possible that the
group. For example, one stereotype of women is desire to disprove the stereotype might cause
that they are less proficient at mathematics than students to try harder and thereby cause them
men are. If a woman enters a situation in which to do even better than they normally would? In
her mathematical ability is being judged and she a follow-up study, students took the exam on a
believes the judgment will be negatively affected computer, so the researchers could time how
by the stereotype about women’s mathematical long the students took with each question. The
ability, even without any conscious thought results showed that under conditions of stereo-
about the stereotype, her performance on the type threat, Black students were exerting extra
exam may suffer (Spencer, Steele, & Quinn, 1999). effort and were overthinking the questions. They
To test for this kind of effect, Steele and Aronson reread questions, changed their answers, and
(1995) gave Stanford University students a very generally became less efficient at taking the test
difficult test using questions from the Graduate (Steele, 1999). This result also made sense of a
Record Examination in literature. The difficulty finding that stereotype threat affected academ-
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uations. This is just one study of many dardized tests and can also influence success
suggesting that stereotypes can negatively among other groups in other domains.
affect work-related outcomes (see also Cor-
rell, Benard & Paik, 2007). Common Stereotypes. As the foregoing
Stereotypes can also have less direct ef- examples suggest, in American society,
fects on members of stereotyped groups some widely known stereotypes pertain to
through a process called stereotype threat ethnic, racial, and gender groups. Ethnic
(Steele, 1997, 2010). When a member of a (national) stereotypes held by Americans
group believes there is a real threat of being might include, for example, the view that
judged based on group stereotypes, this can Mexicans are undocumented immigrants
negatively affect their performance and ac- who struggle to speak English, the French
tually cause an individual to perform more are cultured and romantic, and Vietnamese
poorly than he or she would when not under people are hardworking and friendly. In-
stereotype threat. Box 6.1 explains how ste- vestigators have studied ethnic, racial, and
reotype threat reduces the performance of gender stereotypes for many years, and the
some students on academic tasks and stan- results show that the content of stereotypes
ically strong students more than academically a recall test than either younger people or older
weak students—for those students who saw aca- adults who had not had a threat induced by a
demics as an important part of their self-concept, prime (Hess, Auman, Colcombe, & Rahhal, 2003).
the threat was much more meaningful than for Outside the laboratory, it may be possible to
those who cared less about academics (Steele, reduce stereotype threat and to even the play-
2010). ing field. One way of doing this is to convince
The negative effects of stereotype threat are students who may be experiencing stereotype
not limited to women or racial minorities, nor is it threat that the test being used is not biased. This
exclusively seen in academic spheres. In a novel is not easy to do given current deeply held be-
application of stereotype threat, social psychol- liefs about the unfairness of testing and the per-
ogists tested racial stereotypes about athletic vasiveness of racial stereotypes. However, Cohen,
performance (Stone, Lynch, Sjomeling, & darley, Steele, and Ross (1999) found that they could
1999). Black and White students were recruited reduce stereotype threat by informing students
to take an athletic test (simply ten rounds of min- that the evaluations of their performance would
iature golf) in the laboratory. Black students who use very high standards and that they believed
were told that this task was a diagnostic of “natu- the students could perform up to those stan-
ral athletic ability” performed significantly better dards. Such an approach lets the student know
than those who were told that the task measured that assessment is based on standards rather
“sports intelligence.” White participants, how- than stereotypes and that the student will not be
ever, performed better in the “sports intelligence” viewed stereotypically. Another approach is to
condition than the “natural athletic ability” have individuals shift away from viewing them-
condition. Although stereotypes about Whites selves stereotypically by giving them the op-
are generally more favorable than those about portunity to construct a narrative of their selves
Blacks, students were aware of the stereotype that is about other positive attributes and values
that favors Blacks over Whites in athletic abil- rather than the stereotyped characteristic. Sim-
ity, and this caused differences in performance. ply asking individuals to write their primary val-
Another study found that when primed with a ues and why these are important to them before
stereotype of older people’s propensity for mem- engaging in a threatening situation can improve
ory problems, older adults performed worse on performance (Steele, 2010).
9780813349503.indb 219 5/16/14 1:50 PM

changes over time (Diekman, Eagly, Mla- and more likely to have a career as well as
dinic, & Ferreira, 2005). For instance, few more friendly, good-natured, industrious,
of us now believe—as many once did—that and intellectually curious than married
the typical Native American is a drunk, the women who do not hyphenate. Men with
typical African American is superstitious, hyphenated surnames are also perceived
or the typical Chinese American is conser- as good-natured, as well as more nurtur-
vative and inscrutable. Stereotypes may not ing and more committed to their marriages
have disappeared over time, but they have than married men who do not hyphenate
changed form (Dovidio & Gaertner, 1996). (Forbes, Adams-Curtis, White & Hamm,
Just as stereotypes about ethnic and ra- 2002).
cial groups are commonly held in our so- Gender, ethnicity, and race are only
ciety, so also are stereotypes about gender a handful of the groups that are stereo-
groups. Usually, our first judgment when typed in our culture. People also stereotype
meeting people involves classifying them as groups defined by occupation, age, political
men or women. This classification is likely ideology, mental illness, hobbies, musical
to activate an elaborate stereotype. This ste- tastes, majors, school attended, and so on
reotype depicts men as more independent, (Miller, 1982; Rahn, 1993; Rothbart 1996;
dominant, competent, rational, compet- Rentfrow & Gosling, 2007).
itive, assertive, and stable in handling cri-
ses. It characterizes women as more emo- Origins of Stereotypes. How do various
tional, sensitive, expressive, gentle, helpful, stereotypes originate? Some theorists sug-
and patient (Ashmore, 1981; Martin, 1987; gest that stereotypes arise out of direct
Minnigerode & Lee, 1978). Research on experience with some members of the ste-
the nature of these gender stereotypes is reotyped group (Campbell, 1967). We may
discussed in Box 6.2. Within gender, ste- once have known an Italian who was pas-
reotypes are linked to subtle cues like ti- sionate, someone from Japan who was po-
tles and surnames. For instance, research lite, or a southerner who was bigoted. We
conducted in the 1980s found that women then build a stereotype by generalizing—
labeled “Ms.” were seen as more achiev- that is, we infer that all members of a group
ing, more masculine, and less likable than share the attribute we know to be charac-
women labeled “Mrs.” (Dion & Schuller, teristic of some particular members.
1991). These impressions were consistent Other theorists (Eagly & Steffen, 1984)
with the high-competence, low-warmth suggest that stereotypes derive in part from
stereotype of feminists in general (Fiske, a biased distribution of group members into
Cuddy, Glick, & Xu, 2002), who were of- social roles. Consider professional athletes.
ten associated with the term. However, After professional sports integrated, Blacks
today’s college students are more likely to quickly dominated a number of popular
see “Ms.” as related to marital status rather sports. In the late 1990s, 60% of professional
than concerns about sexism and, therefore, football players and 85% of professional
rate “Ms.” as positively as “Mrs.” or “Miss” basketball players were African American
(Lawton, Blakemore, & Vartanian, 2003). (Sailes, 1998). The impressive athletic per-
Perhaps a more contemporary example formances meant that Blacks also domi-
related to the nuances of titles is the use of nated the sports coverage in newspapers
hyphenated surnames. Research finds that and on television (Davis & Harris, 1998).
women who hyphenate their surnames after Roles have associated characteristics—
marriage are assumed to be well-educated professional sports players are athletically
9780813349503.indb 220 5/16/14 1:50 PM

gifted—and eventually those characteris- hat may shoulder you into the stairwell on a
tics are attached to the persons occupy- crowded bus; another may offer you his seat.
ing the roles. The overwhelming athletic Second, stereotypes lead us to assume that
success and related images contributed to all the members of one group differ from
and helped maintain the stereotype that all the members of another group. Stereo-
Blacks are athletically superior to other ra- types of football players and ballet dancers
cial groups. If a social group is concentrated may suggest, for instance, that these groups
in roles with negative characteristics, an have nothing in common. But both groups
unflattering stereotype of that group may contain individuals who are athletic, hard-
emerge that ascribes the negative character- working, intelligent, and so on. If we see the
istics of the role to members of the group. two groups as nonoverlapping, we neglect
Stereotyping may also be a natural out- to realize that there are ballet dancers who
come of social perception (McGarty, Yzer- also play football.
byt & Spears, 2002). When people have to Although stereotypes can produce inac-
process and remember a lot of information curate inferences and judgments in simple
about many others, they store this infor- situations, they are especially likely to do so
mation in terms of group categories rather in complex situations when our minds are
than in terms of individuals (Taylor, Fiske, attending to a lot of stimuli. This is because
Etcoff, & Ruderman, 1978). In trying to we rely on stereotypes for efficiency (Sher-
remember what went on in a classroom man, Lee, Bessenoff & Frost, 1998). If an ob-
discussion, you may recall that several server uses a stereotype as a central theme
women spoke and a Black person expressed around which to organize information rel-
a strong opinion, although you cannot re- evant to a decision, he or she may neglect
member exactly which women spoke or information that is inconsistent with the
who the Black person was. Because peo- stereotype (Bodenhausen & Lichtenstein,
ple remember behavior by group category 1987). A process like this can contribute
rather than by individual, they attach the to bias in educational admissions or hiring
behavior to the groups (Rothbart, Fulero, decisions, like with the faculty ratings of
Jensen, Howard, & Birrell, 1978). Remem- lab assistant applications discussed earlier.
bering that women spoke and a Black per- With a large amount of material to be read
son expressed a strong opinion, you might and significant detail in each, our minds
infer that in general, women are talkative take shortcuts wherever they can. The ste-
and Blacks are opinionated. You would not reotype that favors men with regard to sci-
form these stereotypes if you recalled these entific competence (and disfavors women)
attributes as belonging to individuals rather may overshadow specific evidence of com-
than remembering them as attached to petence from the applications.
group membership. Research also indicates that people of
higher status have a tendency to use ste-
Errors Caused by Stereotypes. Because reotypes more than people of lower status
stereotypes are overgeneralizations, they do. This seems to occur because people of
foster various errors in social perception higher status have more people competing
and judgment. First, stereotypes lead us for their attention and, thus, have more
to assume that all members of a group are incentive to use shortcuts. They may also
alike and possess certain traits. Yet individ- be able to afford to make more mistakes
ual members of a group obviously differ in because of their power (Goodwin, Gu-
many respects. One person wearing a hard bin, Fiske, & Yzerbyt, 2000). This dynamic
9780813349503.indb 221 5/16/14 1:50 PM

Box 6.2 Test Yourself: gender Schemas and Stereotypes
One of the most consistent findings on ste- of men, whereas the next five (cheerful to childlike)
reotypes is that many people believe men and are considered more typical of women. Although
women have different personality traits. What there are subtle differences, the first seven traits
are the traits believed to be typical of each sex? are seen as desirable for both men and women.
Where do these sex stereotypes come from? The next three (gullible, shy, and childlike), how-
Studies of sex stereotyping have established ever, are rated as both feminine and generally un-
a number of characteristics that people associate desirable (Colley, Mulhern, Maltby, & Wood, 2009).
differently with men and women. In the chart op- The next five (affectionate to compassionate) are
posite, 20 characteristics are listed that are con- seen as feminine and more desirable for women
sistently associated with men or women. To see than for men, and the last five (assertive to has
how aware you are of these stereotypes, fill out leadership abilities) are considered more desirable
the chart by indicating which of the traits listed for men than for women. In general, research finds
are thought to be more typical of men and which that traits associated with men are more desirable
are more typical of women. Also indicate if you than those associated with women (Broverman et
consider each trait as a desirable or undesirable al., 1972). did your evaluations of trait desirability
characteristic. favor the male stereotyped traits? If not, you may
The Bem Sex Role Inventory (BSRI; Bem, 1974) fit in with the trend among educated respondents
is a widely used measure of sex-role stereotyping toward valuing some traditionally feminine traits
and self-perceptions. Although there has been more positively and some more traditionally mas-
some weakening of the distinctions between ste- culine traits more negatively (der-Karabetian &
reotypes of men and women over time, gender dif- Smith, 1977; Lottes & Kuriloff, 1994; Pleck, 1976).
ferences endure (Bergen & Williams, 1991; Holt & If this trend continues, even if sex stereotypes
Ellis, 1998). The first five traits in the chart (defends persist, women may be evaluated less negatively
beliefs to individualistic) are seen as more typical than before.
occurs even when subjects are randomly construe any rough-looking, athletic men
assigned to higher- and lower-status roles who are there? It is possible that these indi-
(Richeson & Ambady, 2003). viduals might challenge his stereotype, but
Although stereotypes involve overstate- reconstructing schemas is a lot of work, and
ment and overgeneralization, they resist Omar is more likely to find a way around
change even in the face of concrete evi- this challenge. He might scrutinize those
dence that contradicts them. This occurs who don’t fit his stereotype for hidden signs
because people tend to accept information of effeminacy. He might underestimate their
that confirms their stereotypes and ignore number or even assume they are straight.
or explain away information that discon- He may also engage in subtyping, a process
firms them (Lord, Lepper, & Mackie, 1984; through which perceivers create subcate-
Snyder, 1981; Weber & Crocker, 1983). gories of stereotyped groups who serve as
Suppose, for example, that Omar stereo- exceptions to the rule without threatening
types gay men as effeminate, nonathletic, the overarching stereotype (e.g., these are
and artistic. If he stumbles into a gay bar, “atypical gay men”). Through cognitive
he is especially likely to notice the men in strategies like these, people explain away
the crowd who fit this description, thereby contradictory information and preserve
confirming his stereotype. But how does he their stereotypes.
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MoST TYPICAl oF DeSIrABle
TrAIT Men WoMen YeS no
defends beliefs
Athletic
Strong personality
Makes decisions easily
Individualistic
Cheerful
Loyal
Gullible
Shy
Childlike
Affectionate
Flatterable
Tender
Eager to soothe hurt feelings
Compassionate
Assertive
Competitive
Independent
dominant
Has leadership abilities
IMPreSSIon forMatIon son is called impression formation. It is

fundamental to person perception.
Information about other people comes to
us from various sources. We may read facts Trait Centrality
about someone. We may hear something
from a third party. We may witness acts by In a classic experiment, Asch (1946) used
the other. We may interact directly with the a straightforward procedure to show that
other and form an impression of that per- some traits have more impact than others on
son based on his or her appearance, dress, the impressions we form. Undergraduates
speech style, or background. We even infer in one group received a list of seven traits
personality characteristics from people’s describing a hypothetical person. These
facial features (Hassin & Trope, 2000; Ze- traits were intelligent, skillful, industrious,
browitz et al., 1998). Regardless of how we warm, determined, practical, and cautious.
get information about someone, we as per- Undergraduates in a second group received
ceivers must find a way to integrate these the same list of traits but with one critical
diverse facts into a coherent picture. This difference: The trait “warm” was replaced
process of organizing diverse information by “cold.” All participants then wrote a brief
into a unified impression of the other per- paragraph indicating their impressions and
9780813349503.indb 223 5/16/14 1:50 PM

completed a checklist to rate the stimulus regarding the warm/cold variable. For half
person on such other characteristics as gen- the students, the description contained the
erous, wise, happy, good-natured, humor- trait “warm”; for the other half, it contained
ous, sociable, popular, humane, altruistic, “cold.” The lecturer subsequently arrived
and imaginative. at the classroom and led a discussion for
The findings led to several conclusions. about 20 minutes. Afterward, the students
First, the students had no difficulty per- were asked to report their impressions of
forming the task. They were able to weave him. The results showed large differences
the trait information into a coherent whole between the impressions formed by those
and construct a composite sketch of the who read he was “warm” and those who
stimulus person. Second, substituting the read he was “cold.” Those who had read he
trait “warm” for the trait “cold” produced was “cold” rated him as less considerate, so-
a large difference in the overall impression ciable, popular, good-natured, humorous,
the students formed. When the stimulus and humane than those who had read he
person was “warm,” the students typically was “warm.” Because all students saw the
described him as happy, successful, popu- same guest instructor in the classroom, the
lar, and humorous. But when he was “cold,” differences in their impressions could stem
they described him as self-centered, un- only from the use of “warm” or “cold” in the
sociable, and unhappy. Third, the terms profile they had read.
“warm” and “cold” had a larger impact How could a single trait embedded in
than other traits on the overall impression a profile have such an impact on impres-
formed of the stimulus person. This was sions of someone’s behavior? Several theo-
demonstrated, for instance, by a variation ries have been advanced, but one plausible
in which the investigator repeated the basic explanation holds that the students used a
procedure but substituted the pair “polite” schema—a mental map—indicating what
and “blunt” in place of “warm” and “cold.” traits go with being warm and what traits
Whereas describing the stimulus person as go with being cold. Looking again at Figure
warm rather than cold made a great differ- 6.1, we note the locations of the attributes
ence in the impressions formed by the stu- “warm” and “cold” on the map and the na-
dents, describing him as polite rather than ture of the other attributes close by. If the
blunt made little difference. mental maps used by the participants in the
We say that a trait has a high level of Asch (1946) and Kelley (1950) studies re-
trait centrality when it has a large impact sembled Figure 6.1, it becomes immediately
on the overall impression we form of that clear why they judged the warm person as
person. In Asch’s study, the warm/cold trait more sociable, popular, good-natured, and
displayed more centrality than the polite/ humorous; these traits are close to “warm”
blunt trait because differences in warm/ and remote from “cold” on the mental map.
cold produced larger differences in partic-
ipants’ ratings. First Impressions
A follow-up study (Kelley, 1950) rep-
licated the warm/cold finding in a more You have surely noticed the effort individu-
realistic setting. Students in sections of a als make to create a good impression when
psychology course read trait descriptions interviewing for a new job, entering a new
of a guest lecturer before he spoke. These group, or meeting an attractive potential
descriptions contained adjectives similar to date. This effort reflects the widely held
those Asch used (that is, industrious, criti- belief that first impressions are especially
cal, practical, determined), but they differed important and have an enduring impact.
9780813349503.indb 224 5/16/14 1:50 PM

In fact, this belief is supported by a body of 1986). When the defendant’s case came
systematic research. Observers forming an second, perceptions of innocence increased
impression of a person give more weight significantly. A recency effect may also oc-
to information received early in a sequence cur when so much time has passed that we
than to information received later. This is have largely forgotten our first impression
called the primacy effect (Luchins, 1957). or when we are judging characteristics
What accounts for the impact of first that change over time, like performance
impressions? One explanation is that after or moods. Perceivers’ own moods also in-
forming an initial impression of a person, fluence what information they attend to.
we interpret subsequent information in a Those in good moods seem to favor early
way that makes it consistent with our initial information, while the primacy effect is
impression. Having established that your eliminated for those who are experiencing
new roommate is neat and considerate, a bad mood (Forgas, 2011).
you interpret the dirty socks on the floor In one study investigating the relative
as a sign of temporary forgetfulness rather impact of primacy and recency effects on
than as evidence of sloppiness and lack of impression formation (Jones et al., 1968),
concern. Thus, the schema into which an participants observed the performance of
observer assimilates new information influ- a college student on an SAT-type aptitude
ences the interpretation of that information test. In one condition, the student started
(Zanna & Hamilton, 1977). successfully on the first few items but then
A second explanation for the primacy ef- her performance deteriorated steadily. In a
fect holds that we attend very carefully to second condition, the student started poorly
the first bits of information we get about a and then gradually improved. In both con-
person, but we pay less attention once we ditions, the student answered 15 out of 30
have enough information to make a judg- test items correctly. After observing one or
ment. It is not that we interpret later in- the other performance, participants rated
formation differently; we simply use it less. the student’s intelligence and tried to pre-
This explanation assumes that whatever indict how well she would do on the next
formation we attend to most has the biggest 30 items. Although the student’s overall
effect on our impressions (Dreben, Fiske, & performance was the same in both condi-
Hastie, 1979). tions (15 of 30 correct), participants rated
What happens if we make an effort to the student as more intelligent when she
attend to all information equally? In such started well and then tailed off than when
cases, recent information exerts the stron- she started poorly and then improved. Ob-
gest influence on our impressions (Crano, servers also predicted higher scores for the
1977), an occurrence known as the recency student on the next series when the student
effect (Jones & Goethals, 1971; Steiner & started well than when she started poorly.
Rain, 1989). Jurors, for example, are asked Clearly, participants gave more weight to
to take the perspective that an individual on the student’s performance on the first few
trial is innocent until proven guilty and in- items—a primacy effect.
structed to weigh all the evidence presented
at trial. Research shows the sequencing of Impressions as Self-Fulfilling Prophecies
the presentation of that evidence is import-
ant. Two groups witnessing identical court- Whether correct or not, the impressions we
room arguments came to different verdicts form of people influence our behavior to-
based on whether it was the prosecution ward them. Recall, for instance, the study
or defense who presented last (Furnham, in which students read that their guest
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instructor was “warm” or “cold” before actions, these men came to act in a way that
meeting him (Kelley, 1950). Not only did was more appealing even long after those
the students form different impressions of previous dating experiences had ended.
the instructor, but they also behaved differ-
ently toward him. Those who believed the Heuristics
instructor was “warm” participated more
in the class discussion than those who be- In most social situations, our impressions
lieved he was “cold.” In a classic study, could be guided by a number of different
Rosenthal and Jacobson (1968) found that schemas. How do we make decisions on
teachers act differently toward students how to characterize these situations? The
who they expect to succeed—giving them answer comes in the form of another type
more time, attention, and approval than of mental shortcut called a heuristic (Tver-
other students—thereby creating more op- sky & Kahneman, 1974). Heuristics provide
portunity for those students to rise to the a quick way of selecting schemas that—
teachers’ expectations and unintentionally although far from infallible—often help us
disadvantaging the children for whom the make an effective choice amid considerable
teachers have lower expectations. uncertainty.
When our behavior toward people re-
flects our impressions of them, we cause Availability. One factor that determines
them to react in ways that confirm our orig- how likely we are to choose a particular
inal impressions. When this happens, our schema is how long it has been since we
impressions become self-fulfilling proph- have used that particular schema. If we have
ecies (Darley & Fazio, 1980). For example, recently used a particular schema, it is eas-
if we ignore someone because we think she ier for us to call up that schema for use in
is dull, she will probably withdraw and add the current situation. There are other rea-
nothing interesting to the conversation, liv- sons why certain schemas are more avail-
ing up to our initial impressions. Because able to us. If, for instance, certain examples
our own actions evoke appropriate reac- of categorizations are easier to remember,
tions from others, our initial impressions— schemas consistent with those examples
whether correct or incorrect—are often are more likely to be called up and used.
confirmed by the reactions of others. Suppose you were asked whether there are
The self-fulfilling prophecy can influence more words in the English language that
desirability in dating. In a recent study, re- begin with the letter r or if there are more
searchers took the actual dating profiles of words in which the third letter is an r. Most
100 men (both unattractive and attractive) people find it much easier to think of exam-
from an online dating website and separated ples of words that begin with r, and thus,
the photos from the text (Brand, Bonatsos, the ease of producing examples makes it
D’Orazio, & DeShong 2012). Fifty women seem as if there are more words that begin
then rated both the photos and the profile with r (Tversky & Kahneman, 1974). These
texts independently. Even without the pho- words are more easily available to us, and
tos attached, the women rated the attrac- thus, they cause us to overestimate their
tive men’s profile texts as more attractive frequency of occurrence (Manis, Shedler,
than those of the unattractive men. The re- Jonides, & Nelson, 1993).
searchers argued that the confidence these
men had established in their earlier dating Representativeness. A second heuristic we
history was the key factor. Having been often use is called the representativeness
treated as more attractive in previous inter- heuristic (Tversky & Kahneman, 1974). In
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this case, we take the few characteristics are likely to use it as an anchor even if it has
we know about someone or something and nothing whatsoever to do with the situation
determine whether that person or object is we are facing (Cadinu & Rothbart, 1996;
likely to be a member of a particular cate- Wilson, Houston, Etling, & Brekke, 1996).
gory (Dawes, 1998; Thomsen & Borgida, Suppose an employer is conducting an an-
1996). We use this type of heuristic when we nual evaluation of employees and has the
judge the musical tastes of others (Lonsdale power to give employees a raise of anywhere
& North, 2012). The closer one is to a ste- from 0 to 40 percent depending on their
reotypical country music fan—based on age performance. If the boss just attended a re-
(older), race (White), religion (Christian), tirement party for someone who worked in
and political beliefs (conservative)—the the firm for 30 years, he or she may uncon-
more likely we are to believe they listen to sciously use this value as an anchor and end
country music (Lonsdale, 2009). This heu- up giving relatively high raises. If, however,
ristic holds even when less than half of the the boss just attended the birthday party
Whites (43%) in the United States consider of a five-year-old niece, five may be used
themselves country music fans—and even as the anchor, and although the boss may
with almost 10% of country fans people of adjust up from five, the raises are likely to
color—because people tend to discount be considerably lower than if 30 were used
statistical information in the face of the as the anchor. These kinds of anchoring ef-
representativeness heuristic (Kahneman & fects tend to occur even if we are explicitly
Tversky, 1973; National Endowment for the warned not to allow arbitrary anchors to
Arts, 2008). affect our decisions (Griffin, Gonzalez, &
Varey, 2001).
Anchoring and Adjustment. When faced Perhaps most often, we use ourselves as
with making a judgment on something we an anchor when judging social situations
know very little about, we grasp any cues (Markus, Smith, & Moreland, 1985). We
we can find to help us make a decent guess. have a tendency to do this even when we
Oftentimes, we will use some particular know we are unusual. If you are a very gen-
standard as a starting point and then try to erous person who always tips at least 25 per-
determine whether we should guess higher cent at a restaurant and are asked whether
or lower than that starting point. Such a your friend Emily is miserly or charitable,
starting point is called an anchor, and our you would be likely to use your own rather
modification relative to the anchor is called unusual behavior as an anchor and report
adjustment (Mussweiler, Strack, & Pfeiffer, that she is tightfisted because you know she
2000; Tversky & Kahneman, 1974). Sup- typically tips “only” 20 percent.
pose you were asked on an exam to provide
the population of Chicago. If you did not
know that population but you did know the attrIbutIon theory
population of New York City, you might
use the population of New York as an an- When we interact with other people, we
chor and, thinking that Chicago must be observe only their actions and the visible
somewhat smaller than New York, adjust effects those actions have. As perceivers, we
the New York value downward to produce often want to also know why others act as
your guess. they do. To figure this out, we must usually
When using this heuristic, however, we make inferences beyond what we observe.
do not always have meaningful anchors. If For instance, if a coworker performs a fa-
a number is in our head for any reason, we vor for us, why is she doing it? Is she doing
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it because she is fundamentally a generous observer might make when learning that
person? Or is she manipulative and pursu- her neighbor is unemployed. She might
ing some ulterior motive? Does her social judge that he is out of work because he is
role require her to do it? Have other people lazy, irresponsible, or lacking in ability.
pressured her into doing it? To act effec- These are dispositional attributions, be-
tively toward her and to predict her future cause they attribute the causes of behavior
behavior, we must first figure out why she to his internal states or characteristics. Al-
behaves as she does. ternatively, she might attribute his unem-
The term attribution refers to the pro- ployment to the scarcity of jobs in his line
cess an observer uses to infer the causes of of work, to employment discrimination, to
another’s behavior: “Why did that person act the depressed condition of the economy, or
as he or she did?” In attribution, we observe to the evils of the capitalist system. These
another’s behavior and infer backward to its are situational attributions because they at-
causes—to the intentions, abilities, traits, tribute his behavior to external causes.
motives, and situational pressures that ex- What determines whether we attribute
plain why people act as they do. Theories an act to a person’s disposition or to the
of attribution focus on the methods we use situation? One important consideration
to interpret another person’s behavior and is the strength of situational pressures on
to infer its sources (Kelley & Michela, 1980; the person. These pressures may include
Lipe, 1991; Ross & Fletcher, 1985). normative role demands as well as rewards
or punishments applied to the person by
Dispositional versus others in the environment. For example,
Situational Attributions suppose we see a judge give the death pen-
alty to a criminal. We might infer that the
Fritz Heider (1944, 1958), whose work was judge is tough (a dispositional attribution).
an early stimulus to the study of attribu- However, suppose we learn that the law in
tion, noted that people in everyday life use that state requires the death penalty for the
commonsense reasoning to understand criminal’s offense. Now we would see the
the causes of others’ behavior. They act as judge not as tough but as responding to role
“naive scientists” and use something resem- pressures (a situational attribution).
bling the scientific method in attempting to This logic has been formalized as the
discern causes of behavior. Heider main- subtractive rule, which states that when
tained that regardless of whether their in- making attributions about personal dispo-
terpretations about the causes of behavior sitions, the observer subtracts the perceived
are scientifically valid, people act on their impact of situational forces from the per-
beliefs. For this reason, social psychologists sonal disposition implied by the behavior
must study people’s commonsense expla- itself (Trope & Cohen, 1989; Trope, Cohen,
nations of behavior and events so we can & Moaz, 1988). Thus, considered by itself,
understand their behavior. the judge’s behavior (imposing the death
The most crucial decision observers penalty) might imply that she is tough in
make is whether to attribute a behavior to disposition. The subtractive rule, however,
the internal state(s) of the person who per- states that the observer must subtract the
formed it—this is termed a dispositional effect of situational pressures (the state law)
attribution—or to factors in that person’s from the disposition implied by the behav-
environment—a situational attribution. ior itself. When the observer does this, he
For example, consider the attributions an or she may conclude the judge is not espe-
9780813349503.indb 228 5/16/14 1:50 PM

cially tough or overly inclined to impose difference has to do with how individualist
the death penalty. In other words, using the or collectivist a culture is (Norenzayan &
subtractive rule in this situation served to Nisbett, 2000; Triandis, 1995). Individualist
weaken the dispositional attribution and cultures emphasize the individual and value
strengthen the situational attribution. individual achievement; collectivist cul-
There are other times, however, when tures emphasize the welfare of the family,
applying the subtractive rule (by account- ethnic group, and perhaps work group over
ing for the situational influences) actually the interests of individuals. This difference
strengthens or augments the dispositional in emphasis turns out to have a substantial
attribution—not unlike what happens when impact on the orientation toward disposi-
we subtract a negative number in arithme- tional versus situational attributions for be-
tic. This happens, for instance, when some- havior. Individualist cultures focus on the
one engages in an activity that his or her individual—thus, their members are predis-
environment discourages or punishes. If posed to make individualist or dispositional
we learn that the judge in the previous ex- attributions. In collectivist cultures, the fo-
ample gave the death penalty even though cus on groups draws some attention to con-
she was the first to give the death penalty text—thus, members of these cultures are
for such a crime or that the jury suggested more likely to include situational elements
a lesser punishment or that she would face in their attributions.
difficulty being reelected because of her In one study, researchers compared at-
decision, these situational factors would tributions made by students from an indi-
strengthen our dispositional attribution. vidualist society (the United States) with
She is more than tough; she is harsh. those made by students from a collectivist
Another factor that may influence our society (Saudi Arabia). Participants in the
attributions is our attention to situational study were 163 students recruited from U.S.
pressures and structural constraints. Social universities and 162 students from a univer-
science students, whose coursework and sity in Saudi Arabia (Al-Zahrani & Kaplow-
training encourages them to think beyond itz, 1993). Each student was presented with
the individual and to consider social struc- vignettes describing eight situations—four
ture, are more likely to blame the system involving achievement and four involving
for individuals’ problems with unemploy- morality. Students were asked to assign re-
ment and poverty than are either business sponsibility for the outcome to each of sev-
or engineering students (Guimond, Begin, eral factors. Consistent with the hypothesis,
& Palmer, 1989; Guimond & Palmer, 1990). the results showed that across the eight sit-
Some might argue that this is a selection ef- uations, U.S. students assigned greater re-
fect; students who embrace system-blame sponsibility to internal dispositional factors
are somehow drawn toward the social sci- than did Saudi students.
ences. However, Figure 6.2 shows that stu-
dents begin college with quite similar levels Inferring Dispositions from Acts
of system-blame, and it is over time that dif-
ferences emerge. In a sense, as students are Although Heider’s analysis and the sub-
socialized into the norms of their disciplines, tractive rule are useful in identifying some
they acquire a particular view of the social conditions under which observers make
world and reality—a type of cultural lens. dispositional attributions, they do not ex-
Culture plays an important role in the plain which specific dispositions observ-
attribution process. One important cultural ers will ascribe to a person. Suppose, for
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3.9
3.7
3.5
BLAMING THE SYSTEM
3.3 Social Science
Engineering
3.1
Business
2.9
2.7
2.5
First year Third and Fourth Year
ACADEMIC
FIgure 6.2 situational Attributions for Poverty and unemployment, by Field of study and
Academic year
Students enter college with similar levels of “system-blame” for poverty and unemployment. College classes increase
the likelihood of making situational attributions among social science students and decrease such attributions among
business students. Because engineering classes are unlikely to engage discussions of poverty or unemployment, en-
gineering students’ views remain unaffected over the course of study. Adapted from Guimond & Palmer, 1990.
instance, that you are on a city street during act and its effects, we must infer the man’s
the Christmas season and you see a young, dispositions.
well-dressed man walking with a woman. According to one prominent theory
Suddenly, the man stops and tosses several (Jones, 1979; Jones & Davis, 1965), we
coins into a Salvation Army pot. From this perform two major steps when inferring
act, what can you infer about the man’s dis- personal dispositions. First, we try to de-
positions? Is he generous and altruistic? Or duce the specific intentions that underlie
is he trying to impress the woman? Or is he a person’s actions. In other words, we try
perhaps just trying to clear out some nui- to figure out what the person originally
sance change from his coat pocket? intended to accomplish by performing the
When we try to infer a person’s disposi- act. Second, from these intentions we try to
tions, our perspective is much like that of infer what prior personal disposition would
a detective. We can observe only the act (a cause a person to have such intentions. If
man gives coins to the Salvation Army) and we think the man intended to benefit the
the effects of that act (the Salvation Army Salvation Army, for example, we infer the
receives more resources, the woman smiles disposition “helpful” or “generous.” How-
at the man, the man’s pocket is no longer ever, if we think the man had some other
cluttered with coins). From this observed intention, such as impressing his girlfriend,
9780813349503.indb 230 5/16/14 1:50 PM

we do not infer he has the disposition “help- Yet people who perform a socially desirable
ful.” Thus, we attribute a disposition that act show us only that they are “normal” and
reflects the presumed intention. reveal nothing about their distinctive dis-
Several factors influence observers’ deci- positions. Suppose, for instance, that you
sions regarding which effect(s) the person observe a guest at a party thank the hostess
is really pursuing and, hence, what dispo- when leaving. What does this tell you about
sitional inference is appropriate. These fac- the guest? Did she really enjoy the party? Or
tors include the commonality of effects, the was she merely behaving in a polite, socially
social desirability of effects, and the norma- desirable fashion? You cannot be sure—
tiveness of effects (Jones & Davis, 1965). either inference could be correct. Now sup-
pose instead that when leaving, the guest
Commonality. If any given act produced complained loudly to the hostess that she
one and only one effect, then inferences had a miserable time at such a dull party.
of dispositions from acts would always be This would likely tell you more about her
clear-cut. Because many acts have multiple because observers interpret acts low in so-
effects, however, observers attributing special desirability as indicators of underlying
cific intentions and dispositions find it in- dispositions (Miller, 1976).
formative to observe the actor in situations
that involve choices between alternative Normative Expectations. When inferring
actions. dispositions from acts, observers consider
Suppose, for example, that a person can the normativeness of behavior. Normative-
engage either in action 1 or in action 2. Ac- ness is the extent to which we expect the
tion 1, if chosen, will produce effects a, b, average person to perform a behavior in a
and c. Action 2 will produce effects b, c, d, particular setting. This includes conformity
and e. As we can see, two of these effects (b to social norms and to role expectations in
and c) are common to actions 1 and 2. The groups (Jones & McGillis, 1976). Actions
remaining effects (a, d, and e) are unique to that conform to norms are uninformative
a particular alternative; these are noncom- about personal dispositions, whereas ac-
mon effects. The unique (noncommon) tions that violate norms lead to disposi-
effects of acts enable observers to make tional attributions. An observer could be
inferences regarding intentions and dispo- confident that a Michigan fan who cheered
sitions, but the common effects of two or for his team while sitting in the middle of
more acts provide little or no basis for in- Notre Dame’s student section is much
ferences (Jones & Davis, 1965). more passionate about football (a disposi-
Thus, observers who wish to discern tional attribution) than if the same fan was
the specific dispositions of a person try to acting similarly in the heart of the Michigan
identify effects that are unique to the action student section.
chosen. Research shows that the fewer non-
common effects associated with the chosen Covariation Model of Attribution
alternative, the greater the confidence of
observers about their attributions (Ajzen & Up to this point, we have examined how ob-
Holmes, 1976). servers make attributions regarding a per-
son’s behavior in a single situation. Some-
Social Desirability. In many situations, times, however, we have multiple obser-
people engage in particular behaviors be- vations of a person’s behavior. That is, we
cause those behaviors are socially desirable. have information about a person’s behavior
9780813349503.indb 231 5/16/14 1:50 PM

in a variety of situations or in a given sit- your boss the only person who does so (low
uation vis-à-vis different partners. Multiple consensus)?
observations enable us to make many com- Consistency refers to whether the actor
parisons, and these, in turn, facilitate causal behaves in the same way at different times
attribution. and in different settings. If your boss criti-
How do perceivers use multiple obser- cizes Zach on many different occasions, her
vations to arrive at a conclusion about the behavior is high in consistency. If she has
cause(s) of a behavior? Extending Heider’s never before criticized Zach, her behavior
ideas, Kelley (1967, 1973) suggests that is low in consistency.
when we have multiple observations of Distinctiveness refers to whether the ac-
behavior, we analyze the information es- tor behaves differently toward a particular
sentially in the same way a scientist would. object than toward other objects. If your
That is, we try to figure out whether the boss criticizes only Zach and none of the
behavior occurs in the presence or absence other workers, her behavior is high in dis-
of various factors (actors, objects, contexts) tinctiveness. If she criticizes all workers, her
that are possible causes. Then to identify behavior toward Zach is low in distinctive-
the cause(s) of the behavior, we apply the ness.
principle of covariation: We attribute the The causal attribution that observers
behavior to the factor that is both present make for a behavior depends on the par-
when the behavior occurs and absent when ticular combination of consensus, consis-
the behavior fails to occur—the cause that tency, and distinctiveness information that
covaries with the behavior. people associate with that behavior. To il-
To illustrate, suppose you are at work lustrate, Table 6.2 reviews the scenario in
one afternoon when you hear your boss which your boss criticizes Zach. The table
loudly criticizing another worker, Zach. To displays three combinations of informa-
what would you attribute your boss’s be- tion that might be present in this situation.
havior? There are at least three potential These combinations of information are in-
causes: the actor (the boss), the object of the teresting because studies have shown they
behavior (Zach), and the context or setting reliably produce different attributions re-
in which the behavior occurs. For example, garding the cause of the behavior (Cheng &
you might attribute the loud criticism to Novick, 1990).
your boss’s confrontational personality (a As Table 6.2 indicates, observers usually
characteristic of the actor), to Zach’s sloth- attribute the cause of a behavior to the ac-
ful performance (a characteristic of the ob- tor (the boss) when the behavior is low in
ject), or to some particular feature of the consensus, low in distinctiveness, and high
context. in consistency. In contrast, observers usu-
Kelley (1967) suggests that when using ally attribute a behavior to the object (Zach)
the principle of covariation to determine when the behavior is high in consensus,
whether a behavior is caused by the actor, high in distinctiveness, and high in consis-
object, or context, we rely on three types of tency. Finally, observers usually attribute a
information: consensus, consistency, and behavior to the context when consistency is
distinctiveness. low.
Consensus refers to whether all actors Several studies show that, at least in gen-
perform the same behavior or only a few do. eral terms, people use consensus, consis-
For example, do all the other employees at tency, and distinctiveness information in
work criticize Zach (high consensus), or is the way Kelley theorized (Hewstone & Jas-
9780813349503.indb 232 5/16/14 1:50 PM

TABle 6.2 Why Did the Boss criticize zach?

Situation: At work today, you observe your boss criticizing and yelling at another employee, Zach.
Question: Why did the boss criticize Zach?
1. Kelley’s (1973) model indicates that attributions are made to the actor (boss) when consensus is low,
distinctiveness is low, and consistency is high.
Example: Suppose no other persons criticize Zach (low consensus). The boss criticizes all the other employees
(low distinctiveness). The boss criticized Zach last month, last week, and yesterday (high consistency).
Attribution: The perceiver will likely attribute the behavior (criticism) to the boss. (“The boss is a very critical
person.”)
2. The model indicates that attributions are made to the stimulus object (Zach) when consensus is high,
distinctiveness is high, and consistency is high.
Example: Suppose everyone at work criticizes Zach (high consensus). The boss does not criticize anyone else at
work, only Zach (high distinctiveness). The boss criticized Zach last month, last week, and yesterday (high
consistency).
Attribution: The perceiver will likely attribute the behavior (criticism) to Zach. (“Zach is a lazy, careless worker.”)
3. The model indicates that attributions are made to the context or situation when consistency is low.
Example: Suppose the boss has never criticized Zach before (low consistency).
Attribution: The perceiver will likely attribute the behavior (criticism) to a particular set of contextual
circumstances rather than to Zach or the boss per se. (“Zach made a remark this morning that the boss
misinterpreted.”)
pars, 1987; McArthur, 1972; Pruitt & Insko, methods described by attribution theory
1980), although consensus seems to have a and fall prey to biases. These biases may
weaker effect on attributions than the other lead observers to misinterpret events and
two aspects of covariation (Winschild & to make erroneous judgments. This section
Wells, 1997). Of course, in any given situa- considers several major biases and errors in
tion, the combination of available informa- attribution.
tion may differ from the three possibilities
shown in Table 6.2. In such cases, attribu- Overattribution to Dispositions
tions are more complicated, more ambigu-
ous, and less certain. We usually assign less At the time of the Cuban Missile Crisis, the
weight to a given cause if other plausible Cuban leader Fidel Castro was generally un-
causes are also present (Kelley, 1972; Mor- popular, even feared, in the United States. In
ris & Larrick, 1995). an interesting study done shortly after the
crisis, Jones and Harris (1967) asked partici-
pants to read an essay written by another stu-
bIaS and error In attrIbutIon dent. Depending on the experimental con-
dition, the essay either strongly supported
According to the picture presented thus the Cuban leader or strongly opposed him.
far, observers scrutinize their environment, Moreover, the participants received infor-
gather information, form impressions, and mation about the conditions under which
interpret behavior in rational, if sometimes the student wrote the essay. They were told
unconscious, ways. In actuality, however, either that the essay was written by a student
observers often deviate from the logical who was assigned by the instructor to take a
9780813349503.indb 233 5/16/14 1:50 PM

pro-Castro or anti-Castro stand (no-choice universal than it originally seemed. The

condition) or that the essay was written by a tendency was mistakenly considered fun-
student who was free to choose whichever damental because early social psychological
position he or she wanted to present (choice research relied almost exclusively on Amer-
condition). The participants’ task was to ican and Western European participants in
infer the writer’s true underlying attitude surveys and experiments. Members of these
about Castro. In the conditions in which the cultures have a more independent view of
writer had free choice, participants inferred the self (Markus & Kitayama, 1991) than
that the content of the essay reflected the those in Eastern cultures, who were seldom
writer’s true attitude about Castro. That is, studied. Contemporary social psycholo-
they saw the pro-Castro essay as indicating gists, now more attentive to cultural dif-
pro-Castro attitudes and the anti-Castro ferences, find that members of collectivist
essay as indicating anti-Castro attitudes. In cultures (e.g., China, India, Taiwan) tend to
the conditions in which the writer was as- favor situational explanations over disposi-
signed the topic and had no choice, partic- tional ones—the reverse of the fundamental
ipants still thought the content of the essay attribution error (Smith & Bond, 1994). Al-
reflected the writer’s true attitude about though the term remains the same, through
Castro, although they were less sure that cross-cultural research social psychologists
this was so. Participants made these internal realize that the bias is not as fundamental as
attributions even though it was possible the it once seemed.
writer held an opinion directly opposite of Overemphasizing the importance of
that expressed in the essay. In effect, partic- disposition is especially dangerous when
ipants overestimated the importance of in- it causes us to overlook the advantages of
ternal dispositions (attitudes about Castro) power built into social roles. For instance,
and underestimated the importance of sit- we may incorrectly attribute the successes
uational forces (role obligations) in shaping of the powerful to their superior personal
the essay. capabilities, or we may incorrectly attribute
The tendency to overestimate the impor- the failures of persons without power to
tance of personal (dispositional) factors and their personal weaknesses.
to underestimate situational influences is
called the fundamental attribution error Focus-of-Attention Bias
(Higgins & Bryant, 1982; Ross, 1977; Small
& Peterson, 1981). This tendency was first A closely related error is the tendency to
identified by Heider (1944), who noted that overestimate the causal impact of whom-
most observers ignore or minimize the im- ever or whatever we focus our attention on;
pact of role pressures and situational con- this is called the focus-of-attention bias. A
straints on others and interpret behavior striking demonstration of this bias appears
as caused by people’s intentions, motives, in a study by Taylor and Fiske (1978). The
or attitudes. This bias toward dispositional study involved six participants who ob-
factors was labeled “fundamental” because served a conversation between two persons
it was documented in study after study over (Speaker 1 and Speaker 2). Although all six
the years and assumed to be universal (for participants heard the same dialogue, they
instance, Allison, Mackie, Muller, & Worth, differed in the focus of their visual atten-
1993; Jones, 1979; Ross, 2001; Sabini, Siep- tion. Two observers sat behind Speaker 1,
mann, & Stein, 2001). However, more re- facing Speaker 2; two sat behind Speaker 2,
cent research suggests that the bias is less facing Speaker 1; and two sat on the sides,
9780813349503.indb 234 5/16/14 1:50 PM

The students are visually focused on the professor, whereas the professor is visually focused on the
students. These visual perspectives influence attributions. If a lecture is not going well, the professor may
blame the class’s inattention and apathy, but the students are more likely to blame the professor and his
lack of teaching ability or enthusiasm. © Dirk Anschütz/Corbis
equally focused on the two speakers. Mea- a problem on the board, the professor is
sures taken after the conversation showed what captures our attention. In fact, many
that observers thought the speaker they of the contextual influences on the actor
faced not only had more influence on the (for example, things that happened earlier
tone and content of the conversation but in the day or a pounding headache) may
also had a greater causal impact on the be completely invisible to us (Gilbert &
other speaker’s behavior. Observers who sat Malone, 1995) or simply less salient (the
on the sides and were able to focus equally distracting murmur from our classmates)
on both speakers attributed equal influence as we focus on the professor. Because many
to them. of us are socialized to direct our attention
We perceive the stimuli that are most more to people who act than to the context,
salient in the environment—those that we attribute more causal importance to
attract our attention—as most causally people (the math professor is nervous or
influential. Thus, we attribute most causal incapable) than to their situations.
influence to people who are noisy, colorful,
vivid, or in motion. We credit the person Actor-Observer Difference
who talks the most with exercising the
most influence; we blame the person who Actors and observers make different at-
we see run past us when we hear a rock tributions for behavior. Observers tend
shatter a window. Although salient stimuli to attribute actors’ behavior to the actors’
may be causally important in some cases, internal characteristics, whereas actors
we overestimate their importance (Krull & believe their own behavior is due more to
Dill, 1996; McArthur & Post, 1977). characteristics of the external situation
The focus-of-attention bias provides (Jones & Nisbett, 1972; Watson, 1982). This
one explanation for the fundamental tendency is known as the actor-observer
attribution error. The person behaving is difference. Thus, although other custom-
the active entity in the environment. If we ers in a market may attribute the mix of
watch our math professor struggle with items in your grocery cart (beer, vegetables,
9780813349503.indb 235 5/16/14 1:50 PM

candy bars) to your personal characteris- was due simply to a difference in perspec-
tics (hard-drinking, vegetarian, chocolate tive, it might be possible to reverse the ac-
addict), you will probably attribute it to the tor-observer difference by making the actor
requirements of your situation (preparing see the behavior from the observer’s view-
for a party) or the qualities of the items (nu- point and the observer see the same behav-
tritional value or special treat). ior from the actor’s viewpoint. To give each
In one demonstration of the actor- the other’s point of view, Storms video-
observer difference (Nisbett, Caputo, Le- taped a conversation between two people,
gant, & Maracek, 1973), male students wrote using two separate cameras. One camera
descriptions explaining why they liked their recorded the interaction from the visual
girlfriends and why they chose their majors. perspective of the actor, the other from the
Then, as observers, they explained why their perspective of the observer. Storms then
best friend liked his girlfriend and chose his showed actors the videotape made from
major. When explaining their own actions, the observer’s perspective, and he showed
the students emphasized external charac- observers the videotape made from the ac-
teristics like the attractive qualities of their tor’s perspective. As predicted, reversing
girlfriends and the interesting aspects of the visual perspectives reversed the actor-
their majors. However, when explaining observer difference in attribution; finding
their friends’ behavior, they downplayed ways to make individuals more self-aware
external characteristics and emphasized can, therefore, reduce the actor-observer
their friends’ internal dispositions (prefer- bias (Fejfar & Hoyle, 2000).
ences and personalities).
Two explanations for the actor-observer Information. A second explanation for the
difference in attribution are that actors and actor-observer difference is that actors have
observers have different visual perspectives information about their own past behavior
and different access to information. and the context relevant to their behavior
that observers lack (Johnson & Boyd, 1995).
Visual Perspectives. The actor’s natural Thus, for example, observers may assume
visual perspective is to look at the situa- that certain behaviors are typical of an ac-
tion, whereas the observer’s natural per- tor when in fact they are not. This would
spective is to look at the actor. Thus, the cause observers to make incorrect disposi-
actor-observer difference reflects a differ- tional attributions. An observer who sees a
ence in the focus of attention. Both the ac- clerk return an overpayment to a customer
tor and the observer attribute more causal may assume the clerk always behaves this
influence to what they focus on. Consider way—resulting in a dispositional attribu-
the students and math professor from the tion of honesty. However, if the clerk knows
focus-of-attention example above. The he has often cheated customers in the past,
students in the example may think of their he would probably not interpret his current
math professor as incapable because she is behavior as evidence of his honest nature.
the students’ visual focus. The professor, Consistent with this, research shows that
who cannot see herself and whose visual observers who have a low level of acquain-
attention is turned toward the classroom, tance with the actor tend to form more
blames the disrespectful behavior of the dispositional attributions and fewer situa-
students in her class. tional attributions than those who have a
Storms (1973) reasoned that if the high level of acquaintance with the actor
actor-observer difference in attributions (Prager & Cutler, 1990).
9780813349503.indb 236 5/16/14 1:50 PM

Even when observers have some infor- executive manages the crisis smoothly, the
mation about an actor’s past behavior, they same people may credit this to the effective-
often do not know how changes in context ness of her male assistant. When observers
influence the actor’s behavior. This is be- selectively attribute behaviors that contra-
cause observers usually see an actor only dict stereotypes to situational influences,
in limited contexts. Suppose that students these behaviors reveal nothing new about
observe a professor delivering witty, enter- the persons who perform them. As a result,
taining lectures in class week after week. the stereotypes persist (Hamilton, 1979).
The professor knows that in other social Social psychologists refer to our tendency
situations he is shy and withdrawn, but the to view our initial assumption as correct de-
students do not have an opportunity to see spite evidence to the contradictory as belief
this. As a result, the observers (students) perseverance (Ross, Lepper & Hubbard,
may infer dispositions from apparently 1975).
consistent behavior that the actor (the pro- Motivational biases may also influence
fessor) knows to be inconsistent across a attributions for success and failure. People
wider range of contexts. tend to take credit for acts that yield positive
outcomes, whereas they deflect blame for
Motivational Biases bad outcomes and attribute them to exter-
nal causes (Bradley, 1978; Campbell & Se-
Up to this point, we have considered attribu- dikides, 1999; Ross & Fletcher, 1985). This
tion biases based on cognitive factors. That phenomenon, referred to as the self-serv-
is, we have traced biases to the types of in- ing bias, is illustrated clearly by athletes’ re-
formation that observers have available, ac- porting of the results of competitions (Lau
quire, and process. Motivational factors—a & Russell, 1980; Ross & Lumsden, 1982).
person’s needs, interests, and goals—are an- Whereas members of winning teams take
other source of bias in attributions. credit for winning (“We won”), members of
When events affect a person’s self- losing teams are more likely to attribute the
interests, biased attribution is likely. Spe- outcome to an external cause—their oppo-
cific motives that influence attribution nent (“They won,” not “We lost”). Students
include the desire to defend deep-seated are similar. In a study in which college stu-
beliefs, to enhance one’s self-esteem, to in- dents were asked to explain the grades they
crease one’s sense of control over the envi- received on three examinations (Bernstein,
ronment, and to strengthen the favorable Stephan, & Davis, 1979), students who re-
impression of oneself that others have. ceived As and Bs attributed their grades
The desire to defend cherished beliefs much more to their own effort and ability
and stereotypes may lead observers to en- than to good luck or easy tests. However,
gage in biased attribution. Observers may students who received Cs, Ds, and Fs at-
interpret actions that correspond with their tributed their grades largely to bad luck
stereotypes as caused by the actor’s per- and the difficulty of the tests. Other studies
sonal dispositions. For instance, they may show similar effects (Reifenberg, 1986).
attribute a female executive’s outburst of Various motives may contribute to this
tears during a crisis to her emotional in- self-serving bias in attributions of perfor-
stability because that corresponds to their mance. For instance, attributing success to
stereotype about women. At the same time, personal qualities and failure to external
people attribute actions that contradict ste- factors enables us to enhance or protect our
reotypes to situational causes. If the female self-esteem. Regardless of the outcome, we
9780813349503.indb 237 5/16/14 1:50 PM

can continue to see ourselves as competent TABle 6.3 Perceived causes of success and
and worthy. Moreover, by avoiding the at- Failure
tribution of failure to personal qualities, we
loCuS oF ConTrol
maximize our sense of control. This in turn
supports the belief that we can master chal- Degree oF STABIlITY InTernAl exTernAl
lenges successfully if we choose to apply Stable Ability Task difficulty
ourselves because we possess the necessary Unstable Effort Luck
ability.
Source: Adapted from Weiner, Heckhausen, Meyer, and
Cook, 1972.
Attributions for Success and Failure
Given motivational biases, how do observ- stability-instability can they reach conclu-
ers (and actors) decide which of these is sions regarding the cause(s) of the success
the “real” cause of success or failure? For or failure.
students, football coaches, elected officials, As various theorists (Heider, 1958;
and anyone else whose fate rides on evalua- Weiner, 1986; Weiner et al., 1971) have
tions of their performance, attributions for pointed out, the four factors aforemen-
success and failure are vital. As observers tioned—ability, effort, task difficulty, and
realize, however, attributions of this type luck—can be grouped according to inter-
are problematic. Whenever someone suc- nality-externality and stability-instability.
ceeds at a task, a variety of explanations can Ability, for instance, is usually considered
be advanced for the outcome. For example, internal and stable. That is, observers usu-
a student who passes a test could credit her ally construe ability or aptitude as a prop-
own intrinsic ability (“I have a lot of intelli- erty of the person (not the environment),
gence”), her effort (“I really studied for that and they consider it stable because it does
exam”), the easiness of the task (“The exam not change from moment to moment. In
could have been much more difficult”), or contrast, effort is internal and unstable. Ef-
even luck (“They just happened to test us on fort or temporary exertion is a property of
the few articles I read”). the person that changes depending on how
These four factors—ability, effort, task hard he or she tries. Task difficulty depends
difficulty, and luck—are general and apply on objective task characteristics, so it is ex-
in many settings. When observers look at ternal and stable. Luck or chance is external
an event and try to figure out the cause of and unstable. Table 6.3 displays these rela-
success or failure, they must consider two tions.
things. First, they must decide whether the
outcome is due to causes within the actor Determinants of Attributed Causes.
(an internal or dispositional attribution) or Whether observers attribute a performance
due to causes in the environment (an ex- to internal or external causes depends on
ternal or situational attribution). Second, how the actor’s performance compares
they must decide whether the outcome is with that of others. We usually attribute
a stable or an unstable occurrence. That extreme or unusual performances to inter-
is, they must determine whether the cause nal causes. For example, we would judge a
is a permanent feature of the actor or the tennis player who wins a major tournament
environment or whether it is labile and as extraordinarily able or highly motivated.
changing. Only after observers make judg- Similarly, we would view a player who has
ments regarding internality-externality and an unusually poor performance as weak in
9780813349503.indb 238 5/16/14 1:50 PM

ability or unmotivated. In contrast, we usu- might nevertheless expect improved grades

ally attribute average or common perfor- in the future. Finally, if we attribute our
mances to external causes. If defeat comes poor performance to the difficulty of the
to a player halfway through the tourna- exam, we may become angry, but we do not
ment, we are likely to attribute it to tough strive for improvement (McFarland & Ross,
competition or perhaps bad luck. 1982; Valle & Frieze, 1976; Weiner, 1985,
Whether observers attribute a perfor- 1986).
mance to stable or unstable causes depends
on how consistent the actor’s performance
is over time (Frieze & Weiner, 1971). When SuMMary
performances are very consistent, we attri-
bute the outcome to stable causes. Thus, if Social perception is the process of using in-
a tennis player wins tournaments consis- formation to construct understandings of
tently, we would attribute this success to the social world and form impressions of
her great talent (ability) or perhaps to the people.
uniformly low level of her opponents (task
difficulty). When performances are very in- Schemas. A schema is a well-organized
consistent, however, we attribute the out- structure of cognitions about some social
comes to unstable causes rather than stable entity. (1) There are several distinct types
ones. Suppose, for example, that our tennis of schemas: person schemas, self-schemas,
player is unbeatable one day and a pushover group schemas (stereotypes), role sche-
the next. In this case, we would attribute mas, and event schemas (scripts). (2) Sche-
the outcomes to fluctuations in motivation mas organize information in memory and,
(effort) or to random external factors such therefore, affect what we remember and
as wind speed, court condition, and so on what we forget. Moreover, they guide our
(luck). inferences and judgments about people and
objects.
Consequences of Attributions. Attribu-
tions for performance are important be- Person Schemas and Group Stereotypes.
cause they influence both our emotional (1) One important type of person schema is
reactions to success and failure and our an implicit personality theory—a set of as-
future expectations and aspirations. For in- sumptions about which personality traits go
stance, if we attribute a poor exam perfor- together with other traits. These schemas
mance to lack of ability, we may despair of enable us to make inferences about other
future success and give up studying; this is people’s traits. We can depict an implicit
especially likely if we view ability as given personality theory as a mental map. (2) A
and not controllable by us. Alternatively, if stereotype is a fixed set of characteristics
we attribute the poor exam performance to attributed to all members of a given group.
lack of effort, we may feel shame or guilt, American culture includes stereotypes
but we are likely to study harder and expect for ethnic, racial, gender, and many other
improvement. If we attribute the poor exam groups. Because stereotypes are overgen-
performance to bad luck, we may experi- eralizations, they cause errors in inference;
ence feelings of surprise or bewilderment, this is especially true in complex situations.
but we are not likely to change our study
habits, because the situation will not seem Impression Formation. (1) Research
controllable; despite this lack of change, we on trait centrality using the “warm/cold”
9780813349503.indb 239 5/16/14 1:50 PM

variable illustrates how variations in a sin- bute their own behavior to external forces
gle trait can produce a large difference in in the situation, whereas observers attribute
the impression formed by observers of a the same behavior to the actor’s personal
stimulus person. (2) Information received dispositions. (4) Motivations—needs, inter-
early usually has a larger impact on im- ests, and goals—lead people to make self-
pressions than information received later; serving, biased attributions. People defend
this is called the primacy effect. (3) Im- deep-seated beliefs by attributing behavior
pressions become self-fulfilling prophecies that contradicts their beliefs to situational
when we behave toward others according influences. People defend their self-esteem
to our impressions and evoke correspond- and sense of control by attributing their
ing reactions from them. (4) Impressions failures to external causes and taking per-
are informed by schemas that are selected sonal credit for their successes.
through mental shortcuts called heuristics.
Attributions for Success and Failure. Ob-
Attribution Theory. Through attribution, servers attribute success or failure to four
people infer an action’s causes from its ef- basic causes—ability, effort, task difficulty,
fects. (1) One important issue in attribution and luck. They attribute consistent perfor-
is locus of causality—dispositional (inter- mances to stable rather than to unstable
nal) versus situational (external) attribu- causes, and they attribute average perfor-
tions. Observers follow the subtractive rule mances to external rather than internal
when making attributions to dispositions or causes.
situations. (2) To attribute specific disposi-
tions to an actor, observers observe an act
and its effects and then try to infer the ac- List of Key Terms and Concepts
tor’s intention with respect to that act. Ob-
servers then attribute the disposition that actor-observer difference (p. 235)
corresponds best with the actor’s inferred attribution (pp. 206, 228)
intention. (3) Observers who have infor- belief perseverance (p. 237)
mation about an actor’s behaviors in many categorization (p. 208)
situations make attributions to the actor, complexity-extremity effect (p. 213)
object, or context. The attribution made confirmation bias (p. 207)
depends on which of these causes covaries dispositional attribution (p. 228)
with the behavior in question. Observers focus-of-attention bias (p. 234)
assess covariation by considering consen- fundamental attribution error (p. 234)
sus, consistency, and distinctiveness infor- halo effect (p. 216)
mation. heuristics (p. 226)
implicit personality theory (p. 214)
Bias and Error in Attribution. (1) Ob- impression formation (p. 233)
servers frequently overestimate personal primacy effect (p. 225)
dispositions as causes of behavior and un- principle of covariation (p. 232)
derestimate situational pressures; this bias prototype (p. 208)
is called the fundamental attribution error. recency effect (p. 225)
(2) Observers also overestimate the causal schema (p. 208)
impact of whatever their attention is fo- self-fulfilling prophecy (p. 226)
cused on. (3) Actors and observers have dif- self-serving bias (p. 237)
ferent attribution tendencies. Actors attri- situational attribution (p. 228)
9780813349503.indb 240 5/16/14 1:50 PM

social perception (p. 206) If so many stereotypes turn out not to be

stereotype (p. 216) accurate, why do people continue to stereo-
stereotype threat (p. 219) type? Although this chapter introduced cog-
subtractive rule (p. 228) nitive efficiency as a possible explanation,
subtyping (p. 222) another motivation is self-enhancement.
trait centrality (p. 224) We make ourselves feel better by deni-
grating people from another group. For ex-
ample, if we say or think, “Teenagers are so
Critical Thinking Skill: irresponsible,” by implication we, as adults,
Understanding Stereotyping are much more responsible. Although when
people stereotype for cognitive efficiency,
Although our culture makes it seem as the stereotypes can be positive or negative,
though there are vast differences between when people stereotype for self-enhance-
men and women, the scientific data show a ment purposes, the stereotypes tend to be
very different picture. Men and women are negative.
actually quite similar on most, though not How does this illuminate potential rea-
all, psychological characteristics, including sons for gender stereotyping? Answer this
behaviors such as math performance and question before you proceed to the next
leadership (Hyde, 2005). If men and women paragraph.
are so similar, why do people like to believe
they are so different? When people engage in gender stereotyp-
The answers lie in stereotypes and mo- ing, sometimes it is for cognitive efficiency.
tives for stereotyping. As noted in the chap- Assuming that a man is interested in sports
ter, a stereotype is a generalization about allows us to know what to ask him when we
a group of people (e.g., men) that distin- see him. Other times, people engage in gen-
guishes those people from another group der stereotyping for self-enhancement pur-
(e.g., women). Gender stereotypes abound. poses. A man might say, “You women are so
Women are talkative, and men have little to emotional,” which makes him feel emotion-
say. Women are submissive, whereas men ally in control and masculine. Or a woman
are dominant. Women are best suited for might say, “Men are just clueless about how
the humanities and social sciences, whereas other people feel,” making her feel good
men excel at science and math. When we about her skills at reading others’ emotions.
collect rigorous scientific data, it turns out Good critical thinking involves under-
that some stereotypes are fairly accurate standing why people stereotype and ac-
and some are not. For example, it turns knowledging that stereotypes are often not
out that although men tend to dominate accurate. The next time you hear someone
task-oriented groups and women acquiesce (or yourself!) making a stereotyped com-
(Ridgeway, 2011), gender differences in ment (whether based on gender, race, age,
talkativeness is tiny (Leaper & Smith, 2004) or other differences), ask yourself two ques-
and girls and boys perform equally on stan- tions: (1) What is the person’s/your goal in
dardized math tests (Hyde et al., 2008) (see stereotyping? and (2) Is this an accurate ste-
also Box 15.1). reotype that is supported by scientific data?
9780813349503.indb 241 5/16/14 1:50 PM

9780813349503.indb 242 5/16/14 1:50 PM
chaPter 7
AttitudEs
introduction 244 characteristics of the attitude 260
the nature of Attitudes 244 attitude-Behavior correspondence 262
the components of an attitude 244 Situational constraints 264
attitude formation 245 reference Groups 264
the functions of attitudes 248 the Reasoned Action Model 265

Attitude organization 249 Summary 266
attitude Structure 249 List of Key Terms and Concepts 268
Cognitive Consistency 251 Critical Thinking Skill:
Balance theory 252 Analyzing Attitudes 268
theory of cognitive Dissonance 254
the Relationship Between Attitudes

and Behavior 258
Do attitudes Predict Behavior? 258
accessibility and activation of
the attitude 259
243
9780813349503.indb 243 5/16/14 1:50 PM

244 aTTITudEs
IntroductIon spend billions of dollars every year trying

to create favorable attitudes. If they suc-
• “The Yankees are awesome!” ceed, do these attitudes affect our behavior?
What about when your parents or friends
• “My human sexuality class is really
try to influence your attitudes? Are you less
boring.”
likely to smoke if your parents tell you it is
• “I like my job.” a dirty and dangerous habit or to become
vegetarian if your friends tell you about the
• “Something needs to be done about the
documentary they watched on industrial
nation’s debt.”
animal farming?
• “The drinking age should be lowered.” In this chapter, we consider three main
questions:
• “Guns don’t kill people; people kill
people.”
1. What is an attitude? Where do
What do these statements have in com- attitudes come from, and how are
mon? Each represents an attitude—a pre- they formed?
disposition to respond to a particular object
in a generally favorable or unfavorable way 2. How are attitudes linked to other
(Ajzen, 1982). A person’s attitudes influence attitudes? How does this organization
the way in which he or she perceives and re- affect attitude change?
sponds to the world (Allport, 1935; Thomas
& Znaniecki, 1918). For example, attitudes 3. What is the relationship between
influence attention—the person who likes attitudes and behavior?
the Yankees is more likely to notice news
stories about the team and its players. At-
titudes also influence behavior—the person the nature of attItudeS
who thinks the drinking age should be low-
ered is more likely to drink before their 21st An attitude exists in a person’s mind; it is a
birthday. mental state. Every attitude is about some-
Attitudes do not exist in isolation. The thing, the “object” of the attitude. This
person who believes that the nation’s debt section introduces the components of an
is too high likely has a whole set of beliefs attitude, the sources of attitudes, and the
about the role of government in the econ- functions of attitudes.
omy. They are more likely to support aus-
terity measures, to think that the govern- The Components of an Attitude
ment needs to cut items from its budget,
and that entitlement programs like Medi- Consider the following statement: “My hu-
care should be reformed. Because attitudes man sexuality class is really boring.” This
can influence behavior, holding these at- attitude has three components: (1) beliefs
titudes might influence who an individual or cognitions, (2) an evaluation, and (3) a
votes for or whether they will write their behavioral predisposition.
congressperson before an important vote
on the debt ceiling. If attitudes influence Cognition. An attitude is based on a set of
behavior, is it possible to change behavior cognitions or knowledge structures associ-
by changing attitudes? Politicians, lobby- ated with the attitude object (Pratkanis &
ists, auto manufacturers, and restaurants Greenwald, 1989). The person who doesn’t
9780813349503.indb 244 5/16/14 1:50 PM

aTTITudEs 245
like his or her human sexuality class per- attitude, such as assuring you that most
ceives it as involving certain content, taught snakes are not poisonous or that poisonous
by a particular person. Often we cannot snakes are more scared of you than you are
prove whether particular beliefs are true or of them, if you have a phobia of snakes, you
false. For example, economists, politicians, would jump at the sight of one. Your more
and constituents disagree on whether the affect-based attitudes are difficult to change
nation’s debt is too high, with people on with cognitive reasoning.
both sides equally convinced they are right. Other attitudes are cognition-based,
with the cognitive components of that at-
Evaluation. An attitude also has an eval- titude taking priority: “The Toyota Prius
uative or affective component. “It’s really is the best hybrid car.” Less important for
boring” indicates that the course arouses a this attitude is whether you are aesthetically
mildly unpleasant emotion in the speaker. drawn to the car, which would be a more
An attitude is not just based on what people evaluative component, and more import-
think but also how they feel about an object. ant is what you know—the cognitive com-
Stronger negative emotions include dislike, ponent of your attitudes—about the car. It
hatred, or even loathing: “I can’t stand punk is reliable, gets good gas mileage, and has
rock.” Of course, the evaluation may be pos- a lower carbon footprint than other mod-
itive: “Thai food is good” or “The Yankees els. It is not that how you feel about the car
are awesome!” The evaluative component is unimportant; rather, it is simply that the
has both a direction (positive or negative) affect-based evaluation is not central to the
and an intensity (ranging from very weak to attitude.
very strong). Greater consistency between the cogni-
tive and affective components is associated
Behavioral Predisposition. An attitude with greater attitude stability and resistance
also involves a predisposition to respond to persuasion (Chaiken & Yates, 1985).
or a behavioral tendency toward the object. Greater consistency is also associated with
“It’s boring” implies a tendency to avoid the a stronger relationship between attitude
class. “I like my job” suggests an intention and behavior, a connection discussed later
to go to work. People who hold a specific at- in this chapter.
titude are inclined to behave in certain ways
that are consistent with that attitude. Attitude Formation
Relationships Among the Components. Where do attitudes come from? How are
Cognitive, evaluative, and behavioral com- they formed? The answer lies in the pro-
ponents all have the same object, so we cesses of socialization (discussed in Chap-
would expect them to form a single, rela- ter 3). Attitudes may be formed through
tively consistent whole. However, these reinforcement (instrumental conditioning),
three components are distinct; if they were through associations of stimuli and re-
identical, we would not need to distinguish sponses (classical conditioning), or by ob-
among them (Kothandapani, 1971). serving others (observational learning).
Some attitudes are affect-based; they are Attitudes toward our classes and jobs
primarily driven by the evaluative compo- might be formed through instrumental
nent of the attitude: “I am scared of snakes” conditioning—that is, learning based on
(Edwards, 1990). Even if someone tried to direct experience with the object. If you
influence the cognitive components of the experience rewards related to some object,
9780813349503.indb 245 5/16/14 1:50 PM

246 aTTITudEs
your attitude will be favorable. Thus, if your similar to those held by their parents (Glass,
work provides you with good pay, a sense Bengston, & Dunham, 1986; Sinclair, Dunn,
of accomplishment, and compliments from & Lowery, 2005; Thornton, 1984). This is in
your coworkers, your attitude toward it will part because of observational learning, but
be quite positive. Conversely, if you associ- the similarity between parents’ and chil-
ate negative emotions or unpleasant out- dren’s attitudes may also be a product of
comes with some object, you will dislike it. instrumental learning because parents typ-
If you experience frequent embarrassment ically reward their children—consciously
in your human sexuality class or have strug- or unconsciously—for adopting the same
gled to stay awake while doing the course or similar attitudes. Friends are another
reading and scored poorly on every test and important source of our attitudes. The at-
assignment, you are likely to have a very titude that the drinking age should be low-
negative attitude toward the course. ered, for example, may be learned through
However, only a small portion of our interaction with peers.
attitudes are based on direct contact with Many of us grow up in homogeneous
objects. We can also acquire attitudes and settings, within families that are similar to
prejudices toward objects through classical us and among neighbors and friends who
conditioning, in which a stimulus gradually hold both similar attributes (race, social
elicits a response through repeated associa- class) and attitudes. However, when we
tion with other stimuli. Children learn at an attend college, we often encounter peo-
early age that “lazy,” “dirty,” “stupid,” and ple—both students and faculty—who are
many other characteristics are undesirable. quite different from us. This is one of the
Children themselves are often punished for reasons significant attitude shifts often
being dirty or hear adults say, “Don’t be stu- occur during young adulthood. A classic
pid!” If they hear their parents (or others) study of Bennington College women by
refer to members of a particular group as Newcomb (1943) demonstrated the impact
lazy or stupid, children increasingly associ- of peers on the political attitudes of college
ate the group name with the negative reac- students. Although the majority of these
tions these terms initially elicited. Several women grew up in wealthy, politically con-
experiments have shown that classical conservative families, most of the faculty—and
ditioning can produce negative attitudes a number of students—at Bennington had
toward groups (Lohr & Staats, 1973; Staats very liberal political attitudes. The study
& Staats, 1958). Furthermore, these learned demonstrated that first-year students who
associations play an important role in the maintained close ties with their families
automatic (low-effort) processing and un- and did not become involved in campus
conscious reactions to stimuli (Moskowitz, activities remained conservative. However,
Skurnik, & Galinsky, 1999). In other words, women who became active in the college
these attitudes affect our behavior regard- community and interacted more frequently
less of whether we realize we have them with other students and with faculty gradu-
(see Box 7.1 and the photos on p. 248). ally became more liberal.
We also learn attitudes more directly Another source of attitudes is the media,
by observing others and interacting with especially television and films. The media
them. For example, we acquire many of our provide interpretive packages or frames
attitudes from our parents. Research shows about objects that may influence viewers’
that children’s attitudes toward gender and readers’ attitudes. By portraying events
roles, divorce, and politics frequently are and actors in certain ways, TV news, news
9780813349503.indb 246 5/16/14 1:50 PM

aTTITudEs 247
Box 7.1 research update: The Implicit Associations Test
Social psychologists are increasingly aware that are combined tasks, in which all four exemplars
people are sometimes unwilling—and often are shown in various combinations, and respon-
unable—to report their attitudes on surveys. Al- dents are explicitly instructed on how to classify
though people’s unwillingness often stems from objects (to categorize men’s names and science
concerns about political correctness, their inabil- and math subjects using E and women’s names
ity to report attitudes has also been attributed and humanities and liberal arts classes using I).
to people’s limited awareness of those attitudes. If they hold implicit attitudes that are consistent
When it comes to attitudes—in the words of with these pairings, they should be able to com-
dual-process theories—some them are low- plete this task more quickly (and with fewer er-
effort rather than high-effort. rors) than they will the final block (in which the
Although these automatic or implicit atti- pairing will be reversed). In the last block, the
tudes are beyond our consciousness, they pro- same key will be used for women’s names as for
foundly influence our perceptions and behavior. science and math and another key for both men’s
For social scientists to fully explore the impact of names and humanities and liberal arts.
implicit attitudes on social life, they had to find a If a respondent possesses an attitude—even
way to measure them. To do that, they developed an unconscious one—they have a mental associ-
the Implicit Associations Test (IAT). ation between the affective or cognitive compo-
The IAT is a computerized test that measures nent of the attitude (academic strengths) and the
individuals’ response latencies when they encoun- attitude object (gender). The implicit association
ter attitude-consistent and attitude-inconsistent is able to gauge that mental association by com-
stimuli. For example, if someone holds the atti- paring individuals’ response latencies in the third
tude that men are more inclined toward math and and fourth blocks and then considering the num-
science and that women are more inclined to the ber of errors (Greenwald, Nosek, Banaji, 2003).
humanities and liberal arts, they should be able to The IAT has been used to measure a variety of
process information linking men and math (atti- implicit attitudes—including racial stereotypes,
tude-consistent) more quickly than they would ageism, and gender roles. It is particularly useful
women and science (attitude-inconsistent) and, for socially sensitive topics, in which respondents’
therefore, have a shorter response latency. concerns about impression management might
To test this, the IAT has subjects complete a distort their self-report responses. Research finds
number of blocks. First, respondents are asked to that the IAT is often more predictive of behavior
use two keys (often E and I) to classify exemplars than self-reports.
of two contrasted concepts (for example, men You can try the IAT yourself by visiting http://
and women’s names). The next block will, once implicit.harvard.edu.
again, ask respondents to use the keys to classify
exemplars of contrasted concepts (for example, Source: Adapted from Greenwald, Poehlmann, Uhl-
algebra and English). The third and fourth blocks mann, & Banaji, 2009.
magazines, and newspapers can produce group (Myers & Caniglia, 2004). Similarly,
cognitive images that influence attitudes. portrayals of families of various social
For example, television coverage of racially classes—such as The Real Housewives or
charged riots depicting a racial group as Roseanne—shape viewers’ attitudes toward
being volatile, dangerous, or unreason- those groups, whether positive or negative
able fosters negative attitudes toward that (Kendall, 2011).
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248 aTTITudEs
Left: Two residents wade through chest-deep water after finding

bread and soda from a local grocery store after Hurricane Ka-
trina came through the area on August 29, 2005, in New Orleans,
Louisiana. Katrina was downgraded to a category 4 storm as it
approached New Orleans. © AP Photo/Dave Martin
Above: A young man walks through chest-deep flood water after

looting a grocery store in New Orleans on Tuesday, August 30,
2005. Flood waters continue to rise in New Orleans after Hur-
ricane Katrina did extensive damage when it made landfall on
Monday. © Chris Graythen/Getty Images
Implicit associations were likely at play when the same behavior (taking items from stores) was described
in one news agency photo caption (left) as “finding” when attributed to Whites and in another caption
(right) as “looting” when attributed to Blacks.
The Functions of Attitudes about that category’s members. The affec-

tive and cognitive components of our atti-
We acquire attitudes through learning, but tudes influence our behavior (Bodenhausen
there would be no reason to retain them— & Wyer, 1985; Fiske, Lin, & Neuberg, 1999).
and to draw on them so frequently—if they Reacting to every member of the group in
did not serve at least some important func- the same way is more efficient, even if less
tions (Katz, 1960; Pratkanis & Greenwald, accurate and satisfying, than trying to learn
1989). about each person as an individual.
The first is the heuristic function. Once Stereotypes of groups are often associ-
they are developed, attitudes provide a sim- ated with intense emotions. A strong like
ple and efficient means of evaluating ob- or dislike for members of a specific group
jects (Fazio, 1995). Attitudes help us decide is called a prejudice. Prejudice and stereo-
whether objects are something we want to typing (discussed in Chapter 6) go together,
approach or avoid (Ajzen & Sexton, 1999). with people using their stereotyped beliefs
Because the world is too complex for us to to justify prejudice toward members of the
completely understand, we group people, group. The emotional component of prej-
objects, and events into categories or sche- udice can lead to intergroup conflict (see
mas and develop simplified (stereotyped) Chapter 13).
attitudes that allow us to treat individuals Second, attitudes define the self and
as members of a category. Our attitudes maintain self-worth. Some attitudes ex-
about that category (object) provide us with press an individual’s basic values and re-
meaning—a basis for making inferences inforce his or her self-image. Think about
9780813349503.indb 248 5/16/14 1:50 PM

aTTITudEs 249
your musical tastes, your attitudes toward ciate me.” Research indicates that experi-
particular music. What does your dislike ences that threaten a person’s self-esteem
of rap or your love of country or your tol- are particularly likely to lead to a more neg-
erance of “anything but heavy metal” say ative evaluation of other groups (Crocker,
about you (Bryson, 1996)? We tend to Thompson, McGraw, & Ingerman, 1987).
adopt attitudes we see as consistent with This is particularly true among people who
our identities. For example, many political have high self-esteem. If self-esteem is al-
conservatives in our society have negative ready low, there is no reason to shift atti-
attitudes toward abortion, immigration, tudes to protect it.
and government-sponsored entitlement
programs that help the poor. Thus, a person
whose self-concept includes conservatism attItude organIzatIon
might adopt these attitudes because they
align with that self-image. Attitude Structure
Even if an individual never gave a partic-
ular attitude much thought, he or she will Have you ever tried to change another
see attitudes as symbolic of his or her iden- person’s attitude toward an object (global
tification with or membership in particular warming) or a behavior (recycling)? If you
groups or subcultures. A first-year student have, you probably discovered that the per-
at Notre Dame who never gave a thought to son had a counterargument for almost every
football might suddenly adopt the attitude argument you put forth. She or he probably
that the Fighting Irish are the best football had several reasons why her or his attitude
team ever simply because it is consistent was correct. This tendency flows from how
with his self-image as a member of the No- attitudes are arranged in our minds. Atti-
tre Dame community. The attitudes “Guns tudes are usually embedded in a cognitive
don’t kill people; people kill people” and structure, linked with a variety of other atti-
“The only way to stop a bad guy with a gun tudes. Not only would changing one attitude
is a good guy with a gun” are widespread require shifting a slew of other attitudes, but
among members of the National Rifle As- the other attitudes also work as a support
sociation (NRA). Holding these attitudes structure to keep the original attitude intact.
may be both a prerequisite to acceptance by We can often discover which other cog-
other group members and a symbol of loy- nitive elements are related to a particular
alty to the group. attitude by asking the person why he or she
Finally, some attitudes protect the per- holds that attitude. Consider the following
son from recognizing certain thoughts or interview:
feelings that threaten his or her self-image.
For instance, Sarah may have received a interviewer: Why do you think same-sex
negative performance review at work. In marriage should be legal?
order to maintain a positive self-image, she justin: Because the Constitution’s Bill of
may adopt attitudes that shift the blame to- Rights says that all Americans should
ward other entities (van Dellen, Campbell, have equal rights and protections. To ex-
Hoyle, & Bradfield, 2011). If she originally clude same-sex couples from the rights
held a positive attitude toward her job or and protections of marriage is unfair.
her manager, she might adopt a more neg- interviewer: Are there any other reasons?
ative one instead, thinking “that job is not justin: Well, I think children do best in
fulfilling” or “my manager fails to appre- homes with two parents, and marriage
9780813349503.indb 249 5/16/14 1:50 PM

250 aTTITudEs
would encourage more people to stay to- tudes. If Justin were to align himself with
gether and raise their children. the Chinese Communist Party and declare
interviewer: Any other reasons? the U.S. Constitution untenable and unrea-
justin: Um … yeah. I believe that who we are sonable, the change in his primitive beliefs
attracted to is not usually a choice. I have will likely lead to changed attitudes toward
always been attracted to women. I was many objects, including his views of de-
born that way. Why is someone who is mocracy, freedom of speech, and equality.
attracted to the same sex any different?
Shouldn’t we all be able to marry who we Horizontal Structure. When the inter-
love? viewer asked Justin why he supports same-
sex marriage, Justin gave two other reasons.
This exchange indicates Justin’s reasons for One was his belief that it is best for children
his attitude. More than that, it illustrates to be raised in homes with two adults and
the two basic dimensions of attitude orga- that marriage encourages couple to stay to-
nization: vertical and horizontal structure gether. The other reason was his belief that
(Bem, 1970). attraction is something we are born with,
not a choice, and that we should be able
Vertical Structure. Justin’s favorable atti- to marry the people we love. These belief
tude toward same-sex marriage is rooted structures are portrayed in the right-hand
in his belief that all citizens of the United and left-hand columns of Figure 7.1. When
States should have equal rights and pro- an attitude is linked to more than one set of
tections. Justin’s attitude toward same-sex underlying beliefs—that is, when there are
marriage ultimately rests on his belief in two or more different justifications for it—
equality, which stems from his acceptance the linkages are termed horizontal.
of the Constitution. The unquestioning ac- An attitude with two or more horizontal
ceptance of the credibility of some author- linkages, or justifications, is more difficult
ity, such as the Constitution, is termed a to change than one based on a single primi-
primitive belief (Bem, 1970). tive belief. Even if you show Justin statistical
Attitudes are organized hierarchically. evidence that couples are no more likely to
Some attitudes (primitive beliefs) are more stay together if married than if simply co-
fundamental than others. The linkages be- habiting, his belief in equality and the roots
tween fundamental beliefs and minor be- of romantic attraction make it unlikely his
liefs in cognitive structure are considered attitude toward same-sex marriage will
vertical. Vertical linkages signify that a mi- change.
nor belief is derived from or dependent on Studying links like these is one way to
a primitive belief. Such a structure is por- identify attitude structures. A different
trayed in the center of Figure 7.1. approach to study how close attitudes are
A fundamental or primitive belief, such to one another is to measure response la-
as a belief in the Constitution, is often the tency—how long it takes a person to reply
basis for a large number of specific or mi- to an attitude question—like the IAT (Box
nor beliefs (Bem, 1970). For example, Justin 7.1) does. What is your attitude toward ho-
probably supports the democratic politi- mosexuality? What is your attitude toward
cal system in the United States, freedom vegetarians? Chances are it took you lon-
of speech, and race and gender equality. ger to retrieve from memory your attitude
Changing a primitive belief may result in toward vegetarians. Your attitudes about
widespread changes in the person’s atti- sexual behavior were primed or activated
9780813349503.indb 250 5/16/14 1:50 PM

aTTITudEs 251
VERTICAL STRUCTURE
-
Same-sex marriage
should be legal
Children do better in Marriage is a right We should be able to

homes with two parents. granted to U.S. citizens. marry people who we
HORIZONTAL love and are attracted to.
STRUCTURE Marriage encourages Rights should be
couples to stay together. granted to all citizens.
Therefore… Therefore… Therefore…
Attraction is not a choice

I believe the constitution but rather something we
promises equal rights are born with.
and protections.
Therefore…
FIgure 7.1 The structure of Attitudes
by our discussion of same-sex marriage and to her nieces for gifts rather than mass-pro-
should be associated with short latencies. duced plastic toys, and she likes to purchase
The shorter the latency, the closer two at- her clothes at thrift stores and second-hand
titudes are in a person’s attitude structure shops.
(Judd, Drake, Downing, & Krosnick, 1991). Consistency among a person’s cogni-
tions—that is, their beliefs and attitudes—is
widespread. If you have liberal political val-
cognItIve conSIStency ues, you probably favor housing assistance
programs for people living in poverty. If
Alysia lives a “green” life. She composts and you value public education, you are likely
recycles. She has her own garden and thinks to support a property-tax increase to gener-
organic produce is better than nonorganic ate additional revenue for the local schools
options. She identifies as an environmen- or choose to send your children to public
talist and believes she is intentional about schools rather than to a private school in
her consumption and waste patterns. These the area. Cognitions are usually consistent
beliefs (we should be intentional consum- because people are motivated to maintain
ers) and attitudes (organic is better than that consistency. If an inconsistency de-
nonorganic) fit together. It is not surpris- velops between cognitive elements—for
ing that Alysia perceives both as applying example, if you value public education yet
to her. Many of her attitudes and behaviors oppose a tax increase or decide to enroll
are also consistent with what she perceives your children in private school—you will
as green or environmentalist. For example, be motivated to restore harmony between
she prefers to give handmade, wooden toys those elements. Several theories of attitude
9780813349503.indb 251 5/16/14 1:50 PM

252 aTTITudEs
organization are based on this principle of the other two are negative. For example,
consistency. this system would also be balanced if the
speaker still favored reduced taxes (+) and,
Balance Theory therefore, decided not to vote for Liz Brown
(–) because she was opposed to reducing
One important consistency theory is bal- taxes (–) (Figure 7.2b).
ance theory. This theory was originally
formulated by Heider (1958) and later elab- Imbalance and Change. According to bal-
orated by Rosenberg and Abelson (1960) ance theory, an imbalanced state is one in
to explain how we seek consistency in which two of the relationships between ele-
three-element cognitive structures. ments are positive and one is negative or in
Balance theory is concerned with cogni- which all three are negative. This is easiest to
tive systems like this one: “I’m going to vote illustrate with friendships. Consider Haley
for Liz Brown. Like me, she is also in favor and Ellen, who are starting their junior year
of reducing taxes.” This system contains in high school. They have been friends since
three elements—the speaker, another per- fifth grade and spend all their free time to-
son (candidate Liz Brown), and an imper- gether. This past summer, Haley grew close
sonal object (taxes). According to balance to Aaliyah, another girl at their high school,
theory, two types of relationships may exist while working together at a local day camp.
between elements—unit relations and sen- Ellen thinks Aaliyah is a gossip and does not
timent relations. Unit relations describe the like her. Figure 7.2c illustrates the situation
relationship between two elements (owner- from Haley’s viewpoint. Haley feels posi-
ship, proximity) that are nonevaluative. Sen- tively toward Ellen and Aaliyah, but Ellen is
timent relations are evaluative and based on not positive toward Aaliyah. Thus, there is
positive or negative evaluation. For exam- an imbalance.
ple, a positive sentiment relation may result In general, an imbalanced situation like
from a social relationship (such as friend- this is unpleasant. Balance theory assumes
ship or marriage) between elements. A neg- that people will try to restore balance
ative sentiment relation indicates not only among their attitudes. There are three basic
dissociation, like that between ex-spouses or ways to do this.
members of groups with opposing interests, First, Haley may change her attitudes so
but also a negative evaluation of that other the sign of one of the relations is reversed
element—“I don’t like my ex-husband” or “I (Tyler & Sears, 1977). For instance, she
hate those greedy politicians.” may decide that she really does not like
Using these terms, let’s analyze the above Aaliyah (Figure 7.2d). Alternatively, Haley
example. We can depict this system as a may decide that she and Ellen have grown
triangle (see Figure 7.2). Balance theory is apart and she does not like her as much as
concerned with the elements and their in- she used to, or she may persuade Ellen to
terrelations from the speaker’s viewpoint. In give Aaliyah a chance and to get to know
our first example (Figure 7.2a), the speaker her better so she can see how wrong her ini-
favors reduced taxes, perceives Liz Brown tial impressions are. Each of these involves
as favoring reduced taxes, and, therefore, changing one relationship so the system of
intends to vote for Brown. This system is beliefs contains either zero or two negative
balanced. By definition, a balanced state is relationships.
one in which all three sentiment relations Second, Haley can restore balance by
are positive or in which one is positive and changing a positive or negative relation to
9780813349503.indb 252 5/16/14 1:50 PM

aTTITudEs 253
Speaker Speaker
A. B.
r” fo
r”fo
ote
“Fa
“Fa
ote
ot v
vor
vor
ill v
ill n
s”
s”
“W
“W
Reduced Liz Brown Reduced
Liz Brown “Favors” “Opposes”
Taxes Taxes
Haley Haley
C. D.
Dis
s
s
Lik
Like
Like
like
es
s
Ellen Dislikes Aaliyah Ellen Dislikes Aaliyah
An imbalanced system. Haley may change her attitude toward Aaliyah
FIgure 7.2 Balanced cognitive systems and Resolution of imbalanced systems

When the relationships among all three cognitive elements are positive (A) or when one relationship is positive
and the other two are negative (B), the cognitive system is balanced. When two relationships are positive and one
negative, the cognitive system is imbalanced. In (C), Ellen’s negative attitude toward Aaliyah creates an unpleasant
psychological state for Haley. Haley can resolve the imbalance by deciding she does not want to be friends with
Aaliyah (d), deciding she does not like Ellen anymore, or persuading Ellen to like Aaliyah.
a null relation (Steiner & Rogers, 1963). Ha- so as to protect herself (and if she tells Ellen
ley may decide that Ellen doesn’t know any- that this is her intention).
thing about Aaliyah and her attitude toward Which technique will a person use to
her is irrelevant. remove the imbalance? Balance is usually
Third, Haley can restore balance by dif- restored by whatever means are easiest
ferentiating the attributes of the other per- (Rosenberg & Abelson, 1960). If one re-
son or object (Stroebe, Thompson, Insko, lationship is weaker than the other two,
& Reisman, 1970). For instance, Haley may the easiest mode of restoring balance is to
distinguish between types of friends—work change the weaker relationship (Feather,
friends, who you share few personal details 1967). Because Haley and Ellen have been
with, and close friends, who you can trust friends for over five years, it would be very
with anything. Ellen might be correct in her difficult for Haley to change her sentiments
belief that Aaliyah is a gossip. However, Ha- toward Ellen; it would be easier for her to
ley believes she can be friends with both if change her attitude toward Aaliyah. How-
she is careful what she shares with Aaliyah ever, Haley really likes both girls and would
9780813349503.indb 253 5/16/14 1:50 PM

254 aTTITudEs
prefer to maintain both friendships. There- Dissonance theory (Festinger, 1957) as-
fore, she may attempt to change Ellen’s at- sumes there are three possible relationships
titude, perhaps by differentiating the object between any two cognitions. Cognitions are
(Aaliyah). If this influence attempt fails, consistent or consonant if one naturally or
theory suggests that Haley will probably logically follows from the other. They are
change her own attitude toward Aaliyah. dissonant when one is inconsistent with
the other. The logic involved is psycho logic
Theory of Cognitive Dissonance (Rosenberg & Abelson, 1960)—that is, logic
as it appears to the individual, not logic in a
Another major consistency theory is the formal sense. Two cognitive elements also
theory of cognitive dissonance. Whereas may be irrelevant; one may have nothing
balance theory deals with the relationships to do with the other. In Taylor’s case, the
among three cognitions, dissonance the- decision to take the position clearing tables
ory deals with consistency between two or is consonant with (1) the job’s convenient
more elements (behaviors and attitudes). location, (2) the higher pay, and (3) the op-
For example, given Alysia’s attitude toward portunities to meet people, but it is disso-
intentional, environmentally sound con- nant with the fact that (1) he is unsure of his
sumption, we would never expect her to ability to bus tables and (2) he has to work
buy an SUV. If she did, then her behavior weekend nights and will miss out on hang-
would be inconsistent with her attitudes, ing out with his friends (see Figure 7.3).
and this would likely cause her dissonance. Having made the choice, Taylor is expe-
There are two situations in which disso- riencing cognitive dissonance, a state of
nance commonly occurs: (1) after a deci- psychological tension induced by dissonant
sion, or (2) when one acts in a way that is relationships between cognitive elements.
inconsistent with one’s beliefs. Some decisions produce a large amount of
cognitive dissonance, others very little. The
Postdecisional Dissonance. Taylor will be- magnitude of dissonance experienced de-
gin his sophomore year of college next week. pends in part on the proportion of elements
He needs to work part time so he can pay that are dissonant with a person’s decision.
for school. After two weeks of searching for In Taylor’s case, there are three consonant
work, he receives two offers. One is a part- and only two dissonant cognitions, so he
time job doing library research for a faculty will only experience moderate dissonance.
member he admires, and it pays $7 per hour The magnitude is also influenced by the
with flexible working hours. The other is a importance of the elements. He will expe-
job in a restaurant as a busser that pays $10 rience less dissonance if it is not very im-
per hour but has set working hours—5 p.m. portant to hang out with his friends on the
to 11 p.m., Thursdays, Fridays, and Satur- weekends but more dissonance if an active
days. He has no experience bussing tables. social life on weekends is important to him.
Taylor has a hard time choosing between Dissonance is an uncomfortable state.
these jobs. Both are located near campus, To reduce dissonance, the theory predicts,
and he thinks he would like either one. Taylor will change his attitudes by changing
Whereas the research job offers flexible either the cognitive elements themselves or
hours, the busser’s job pays more and offers the importance of the elements.
him the opportunity to meet interesting It is hard to change cognitions. He chose
people. In the end, Taylor chooses the bus- the restaurant job, and he made a commit-
sing job, but he is experiencing dissonance. ment to work weekend nights and to take a
9780813349503.indb 254 5/16/14 1:50 PM

aTTITudEs 255
Dissonant Consonant
Cognitions Cognitions
I’ll have to
The job pays
work
well.
weekends.
Decision
I chose the I’ll meet

restaurant job. people.
I’ll be doing The

something location is
unfamiliar. convenient.
FIgure 7.3 Postdecisional Dissonance

Whenever we make a decision, there are some cognitions—attitudes, beliefs, knowledge—that are consonant with
that decision and other cognitions that are dissonant with it. dissonant cognitions create an unpleasant psycholog-
ical state that we are motivated to reduce or eliminate. In this example, Taylor has chosen a job and is experiencing
dissonance. Although three cognitions are consistent with his decision, two other dissonant cognitions are creating
psychological tension.
job he had no experience in. Alternatively, Taylor would have to work to reduce disso-
Taylor can rationalize his choice by chang- nance. If he had decided, instead, to do re-
ing the relative importance of his cogni- search for his professor, he would still expe-
tions. He can emphasize the importance of rience dissonance because he chose to forgo
one or more of the consonant cognitions the more lucrative position even though he
and deemphasize one or more of the disso- needs money to stay in school. He would
nant cognitions. Although he has to do a job still try to rationalize his choice to reduce
that is unfamiliar to him, he can emphasize dissonance. It would probably work. If you
the fact that it pays well. Although he would asked him soon after he started his job if
prefer to be able to go out on weekends, he he would make the same decision again, he
can decide that this is less important be- would likely say he would (Wee, 2013).
cause the restaurant job will still allow him Elias Dinas (2013) argues that post-
to meet interesting people. decisional dissonance (Brehm, 1956) and
Decisions often result in dissonance. the cognitive efforts individuals use to re-
Regardless of the job he decided to take, duce that dissonance partially explains the
9780813349503.indb 255 5/16/14 1:50 PM

256 aTTITudEs
effects of voting on subsequent party iden- asks you to help out by telling a waiting par-
tification. Although some may argue that ticipant that the tasks you have just com-
party identification comes first, influencing pleted were fun and exciting. For your help,
who one votes for, Dinas argues that con- he offers you either $1 or $20.
sistency theories provide a compelling ar- In effect, you are being asked to lie—to
gument for how voting can lead to party say the boring and monotonous tasks you
identification. Voting demands constit- just performed were enjoyable. If you ac-
uents choose from a number of alterna- tually tell the next participant the tasks are
tives. When we have a number of objects fun, you may experience cognitive disso-
to choose from, we are more likely to en- nance afterward. Your behavior is inconsis-
gage in rationalization for our final choice. tent with your attitude about the task (that
We might rationalize a vote for a political it is boring). Moreover, lying to the next
candidate by seeing that candidate as more participant is dissonant with your beliefs
attractive somehow and aligning oneself about yourself (that you are moral and hon-
with the party the candidate represents. est). To reduce dissonance, you can change
Once aligned, the constituent is more likely one of the cognitions. Which one will you
to vote for candidates in that party, and change? You cannot change your awareness
each vote choice further fortifies the voter’s that you told the next participant the task
identification with the political party. is fun. The only cognition open to change
is your attitude toward the task, which can
Counterattitudinal Behavior. Dissonance change in the direction of greater liking for
can also occur when we behave in ways that the task.
are inconsistent with our attitudes. Such The theory of cognitive dissonance pre-
situations may involve forced compliance— dicts (1) that you will change your attitudes
that is, pressures on a person to comply toward the tasks (like them better), and (2)
with a request to engage in counterattitudi- that the amount of change will depend on
nal behavior (Joule and Azdia, 2003). the incentive you were paid to tell the lie.
Imagine you have volunteered to serve Specifically, the theory predicts that greater
in a psychology experiment. You arrive at attitude change will occur when the incen-
the lab and are told you are participating tive to tell the lie is low ($1) rather than high
in a study of performance. You are given a ($20), because you will experience greater
pegboard and told to turn each peg exactly dissonance under low incentive than you
one-quarter turn. After you have turned the would under high incentive and will, there-
last peg, you are told to start over, to turn fore, be more motivated to change your
each peg another one-quarter turn. Later attitude.
you are told to remove each peg from the These predictions were tested in a clas-
pegboard and then to put each peg back. sic experiment by Festinger and Carlsmith
After an hour of such activity, the exper- (1959). Participants in the experiment
imenter indicates you are finished. The completed the boring peg task and, when
experimenter says, “We are comparing asked by the experimenter to brief the next
the performance of participants who are participant, most agreed. The participants
briefed in advance with that of others who told the next person who arrived at the lab-
are not briefed. You did not receive a brief- oratory that the experimental tasks were
ing. The next participant is supposed to be interesting and they had fun doing them.
briefed, but my assistant who usually does A secretary then asked each participant to
this couldn’t come to work today.” He then fill out a postexperimental questionnaire
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aTTITudEs 257
on which they would rate the experiment

and the tasks. These ratings provided the
measures of the dependent variable. As ex-
pected, control participants who did not
brief anyone and were not offered money
rated the tasks as very unenjoyable and did
not want to participate in the experiment
again.
What about the participants who were
paid money to tell a lie? For those receiving
$20, the situation was not very dissonant.
The money provided ample justification for Psychologists find that hand washing helps ease
engaging in counterattitudinal behavior (ly- the postdecisional dissonance people feel after
ing). You could think to yourself that you making a choice between two alternatives (Lee
were being paid to act, not to tell the truth. In & Schwarz, 2010). They believe that physical
the $1 condition, however, the participants cleansing helps people feel psychologically
cleansed, like they have wiped the slate clean.
experienced greater dissonance because
© snokid/iStock
they did not have the justification for lying
that the large amount of money provided.
These participants could not deny they lied, he could blame his father for the choice he
so they reduced dissonance by changing made. Likewise, if the experimenter had
their attitude—that is, by increasing their forced the participants to lie—rather than
liking for the task and the experiment. The asking whether they would be willing to
results of this study confirmed the predic- help—the level of dissonance would have
tions from dissonance theory. Participants been lower.
in the high-incentive ($20) condition expe- Researchers have found that some in-
rienced little dissonance and rated the task dividuals—referred to as maximizers—are
and experiment negatively on the postex- more prone to postdecisional dissonance
perimental questionnaire, whereas those than others. Maximizers are individuals
in the low-incentive ($1) condition experi- who always strive to make the best possible
enced more dissonance and rated the task decision. Conversely satisficers are people
and experiment positively. who will be content with an option as long
Dissonance occurs only in some sit- as it is good enough (B. Schwartz, 2004).
uations (Wicklund & Brehm, 1976). To Standing in front of the cereal aisle, a satis-
experience dissonance, a person must be ficer would simply be focused on choosing a
committed to a belief or course of action box of cereal they like. A maximizer would
(Brehm & Cohen, 1962). Moreover, the be focused on choosing the best of all the
person must believe that he or she chose cereal options. When it comes to making
to act voluntarily and is, thus, responsible choices, maximizers engage in more pre-
for the outcome of the decision (Linder, decision fact finding, perceive more time
Cooper, & Jones, 1967). This is shown in pressure, experience more postdecisional
the case of Taylor, who chose the job bus- dissonance and dissatisfaction, and are
sing tables. If the owner of the restaurant more likely to change their initial choices if
were Taylor’s father who demanded he given the opportunity to do so than are sat-
work for him, Taylor would have had little isficers (Chowdhury, Ratneshwar, & Mo-
or no postdecisional dissonance because hanty, 2009; Misuraca & Teuscher, 2013).
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258 aTTITudEs
Box 7.2 Selling with Cognitive Dissonance
Cognitive dissonance is a ubiquitous part of price on a product. The buyer agrees, and the
our daily lives. We encounter it almost wher- salesperson sets about to do all the paperwork.
ever we go and in almost whatever we do. One Before it is completed, though, the salesperson
social interaction in which we are very likely to “discovers” that he or she has made an error and
encounter cognitive dissonance is when we en- that the price is going to be higher than initially
counter a salesperson—particularly one who promised. Under these circumstances, the buyer
uses high-pressure sales techniques, such as in has a tendency to accept the higher price; after
automobile sales. Many sales techniques have all, he or she has already agreed to buy—why
harnessed the power of cognitive dissonance should a few more dollars make that much of a
and use it to increase the chances of convincing difference? Interestingly, though, social psychol-
the customer to buy. How does this occur? ogists have found that buyers will often pay more
First, salespeople often make use of a tech- than their original upper limit when confronted
nique called the “foot-in-the-door” (Freedman with the low-balling technique (Cialdini, 1993;
& Fraser, 1966). In this case, the salesperson at- Cialdini, Cacioppo, Basset, & Miller, 1978). If you
tempts to get the customer to agree to some walk into a car dealership knowing that you can
kind of small request and, having established a buy a certain car for $20,000 elsewhere and are
pattern of compliance, will ask the customer to low-balled with an offer of $19,500, you may end
do bigger things, including purchasing the prod- up paying $20,500 for the car in the end!
uct. Salespeople might request an appointment In a third technique that involves consistency,
at your home, ask you to fill out paperwork, or salespeople usually work very hard to get us to
get you to take a test drive. This is one of the rea- like them (Gordon, 1996). In fact, they are often
sons so many businesses will offer free estimates trained in many specific techniques to get buyers
to potential clients. Once the small request is to feel like they are friends with the salesperson.
fulfilled, an inconsistency is produced if you do It is no surprise that we are more likely to buy
not go ahead and buy the product (Burger, 1986, things from people we like than from people we
1999). Your refusal to buy causes some disso- do not like, but why does this occur? One rea-
nance because it is inconsistent with your previ- son is that refusing a request from someone we
ous compliant behavior. Of course, this is not al- like is inconsistent with our liking them. When
ways enough to get you to buy, but it can reduce a friend asks us to purchase candy for a fund-
sales resistance. raiser, turning him or her down can be difficult
A second technique, often used by unscrupu- because such behavior is incompatible with the
lous salespeople, is called “low-balling” (Burger friendship. Salespeople can use this underlying
& Petty, 1981; Weyant, 1996). In this technique, tendency to increase compliance as well (Jones,
the salesperson will offer the buyer a very good 1964; Liden & Mitchell, 1988).
the relatIonShIP betWeen change their attitudes when their behavior

attItudeS and behavIor appears to contradict those attitudes. How-
ever, many people think of attitudes as the
Do Attitudes Predict Behavior? source of behavior. We often assume that
when we know a person’s attitude toward
We have seen how our behavior can affect an object or another person (a colleague, a
our attitudes and how people sometimes political issue, a sports team), we can pre-
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aTTITudEs 259
dict how that person will behave toward the Accessibility and Activation
object. If you know Haley likes Aaliyah, you of the Attitude
would expect her to accept an invitation to
Aaliyah’s barbecue. If you know that Justin Each of us has thousands of attitudes. Most
supports same-sex marriage, you would ex- of the time, a particular attitude is not within
pect him to vote for a candidate who made our conscious awareness. Moreover, much
that part of their political platform. If you of our behavior is mindless or spontaneous
know that I am a Mets fan, you would ex- (Fazio, 1990). We act without thinking—
pect me not only to cheer for the Mets but that is, without considering our attitudes.
also to root for any team playing against For an attitude to influence behavior, it
the Yankees. We like to predict others’ be- must be activated; it must be brought from
haviors so we can decide how to behave memory into conscious awareness (Zanna
toward that person in order to achieve our & Fazio, 1982). The most accessible atti-
own goals. But can we truly predict some- tudes are most easily activated.
one’s behavior if we only know his or her Attitudes become activated when some-
attitudes? thing in the environment triggers them, like
In 1930, the social scientist Richard encountering the attitude object (Fazio &
LaPiere traveled around the United States Towles-Schwen, 1999). For example, ear-
by car with a Chinese couple. At that time, lier sections of this chapter may have acti-
there was considerable prejudice against vated your attitudes toward many objects,
the Chinese, particularly in the West. The such as the Yankees, snakes, same-sex mar-
three travelers stopped at more than 60 ho- riage, and voting. These triggers are partic-
tels, auto camps, and tourist homes as well ularly effective if the attitude was originally
as more than 180 restaurants. They kept formed through direct experience with the
careful notes about how they were treated. object (Fazio, Powell, & Herr, 1983). Thus,
In all their travels and stops, they were only one way to activate attitudes is to arrange
denied service once. Later, LaPiere sent a situations in which persons are exposed to
questionnaire to each place, asking whether the relevant objects. Soft lighting, a cozy
they would accept Chinese guests. He re- fire, and glasses of wine are all associated
ceived responses from 128 of the establish- with seduction; we often set up these cues
ments; 92 percent of them indicated that in the hope of activating someone’s positive
they would not serve Chinese guests (LaPi- attitudes toward romance and intimacy.
ere, 1934). Evidently there can be a great Attitudes differ in the ease with which
discrepancy between what people do and they can be activated because they differ in
what they say. accessibility. Some attitudes, such as stereo-
Many studies on the topic have found types or a fear of snakes, are highly acces-
only a modest correlation between atti- sible and are activated automatically by the
tude and behavior (Glasman & Albarracín, perception of the stereotyped object or the
2006). Several reasons have been suggested snake (Devine, 1989). These are often called
for this tenuous relationship. In this sec- implicit attitudes (Greenwald, Poehlman,
tion, we consider four of these: (1) the ac- Uhlmann, & Banaji, 2009). Other attitudes
cessibility and activation of the attitude, (2) are situated deeper in our memory, making
the characteristics of the attitude, (3) the them less accessible and, therefore, activated
correspondence between attitude and be- more slowly (Fazio, Sanbonmatsu, Powell,
havior, and (4) situational constraints on & Kardes, 1986). It takes more than a brief
behavior. encounter to activate these attitudes. You
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260 aTTITudEs
might be able to provide an almost imme- Affective-Cognitive Consistency. The

diate reaction if someone asked you about beginning of the chapter introduced three
your favorite (or least favorite) restaurant in components of attitudes: cognition, eval-
town, but it would take you longer to access uation (affect), and behavioral predispo-
an attitude toward a restaurant you were sition. When we consider the relation be-
less familiar with. The more accessible an tween attitude and behavior, we are looking
attitude is, the greater its influence on cat- at the relationship between the first two
egorizing and judging objects (Smith, Fazio, components and the third. Not surpris-
& Cejka, 1996). Applying this to restaurants ingly, research has shown that the degree of
again, you are more likely to compare new consistency between the affective and cog-
restaurants you visit to your favorite place nitive components influences the attitude-
in town than to places you are less familiar behavior relationship. That is, the greater
with because your attitude about the former the consistency between cognition and
is more accessible than the latter. evaluation, the greater the strength of the
Evidence also suggests that the more ac- attitude-behavior relation.
cessible an attitude, the more it is likely to Recall that the cognitive component is a
guide future behavior. This was shown, for belief about the attitude object (for exam-
example, in a study of the impact of acces- ple, “My human sexuality course is boring.
sibility on voting in the 1984 presidential The teacher drones on, and the text is too
election (Fazio & Williams, 1986). In June difficult to read.”) and the affective com-
and July 1984, 245 people were questioned ponent is the emotion associated with the
about their attitudes toward two presiden- object (for example, “I strongly dislike the
tial candidates (Ronald Reagan and Walter course.”). In this case, there is a high degree
Mondale). The latency of the answer—how of affective-cognitive consistency. Now sup-
quickly the person replied to the question pose another person also thinks the class is
about each candidate—was used as a mea- boring but actually likes the course—per-
sure of accessibility. After the election, each haps because she is taking it with friends
person was asked whom he or she voted for. or finds the subject matter is interesting.
The more accessible the attitude—that is, Whose behavior could you confidently pre-
the more quickly the person replied to the dict? The first person is much more likely to
original question about the candidate—the skip class or to not do the reading than the
more likely the person was to vote for that second person.
same candidate in November. Social psychologists find that affec-
tive-cognitive consistency can predict in-
Characteristics of the Attitude tentions to help the poor (Tagler & Coz-
zarelli, 2013). Individuals’ affective evalu-
The relationship between attitude and be- ations of the poor—if they described their
havior is also affected by the nature of the feelings toward the poor as positive or neg-
attitude itself. Four characteristics of atti- ative—were most likely to influence inten-
tudes may influence the attitude-behavior tions to help the poor if individuals’ cogni-
relationship: (1) the degree of consistency tions about the poor were consistent with
between the affective (evaluative) and the those affective evaluations. For example,
cognitive components, (2) the extent to if respondents who viewed the poor posi-
which the attitude is grounded in personal tively also believed that poverty was caused
experience, (3) the strength of the attitude, by structural forces (see the discussion of
and (4) the attitude’s stability. attributions for poverty in Chapter 6), their
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aTTITudEs 261
affective evaluation and cognitions were about the attitude object itself (Kelman,
consistent. If respondents thought that la- 1974). When we engage in planned and
ziness or lack of effort contributes to pov- deliberate behavior, we draw on available
erty yet still viewed the poor positively, this information to choose the course of ac-
suggested attitude inconsistency. tion. If we are using information we have
Affective-cognitive consistency not only about an attitude object to determine our
predicts behavior but also increases the re- behavior, there is likely to be a strong link
sistance of attitudes to change. When indi- between attitude and behavior (Fazio &
viduals have high affective-cognitive con- Towles-Schwen, 1999). Third, attitudes
sistency, they tend to discredit information based on direct experience with the object
that is discrepant with their attitude or to may be held with greater certainty—lead-
minimize its importance. This makes atti- ing us to the third factor in the likelihood
tudes more resistant to change. that attitudes influence behavior, attitude
strength.
Direct Experience. Suppose you have a
positive attitude toward an activity based Strength. Suppose you ask two friends
on having done it once, and your roommate which candidate they like in the upcoming
has a positive attitude based on hearing you presidential election. One replies, “I’m vot-
rave about it. Which of you is more likely ing for X!” The other hedges a bit, saying,
to accept an invitation to engage in that “Well, maybe I’ll vote for Y.” Which per-
activity? son’s behavior do you think you could pre-
One study (Regan & Fazio, 1977) pro- dict? In general, the greater the strength of
vides an answer to this question. The bean attitude, the more likely it is to influence
havior of interest was the proportion of behavior. Studies of the link between atti-
time spent playing with several kinds of tudes toward candidates and subsequent
puzzles. Participants in the direct-experi- voting behavior find that many of the errors
ence condition played with sample puzzles; in predictions occur among those who re-
those in the indirect experience condition port indifference to the election—that is,
were given only descriptions of the puz- people who hold weak or uncertain atti-
zles. Researchers then asked participants tudes (Schuman & Johnson, 1976).
to respond to some attitude measures and The relevance of an attitude—the extent
later gave participants an opportunity to to which the issue or object directly affects
play with the puzzles. Not surprisingly, they the person—also influences the strength
discovered that the average correlation of the attitude. Framing an issue in rele-
between attitude and behavior was much vant terms (say, tuition increases on your
higher for participants who had direct ex- college campus) brings to mind important
perience than for those who did not. consequences for you, such as the need for
Attitudes based on direct experience are greater income or having to take out addi-
more predictive of subsequent behavior for tional student loans. Framing it in irrelevant
a number of reasons (Fazio & Zanna, 1981). terms (say, tuition increases on campuses
First, the best predictor of future behavior in Russia) may elicit no thought of per-
is past behavior; the more frequently you sonal consequences (Lieberman & Chaiken,
have played tennis in the past, the more 1996). When a political issue is relevant to
likely you are to play it in the future (Fred- an individual, there will be a much stron-
ricks & Dossett, 1983). Second, direct ex- ger relationship between attitudes and vot-
perience makes more information available ing on the issue (Crano, 1997). This is, in
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262 aTTITudEs
part, because personal relevance increases tween attitude toward tutoring and actually
attitude strength. Individuals who have a volunteering was greater over the three-
gay family member or friend are more likely month period than over the six-month pe-
not only to hold a more favorable attitude riod. Thus, to avoid problems of temporal
toward gays and lesbians but also to be instability, the amount of time between the
more certain about that attitude (Herek & measurement of attitudes and that of be-
Capitanio, 1996). havior should be brief.
As noted earlier in the chapter, cer- However, some attitudes evidence a
tainty about an attitude is also influenced remarkable degree of stability. Marwell,
by whether affect or cognition was involved Aiken, and Demerath (1987) studied the
in the creation of the attitude. Attitudes political attitudes of 220 White young
formed based on affect (for example, fear people who spent the summer of 1964 or-
of snakes) are more certain than attitudes ganizing Blacks in the South to vote. They
based on cognition (for example, a prefer- measured the same attitudes of two-thirds
ence for the Prius because it is the best hy- of these activists two decades later, in 1984.
brid car) (Edwards, 1990). The extreme radical attitudes these people
held in 1965 had softened in the interven-
Attitude Stability. Most studies attempting 20 years, but in general these people re-
ing to predict behavior from attitudes mained liberal and committed to the needs
measure people’s attitudes first and their of disadvantaged groups. This stability of
behavior weeks or months later. A mod- their attitudes likely stemmed from the di-
est or small correlation may mean a weak rect experience the activists had with the
attitude-behavior relationship—or it could issues from their time in the South.
mean people’s attitudes have changed in
the interim period. If the attitude changes Attitude-Behavior Correspondence
after it is measured, the person’s behavior
may be consistent with his or her present Attitudes are more likely to predict behav-
attitude, although it appears inconsistent ior when the two are at the same level of
with our measure of the attitude. specificity (Schuman & Johnson, 1976). For
In general, we would expect that the example, suppose you have invited a casual
longer the time between the measure- acquaintance to dinner, and you want to
ment of attitude and that of behavior, the plan the menu. You know she likes an Ital-
more likely the attitude will change and ian restaurant in town, so you infer she likes
the smaller the attitude-behavior relation- Italian food. But can you predict with confi-
ship will be. In a study designed to test this dence that she will eat spinach noodles with
possibility (Schwartz, 1978), an appeal was clam sauce? Probably not. A favorable atti-
mailed to almost 300 students to volunteer tude toward a type of cuisine does not mean
as tutors for blind children. Earlier, stu- the person will eat every dish of that type.
dents had filled out a questionnaire mea- Many studies have attempted to predict
suring general attitudes toward helping from general attitudes to specific behaviors
others, including questions about tutoring (Ajzen, 1991; Green, 1972). For instance,
blind children. Some students had filled out some studies of families have tried to pre-
the questionnaire six months earlier; some, dict men’s specific contributions to house-
three months earlier; some, both three and work and childrearing (how often he vacu-
six months earlier; and still others had not ums or changes diapers, for example) from
seen the questionnaire. The correlation be- their gender role attitudes. Perhaps not
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aTTITudEs 263
Although most Americans have attitudes about abortion, only a minority act on their beliefs like these
demonstrators. People with strong attitudes, whether pro or con, are more likely to engage in such
behavior. © wwwPhotographyServicesie/iStock
surprisingly, there is little congruence. Al- loving guest will eat spinach noodles and
though many men express egalitarian gen- clam sauce? Just as general attitudes best
der role attitudes, this is generally not re- predict a composite index of behavior, we
flected in their specific gender role behavior need a specific measure of attitude to pre-
(Araji, 1977). A general attitude is a sum- dict a specific behavior. We can think of
mary of many feelings either about an ob- an attitude and a behavior as having four
ject under a variety of conditions or about elements: an action (eating), an object or
a whole class of objects. Logically, it should target (spinach noodles and clam sauce),
not predict behavior in any particular single a context (in your home), and a time (to-
situation. However, it might predict a com- morrow night). The greater the degree of
posite measure of several relevant behaviors correspondence—that is, the number of
(Weigel & Newman, 1976). For example, elements that are the same in the attitude
although a man with egalitarian attitudes and the behavior—the better we can pre-
may do little more vacuuming than a man dict behavior from attitudes (Ajzen & Fish-
with more traditional gender role attitudes, bein, 1977). If you know that your casual
he may be engaged in other egalitarian be- acquaintance likes to eat (correspondent
haviors or have a less-gendered division of action) spinach noodles (correspondent ob-
labor on the whole in his household than ject) for dinner (correspondent time) at the
the more traditional man. Italian restaurant (noncorrespondent con-
What about predicting a specific be- text), you can better predict her behavior
havior, such as whether your Italian food– than if all you know is that she likes to eat
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264 aTTITudEs
(correspondent action) at the Italian restau- tudes are inconsistent with the situational
rant (noncorrespondent context). norms (Schutte, Kendrick, & Sadalla, 1985).
In other words, you would be more likely to
Situational Constraints share your opposition in conversation with
one friend who supported the increases
If you believe tuition increases at your col- than you would if you were in a group of
lege are necessary to maintain the quality of four in which the other three were in sup-
your education—to retain the best faculty, port and you were the only opposed.
provide ready access to books, journals, and The greater the situational constraint,
computers, and so on—and you attend a the weaker the relationship is between at-
meeting of Students for Educational Qual- titudes and behavior. Consequently, the
ity, your behavior reflects your attitude. less visible our behavior is to others, the
Suppose, however, that you oppose tui- more likely our behavior and attitudes will
tion increases but find yourself in a conver- be consistent (Acock & Scott, 1980). With
sation with a date who expresses support respect to attitudes about race and gen-
for the increases. Would you voice your op- der, many scholars who study prejudice
position—that is, behave in a manner con- have noted a shift in how people express
sistent with your attitudes—or not? Your prejudicial attitudes. As the social environ-
reaction would probably depend partly on ment has become less accepting of overt
the strength and certainty of your attitude expressions of racism and sexism, people
(Pratkanis & Greenwald, 1989). If you are may have responded to the situational con-
strongly opposed to tuition increases, you straints by hiding their attitudes and find-
may speak your mind. But if you are mod- ing different, more subtle ways of express-
erately opposed, you may decide to avoid ing prejudice (Gawronski & Strack, 2004).
an argument and behave in a way that is in- This has shifted how we measure attitudes
consistent with your attitude. In LaPiere’s related to racism, sexism, and other socially
study discussed earlier, for instance, hotel sensitive attitudes (see Box 7.1) and how we
and restaurant employees confronted by a think about sexism (and racism) in society
White man and a Chinese couple may have (see Box 7.3).
felt compelled to serve them rather than
run the risk of creating a scene by refusing Reference Groups
to do so.
Situational constraint refers to an influ- Several studies have assessed the impact of
ence on behavior due to the likelihood that reference groups on the attitude-behavior
other persons will learn about the behav- relationship. Such research involves mea-
ior and respond positively or negatively to suring participants’ attitudes and behaviors
it. Situational constraints often determine toward some object and then asking them
whether our behavior is consistent with to indicate the positions of various social
our attitudes. In fact, how we behave is fre- groups regarding that object.
quently a result of the interaction between One survey assessed adults’ attitudes to-
our attitudes and the constraints present ward drinking alcoholic beverages and the
in the situation (Warner & DeFleur, 1969; degree to which their friends approved of
Klein, Snyder, & Livingston, 2004). The drinking (Rabow, Neuman, & Hernandez,
greater the agreement among others about 1987). When attitudes and social support
how we should behave, the greater the sit- were congruent—that is, when the re-
uational constraint on persons whose atti- spondents’ and their friends’ views about
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aTTITudEs 265
drinking were the same—there was a much titudes about an object (“The Toyota Prius
stronger relation between attitudes and is the best hybrid car”) but rather attitudes
behavior than when attitudes and social about performing a particular behavior (“I
support were not congruent. We are much want to buy a Prius instead of a Corolla”).
more likely to act in ways that are consis- This attitude is influenced by a person’s be-
tent with our attitudes when people who liefs about the likely consequences of the
we perceive as members of our in-group behavior and a person’s evaluation—posi-
hold similar attitudes (Terry & Hogg, 1996; tive or negative—of each of those outcomes.
White, Hogg, & Terry, 2002). Individuals systematically weigh what they
know to be outcomes of engaging in the
behavior they are considering (“If I buy a
the reaSoned actIon Model Prius, I will have a larger car payment, but
I will also get better gas mileage”) and the
In the preceding sections, we identified sev- subjective norms (“My friends think buying
eral influences on the relationship between a Prius is a good thing to do”) in deciding
a single attitude and behavior. However, whether to engage in attitude-consistent
at times, an object or situation may elicit behavior.
multiple attitudes. In these cases, predict- Of course, we must also have the re-
ing behavior is more difficult. When several sources or the ability needed to carry out
attitudes are invoked, the individual often the intention. Consequently, it has been
engages in deliberative processing of infor- suggested that an additional variable should
mation (Fazio, 1990). He or she considers be added to the model, perceived behav-
the attributes of the object or situation, the ioral control (Ajzen, 1985). A study of in-
relevant attitudes, and the costs and ben- tentions to engage in safer sex among 403
efits of potential behaviors. The theory of undergraduates found that attitude and
reasoned action, developed by Fishbein subjective norms explained substantial
and Ajzen (1975; Ajzen & Fishbein, 1980), variation in the intention to use condoms in
considers the influence of these factors in the next three months. However, even more
the link between attitudes and behavior. variance was explained when one’s comfort
This model is based on assumptions of a level with using condoms was added to the
dual-process model: While some behavior analysis (Wulfert & Wan, 1995). The re-
based on attitudes is relatively automatic— vised model is referred to as the theory of
jumping at a snake, for instance—other be- planned behavior.
havior based on attitudes—voting for a po- Not all of our behavior is planned (Liska,
litical candidate—is quite deliberate (Ajzen 1984). In addition to the automatic behavior
& Sexton, 1999). discussed earlier, habit can also play a role in
According to the reasoned action model, what we do. For example, whether one has
behavior is determined by behavioral inten- donated blood in the past is a much better
tion. This intention stems from a consider- predictor of whether he or she will donate
ation of (1) an attitude about performing the blood in the next four months than a state-
specific behavior and (2) subjective norms ment about their intention to do so (Bago-
(an individual’s perception of others’ beliefs zzi, 1981). One of the reasons that behavior
about whether a behavior is appropriate influences subsequent behavior is because
as well as their motivation to comply with engaging in that behavior becomes part of
those expectations). It is important to note our identity (Granberg & Holmberg, 1990).
that the attitudes here are not general at- If you regularly give blood, you may adopt
9780813349503.indb 265 5/16/14 1:50 PM

266 aTTITudEs
“blood donor” as an important identity, and

this will influence future behavior. In fact, Box 7.3 Test Yourself:
social psychologists have found support Ambivalent Sexism Inventory
that such a process occurs among regular
donors (Piliavin & Callero, 1991). Similarly, Although women have made tremen-
research suggests that the best predictor of dous strides in both the private and public
pro-environmental behavior is not pro-en- spheres—particularly since the advent of
vironmental attitudes but rather a pro-envi- the women’s movement in the 1970s (Bol-
ronmental identity (Stets & Biga, 2003). zendahl & Myers, 2004)—men still domi-
nate high status positions in government
and business around the world. While there
was a time when women were seen as sec-
SuMMary ond class citizens, undeserving of the rights
and responsibilities of men, these overtly
The Nature of Attitudes. (1) Every attitude prejudicial attitudes are much less common
has three components: cognition, evalua- than they once were. How can we explain
tion, and a behavioral predisposition toward men’s dominance in an era when attitudes
some object. (2) We learn attitudes through about women have shifted?
reinforcement, through repeated associa- Social psychologists argue that, while
tions of stimuli and responses, and by ob- attitudes have changed, sexism is alive and
serving others. (3) Attitudes are useful; they well. Sexism—prejudice or discrimina-
may serve heuristic and knowledge function based on a person’s sex—has simply
tions, and they define and maintain self. changed shape, shifting from overt and hos-
tile forms of sexism to subtle, less recogniz-
able forms (Fiske, 1998; Glick & Fiske, 2001;
Attitude Organization. An attitude is usu-
Nelson, 2002).
ally embedded in a larger cognitive structure
The survey opposite measures two forms
and is based on one or more fundamental of sexism—hostile and benevolent. How do
or primitive beliefs. Attitudes derived from you score? Can you tell the difference be-
primitive beliefs form a vertical structure. tween them?
When multiple underlying beliefs support Both hostile and benevolent sexism
an attitude, these beliefs have a horizontal help justify men’s higher status in society.
structure that helps the attitude persist. However, rather than assert that men are in
these positions because women are some-
Cognitive Consistency. Consistency the- how less-deserving or should be held in
ories assume that when cognitive elements contempt, benevolent sexism suggests that
are inconsistent, individuals will be moti- women are simply different. They should be
cherished, provided for, and protected, and
vated to change their attitudes or behavior
it is men’s responsibility to do that. Benevo-
to restore harmony. Balance theory assesses
lent sexism is particularly insidious because
the relationships among three cognitive it does not seem like prejudice to male per-
elements and suggests ways to resolve im- petrators, because it is not contemptuous,
balance. Dissonance theory identifies two and because women may find it alluring,
situations in which inconsistency often oc-
curs: after a choice between alternatives or
when people engage in behavior that is in-
consistent with their attitudes. The theory
also cites two ways to reduce dissonance: by
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aTTITudEs 267
0 1 2 3 4 5
DISAgree DISAgree DISAgree Agree Agree Agree
STronglY SoMeWhAT SlIghTlY SlIghTlY SoMeWhAT STronglY
1. ________ No matter how accomplished he is, a man is not truly complete as a person unless he has
the love of a good woman.
2. ________ Many women are actually seeking special favors, such as hiring practices that favor them
over men, under the guise of asking for “equality.”
3. ________ In a disaster, women ought to be rescued before men.
4. ________ Most women interpret innocent remarks or acts as being sexist.
5. ________ Women are too easily offended.
6. ________ Many women have a quality of purity that few men possess.
7. ________ Feminists want women to have more power than men.
8. ________ Most women fail to appreciate fully all that men do for them.
9. ________ Women seem to gain power by getting control over men.
10. ________ Women should be cherished and protected by men.
11. ________ Every man ought to have a woman whom he adores.
12. ________ A good woman should be set on a pedestal by her man.
13. ________ Women exaggerate problems they have at work.
14. ________ Women, compared to men, tend to have a superior moral sensibility.
15. ________ Men should be willing to sacrifice their own well-being in order to provide financially for
those who are dependent on them.
16. ________ Once a woman gets a man to commit to her, she usually tries to put him on a tight leash.
17. ________ Women, as compared to men, tend to have a more refined sense of culture and good taste.
18. ________ Men are incomplete without women.
19. ________ Many women get a kick out of leading men on.
20. ________ When women lose to men in a fair competition, they typically complain about being
discriminated against.
To determine your Hostile Sexism score, average items 2, 4, 5, 7, 8, 9, 13, 16, 19, 20.
To determine your Benevolent Sexism score, average items 1, 3, 6, 10, 11, 12, 14, 15, 17, 18
disarming, and difficult to resist. In fact, although United States quite similar to men (Glick, et al.
women are significantly more likely than men 2000).
to reject hostile sexism, they are much more ac-
cepting of benevolent sexism—with rates in the Source: Adapted from Glick & Fiske, 2001.
9780813349503.indb 267 5/16/14 1:50 PM

268 aTTITudEs
changing one of the elements or by changing theory of cognitive dissonance (p. 254)
the importance of the cognitions involved. theory of planned behavior (p. 265)
theory of reasoned action (p. 265)
The Relationship Between Attitudes and
Behavior. The attitude-behavior relation-
ship is influenced by six variables: accessi- Critical Thinking Skill:
bility and activation of the attitude, charac- Analyzing Attitudes
teristics of the attitude, attitude-behavior
correspondence, situational constraints, This chapter opened your eyes to the com-
reference groups, and reasoning. (1) For an ponents of attitudes and made you think
attitude to influence behavior, it must be about where they come from, how they re-
activated, and the person must use it as a late to one another, and how your attitudes
guide for behavior. (2) The relationship is may—or may not—influence your behav-
stronger if affective-cognitive consistency ior. What are some of the ways this knowl-
is high and if the attitude is based on di- edge might change the way you think about
rect experience, is strong (relevant), and or respond to your own attitudes and those
is stable. (3) The relationship is stronger of others?
when the measures of attitude and behavior It is important to recognize the central
correspond in action, object, context, and role our beliefs play in shaping our atti-
time. (4) Situational constraints may facil- tudes. For example, you are likely to have a
itate or prevent the expression of attitudes more positive attitude toward environmen-
in behavior. (5) Attitudes are more likely to tally conscious living if you believe humans
influence behavior if reference groups hold are causing climate change and that climate
similar attitudes. (6) The theory of reasoned change has a negative impact on our world,
action argues that behavior is determined our lives, or those of future generations. It
by behavioral intention, and this intention is also important to consider where those
is determined by a person’s attitudes toward beliefs come from and why we hold them.
a particular line of action and perceptions Other critical thinking exercises in this
of social norms. Reasoning is not involved book encourage you to gather evidence
in automatic behaviors or those determined and investigate claims. These are certainly
by habit. important. However, critical thinking also
requires you to consider why you hold the
beliefs you do in the first place.
List of Key Terms and Concepts For example, why would someone think
humans are causing climate change? Not
attitude (p. 244) everyone does. And why might someone
balance theory (p. 252) believe climate change is having a negative
cognitions (p. 244) impact on the world? Some argue that cer-
cognitive dissonance (p. 254) tain crops in certain places are benefiting
correspondence (p. 263) from higher temperatures.
perceived behavioral control (p. 265) To evaluate assumptions we might have,
prejudice (p. 248) we need to think critically about where they
primitive belief (p. 250) come from and why we hold them. Why
sexism (p. 266) might someone believe the claims above?
situational constraint (p. 264) Think back to Chapter 6 and the discus-
subjective norms (p. 265) sion of the differences between what social
9780813349503.indb 268 5/16/14 1:50 PM

aTTITudEs 269
science students thought caused poverty see marriage as a religious institution rather
and what business students believed. What than a civil one.
accounts for these differences? What are some of your attitudes? What
Consider the example of Justin from this are the beliefs that influence them? Where
chapter and his beliefs about same-sex mar- might those beliefs originate from?
riage, equality, and acceptance of the Con- Once you realize why you or others hold
stitution. Why might he hold these beliefs? certain attitudes and beliefs, you can con-
What is it about Justin or these students’ sider potential biases and alternative ways
cultures—the time period they live in, their of thinking. Would you feel differently
communities, the media messages they are about climate change if you lived in Dar-
exposed to, their roles and experiences, and fur or in Alaska? Would you think differ-
so forth—that might cause them to hold ently about poverty if you had been poor
these beliefs? For example, you might not or your favorite shows were Maury Povich
think climate change has a negative effect and Cops? Are your beliefs about same-sex
on our world because you live in an area marriage different from your grandpar-
that has been relatively unaffected by it; ents’? Would you feel the same way you do
someone who lives on the Gulf Coast of the now if you had lived two generations ago?
United States may think quite differently. Questions like these help us understand our
You might believe the poor are lazy because own views and the views of others, thereby
your classes do not require you to systemat- increasing both cultural competence and
ically consider structural forces. You might critical thinking.
be against same-sex marriage because you
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9780813349503.indb 270 5/16/14 1:50 PM
chaPter 8
syMBolic coMMunicATion
ANd LANGUAGE
introduction 272 normative distances for interaction 299
Language and Verbal normative Distances 299
Communication 273 Conversational Analysis 302
linguistic communication 273 initiating conversations 302
the encoder-Decoder model 276 regulating turn taking 304
the intentionalist model 277 feedback and coordination 305
the Perspective-taking model 280
Summary 306
nonverbal Communication 282
types of nonverbal communication 282
Critical Thinking Skill:
computer-mediated
Understanding the Importance
communication 285
of Clear Communication 308
What’s in a face? 286
combining nonverbal and Verbal
communication 286
Social Structure and

Communications 288
Gender and communication 289
Social Stratification and Speech
Style 291
communicating Status and
intimacy 293
271
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272 syMbolIC CoMMunICaTIon and languagE
IntroductIon we must master the ways for expressing

ideas and feelings that are accepted in our
Imagine that you wake up tomorrow morn- community.
ing and you cannot speak. How would you Symbols are arbitrary stand-ins for what
manage to get through the day? How would they represent. A green light could as rea-
it affect your interactions with roommates, sonably stand for “stop” as for “go,” the
partners, professors, employers? Now, sound luv as reasonably for negative as for
imagine that you wake up the next day and positive feelings. The arbitrariness of sym-
you can speak again! But you can’t move bols becomes painfully obvious when we
your arms or hands. How would that in- travel in foreign countries. We are then
fluence your ability to interact with those likely to discover that the words and even
same people? Communication is a basic in- the gestures we take for granted fail to com-
gredient of every social situation. Without municate accurately. A North American
communication, interaction breaks down; who makes a circle with thumb and index
indeed, it would be simply impossible to finger to express satisfaction to a waiter
participate in a class, purchase something, may be in for a rude surprise if he or she
or arrange a birthday party or any other so- is eating at a restaurant in Ghana, where
cial occasion. the waiter may interpret this gesture as a
Communication is the process whereby sexual invitation. In Venezuela, it may be
people transmit information about their interpreted as a sexual insult! The traveler
ideas, feelings, and intentions to one an- may then have serious difficulties straight-
other. We communicate through spoken ening out these misunderstandings because
and written words, through voice qualities he and the waiter lack a shared language of
and physical closeness, through gestures verbal symbols to discuss them.
and posture. Often, communication is de- Language and nonverbal forms of com-
liberate: We smile, clasp our beloved in munication are amazingly complex. They
our arms, and whisper, “I love you.” Other must be understood and used with flexi-
times, we communicate meanings that are bility and creativity. Most of us fail on oc-
unintentional. A Freudian slip, for instance, casion to communicate our ideas and feel-
may tell our listeners more than we want ings with accuracy or to understand others’
them to know. communications as well as we might wish.
Because people do not share each other’s Yet, considering the problems a commu-
experiences directly, they must convey their nicator must solve, most people do sur-
ideas and feelings to each other in ways that prisingly well. This chapter begins with
others will notice and understand. We of- an examination of language, moves on to
ten do this by means of symbols. Symbols nonverbal communication, then analyzes
are arbitrary forms that are used to refer the impacts of communication and social
to ideas, feelings, intentions, or any other relationships on each other. Finally, this
object. chapter considers the delicate coordination
Symbols represent our experiences in involved in our most common social activ-
ways that others can perceive with their ity—conversation. This chapter addresses
sensory organs—through sounds, gestures, the following questions:
pictures, even fragrances. But if we are to
interpret symbols as others intend them to 1. What is the nature of language, and
be understood, their meanings must be so- how is it used to grasp meanings and
cially shared. To communicate successfully, intentions?
9780813349503.indb 272 5/16/14 1:50 PM

syMbolIC CoMMunICaTIon and languagE 273
2. What are the major types of use, and the relation between language and
nonverbal communication, and how thought (see Box 8.1).
do they combine with language to
convey emotions and ideas? Linguistic Communication
3. How do social relationships shape Little is known about the origins of lan-
communication, and how does it guage, but humans have possessed com-
in turn express or modify those plex spoken languages since earliest times
relationships? (Kiparsky, 1976; Lieberman, 1975). Spoken
language is a socially acquired system of
4. What rules and skills do people sound patterns with meanings agreed on by
employ to maintain a smooth flow of the members of a group. We will examine
conversation and to avoid disruptive the basic components of spoken language
blunders? and some of the advantages of language use.
Basic Components. Spoken languages

language and verbal include sounds, words, meanings, and
coMMunIcatIon grammatical rules. Consider the following
statement of one roommate to another:
Although people have created numerous “Wherewereyoulastnight?” What the lis-
symbol systems (such as mathematics, mu- tener hears is a string of sounds much like
sic, painting), language is the main vehicle of this, rather than the sentence “Where were
human communication. All people possess you last night?” To understand a string of
a spoken language. There are thousands of sounds and to produce an appropriate re-
different languages in the world (Katzner, sponse, people must recognize the follow-
1995). This section addresses several cru- ing components: (1) the distinct sounds of
cial topics regarding the role of language in which the language is composed (the pho-
communication. These include the nature netic component); (2) the combination of
of language, three perspectives on how peo- sounds into words (the morphologic com-
ple attain understanding through language ponent); (3) the common meaning of the
words (the semantic component); and (4)
the conventions for putting words together
built into the language (the syntactic com-
ponent, or grammar). We are rarely con-
scious of manipulating all these compo-
nents during conversation, though we do so
regularly and with impressive speed.
Unspoken languages, such as Morse
code, computer programming languages,
and sign languages, lack a phonetic com-
ponent, although they do possess the re-
maining components of spoken language.
Signing by the interpreter parallels the oral People who use sign languages, for exam-
message by the speaker. Although sign language
lacks the phonetic component, it possesses the
ple, use upper body movements to signal
morphologic, semantic, and syntactic components words (morphology) with shared meanings
of language. © AP Photo/Charles Dharapak (semantics), and they combine these words
9780813349503.indb 273 5/16/14 1:50 PM

Box 8.1 research update: The linguistic relativity hypothesis
does the language we speak influence the way we Orwell’s description suggests that language
think about and experience the world? The most determines thought through the words it makes
famous theory on this question—the Sapir-Whorf available to people. We cannot talk about objects
linguistic relativity hypothesis—holds that lan- or ideas for which we lack words. The ways we
guage “is not merely a reproducing instrument think about the world are determined by the way
for voicing ideas, but is itself a shaper of ideas, our language slices up reality.
the program and guide for the individual’s mental The strong form of the linguistic relativity hy-
activity” (Whorf, 1956). Two forms of this hypothe- pothesis has not fared well in research. Consider
sis—strong and weak—have been proposed. some of the facts. Some languages have only two
According to the strong form of the linguistic basic words (dark and white) to cover the whole
relativity hypothesis, language determines our spectrum of colors. Yet people from these and all
perceptions of reality, so we cannot perceive or other known language groups can discriminate
comprehend distinctions that don’t exist in our between and communicate about whatever
own language. Orwell’s description of Newspeak, large numbers of colors they are shown (Heider
the language developed by the totalitarian rul- & Olivier, 1972). Most likely, any concept can be
ers in his novel Nineteen Eighty-Four, portrays expressed in any language, though not with the
in frightening terms how language restricts same degree of ease and efficiency. Before ei-
thought: ther TV or the word television existed, for exam-
ple, someone undoubtedly referred to the con-
don’t you see that the whole aim of New-
cept of “a device that can transmit pictures and
speak is to narrow the range of thought? In
the end we shall make thought crime literally
sounds over a distance.” When new concepts are
impossible because there will be no words in encountered, people invent words (laser) or bor-
which to express it. . . . Every year fewer and row them from other languages (sabotage from
fewer words, and the range of consciousness French, goulash from Hungarian).
always a little smaller. . . . The revolution will Thus, the strong linguistic relativity hypothe-
be complete when the language is perfect. sis that language determines thought has found
(George Orwell, Nineteen Eighty-Four, 1949; little support. But there is considerable evidence
46–47) for a weak form of this hypothesis. The weak
into sentences according to rules of order with which to represent ideas and feelings.
(syntax). For a communication system to The average adult native speaker of English
be considered a language, morphology, se- knows the meanings of some 35,000 words,
mantics, and syntax are all essential. Lin- and actively uses close to 5,000. Because it
guists study these components, seeking to is a symbol system, language enhances our
uncover the rules that give structure to lan- capacity for social action in several ways.
guage. Social psychologists are more inter- First, language frees us from the con-
ested in how language fits into social inter- straints of the here and now. Using words to
action and influences it and in how language symbolize objects, events, or relationships,
expresses and modifies social relationships we can communicate about things that hap-
(Giles, Hewstone, & St. Clair, 1981). pened last week or last year, and we can dis-
cuss things that may happen in the future.
Advantages of Language Use. Words— The ability to do the latter allows us to co-
the symbols around which languages are ordinate our behavior with the activities of
constructed—provide abundant resources others. In thinking about losing your voice
9780813349503.indb 274 5/16/14 1:50 PM

form of the linguistic relativity hypothesis says glish were better (Pilling & davies, 2004). This
that each language facilitates particular forms of same influence of language was demonstrated
thinking because it makes some events and ob- in experiments using speakers of English. Partic-
jects more easily codable or symbolizable. In fact, ipants who were primed with (shown) abstract
the availability of linguistic symbols for objects or terms focused on general features in a categori-
events has been shown to have two clear effects: zation task, whereas those primed using concrete
(1) it improves the efficiency of communication terms focused on specific aspects in performing
about these objects and events, and (2) it en- the task (Stapel & Semin, 2007).
hances success in remembering them. The availability of linguistic symbols also
Counting is difficult for people whose lan- affects memory for objects and persons. This
guage does not include numbers. The Piraha, a was shown in a study that involved subjects
group living in the Amazon, have only two words who spoke English or Chinese (Hoffman, Lau,
for numbers, words that mean one and two. & Johnson, 1986). This study used English- and
When an experimenter lined up several batteries Chinese-language descriptions of two people
and asked a member of the tribe to match it, the whose traits could be easily labeled in English
member did well when the line contained two or but not in Chinese and of two other people
three, but had a difficult time if there were more whose traits could be easily labeled in Chinese
than three batteries in the experimenter’s line but not in English. Three groups of participants
(Gordon, 2004). read the descriptions: English monolinguals,
Language influences what we pay atten- Chinese-English bilinguals who read in Chinese,
tion to. Native speakers of Ndonga (spoken in and Chinese-English bilinguals who read in En-
parts of Africa) and of English were compared glish. The participants’ memory of the descrip-
on three color cognition tasks. Ndonga has no tions was assessed. The results showed that
terms for orange, pink, and purple. Participants memory was much better when the information
were presented with colors that exploited this about the target conformed to labels in the par-
fact. Speakers of both performed well at sorting ticipant’s language of processing. These results
colors based on similarity. However, they differed lend support to the weak form of the linguistic
in performance on a task that required them to relativity hypothesis.
search for specific colors; native speakers of En-
for the day, it may have occurred to you that spoken and the written word, vast quan-
it would very difficult to make appointments, tities of information pass from person to
schedule a meeting, or plan a trip. person and from generation to generation.
Second, language allows us to commu- Language also enhances our ability to go
nicate with others about experiences we beyond what is already known and to add
do not share directly. You cannot know to the store of cultural ideas and objects.
directly the joy and hope your friend feels Working with linguistic symbols, people
at bearing a child, nor her grief and despair generate theories, design and build new
at her mother’s death. Yet she can convey products, and invent social institutions.
a good sense of her emotions and concerns We turn now to three models of com-
to you through words, even in writing, be- munication: the encoder-decoder model,
cause these shared symbols elicit the same the intentionalist model, and the perspec-
meanings for you both. tive-taking model. We will consider how
Third, language enables us to transmit, each model views the communication pro-
preserve, and create culture. Through the cess and discusses communication accuracy.
9780813349503.indb 275 5/16/14 1:50 PM

The Encoder-Decoder Model The speaker hopes to create in the listener

the mental image or feeling that the speaker
Language is often thought of as a medium intends to convey. The listener is also mo-
of communication that one person uses tivated to achieve accuracy, in order to co-
to transmit information to another. The ordinate his or her behavior with that of
encoder-decoder model views commu- the speaker. Communication accuracy re-
nication as a process in which an idea or fers to the extent to which the message in-
feeling is encoded into symbols by a source, ferred by the listener matches the message
transmitted to a receiver, and decoded into intended by the speaker. According to this
the original idea or feeling (Krauss & Fus- model, the primary influence on accuracy is
sell, 1996). This process is portrayed in Fig- codability, which is the extent of interper-
ure 8.1. sonal agreement about what something is
called. Codability is partly a function of lan-
Communication Process. According to guage. Early research focused on the cod-
this model, the basic unit of communica- ability of colors (Lantz & Stefflre, 1964). In
tion is the message, which has its origin in this research, one person (the encoder) was
the desire of the speaker to communicate. shown a color and asked to describe that
A message is constructed when the speaker color in words. This verbal message was
encodes the information he or she wishes then sent to a second person (the decoder),
to communicate into a combination of ver- who tried to use the verbal description to
bal and nonverbal symbols. The message is identify the color intended by the encoder.
sent via a channel, whether by face-to-face Some colors are much more easily coded in
interaction, telephone, electronic commu- the English language (fire-engine red) than
nication, or in writing. The listener must others (the reddish color of a sunset). By
decode the message in order to arrive at the extension, some ideas and feelings are eas-
information he or she believes the speaker ily expressed in English, whereas others are
wanted to communicate. much more difficult to put into words. In
general, messages that are easily coded will
Communication Accuracy. The goal of be more accurately transmitted.
communication is to accurately transfer the Codability involves agreement about
message content from speaker to listener. what something is to be called. It also de-
Message Message
Speaker Hearer
Sent Received
Encoding Channel Decoding
FIgure 8.1 The encoder-Decoder Model

According to the encoder-decoder model, communication originates in the speaker’s desire to convey an idea or
feeling. He or she encodes the message into a set of symbols and transmits it to the hearer. The hearer decodes the
message. The more codable the idea or feeling in the language, the more accurate the communication.
9780813349503.indb 276 5/16/14 1:50 PM

pends on the extent to which speaker and der food in a fast-food outlet, you usually
listener define symbols (such as words or get exactly what you want with minimum
gestures) in the same way. This in turn de- effort.
pends on the language to which each was If conversation is scripted, listeners will
socialized. Thus, a common cause of mis- probably not pay careful attention to the
communication is differences in language idiosyncratic features of a message. They
between speaker and listener. This is ob- will tend to remember the generic content
vious when we try to converse with some- of a message but not its unusual charac-
one from a different country. It is less ob- teristics. In a field experiment testing this
vious, but perhaps just as important, when prediction, students were approached by
we converse with someone of a different a stranger who asked for a piece of paper.
race, class, or gender (Maynard & Whalen, Prior to the request, one-half of the stu-
1995). dents were asked to pay attention to the re-
At times, the processes of encoding and quest; the other half were not forewarned.
decoding are very deliberate or mindful Later, the forewarned students were more
(Giles & Coupland, 1991). If we are prepar- likely to remember the specific words used
ing a speech, we may consciously consider in the request than the unprepared students
alternative ways to phrase a message and (Kitayama & Burnstein, 1988).
alternative gestures to use when commu-
nicating. Listening to a speaker, we may The Intentionalist Model
pay careful attention to the words used,
the speed and volume of the spoken mes- The encoder-decoder model emphasizes
sage, the gestures, and the posture of the messages consisting of symbols whose
speaker in order to decide which message meaning is widely understood. It directs
is the correct one. We are often mindful of our attention to the literal meaning of ver-
the encoding and decoding process in novel bal messages. Often, however, messages are
situations or in communicating about novel not interpreted literally. For example, in
topics. many theaters, the feature film is preceded
Communication is not always a process by the message “Please, silence during the
of consciously translating ideas and feel- show.” But are members of the audience
ings into symbols and then transmitting expected to be silent? No. They can laugh if
these symbols deliberately in hopes that the film is a comedy, boo at the villain, and
the listener will interpret them correctly. applaud when the bad guy or gal gets what
Much communication occurs without any he or she deserves. Most of us understand
self-conscious planning. In familiar or rou- this message in terms of its intention: We
tine situations, we often rely on a conver- should not whisper or talk to those seated
sational script—a sequentially organized near us. For this type of communication, we
series of utterances that occur with little or need a different model.
no conscious thought. Thus, when you en- According to the intentionalist model,
ter a restaurant, you can interact with the communication involves the exchange of
server without much mental effort, because communicative intentions, and messages
you both follow a conversational script that are merely the means to this end (Krauss
specifies what each of you should say and & Fussell, 1996). The speaker selects the
in what sequence. Communication accu- message he or she believes is most likely
racy is typically high in situations governed to accomplish his or her intent. “Please, si-
by conversational scripts. When you or- lence during the show” is intended to keep
9780813349503.indb 277 5/16/14 1:50 PM

us from disturbing other members of the Communication Accuracy. According to

audience, and that is how we understand it. this model, accuracy in communication is
accuracy in understanding the intentions of
Communication Process. The origin of the speaker. To achieve accuracy requires
communication is the speaker’s intent to more sophisticated processing than merely
achieve some goal or to have some effect on interpreting the literal meaning of the mes-
the listener. But there is not a fixed, one-to- sage. When inferring the speaker’s inten-
one relation between words and intended tion, the listener needs to take into account
effects, so the speaker can use a variety of the context, especially (1) the status or role
messages or utterances to achieve his or her relationship between speaker and listener,
intended effect. For example, imagine you and (2) the social context in which the com-
are studying in your living room, and you munication occurs. If you and your room-
want your roommate to bring you some- mate are lovers, you might choose a less
thing to drink. Table 8.1 lists some of the polite form of the request, such as option
utterances you might use to make the re- 2 in Table 8.1, and you would expect a less
quest. Which one would you choose? polite response than if the two of you are
According to the intentionalist model, simply sharing the residence. If your par-
decoding the literal meaning of a message is ents are visiting at the time, your request to
only part of the process of communication. them is likely to take a different form, such
The hearer must also infer the speaker’s as option 3.
underlying intention in order to respond According to speech act theory, utter-
appropriately. To the question “How is ances both state something and do some-
that lemonade we bought?” a satisfactory thing (Searle, 1979). In Table 8.1, utterances
response to the literal message is “Good.” 1 to 6 state the speaker’s desire for a drink
If the communication is to be successful, (or specifically for lemonade), whereas ut-
however, your roommate needs to infer terances 7 and 8 do not. But all eight of the
your intention—that he should bring you utterances perform an action; each has the
a glass of lemonade. Both selecting a mes- force of a request. The significance of an ut-
sage to convey your intention and inferring terance is not its literal meaning, but what
another’s intention from their utterance are it contributes to the work of the interaction
carried out according to social conventions. in which it occurs (Geis, 1995). The use of
language to perform actions is rule-gov-
erned; these rules influence both the cre-
TABle 8.1 “get Me a Drink of lemonade.” ation and the interpretation of speech acts.
To achieve accurate communication, both
1. Get me a glass of lemonade. speaker and listener must be aware of these
2. Can you get me some lemonade? rules. Miscommunication is caused not only
3. Would you get me some lemonade?
by the lack of shared meaning of symbols,
but also by a lack of shared understanding
4. Would you get me something to drink?
of the rules governing the use of speech to
5. Would you mind if I asked you to get me some perform actions.
lemonade? To determine whether the message has
6. I’m thirsty. achieved the intended effect, the speaker
7. did you buy some lemonade at the store? relies on the feedback provided by the lis-
tener’s reaction. If the reaction indicates
8. How is that lemonade we bought?
that the listener interpreted the message ac-
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curately, the speaker may elaborate, change eratively by trying to be informative (giving
the topic, or end the interaction. However, as much information as is necessary and no
if the reaction suggests that the listener more), truthful, relevant to the aims of the
inferred a meaning different from the in- ongoing conversation, and clear (avoiding
tended one, the speaker will often attempt ambiguity and wordiness).
to send the same message, perhaps using The cooperative principle is more than
different words and gestures. For example, a code of conversational etiquette. It is cru-
when James asked Jasmine, a coworker, to cial to the accurate transmission of mean-
go out with him, Jasmine replied that she ing. Often, a listener can reach a correct
liked him as a friend and that she was busy understanding of otherwise ambiguous talk
Saturday night. Her intended message was only by assuming that the speaker is trying
that she was not interested in developing a to satisfy this principle. Consider, for ex-
romantic relationship with James. Several ample, how the maxim of relevance enables
days later, James tried to give Jasmine six the conversationalists to understand each
red roses. Inferring that James had not re- other in the following exchange:
ceived her intended message, she refused
the roses and told him directly that she was juan:I’m exhausted.
not interested in seeing him. maria: Fred will be back next Monday.
The Cooperative Principle. Mutual un- On the surface, Maria’s statement

derstanding is a cooperative enterprise. Be- seems unrelated to Juan’s declaration. In
cause language does not convey thoughts some contexts, we might infer that she has
and feelings in an unambiguous manner, changed the subject, indirectly sending
people must work together to attain a the message that she does not care about
shared understanding of each other’s ut- his physical state. In fact, however, Maria
terances (Goffman, 1983). A speaker must is stating that she and Juan won’t have to
cooperate with a listener by formulating work as hard after their colleague Fred re-
the content of speech acts in a manner that turns to the office next week. But why does
reflects the listener’s way of thinking about she expect that Juan will understand this?
objects, events, and relationships. Because she expects him to assume that she
In turn, the listener must cooperate by is adhering to the relevance maxim—that
actively trying to understand. He or she her comment relates to what he said.
must go beyond the literal meanings of The cooperative principle is also crucial
words to infer what the speaker is really for speech forms like sarcasm or under-
saying. A listener must make a creative ef- statement to succeed. In sarcasm or under-
fort to cope with a speaker’s tendency to statement, speakers want listeners to recog-
formulate speech acts indirectly. Without nize that their words mean something quite
such an effort, a listener would not under- different from their literal interpretation.
stand speech acts that leave out words (“Pa- One way we signal listeners that we intend
per come?”), abbreviate familiar terms (“See our words to imply something different is
ya in calc”), and include vague references by obviously violating one or two compo-
(“He told him he would come later”). nent maxims of the cooperative principle
According to Grice (1975), listeners as- while holding to the rest. Consider Car-
sume that most talk is based on the cooper- rie’s sarcastic reply when asked what she
ative principle. That is, listeners ordinarily thought of the lecturer: “He was so exciting
assume that the speaker is behaving coop- that he came close to keeping most of us
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awake the first half hour.” By flouting the Successful communication depends on
maxim of clarity (responding in an unclear, intersubjectivity; each participant needs
wordy way) while still being informative, information about the other’s status, view
truthful, and relevant, Carrie implies that of the situation, and plans or intentions.
the lecturer was in fact a bore. Strangers rely on social conventions and
rules about interpersonal communication.
The Perspective-Taking Model They categorize other participants and use
stereotypes as a basis for making inferences
A third model is based on symbolic interac- about the plans and intentions of the other
tion theory (see Chap. 1). It views the pro- person(s) who are present in the setting.
cess of communication as both creating and Notice that this practice perpetuates ste-
reflecting a shared context between speaker reotypes via the self-fulfilling prophecy (see
and listener. This approach maintains that Chap. 6). Persons who know each other can
symbols do not have a meaning that is in- draw on their past experience with each
variant across situations (see Box 8.1). Ac- other as a basis for effective communication.
cording to the perspective-taking model,
communication involves the exchange of Interpersonal Context. According to this
messages using symbols whose meaning model, both the production and the inter-
grows out of the interaction itself. pretation of communication is heavily influ-
enced by the interpersonal context in which
Communication Process. Communica- it occurs (Giles & Coupland, 1991). This
tion involves the use of verbal and nonver- context influences communication through
bal symbols whose meaning depends on the norms, cognitive representations of prior
shared context created by the participants. similar situations, and emotional arousal.
The development of this shared context re- Every social situation includes norms
quires reciprocal role taking, in which each regarding communicative behavior. These
participant places himself or herself in the norms specify what topics are appropri-
role of the other in an attempt to view the ate and inappropriate for discussion, what
situation from the other’s perspective. The language is to be used, and how persons
context created by the ongoing interaction of varying status should be addressed. De-
changes from minute to minute; each ac- pending on these norms, we use one or an-
tor must be attentive to these changes in other of various speech repertoires, ways of
order to communicate successfully as both communicating the same literal message
speaker and listener. that vary in words, tone, and so on (Giles
& Coupland, 1991). Imagine a man who
Communication Accuracy. In the per- wishes another person to close a door. To
spective-taking model, communication is his son in his home, he might say, “Close
much more than transmitting and receiving the door.” To his son at work, he might
words with fixed, shared meanings. Con- say, “Please close the door, Tom.” To an
versationalists must select and discover the employee, he could say, “Would you close
meanings of words through their context. the door?” These different ways of making
In ordinary social interaction, the meanings a request reflect differences in speech rules,
of whole sentences and conversations may which depend on the relationship between
be ambiguous. Speakers and listeners must speaker and listener, and on the setting.
jointly work out these meanings as they go Each new situation evokes represen-
along. tations of prior similar situations and the
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language one has used or heard in them That is, there are subtle and systematic
(Chapman et al., 1992). These conversa- differences in the language we use to de-
tional histories provide us with the con- scribe events as a function of our group
tents of our speech repertoires. Each of us membership and the group to which the
has a set of things we say when we meet a actor or target belongs. We describe other
stranger our own age at a party; these are members of our own group behaving prop-
opening lines that in the past have been erly and members of out-groups behaving
effective in facilitating conversation with improperly at very abstract levels (say, “Jim
strangers at parties. If, instead, you met the [in-group member] is helpful”; “George
same stranger on a plane, you might use dif- [out-group member] is aggressive”). This
ferent speech acts. encourages positive stereotypes of us and
The processing of messages by listeners negative stereotypes of them. When in-
is also influenced by these contextual fac- group members behave badly or out-group
tors. Listeners interpret messages in light members behave well, we describe the
of the rules operating in situations, their events concretely (“Jim pushed that guy
past experience, and the emotions elicited out of his way”; “George held the door for
in them. When speaker and listener have a woman carrying a baby”). This technique
the same understanding of the normative encourages an attribution to the individ-
demands, communication should be quite ual rather than to the group. Research with
accurate. Similarly, if a situation evokes the Danish youth found evidence that the in-
same representations and emotions in both, fluence of this bias increased significantly
it is likely that the listener will accurately in- from age 8 to age 19 (Werkman, Wigbol-
terpret the speaker’s message. Communica- dus, & Semin, 1999).
tion across group and cultural boundaries is
often difficult precisely because speaker and Sociolinguistic Competence. To attain
listener differ in their assumptions and ex- mutual understanding, language perfor-
periences, even though they may speak the mance must be appropriate to the social
same language. and cultural context. Otherwise, even
The accuracy of indirect or covert com- grammatically acceptable sentences will
munication depends heavily on shared not make sense. “My mother eats raw
knowledge. In a series of experiments, termites” is grammatically correct and
participants were asked to compose mes- meaningful; it reflects linguistic compe-
sages—either in writing or on videotape— tence. But as a serious assertion by a North
taking a position in which they did not be- American, this utterance would draw
lieve. They were also instructed to try to amazed looks. It expresses an idea that is
covertly inform the reader or viewer that incongruous with American culture, and
they did not hold that position. The ma- listeners would have difficulty interpret-
jority of the participants used the device ing it. In a termite-eating culture, however,
of including false information about them- the same utterance would be quite sensi-
selves in the message. Friends of the par- ble. This example shows that successful
ticipants who read or viewed the message communication requires sociolinguistic
detected the deception, whereas strangers competence—knowledge of the implicit
did not (Fleming, Darley, Hilton, & Koje- rules for generating socially appropriate
tin, 1991). sentences. Such sentences make sense to
Members of a group share a linguistic listeners, because they fit with the listeners’
intergroup bias (Maass & Arcuri, 1992). social knowledge (Hymes, 1974).
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Speech that clashes with what is known lately in a three-piece suit, pacing back and
about the social relationship to which it forth. He looks up and sees you and imme-
refers suggests that a speaker is not socio- diately begins to gesture. He points to you,
linguistically competent (Grimshaw, 1990). then to some other window, and then to his
Speakers are expected to use language that watch. His movements are quick and sharp.
is appropriate to the status of the individu- His face is tense. What is he trying to com-
als they are discussing and to their relation- municate to you?
ship of intimacy. For example, competent Even without the use of words, most of us
speakers would not state seriously, “The can make some inferences about the man’s
janitor ordered the president to turn off the message and emotional state. We do so by
lights in the Oval Office.” They know that interpreting his nonverbal communica-
low-status persons do not “order” those of tion. This section examines three questions
much higher status; at most, they “hint” concerning nonverbal communication:
or “suggest.” Referring to a relationship of (1) What are the major types of nonverbal
true intimacy, sociolinguistically compe- communication? (2) What is communi-
tent speakers would not say, “The lover bul- cated by the human face? (3) What is gained
lied her beloved.” Rather, they would select and what problems arise when nonverbal
such socially appropriate verbs as “coaxed” and verbal communication are combined in
or “persuaded.” In short, competent speak- ordinary interaction?
ers recognize that social and cultural con-
straints make some statements interpreta- Types of Nonverbal Communication
ble and others uninterpretable in a given
situation. By one estimate, the human face can make
Thus, successful communication is a some 250,000 different expressions (Bird-
complex undertaking. A speaker must pro- whistell, 1970). In addition to facial expres-
duce a message that has not only an appro- sions, nonverbal communication uses many
priate literal meaning, but also an inten- other bodily and gestural cues. Four major
tion or goal appropriate to the relationship types of nonverbal cues (summarized in Ta-
and setting. The message must reflect the ble 8.2) are described next.
present degree of intersubjectivity between
speaker and hearer, consistent with the Paralanguage. Speaking involves a great
interactional context. The message must deal more than the production of words.
also signify the statuses of the participants Vocal behavior includes loudness, pitch,
(Geis, 1995). Given these requirements, it is speed, emphasis, inflection, breathiness,
remarkable that each of us communicates stretching or clipping of words, pauses, and
successfully many times each day. so on. All the vocal aspects of speech other
than words are called paralanguage. This
includes such highly communicative vocal-
nonverbal coMMunIcatIon izations as moaning, sighing, laughing, and
even crying. Shrillness of voice and rapid
In the introduction, we asked you to think delivery communicate tension and excite-
about what it would be like to communicate ment in most situations (Scherer, 1979).
without using words. Imagine that you are Various uses and interpretations of para-
looking out of a window of your third-floor linguistic and other nonverbal cues will be
dorm room or apartment. You notice a man examined later in this chapter. For now, see
on the sidewalk below, dressed immacu- how many distinct meanings you can give to
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TABle 8.2 Types of nonverbal communication

TYPe oF Cue DeFInITIon exAMPleS ChAnnel
Paralanguage Vocal but nonverbal Loudness, speed, pauses in Auditory

behavior involved in speech
speaking
Body language (kinesics) Silent motions of the body Gestures, facial expressions, Visual
eye gaze
Interpersonal spacing Positioning of body at Intimate closeness, facing Primarily visual; also touch,
(proxemics) varying distances and head-on, looking away, smell, and auditory
angles from others turning one's back
Choice of personal effects Selecting and displaying Clothing, makeup, room Primarily visual; also
objects that others will decorations auditory and smell
associate with you
the sentence “George is on the phone again” or woman with a firm handshake was rated
by varying the paralinguistic cues you use. by the coders as extroverted and emotion-
ally expressive and given low ratings on
Body Language. The silent movement of shyness. Women who shook hands firmly
body parts—scowls, smiles, nods, gazing, were also rated as open to new experience
gestures, leg movements, postural shifts, (Chaplin, Phillips, Brown, Clanton, & Stein,
caressing, slapping, and so on—all consti- 2000). Thus, a handshake can make a strong
tute body language. Because body language first impression and influence future inter-
entails movement, it is known as kinesics actions.
(from the Greek kinein meaning “to move”).
Whereas paralinguistic cues are auditory, Interpersonal Spacing. We also commu-
we perceive kinesic cues visually. The body nicate nonverbally by using interpersonal
movements of the man in our example spacing cues—positioning ourselves at
were probably particularly useful to you varying distances and angles from others
in interpreting his feelings and intentions. (for example, standing close or far away,
Researchers investigated the use of head facing head-on or to one side, adopting var-
tilts to the side and shoulder shrugs during ious postures, and creating barriers with
debates (Debras & Cienki, 2012). Head tilts books or other objects). Because proximity
served to point to other persons or objects, is a major means of communication be-
to call attention to them, whereas shrugs tween people, this type of cue is also called
were markers of disengagement. proxemics. When there is very close posi-
The handshake is a common nonver- tioning, proxemics can convey information
bal behavior. There are a variety of beliefs through smell and touch as well.
about the meaning of a handshake, depend- What types of communication by wait
ing on whether it is firm or limp, dry or staff influence your emotional reactions in
damp. Research on how we interpret hand- a restaurant? Researchers surveyed several
shakes involved 4 trained coders (2 men, 2 hundred diners in family restaurants in
women); each shook hands twice with 112 Seoul, Korea; diners completed a 31-item
men and women and rated the participants questionnaire while waiting for dessert.
on four measures of personality. The man The survey assessed diners’ reactions to
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the server’s verbal, paralinguistic, kinesic their relative position or prominence, and
and proxemic behaviors. The results indi- so on. A survey of eighth- and ninth-graders
cated that eye contact, smiles, bodily posi- focused on the contents of their bedrooms
tioning, and touch determined whether the found gender differences in the objects
customer reported a positive or negative and decorations; boys’ rooms contained
experience; the server’s language and para- sports equipment and things they had built,
language were not related to diner’s impres- whereas girls’ rooms contained stuffed an-
sions (Jung & Yoon, 2011). imals and photographs of people/family
members (Jones et al., 2007). Girls’ rooms
Choice of Personal Effects. Though we were much more likely to contain makeup
usually think of communication as ex- tables and have matching bedspread, cur-
pressed through our bodies, people also tains, and rugs. Similar differences have
communicate nonverbally through the per- been found in the living spaces of college
sonal effects they select—their choices of
clothing, hairstyle, makeup, eyewear (con-
tact lenses), and the like. A uniform, for
example, may communicate social status,
political opinion, lifestyle, and occupation,
revealing a great deal about how its wearer
is likely to behave (Joseph & Alex, 1972).
You may have made assumptions about the
status and lifestyle of the man in our sketch
based on the fact that he wore a three-piece
suit. The deliberate use of bodily hair and
tattoos to influence the impressions of oth-
ers is discussed in Chapter 4.
Clothing can convey a great deal of in-
formation about the wearer. Interviews
with 38 young people found that clothing
choices conveyed information about group
membership (Piacentini & Mailer, 2004).
The wearing of gold jewelry signaled mem-
bership in one group, whereas dressing in
“joggies” and “trackies” indicated member-
ship in a very different group. Wearing ex-
pensive, branded clothing conveyed one’s
social class status to other students and The meaning of a gesture can vary greatly from
one culture to another. A good example is the
staff. Clothing was also chosen to fit and “thumbs up.” In the United States, the gesture
communicate the role that the person was is often associated with the late film critic Roger
performing. Ebert. When he and his TV co-host, Gene Siskel,
In spaces that a person controls, such as both reviewed a film positively, they gave it “two
a bedroom, dormitory room, or office, ob- thumbs up,” meaning it was an excellent film. It is
widely used to signal “good work” or “awesome,”
jects that are displayed will be associated
and it has that meaning in Russia and several
with the person. Persons who enter the other countries. However, in several Middle
space will make inferences about the occu- Eastern countries it is a vile insult. In Iran it
pant based on what objects are displayed, means “F—you!” © Featureflash/Shutterstock.com
9780813349503.indb 284 5/16/14 1:50 PM

students and recent graduates (Gosling et The development and adoption of com-
al., 2005). Furniture in residences reflects puter-mediated communication (CMC)
and displays the patterns of social interac- has been especially rapid. E-mail and tex-
tion preferred by residents. Furniture cre- ting (SMS, or short message service) are al-
ates and constrains possibilities for interac- most universal in certain segments of U.S.
tion, and is often purchased and arranged society. In CMC, communication is entirely
for that purpose. A study of the tables pur- by written language, removing the paralin-
chased by Australians found that purchas- gual cues, kinesics, and proxemics—that is,
ers of a rectangular table used it to display aural and visual feedback (Kiesler, Siegel
the family hierarchy, with adults sitting at & McGuire, 1984). We noted earlier that
the short ends; a round table was purchased these are very important in providing con-
and used by two people who preferred an text, which aids in interpreting the words,
equalitarian style of interaction (Bjorkvall & and is often the mode by which emotion
Karlsson, 2011). is communicated. This obviously makes
For the most part, nonverbal cues, like many messages harder to code, potentially
language, are learned rather than innate. As restricting the topics of communication,
a result, the meanings of particular nonver- and increases risk of inaccuracy. The wide-
bal cues may vary from culture to culture. spread use of emoticons is an effort to com-
One example is the meaning of “thumbs pensate for the difficulty of conveying emo-
up.” Other features of nonverbal communi- tion, as is the use of textual devices such as
cation may have universal meanings, how- CAPITAL LETTERs to indicate shouting.
ever. These universals are based on our bi- CMC also involves the limited cyberself
ological nature. (discussed in Chap. 4), rather than the em-
bodied person.
Computer Mediated Communication E-mail and text are also asynchronous,
meaning that there is no immediate feed-
The preceding discussion implicitly as- back from others. As we note later in the
sumes that communication is face-to-face. chapter, back-channel feedback (eye con-
In the past century, new forms of com- tact, smiles, nods) makes an important con-
munication aided by technology have be- tribution to accuracy of communication,
come widely used. The first was the tele- and to the smooth flow of interaction (a re-
phone, which allowed communication at lationship). The absence of immediate feed-
a distance; it involves spoken language and back makes the time lag between the send-
paralanguage, but body language, proxe- ing of a message and receiving an answer
mics, and the impact of personal effects are potentially meaningful to the sender: “Why
lost. There is less shared context for the did she wait one hour/one day/one week
communication, unless the actors know to respond to my invitation?” The lack of
each other. More recently the cell phone a synchronous connection is taken advan-
has freed communicators from connection tage of when a communicator uses e-mail
to “landlines” and allows communication or text to send “bad news.” College students
from almost anywhere at any time, This is acknowledge using text messages instead
an advantage in increasing the spontaneity of face-to-face contacts to break up with a
and sense of connection, but a disadvantage partner (Harrison & Gilmore, 2012). Per-
to the extent that it happens at inappropri- haps not surprisingly, in class discussions
ate times such as a meeting, a performance, of texting this is a common complaint! Stu-
during a class, or during a religious service. dents also report sending messages at times
9780813349503.indb 285 5/16/14 1:50 PM

some would consider inappropriate, such as

while on a date, interacting with friends or
family, on an airplane in flight, or even while
having sex. In other words, CMC users
regularly violate the temporal and spatial
boundaries that separate intimate life, social
activities, work, and religion (Kiesler, Siegel,
& McGuire, 1984). These breaches suggest
that CMC encourages disinhibition and
lack of attention to ongoing social activity.
What’s in a Face?
The face is an important communication Successful communication is a complex process.

channel. Typically, we pay attention to These two kids are combining languages,
the face of persons with whom we inter- interpersonal spacing, and body language to
accomplish the sharing of a secret. © Tetiana
act. Moreover, the face is capable of many Kolinko/123rf
nonverbal behaviors; one dictionary lists 98
behaviors, of which 25 involve the face (Ra-
shotte, 2002). They include baring the teeth, on these, and the other half were of people
closing one’s eyes, frowning, grinning, lick- rated low on them. Participants were asked
ing the lips, nodding, tilting the head, raising to rate the target on 13 personality scales.
one’s eyebrows, and smiling. The physical When the verbal description was ambigu-
features of the face combined with these ous, the characteristics of the photo signifi-
movements convey a variety of messages, in- cantly influenced ratings (Hassin & Trope,
cluding information about social identities, 2000). This research suggests that people do
personality, and emotions (see Chap. 5). make inferences about personality based on
The physical features of the face, includ- facial features. The idea that there are ba-
ing skin color, often provide cues to racial sic facial expressions implies that we inter-
or ethnic identity. The features, in combi- pret facial expressions without reference to
nation with grooming, makeup, and jew- context. In fact, research has demonstrated
elry, virtually always indicate gender. Thus, that identical facial expressions are inter-
inferences about two important social iden- preted differently, depending upon context.
tities are made the moment we see some- In a specific context, we expect certain fa-
one’s face, and these inferences shape our cial expressions, and we compare the ex-
interaction with that person. pression(s) displayed to what we expect in
Physiognomy, the art of “reading” faces, interpreting it (Aviezer et al., 2008).
is based on the belief that personality traits Later in this chapter, we discuss research
can be inferred from facial features. In re- on facial maturity and how it influences in-
search designed to test this, participants teraction.
were given photographs and descriptions
of a target person. The photographs were Combining Nonverbal and
selected based on ratings by other partic- Verbal Communication
ipants on the confidence, charisma, and
dominance of the person in the photo; one- When we speak on the telephone or shout
half of the photos were of people rated high to a friend in another room, we are lim-
9780813349503.indb 286 5/16/14 1:50 PM

ited to communicating through verbal and students from a Nigerian secondary school
paralinguistic channels. When we wave and teachers’ college (Grayshon, 1980). Al-
to arriving or departing passengers at the though these students took courses in En-
airport, we use only the kinesic channel. glish and knew the verbal language well,
Ordinarily, however, communication is they did not know the paralinguistic cues
multichanneled. Information is conveyed of British native speakers. The students lis-
simultaneously through verbal, paralinguis- tened to two British recordings with identi-
tic, kinesic, and proxemic cues. cal verbal content. In one recording, para-
What is gained and what problems are linguistic cues indicated that the speaker
caused when different communication was giving the listener a brush-off. In the
channels are combined? If they appear to other recording, paralinguistic cues indi-
convey consistent information, they re- cated that the speaker was apologizing. Of
inforce each other, and communication 251 students, 97 percent failed to perceive
becomes more accurate. But if different any difference in the meanings the speaker
channels convey information that is incon- was conveying. Failure to distinguish a
sistent, the message may produce confusion brush-off from an apology could be disas-
or even arouse a suspicion of deception. In trous in everyday communication. Accu-
this section, we examine some outcomes rate understanding requires paralinguistic
of apparent consistency and inconsistency as well as verbal knowledge.
among channels. Our accuracy in interpreting events is
greatly enhanced if we have multiple com-
Reinforcement and Increased Accuracy. munication cues rather than verbal infor-
The multiple cues we receive often seem re- mation alone. The value of a full set of cues
dundant, each carrying the same message. A was demonstrated in a study of U.S. under-
smile accompanies a compliment delivered graduates’ interpretations of various scenes
in a warm tone of voice; a scowl accompa- (Archer & Akert, 1977). Participants ob-
nies a vehemently shouted threat. But mul- served scenes of social interaction that were
tiple cues are seldom entirely redundant, either displayed in a video broadcast or de-
and they are better viewed as complemen- scribed verbally in a transcript of the video
tary (Poyatos, 1983). The smile and warm broadcast. Thus, students received either
tone convey that the compliment is sincere; full, multichannel communication or verbal
the scowl and vehement shout imply that cues alone. Afterward, students were asked
the threat will be carried out. Thus, multi- to answer questions about what was going
ple cues convey added information, reduce on in each scene—questions that required
ambiguity, and increase the accuracy of going beyond the obvious facts. Observers
communication (Krauss, Morrel-Samuels, who received the full set of verbal and non-
& Colasante, 1991). verbal cues were substantially more accu-
Taken alone, each channel lacks the rate in interpreting social interactions. For
capacity to carry the entire weight of the instance, of those receiving multichannel
messages exchanged in the course of a con- cues, 56 percent correctly identified which
versation. By themselves, the verbal aspects of three women engaged in a conversation
of language are insufficient for accurate had no children; this compared with only
communication. Paralinguistic and kinesic 17 percent of those limited to verbal cues.
cues supplement verbal cues by supporting These findings convincingly demonstrate
and emphasizing them. The importance of the gain in accuracy from multichannel
paralinguistic cues is illustrated in a study of communication.
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Resolving Inconsistency. At times, the (Bugenthal, 1974). They consider whether

messages conveyed by different channels the facial expression, tone of voice, or ver-
appear inconsistent with one another. This bal content is appropriate to the particular
makes communication and interaction social situation. If people recognize a situ-
problematic. What would you do, for exam- ation as highly stressful, for example, they
ple, if your instructor welcomed you during rely more on the cues that seem consistent
office hours with warm words, a frowning with a stressful context (such as a strained
face, and an annoyed tone of voice? You tone of voice) and less on cues that seem to
might well react with uncertainty and cau- contradict it (such as a happy face or a ver-
tion, puzzled by the apparent inconsistency bal assertion of calmness). If the emotional
between the verbal and nonverbal cues you expression is ambiguous, situational cues
were receiving. You would certainly try to determine the emotion that observers attri-
figure out the instructor’s true feelings and bute to the person (Carroll & Russell, 1996).
desires, and you might also try to guess why For example, a person in a frightening situ-
the instructor was sending such confusing ation displaying an expression of moderate
cues. anger was judged to be afraid. In short, peo-
The strategies people use to resolve apple tend to resolve apparent inconsistencies
parently inconsistent cues depend on their between channels in favor of the channels
inferences about the reasons for the appar- whose message seems most appropriate to
ent inconsistency (Zuckerman et al., 1981). the social context.
Inconsistency could be due to the commu-
nicator’s ambivalent feelings (Mongrain &
Vettes 2003), to poor communication skills, SocIal Structure and
or to an intention to deceive. A large body of coMMunIcatIonS
research has compared the relative weight
we give to messages in different channels So far, this chapter has examined the nature
when we do not suspect deception. of verbal, nonverbal, and computer-medi-
In one set of studies, people judged the ated communication. How do social rela-
emotion expressed by actors who posed tionships shape communication? And how
contradictory verbal, paralinguistic, and fa- does communication express, maintain, or
cial signals (Mehrabian, 1972). These stud- modify social relationships? These ques-
ies showed that facial cues were most im- tions pinpoint social psychology’s concern
portant in determining which feelings are with the reciprocal impacts of social struc-
interpreted as true. Paralinguistic cues were ture and communication on each other.
second, and verbal cues were a distant third. This section examines four aspects of these
Later research exposing receivers to more impacts. First, it discusses gender differ-
complete combinations of visual and audiences in communication. Second, it consid-
tory cues replicated the finding that people ers the links between styles of speech and
rely more on facial than on paralinguistic position in the social stratification system.
cues when the two conflict. This prefer- Third, it analyzes the ways in which com-
ence for facial cues increases with age from munication creates and expresses the two
childhood to adulthood, indicating that it is central dimensions of relationships—status
a learned strategy (DePaulo, Rosenthal, Ei- and intimacy. Finally, it examines the social
senstat, Rogers, & Finkelstein, 1978). norms that regulate interaction distances
People also use social context to help and some of the outcomes when these
them judge which channel is more credible norms are violated.
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Gender and Communication in recent years. Instead of descriptive re-

search comparing men and women on a
A fundamental question about how so- small number of behaviors, researchers
cial structure influences communication now study these processes in specific social
is whether there are systematic differences contexts. Thus, researchers study how gen-
between men and women in communica- der and contextual variables such as type of
tion style. Many empirical studies have been relationship, group task, or authority struc-
conducted since 1970. Typically, each study ture interact to influence communication.
focuses on one or two aspects of interaction For example, studies in the 1970s and 1980s
and compares men and women on it. The found that when men attempted to change
most widely studied aspect has been in- the topic of conversation, they succeeded
terruptions. Research by Zimmerman and 96 percent of the time; in contrast, attempts
West (1975) reported that in casual conver- by women succeeded only 36 percent of the
sation of mixed-gender dyads, men inter- time (Fishman, 1983). This was interpreted
rupted women much more frequently than as reflecting the difference in status of men
the reverse. Other research suggested that and women. But if we take a broader look,
women’s speech involves more frequent use we see that (1) there are several types of
of tag questions (“It’s really hot, isn’t it?”), topic shifts in interaction, and (2) any group
hedges (“In my opinion, . . .”), and disclaim- of three or more people tends to develop an
ers (“I may be wrong but . . .”). These three internal status structure that is influenced
are often linked and have been said to indi- by the setting, task, and characteristics of
cate that women’s speech is more tentative the specific people present. A recent study
than men’s. Some studies report that women of six-person task-oriented groups found
are more likely to use intensifiers (“It’s re- that topic shifts are more sensitive to the
ally hot, isn’t it?”). In the nonverbal realm, internal status structure of the group than
women smile more often than men and are to gender (Okamoto & Smith-Lovin, 2001).
less likely to look at the other person as they Moreover, topic shifts often occurred fol-
interact. These and other findings of gender lowing a lapse in the discussion or an ob-
differences are the basis for the assertion vious conclusion to the current topic, sug-
that there are vast differences in style of in- gesting that they are not displays of power.
teraction between men and women. In addi- Research on other aspects of communi-
tion to academic researchers who take this cation has reached similar conclusions. A
position, it has been popularized in books study of nonverbal behavior recruited par-
such as You Just Don’t Understand: Women ticipants in a company’s headquarters; 42
and Men in Conversation (Tannen, 1991) employees each participated in two inter-
and Men Are from Mars, Women Are from actions with another, randomly chosen em-
Venus (Gray, 1992) (see Box 8.2). The early ployee. As a result, the dyads varied in the
academic interpretation of these differences corporate status of participants. There were
was that they reflect the fact that men have 10 all-male, 9 all-female, and 25 mixed-gen-
greater power than women. Thus, interrup- der dyads. During each interaction, the
tions, declarative statements instead of ten- pair was given two tasks. Interaction was
tative ones, and speech without intensifiers video- and audiotaped, and the tapes were
all reflect the possession of power—that is, coded by trained observers. The data were
the stratification system of the society. analyzed by gender and by corporate status.
Research on gender differences in com- Some nonverbal behavior varied by gender
munication has gotten more sophisticated and some varied by status. The differences
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Box 8.2 gender Differences in Communication
Two of the best-selling books of the 1990s, You sation. Women prefer head nods and “M-hmn”
Just Don’t Understand (Tannen, 1991) and Men rather than the more assertive “Yeah” or “Right.”
Are from Mars, Women Are from Venus (Gray, Women also make more such responses than
1992), proclaim that there are important differ- men. Again, research shows that gender interacts
ences in the way men and women communicate. with other variables. Back-channel responses
According to Tannen, men and women have occur more often in cooperative than in com-
different goals in conversation. Men intend to petitive interactions, carry different meaning de-
exert control, maintain their independence, and pending on whether they are inserted in the mid-
enhance their status; women want to establish dle (showing active attention) or at the end of a
and maintain relationships. Men engage in con- long utterance (indicating an end to the topic).
versational dominance, women in conversational Back-channel comments are not consistently as-
maintenance. (does this sound like the gender sociated with power or dominance.
stereotypes discussed in Box 6.2?) There are also gender differences in nonverbal
Lakoff (1979) called attention to the greater behavior. Men tend to signal dominance through
use by women of tag questions—statements freer staring, pointing, and walking slightly
that are between an assertion (“male” speech ahead of the women they are with. Women are
style) and a question. For example, “Richard is more likely to avert or lower their eyes and move
here, isn’t he?” Lakoff and others argue that tag out of a man’s way when they are passing him
questions express a lack of confidence in the (LaFrance & Mayo, 1978; Leffler, Gillespie, & Co-
speaker—a desire to avoid commitment to a naty, 1982). However, when men are in subordi-
statement and potential conflict. Empirical re- nate positions to women, they avert their eyes or
sults with regard to gender differences in the use move out of her way. Thus, the gender difference
of tag questions are conflicting: In some studies, is really a difference in the numbers of men and
women use them more; in other studies, men use women who occupy superordinate positions. An
them more; and in some studies, there are no dif- observational study of 799 instances of inten-
ferences. Also, if we look at the functions of tag tional touch found that in public situations—at
questions in conversation, we see that there are shopping malls, outdoors on a college campus—
several: They may express uncertainty, but they men are more likely to touch women. In greeting
also may express solidarity (“You were really sad or leave-taking situations—at bus stations and
about losing her, weren’t you?”) or politeness airports—there was no asymmetry by gender
(“Sit down, won’t you?”). A closer look suggests (Major, Schmidlin, & Williams, 1990).
that it is too simplistic to interpret the use of tag Thus, a comprehensive review of the litera-
questions as an indication of lack of confidence, ture on gender differences in communication
regardless of the gender of the person using leads to the conclusion that speech patterns,
them (Aries, 1996). conversational style, and nonverbal behavior
Another oft-discussed difference is in the use vary not only by gender but by characteristics of
of back-channel feedback—small vocal com- the context, such as the goals of the interaction
ments a listener makes while a speaker is talking. and the roles of the participants. Anyone is capa-
Women use less intrusive responses than men to ble of displaying “masculine” or “feminine” styles
indicate attention or agreement during conver- of communication when it is appropriate.
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associated with status did not correspond that he is asking for a favor. Nonstandard
to the differences associated with gender. speech is defined as characterized by lim-
Although women smiled more, there were ited vocabulary, improper pronunciation,
no differences in smiling by status. There incorrect grammar, and directness. It is
were no stable differences across gender or egocentric; the absence of “please” and “for
status, suggesting that the differences ob- me” in the second request makes it sound
served reflected local or corporate practices like an order, even though it is phrased as
and participants’ motives (Hall & Fried- a question.
man, 1999). In the United States, as in many other
In short, men and women do not form countries, speech style is associated with
two different, homogeneous groups with social status (Giles & Coupland, 1991). The
respect to communication style (Cameron, use of standard speech is associated with
1998). Generalizations about gender and high socioeconomic status and with power.
communication require taking into account People in positions of economic and polit-
the context and particular local (group, ical power are usually very articulate and
organizational) communication practices grammatically correct in their public state-
(Eckert & McConnell-Ginet, 1999). ments. In contrast, the use of nonstandard
speech is associated with low socioeco-
Social Stratification and Speech Style nomic status and low power.
These variations in speech are often used
The way we speak both reflects and re-cre- in mass media to index social class (Stamou,
ates our social relationships (Giles & Cou- 2011). An analysis of a very popular Greek
pland, 1991). Every sociolinguistic com- TV series describes the standard speech
munity recognizes variation in the way its used by Constantine, a 40-something pro-
members talk. One style is usually the pre- fessor. He uses a formal speech style, pep-
ferred or standard style. In addition to this pered with obsolete language forms and an-
preferred style, there are often other, non- cient Greek proverbs. He lives with Helen,
preferred styles. a 40-something barmaid, who uses every-
day and colloquial speech, and throws in
Standard and Nonstandard Speech. Con- expressions from youth language (“pissed
sider an example of each style. As you enter off”). Their consistent use of these styles
a theater, a young man approaches you. He contrasts with two other characters, both
asks, “Would you please fill out this short lawyers, who switch from one style to the
survey for me?” Depending on your mood, other depending on the occasion. Given the
you might comply with his request. But class gulf between them, it is not surprising
what if he asked, “Wud ja ansa sum ques- that Constantine and Helen don’t cohabit
tions?” Many people would be less likely to happily ever after. You can probably think
comply with this request. of a TV series or film that uses speech style
The first request employs standard to mark social class.
American English. Standard speech is Speech style is also influenced by the in-
defined as characterized by diverse vocab- terpersonal context. In informal conversa-
ulary, proper pronunciation, correct gram- tions with others of equal status, such as at
mar, and abstract content. It takes into ac- some parties or in bars, we often use non-
count the listener’s perspective. Note the standard speech, regardless of our socio-
inclusion of “please” in the first request, economic status. In more formal settings,
which indicates that the speaker recognizes especially public ones, we usually shift to
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standard speech. Thus, our choice of stan- so-called deficit theories, which claim that
dard or nonstandard speech gives listeners people who use nonstandard speech are less
information about how we perceive the capable of abstract and complex thought.
situation. These theories also claim that nonstan-
Studies in a variety of cultures have dard speech styles are typical of lower-class,
found systematic differences in how peo- Black, and other culturally disadvantaged
ple evaluate speakers using standard and groups in the United States, Great Britain,
nonstandard speech. In one study, students and other societies. Combining these two
in Kentucky listened to tape recordings of claims, deficit theorists argue that the chil-
young men and women describing them- dren from disadvantaged groups perform
selves. Four of the recordings, two by men poorly in school because their restricted
and two by women, were of speakers with language makes them cognitively inferior.
“standard” American accents. Four others, Their poor academic performance in turn
identical in content, were of speakers with leads to unemployment and poverty in later
Kentucky accents. On the average, students life.
gave the standard speakers high ratings on The strongest criticism of deficit theories
status and the nonstandard speakers low has come from Labov (1972). Based on inter-
ratings on status (Luhman, 1990). views in natural environments, he demon-
Is mumbling macho? Women’s speech strated that “Black English,” which has been
has somewhat greater phonetic distinctive- described as nonstandard speech, is every
ness than men’s; women speak with more bit as rich and subtle as standard English.
dispersed vowels (better enunciation) and Black English differs from standard English
more precise articulation of consonants. mainly in surface details like pronunciation
Radio DJs report altering their speech to (“ax” = ask) and grammatical forms (“He
fit the audience, so they might use more be busy” = He’s always busy). Nonstandard
masculine styles when broadcasting heavy speech may appear impoverished because
metal and country music, and less mascu- nonstandard speakers feel less relaxed in
line styles when playing popular and clas- the social contexts where they are typically
sical music. Eight on-air DJs were recorded observed (such as schools or interviews),
on XM satellite radio; one-minute samples and so they limit their speech. Anxiety may
were created for each, and rated by male be the reason the one young man asked
and female undergraduates on ten Likert “Wud ja ansa sum questions?” Social re-
scales. Recordings were also analyzed us- searchers or other “outsiders” who observe
ing acoustic computer software. Those nonstandard speakers may also inhibit their
DJs whose speech was acoustically less dis- language (Grimshaw, 1973). When inter-
tinctive (that is, they mumbled more) were viewed by a member of their own race, for
rated as significantly more masculine by the instance, Black job applicants used longer
listeners. As predicted they were the DJs on sentences and richer vocabularies and em-
the heavy metal and country music chan- ployed words more creatively (Ledvinka,
nels (Heffernan, 2010). 1971). Overall, speech differences between
groups have not been shown to reflect dif-
African-American Vernacular English. ferences in cognitive ability (Thorlundsson,
Nonstandard speech involves limited vo- 1987), and deficit theories have not received
cabulary, is rooted in the present, and does much empirical support.
not allow for elaboration and qualification In 1996, the Oakland, California, school
of ideas. As a result, some analysts advocate board adopted a resolution stating that Black
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English, which the resolution called ebonics them for future academic and professional
(ebony phonics), is a distinctive language. endeavors.
The board decided to provide some instruc- We noted earlier that evaluation of
tion in ebonics to facilitate the education speakers is influenced by their speech style.
of students and encourage “their mastery Do people evaluate speakers of AAVE dif-
of English language skills.” The board’s ac- ferently? In a carefully designed experi-
tion set off a national debate. Numerous ment, majority and minority students eval-
scholars and organizations now recognize uated recordings of speakers using strong
the legitimacy and cultural value of this lan- AAVE (11 features), moderate AAVE (6
guage spoken by many African Americans, features), or U.S. Standard English (USE).
referred to as African-American Vernacular Listeners rated the strong AAVE speakers
English (AAVE) (Rodriguez, Cargile, & Rich, as less attractive and lower-status than the
2004). Some teachers use AAVE in an effort speakers of moderate AAVE. They rated
to enhance the comprehension and learning speakers of moderate AAVE as lower in
of African-American students (Bohn, 2003). attractiveness and status than speakers of
For example, one seventh-grade teacher in USE (Rodriguez, Cargile, & Rich, 2004).
a predominantly minority school encour- Other research has attempted to identify
ages students to journal and write poetry the specific features that cause listeners to
in AAVE, which facilitates self-expression, distinguish AAVE from USE; the results are
and requires students to produce an “er- inconclusive (Thomas & Reaser, 2004).
rorless draft” of a paper adhering to all the
conventions of Standard English (SE) (Hill, Communicating Status and Intimacy
2009). A field researcher in one high school
in Washington, D.C., observed that for The two central dimensions of social rela-
many African-American students, AAVE tionships are status and intimacy. Status is
was the preferred speech style; they associ- concerned with the exercise of power and
ated SE with White, majority culture, and control. Intimacy is concerned with the ex-
its history of oppressing Blacks (Fordham, pression of affiliation and affection that cre-
1999). For these students, SE is the non- ates social solidarity (Kemper, 1973). Verbal
standard vernacular, and they “dissed” (dis- and nonverbal communication express and
respected) those Blacks who used it. These maintain particular levels of intimacy and
students “leased” SE—that is, used it when relative status in relationships. Moreover,
they had to while in school, from 9:00 a.m. through communication we may challenge
to 3:00 p.m., but not outside the school existing levels of intimacy and relative sta-
building. Two researchers collected essays tus and negotiate new ones (Scotton, 1983).
from 52 African-American tenth-graders Communication can signal our view of
(Godley & Escher, 2012). Twenty-three (45 a relationship only if we recognize which
percent) argued that only AAVE should be communication behaviors are appropriate
spoken in the classroom, because they were for an expected level of intimacy or status,
more proficient and comfortable speaking and which are inappropriate. The following
it. Eighteen said both AAVE and SE should examples suggest that we easily recognize
be spoken; they said AAVE facilitates group when communication behaviors are inap-
work and brainstorming, and that SE should propriate. What if you
be used for “practicing” communication
in future contexts. Ten students argued • repeatedly addressed your mother as
that only SE should be spoken, to prepare Mrs. X?
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• used vulgar slang during a job try to reduce their differences with voters
interview? by inviting the use of familiar names (John,
• draped your arm on your professor’s Barack). In cases where there is a clear sta-
shoulder as he or she explained how tus difference between people, the right
to improve your test answers? to initiate the use of the more familiar or
• looked away each time your beloved equal forms of address belongs to the supe-
gazed into your eyes? rior (for example, “Why don’t you drop that
‘Doctor’ stuff?”). This principle also applies
Each of these communication behaviors to other communication behaviors. It is the
would probably make you uncomfortable, higher-status person who usually initiates
and they would doubtlessly cause others changes toward more familiar behaviors
to think you inept, disturbed, or hostile. such as greater eye contact, physical prox-
Each behavior expresses levels of intimacy imity, touch, or self-disclosure.
or relative status easily recognized as inap- We each have a speech repertoire, dif-
propriate to the relationship. In the follow- ferent pronunciations, dialects, and a var-
ing section, we survey systematically how ied vocabulary from which to choose when
specific communication behaviors express, speaking. Our choices of language to use
maintain, and change status and intimacy with other people express a view of our
in relationships. relative status and may influence our re-
lationships. People usually make language
Status. Forms of address clearly communi- choices smoothly, easily expressing status
cate relative status in relationships. Inferi- differences appropriate to the situation
ors use formal address (title and last name) (Gumperz, 1976; Stiles, Orth, Scherwitz,
for their superiors (for example, “When Hennrikus, & Vallbona, 1984). Teachers
is the exam, Professor Levine?”), whereas in a Norwegian town, for instance, were
superiors address inferiors with familiar observed to lecture to their students in
forms (first name or nickname; for exam- the standard language (Blom & Gumperz,
ple, “On Friday, Daphne”). Status equals use 1972). When they wished to encourage stu-
the same form of address with one another. dent discussion, however, they switched to
Both use either formal (Ms./Mr./Mrs.) the local dialect, thereby reducing status
or familiar forms (Carol/Bill), depending differences. Note how your teachers also
on the degree of intimacy between them switch to more informal language when try-
(Brown, 1965). When status differences are ing to promote student participation.
ambiguous, individuals may even avoid ad- An experiment involving groups com-
dressing each other directly. They shy away posed of a manager and two workers
from choosing an address form because it studied the effect of authority and gender
might grant too much or too little status. composition of the group on verbal and
A shift in forms of address signals a nonverbal communication (Johnson, 1994).
change in social relationships, or at least The researcher created a simulated retail
an attempted change. During the French store; the manager gave instructions to the
Revolution, in order to promote equal- subordinates and monitored their work for
ity and fraternity, the revolutionaries de- 30 minutes. The interaction was coded as
manded that everyone use only the familiar it occurred. Authority affected verbal be-
(tu) and not the formal (vous) form of the havior; subordinates talked less, were less
second-person pronoun, regardless of past directive, and gave less feedback compared
status differences. Presidential candidates to superiors, regardless of gender. Gender
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Kinesic and proxemic cues are all we need to decipher the status relations displayed in this photo. His
position, half sitting in a relaxed posture with active hand gestures, tells us which one is the boss; their
seated postures, direct eye contact, and uniform smiles identify the employees. © pixdeluxe/iStock
affected the nonverbal behaviors of smiling who spoke using dominant or submissive
and laughing; women in all-female groups paralanguage were less influential. Thus, en-
smiled more than men in all-male groups. gaging in the paralinguistic behaviors appro-
Paralinguistic cues also communicate priate to the statuses of group members—in
and reinforce status in relationships. An ex- these experiments equals—enhances one’s
perimental study of influence in three-per- influence; engaging in behaviors inappro-
son groups systematically varied the para- priate to one’s status (say, like a superior to-
language of one member (Ridgeway, 1987). ward equals) reduces one’s influence.
This member, a confederate, was most in- Body language also serves to express
fluential when she spoke rapidly, in a con- status. When status is unequal, people of
fident tone, and gave quick responses. She higher status tend to adopt relatively re-
was less influential when she behaved domi- laxed postures with their arms and legs in
nantly (that is, spoke loudly, gave orders) or asymmetrical positions. Those of lower sta-
submissively (that is, spoke softly, in a plead- tus stand or sit in more tense and symmetri-
ing tone). A subsequent study found that a cal positions. The amount of time we spend
person who spoke in a task-oriented style looking at our partner, and the timing, also
(that is, rapid speech, upright posture, eye indicate status. Higher-status persons look
contact) or a social style (that is, moderate more when speaking than when listening,
volume, relaxed posture) was more influen- whereas lower-status persons look more
tial (Carli, LaFleur, & Loeber, 1995). Persons when listening than when speaking. Overall,
9780813349503.indb 295 5/16/14 1:50 PM

inferiors look more at their partners, but example given by one of the women. Thus,
they are also first to break the gaze between silencing involves language, gaze, gesture,
partners. Finally, superiors are much more bodily orientation, and symbolic invocation
likely to intrude physically on inferiors by of group ties within the setting.
touching or pointing at them (Dovidio &
Ellyson, 1982; LaFrance & Mayo, 1978; Lef- Intimacy. Communication also expresses
fler, Gillespie, & Conaty, 1982). another central dimension of relation-
An important phenomenon that both ships—intimacy. The exchange of title and
expresses and produces status differences is last names is common for strangers. One
silencing. In many interactions, being silent way we signal intimacy or solidarity is by
is not a passive state reflecting the absence addressing each other with first names. In
of a desire to communicate. The silence of other languages, speakers express intimacy
one or more of the actors may reflect an ac- by their choice of familiar versus formal
tive state produced by the ongoing interac- second-person pronouns. As noted earlier,
tion. A common form of silencing involves the French can choose between the familiar
not replying to a comment or question ad- tu or the formal vous; the Spanish have tu
dressed to you, which may silence the other or usted; the Germans du or sie; and so on.
person. Bodily movement may contribute Our choice of language is another way
to silencing, as when you turn away from to express intimacy. For example, the res-
someone and pick up the TV remote, or idents of a Norwegian town were found to
leave the room. Silencing can be an espe- use the formal version of their language
cially complex process when it occurs in a with strangers and the local dialect with
group setting, as illustrated by a detailed friends. They spoke the formal language
analysis of the silencing of one student when transacting official business in gov-
during a classroom discussion (Leander, ernment offices, then switched to dialect
2002). In response to a teacher’s question for a personal chat with the clerk after com-
about equal rights for women, one woman, pleting their business (Blom & Gumperz,
Chelle, sitting in the back of the room, says 1972). The use of slang gives strong expres-
quietly, “No, we don’t have equal rights.” A sion to in-group intimacy and solidarity.
young man in front of her gestures with his Through slang, group members assert their
thumb over his shoulder and says, “We got own shared social identity and express their
somebody back here who says they don’t alienation from and rejection of the out-
have equal rights.” The young man, by ges- group of slang illiterates.
turing rather than looking at Chelle, and by Choice of language, or code switching, is
invoking we-they (in-group vs. out-group a strategy that is employed in a variety of
identities), is attempting to silence her. situations. Deliberate choice of a language
Both students are sitting near friends, and may play a central role in the construction
the friends become engaged in the conver- of ethnicity (De Fina, 2007). Members of Il
sation, so that interacting groups are now Circolo, an Italian-American community
attempting to control the discourse. This with 48 members (men), gathered monthly
contest by the groups is facilitated by seat- for dinner and cards. All spoke both English
ing arrangements, and participants turn and Italian, and some also spoke a dialect.
their bodies and direct their gaze in ways Public communication, verbal and written,
that signal alignment. Other techniques and club business during dinner was con-
employed included speaking over a mem- ducted in English. Informal conversation,
ber of the other group, and ridicule of an including talk during card games, was typi-
9780813349503.indb 296 5/16/14 1:50 PM

cally in Italian; if the men knew the dialect, one study (Hornstein, 1985), telephone
that language might be used. The dialect conversations were recorded and later an-
and Italian were spoken to emphasize the alyzed; the conversations were between
men’s common ethnic background. strangers, acquaintances, and friends.
Code switching may also reflect the de- Compared to strangers, friends used more
sire to maintain or revitalize an ethnic com- implicit openings (“Hi,” or “Hi, it’s me”),
munity. Young adults of Mayan descent raised more topics, and were more respon-
living in Guatemala were less likely to use sive to the other conversationalist (for ex-
Spanish, compared to older (Mayan) adults. ample, asked more questions). Friends also
The youth spoke in the Mayan dialect more used more complex closings (for example,
often to demonstrate their resistance to making concrete arrangements for the next
Spanish culture and to revitalize the Mayan contact). Conversations of acquaintances
language (Barrett, 2008). Note the similar- were more like those of strangers.
ity to the use of AAVE by Black high school The theory of speech accommodation
students to resist White U.S. culture dis- (Beebe & Giles, 1984; Giles, 1980) illustrates
cussed earlier. an important way in which people use ver-
Code switching is a common occurrence bal and paralinguistic behavior to express
in language classes where native speak- intimacy or liking. According to this theory,
ers of one language are learning a second people express or reject intimacy by adjust-
language. Observation in high school En- ing their speech behavior during interac-
glish-as-a-second-language classes for im- tion to converge with or diverge from their
migrants from China (Liang, 2006), and partner’s. To express liking or evoke ap-
Spanish classrooms where 10- to 12-year- proval, they make their own speech behav-
old native speakers of Spanish were learn- ior more similar to their partner’s. To reject
ing Catalan (Unamuno, 2008), found that intimacy or communicate disapproval, they
students switched back to native language accentuate the differences between their
when it facilitated completion of class as- own speech and their partner’s.
signments. Thus, the goals of interaction A detailed analysis of 18 interviews il-
influence language choice. lustrates speech accommodation based on
You can even observe code switching in both ethnicity and familiarity (Scanlon &
CMC. Swiss of German descent who vis- Wassink, 2010). A 65-year old, middle-class,
ited Internet chat rooms often used dialect African-American woman interviewed 14
instead of German in their messages. Fre- African-American and 4 White adults who
quency of dialect use reflected not only the grew up in the same multiethnic neighbor-
preference of individual message senders, hood. She had known some of the inter-
but also the relative use of dialect in the viewees growing up in that neighborhood
thread—that is, context (Siebenhaar, 2006). but not others. Her speech patterns were re-
This is especially remarkable because a corded and analyzed acoustically for use of
written version of the dialect was rarely features common to AAVE. She was more
used prior to the Internet. likely to use tokens common to AAVE in in-
The intimacy of a relationship is clearly terviews with African Americans; she rarely
reflected in and reinforced by the content used them in interviews with whites—that
of conversation. As a relationship becomes is, she used SE patterns with them. Also, she
more intimate, we disclose more personal was more likely to match speech patterns
information about ourselves. Intimacy is with persons she had known growing up
also conveyed by conversational style. In than with strangers.
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Adjustments of paralinguistic behav- a waitress literally repeated the orders of

ior demonstrate speech accommodation her customers; in the other, she merely ac-
during conversations (Taylor & Royer, knowledged the orders by saying “Okay” or
1980; Thakerar, Giles, & Cheshire, 1982). “Coming up.” Customers whose orders were
Individuals who wish to express liking tend mimicked were more generous, giving sig-
to shift their own pronunciation, speech nificantly larger tips than those in the other
rate, vocal intensity, pause lengths, and condition (van Baaren, Holland, Steenaert,
utterance lengths during conversation to & van Knippenberg, 2003). In a related ex-
match those of their partner. Individu- periment conducted in a laboratory, the ex-
als who wish to communicate disapproval perimenter mimicked the posture (bodily
modify these vocal behaviors in ways that orientation, positions of arms and legs) of
make them diverge more from their part- one-half of the participants during a 6-min-
ner’s. Researchers recruited 100 romanti- ute interaction; those whom she mimicked
cally involved couples. Following an initial were more likely to help her later when she
3-minute conversation, couples were sepa- dropped some pens (van Baaren, Holland,
rated and randomly assigned to one of five Kawakami, & van Knippenberg, 2004).
conditions; one member was instructed to Accommodation is evident even in very
engage in very low, low, high, or very high subtle paralinguistic cues. Using audiotapes
intimacy in a subsequent 3-minute inter- of interviews by talk-show host Larry King
action, or were given no instruction. The of 25 guests (stars, athletes, politicians),
second interaction was videotaped, and analyses indicated voice convergence be-
the frequency of 11 behaviors reflecting in- tween partners (Gregory & Webster, 1996).
timacy was coded for each participant. As Lower-status persons accommodated their
expected, the partner adjusted his or her voices to higher-status persons. Moreover,
behavior by reciprocating the behaviors ex- student ratings of the status of Larry King
hibited by the confederate. Reciprocity was and of his guests were correlated with the
especially evident on verbal expressions of voice characteristics that showed conver-
intimacy and nonverbal indicators of in- gence.
volvement, for example, facial pleasantness The ways we express intimacy through
(Guerreo, Jones, & Burgoon, 2000). body language and interpersonal spacing
Among bilinguals, speech accommo- are well-recognized. For instance, research
dation may also determine the choice of supports the folklore that lovers gaze more
language (Bourhis, Giles, Leyens, & Tajfel, into each other’s eyes (Rubin, 1970). In
1979). To increase intimacy, bilinguals fact, we tend to interpret a high level of
choose the language they believe their part- eye contact from others as a sign of inti-
ner would prefer to speak. To reject intimacy. We communicate liking by assum-
macy, they choose their partner’s less pre- ing moderately relaxed postures, moving
ferred language. closer and leaning toward others, orienting
If greater intimacy leads to accommo- ourselves face-to-face, and touching them
dation, can accommodation lead to greater (Mehrabian, 1972). Increasing emotional
intimacy? Research suggests that extreme intimacy is often accompanied by increas-
accommodation, in the form of mimicry, ing body engagement, from an arm around
leads to behaviors associated with greater the shoulders to a full embrace (Gurevitch,
intimacy. Using the methodology of the 1990). There is an important qualification
field experiment, 60 groups of customers to these generalizations, however. Mutual
in a restaurant were randomly assigned to gaze, close distance, and touch reflect inti-
one of two conditions. In one condition, macy and promote it only when the interac-
9780813349503.indb 298 5/16/14 1:50 PM

tion has a positive cast. If the interaction is other’s eyes as they converse in public. Sur-
generally negative—if the setting is compet- prise may turn to discomfort if the tour-
itive, the verbal content unpleasant, or the ist engages an Arab man in conversation.
past relationship antagonistic—these same Bathed in the warmth of his breath, the
nonverbal behaviors intensify negative feel- tourist may feel sexually threatened. In our
ings (Schiffenbauer & Schiavo, 1976). own communities, in contrast, we are rarely
made uncomfortable by the overly close ap-
The Case of “Dude.” Let’s apply the proach of another. People apparently know
themes in this section to a concrete case. the norms for interaction distances in their
Language is continually evolving; some own cultures and they conform to them.
words and phrases fall into disuse (remem- What are these norms, and what happens
ber “valley girl”?) while new ones appear, when they are violated?
like “dude.” Think about the last time you
used “dude” in conversation; to whom were Normative Distances
you talking, and what was the context? Re-
search using diaries, surveys of students, Edward Hall (1966) has described four spa-
and analysis of conversations yields a snap- tial zones that are normatively prescribed
shot of its use (Kiesling, 2004). “Dude” is for interaction among middle-class Amer-
used primarily by young men in conver- icans. Each zone is considered appropriate
sation with other young men, suggesting for particular types of activities and rela-
that it is a marker of youth and masculin- tionships. Public distance (12 to 25 feet)
ity. Further, men rarely use the term in is prescribed for interaction in formal en-
conversation with parents and professors; counters, lectures, trials, and other public
its use indexes a relationship between per- events. At this distance, communication is
sons of equal status. In terms of intimacy, often one way, sensory stimulation is very
it occurs in conversations involving friends, weak, people speak loudly, and they choose
but not close friends; this suggests to the language carefully. Social distance (4 to 12
researcher that “dude” is used to indicate feet) is prescribed for many casual social
a “cool solidarity,” an effortless interaction and business transactions. Here, sensory
with other men. Like many terms that are stimulation is low. People speak at nor-
adopted widely by youth, “dude” has many mal volume, do not touch one another,
uses, as a greeting (“What’s up, dude?”), an and use frequent eye contact to maintain
exclamation (“Dude!”), to one-up someone smooth communication. Personal distance
(“That’s lame, dude”), and to express agree- (1.5 to 4 feet) is prescribed for interaction
ment. Thus, like all use of speech, the use among friends and relatives. Here, people
of this term is governed by sociolinguistic speak softly, touch one another, and receive
norms, and reflects group membership and substantial sensory stimulation by sight,
the status and intimacy of the relationship sound, and smell. Intimate distance (0 to
between the conversationalists. 18 inches) is prescribed for giving comfort,
making love, and aggressing physically.
This distance provides intense stimulation
norMatIve dIStanceS from touch, smell, breath, and body heat. It
for InteractIon signals unmistakable involvement.
Many studies support the idea that peo-
American and Northern European tour- ple know and conform to the normatively
ists in Cairo are often surprised to see men prescribed distances for particular kinds
touching and staring intently into each of encounters (LaFrance & Mayo, 1978).
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When we compare different cultural and Two aspects of interpersonal spacing

social groups, both similarities and differ- that clearly influence and reflect status
ences in distance norms emerge. All cul- are physical distance and the amount of
tures prescribe closer distances for friends space each person occupies. Equal-status
than for strangers, for example. The specific individuals jointly determine comfortable
distances for preferred interactions vary interaction distances and tend to occupy
widely, however. With regard to personal approximately equal amounts of space
distance, research using participants from with their bodies and with the possessions
several cultural groupings found that An- that surround them. When status is un-
glo-Saxons (people from the United States, equal, superiors tend to control interac-
the United Kingdom, and Canada) preferred tion distances, keeping greater physical
the largest zone or distance, followed by distance than equals would choose. Su-
Asians and Caucasians (Western Europe), periors also claim more direct space with
with Mediterraneans and Latinos prefer- their bodies and possessions than inferiors
ring the smallest zone (Beaulieu, 2004). (Gifford, 1982; Hayduk, 1978; Leffler et al.,
Women tend to interact with one another 1982).
at closer distances than men do in West-
ern cultures (Sussman & Rosenfeld, 1982), Violations of Personal Space. What hap-
whereas two men interact at close distances pens when people violate distance norms by
in some Muslim countries (Hewitt & Alqa- coming too close? In particular, what do we
htani, 2003). Social class may also influence do when strangers intrude on our personal
interpersonal spacing. In Canadian school space?
yards, lower-class primary-school children The earliest systematic examination of
were observed to interact at closer dis- this question included two parallel studies
tances than middle-class children, regard- (Felipe & Sommer, 1966). In one, strang-
less of race (Scherer, 1974). Observational ers approached lone male patients in men-
research on Boy Scout and Girl Scout troop tal hospitals to a point only 6 inches away.
meetings suggests that maintaining the ap- In the other, strangers sat down 12 inches
propriate physical and emotional distance away from lone female students in a uni-
from peers is associated with peer accep- versity library. The mental patients and
tance (Stiles & Raney, 2004). the female students who were approached
Differences in distance norms may cause left the scene much more quickly than the
discomfort in cross-cultural interaction. other patients and students who were not
People from different countries or social approached. After only 2 minutes, 30 per-
classes may have difficulty in interpreting cent of the patients who were intruded on
the amount of intimacy implied by each had fled, compared with none of the others.
other’s interpersonal spacing and in finding Among the students, 70 percent of those
mutually comfortable interaction distances. whose space was violated had fled by the
Cross-cultural training in nonverbal com- end of 30 minutes, compared with only 13
munication can reduce such discomfort. percent of the others. The results of this
For instance, Englishmen were liked more study are shown in Figure 8.2.
by Arabs with whom they interacted when Research in a university library in Paki-
the Englishmen had been trained to behave stan replicated the study of invasions in-
nonverbally like Arabs—to stand closer, volving students. A female invader, dressed
smile more, look more, and touch more like a student, selected a person sitting
(Collett, 1971). alone (51 men, 50 women) and sat down
9780813349503.indb 300 5/16/14 1:50 PM

within three feet (Khan & Kamal, 2010). average left within 2 minutes, whereas for
She remained seated for 10 minutes, or un- women (the same gender as the invader) it
til the other person left the table (“flight”). was 9 minutes.
Observers recorded other reactions: stare/ The reaction to violations depends in
glance, browse books, lean away, use cell part on the setting in which they occur.
phone, initiate conversation, or no reaction. Whereas violations of space norms at li-
Ninety-four percent of the men and women brary tables may lead to flight, violations
reacted (in a control condition, only six in library aisles lead to the person spending
percent of students sitting alone performed more time in the aisle (Ruback, 1987). Sim-
any of the behaviors in a 10-minute period). ilarly, intrusion into the space of someone
The most common reactions were stare/ using a public telephone is associated with
glance and use cell phone. Men who fled on the caller spending more time on the phone
(Ruback, Pape, & Doriot, 1989). It is possi-
ble that when you are looking for a book or
80
talking on the phone, a violation of distance
Patients norms is distracting, so it takes you longer
70
Intruded Upon to complete your task.
PERCENT WHO LEFT THE SCENE
60 Staring is a powerful way to violate

Students
another’s privacy without direct physi-
50 Intruded Upon cal intrusion. Staring by strangers elicits
avoidance responses, indicating that it is ex-
40 Patients
perienced as an intense negative stimulus.
Not Approached
When stared at by strangers, for instance,
30
pedestrians cross the street more rapidly,
20 and drivers speed away from intersections
Students more quickly (Ellsworth, Carlsmith, &
Not Approached
10 Henson, 1972; Greenbaum & Rosenfeld,
1978).
0 As the energy crisis worsens, more peo-
5 10 15 20 25 30
MINUTES FROM THE SPACE VIOLATION ple are considering alternatives to the car as
a means of transportation. Yet many peo-
FIgure 8.2 Reactions to Violations of Personal ple are unwilling to use mass transit, even
space when it is more convenient and equally
fast. Why? Possibly because on crowded
How do people react when strangers violate norms of
interpersonal distance and intrude on their personal
buses, streetcars, and commuter trains,
space? A common reaction is illustrated here. Strang- passengers experience violations of per-
ers sat down 12 inches away from lone female stu- sonal space. Interviews with auto users
dents in a library or approached lone male patients in identified influences associated with the
a mental hospital to within 6 inches. Those who were decision to drive versus use transit; one
approached left the scene much more quickly than theme was negative affect due to violations
control subjects who were not approached. Violations of personal space on transit vehicles (Mann
of personal space often produce flight. Source: Social
& Abraham, 2006). Research involving 139
Problems by N. J. Felipe and R. Sommer. Copyright 1966
by University of California Press—Journals. Reproduced
passenger train commuters found that both
with permission of University of California Press—Jour- self-reports of stress and increases in sali-
nals in the format Textbook and extranet posting via vary cortisol, a hormonal indicator of stress,
Copyright Clearance Center. were related to local seating density within
9780813349503.indb 301 5/16/14 1:50 PM

the rail coach. People experienced adverse converSatIonal analySIS

reactions when they had to sit close to oth-
ers (Evans & Wener, 2007). Although conversation is a common daily
In the contemporary world, crowded activity, we all have trouble communicat-
public transportation facilities like air- ing at times. The list of what can go wrong
planes and airports are also very noisy. is long and painful: inability to get started,
Travelers are likely to encounter violations irritating interruptions, awkward silences,
of their aural space, by the noise of crowds, failure to give others a chance to talk, fail-
jet engines, crying infants, noisy teens, loud ure to notice that listeners are bored or
cell phone conversations, and so one. Per- have lost interest, changing topics inappro-
haps this accounts for the marketing suc- priately, assuming incorrectly that others
cess of noise-cancelling headphones (Ha- understand, and so on. This section exam-
good, 2011). They allow the user to at least ines the ways people avoid these embar-
create a quiet space, if not an uncrowded rassing and annoying blunders. To main-
one. tain smooth-flowing conversation requires
knowledge of certain rules and communi-
cation skills that are often taken for granted.
We will discuss some of the rules and skills
that are crucial for initiating conversations,
regulating turn taking, and coordinating
conversation through verbal and nonverbal
feedback.
Initiating Conversations
Conversations must be initiated with an

attention-getting device—a summons to
interaction. Greetings, questions, or the
ringing of a telephone can serve as the sum-
mons. But conversations do not get under
way until potential partners signal that
they are attending and willing to converse.
Eye contact is the crucial nonverbal signal
of availability for face-to-face interaction.
Goffman (1963a) suggests that eye contact
places a person under an obligation to in-
teract: When a waitress permits eye con-
tact, she places herself under the power of
the eye-catcher.
Despite the crowded circumstances, the people The most common verbal lead into con-
on this subway train are maintaining some versation is a summons-answer sequence
privacy. Strangers feel uncomfortable when they (Schegloff, 1968). Response to a summons
must intrude on each other’s personal space. To
(“Jack, you home?” “Yeah”) indicates avail-
overcome this discomfort, they studiously ignore
each other, avoiding touch, eye contact, and ability. More important, this response ini-
verbal exchanges. © Nick White/Image Source/ tiates the mutual obligation to speak and
Corbis to listen that produces conversational turn
9780813349503.indb 302 5/16/14 1:50 PM

Flirting is a complex behavior that conveys interest in being approached by another person. These young
people are using posture, smiles, and direct gaze to attract each other’s attention. © Lise Gagne/iStock
taking. The summoner is expected to pro- The conversation begins with a sum-
vide the first topic—a conversational rule mons-answer sequence (lines 0, 1). This is
that little children exasperatingly over- followed by an identification-recognition
look. Our reactions when people violate the sequence (lines 2, 3); in this example, the
summons-answer sequence demonstrate recipient knows that the caller, John, rec-
its widespread acceptance as an obligatory ognizes his voice, so he does not state his
rule. When people ignore a summons, we name. Next, there is a trading of “How are
conclude either that they are intentionally you?” sequences (lines 4 through 6). Finally,
insulting us, socially incompetent, or psy- at line 6, John states the reason for the call.
chologically absent (sleeping, drunk, or This organization is found in many types of
crazy). telephone calls. However, in an emergency,
Telephone conversations exhibit a com- when seconds count, the organization is
mon sequential organization. Consider the quite different (Whalen & Zimmerman,
following conversation between a caller and 1987). Consider the following example:
a recipient:
0. (ring)
0. (ring) 1. R: Mid-City Emergency.
1. Recipient: Hello? 2. C: Um, yeah. There’s a fire in my
2. Caller: This is John. garage.
3. R: Hi. 3. R: What’s your address?
4. C: How are you?
5. R: Fine. How are you? Notice that the opening sequence is
6. C: Good. Listen, I’m calling about . . . shortened; both the greeting and the
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“How are you?” sequences are omitted. violated an implicit social rule: “It’s all right
In emergency calls, the reason for the to hold a conversation, but you should let
call is stated sooner. Note also that the go of it now and then” (Richard Armour).
recognition element of the identification- Verbal content and grammatical form
recognition sequence is moved forward, of speech also provide important cues for
to line 1. Both of these changes facilitate turn taking. People usually exchange turns
communication in an anonymous, urgent at the end of a meaningful speech act, after
situation. However, if the dispatcher an idea has been completed. The first pri-
answers a call and the caller says, “This is ority for the next turn goes to any person
John,” that signals an ordinary call. Thus, explicitly addressed by the current speaker
the organization of conversation clearly with a question, complaint, or other invi-
reflects situational contingencies. tation to talk. People expect turn changes
to occur after almost every question, but
Regulating Turn Taking not necessarily after other pauses in con-
versation (Hanni, 1980). It is difficult to
A pervasive rule of conversation is to avoid exchange turns without using questions.
bumping into someone verbally. To reg- When speakers in one study were permit-
ulate turn taking, people use many verbal ted to use all methods except questions for
and nonverbal cues, singly and together, signaling their desire to gain or relinquish
with varying degrees of success (Duncan & the floor, the length of each speaking turn
Fiske, 1977; Kendon, Harris, & Key, 1975; virtually doubled (Kent, Davis, & Shapiro,
Sacks, Schegloff, & Jefferson, 1978). 1978).
Signaling Turns. Speakers indicate their Turn Allocation. Much of our conversa-
willingness to yield the floor by looking tion takes place in settings where turn tak-
directly at a listener with a sustained gaze ing is more organized than in spontaneous
toward the end of an utterance. People also conversations. In class discussions, meet-
signal readiness to give over the speaking ings, interviews, and therapy sessions, for
role by pausing and by stretching the final example, responsibility for allocating turns
syllable of their speech in a drawl, terminat- tends to be controlled by one person, and
ing hand gestures, dropping voice volume, turns are often allocated in advance. Prior
and tacking relatively meaningless expres- allocation of turns reduces strains that arise
sions (such as “You know”) onto the end from people either competing for speaking
of their utterances. Listeners indicate their time or avoiding their responsibilities to
desire to talk by inhaling audibly as if pre- speak. Allocation of turns also increases the
paring to speak. They also tense and move efficiency of talk. It can arrange a distribu-
their hands, shift their head away from the tion of turns that best fits the task or situa-
speaker, and emit especially loud vocal tion—a precisely equal distribution (as in a
signs of interest (such as “Yeah,” “M-hmn”). formal debate) or just one speaker (as in a
Speakers retain their turn by avoiding eye football huddle).
contact with listeners, tensing their hands Much of the early work on the structure
and gesticulating, and increasing voice vol- of conversation was based on English-lan-
ume to overpower others when simultane- guage talk. Recently, researchers have ex-
ous speech occurs. People who persist in amined talk within a broader range of lan-
these behaviors are soon viewed by others guages and communities/cultures. These
as egocentric and domineering. They have comparative studies are leading to the iden-
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tification of a generic series of problems in are denied feedback, the quality of their
conversation, and an understanding of how speech deteriorates. They become less co-
the solution varies, reflecting local/cultural herent and communicate less accurately.
context (Sidnell, 2007). Their speech becomes more wordy, less
organized, and more poorly fitted to the sit-
Feedback and Coordination uation (Bavelas, Coates, & Johnson, 2000).
Lack of feedback causes such deterioration
We engage in conversation to attain in- because it prevents speakers from learning
terpersonal goals—to inform, persuade, several things about their partners. They
impress, control, and so on. To do this cannot discern whether their partners (1)
effectively, we must assess how what we have relevant prior knowledge they need
say is affecting our partner’s interest and not repeat; (2) understand already so they
understanding as we go along. Both ver- can wrap up the point or abbreviate; (3)
bal and nonverbal feedback help conver- have misinformation they should correct;
sationalists in making this assessment. (4) feel confused so they should backtrack
Through feedback, conversationalists co- and clarify; or (5) feel bored so they should
ordinate what they are saying to each other stop talking or change topics.
from moment to moment. The responses Alerted to the possible loss of listener
called back-channel feedback are espe- attention and involvement by the absence
cially important for regulating speech as of feedback, speakers employ attention-
it is happening. These are the small vocal getting devices to evoke feedback. One
and visual comments that a listener makes such attention-getting device is the phrase
while a speaker is talking, without taking “You know.” Speakers frequently insert
over the speaking turn. They include such “You know” into long speaking turns im-
responses as “Yeah,” “M-hmn,” short clar- mediately prior to or following pauses if
ifying questions (such as “What?” “Huh?”), their partner seems to be ignoring their in-
brief repetitions of the speaker’s words or vitation to provide feedback or to accept a
completions of his or her utterances, head speaking turn (Fishman, 1980).
nods, and brief smiles. When conversations Another device a speaker can use to re-
are proceeding smoothly, the fine rhythmic gain the attention of another participant is
body movements of listeners (such as sway- to ask him or her a question. Such displays
ing, rocking, blinking) are precisely syn- of uncertainty (for example, “What was the
chronized with the speech sounds of speak- name of that guy on the Idol show?”) re-
ers who address them (Condon & Ogston, structure the interaction by getting listen-
1967). These automatic listener movements ers more involved (Goodwin, 1987). If the
are another source of feedback that indi- speaker shifts his or her gaze to a specific
cates to speakers whether they are being person as he or she asks the question, it will
properly tracked and understood (Kendon, draw that person into the conversation.
1970). The fact that feedback influences the
Both the presence (or absence) and the quality of speech has another interesting
timing of back-channel feedback influence consequence. Listeners who frequently
speakers. In smooth conversation, listeners provide their conversational partners with
time their signs of interest, agreement, or feedback also understand their partner’s
understanding to occur at the end of long communication more fully and accurately.
utterances, or when the speaker turns his Through their feedback, active listeners
or her head toward them. When speakers help shape the conversation to fit their own
9780813349503.indb 305 5/16/14 1:50 PM

needs. The information needed varies on speaker: Governments will argue

several dimensions, one of which is preci- [pause]
sion; recall that the cooperative principle
that resources are not available [short
assumes the actors provide relevant preci-
pause] to help disabled people. [long
sion. In responding to an invitation, it may
pause]
be sufficient, if exaggerated, to say, “I don’t
have any money,” but in bankruptcy court, The fact is that too much is spent on
counsel or the judge will want greater preci- the munitions of war, [long pause]
sion. When we fail to provide relevant pre-
and too little is spent [applause begins]
cision, we will be challenged by an alert lis-
tener (Drew, 2003). This reinforces a central on the munitions of peace.
theme of this chapter: Accurate communi-
cation is a shared social accomplishment. In this example, the speaker uses the
Feedback is important not only in con- rhetorical device of contrast or antithesis.
versations, but also in formal lectures. Using this device, the speaker’s point is
Lecturers usually monitor members of the made twice. Audiences can anticipate the
audience for feedback. If listeners are look- completion point of the statement by men-
ing at the speaker attentively and nodding tally matching the second half with the first.
their heads in agreement, the lecturer infers This rhetorical device is an “invitation to
that his or her message is understood. On applaud,” and in the example, the audience
the other hand, quizzical or out-of-focus begins to applaud even before the speaker
expressions suggest failure to understand. completes the second half.
Similarly, members of the audience use
feedback from the lecturer to regulate their
own behavior; a penetrating look from the SuMMary
speaker may be sufficient to end a whis-
pered conversation between listeners. Communication is the process whereby
An important form of feedback in many people transmit information about their
lectures is applause. Speakers may want ap- ideas and feelings to one another.
plause for a variety of reasons, not just ego
gratification. Sometimes, lecturers subtly Language and Verbal Communication.
signal the audience when to applaud; au- Language is the main vehicle of human
diences watch for such signals in order to communication. (1) All spoken languages
maintain their involvement. For instance, consist of sounds that are combined into
an analysis of 42 hours of recorded politi- words with arbitrary meanings and put to-
cal speeches suggests that there is a narrow gether according to grammatical rules. (2)
range of message content that stimulates According to the encoder-decoder model,
applause (Heritage & Greatbatch, 1986). communication involves the encoding and
Attacks on political opponents, foreign sending of a message by a speaker, and
persons, and collectivities; statements of the decoding of the message by a listener.
support for one’s own positions, record, or Accuracy depends on the codability of the
party; and commendations of individuals idea or feeling being communicated. (3) In
or groups generate applause. When these contrast, the intentionalist model argues
messages are framed within particular that communication involves the speaker’s
rhetorical devices, applause is from two to desire to affect the listener, or the trans-
eight times more likely. For example: mission of an intention. The context of the
9780813349503.indb 306 5/16/14 1:50 PM

communication influences how messages used by lower-status persons and evalu-

are sent and interpreted. (4) The perspec- ated negatively. (3) We express, maintain,
tive-taking model argues that communica- or challenge the levels of relative status and
tion requires intersubjectivity—the shared intimacy in our relationships through our
context created by speaker and listener. verbal and nonverbal behavior. Status and
Thus, communication is a complex un- intimacy influence and are influenced by
dertaking; to attain mutual understanding, forms of address, choice of dialect or lan-
conversationalists must express their mes- guage, interruptions, matching of speech
sage in ways listeners can interpret, take styles, gestures, eye contact, posture, and
account of others’ current knowledge, and interaction distances. (4) The appropriate
actively work to decipher meanings. interaction distances for particular types of
activities and relationships are normatively
Nonverbal Communication. A great deal prescribed. These distances vary from one
of information is communicated nonver- culture to another. When strangers violate
bally during interaction. (1) Four major distance norms, people flee the scene or use
types of nonverbal communication are other devices to protect their privacy.
paralanguage, body language, interpersonal
spacing, and choice of personal effects. (2) Conversational Analysis. Smooth conver-
CMC involves only written language, elim- sation depends on conversational rules and
inating paralinguistic and visual cues that communication skills that are often taken
contribute to accuracy and regulation of for granted. (1) Conversations are initiated
interaction. It also encourages disinhibi- by a summons to interaction. They get un-
tion. (3) The face is an important channel der way only if potential partners signal
of communication; it provides information availability, usually through eye contact
that observers use to infer social identities or verbal response. (2) Conversationalists
and personal characteristics. (4) Informa- avoid verbal collisions by taking turns. They
tion is usually conveyed simultaneously signal either a willingness to yield the floor
through nonverbal and verbal channels. or a desire to talk through verbal and non-
Multiple cues may add information to each verbal cues. In some situations, turns are
other, reduce ambiguity, and increase accu- allocated in advance. (3) Effective conversa-
racy. But if cues appear inconsistent, peo- tionalists assess their partner’s understand-
ple must determine which cues reveal the ing and interest as they go along through
speaker’s true intentions. vocal and visual feedback. If feedback is ab-
sent or poorly timed, the quality of commu-
Social Structure and Communication. nication deteriorates. An effective speech
The ways we communicate with others also involves coordination between speaker
reflect and influence our relationships and audience; the timing of applause is a
with them. (1) Gender is related to com- joint accomplishment.
munication style; its impact depends on
the interpersonal, group, or organizational
context. (2) In every society, speech that List of Key Terms and Concepts
adheres to rules governing vocabulary,
pronunciation, and grammar is preferred back-channel feedback (p. 305)
or standard. Its use is associated with high body language (p. 283)
status or power and is evaluated favorably communication (p. 272)
by listeners. Nonstandard speech is often communication accuracy (p. 275)
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cooperative principle (p. 279) you would know what I want.” Some reflec-
ebonics (p. 293) tion, or critical thinking, will reveal these
encoder-decoder model (p. 276) beliefs to be false.
intentionalist model (p. 277) In order for another person to meet our
interpersonal spacing (p. 283) needs, we must communicate clearly and
intersubjectivity (p. 280) honestly. This can be harder than it sounds.
linguistic intergroup bias (p. 281) Our communication usually follows well-
nonstandard speech (p. 291) rehearsed scripts, as in ordering food in a
paralanguage (p. 282) restaurant, talking individually with an in-
perspective-taking model (p. 280) structor, or flirting at a party. We rely on
sociolinguistic competence (p. 281) social conventions, but these may not com-
speech act theory (p. 278) municate clearly who we are and what we
spoken language (p. 273) want. Look at the “Get me a drink” example
standard speech (p. 291) earlier in this chapter. “Did you buy some
summons-answer sequence (p. 302) lemonade at the store?” is a pretty indirect
symbols (p. 272) request if your goal is to have her bring you
theory of speech accommodation (p. 297) some lemonade. “Yes” or “No” is a sufficient
response, leaving you mildly frustrated.
Clear, direct communication—“Please
Critical Thinking Skill: bring me a glass of lemonade”—is much
Understanding the Importance more likely to get you a glass of lemonade.
of Clear Communication Communication involves not only words
but also paralanguage—the way one speaks:
Our lives consist of our relationships with warmly, coldly, with hostility; loudly or
other people—parents or caregivers, sib- softly; fast or slow. As we noted, these cues
lings, lovers, friends, supervisors, cowork- may communicate the speaker’s emotional
ers. The quality of our lives rests on the state. Perhaps you have been in conversa-
quality of these relationships. And what tions where the words didn’t match the per-
does the quality of a relationship depend son’s mood; or you tried to hide your anger.
on? Communication. As we discuss in When your coworker asks if you are mad
Chapter 11, an essential aspect of devel- that he or she is late for your meeting or
oping a relationship is self-disclosure. Self- for work, you may say “No!” but your tone
disclosure involves telling the other person and the loudness of your voice may give
personal information about yourself—that you away. Your effort to avoid clear, honest
is, communicating (also see Chap. 4). communication may not work.
For many people, good, satisfying rela- Communication also involves nonverbal
tionships are those in which we get some behavior and body language. A tense body,
of our needs met, whatever the needs may arms folded across the chest, and avoidance
be—help, emotional support, information, of eye contact probably indicate anger or
money, or sexual pleasure. In order for that withdrawal from the conversation. On the
to happen, the other person has to know other hand, relaxed posture, a smile, and a
what our needs are and how to satisfy them. nodding head indicate engagement and de-
We often wish the person would know sire to communicate.
without our having to tell them; we wish Clear communication requires effort and
they could read our minds. Or we think, “If critical thinking. First, you need to under-
you were really a good mother/friend/lover, stand yourself. What do you want to say?
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Once you identify your intention, think What is the circumstance or problem?
about how best to communicate it. Be aware What is your goal? What do you want to
that social scripts and conventions may not achieve? Now think about ways that you
provide the means for clear, honest com- could communicate clearly to the other(s)
munication. Use direct language. Choose involved. What language would clearly con-
the context: time and place. Consider the vey what you want? What would be a good
other person’s communication style. Be di- time and place to talk about it? Next is the
rect, and try to match your words to your hard part: Do it. Recognize that clear com-
paralinguistic and nonverbal cues. munication takes practice; it may not work
Now it’s time to apply this skill. Think the first time. In fact, things may get worse
about a circumstance in your life that could before they get better. But you may also be
be improved by clear communication—at surprised to learn that the other(s) want to
home, at school, at work, in a relationship. do things differently as much as you do!
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9780813349503.indb 310 5/16/14 1:50 PM
chaPter 9
Social inflUence
AnD PeRsuAsion
introduction 312 Resisting influence and Persuasion 337
forms of Social influence 312 inoculation 337
Attitude Change via Persuasion 313 forewarning 338
communication-Persuasion reactance 338

Paradigm 314 Summary 339
the Source 315
the message 318
Critical Thinking Skill: Evaluating Persuasive
the target 322
Messages 340
Compliance with threats and
Promises 325
effectiveness of threats and
Promises 328
obedience to Authority 331

experimental Study of obedience 333
factors affecting obedience to
authority 336
311
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312 soCIal InfluEnCE and pErsuasIon
IntroductIon dering his troops to enter a dangerous sit-

uation).
Consider some examples of social influence: Social influence leads to a variety of
outcomes. In some cases, the influencing
• In front of her condominium, Julie is met
source may produce attitude change—a
by Erika, a neighbor. Erika has heard that
change in the target’s beliefs and attitudes
a waste management company plans to
about some issue, person, or situation. At-
open a new landfill only a mile from their
titude change is a fairly common result of
complex. Trying to mobilize opposition,
social influence. In other cases, however,
Erika argues that the landfill would pose
the source may not really care about chang-
dangers to health and lower property val-
ing the target’s attitudes but only about
ues. She asks Julie to attend a meeting
securing compliance. Compliance occurs
and sign a petition against the landfill.
when the target’s behavior conforms to the
Somewhat alarmed by developments, Ju-
source’s requests or demands. Some social
lie finds Erika’s view persuasive, and she
influence attempts, of course, produce both
agrees to sign.
attitude change and compliance.
• One evening, the owner of a 24-hour Moreover, we must recognize that many
convenience store is confronted by a social influence attempts prove ineffective,
man wearing a ski mask and brandishing producing little or no change in the target.
a pistol. The man threatens, “Hand over Orders issued by direct authority frequently
your money or I’ll blow you away!” Facing obtain compliance, but at other times, their
a choice between two undesirable alter- targets may respond with defiance or open
natives—losing his money or his life—the revolt. Because influence attempts vary in
victim opens the cash register and hands their degree of success, one concern of this
over the money. chapter is to discern the conditions under
which influence attempts are most effective.
• During a military action in Afghanistan, a
U.S. commander orders a platoon of men
to attack a series of caves where terrorists Forms of Social Influence
are thought to be hiding. The danger in-
Influence attempts can be either open or
volved is great. Night has fallen, the entire
covertly manipulative (Tedeschi, Schlen-
area is covered with antipersonnel mines,
ker, & Lindskold, 1972). In open influence,
and the enemy has been firing on the
the attempt is readily apparent to the tar-
troops from the hills. Despite these ob-
get. The target understands that someone
stacles, the troops move out as ordered.
is trying to change his or her attitudes or
These stories illustrate various forms of behavior. In manipulative influence, the
social influence. By definition, social influ- attempt is hidden from the target. Manip-
ence occurs when one person (the source) ulative influence strategies like ingratiation
engages in some behavior (such as per- and tactical self-presentation were covered
suading, threatening, promising, or issu- in Chapter 4. This chapter focuses on open
ing orders) that causes another person (the influence.
target) to behave differently from how he There are many forms of open influence.
or she would otherwise behave. In the pre- Among the more important forms are (1)
ceding illustrations, the sources were Erika the use of persuasive communication to
(persuading Julie), the thief (threatening his change the target’s attitudes or beliefs, (2)
victim), and the infantry commander (or- the use of threats or promises to gain com-
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soCIal InfluEnCE and pErsuasIon 313
pliance, and (3) the use of orders based on chain of command in the military helps ex-
legitimate authority to gain compliance. plain why troops would willingly walk to-
Consider first the resources involved in ward danger.
persuasion. When attempting to persuade, Because influence attempts can vary
the source uses information to change the greatly in their degree of success and be-
target’s attitudes and beliefs about some cause we all use social influence in our re-
issue, person, or situation. Certain types lationships with others, it is important to
of information are more useful than others understand the conditions under which in-
in bringing about persuasion. For instance, fluence attempts are effective. Specifically,
Erika’s persuasion attempt is more likely to in this chapter we will address the following
succeed if she can introduce facts that Julie questions:
did not already know about the landfill and
its effects; likewise, success is more likely 1. What factors determine whether
if the source can advance compelling and a communication will succeed in
valid arguments the target had not previ- persuading a target to change his or
ously considered. Having the right type of her beliefs or attitudes? In what ways,
information is important in effective perfor instance, do characteristics of the
suasion. source and target and properties of
Influence attempted by means of threats the message itself determine whether
or promises is based on punishments and the persuasion attempt will be
rewards rather than on information. If a effective?
threat is to produce compliance, the target
must believe that the source can impose 2. Under what conditions do threats
punishment. The convenience store owner and promises prove successful in
was more likely to hand over the money in gaining compliance from the target?
the register because the brandished pistol
substantiated the robber’s threat. The same 3. When a person in authority issues
is true for influence based on promises, ex- an order, under what conditions are
cept that it involves the control of rewards targets likely to obey it?
rather than punishments. If the target be-
lieves that the source has no real control 4. How can persons resist persuasion
over the punishments or rewards involved, attempts and maintain their original
the threat or promise is unlikely to succeed. attitudes?
Influence through the use of orders from
an authority or officeholder is based on the
target’s accepting the authority’s legitimacy. attItude change vIa PerSuaSIon
Influence of this type is especially common
within formal groups or organizations. Day in and day out, others bombard us
When attempting influence by invoking with messages with the intent to persuade.
legitimate authority, the source makes de- As an example, consider what happens to
mands on the target that are vested in his or Maria Castillo on a typical day. Early in the
her role within the group. Such an attempt morning, Maria’s clock radio comes on.
will succeed only if the target believes the Before Maria can get out of bed, a cheerful
source actually holds a position of author- announcer is trying to sell her a new break-
ity and has the right to issue orders of the fast sandwich. Her Facebook and Twitter
kind involved in the influence attempt. The feeds are filled with messages from friends
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Source Message Target Effect

expertise discrepancy intelligence change attitude
trustworthiness fear appeal involvement reject message
attractiveness 1-sided or 2-sided forewarned counterargue
suspend judgment
derogate source
FIgure 9.1 The communication-Persuasion Paradigm
urging others to get out and vote for a par- This section considers various facets of
ticular candidate in the upcoming election. message-based persuasion, including the
As she sits on the bus, she reads the adver- communication-persuasion paradigm and
tisements overhead. The cashier at the cof- the characteristics of sources, messages,
fee shop asks her if she would like to donate and targets that affect the persuasiveness
her change to help a local charity. Once at of a message.
her desk, Maria checks e-mail and finds a
message from her favorite clothing store of- Communication-Persuasion Paradigm
fering free shipping on any purchases today.
Minutes later, a coworker drops by to ask Consider the question, “Who says what to
Maria whether she would like to buy wrap- whom with what effect?” This question is
ping paper for his daughter’s school fund- one way of organizing modern research on
raiser. At lunch, a friend mentions her plans persuasion. In this question, the “who” re-
to attend a concert the following weekend fers to the source of a persuasive message,
and urges Maria to come along. In midaft- the “whom” refers to the target, and the
ernoon, she listens to an argument from a “what” refers to the content of the message.
coworker who wants to change some pa- The phrase “with what effect” refers to the
perwork procedures in the office. When she various responses of the target to the mes-
arrives home in the evening, Maria opens sage. These elements (source, message, tar-
her mail. One letter is a carefully worded get, response) are fundamental components
appeal from a charitable organization ask- of the communication-persuasion para-
ing her to volunteer her time. Other let- digm. Figure 9.1 displays this paradigm and
ters are junk mail fliers asking for money shows how these components are interre-
or offering discounts at local restaurants lated. First, the properties of the source can
and stores. Later that night, when Maria is affect how the target audience will construe
watching television, advertisers bombard the message. For instance, characteristics
her endlessly with ads for their products— such as the expertise and trustworthiness
insurance, light beers, cosmetics, and im- of the source can affect whether a target
ported sports cars. changes attitudes. Second, the properties
All these messages Maria received have of the message itself can have a significant
something in common: They seek to per- impact on its persuasiveness. For instance,
suade. Persuasion may be defined as whether a message carries a fear appeal or
changing the beliefs, attitudes, or behav- presents only one-sided arguments can af-
iors of a target through the use of infor- fect whether a persuasion attempt is suc-
mation or argument. Persuasion is wide- cessful. Third, the characteristics of the tar-
spread in social interaction and assumes get are also important. For instance, what
many different forms (McGuire, 1985). a target already believes about an issue as
9780813349503.indb 314 5/16/14 1:50 PM

well as the extent of the target person’s in- Expertise. Generally, a message from a
volvement in the issue and commitment to source having a high level of expertise rele-
a position can affect whether a message will vant to the issue will bring about greater at-
be rejected or will lead to attitude change. titude change than a similar message from a
source with a lower level of expertise (Che-
The Source bat, Filiatrault, & Perrien, 1990; Hass, 1981;
Maddux & Rogers, 1980). This may occur
Suppose we ask 25 persons selected at ran- because targets may be more accepting and
dom to read a persuasive communication less critical of messages from high-exper-
(such as a newspaper editorial) that ad- tise sources.
vocates a position on a nutrition-related The impact of source expertise is illus-
topic. We tell this group that the message trated by a study in which participants were
came from a Nobel Prize–winning biolo- exposed to health information online (Hu
gist. At the same time, we ask 25 other per- & Sundar, 2010). The information came
sons to read the same message, but we tell from either a doctor (Chris Park, MD, a
this group that it came from a cook at a lo- high-credibility source) or layperson (Chris
cal fast-food establishment. Subsequently, Park, low-credibility source). One message
we ask both groups to indicate their atti- discouraged the use of sunscreen so as to
tude toward the position advocated in the prevent Vitamin D deficiency and the other
message. Which group of persons will be advocated consuming raw milk instead of
more persuaded by the communication? pasteurized milk. Participants believed that
Most likely, the persons who read the both messages were more credible when
message ascribed to the prize-winning bi- they came from a doctor than from a lay-
ologist will be more persuaded than those person.
who read the message ascribed to the fast- Even if a persuasion attempt from a
food cook. low-credibility source fails at first, there
Why should the source’s identity make is sometimes a sleeper effect in which the
any difference? The identity of the source target can later be persuaded. However,
provides the target with information above this only occurs if the target noted the im-
and beyond the content of the message it- portant arguments in the message and has
self. Because some sources are more cred- forgotten that she or he originally consid-
ible than others, the target may pay atten- ered the source to be noncredible (Kumkale
tion to the source’s identity when deciding & Albarracín, 2004; Pratkanis, Greenwald,
whether to believe the message. Commu- Leippe, & Baumgardner, 1988).
nicator credibility denotes the extent to The source’s expertise interacts with the
which the target perceives the communi- target’s involvement and knowledge in de-
cator as a believable source of information. termining attitude change. When the target
Note that the communicator’s credibility is has little involvement—meaning that the
“in the eye of the beholder”—a given source issue is of little personal importance—or
may be credible for some audiences but not prior knowledge on a given issue, messages
for others. Many consider Fox News a cred- from highly expert sources produce more
ible source; others do not. attitude change than those from less expert
A variety of factors influence the extent sources. But the more personally relevant
to which a source is credible. Two of these, the issue is to the target or the more knowl-
the source’s expertise and the source’s edgeable the target is about the issue, the
trustworthiness, are of special importance. less likely it is that communicator expertise
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will make much difference in persuasion that the expensive repair is necessary? How
(Rhine & Severance, 1970). When involve- much does he stand to gain if you believe
ment and knowledge are high, the target is his message?
more likely to engage in detailed processing As this example shows, the target pays
and elaboration, so the content of the mes- attention not only to a communicator’s
sage itself becomes the overriding determi- expertise but also to his or her motives. If
nant of attitude change (Petty & Cacioppo, the message appears highly self-serving and
1979a, 1979b, 1990; Stiff, 1986). beneficial to the source, the recipient may
distrust the source and discount the mes-
Trustworthiness. Although expertise is an sage (Hass, 1981). In contrast, communi-
important factor in communicator credibil- cators who argue against their own vested
ity, it is not the only one. Under some condi- interests seem especially candid and trust-
tions, a source can be highly expert but still worthy. For example, suppose an employee
not very credible. As an example, suppose of a local business told you that you should
your car is running poorly, so you take it not purchase a product made by her com-
into a garage for a tune-up. A mechanic you pany but rather should buy one made by a
have never met before inspects your car. He Japanese competitor. Her remarks would
identifies several problems, one of which probably be unexpected, but they would
involves major repair work on the engine. have more impact than if she had argued
The mechanic offers to complete this work for purchasing her own American-made
for $870 and claims that your car will soon model. Even if you normally prefer to buy
fall apart without it. The mechanic may products made in the United States, you
be an expert, but can you accept his word might think twice in this case. A source who
As an automobile owner listens to the message from the garage mechanic, he assesses not only the quality
of the argument but also the credibility of the communicator. The mechanic may have expertise, but can
he be trusted? © savas keskiner/iStock
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violates our initial expectations by arguing tention to the message, and higher levels
against her vested interest will, therefore, of attention facilitate greater persuasion
be especially persuasive (Eagly, Wood, & (Chaiken, 1986). Moreover, because physi-
Chaiken, 1978; Walster [Hatfield], Aron- cal attractiveness leads to liking, we like at-
son, & Abrahams, 1966). tractive persons more and, thus, are some-
Trustworthiness also depends on the times more positively disposed to accept
source’s identity, because this carries infor- products or positions they advocate (Burger
mation about the source’s goals and values. et al., 2001; Eagly & Chaiken, 1975; Horai,
A source perceived as having goals similar Naccari, & Fatoullah, 1974). Whatever the
to the audience will be more persuasive than source of likability (similarity, attractive-
one perceived as having dissimilar goals ness, or simple contact), likability tends to
(Berscheid, 1966; Cantor, Alfonso, & Zill- increase persuasive influence because we
mann, 1976). A study exploring consumer want to maintain and enhance relation-
reactions to religious symbols in advertis- ships with those we like (Cialdini, 2001;
ing (for example, an ichthys or cross) found Roskos-Ewoldsen, Bichsel, & Hoffman,
that the symbols had mixed effects (Taylor, 2002).
Halstead, & Haynes, 2010). In general, such A source’s attractiveness can have greater
symbols enhanced consumer evaluations effect when combined with other factors,
and purchase intentions, but the positive like message strength. Strong arguments
effect was largest for evangelical Christians. tend to be detailed, compelling, and sub-
This was, in part, because the symbols sig- stantiated by fact (Wood, Kallgren, & Preis-
naled attitude similarity and trustworthi- ler, 1985). Conversely, weak arguments are
ness to Christian consumers. However, of lower quality. In one study investigating
the reverse was true among less religious the impact of persuasive advertisements for
young adults. This group reported that they sun-tanning oil, the participants received a
were less likely to purchase goods or ser- message that—depending on treatment—
vices from a business that used a religious contained either strong or weak arguments
symbol in advertising than businesses that and came from either an attractive or an
did not. Also related to similarity, endorse- unattractive female spokesperson (DeBono
ments from men increase men’s intent to & Telesca, 1990). Results showed that, in
purchase goods, while endorsements from general, the attractive source was more per-
women increase women’s intent to do so suasive than the unattractive one. But the
(Caballero, Lumpkin, & Madden, 1989). attractive source was especially persuasive
when the message arguments were strong
Attractiveness and Likability. The phys- rather than weak. When the arguments
ical attractiveness of the source—deter- were weak, attractiveness made very little
mined at a glance, without great cognitive difference in persuasion.
effort—can also affect the persuasiveness
of a message. Advertisers regularly select Effect of Multiple Sources. Factors other
attractive individuals as spokespersons for than the source’s expertise and trustwor-
their products in television and magazine thiness can affect whether a message is
advertisements. Because it is rewarding to persuasive. Social impact theory (Jack-
look at attractive spokespersons, these ad- son, 1987; Latané, 1981; Sedikides & Jack-
vertising messages receive more attention son, 1990), a general framework applicable
than they otherwise would. Higher source to both persuasion and obedience, states
attractiveness leads us to give greater at- that the impact of an influence attempt is
9780813349503.indb 317 5/16/14 1:50 PM

a direct function of strength (that is, so- attitude change; however, weak messages
cial status or power), immediacy (that is, from multiple sources may receive added
physical or psychological distance), and scrutiny but will produce no extra attitude
number of influencing sources. A target change (Harkins & Petty, 1981a).
will be more influenced when the sources Certain qualifications apply to this multi-
are strong (rather than weak), when the ple-source effect. First, for multiple sources
sources are physically close (rather than re- to have more impact than a single source,
mote), and when the sources are numerous the target must perceive the multiple
(rather than few). sources to be independent of one another.
Although not all the predictions from If the target believes that the sources col-
social impact theory have been fully tested luded in sending their messages, the added
(Jackson, 1986; Mullen, 1985), two social impact of multiple sources will vanish and
scientists devised an interesting test of two the communication will have no more ef-
of the factors (immediacy and number of fect than if it came from a single source
sources) using Facebook (Egebark & Ek- (Harkins & Petty, 1983).
ström, 2011). With users’ permission, the Second, there is an upper limit to the
researchers posted identical status updates multiple-source effect (Tanford & Pen-
in real Facebook accounts and then varied rod, 1984). Adding more and more sources
the numbers of “likes” that the updates had will increase persuasion, but only up to a
and who the likes were from. For each of point. For instance, a message from three
these status updates, friends of the users independent sources will be more persua-
either saw that (1) one unknown user had sive than the same message from a single
liked the status update, (2) three unknown source, but a message coming from, say,
users had liked the status update, or (3) one 13 sources may not be appreciably more
of their peers—a mutual friend, with a num- persuasive than the same message coming
ber of friends in common with the user— from 11 sources.
had liked the status update. Consistent with
social impact theory’s predictions, friends The Message
of the users were more than twice as likely
to like (or comment on) a status update that Persuasive communications differ dramati-
had first been liked by at least three people cally in their content. Some messages con-
(number of sources) or liked by a mutual tain arguments that are highly factual and
friend (immediacy) than they were to like a rational, whereas others contain emotional
status update that had only one like from a appeals that motivate action by arousing
stranger. These results are consistent with fear or greed. Messages differ in their de-
previous studies that suggest a message pre- tail and complexity (simple versus complex
sented by several different sources is more arguments), their strength of presentation
persuasive than the same message pre- (strong versus weak arguments), and their
sented by a single source (Harkins & Petty, balance of presentation (one-sided versus
1981b, 1987; Wolf & Bugaj, 1990; Wolf & two-sided arguments). These properties af-
Latané, 1983). This is especially true when fect how a person will scrutinize, interpret,
the arguments presented in the message and elaborate a message.
are strong rather than weak. Strong mes-
sages coming from multiple sources receive Message Discrepancy. Suppose a woman
greater scrutiny and foster more issue-rele- told you that Elizabeth II, the Queen of En-
vant thinking by the target, which leads to gland, is five feet four inches tall. Would you
9780813349503.indb 318 5/16/14 1:50 PM

believe her? What if she said five feet ten combined impact of message discrepancy,
inches tall—would you believe that? How communicator credibility, and argument
about six feet three inches? Or seven feet strength on attitude change.
six inches? You may not know how tall the Many empirical studies report findings
queen actually is, but you probably have a consistent with the relationships shown in
rough idea. Although you might believe five Figure 9.2 (Aronson, Turner, & Carlsmith,
feet ten inches, you would probably doubt 1963; Fink, Kaplowitz, & Bauer, 1983; Rhine
six feet three inches and certainly doubt & Severance, 1970). In one experiment, for
seven feet six inches. The message asserting instance, participants were given a written
that the queen is seven feet six inches tall is message on the number of hours of sleep
highly discrepant from your beliefs. that people need each night to function
By definition, a discrepant message is effectively (Bochner & Insko, 1966). In
one advocating a position that is different some cases, the message was attributed to
from what the target believes. Discrepancy a Nobel Prize–winning physiologist (high
is a matter of degree; some messages are credibility), whereas in other cases it was
highly discrepant, others less so. To cause attributed to a YMCA director (medium
a change in beliefs and attitudes, a message credibility). The arguments contained in
must be at least somewhat discrepant from the message were identical for all partic-
the target’s current position; otherwise, it ipants, with one important exception. In
would just reaffirm what the target already some cases the message proposed that peo-
believes. Up to a certain point, greater levels ple need eight hours of sleep per night; in
of message discrepancy will lead to greater others, the message proposed seven hours;
change in attitudes (Jaccard, 1981). A mes- in others, six hours; and so on down to
sage that is moderately discrepant will be zero hours of sleep per night. Most partic-
more effective in changing a target’s beliefs ipants began the experiment believing that
and attitudes than a message that is only people need approximately eight hours
slightly discrepant. Of course, it is possible of sleep each night. Therefore, these mes-
for a message to be so discrepant that the sages differed in level of discrepancy. The
target will simply dismiss it. To say that the results suggested that the more discrepant
Queen of England is seven feet six inches the position advocated by the high-credi-
tall is just not believable. bility source (the Nobel Prize winner), the
There is an important interaction be- greater the amount of attitude change. Only
tween message discrepancy and source when this source argued for the most ex-
expertise. Sources with high credibility treme position (zero hours of sleep) did the
produce more attitude change at higher participants refuse to believe the message.
levels of discrepancy than do sources with The same pattern appeared for the medi-
low credibility. Thus, a target is more likely um-credibility source (the YMCA director),
to accept a highly discrepant message except that his effectiveness peaked out at
from a high-credibility source than from moderate levels of discrepancy (three hours
a low-credibility source. This is particu- of sleep per night). For very extreme posi-
larly true if the argument is strong rather tions (two hours of sleep or less), the me-
than weak (Clark, Wegener, Habashi, & dium-credibility source was less effective.
Evans, 2012). Highly discrepant messages Thus, this study demonstrates that sources
from a low-credibility source are ineffec- with higher credibility produce greater
tive because the target will quickly dero- amounts of attitude change at higher levels
gate the source. Figure 9.2 summarizes the of discrepancy.
9780813349503.indb 319 5/16/14 1:50 PM

Low Message Discrepancy High Message Discrepancy

Proattitudinal Counterattitudinal
8
7
Post-Message Attitude
2
Low High Low High
Strong Weak Source Expertise
FIgure 9.2 Attitude change as a Function of source expertise, Message Discrepancy, and Argument
strength
These figures illustrate attitude change toward junk food taxation after reading an argument (strong or weak) from
a source high or low in expertise (a leading scholar in health and food sciences or a high school junior). Partici-
pants who had a favorable view toward taxing junk food before reading the argument were most influenced by the
strength of the argument of someone who was low on expertise. The reverse was true for those with relatively high
message discrepancy. For those participants, argument quality had the largest effect when the source was an expert.
Adapted from Clark et al., 2012, Figure 1.
Fear Arousal. Most messages intended to become embroiled in international conflict.

persuade incorporate either rational ap- Likewise, in an antismoking advertisement
peals or emotional appeals. Rational ap- on TV, a victim dying of throat cancer and
peals are factual in nature; they present spe- emphysema warns young persons that if
cific, verifiable evidence to support claims. they start smoking cigarettes, they may end
Rational appeals frequently address a need up as diseased victims themselves. In each of
already felt by the audience and provide the these cases, the source is using a fear-arous-
missing solution; that is, these messages are ing communication. Messages of this type
drive reducing. Emotional appeals, in con- direct the target’s attention to some negative
trast, try to arouse basic drives and to stim- or undesired outcome that is likely to occur
ulate a need where none was present. These unless the target takes certain actions advo-
messages are drive creating. cated by the source (Higbee, 1969; Ruiter,
Perhaps the most common emotional Kok, Verplanken, & van Eersel, 2003).
appeals are those involving fear. Fear-arous- Some studies have shown that com-
ing messages are especially useful when the munications arousing high levels of fear
source is trying to motivate the target to produce more change in attitude than do
take some specific action. A political can- communications arousing low levels of
didate, for example, may warn that if voters fear (Dembroski, Lasater, & Ramires, 1978;
elect her opponent to office, the nation will Leventhal, 1970). If a message arouses fear
9780813349503.indb 320 5/16/14 1:50 PM

and the targets believe that attending to the To determine the message’s effective-
message will show them how to cope with ness, the students were asked whether they
this fear, then they may analyze the mes- thought it was important to get a tetanus
sage carefully and change their attitudes inoculation and whether they actually in-
(Petty, 1995). Fear-arousing communi- tended to get one. The responses showed
cations have been effective in persuading that students exposed to the high-fear mes-
people to do many things, including reduc- sage had stronger intentions to get shots
ing their cigarette smoking, driving more than those exposed to the other messages.
safely, improving their dental hygiene Moreover, records kept at the university
practices, changing their attitudes toward health service indicated that students re-
Communist China, and so on (Insko, Ar- ceiving the high-fear message were more
koff, & Insko, 1965; Leventhal, 1970; Lev- likely to actually be inoculated during the
enthal & Singer, 1966). following month than were students receiv-
Some studies suggest, however, that ing the other messages.
fear-arousing messages can fail if they are This study demonstrates that fear-arous-
too strong and create too much fear. If peo- ing messages can change attitudes. In gen-
ple feel very threatened, they may become eral, however, fear-arousing messages are
defensive and deny the reality or the im- effective only when certain conditions are
portance of the threat rather than think ra- met. First, the message must assert that if the
tionally about the issue (Johnson, 1991; Li- target does not change behavior, he or she
eberman & Chaiken, 1992). In this sense, a will suffer serious negative consequences.
message arousing moderate fear may prove Second, the message must show convinc-
more effective than one arousing extremely ingly that these negative consequences are
high fear. highly probable. Third, the message must
The impact of fear-arousing commu- recommend a specific course of action that,
nications is shown clearly by a study in if adopted, will enable the target to avoid
which college students received messages the negative consequences. A message that
advocating inoculations against tetanus predicts negative consequences but fails to
(Dabbs & Leventhal, 1966). These messages assure the target that he or she can avoid
described tetanus as easy to catch and as them by taking specific action will produce
producing serious, even fatal consequences. little attitude change. Instead, it will leave
The message also indicated that inoculation the target feeling that the negative conse-
against tetanus, which could be obtained quences are inevitable regardless of what he
easily, provided effective protection against or she may do (Job, 1988; Maddux & Rog-
the disease. Depending on experimental ers, 1983; Patterson & Neufeld, 1987).
treatment, the participants received either Recent research on cultural orientations
high-fear, low-fear, or control communica- and the persuasiveness of fear appeals finds
tions. In the high-fear condition, the mes- that such appeals are most effective when
sages described tetanus in extremely vivid the messages reflect receivers’ internalized
terms, thereby creating a high level of fear cultural beliefs (Lee & Park, 2012). Anti-
and apprehension. In the low-fear condi- smoking public service announcements
tion, the messages described tetanus in less (PSAs) that emphasized the health risks
detailed terms, thereby creating no more of smoking to the participants themselves
than low to moderate fear. In the control (“When you smoke, you suffer.”) were more
condition, the message provided little detail effective among participants with an indi-
about the disease, thereby arousing no fear. vidualistic orientation, as is common in
9780813349503.indb 321 5/16/14 1:50 PM

the United States. PSAs with identical im- the most effective of the four messages (two
agery and facts but that framed smoking one-sided, two two-sided) in decreasing
as a threat to participants’ family members individuals’ intentions to suntan was the
(“When you smoke, they suffer.”) were two-sided appearance-focused appeal: “Sun
more effective among those with a collec- tanning gives you an attractive glow, but
tivist cultural orientation. causes wrinkles” (Cornelis, Cauberghe, &
De Pelsmacker, 2013). Because most people
One-Sided versus Two-Sided Messages. who sun tan do so for appearance-focused
When a source uses rational rather than benefits rather than health-focused (to in-
emotional appeals, other message char- crease vitamin D levels), the statement
acteristics also come into play. One such tapping into such a motivation is more ef-
characteristic is the number of viewpoints, fective than one less consistent with indi-
or sides, represented in the message. A one- viduals’ experiences or motives.
sided message emphasizes only those facts
that explicitly support the position advo- The Target
cated by the source (“Sun tanning causes
skin cancer” or “Sun tanning causes wrin- So far, we have discussed how the charac-
kles”). A two-sided message, in contrast, teristics of the source and the content of the
presents not only the position advocated message affect persuasion. Yet it is also true
by the source but also opposing viewpoints that the characteristics of the target play a
(“Sun tanning helps to maintain vitamin D role in persuasion. One important target
levels but causes skin cancer” or “Sun tan- characteristic that affects persuasion is the
ning gives you an attractive glow, but causes target’s level of intelligence. Another is the
wrinkles”). degree to which the target is involved with
Which is more effective—a one-sided the issue, a topic discussed briefly earlier in
message or a two-sided message? The an- the chapter. Moreover, any persuasion at-
swer depends heavily on the nature of the tempt may also be affected by personality
target audience. One-sided messages have factors, such as how much the target person
the advantage of being uncomplicated and likes thinking things through or if they are
easy to grasp. They are more effective when an anxious person. Finally, how focused or
the audience already agrees with the source; distracted the target is during the persua-
they also tend to be effective when the audi- sion attempt also plays a role in suscepti-
ence does not know much about the issue, bility.
for they keep the audience blind to opposing
viewpoints. Two-sided messages are more Intelligence. Individuals who are more
complex, so they attract more attention intelligent tend to be more resistant to
and are processed more thoroughly than influence for a number of reasons. Intel-
one-sided messages (Eisend, 2007; Petty & ligent targets generally know more about
Cacioppo, 1986a). They also have the ad- any given issue than less intelligent targets
vantage of making the source appear less bi- (Rhodes & Wood, 1992). Even if they know
ased and more trustworthy. Such messages little or nothing about the issue, bright
tend to be more effective when the audience people are better able to critically evaluate
initially opposes the source’s viewpoint or both the source’s specific appeal and the
knows a lot about the alternative positions message itself (Wood, Kallgren, & Preisler,
(Karlins & Abelson, 1970; Sawyer, 1973). In 1985). This is not only a matter of innate
the case of the sun-tanning messages above, intelligence (IQ), but also knowledge ac-
9780813349503.indb 322 5/16/14 1:50 PM

quired through experience and education. In one study, a message similar to the one
In a study of susceptibility to phishing, the just described was presented to a group of
group most susceptible to such scams was college students (Petty, Cacioppo, & Gold-
18- to 25-year-olds. Despite their comfort man, 1981). The message proposed that
with technology, people in this age group college seniors be required to take a com-
had lower levels of education and less ex- prehensive exam before graduation. Three
perience with e-mail than those who were independent variables were manipulated in
older (Sheng, et al., 2010). this study. The first variable was personal
involvement with the issue. Half the partic-
Involvement with the Issue. One import- ipants were told that the new policy would
ant attribute of targets is the extent of their take effect next year at their college (high in-
involvement with a particular issue (John- volvement), whereas the other half were told
son & Eagly, 1989; Petty & Cacioppo, 1990). that the policy would take effect ten years in
Suppose, for example, that someone advo- the future (low involvement). The second
cates a fundamental change at your college, variable was the strength of the message’s
such as increasing the degree requirements, argument. Half the participants received
specifically proposing a comprehensive eight strong and cogent arguments in favor
exam in students’ major areas in order to of the proposal; the other participants re-
graduate. The proposed change would take ceived eight weak and specious arguments.
effect at the beginning of the next year. The third variable was the expertise of the
Many students would be very involved with source. Half of the participants were told
this issue because the change would affect that the source of the message was a pro-
the difficulty of completing their degrees. fessor of education at Princeton University
Now, suppose the source advocated instead (high-expertise source); the other half were
that the change take place ten years in the told that the source was a student at a local
future rather than next year. Current stu- high school (low-expertise source).
dents would probably have little interest in In the high-involvement condition, the
this proposal because they will finish col- target’s attitude toward comprehensive
lege long before any changes take effect. exams was determined primarily by the
Your involvement with the issue funda- strength of the arguments. Strong argu-
mentally affects the way you process a mes- ments produced significantly more attitude
sage. When highly involved, a target will change than weak ones. The expertise of
want to scrutinize the message closely and the source had no significant impact on at-
think carefully about its content. In such titude change. In the low-involvement con-
cases, strong arguments will likely produce dition, attitudes were determined primarily
substantial attitude change, whereas weak by the source’s expertise; the high-expertise
arguments will produce little or no attitude source produced more attitude change than
change. In contrast, the target who is un- the low-expertise source. The strength of
involved will have less motivation to think the arguments had little effect on this group.
carefully about the message. If any change Thus, the target’s involvement with
in attitude occurs, it will result more from the issue moderated which factor was the
peripheral factors, such as source expertise primary determinant of attitude change.
or trustworthiness, than from the argu- For participants with high involvement,
ments themselves (Chaiken, 1980; Leippe & the strength of the argument was more
Elkin, 1987; Petty, Cacioppo, & Heesacker, important than source expertise because
1981). participants cared about the issue. For those
9780813349503.indb 323 5/16/14 1:50 PM

PERSUASIVE
COMMUNICATION
PERIPHERAL ATTITUDE SHIFT

Changed attitude is relatively
temporary, susceptible to
MOTIVATED TO PROCESS? counterpersuasion, and
(personal relevance, unpredictive of behavior.
NO
need for cognition, etc.)
YES
YES
NO IS A PERIPHERAL PROCESS OPERATING?

ABILITY TO PROCESS?
(attractiveness, likeability,
(distraction, knowledge, etc.)
identification with source, etc.)
YES NO
WHAT IS THE NATURE

OF THE PROCESSING?
(argument strength, RETAIN INITIAL ATTITUDE
initial attitude, etc.) Attitude does not change
MORE MORE NO from previous position.
FAVORABLE UNFAVORABLE
THOUGHTS THOUGHTS
THAN BEFORE? THAN BEFORE?
YES YES
IS THERE A CHANGE NO
IN COGNITIVE STRUCTURE?
YES YES
(Favorable) (Unfavorable)
CENTRAL CENTRAL
POSITIVE NEGATIVE
ATTITUDE ATTITUDE
CHANGE CHANGE
Changed attitude is relatively enduring,
resistant to counterpersuasion, and
predictive of behavior
FIgure 9.3 The elaboration likelihood Model

A popular dual-process theory of persuasion is the Elaboration Likelihood Model. depending on an individual’s mo-
tivation and ability to process a persuasion attempt, one of two routes is activated. Persuasion in the peripheral
process relies on heuristics (attractiveness, likeability, shared identity) and tends to lead to weaker attitude change.
The central persuasion process requires more thought and attention (higher levels of elaboration of the argument)
and results in more enduring attitude change. Adapted from Petty & Wegener, 1999, Figure 3.1.
9780813349503.indb 324 5/16/14 1:50 PM

with low involvement, source expertise was who feel socially anxious or depressed—are
more important because the participants more susceptible to persuasion (Hovland,
had little motivation to scrutinize the argu- Janis, & Kelley, 1953), as are people who
ments. Similar findings have been reported are high on openness (Gerber et al., 2013).
more recently (Byrne, et al., 2012; Chaiken There is less consensus on the effects of ex-
& Maheswaran, 1994). traversion, agreeableness, or conscientious-
ness and their relationship to susceptibility
Personality. Beyond involvement with the to social influence.
issue, how much an individual enjoys puz-
zling through problems and thinking about Distraction. Even people with a high need
issues plays an important role in persua- for cognition who are strongly involved in
sion attempts. Those who do enjoy these an issue will sometimes have trouble pay-
thinking tasks are said to have a high need ing attention to arguments. This can oc-
for cognition (Cacioppo, Petty, Feinstein, & cur because the audience is distracted by
Jarvis, 1996) and are motivated to examine any number of things—perhaps they aren’t
arguments more carefully and thoroughly feeling well, maybe there is street noise that
than those who have a low need for cog- makes it hard to hear, perhaps the speaker
nition (Shestowsky, Wegener, & Fabrigar, has an annoying habit that bothers the lis-
1998). Thus, they are more likely to engage tener, and so on. Anything that prevents
the content of argument and more likely to the target from giving full attention to the
ignore the peripheral cues, making them argument will impair the target’s ability
resistant to persuasion (Haugvedt & Petty, or motivation to evaluate an argument or
1992). When facing an audience of people appeal effectively and, therefore, influence
with a high need for cognition (for example, the persuasion attempt (Albarracín, 2002).
college professors), one would be wise to Given the discussion so far, it will be no sur-
pay careful attention to constructing a solid prise to learn that when we are distracted,
set of arguments that will stand up to the we are more likely to use peripheral cues
scrutiny of full engagement. when forming our opinions. The distract-
In addition to the need for cognition, ing element in the environment prevents
other personality traits affect individuals’ us from fully engaging and appreciating the
susceptibility to persuasion. One popular details of the argument, and therefore, we
model of personality in psychology that fall back on peripheral indicators such as
considers a range of personality traits is the the attractiveness of the speaker (Petty &
five-factor model (Costa & McCrae, 1992; Brock, 1981; Petty, Wells, & Brock, 1976).
Digman, 1990) or Big Five. The model takes
a wide variety of personality traits and orga-
nizes them into five factors, or categories. coMPlIance WIth
These factors and examples of associated threatS and ProMISeS
traits are agreeableness (warmth, friend-
liness), conscientiousness (efficiency, de- As important as attitude change is, it is not
pendability), extraversion (outgoingness, the only outcome of social influence. An-
assertiveness), openness (curiosity, insight), other important outcome is compliance—
and neuroticism (confidence, sensitivity). that is, behavioral conformity by the target
Research finds that individuals who are to the source’s requests or demands. With
high on neuroticism—for example, those compliance, the fundamental concern is
9780813349503.indb 325 5/16/14 1:50 PM

Box 9.1 Media Campaigns
One Monday in March 2013, the Human Rights their profile photos to a pink equal sign, did it re-
Campaign (HRC) encouraged people—using flect a change in their opinions about same-sex
e-mail, Facebook feeds, and a website announce- marriage or simply serve as a statement of a pre-
ment—to change their profile pictures to a pink- existing attitude? The latter is much more likely.
on-red equal sign to demonstrate support of Although social media and technology make it
same-sex marriage. Although there was no way increasingly easy to participate in a media cam-
to measure exactly how many users adopted paign by changing a profile photo or clicking a
the new picture (or one of the many variants of button to send a message to an elected official
it), the next day, 2.7 million (120%) more users or to send $10 to a relief fund, it is as ineffective
changed their profile than did so one week prior as other mass media are at persuading users to
(Bakshy, 2013). For anyone using Facebook at the change their view or behaviors.
time, the profile photos were a strong statement Each year, advertisers spend hundreds of
of the widespread support, particularly among billions of dollars on media campaigns. Never-
those between their early twenties and late thir- theless, most media campaigns do not produce
ties, for marriage equality. The immediate spread large amounts of attitude change. In general,
across Facebook demonstrated the speed and messages sent via the mass media have only
reach of social media, but what did it tell us about a small impact on their target audience’s atti-
social media’s role in persuasion? tudes (Barber & Grichting, 1990; Bauer, 1964;
A media campaign is a systematic attempt Finkel, 1993). There are several reasons media
by a source to use the mass media—channels of campaigns are usually able to produce only
communication that enable a source to reach a small amounts of attitude change. First, there is
large audience (the Internet, television, newspa- the phenomenon of selective exposure. Many
pers, magazines, and radio)—to change the atti- messages do not reach the audience they are in-
tudes and beliefs of a select target audience. Me- tended to influence because audience members
dia campaigns are common in the industrialized attend mostly to those sources with which they
world. Advertisers use them to sell new products agree. Instead of reaching persons who disagree
or services, and political parties use them to sway with the message—and whose opinions might,
voters’ sentiments. Also, public officials use them thus, be changeable—many media commu-
to change citizens’ behavior through public ser- nications are received by persons who already
vice announcements that attempt to stop drunk agree with the message and whose opinions
driving, encourage people to try to quit smoking, will, therefore, be reinforced, not changed. The
get people to vote on election day, and so on HRC’s initial message went only to people affili-
(Cummings, Sciandra, davis, & Rimer, 1989; Far- ated with the HRC in some way (supporters and
har-Pilgrim & Shoemaker, 1981; Solomon, 1982). those who subscribe to the organization’s Face-
To what extent are communications transmitted book and Twitter feeds) and then was shared on
by the mass media effective in changing the be- users’ timelines—spaces most likely viewed by
liefs and attitudes of large numbers of people? others with similar attitudes because of humans’
Furthermore, when Facebook users changed propensity to befriend similar others. The media
9780813349503.indb 326 5/16/14 1:50 PM

exposes people to more messages that support communications and cross-pressures transmit-
their preexisting attitudes than those that con- ted via the media. For example, beer advertise-
tradict them (Klitzner, Gruenewald, & Bamberger, ments would probably be enormously successful
1991; Sears & Freedman, 1967). Some have ar- if only one manufacturer advertised its product.
gued, however, that selective exposure is being But because many brands advertise, media mes-
reduced with the advance of modern communi- sages offset one another.
cation technology. People are now exposed to a
greater variety of viewpoints through both Inter- Other Effects of Media Campaigns
net and television news programming and ad- Although media campaigns do not usually cause
vertising (Garrett, Carnahan, & Lynch, 2011; Mutz a massive change in attitudes, they do exert
& Martin, 2001). However, there is still a tendency other impacts on audiences. First, they are ef-
for the messages to reinforce previously held at- fective in strengthening preexisting attitudes. In
titudes (Ansolabehere & Iyengar, 1994), and the other words, they reinforce and buttress prefer-
plethora of partisan sources makes it easier to ences already held by the target audience (An-
avoid attitude-discrepant information (Garrett, solabehere & Iyengar, 1994).
2009). In addition to strengthening preexisting at-
Second, even if the intended targets receive titudes, mass media are successful in creating
messages from the media, they may reject them attitudes toward objects that previously were
or derogate the source. Recipients of media com- unknown or unimportant to the audience. Ad-
munications are certainly not passive, and the vertisers use media campaigns to cultivate pos-
impact of a message depends heavily on the uses itive attitudes toward newly introduced products
and gratifications that the audience can obtain (smartphones, beverages, new toys for children).
from the information (dervin, 1981; Swanson, Political parties also use media campaigns to cre-
1979). For example, in selling consumer prod- ate positive attitudes toward new, little-known
ucts, media persuasion is more effective when candidates running for office. Today, former
the target’s involvement with the decision is low Presidents Jimmy Carter and Bill Clinton are well
and when he or she perceives relatively small known to the American public. But when both
differences between alternative products. In con- began running for the presidency, the situation
trast, the impact of the media will be slight when was very different. Both had been the governors
target involvement with the decision is high and of southern states, but both were almost entirely
the differences between products appear clear- unknown outside the South. Carter had even ap-
cut (Chaffee, 1981; Ray, 1973). peared on the game show What’s My Line?, and
Third, even when a target finds a media mes- none of the celebrity panel was able to guess
sage compelling, he or she may be subject to who he was. To win the democratic nomination
counter-pressures that inhibit attitude change for president, both candidates launched massive
(Atkin, 1981). Some of these pressures come media campaigns to make themselves recogniz-
from social groups such as family, friends, and co- able to Americans. At the same time the candi-
workers; these groups may exert influence that dates were introducing themselves, they also
nullifies a media campaign’s impact. Moreover, worked hard to establish a positive public image
targets are exposed to conflicting persuasive of themselves.
9780813349503.indb 327 5/16/14 1:50 PM

producing a particular behavior from the use of promises or threats, in which the
target, irrespective of whether the target’s source does restructure the situation. By
beliefs and attitudes change. Of course, in promising to pay money for a clear drive-
some cases, compliance can be obtained in- way or threatening punishment if it is not
directly by changing attitudes—if someone done, Sorenson has added a new reinforce-
can change what we believe, he or she might ment contingency to the situation—money
also change how we behave. But persuasion in return for snow removal or the incon-
is not necessary to change behavior. French venience of walking if it is not removed. In
and Raven (1959; Raven, 1992) proposed both cases, he hopes the looming reinforce-
that there are six kinds of social power that ment will induce his son to comply, but
can be used to induce compliance—some of which approach will be most effective?
which require actual persuasion and some
of which do not (see Box 9.2). In this sec- Effectiveness of Threats and Promises
tion, we examine two in more detail: threats
and promises. A threat is a communication from one per-
Consider a homeowner, Richard Soren- son (the source) to another (the target) that
son, who lives in an area of Michigan where takes the general form, “If you don’t do X
it snows heavily. One cold day in January, [which I want], then I will do Y [which you
a snowstorm dumps 12 inches of snow on don’t want]” (Boulding, 1981; Tedeschi,
his driveway and sidewalk. Although Rich- Bonoma, & Schlenker, 1972). For example,
ard has been the person in his household an employer might say to her employee, “If
who has always shoveled the snow, he be- you don’t complete this project before the
lieves his teenage son is now old enough to deadline, I’ll withhold your bonus.” If the
take on the task and has been considering employee needs her bonus to pay medical
the best way to shift the responsibility. He bills and has no other job prospects, she will
could approach his son and say, “I’ll give take the threat seriously and do her best to
you $20 if you shovel the snow out of the comply with the demand.
driveway.” This would be an attempt to gain When a source issues a threat, the sanc-
compliance in the form of a promise: Rich- tion threatened can be virtually anything—a
ard promises to pay $20 in return for a spec- physical beating, the loss of a job, a mon-
ified performance. Or he could use a threat: etary fine, the loss of love. The important
“Shovel the snow or else I won’t let you use point is that for a threat to be effective, the
the car for a week.” Here, compliance is de- target must want to avoid the sanction. If
manded or Richard will levy a penalty. the employee threatened by her boss hap-
Influence based on promises and threats pens to have a new job lined up elsewhere,
differs from persuasion attempts in a fun- she will not care whether her boss intends
damental way. When using persuasion, to cut her bonus, and the threat will have
the source tries to change the way a target little impact.
views the situation. Sorenson, for example, In the context of compliance, a promise
might have attempted to persuade his son is similar to a threat, except that it involves
that shoveling snow is enormous fun or contingent rewards, not punishments. A
that clearing out the driveway would make person using a promise says, “If you do X
him a good son. These appeals, if successful, [which I want], then I will do Y [which you
would change how the teen looks at the sit- want].” Notice that a promise involves a
uation, but they would not actually change reward controlled by the source. Richard
the situation itself. This contrasts with the Sorenson promises a payment of $20 if his
9780813349503.indb 328 5/16/14 1:50 PM

Box 9.2 Social Power and Compliance
Suppose a high school student did not do well on other individuals, and this hierarchical arrange-
her last set of exams and her father wants to try ment is often accepted by both the higher-power
to influence her to study harder for her winter fi- and lower-power persons involved (see Chapter
nals. The father can choose from a number of dif- 14). Bosses have the power to tell employees
ferent tactics to try to produce compliance. These what to do, parents have the power to tell chil-
tactics can be organized by the type of power dren what to do, and police officers have the
the father might use to influence the daughter. power to tell motorists what to do. When author-
According to a model forwarded by French and ity is accepted as a right associated with a social
Raven (1959; Raven, 1992), there are six major role, it is called legitimate power. The father in
social bases of power that can be used in such a our example could invoke legitimate power by
situation. saying, “I’m the parent, and one of my jobs as a
1. Promise of Reward. One way of inducing parent is to make sure you study. So get to work!”
compliance is to promise to provide a reward if If the daughter accepts the traditional authority
the target performs the desired behavior. The arrangement, she will head off to study, even if
father might tell his daughter, “If you spend two she does not really want to.
hours a day studying for the next two weeks, I 5. Information. Sometimes, we can actually
will buy you a new cell phone.” Oftentimes, exchange people’s attitudes about the behavior we
plicit agreements about behavior and rewards want them to exhibit, and the behavior change
are made, but other times they are more subtle, will then follow in order to produce consistency
such as when we work hard to gain approval with the attitude. One way of doing this is to pro-
from our parents even though we have never ex- vide information about the effects of the behav-
plicitly agreed on such an arrangement. ior. “The grades you have now are not going to
2. Coercion Through Threat. In contrast to the be high enough for you to get into college. The
reward strategy, the father might use the threat average grades of entering students at State Col-
of a negative outcome to induce compliance. “If lege last year were in the B range. You currently
you don’t do better on your exams next time, you only have a C average.”
will not go on the spring break trip you are plan- 6. Expertise. Information can play a less direct
ning.” As with rewards, the threats do not neces- role in compliance as well. There are many times
sarily have to be explicit in order to be effective. in life when we do not need to know all infor-
3. Referent Power. Referent power uses our mation about the behavior as long as we think
desire to be accepted by members of valued so- the person telling us what to do is an expert. We
cial groups. When we seek acceptance, we may assume that because the person is an expert,
be more likely to comply with the demands of the she knows what she is talking about and, thus,
group or we may try to become more similar to we will comply with her request. When a doctor
the group by imitating the behavior of its mem- prescribes drugs, we usually take them even if
bers (see Chapter 13). To use referent power, the we don’t know exactly how they work because
father could identify people whom his daughter we can rely on the expertise of the doctor. In the
admires and then point out how studious those case of the father and the high school student, he
people are: “Your older sister spends at least two might refer to an expert on studying who claims
hours a day studying.” that an additional two hours of studying per day
4. Legitimate Power. The social positions peo- will raise a student’s GPA by a full letter grade.
ple occupy often supply them with power over
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teenage son clears the driveway and side-

walk. People frequently use promises in ex-
changes, both monetary and nonmonetary.
By issuing a promise, the source creates
a set of options for the target. Suppose, for
example, that the source makes the prom-
ise, “I’ll give you $20 if you clear the snow
from the driveway.” In response, the target
can (1) comply with the source’s request
and clear the driveway, (2) refuse to com-
ply and let the matter drop, or (3) make a
counteroffer, such as “How about $30? It’s
a long driveway, and the snow is very deep.” A robber holds a store clerk at gunpoint. Targets
In similar fashion, a threat creates a choice are more likely to comply when threats are both
large and credible. © Pixtal / SuperStock
for the target. Once a threat is issued, the
target can (1) comply with the threat, (2) re-
fuse to comply, or (3) issue a counter-threat volved. Other factors being equal, targets
(Boulding, 1981). will dismiss threats that entail trivial con-
The range of possible responses to sequences, but they will more likely com-
threats and promises raises a fundamen- ply with threats that entail large and seri-
tal question: Under what conditions will ous consequences (Miranne & Gray, 1987).
threats and promises be successful in gain- Consistent with this, researchers find that
ing compliance, and under what conditions the more severe the possible punishments
will they fail? Certain characteristics of for cheating, the more likely students are to
threats and promises, such as their magni- adhere to an honor code (McCabe, Treviño,
tude and credibility, affect the probability & Butterfield, 1999, 2001).
that the target will comply.
Credibility of Threats and Promises. Sup-
Magnitude of Threats and Promises. pose you own a little puppy that often runs
In promises, the greater the magnitude of wild. Your not-so-nice neighbor hates dogs.
the reward offered by a source, the greater One day, he issues a threat: “If you don’t
the probability of compliance by the target keep your dog off my property, I will call
(Lindskold & Tedeschi, 1971). For example, animal control.” This threat is troublesome,
a factory supervisor might obtain compli- because your dog romps on his property fre-
ance from a worker by offering a large in- quently. But would your neighbor really do
centive: “If you are willing to work the late what he says, or is he merely bluffing? You
shift next month, I’ll approve your request will comply and tether your dog if the threat
for four extra days of vacation in Septem- is real, but you do not want to comply if it
ber.” The worker’s reaction might be less is merely a bluff. Unfortunately, there is no
accommodating, however, if his supervisor surefire, risk-free way to find out whether
offered only a trivial incentive: “If you work the threat is credible. The only true way to
the late shift next month, I’ll let you take test your neighbor’s credibility is to call his
your coffee break five minutes early today.” bluff—that is, to refuse to comply. Then,
A similar principle holds for threats. if your neighbor was merely bluffing, that
Compliance with threats varies directly fact will quickly become evident. Of course,
with the magnitude of the punishment in- if he was not bluffing, you will suffer the
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consequences. Retrieving your puppy from are high, the SEV of the threat will be high;
animal control may cost some money and consequently, the target will feel a lot of
entail some anxious moments. pressure to comply. When both credibility
Bluffing or not, any threatener wants the and punishment magnitude are low, SEV is
target to believe the threat is credible and low; consequently, the target will feel little
to comply with his demand. He does not or no pressure to comply. When one is high
want the target to call his bluff. After all, a and the other is low (as, for example, when
successful threat is one that obtains com- magnitude is high but credibility is low), the
pliance without actually having to be car- threat will have a moderate to low SEV.
ried out. If the target refuses to comply, the The SEV model of threat effectiveness
threatener must either admit he is bluffing predicts that a target’s compliance with a
or incur the costs of carrying out the threat. threat depends on not only the SEV of the
To judge the credibility of a threat, tar- threat but also the cost to the target of com-
gets gauge the cost to the source of carry- plying with the threat (Tedeschi, Schlenker,
ing out the threat. Threats that cost a lot to & Lindskold, 1972). That is, when deciding
carry out are less credible than those costing whether to comply with the threat, a target
less. Calling animal control would require will estimate both the SEV of the threat and
very little of your neighbor’s time. Targets the cost of complying. These factors will
also estimate the credibility of a threat from have opposite effects on compliance. The
the social identity of the source. A threat in- probability of compliance will increase di-
volving physical violence, for example, will rectly as a function of SEV but will decrease
be more credible if it comes from a karate as a function of the cost to the target of
expert wearing a black belt than if it comes complying.
from the proverbial 97-pound weakling. Fi- Although the above description links the
nally, previous behavior affects the credibil- SEV model with threats, it also applies to
ity of the threat. If your neighbor has called promises. Of course, the relevant variables
animal control to pick up other neighbors’ in this case are the magnitude of the reward
dogs, you are more likely to take his threat and the credibility of the promise. The re-
seriously. While threats are seen as most sults of one study showed that targets were
credible when they are consistently fol- more influenced when the reward promised
lowed through with, credibility can be es- was large rather than small and when the
tablished with only occasional enforcement source had credibility in following through
because even that increases the perception on the promises (Lindskold, Cullen, Gaha-
that this is one of the times when the source gan, & Tedeschi, 1970). Consistent with the
will follow through. SEV view, these conclusions hold true only
when the reward promised for compliance
The SEV Model. A threat’s subjective is greater than the reward(s) that might be
expected value (SEV) is a measure of gained from refusing to comply.
the pressure that the target feels from the
threat. The level of SEV depends on sev-
eral factors. SEV increases as the threat’s obedIence to authorIty
credibility increases and as the magnitude
of punishment threatened increases (Staf- As important as persuasion and compliance
ford, Gray, Menke, & Ward, 1986; Tedes- are, they are not the only forms of social in-
chi, Bonoma, & Schlenker, 1972). When fluence used in everyday life. We have all
both credibility and punishment magnitude witnessed situations in which—without the
9780813349503.indb 331 5/16/14 1:50 PM

The lines of authority become salient as a military commander gives orders to his recruits. © panda3800/
shutterstock
use of threat, promises, or persuasion—one When persons occupy roles within a

person issues an order and another per- group, organization, or larger social system,
son complies. For example, a baseball um- they accept certain rights and obligations
pire tosses an unruly manager out of the vis-à-vis other members in that social unit.
game and orders him to leave the field; the Typically, these rights and obligations give
manager, after showing his resentment by one person authority over another with
throwing his cap to the ground and kicking respect to certain acts and performances.
first base, grudgingly complies. The umpire Authority refers to the capacity of one
does not attempt to persuade the manager member to issue orders to others—that is,
to leave voluntarily; he simply issues an or- to direct or regulate the behavior of other
der directing the manager to leave. Compli- members by invoking rights that are vested
ance in this case is based on the fact that in his or her role. When the umpire tosses
both the umpire and the manager are par- the manager out of the game, the basis of
ticipating in a larger social system (two ball his power is legitimate authority.
clubs playing a game) in which behavior is Orders by police officers, decisions by
regulated by rules and roles. The capacity judges, directives by parents, and exhorta-
of the source (the umpire) to influence the tions by clergymen—all these entail author-
target (the manager) stems from the rights ity and the invocation of norms. A source
conferred by their roles within the game. can exercise authority only when, by virtue
Under the rules of the game, the umpire has of the role that he or she occupies in a social
the right to throw the manager out of the group, others accept his or her right to pre-
game for disruptive behavior. scribe behavior regarding the issue at hand
9780813349503.indb 332 5/16/14 1:50 PM

(Kelman & Hamilton, 1989; Raven & Krug- one of her employees had been accused of
lanski, 1970). In exercising authority, the theft. He gave a vague description of an
source invokes a norm and, thereby, obliges employee, who Summers recognized as a
the target(s) to comply. The greater the young woman working the front counter.
number of persons the source can directly Scott claimed that there were no officers
or indirectly influence in this manner and available to come conduct the investigation
the wider the range of behaviors over which and so he would need her assistance. He as-
the source has jurisdiction, the greater his sured Summers that her general manager
or her authority within the group (Mi- was aware of the situation and that he had
chener & Burt, 1974; Zelditch, 1972). given permission for her to help the officer.
In this section, we will discuss influence Scott asked Summers to take the employee
based on legitimate authority. First, we to the office. He then began to give her in-
will consider some interesting experimen- structions on how to proceed: first asking
tal studies of destructive obedience. These Summers to search the employee’s posses-
studies illustrate the extremes to which sions, then to strip search her. When things
authorities can push behavior. Second, we picked up in the restaurant and Summers
will consider some factors that determine was needed up front, Scott asked her to
whether a target will comply or refuse to bring in someone else who she could trust
comply with an authority’s directives. to continue with the procedure. Summers
asked her fiancé, Walter Nix, to come to the
Experimental Study of Obedience restaurant and help. For the next two hours,
Scott demanded that Nix have the employee
Obedience to authority frequently produces engage in acts of humiliation, including a
beneficial results because it facilitates coor- body cavity search and performing a sex act.
dination among persons in groups or col- When Nix became uncomfortable with the
lective settings. Civil order hinges on obe- situation and told his fiancée that he needed
dience to orders from police officers and to leave, a still-rushed Summers asked the
judicial officials, and effective performance restaurant’s maintenance man to help out.
in work settings often depends on following When the maintenance man realized what
bosses’ or employers’ directives. Yet if obe- was happening in the restaurant’s office, he
dience to authority is unquestioning, it can refused to play any part in it. His reaction
sometimes produce disquieting or undesir- sparked something in Summers. She be-
able outcomes. came suspicious and called the store’s gen-
At the 2012 Sundance film festival, a eral manager to see whether he had, in fact,
number of viewers walked out of the show- talked with Scott. He had not. The call had
ing of Compliance, a docudrama recounting been a hoax. Summers and Nix were not
the disturbing events that transpired at a the only unknowing accomplices who had
Kentucky restaurant in 2004. The audience complied with disturbing commands from
was shocked and uncomfortable to learn an unknown caller. Similar events—most
how far someone might go as they yielded likely from the same perpetrator—occurred
to requests from an authority figure. throughout the United States.
It was a busy Friday night when a man Research in social psychology also docu-
posing as “Officer Scott” called the local ments the disconcerting outcomes of obe-
McDonald’s and asked an assistant man- dience to authority. In one study, hospital
ager, Donna Summers, for help with a po- nurses received orders from doctors to
lice investigation. Scott told Summers that administer a drug to a patient. The order
9780813349503.indb 333 5/16/14 1:50 PM

came by telephone, and the nurses involved a laboratory setting (Milgram, 1965, 1974,
did not previously know the doctors giving 1976; Miller, Collins, & Brief, 1995). Mil-
the order. The drug was one not often used gram created a hierarchy in which one per-
in the hospital; hence, it was not very fa- son (the experimenter, who assumed the
miliar to the nurses. The dosage prescribed role of authority) directed another person
was heavy and substantially exceeded the (the participant) to engage in actions that
maximum listed on the package. The re- ostensibly hurt a third person (a confed-
sults showed that nearly all the nurses in erate, who played the role of victim). The
this study were nevertheless ready to follow primary goal of this research was to under-
orders and administer the drug at the pre- stand the conditions under which partic-
scribed dosage (Hofling et al., 1966). ipants would follow morally questionable
Of course, the conditions in this study— orders to hurt the confederate.
like conditions in the Kentucky McDon- At the outset, Milgram (1963) recruited
ald’s—were very favorable for obedience; 40 adult men to serve as participants. These
under different conditions, obedience rates men, contacted through newspaper ad-
will not be so high. Subsequent research has vertisements, were adults (aged 20 to 50)
indicated, for instance, that when nurses are with diverse occupations (labor, blue col-
more familiar with the medicine involved lar, white collar, and professional). When
and are able to consult freely with their col- a participant arrived for the experiment,
leagues, the rates of obedience are consid- he found that another person (a gentle,
erably lower (Rank & Jacobson, 1977). 47-year-old male accountant) had also re-
In some cases, obedience to authority can sponded to the newspaper advertisement.
produce very negative consequences, espe- This person, though ostensibly another
cially if the orders involve actions that are participant, was actually a confederate of
morally questionable or reprehensible. His- the experimenter. The experimenter told
tory provides many examples, such as the the participants that the purpose of the re-
My Lai Massacre during the Vietnam War, search was to study the effects of punish-
at which soldiers obeyed Lieutenant Cal- ment (that is, electric shock) on learning.
ley’s orders to kill innocent villagers, or the One of the participants was to occupy the
activity of the Third Reich of Nazi Germany role of learner, whereas the other was to oc-
during the 1930s and 1940s that produced cupy the role of teacher. Participants drew
the Holocaust. In complying with the dic- a slip of paper to determine their roles;
tates of Hitler’s authoritarian government, unknown to the participant, the drawing
some German citizens committed acts that was rigged so the confederate was always
most people consider morally unconscio- selected as the learner. The confederate
nable—beatings, confiscation of property, was then taken into the adjacent room and
torture, and murder of millions of people. strapped into an “electric chair,” and elec-
This may seem like madness, but Hannah trodes were attached to his wrist. He men-
Arendt (1965) has argued that most partici- tioned that he had some heart trouble and
pants in the Holocaust were not psychotics expressed concern that the shock might
or sadists who enjoyed committing mass prove dangerous. The experimenter, who
murder but ordinary individuals exposed to was dressed in a lab coat, replied that the
powerful social pressures. shock would be painful but would not cause
To explore the limits of obedience to le- permanent damage.
gitimate authority, Stanley Milgram carried The participant and the confederate then
out a program of experimental research in participated in a paired-associates learning
9780813349503.indb 334 5/16/14 1:50 PM

task. The participant, in the role of teacher, loudly. At 120 volts, he shouted that the
read pairs of words over an intercom system shocks were becoming painful. At 150 volts,
to the confederate in the adjacent room, he demanded to be released from the exper-
and the confederate was supposed to mem- iment (“Get me out of here! I won’t be in the
orize these. After reciting the entire list of experiment anymore! I refuse to go on!”). At
paired words, the participant then tested 270 volts, his response to the shock was an
the amount the confederate learned. Go- agonized scream. (Actually, the shouts and
ing through the list again, he read aloud the screams that participants heard from the
first word of each pair and four alternatives adjacent room came from tape recordings
for the second word of the pair, much like so the learner’s response was uniform for all
a multiple-choice exam. The confederate’s participants.)
task was to select the correct alternative re- Whenever a participant expressed con-
sponse for each item. cern or dismay about the procedure, the
Consistent with the cover story that they experimenter urged him to persist (“The
were investigating the effects of punishment experiment must continue” and “You have
on learning, the experimenter ordered the no other choice—you must go on.”). At the
participant to shock the learner whenever 300-volt level, the confederate shouted in
he made an incorrect response. This shock desperation that he wanted to be released
was to be administered by means of an elec- from the electric chair and would not pro-
tric generator that had 30 voltage levels, vide any further answers to the test. In re-
ranging from 15 to 450 volts. The partici- action, the experimenter directed the par-
pant was directed to set the first shock at ticipant to treat any refusal to answer as an
the lowest level (15 volts) and then, with incorrect response. At the 315-volt level,
each successive error, increase to the next the learner gave out a violent scream. At
higher voltage. That is, the participant was the 330-volt level, he fell completely silent,
to increase the voltages from 15 to 30 to 45, and from that point on nothing more was
and so on up to the 450-volt maximum. On heard from him. Stoically, the experimenter
the shock generator, the lowest voltage level directed the participant to continue toward
(15 volts) was labeled slight shock; a higher the 450-volt maximum, even though the
level (135 volts) read strong shock; higher learner did not respond.
still (375 volts) read danger: severe shock; The basic question this study addressed
the highest level (450 volts) was ominously was, “What percentage of the participants
marked XXX. In actuality, this equipment would continue to administer shocks up
was a dummy generator, and the confeder- to the 450-volt maximum?” The results
ate never received any actual shocks, but its showed that of the 40 participants, 26 (65%)
appearance was quite convincing to partic- continued to the end of the shock series
ipants. (450 volts). Although they could have re-
Soon after the session began, it became fused to proceed, not a single participant
apparent that the confederate was a slow stopped before administering 300 volts.
learner. Although he got a few answers Despite the tortured reactions of the con-
right, his responses were incorrect on most federate, most participants followed the ex-
trials. The participants reacted by adminis- perimenter’s orders.
tering ever-higher levels of shock, as they Understandably, this situation was very
had been ordered to do. When the shock stressful for the participants, and many felt
level reached 75 volts, the confederate (who some concern for the learner’s welfare. As
was still in the adjacent room) grunted the shock level rose, the participants grew
9780813349503.indb 335 5/16/14 1:50 PM

increasingly worried and agitated. Some be- 1975). This raises a basic question: Under
gan to sweat or laugh nervously, and many what conditions will people comply with
pleaded with the experimenter to check authority, and under what conditions will
the learner’s condition or to end the study they refuse? What factors affect the proba-
immediately. A few participants became so bility that group members will comply with
distressed that they refused to follow the authority?
experimenter’s orders. The overall level Certain factors affecting compliance are
of compliance in this study, however, was straightforward. For instance, other things
quite high, reflecting the enormous impact being equal, a direct display of authority
of directives from a legitimate authority. symbols—like a uniform or badge—will in-
It is important to note that Milgram’s crease compliance (Bushman, 1988). In one
experiment could not be conducted today study (Sedikides & Jackson, 1990), visitors
because scientists are now bound by rules at the bird exhibit of the Bronx Zoo were
designed to protect individuals who partic- approached by a person who told them
ipate in research. Being put in a situation not to touch the handrail of the exhibit.
in which you are required to shock some- They were significantly more likely to obey
one—even with the ability to leave and even this directive when it came from a person
later discovering during debriefing that it dressed in a zookeeper uniform than when
was all a ruse—is disturbing and can lead it came from a person dressed in casual
to post-traumatic stress. Institutional Re- clothes. The use of authoritative symbols
view Boards at universities, hospitals, and may also have played a part in the Milgram
other organizations now evaluate detailed studies, in which the experimenter wore a
plans for any research that involves human gray lab coat.
subjects, weighing the risks and potential Another factor that matters is whether
benefits, and must approve the plans before the person in authority can back up his or
research can begin. her demands with punishment in the event
of noncompliance. Although this was not
Factors Affecting Obedience to Authority an explicit factor in Milgram’s studies, other
research has manipulated the magnitude
As Milgram’s results show, persons in au- of the potential punishment the authority
thority usually obtain compliance with wielded, and the results support the view
their orders, especially when these are ac- that greater punishment magnitude leads
cepted as legitimate or backed by poten- to higher levels of compliance (Michener &
tial force. Nevertheless, orders from an Burt, 1975).
authority can set off a complex process Milgram (1974) extended his basic ex-
that can lead to various responses (Blass, periment to study some other factors that
1991). Compliance does not always occur, affect compliance with orders. For instance,
and subordinate members sometimes defy one variation manipulated the degree of
orders from an authority. Although most surveillance by the experimenter over the
participants in Milgram’s research obeyed participant (Milgram, 1965, 1974). In one
orders, some refused to comply. Other condition, the experimenter sat a few feet
studies have reported similar effects: Obe- away from the participant during the ex-
dience is the most common response to au- periment, maintaining direct surveillance;
thority, but defiance occurs in some cases in another condition, after giving basic
(Martin & Sell, 1986; Michener & Burt, instructions, the experimenter departed
9780813349503.indb 336 5/16/14 1:50 PM

from the laboratory and issued orders by thority but farther from the unhappy task
telephone from a remote location. The re- of throwing the switch were more obedient.
sults show that the number of obedient
participants was almost three times greater
in the face-to-face condition than in the reSIStIng Influence
order-by-telephone condition. In other and PerSuaSIon
words, obedience was greater when partic-
ipants were under direct surveillance than It is important to note that we are not sim-
under remote surveillance. During the tele- ply hapless victims of the persuasion and
phone conversations, some participants compliance efforts of other people. Social
specifically assured the experimenter they psychologists have identified a number of
were raising the shock level when, in actu- factors that enhance our ability to resist
ality, they were using only the lowest shock attitude change. In this section, we discuss
and nothing more. This tactic enabled them three major contributors to persuasion re-
to ease their conscience while at the same sistance: inoculation, forewarning, and re-
time avoiding a direct confrontation with actance.
authority.
In another variation, Milgram (1974) Inoculation
manipulated the participant’s physi-
cal proximity to the victim. The findings Interested in how persons develop resis-
showed that bringing the victim closer to tance to persuasion, McGuire (1964) pro-
the participant—and, therefore, increasing posed that a target can be inoculated against
the participant’s awareness of the learner’s persuasion. He specified various attitude
suffering—substantially reduced the par- inoculation treatments that would enable
ticipant’s willingness to administer shock. target persons to defend their beliefs against
In the extreme case, when the victim was persuasion attempts. One such treatment,
seated right next to the participant, obedi- called a refutational defense, is analogous
ence decreased substantially. Tilker (1970) to medical inoculation, in which a patient
reported similar results and also showed receives a small dose of a pathogen so that
that expressly making participants totally he or she can develop antibodies. The refu-
responsible for their own actions rendered tational defense consists of giving the target
them less likely to administer shocks to the (1) information that is discrepant with their
learner. beliefs and (2) arguments that counter the
Obedience to authority is also affected by discrepant information and that support
the participant’s position in a larger chain of their original beliefs. By exposing a target
command. Kilham and Mann (1974) used to weak attacks and allowing the target to
a Milgram-like situation in which one par- refute them, this inoculation builds up the
ticipant (the executant) actually pushed the target’s resistance and prepares the target
buttons to administer shock, while another to resist stronger attacks on their attitudes
participant (the transmitter) simply con- in the future.
veyed the orders from the experimenter. Some research (McGuire & Papageorgis,
The results showed that obedience rates 1961) has demonstrated the effectiveness of
were approximately twice as high among a refutational defense against persuasion at-
transmitters as among executants. In other tempts. College students received messages
words, persons positioned closer to the au- attacking three commonly held beliefs or
9780813349503.indb 337 5/16/14 1:50 PM

“cultural truisms.” Two days before the at- to live a healthy life because they will want
tack, the students had received an inocula- what’s best for you.”) effectively protected
tion treatment to foster their resistance to antismoking attitudes and curbed danger-
persuasion. For one truism, they received a ous behaviors, particularly among the most
refutational defense. For a second truism, vulnerable (Pfau, Van Bockern, & Kang,
they received a different immunization 1992).
treatment called a supportive defense—in- The more advance notice people have
formation containing elaborate arguments that the persuasion attempt is coming, the
in favor of the truism. For the third truism, more time they have to develop counterar-
they received no defense. Following expo- guments. If motivated to develop such ar-
sure to attacks on their attitudes, students guments, they may be more resistant to the
rated the extent of their agreement with persuasion attempt than will those with less
each of the truisms. The results show that time (Chen, Reardon, Rea, & Moore, 1992;
the refutational defense provided the high- Petty & Cacioppo, 1979a). This brings up
est level of resistance to persuasion. The an important qualification for the positive
supportive defense provided less resistance, effect of forewarning. The targets of the
and when no defense was present, there was persuasion attempt must care about and be
still less resistance to persuasion. Later re- psychologically involved in the issue. If they
search extended the reach of refutational do care about the issue, then the warning
defenses beyond cultural truisms to other motivates them to defend their position. If,
types of attitudes (politics, health). however, they do not care about the issue,
the forewarning may have little effect and,
Forewarning in some instances, can even produce greater
attitude change (Apsler & Sears, 1968).
A second aid to resisting influence is sim-
ply warning people that they are about to Reactance
be exposed to a persuasion attempt. It is not
necessary to provide information to refute Sometimes, persuasion attempts can go
the arguments for this effect to occur—if we too far. When trying to convince people
are warned that our attitudes will be com- to change their attitudes, we may become
ing under attack, we begin to develop our too heavy-handed and actually produce a
own counterarguments (Freedman & Sears, reaction in the direction opposite to that
1965). However, combining forewarning we intended. This phenomenon is called
with refutational defenses is particularly reactance—or the boomerang effect—and
effective. As an example, exposing middle it occurs when the target of the persuasion
school students to public service announce- attempt begins to feel that their indepen-
ments that included both warning of an dence and freedom are being threatened
impending threat to their existing beliefs (Brehm, 1966). Feeling the need to reassert
(“No matter how much you want to stay a control, the targets will behave in a way
nonsmoker, the truth is that the pressure to counter to the persuasion attempt in order
smoke in junior high will be higher than at to demonstrate their independence. Reac-
any other time in your life.”) and demon- tance effects have been demonstrated in
strated refutations to counterarguments studies of antidrinking, ant-smoking, and
(Smoking is cool. “It is definitely not cool antigraffiti persuasion attempts; physician’s
for friends to expect you to do something advice; and warning labels on television
stupid. Real friends respect your decision programming and alcoholic beverages (for
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example, Bensley & Wu, 1991; Bushman & an issue, who like thinking issues through
Stack, 1996; Pennebaker & Sanders, 1976; in detail, and who are not distracted tend
Ringold, 2002). to scrutinize messages closely and are more
influenced by the strength of the arguments
than by peripheral factors.
SuMMary
Compliance with Threats and Promises.
Social influence occurs when behavior by Threats and promises are influence tech-
one person (the source) causes another per- niques used to achieve compliance (not
son (the target) to change an opinion or to attitude change) from the target. In using
perform an action he or she would not oth- threats and promises, the source alters the
erwise perform. Important forms of open environment of the target by directly ma-
influence include persuasion, use of threats nipulating reward contingencies. The ef-
and promises, and exercise of legitimate fectiveness of a threat depends on both the
authority. magnitude of the punishment involved and
the probability that it will be carried out.
Attitude Change via Persuasion. Persua- Greater compliance results from high mag-
sion is a widely used form of social influence nitude and high probability. Similar effects
intended to produce attitude change. (1) hold true for promises, although these in-
The communication-persuasion paradigm volve rewards rather than punishments.
points to many factors—properties of the
source, the message, and the target—that Obedience to Authority. Authority refers
affect whether a message will change beliefs to the capacity of one group member to is-
and attitudes. (2) Certain attributes of the sue orders or make requests of other mem-
source affect a message’s impact. Sources bers by invoking rights vested in his or her
who are credible (that is, highly expert role. (1) Research on obedience to authority
and trustworthy) are more persuasive than shows that participants will comply with
sources who are not. Attractive sources are orders to administer extreme levels of elec-
more persuasive than unattractive ones, es- tric shock to an innocent victim. (2) Obe-
pecially if message arguments are strong. A dience to authority is more likely to occur
message coming from multiple, indepen- when the authority is dressed in uniform,
dent sources will have more impact than when the authority can back up orders with
the same message from a single source. (3) punishments, when participants are under
Message characteristics also determine a direct surveillance by the person issuing
message’s effectiveness. Highly discrepant orders, when participants are distant from
messages are more persuasive when they rather than close to the victim, and when
come from a source having high credibility. participants are transmitters rather than
Fear-arousing messages are most effective executants of a command.
when they specify a course of action that can
avert impending negative consequences. Resisting Influence and Persuasion. Re-
One-sided messages have more impact sistance to persuasion attempts can be in-
than two-sided messages when the target creased through inoculation processes, in
already agrees with the speaker’s viewpoint which targets are exposed to some of the
or is not well informed. (4) Attributes of the source’s arguments before the persuasion
target also determine a message’s effective- attempt occurs and provided with counter-
ness. Targets who are highly involved with arguments. Persuasion can also be reduced
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by warning the target that a persuasion mouthwash, and toothbrush ads encour-
attempt is going to occur. Finally, if a per- aging you to practice good dental hygiene
suasion attempt is too heavy-handed, tar- (and use their product in doing so). There
gets may feel their freedom is threatened is nothing inherently wrong about any of
and attempt to reestablish their indepen- these messages. Certainly no one would
dence by defying the persuasion attempt. argue that we should neglect our teeth and
gums.
However, you may be exposed to simi-
List of Key Terms and Concepts lar persuasive messages from friends who
regularly encourage you to go out drinking
attitude change (p. 312) to have a good time. This message is con-
attitude inoculation (p. 337) sistent with the commercials and other ad-
authority (p. 332) vertisements that show glamorous-looking
communication-persuasion paradigm people having a good time while drinking
(p. 314) alcohol. Like the dental hygiene messages,
communicator credibility (p. 315) the messages of advertisers and an indi-
compliance (p. 312) vidual who you know might be consistent
discrepant message (p. 315) with one another, offering multiple sources
five-factor model (p. 312) of information in support of their claims.
legitimate power (p. 329) However, there are important differences
mass media (p. 316) in the two sets of messages. Based on what
media campaign (p. 316) you learned in this chapter, what are some
persuasion (p. 314) of the ways these persuasive attempts dif-
promise (p. 328) fer? Think of these before you continue.
reactance (p. 338)
referent power (p. 329) You might have thought about the reliabil-
social impact theory (p. 317) ity and trustworthiness of the source. Your
social influence (p. 312) dentist has little to gain by having you take
source (p. 312) better care of your teeth. In fact, you would
subjective expected value (SEV) (p. 331) spend more time in the dentist’s office—
target (p. 312) and pay more for your dentist’s services—if
threat (p. 328) you did not heed her advice and neglected
your teeth.
You might have also thought about the
Critical Thinking Skill: purpose of the message. Your friends might
Evaluating Persuasive Messages genuinely care about you and whether you
have a good time, but they also want to have
As this chapter illustrated, we are inun- others to hang out with when they go out,
dated with persuasive statements through- and if they drink regularly, they want others
out our daily lives. Some of these are mes- to drink regularly too in order to make them
sages worth being persuaded by; others are feel more normal. It might be self-serving
not. Critical thinking can help you discern to encourage you to join them. Advertis-
between the two. ers, whether selling vodka or mouthwash,
Think about your dentist’s regular en- have their bottom line in mind, so they are
couragement to brush and floss regularly. sources to be skeptical of. Consider whether
This message is consistent with toothpaste, a message is biased or self-serving.
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You might have also considered the hol advertisers make any effort to prove this
source’s evidence and credentials. Your claim or substantiate it? Thinking critically,
dentist knows quite a bit about dental hy- you should evaluate a message’s argument.
giene. Messages from advertisers for oral Is it compelling? Are the ideas presented in
hygiene products often include support- a logical, reasoned way that follow from one
ing evidence: “Kills 99% of germs in clini- another and lead to a particular conclusion?
cal tests,” “4 out of 5 dentists recommend.” Understanding what differentiates a valid
What evidence do your friends or the alco- persuasive message from an invalid one not
hol advertisers have that people have a bet- only helps us be more critical consumers of
ter time out at the bars than elsewhere? Is information but can also help us become
there an assumption that people are having more effective in persuading others.
a good time? Do your friends or the alco-
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9780813349503.indb 342 5/16/14 1:50 PM
chaPter 10
AlTRuisM AnD
ProSocial BehaVior
introduction 344 Situational influences 356
Motivation to help 345 modeling 357
egoism 345 mood 357
altruism and empathetic concern 346 costs 358
evolutionary Perspectives 348 Bystander intervention in emergency

Situations 359
Characteristics of the needy that Foster
helping 350 the Decision to intervene 360
acquaintanceship and liking 350 the Bystander effect 361
Similarity 350 Seeking and Receiving help 363

Deservingness 352 other Forms of Prosocial Behavior 364
normative Factors in helping 353 Summary 365
norms of responsibility and
reciprocity 354
Personal norms 355 Critical Thinking Skill: Creative Thinking 366
Gender norms 356
343
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344 alTruIsM and prosoCIal bEhavIor
IntroductIon many ways. They may give someone a ride,

help change a flat tire, donate blood, make
Jennifer Beyer, age 22, was driving along Old contributions to charity, return lost items
River Road in Appleton, Wisconsin, on a to their owners, assist victims of accidents,
cold day in February. She was on the way to and so on. Of course, the mere fact that
visit a friend, but when a soaking wet child someone needs help does not mean others
flagged her down, she pulled over immedi- will rush to give aid. Humans are capable
ately. Shivering and frightened, Jeff Laszew- of vastly different responses to persons in
ski hurriedly explained that he and his need. Although Jennifer Beyer went onto
friend, nine-year-old Colin Deeg, had been the ice to rescue Colin Deeg, many others
playing on the frozen Fox River when the ice would not have taken that risk. Some will
gave way. Jeff had managed to climb back not even stop to help a stranded motorist
onto the ice and make it to shore, but Colin or make contributions to charitable causes.
was still in the water and couldn’t get out. Thus, a challenge for social psychologists is
Starting down the river bank, Jennifer to explain variations in helping behavior.
saw Colin splashing in the frigid water. At When will people help others, when will
the point where many others would have they refuse to, and why? Drawing on re-
stopped due to the great personal risk, she search and theory, this chapter addresses
went onto the frozen river to rescue him. the following questions:
Inching her way onto the ice, she tried to
use her scarf to pull Colin out, but the ice 1. What motivates us to help one
cracked and she plunged into the water. At another?
this point, Colin was still conscious but fad-
ing fast. In the meantime, Jeff reached an- 2. How do characteristics of the person
other adult, Cyndy Graf, who quickly dialed in need of help influence giving by
911 for help and then ran to the river. others?
Jennifer grabbed Colin to keep him from
going under and tried to get him out of 3. What impact do cultural factors such
the water. This proved impossible, how- as norms and roles have on helping
ever. Colin soon passed out and the weight behavior?
of his wet clothes made him too heavy to
push onto land. Jennifer’s limbs were numb 4. How do characteristics of the
with cold by the time police arrived and fire situation affect helping behavior?
teams reached the river with rescue equip-
ment, but she had kept Colin’s head above 5. In emergency situations, what factors
water and prevented him from drowning. determine whether bystanders will
Officers rushed the pair to nearby St. Eliza- intervene and offer help?
beth’s hospital, where doctors used a bypass
machine to warm Colin’s blood, which had 6. When help is given, which factors
dropped in temperature to 78 degrees. Jen- determine the recipient’s reactions?
nifer was treated for hypothermia. A week
later, Colin was doing fine. When discussing the positive end of
Jennifer Beyer’s story is extraordinary social behaviors, social psychologists use
for its valor and heroism, but everyday life three interrelated terms. Prosocial be-
is filled with smaller tales of people helping havior is a broad category of actions con-
others in need. Individuals help others in sidered beneficial to others and as having
9780813349503.indb 344 5/16/14 1:50 PM

alTruIsM and prosoCIal bEhavIor 345
positive social consequences. These include erous and unselfish beings, capable of real
donating to charity, intervention in emer- concern for the welfare of others. For in-
gencies, cooperation, sharing, volunteering, stance, a bystander may rush to rescue an
sacrifice, and the like. This contrasts with accident victim to relieve the victim’s pain
antisocial behavior that is aggressive, vio- and anguish. Our human ability to empa-
lent, or destructive. Helping is prosocial thize with others motivates us to alleviate
behavior that has the consequence of pro- their distress. The third view, from evolu-
viding some benefit to or improving the tionary psychology, sees prosocial behavior
well-being of another person (Dovidio, Pil- as an evolved trait that helps ensure indi-
iavin, Schroeder, & Penner, 2006). Intent is viduals will pass along their genes to the
unimportant. There is no requirement that next generation. In this section, we look at
the helper intends to benefit another per- these three views in more detail.
son with his or her action. Furthermore, the
helper can also benefit from helping; under Egoism
this definition, helping behavior may in-
volve either selfish or egoistic motives. An- One view of human nature regards us all
other type of prosocial behavior is altruism. as fundamentally selfish beings, concerned
Although there is some disagreement on primarily with our own gratification. This
what behaviors count as altruistic (Kalmijn seemingly simple seed is used throughout
& De Graaf, 2012), here we define altruism the social sciences to explain a huge vari-
as helping that is intended to provide aid to ety of social behavior, including prosocial
someone else without expectation of any acts. Although this view acknowledges that
reward (other than the good feeling that helping behavior occurs with considerable
may result) and that comes at a cost to the frequency, it treats helping as always origi-
helper. Note that, for altruism, intentions nating from some ulterior, self-serving con-
do matter. Under this definition, the helper sideration (Gelfand & Hartmann, 1982). For
must intend to benefit the other (Piliavin & instance, a student might help a peer with a
Charng, 1990; Schroeder, Penner, Dovidio, difficult assignment to get admiration and
& Piliavin, 1995; Simmons, 1991). In fact, approval from the other, to avoid feelings of
this must be the primary goal of the altruis- guilt or shame, to obligate the other to her,
tic action (Batson, 2011). or to bolster her own self-esteem. Helping
behavior motivated by self-gratification is
called egoism.
MotIvatIon to helP Even in the most other-oriented, char-
itable behavior, there is little doubt that
What motivates one person to help an- considerations of reward and cost influ-
other? There are at least three major views ence decisions to give or withhold help.
on the issue, each rooted in different con- Every helping act imposes some costs on
ceptions of human nature. The first view the helper (danger, loss of time, financial
depicts humans as egoistic or selfish beings, costs, expenditure of effort). In general,
concerned primarily with their own grati- the greater these costs, the less likely per-
fication. Helping originates from some ul- sons are to help (Kerber, 1984; Shotland &
terior, self-serving motive. Potential helpers Stebbins, 1983). Would you be more likely
weigh the costs and benefits of helping to to help someone study for an exam you are
decide whether they will do so. The second also studying for than for an exam you took
view depicts humans as rather more gen- last semester? If you are also studying for
9780813349503.indb 345 5/16/14 1:50 PM

the exam, ensuring someone else under- personal values and preferences. For exam-
stands the material takes little additional ple, those who enjoyed novelty volunteered
time and might actually help you under- more frequently to help with a project on
stand the material better (in addition to unusual states of consciousness, ESP, and
the potential benefits of helping another hypnosis, and those who liked close social
student outlined above). Helping someone relationships volunteered more frequently
study for an exam for a class that you are to help troubled high school students (Ger-
not enrolled in, however, comes at a cost; gen, Gergen, & Meter, 1972).
it takes away valuable time that you could
spend studying another subject and offers Altruism and Empathetic Concern
you fewer direct benefits.
There may also be some costs to poten- People often react to the distress of oth-
tial helpers for not helping (public disap- ers on an emotional level and offer help in
proval by others, embarrassment and loss response. The term empathy refers to the
of face, and condemnation by the victim). vicarious experience of an emotion that is
The evaluation of these costs is important congruent with—or possibly identical to—
in determining helping behavior, and many the emotion that another person is experi-
theorists believe individuals will generally encing (Barnett, 1987; Eisenberg & Miller,
not give help unless they think the rewards 1987). For example, when a mother sees
(even if not immediate) will outweigh the her child in pain, she may experience a very
costs (Lynch & Cohen, 1978; Piliavin, Dovi- similar emotion to the child. There is con-
dio, Gaertner, & Clark, 1981). siderable evidence that feelings of empathy
The rewards that motivate potential for a person in need will lead to helping
helpers are many and varied. They may in- behavior (Batson et al., 1981; Dovidio, Al-
clude such things as thanks from the vic- len, & Schroeder, 1990; Eisenberg & Miller,
tim, admiration and approval from others, 1987; Fultz et al., 1986).
financial rewards and prizes, and recogni-
tion for competence. People will help more The Empathy-Altruism Model. The em-
if they anticipate rewards such as status en- pathy-altruism model proposes that adults
hancement (Bienenstock & Bianchi, 2004; can experience two distinct states of emo-
Kerber, 1984). Even small rewards—like the tional arousal while witnessing another’s
small chocolate that the local Goodwill of- suffering: distress and empathy. Distress in-
fers with every donation—tend to increase volves unpleasant emotions such as shock,
individuals’ helping behavior. Getting alarm, worry, and upset at seeing another
something in return helps people make a person suffer. Empathy, however, entails
self-interested justification for the behavior such emotions as compassion, concern,
(Holmes, Miller, & Lerner, 2002; Perlow & warmth, and tenderness toward the other
Weeks, 2002). (Batson, 1987, 1991; Batson & Coke, 1981;
The form of help that someone offers Batson & Oleson, 1991). These states of
may depend on the specific rewards he or emotional arousal give rise to different mo-
she seeks, and these may, in turn, depend tivations, but both can lead to helping be-
on his or her own needs. For example, a havior. If the bystander experiences distress
study invited students to volunteer for a at seeing another suffering, he or she may be
range of prosocial activities with similar motivated to reduce this distress (egoism).
rewards. When given a choice, students This contrasts with the situation in which a
volunteered for activities related to their bystander experiences empathy when wit-
9780813349503.indb 346 5/16/14 1:50 PM

Who will volunteer at this church charity drive? Who will donate goods? Personal characteristics
sometimes drive the decision to help, but cost-benefit calculations, cultural norms, situational factors, and
even genetics also play important roles. © Ocean/Corbis
nessing the suffering of another. Feelings of Altruistically motivated helping, fueled

this type may cause the bystander to help by empathy, appears to lead to more sus-
the victim, but this help is motivated fun- tained giving than helping that is motivated
damentally by a desire to reduce the other’s by egoism (Piferi, Jobe, & Jones, 2006). In
distress (altruism). The empathy-altruism a study on the motivations for helping af-
model has received support from many ter the September 11 terrorist attacks, re-
experiments. Typically, the participants in searchers found that individuals who gave
these studies witness a person in distress money, blood, goods, or other forms of as-
and must decide whether to offer help. The sistance because of other-focused motives
independent variables in these studies are (giving to reduce another’s discomfort)
the level of empathy and the ease of escape were almost four times more likely to still
from the situation. When empathy is high, be giving support one year later than those
the frequency of helping behavior is also whose original motivation was to reduce
high, irrespective of whether it was easy to personal distress (egoistic motives). This
avoid the situation. However, when distress effect likely stems from differences in emo-
is high, the frequency of helping behavior tional arousal. The events of September 11
drops off substantially when escape is easy; emotionally affected people throughout the
participants leave the situation rather than United States. Those who gave to reduce
absorbing the costs of helping (Batson et al., their own distress reduced their emotional
1983). Distress can be alleviated by leaving arousal with their initial gift, discharging
the situation; empathy cannot. that emotional distress. However, those
9780813349503.indb 347 5/16/14 1:50 PM

who gave to reduce others’ distress did not 1985). To understand how helping can
stop empathizing with victims who contin- make sense in an evolutionary context, it
ued to struggle long after the attacks. is important to appreciate that the “fittest”
animal is the one that passes on its genes
Evolutionary Perspectives to subsequent generations. This can hap-
pen either by the animal itself producing
A third view on prosocial behavior takes an offspring or by the animal’s close relatives,
evolutionary perspective. The basic notion such as brothers, sisters, and cousins (who
driving this theory is that any genetically share many of its genes), producing off-
determined physical attribute or trait that spring. So although it is true that altruistic
helps an individual survive will be passed on behavior will not have survival value for an
to the next generation. Eventually, individu- individual, altruistic acts can increase the
als with the attribute will become more nu- survival of one’s genes if directed toward
merous than those without. The evolution- others who share the same genes (Hamilton,
ary perspective often points to others in the 1964; Meyer, 2000). Consider a mother bird
animal kingdom to demonstrate its propo- who sacrifices herself to save the lives of her
sitions. For example, helping behaviors and eight babies. Each of the babies carries half
even altruistic, self-sacrificing behaviors are of the genes of the mother; thus, between
common in nature. Ground squirrels, for them, they have four times as many of the
instance, frequently sound alarm calls when mother’s genes as she does herself.
a predator approaches. These calls warn Furthermore, some sociobiologists have
other squirrels of the threat, but they also argued that altruistic behavior is perpetu-
draw the attention of the predator to the ated because of reciprocation. If all the an-
individual sounding the alarm, thereby in- imals in a group engage in helping behav-
creasing the chances of that individual be- ior, they will all be better off in the long run
ing killed (Sherman, 1980). Other animals (Hardy & van Vugt, 2006). If, for example,
sacrifice themselves to predators to protect the animals all take turns playing the role of
the larger group (Wilson, 1971). At first, sentry and warning the group of approach-
these patterns of self-sacrificing behavior ing predators, many more members of that
seem to run counter to evolutionary theory. group will survive and reproduce than if
Altruism among animals often means that none of them had warned the group.
those who are the most helpful will be the Evolutionary approaches to altruism have
least likely to survive. This means they will produced a considerable body of interesting
be less likely to have offspring and may not research and theoretical propositions. For
have any at all. How, then, could the altruis- example, animals should be most altruistic
tic tendency persist generations later? The toward those that most closely resemble
same question can be posed, of course, with them genetically—that is, they should help
respect to humans. immediate family members more than dis-
Evolutionary psychology and a related tant cousins, and distant cousins more than
theoretical perspective called sociobiology outsiders or strangers (Burnstein, Cran-
(Archer, 1991; Buss, 1999; Ketelaar & Ellis, dall, & Kitayama, 1994; Rushton, Russell,
2000; Wilson, 1975, 1978) have constructed & Wells, 1984). Second, parents will tend
a response to the problem of altruism and to behave altruistically toward healthy off-
have assembled evidence that supports the spring, who are likely to survive and pass
view that altruism has roots in evolution on their genes, but less altruistically toward
(Buss & Kenrick, 1998; Krebs & Miller, sick or unhealthy offspring, who are likely
9780813349503.indb 348 5/16/14 1:50 PM

to die before reproducing (Dovidio et al., ple in a fire emergency and found that they
1991). Third, helping behavior should only were much more likely to endanger them-
favor those who can still reproduce. Thus, selves by searching for family members
helping behavior should be targeted more than by searching for friends. Rather than
toward young women than to older women attributing this behavior to genetic kin se-
who are past the age of menopause (Kruger, lection, however, we may just as likely as-
2001). sume that people would sacrifice more to
Generally speaking, these evolutionary save someone they love than someone who
propositions have found support in stud- is simply an acquaintance because losing
ies. However, there are also exceptions and the former would cause them more distress.
alternative explanations (Buss & Kenrick, Although interesting, the sociobiologi-
1998; Caporeal, 2001; Dovidio et al., 1991). cal perspective is controversial, especially
For example, Sime (1983) examined peo- as applied to humans. For example, critics
Box 10.1 research update: gossip as Prosocial Behavior
Gossip is a complex social behavior; although it is Using a battery of self-reports and heart rate
very common, it is also widely criticized. An evo- monitors, the researchers explored why gossip—
lutionary perspective would argue that gossip and, particularly, prosocial gossip—was so com-
exists because it serves a purpose. According to mon. They found that people with a more pro-
psychologist Robin dunbar, that purpose is a prosocial orientation, whose personality reflected
social one. dunbar (1996) hypothesized that gos- more other-directed concerns, tend to gossip
sip became more and more prominent as a lin- more than those with an egoistic orientation and
guistic practice as humans began to live in larger that participants would gossip even if there was
and larger groups. Without being able to directly no potential of harm toward the transgressor and
observe others’ behavior, group members would when it was costly to gossip. What made gossip
use gossip to track one another’s reputation as so attractive?
trustworthy group members. Results suggest that witnessing the unfair
A team of social psychologists tested dun- acts of transgressors evoked negative arousal,
bar’s assumption about the prosociality of gossip especially among more prosocial individuals. The
in a series of experiments. Feinberg, Willer, Stel- more negative affect participants felt, the more
lar, & Keltner (2012) put participants in situations compelled they were to engage in prosocial gos-
in which they watched another participant (the sip. Furthermore, engaging in prosocial gossip
transgressor) act selfishly. The researchers then actually reduced their levels of negative affect.
gave the participants the opportunity to gossip This was especially true for more prosocial indi-
about the transgressor to the participant who viduals.
would interact with the transgressor next in the Gossip also had an important effect on be-
experiment. More than half the students chose havior. Participants behaved more cooperatively
to gossip, and 96% of those gossip messages when they knew that observers could potentially
moved beyond serving a selfish, personal end. gossip about them.
Examples of prosocial gossip messages were:
“[He] didn’t send anything back last round. I’d ad- Source: Adapted from Feinberg, Willer, Stellar, & Kelt-
vise not sending anything” or “Try to keep all the ner, 2012.
money you can, because [she] will not give you
much in return.”
9780813349503.indb 349 5/16/14 1:50 PM

have questioned whether altruism is genet- increase helping because they involve rel-
ically transmitted (Buck & Ginsburg, 1991; atively stronger normative obligations,
Kitcher, 1985). By this model, animals and more intense emotion and empathy, and
humans would help only close relatives and greater costs if we fail to help. Even a brief
rarely or never help those who are geneti- acquaintanceship is sufficient to make us
cally unrelated. Yet we know humans often more likely to help someone (Pearce, 1980).
help others who are unrelated—even total A simple introduction or comment, and
strangers. Some critics argue that to explain sometimes less, is enough to transform a
altruism among unrelated persons, it is nec- complete stranger into a “familiar stranger”
essary to rely on cultural constructs, such (Milgram, 1977) and increase the likelihood
as religious values, that define unrelated of helping.
others as appropriate recipients of help. At We are also more likely to help someone
best, then, evolution is an incomplete ex- we like than to help someone we do not
planation for altruism. like. This effect occurs whether our positive
feelings about the other are based on his or
her physical appearance, personal charac-
characterIStIcS of the needy teristics, or friendly behavior (Kelley & By-
that foSter helPIng rne, 1976; Mallozzi, McDermott, & Kayson,
1990). Moreover, we are more likely to help
When in need, some people have a much someone who likes us than to help someone
better chance of receiving help than oth- who does not (Baron, 1971).
ers do. Our willingness to help needy per-
sons depends on various factors. Important Similarity
among these are whether we know and like
them, whether they are similar to or differ- In general, we are more likely to help others
ent from us, and whether we consider them who are similar to ourselves than to help
truly deserving of help. others who are dissimilar (Dovidio, 1984).
That is, we are more likely to help those
Acquaintanceship and Liking who resemble us in race, attitudes, political
ideologies, and even mode of dress. For in-
We are especially inclined to help people stance, with respect to race, several studies
whom we know and to whom we feel close. have reported that in situations where re-
Studies of reactions following natural di- fusing to help may be easily justified, Whites
sasters, for example, indicate that whereas are more likely to help other Whites than to
people generally become very helpful to- help Blacks (Benson, Karabenick, & Lerner,
ward others, they tend to give aid first to 1973; Dovidio & Gaertner, 1981). Similarity
needy family members, then to friends and of opinions and political ideologies also in-
neighbors, and last to strangers (Dynes & creases helping (Hornstein, 1978). In a se-
Quarantelli, 1980; Form & Nosow, 1958). ries of field studies, New York pedestrians
Research suggests this tendency stems, in came across “lost” wallets or letters that had
part, from an increased ability to empa- been planted by researchers in conspicuous
thize with those we know well (Maner & places. These objects contained informa-
Gailliot, 2007). We are better able to take tion indicating the original owner’s views
their perspective and vicariously experi- on the Arab-Israeli conflict, on worthy or
ence their emotional distress, thereby mo- unpopular organizations, or on trivial opin-
tivating altruistic helping. Relationships ion items. The owner’s views on these top-
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Box 10.2 research update: group Boundaries and helping Behavior
We tend to help others who are like us. A regu- erates wearing the favorite team’s shirt received
lar cyclist is more likely to stop to help a cyclist help from the subjects over 90% of the time,
with a flat tire than to help a stranded motorist. whereas those wearing a plain shirt or the rival
Additionally, race, gender, and other strongly team’s shirt received help less than one-third of
held group identities play an important role in the time.
our willingness to help others, but what impact In the second experiment, these same re-
might other, less salient identities have? For ex- searchers attempted to examine a more diffuse
ample, can similarity based on being a fan of a identity: that of soccer fans in general rather than
particular sport team or even a particular sport, those of a particular team. This experiment fol-
like baseball, encourage helping behavior? lowed a similar procedure as the first, except that
A group of researchers set out to explore the instead of priming the subjects’ identity about
influence of these sports-related group mem- their favorite team, the researchers primed the
berships by using a choreographed accident subjects to think about their identity as soccer
in which a confederate fell down and feigned a fans in general. They did this by telling the sub-
painful injury in the presence of a subject. Prior jects that there are a few troublemakers among
to the accident, the subjects had taken a survey soccer fans who got into drunken brawls and,
questionnaire about their favorite soccer team, thereby, gave soccer fans a bad name. However,
thereby priming their identity as fans of their fa- there are also many positive aspects about being
vorite team. Then, the subjects were directed to soccer fans, and the purpose of the research was
walk to a different location for the second part to examine these positive aspects. After hearing
of the soccer study in which they were supposed this information, the subjects filled out a survey
to watch a video about soccer teams. Along the about being soccer fans. The remainder of the ex-
way, they passed the confederate, who fell and periment proceeded as before. Again, the primed
pretended to be hurt. The outcome of interest identity had a strong effect on helping, but the
was whether the subjects stopped to help and, if pattern was different. If the confederate was
so, how much help was offered. wearing either soccer shirt, help was received
The manipulation in the experiment was sim- about 75% of the time. If the confederate wore
ple: The confederate wore a shirt identified with the generic shirt, help was received less than
the subjects’ favorite team, a shirt identified with 25% of the time.
the main rival of the subjects’ favorite team, or a
neutral shirt that did not identify with any team Source: Adapted from Levine, Prosser, Evans, and
at all. The results were surprisingly stark. Confed- Reicher, 2005.
ics either resembled or differed from the Much of the effect of similarity is a prod-
views known to characterize the neighbor- uct of perceived group membership. Al-
hoods in which the objects were dropped. though groups and group processes will be
Persons finding the wallets or letters took discussed in more detail in Chapters 13 and
steps to return them to the owner much 14, people tend to help in-group members
more frequently when the owner’s views (people who share a particular characteris-
were similar to their own. As Box 10.2 il- tic) more than out-group members (people
lustrates, even a characteristic as seemingly who are different from them on a particular
trivial as liking the same sport can influence characteristic). This is, in part, because in-
the chances of helping (and hurting). dividuals are better able to ascribe emotions
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to in-group members. A study of helping these secondary emotions has more of an

after Hurricane Katrina illustrates this ef- influence on helping than simply empathiz-
fect (Cuddy, Rock, & Norton, 2007). Re- ing on primary emotions.
searchers had White, Black, and Latino par-
ticipants read a fictionalized account of a Deservingness
mother who had lost her child during Hur-
ricane Katrina. Names cued readers into the After Hurricane Katrina, some Americans
victims’ race (Tanesha/Amanda and Tyrell/ felt that the residents of New Orleans who
Joshua). After reading the news story, par- stayed in the city during the storm did not
ticipants were asked to describe the emo- deserve help. After all, it seemed like they
tions the mothers were experiencing and decided to ignore officials’ orders to evacu-
whether they planned to volunteer or had ate. Whether we see someone as deserving
already volunteered time toward Hurricane help has important implications for our de-
Katrina relief efforts. sire to act on their behalf.
Of primary interest to the researchers Suppose you received a call asking you to
was the role of emotion in helping. They help elderly people who had just suffered a
distinguished between two types of emo- sharp reduction in income after losing their
tions—primary and secondary—to deter- jobs. Would it matter whether they lost
mine their relative effects. Primary emo- their jobs because they were caught stealing
tions are emotions that are a direct result and lying or because their work program
of an external cue. They are closely related was being phased out? A study of Wis-
to the situation at hand. For example, the consin residents who received such a call
moment an intimate relationship ends—the showed that respondents were more likely
breakup—causes a rush of emotion that can to help if the elderly people had become
be directly attributed to the breakup. You dependent because their program was cut
might experience sadness, hurt, and frus- than because they had been caught stealing
tration. Secondary emotions are the more (Schwartz & Fleishman, 1978).
enduring effects of these immediate emo- What matters in this situation is the po-
tions. The rush of sadness may give way to tential helpers’ causal attribution regarding
insecurity, anxiety, or depression. the origin of need (such attributions were
Results showed that participants in- covered in Chapter 6). Potential helpers
ferred similar primary emotions—sadness, respond more favorably when a person’s
distress, pain, fear, and so on—for in-group need is caused by circumstances beyond
and out-group members. In other words, his or her control. Such people are true
whether a Black or White participant read “innocent victims” who deserve help. In
the story of Tanesha or Amanda, they be- contrast, needs caused by a person’s own
lieved the mothers would feel similar lev- actions, misdeeds, or failings elicit little de-
els of sadness. However, when participants sire to help (Bryan & Davenport, 1968; Frey
were asked to rate secondary emotions— & Gaertner, 1986). For instance, one study
grief, sorrow, mourning, guilt, and so on— found that students were less sympathetic
differences emerged. Specifically, partic- and less likely to help a person who devel-
ipants inferred lower levels of secondary oped AIDS through promiscuous sexual
emotions to out-group members, thinking contact than through a blood transfusion
they would experience less grief than some- (Weiner, Perry, & Magnusson, 1988). In the
one in their in-group. Importantly, em- United States, we tend to commit the fun-
pathizing with someone in need based on damental attribution error (the tendency to
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overemphasize personality in making attri- din, & Piliavin, 1969). Shortly after the sub-
butions) and assume that those in need are way train left the station, a young man (a
somewhat to blame for their situation and confederate) collapsed to the floor and lay
to downplay or ignore the importance of staring at the ceiling during the seven-and-
circumstances outside of their control that a-half minute trip to the next station. In one
may have led to the need or made it difficult experimental condition, the man carried a
to overcome it. Needs thought to stem from cane and appeared crippled. In another
illegitimate sources—including individual condition, he carried a liquor bottle and
choices—undermine helping by inhibiting reeked of whiskey. Bystanders helped the
empathic concerns, blocking our sense of seemingly crippled man immediately but
normative obligation, and increasing the waited several minutes, on average, before
possibility of condemnation rather than so- helping the man who appeared drunk.
cial approval for helping.
Even in emergencies, potential helpers
are influenced by whether they consider norMatIve factorS
a victim deserving. Consider responses to In helPIng
an emergency staged by experimenters on
the New York City subway (Piliavin, Ro- Would you intervene in a heated argument
between a man and a woman you believe
are married? In one experiment (Shotland
& Straw, 1976), participants unexpectedly
witnessed a realistic fight between a man
and a woman in an elevator. The man at-
tacked the woman, shaking her violently,
while she struggled and resisted. In one
treatment, the man and woman were de-
picted as strangers; the woman screamed,
“Get away from me! I don’t know you!” In
the other treatment, she screamed, “Get
away from me! I don’t know why I ever mar-
ABC’s program What Would You Do puts ried you!” This simple variation greatly af-
unsuspecting people in situations in which they
fected the participants’ propensity to help.
can either intervene to help or choose to ignore
someone in need. In one episode, What Would Whereas 65% of the subjects intervened in
You Do had an actor—dressed like a homeless the stranger fight, fewer than 20% inter-
man—fall to the ground on a busy sidewalk. vened in the married fight.
Although people stopped more quickly when This difference may have been due, in
the person who fell was a well-dressed woman, part, to the participants’ perceptions of a
a number of onlookers did call 911 for the man.
However, when the same man fell to the ground
greater likelihood of injury to the woman in
with a beer can in his hand, only one woman, the stranger fight than in the married fight.
named Linda Hamilton, stopped. She tried to get They assumed that an attack by a stranger
other people’s attention, to no avail. Hamilton, might progress further than an attack by a
who is sometimes homeless herself, then threw the husband. However, this reticence may have
beer can away, hoping it would elicit more help.
also been due to normative expectations.
After she realized that passersby would not stop on
their own, she explicitly asked a woman to call 911. The participants who witnessed the mar-
Immediately after this second woman stopped, ried fight said they hesitated to take action
others also came to the man’s aid. © ABC News because they were not sure their help was
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wanted. Almost all the participants who 1972). For example, Simmons (1991) re-
did not intervene said they felt the fight ports the words of a bone marrow donor
was “none of my business.” Clearly, “wife” prior to giving: “This is a life and death sit-
and “husband” are social roles, and some uation and you must do anything you can
widely understood norms regulate the re- to help that person, whether it is family,
lations between wives and husbands (and friends, or [someone] unknown” (p. 14).
outsiders). One of these is that, except in The word “must” in this statement suggests
the case of physical abuse, outsiders should that a norm is operative.
basically mind their own business and let Applicable in many situations, the so-
married couples resolve disputes as they cial responsibility norm is readily activated.
will. When the woman in the elevator iden- Some research suggests that simply inform-
tified herself as the man’s wife, this norm ing individuals that another person—even a
suddenly became relevant and changed the stranger—is dependent on them is enough
meaning of intervention. To intervene in to elicit help (Berkowitz, Klanderman, &
the fight would be an intrusion on the mar- Harris, 1964). Recognize, however, that
ital relationship and might invite reprisals there are stronger and weaker versions of
from the husband, the wife, or both. In fact, the social responsibility norm. Whereas the
participants who thought the attacker was norm that we must help dependent kin or
the woman’s husband believed he was more needy friends is widely held, the belief that
likely to attack them if they intervened than we must help needy strangers or unknown
did participants who believed the attacker persons is not so universally accepted. Al-
was a stranger. This fear of eliciting an at- though the awareness of a stranger’s depen-
tack on oneself when intervening makes dency will sometimes elicit help, it does not
men—who see themselves as more able to always do so. Speeding passersby, for exam-
protect themselves in such an attack—more ple, frequently disregard stranded motor-
likely to intervene when they see a woman ists they notice on the roadside. Bystanders
being abused than other women are (Laner, watch, apparently fascinated but immobile,
Benin, & Ventrone, 2001). during rapes and other assaults. Thousands
of people reject charity appeals every day.
Norms of Responsibility and Reciprocity Some theorists have suggested that
the social responsibility norm effectively
Cultural norms mandate helping as ap- motivates helping only when people are
propriate under some conditions, and they expressly reminded of it. In a test of this
define it as inappropriate under others. hypothesis (Darley & Batson, 1973), theo-
When mandated as appropriate, helping logical students were asked to write and
becomes an approved behavior, supported record a talk. Some students prepared re-
by social sanctions. Broad social norms in- marks on the parable of the Good Samar-
dicate when helping is appropriate. itan, others wrote about job opportunities.
On the way to record their talk, the stu-
Social Responsibility Norm. The social dents passed a man slumped in a doorway.
responsibility norm is a general norm Although the students who wrote about the
stating that individuals should help others Good Samaritan were presumably think-
who are dependent on them. People often ing about the virtues of altruism as they
mention their sense of what they “ought to passed the man, they helped the stranger
do”—their internalized standards—when only slightly more than the students who
asked why they offer to help (Berkowitz, had prepared a talk on the unrelated topic.
9780813349503.indb 354 5/16/14 1:50 PM

These findings suggest that the social re- Mayseless, Peri, & Chemerinski, 1985). That
sponsibility norm is a fairly weak source of said, people do not reciprocate every bene-
motivation to help and is easily negated by fit they receive. Whether we feel obligated
the costs of helping. to reciprocate depends in part on the inten-
tions we attribute to the person who helped
The Norm of Reciprocity. Another cul- us. We feel more obligated to reciprocate if
tural standard, the norm of reciprocity, we perceive that the original help was given
states that people should (1) help those who voluntarily rather than coerced and that it
have helped them and (2) not help those was chosen consciously rather than acci-
who have denied them help for no legiti- dentally (Gergen et al., 1975; Greenberg &
mate reason (Schroeder et al., 1995; Triv- Frisch, 1972).
ers, 1983). Imagine your roommate’s car
has broken down and he asks you for a ride Personal Norms
to the grocery store to pick up a few things.
You are much more likely to help him if he Although broad norms like social respon-
did a favor for you the last time you needed sibility and reciprocity undoubtedly affect
one. However, if he turned down a previous helping behavior, they are, by themselves,
request to help you—say, when you needed inadequate bases from which to predict the
a ride to campus from the bus station af- occurrence of helping behavior with pre-
ter returning from winter break—you are cision. There are several reasons for this.
much less likely to agree. This reciprocity First, given the wide variety of contingen-
norm applies to anyone who has previously cies that people encounter, these norms are
received some benefit from another. The simply too general to dictate our behavior
norm is found in different cultures around with any precision in all cases. Second, not
the world (Gergen, Ellsworth, Maslach, & everyone in society accepts these norms to
Siepel, 1975). Small kindnesses that create the same degree; some individuals internal-
the conditions for reciprocity are a com- ize them to a greater extent than others do.
mon feature of family, friendship, and work Third, the social norms that apply to any
relationships. given situation occasionally conflict with
People not only report that the reci- one another; the social responsibility norm
procity norm influences their behavior; may obligate us to help an abused wife, for
behavioral studies have actually demon- example, but the widely accepted norm
strated reciprocity in action (Bar-Tal, 1976; against meddling in others’ marriages tells
Wilke & Lanzetta, 1982). Reciprocity is es- us not to intervene.
pecially likely when the person expects to In response to these criticisms, a differ-
see the helper again (Carnevale, Pruitt, & ent type of normative theory has been de-
Carrington, 1982). People try to match the veloped by social psychologists (Schwartz &
amount of help they give to the quantity Howard, 1981, 1984). This theory explains
they received earlier. By matching benefits, not only the conditions under which norms
people maintain equity in their relation- are likely to motivate helping but also indi-
ships and avoid becoming overly indebted vidual differences in helping in particular
to others. Understanding the norm of rec- situations. Instead of dealing with broad so-
iprocity, those in need are less likely to ask cial norms, this theory focuses on personal
for help when they believe they will not be norms—feelings of moral obligation to per-
able to repay the aid in some form (Fisher, form specific actions that stem from an in-
Nadler, & Whitcher-Alagna, 1982; Nadler, dividual’s internalized system of values.
9780813349503.indb 355 5/16/14 1:50 PM

For example, a survey on medical trans- 1986). In a study of people who had been
plants might ask, “If a stranger needed a publicly recognized as heroes by the state
bone marrow transplant, and you were a of California (that is, persons who had in-
suitable donor, would you feel a moral ob- tervened to protect someone during a dan-
ligation to donate bone marrow?” This sur- gerous criminal act, such as a mugging or
vey would then be followed by an apparently bank robbery), all of the heroes but one was
unrelated encounter with a representative a man (Huston, Ruggiero, Conner, & Geis,
of an organization who would ask these in- 1981). Acting heroically by confronting risk
dividuals for help. In various studies, indi- and danger is often considered part of the
viduals’ personal norms have predicted dif- traditional male role. Women, however, are
ferences in their willingness to donate bone more likely to help in situations requiring
marrow or blood, to tutor blind children, nurturance, caretaking, and emotional sup-
to work for increased welfare payments for port. Women are more likely to help chil-
the needy (Schwartz & Howard, 1982), and dren they witness being abused than men
to participate in community recycling pro- are (Laner, Benin, & Ventrone, 2001) and
grams (Hopper & Nielsen, 1991). women care for children and aging parents
These personal norms may stem from role more on a day-to-day basis than men do,
identities (Piliavin, Grube, & Callero, 2002). fulfilling an important help-giving function
We are driven to act in ways consistent with (Brody, 2004). Women are also more likely
our identities to experience ourselves as au- than men to provide their friends with per-
thentic and to uphold those identities (see sonal favors, emotional support, and infor-
Chapter 4). For example, a religious per- mational counseling (Eisenberg & Fabes,
son might help because it is “the Christian 1991; Otten, Penner, & Waugh, 1988).
thing to do” or because they believe in the
golden rule: “Do unto others as you would
like done to you.” Similarly, someone who SItuatIonal InfluenceS
has adopted an identity as a “blood donor” is
more likely to give blood than someone who Prosocial behavior is influenced by not only
has not (Piliavin & Callero, 1991). Helping is normative factors but also situational in-
most likely to occur when conditions simul- fluences on potential helpers. For example,
taneously foster the activation of personal we are more likely to help when we feel we
norms and suppress any defenses that might have time to. In the earlier study of theo-
neutralize personal norms. logical students who were on their way to
give a speech on the parable of the Good
Gender Norms Samaritan (Darley & Batson, 1973), being
in a hurry had a much stronger effect on
Although there are not significant gender whether the students stopped to help than
differences in how much people help, there the topic of the speech did. Students who
are significant differences in the ways men were in a hurry offered much less help than
and women help. These differences are those who were not, in part because they
related to gender role norms and expec- felt a sense of social responsibility toward
tations (Piliavin & Unger, 1985). For ex- those who were waiting on them (Batson
ample, research findings suggest that men et al., 1978). In this section we consider a
are more likely than women to intervene handful of other such factors: experiences
and offer assistance in emergency situa- with models of helping, mood, and the po-
tions that entail danger (Eagly & Crowley, tential costs of helping (or not).
9780813349503.indb 356 5/16/14 1:50 PM

Modeling ing—a consideration that is especially im-

portant in situations involving danger. By
An important factor that affects helping offering help under conditions of danger
and aggression is the presence of behavioral or potential damage to self, models demon-
models—someone else who is helping. The strate to others that the risks incurred are
presence of a behavioral model tends to intolerable or justified.
crease helping for several reasons. First, a
model demonstrates what kinds of actions Mood
are possible or effective in the situation. Oth-
ers who previously did not know how to help As discussed in Chapter 5, a mood is a
can emulate the model. As an example, even transitory feeling, such as being happy and
if a young college student wants to help a elated or being frustrated and depressed.
stranded motorist on the highway, he or she Both good and bad moods can help or hin-
might not know anything about cars and, der a person’s likelihood of helping another.
therefore, be unsure of how they might help
the motorist. However, if the student had Good Moods and Helping. When indi-
previously been in a car with someone else viduals are in a good mood, they are more
who, in a similar instance, made note of the likely to help others than when they are
mile marker and pulled out their cell phone in a neutral mood (Salovey, Mayer, & Ro-
and called highway patrol to notify the police senhan, 1991). Good moods promote both
of the stranded motorist and their location, spontaneous helping and compliance with
the student would have a model of a possible requests for help. There are several reasons
behavior and would be more likely to respond that being in a good mood increases our
similarly if a comparable situation occurred. propensity to help others (Carlson, Char-
Second, a helping model conveys the lin, & Miller, 1988). First, people who are
message that to offer help is appropriate in in a good mood are less preoccupied with
the particular situation. A model may, for themselves and less concerned with their
example, increase the salience of the social own problems. This allows them to focus
responsibility norm. Once aware of this more attention on the needs and problems
norm, others may decide to help. A popu- of others, which, through empathy, often
lar series of insurance commercials demon- leads to helping. Second, people in a good
strated this nicely, showing the sense of mood often feel relatively fortunate com-
responsibility spreading through the city. pared to others who are deprived. They
It begins with a mother watching as a man recognize that their good fortune is out of
stops to pick up her child’s toy. She makes balance with others’ needs, and to restore
note of this and, later, in a restaurant, balance, they use their resources to help
pushes a coffee cup—teetering on the edge others (Rosenhan, Salovey, & Hargis, 1981).
of a table and at risk of falling—back toward Third, people in a good mood tend to see
the center of the table. A passerby witnesses the world in a positive light and want to
this act of kindness and later stops to help a retain the warm glow of happiness. Thus,
man up from a wet sidewalk. The commer- if they can maintain or even increase their
cial continues through a long series of mod- own positive feelings through prosocial be-
els and observers who eventually become havior, they will do so.
models for another observer. That said, good moods may also inhibit
Finally, a model provides information helping in particular situations. Those in a
about the costs and risks involved in help- good mood may avoid forms of helping that
9780813349503.indb 357 5/16/14 1:50 PM

involve unpleasant or embarrassing activi- the effect is the same. However, two im-
ties that threaten to interrupt or end their portant implications of this hypothesis are
good mood (Cunningham, Steinberg, & that (1) a negative mood will only motivate
Grev, 1980). helping if people believe that doing so will
improve their mood (Manucia, Baumann,
Bad Moods and Helping. The effects of a & Cialdini, 1984), and (2) they will only help
bad mood—feeling sad or depressed—can if there is not an accessible alternative way
have rather complex effects on helping. Un- to relieve the bad mood (Schaller & Ciald-
der some conditions, a bad mood inhibits ini, 1988).
helping. Under other conditions, however,
it promotes helping (Carlson & Miller, Costs
1987; Rosenhan, Salovey, & Hargis, 1981).
Bad moods can suppress helping for When making a decision to help, people
several reasons. First, a bad mood has an usually make a calculation about the po-
impact on the salience of others’ needs. In tential costs and benefits of their action.
contrast to those in a good mood, people in Cost calculations for helping involve both
a bad mood are concerned about their own the costs to the helper and the needs of the
problems and less likely to notice others’ victim. Helpers may be willing to endure
needs than are people in a neutral or good higher costs to themselves if the costs to the
mood. When others’ needs do not grab the victim of not receiving help are extremely
attention of a potential helper, help is less high (Dovidio et al., 1991; Piliavin et al.,
likely to be given (Aderman & Berkow- 1981). Jennifer Byer realized that Colin
itz, 1983; Rogers, Miller, Mayer, & Duval, would likely die if she did nothing. This po-
1982). Second, people in a bad mood often tential cost was so great that she was will-
see themselves as less fortunate than oth- ing to take the risk of falling into the frozen
ers. Feeling relatively impoverished, they river herself to prevent it.
may resist using their own resources to help Bystanders often take into account sev-
others, lest they become even more disad- eral kinds of costs to themselves in emer-
vantaged (Rosenhan et al., 1981). gency situations. First, bystanders consider
Conversely, bad moods can sometimes the cost of giving direct help. This includes
increase helping. One explanation for this the costs to them if they offer help—lost
is the negative-state relief hypothesis (Cial- time, exposure to danger, expenditure of
dini, Kendrick, & Baumann, 1982; Cialdini effort, exposure to disgusting experiences,
et al., 1987). This hypothesis assumes that and the like. Second, bystanders consider
(1) individuals experiencing unpleasant the cost of not giving help. Costs borne by
feelings will be motivated to reduce them, the bystanders if the victim receives no help
and (2) people have learned since childhood include the burden of unpleasant emotional
that helping others will improve their own arousal while witnessing another’s suffering
mood, often through the receipt of thanks and the costs associated with one’s personal
or praise. The hypothesis predicts that peo- failure to act in the face of another’s need
ple in bad moods will help others to boost (self-blame, possible blame from others,
their own spirits. Although this is an ego- embarrassment, and the like).
istic rather than altruistic motive for help- Various studies have documented that
ing because individuals are offering help cost influences prosocial behavior. First,
primarily to relieve sadness in themselves research finds that the greater the cost to
rather than to relieve suffering in others, self of giving direct help, the less likely one
9780813349503.indb 358 5/16/14 1:50 PM

forming bodybuilder, the less likely people

were to help the bewildered man.
byStander InterventIon In
eMergency SItuatIonS
Some of the earliest and most interesting

social psychological research on helping
was inspired by the tragic murder of a young
woman named Catherine (Kitty) Genovese.
Shortly before 3:20 a.m. on March 13, 1964,
Would you intervene here? High potential costs
inhibit bystander intervention in this fight. Most Kitty was attacked near her home. Mil-
bystanders would feel little responsibility for ton Hatch awoke at the first scream. Star-
either man and would wish to avoid entanglement ing from his apartment window, he saw a
in the fight that is still in progress. © Cathy woman kneeling on the sidewalk directly
Yeulet/123rf across the street and a small man stand-
ing over her. “Help me! Help me! Oh, God,
is to help (Darley & Batson, 1973; Shotland he’s stabbed me!” she cried. Leaning out
& Straw, 1976). This was demonstrated, for his window, Hatch shouted, “Let that girl
instance, in a study conducted in the New alone!” As other windows opened and lights
York City subway (Allen, 1972). Aboard went on, the assailant fled in his car. No
a subway car, a bewildered-looking man one called the police. With many eyes now
asked the participant (a passenger) whether following her, Kitty dragged herself along
the train was going uptown or downtown. the street—but not quickly enough. More
The man in the neighboring seat—a muscu- than ten minutes passed before the neigh-
lar type reading a bodybuilding magazine— bors saw her assailant reappear, hunting for
responded quickly but gave an obviously her. When he stabbed her a second time,
wrong answer. Both the bewildered man she screamed, “I’m dying! I’m dying!” Still,
and the bodybuilder were confederates. no one called the police. The third, fatal
The participant could help by correcting attack occurred in the vestibule of a build-
this misinformation, but only at the risk ing a few doors from Kitty’s own entrance.
of challenging the bodybuilder. Whether Finally, at 3:55—35 minutes after Kitty’s
the participants helped depended on how first scream—Harold Klein, who lived at
threatening the bodybuilder appeared to the top of the stairs where Kitty was mur-
be. Threat was manipulated by varying dered, called the police. The first patrol car
his reaction to an incident a minute be- arrived within two minutes, but by then it
fore. When the bodybuilder had previously was too late (Seedman & Hellman, 1975).
threatened physical harm to a person who It was subsequently discovered that a total
had stumbled over his outstretched feet, of 38 people had witnessed the stalking and
only 16% of the participants helped. When stabbing.
the bodybuilder had only insulted and em- The tragic story quickly became front
barrassed the stumbler, 28% helped. When page news in New York and across the
the bodybuilder had given no reaction to the country, setting off a flurry of social psy-
stumbler, 52% helped. Thus, the greater the chological research. The fundamental ques-
anticipated cost of antagonizing the misin- tions raised by Kitty’s murder were, “Under
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what conditions will bystanders and wit- 3. The bystander must decide that they
nesses intervene in an emergency and give have some personal responsibility in
help?” and, “Why do people help in some the situation. One famous study cre-
emergency situations but not in others?” In ated a situation at a beach where the
this section, we will consider this issue in researchers staged the theft of a radio
detail and look at various factors that influ- while its owner was swimming. Most
ence whether a bystander will help a victim. people—about 80%—did nothing to
try to stop the thief or to intervene
The Decision to Intervene in any manner. However, when the
owner of the radio asked the person
The term bystander intervention denotes next to her to keep an eye on the radio
a (quick) response by a person witnessing while she was swimming, almost all of
an emergency to help another who is en- them confronted the person stealing
dangered by events. Whether and how to the radio (Moriarty, 1975). Once they
intervene in an emergency is a complex had taken on the responsibility for the
decision because providing assistance often radio, they were much more likely to
places the helper in considerable danger. act to help the victim. If bystanders
These decisions require integration of a interpret the situation to be “none of
great deal of information about self and the their business,” they will not respond.
environment. Given that there is not time 4. The bystander must believe that they
to accurately assess the situation, it is not know how to help. Sometimes, the
particularly difficult for the decision-mak- assistance required is something very
ing process to break down and prevent simple, like dialing 911 for assistance.
emergency intervention. Latané and Dar- Other times, the situation is more
ley (1970) produced a model of this deci- complex. When witnessing an epileptic
sion-making process made up of five steps. seizure, most people have no idea how
If any of these steps fail, the decision-mak- to respond, and so they do nothing.
ing process ends and the bystander does not People with medical training are much
provide assistance. more likely to attempt to provide assis-
tance at accident sites than are those
1. The bystander must notice the situa- without medical knowhow (Cramer,
tion. Some studies have manipulated McMaster, Bartell, & Dragna, 1988).
how preoccupied potential helpers 5. The bystander must make the deci-
were, and unsurprisingly, those who sion to act. Even if all of the first four
were more caught up in their own conditions are fulfilled, people often
thoughts were less likely to notice the will hesitate to act because they are
emergency situation and, therefore, afraid of negative consequences to
less likely to respond (Darley & Bat- themselves. Typically, people engage
son, 1973). in some kind of risk calculation be-
2. Once the bystander has noticed the fore they act in emergency situations
situation, he or she must interpret it (Fritzsche, Finkelstein, & Penner,
as an emergency. Most emergency 2000). For example, we are often hesi-
situations are quite ambiguous, and tant to break up a fight between other
failure to interpret them as emergen- individuals because we are afraid of
cies will produce inaction among by- getting hurt accidentally—or even that
standers. the two combatants will turn on us.
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1. Does the bystander notice DOES NOT in a discussion over an intercom suddenly
NO GIVE
that something is happening?
HELP heard someone in the group begin to choke,
YES
gasp, and call for help, apparently gripped
by an epileptic seizure.
2. Does the bystander interpret the DOES NOT In each experiment, the number of peo-
NO GIVE ple who were supposedly present when the
situation as an emergency HELP
requiring help? emergency occurred varied. Participants
either believed they were alone with the
YES
victim or that one or more bystanders were
DOES NOT present. Time and again, the same finding
3. Does the bystander assume NO GIVE
personal responsibility? HELP emerged: As the number of bystanders in-
creased, the likelihood that any one of them
YES would help decreased (Latané & Nida,
DOES NOT 1981). Bystanders helped most often and
4. Does the bystander know the
appropriate form of assistance?
NO GIVE most quickly when they were alone with
HELP
the victim. In other words, simply knowing
YES that other potential helpers were also pres-
DOES NOT
ent inhibited intervention in an emergency.
5. Does the bystander implement
NO GIVE Furthermore, as the number of bystanders
the chosen form of assistance? HELP
increases, the likelihood that any one by-
YES stander will help a victim decreases. Social
psychologists termed this the bystander
GIVES HELP effect.
Theorists have identified several distinct
FIgure 10.1 Decisions leading to intervention processes that contribute to the bystander
in an emergency effect. These include social influence re-
garding the interpretation of the situation,
evaluation apprehension, and diffusion of
The Bystander Effect responsibility (Latané, Nida, & Wilson,
1981; Piliavin et al., 1981). Each of these
In emergency situations, potential help- processes affects specific steps in the deci-
ers are influenced by their relationship to sion-making process.
other bystanders (Dovidio, 1984; Latané &
Darley, 1970). This influence is apparent at Interpreting the Situation. One important
each step in the decision-making process. element of emergencies is the ambiguity of
To investigate the nature of bystander in- the situation. In retrospect, the Kitty Geno-
fluence, researchers conducted a variety of vese situation does not seem that ambigu-
laboratory studies that simulated emergen- ous at all, but in the heat of the moment,
cies of one kind or another. For instance, people are often not certain how to re-
in an early experiment (Latané & Rodin, spond to unusual situations. Was she really
1969), participants heard a loud crash from stabbed? Is this a domestic argument that is
the room next door, followed by a woman being dramatized to embarrass one party?
screaming, “Oh my God, my foot! I . . . can’t Is she acting as bait so the two of them can
move it. Oh my ankle. I . . . can’t get this mug someone else? These and other ques-
thing off me.” In another experiment (Dar- tions delay reactions and stall a decision to
ley & Latané, 1968), participants engaged act. During that pause, people look to the
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100
is on one another. This effect is illustrated
in Figure 10.2, using data from an experi-
PERCENT WHO HELPED
80 ment in which a false epileptic seizure was

60 portrayed. However, consistent with this
explanation, increasing the number of by-
40
Lone Bystanders standers does not inhibit individual helping
Two Bystanders
20 Five Bystanders under certain conditions, such as (1) when
observation reveals that others are indeed
0 30 60 90 120 150 180 210 240
alarmed (Darley, Teger, & Lewis, 1973),
SECONDS FROM BEGINNING OF SEIZURE
and (2) when the need for help is so unam-
biguous that others’ reactions are unneces-
FIgure 10.2 The Bystander effect
sary to define the situation (Clark & Word,
Students who were discussing, via intercom, their ad- 1972).
justment to college life heard one participant begin to
choke, then gasp and call for help, as if he were under-
going a serious nervous seizure. Students intervened to
Evaluation Apprehension. Bystanders
help the victim most quickly and most often when they are not only interested in others’ reactions;
believed they were the lone bystander to witness the they also realize that other bystanders are
emergency. More than 90% of lone bystanders helped an audience for their own reactions. As a
within the first 90 seconds after the seizure. Among result, bystanders may feel evaluation ap-
those who believed other bystanders were present, prehension—concern about what others
however, fewer than 50% intervened in the first two expect of them and how others will evalu-
minutes and fewer than 70% did so even after four
ate their behavior. Evaluation apprehension
minutes. The bystander effect refers to the fact that the
greater the number of bystanders in an emergency, the
can either inhibit or promote helping. On
less likely any one bystander will help. the one hand, evaluation apprehension in-
hibits helping when bystanders fear that
Source: Adapted from darley and Latane, “Bystander Inter-
vention in Emergencies: diffusion of Responsibility,” Journal
others will view their intervention as fool-
of Personality and Social Psychology, 8, 377–383. Copyright ish, inappropriate, or wrong. When they
1968 by the American Psychological Association. see that other witnesses to an emergency
are not reacting (as in the Kitty Genovese
reactions of others for cues about what is case), they may infer that the others do not
going on and how to react. If others appear see a need to intervene or might even op-
calm, the bystander may decide that noth- pose intervention. In the decision-making
ing special is happening or that whatever is sequence, evaluation apprehension mainly
happening requires no help. Likewise, the affects step 4 (choosing a way to react) and
failure of others to act may signal to the step 5 (deciding whether to implement
bystander that there is no appropriate way a chosen course of action). On the other
to help. In this way, they inhibit each other hand, evaluation apprehension promotes
from helping. helping if there are no cues to suggest that
Bystanders often try to appear calm, other witnesses oppose intervention or if
avoiding overt signs of worry until they see there is a sense of mutual awareness that
whether others are alarmed. Through such some intervention is necessary (Schwartz &
cautiousness, onlookers unintentionally Gottlieb, 1976).
encourage one another to define the sit-
uation as not problematic. The larger the Diffusion of Responsibility. When one
number of apparently unruffled bystand- and only one bystander witnesses an emer-
ers, the stronger their inhibiting influence gency, the responsibility to intervene is fo-
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cused wholly on that individual. But when to another. If the norm of reciprocity is sa-
there are multiple bystanders, the responsi- lient in the situation, the person receiving
bility to intervene is shared, as is the blame help may feel obligated or indebted to the
if the victim is not helped. Therefore, a helper (Greenberg & Westcott, 1983). In
witness is less likely to intervene when oth- consequence, needy persons (in nonemer-
ers are present. The process wherein a by- gency situations) sometimes experience a
stander does not take action because others dilemma. On the one hand, they can ask
share the responsibility for intervening is for help and possibly endure some embar-
called diffusion of responsibility. In the rassment or social obligation; on the other
decision sequence, diffusion of responsibil- hand, they can suffer through the difficul-
ity operates primarily as step 3 (bystander ties of trying to solve their problems on
decides whether he or she has the respon- their own (Gross & McMullen, 1983). In
sibility to act). cases in which the recipient has the oppor-
Diffusion of responsibility occurs only tunity and ability to reciprocate, there may
when a bystander believes that the other be no problem. But in cases in which this
witnesses are capable of helping. We dif- is more difficult, it may create a lingering
fuse responsibility less to witnesses who sense of indebtedness in the needy toward
are too far away to take effective action or the helper (Nadler, 1991; Wills, 1992), and
who are too young to cope with the emer- they may develop resentment and negative
gency (Bickman, 1971; Ross, 1971). Simi- sentiments toward the benefactor (Clark,
larly, the tendency to diffuse responsibility Gotay, & Mills, 1974; Gross & Latané, 1974).
is particularly strong if a bystander feels less
competent than others who are present. Threats to Self-Esteem. In studying peo-
Bystanders helped less, for example, when ple’s reactions to receiving help, theorists
one of the other witnesses to a seizure was a have proposed that an important deter-
premed student with experience working in minant of whether help is appreciated or
an emergency ward (Pantin & Carver, 1982; resented is the extent to which the help
Schwartz & Clausen, 1970). undermines the recipient’s self-esteem
(Nadler, 1991; Nadler & Fisher, 1986; Shell
& Eisenberg, 1992). Although helping pro-
SeeKIng and receIvIng helP vides relief, it can also impair a recipient’s
self-esteem and sense of self-reliance. The
Although the bulk of this chapter focused avowed purpose of welfare, for instance, has
on giving help rather than receiving it, re- been to aid impoverished individuals and to
cipients’ reactions to receiving help—and help families escape hunger while they es-
people’s willingness to seek help in the first tablish themselves as self-supporting. Yet
place—are important topics that also de- welfare and other forms of assistance are
serve attention. It seems obvious that the sometimes given reluctantly or in ways that
generally expected response to helping is do not promote these outcomes. Intention-
gratitude and appreciation. But that is not ally or otherwise, helpers may communicate
always the case. In fact, help can elicit re- the message that those who need and accept
sentment, hostility, and anxiety. help are inferior in status and ability because
they fail to display self-reliance and achieve-
Help and Obligation. When help is sought ment (DePaulo & Fisher, 1980; Rosen, 1984).
and received, resources (such as labor and Taking help can cause embarrassment for
materials) are transferred from one person recipients because it challenges the norm of
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self-reliance: an expectation that individuals two specific types: philanthropy and volun-
should take care of themselves and their de- teering.
pendents. Similarly, students might be reti-
cent to ask for help for fear that their profes- Philanthropy. Charitable giving, or philan-
sor or peers will consider them incompetent thropy, includes both small-scale donations
or unintelligent. (dropping your change in the plastic con-
tainer at the grocery store counter) or large
Similarity of Help Provider. Surveys re- monetary donations (making a large gift to
garding help seeking for personal and psy- endow an annual scholarship at your local
chological problems indicate that we are university). Such giving is particularly prev-
most likely to ask people who are similar alent in churches and religious organiza-
to us for assistance. Wills (1992) finds that tions, in which there is a tithing norm that
persons looking for help of this type are encourages members to donate 10% of their
several times more likely to seek it from income to charity or the church. In part be-
friends, acquaintances, or family members cause of the large amount of religious chari-
than from professionals or strangers. table giving, the United States is considered
However, the helper’s similarity to the a “giving culture” (Wright, 2001). However,
recipient is a complex factor in help giving researchers suggest that this culture is sus-
and help seeking. Help that implies an im- tained, in part, because people in the United
portant inadequacy is often more threaten- Stated tend to feel that they have some-
ing to our self-esteem when we receive it thing to gain by giving, whether tax credits
from those who are similar to us in attitudes and deductions, enhanced social status, or
or background than from those who are something else.
dissimilar (Nadler, 1987; Nadler & Fisher, People are more likely to give when cer-
1984). Similarity can aggravate recipients’ tain factors are present. In addition to some
self-evaluations, because similar helpers are discussed earlier (for example, an awareness
relevant targets for self-comparison (say, “If of need and perceptions of deservingness),
we are both alike, why do I need help while research suggests that individuals’ are more
you can give it?”). People who accept aid motivated to donate money when they are
from helpers similar to themselves on a task directly asked to contribute. In other words,
central to their self-concept report lower we are more likely to give when we are ap-
self-esteem, less self-confidence, and more proached and made aware of the opportu-
personal threat than when they accept aid nity to give (Bryant, Jeon-Slaughter, Kang,
from dissimilar helpers (DePaulo, Nadler & & Tax, 2003). We are also more likely to
Fisher, 1983; Nadler, Fisher, & Ben-Itzhak, give when the organization who needs con-
1983). tributions reflects values that are similar
to our own and when we feel that our gift
can make an important difference (Par-
other forMS of sons, 2003). Giving not only helps charita-
ProSocIal behavIor ble organizations but has also been shown
to result in an enhanced mood—“a warm
Although much of this chapter focused glow”—after giving (Meier, 2006).
on helping specific others, there are more
organizationally based forms of prosocial Volunteering. Volunteering—freely giv-
behavior that are also of interest to social ing time for the benefit of another person,
psychologists. This final section highlights group, or organization—also benefits or-
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ganizations (Wilson, 2000). It has four dis- and will often help others for some type of
tinct attributes that set it apart from other reward. However, helping without inten-
forms of prosocial behavior: longevity (it is tion of benefit (altruism) typically stems
usually institutionalized, ongoing, and quite from humans’ ability to experience empa-
often repeated), planfulness (it is thought thy. Prosocial behavior may also be passed
out before being done), nonobligatory (it is from parent to child through evolutionary
not motivated by a concern for a specific in- processes that enhance the persistence of
dividual with whom one has a relationship), an individual’s genes in future generations.
and is done in an organizational context Even self-sacrifice can be beneficial in per-
(most volunteering is not an individual act- petuating one’s genes if targeted at those
ing alone) (Penner, 2002). who share genetic material. If the net costs
Certain qualities of individuals make are too high, however, they will not act.
them much more likely to volunteer. For
example, greater social integration—being Helpers and Targets. Many characteristics
embedded in social networks—increases of individuals affect the chance of receiv-
both the chances that someone will be ing help from another. Acquaintanceship
asked to volunteer and their likelihood of and liking of another person can increase
agreeing to do so (Penner, Dovidio, Pilia- the chances of helping behavior when that
vin, & Schroeder, 2005). Being socially in- person is in need. Similarity between ac-
tegrated might also give individuals greater tors and targets can substantially increase
awareness of problems that need attention. the chances of helping behavior. Potential
Research also suggests that those who are helpers also consider whether the target de-
married, religious, and/or well educated are serves help. Innocent individuals are more
more likely to volunteer, as are women and likely to receive help.
those of higher social classes (Wilson, 2000;
Wilson & Janoski, 1995; Wilson & Mu- The Contexts of Prosocial Behavior. Ex-
sick, 1997). Although findings are mixed, ternal factors, both norms and situational
it appears that volunteering is beneficial to influences, can have powerful effects on
one’s health, particularly mental health and prosocial behavior. We are more likely to
well-being (Greenfield & Marks, 2004). help those who are dependent on us (the
norm of social responsibility) and those
who have helped us in the past (the norm
SuMMary of reciprocity). Personal norms that facil-
itate helping and determine how we help
Prosocial behavior is any behavior that are often related to salient role and social
helps another. Helping is a specific type of identities, including gender. The presence
prosocial behavior that benefits others. Al- of a model who demonstrates prosocial be-
truism, another kind of prosocial behavior, havior facilitates helping. However, moods
is voluntary behavior intended to benefit have mixed effects. In deciding when to
another with no expectation of external re- help, we weigh the benefits and costs both
ward. This intent is an important compo- to the persons in need and to ourselves. In-
nent of altruism. dividuals can learn about the costs and ben-
efits through a social learning process.
Motivation to Help. Actors often engage in
some kind of calculation of costs and ben- Bystander Intervention in Emergency
efits before engaging in prosocial behavior Situations. Prior to actually giving help in
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emergencies, bystanders go through a de- Critical Thinking Skill:

cision sequence. A bystander must realize Creative Thinking
that something is happening, interpret the
situation as an emergency, decide that he Throughout this book, you have been ex-
or she has the responsibility to act, know or posed to research that may or may not re-
recognize an appropriate form of assistance, late to your personal experience. Although
and decide to implement the chosen behav- it might be interesting to you, you might ask
ior. Ambiguous social situations cause par- what you can or cannot do with that infor-
ticipants to look for cues that might lead mation in your own life.
toward helping. Depending on others for Take, for example, research suggesting
these cues can produce a failure to provide that heterosexual married couples who en-
help while everyone waits for cues from gage in prosocial behaviors, like small acts
others that action is required, known as the of kindness and displays of respect and af-
bystander effect. The more observers there fection, and who are willing to forgive each
are to an emergency, the less likely any one other’s faults or mistakes experienced more
person is to act because of a diffusion of re- marital satisfaction and were less likely to
sponsibility. imagine divorcing their partner (Dew &
Wilcox, 2013). You likely know people who
Seeking and Receiving Help. Help is not are married, so you could share this infor-
always sought after or easily accepted by the mation with them in hopes of improving
targets because they are sometimes reticent their relationship or helping to explain
to bear the obligations the help entails and why they are so happily married. But could
because the assistance may threaten their it have further-reaching influence? What
self-esteem. The more similar a target is to might you take from it if you are not mar-
a helper, the more embarrassing it may be ried?
to accept assistance. To engage in critical creative thinking,
we search for alternative applications of
Other Forms of Prosocial Behavior. Vol- what we have learned.
unteering and philanthropy are prosocial The most obvious application would be
behaviors that tend to benefit organizations to nonmarried couples. Whether cohabit-
rather than individuals. ing or simply dating, whether heterosexual
or same-sex, these same behaviors from
the Dew and Wilcox (2013) study likely
List of Key Terms and Concepts strengthen relationships and lessen the
chances of either person imagining ending
altruism (p. 345) the relationship. Can you think of examples
bystander effect (p. 361) of this?
bystander intervention (p. 360) But what about other types of relation-
diffusion of responsibility (p. 363) ships? Can you use these findings and the
egoism (p. 345) basis for them to enhance your platonic
empathy (p. 346) friendships or to create a better relationship
helping (p. 345) with your mother or your daughter? What
norm of reciprocity (p. 355) types of kindnesses, displays of respect, and
personal norms (p. 355) forgiveness would be applicable in those re-
prosocial behavior (p. 344) lationships? What about your relationships
social responsibility norm (p. 354) with your neighbors or coworkers? Could
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you share the findings with your employer relationship satisfaction and commitment
to help her think of ways she might increase was as strong or perhaps stronger in those
employee satisfaction and reduce turnover? couples (Carrington, 1999). However, even
Scientists often use this type of cre- if you are not planning to conduct your own
ative thinking to consider what questions research, you can benefit from this creative
to explore next. A sociologist reading this thinking as well. Considering alternative
research might consider recruiting a sam- applications not only helps you understand
ple of same-sex couples and asking similar the specific material but also encourages
questions to determine whether the rela- you to engage with the world in a deliberate
tionship between prosocial behaviors and and involved way.
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9780813349503.indb 368 5/16/14 1:50 PM
chaPter 11
AggrEssion
introduction 370 Stress 382
What is aggression? 370 aggressive cues 383
Aggression and the Motivation to Reducing Aggressive Behavior 384

harm 371 reducing frustration 384
aggression as instinct 371 Punishment 385
frustration-aggression hypothesis 372 nonaggressive models 385
aversive emotional arousal 374 catharsis 385
Social learning and aggression 375
Aggression in Society 386
Characteristics of targets that influence Sexual assault 386
Aggression 376
Pornography and Violence 390
Gender and race 376
media Violence and aggression 392
attribution of intention 377
Summary 395
retaliatory capacity 379
Situational impacts on Aggression 379
Potential rewards 379 Critical Thinking Skill: Applying Scientific
Research to Policy Decisions 396
modeling 380
norms 381
369
9780813349503.indb 369 5/16/14 1:50 PM

370 aggrEssIon
IntroductIon These disturbing incidents are stark

demonstrations of persons’ ability to inflict
• On April 16, 2007, a single gunman, a pain and death on others. How can we ac-
senior at Virginia Tech, entered a resi- count for such incidents and for the many
dence hall on campus and gunned down forms of aggression that commonly occur
two students. About two hours later, he in the United States and throughout the
entered the engineering building and world? These phenomena are the focus of
chained the doors shut. He proceeded to this chapter.
enter a classroom and ended up killing
32 people before he finally killed him- What Is Aggression?
self. One professor, Livi Librescu, held
the classroom door against the gunman’s Defining aggression seems simple: Aggres-
attempts to enter while his students es- sion is any behavior that hurts another,
caped out the window. He was killed by whether physically or emotionally. But fur-
bullets shot through the door he was ther thought makes us recognize it is not
holding shut. the outcome so much as the intention that
we must consider. We would not consider
• In November 2011, a 15-year-old-girl
a surgeon an aggressor if a heart transplant
was sexually assaulted at a party by four
patient died on the operating table despite
young men. One of the boys took pic-
heroic efforts to save the patient’s life. Fol-
tures of the assault that he passed on to
lowing Krebs (1982), we will define aggres-
his friends and their fellow schoolmates.
sion as any behavior intended to harm an-
The photos soon made their way onto so-
other person (the target). Importantly, this
cial media websites, including Facebook.
harm must be something the target wants
The girl in the photo, Rehtaeh Parsons,
to avoid. According to this definition, a
was taunted by her peers. She was bom-
bungled assassination is an act of aggres-
barded with texts and messages. Some
sion, whereas heart surgery—approved by
called her a slut, others asked to have sex
the patient and intended to improve his or
with her, some claimed she only cried
rape because she regretted that her ac-
tions became public. In April of 2013,
unable to handle the bullying anymore,
Rehtaeh committed suicide.
• Under investigation for murdering his
wife, Josh Powell was allowed a super-
vised visit with his two young sons, Char-
lie, 7, and Braden, 5. As soon as the so-
cial worker pulled up to the rental house
with his children, the boys ran toward the
front door, anxious to see their father.
Powell let the boys in, locked the social American culture tends to associate physical
worker out, and proceeded to attack the violence with aggression and ignores
psychological and emotional abuse as additional
boys with a hatchet. As the social worker
types of aggression. If social service agencies and
called to report him for locking her out, others can broaden individuals’ conception of
Powell set the house on fire, killing both abuse, they can encourage more victims to seek
his sons and himself in a murder-suicide. help. © miriam-doerr
9780813349503.indb 370 5/16/14 1:50 PM

aggrEssIon 371
her health—is clearly not aggression, even if Aggression as Instinct

the patient dies.
Aggression should not be equated with A deep history of psychological thought,
physical violence. Aggressive actions vary going back at least to Sigmund Freud (1930,
widely. The intended harm may be physical, 1950), has considered aggression to be a
psychological, or social—ranging from ho- basic human instinct—that is, an innate
micide or battery, to emotional abuse and behavior that seems to emerge even with-
cyber-bullying, to active neglect or harming out socialization or training. To Freud, the
a target’s reputation. innate urge to destroy is as natural as our
Drawing on research and theory, this need to breathe. This instinct constantly
chapter addresses the following questions: generates hostile impulses that demand
release. We often release these hostile im-
1. What motivates people to act pulses by aggressing against others, but we
aggressively? can also turn violently against ourselves
(suicide) or suffer internal distress (physical
2. How do characteristics of the target or mental illness).
influence aggression? If our aggressive impulses are innate, that
means they must be passed to us through
3. How do characteristics of the our genetic code and are a result of long
situation influence aggression? evolutionary processes. As discussed in ear-
lier chapters, evolutionary theories rely on
4. How can we reduce the frequency of the Darwinian principle of survival of the
aggressive behavior in society? fittest. According to Lorenz (1966, 1974),
the aggressive instinct has evolved because
5. What influences the incidence of it contributed to an animal’s survival. For
interpersonal aggression—abuse, instance, in many species, the strongest
bullying, assault, sexual assault, and and most aggressive animals occupy the
murder—in our society? top positions in the group’s social hierar-
chy. To fight for position in this hierarchy
is adaptive in a Darwinian sense, for it gives
aggreSSIon and the MotIvatIon the animal control over food, shelter, and
to harM other resources needed to survive as well as
access to mating partners.
As the examples in the introduction show, Proponents of instinct theories are pes-
human beings have a remarkable capacity simistic about the possibility of controlling
to harm others—even those they love or are human aggression. At best, they believe,
expected to protect. Why do people turn aggression can be channeled into approved
against others? What motivates human ag- competitive activities such as athletics, ac-
gression? There are at least four possible an- ademics, or business. In these types of ac-
swers: (1) people are instinctively aggressive; tivities, there are social rules to govern the
(2) people become aggressive in response to expression of aggression intended to pre-
events that are frustrating; (3) people ag- vent competition from degenerating into
gress against others as a result of aversive destructiveness. Quite often, however, so-
emotion; and (4) people learn to use aggres- cially approved competition stimulates ag-
sion as a means of obtaining what they want. gression: Football and hockey players start
This section considers each of these in turn. throwing punches, soccer fans riot violently,
9780813349503.indb 371 5/16/14 1:50 PM

372 aggrEssIon
and businesspeople destroy competitors or allowed some children to play with the toys
cheat the public through ruthless practices. immediately while others were made to wait
Although the propensity for aggression 20 minutes. The children who waited be-
can be passed through human generations haved much more destructively during play,
and aggression is common in social life, smashing the toys on the floor and against
most social psychologists have not seen the walls. Here, aggression is a direct re-
instinct theories of aggression as particu- sponse to frustration—that is, to the block-
larly useful. One reason is that generalizing ing of a goal-directed activity. By blocking
findings about animal behavior to human the children’s access to the tempting toys,
behavior is hazardous. Moreover, cross-cul- the researchers frustrated them. This, in
tural studies suggest that human aggression turn, elicited an aggressive drive that the
lacks two characteristics that are typical of children expressed by destroying the re-
instinctive behavior in animals—univer- searchers’ toys. More recent research sug-
sality and periodicity. The need to eat and gests that the link between frustration and
breathe, for example, are universal to all aggression may be an important cause for
members of a species. They are also peri- the positive link between video games and
odic, for they rise after deprivation and fall violence. More competitive games tend to
when satisfied. Aggression, in contrast, is increase aggressive behavior, supporting the
not universal in humans. It pervades some role of frustration—from losing in a com-
individuals and societies but is virtually ab- petitive situation—on increasing aggression
sent in others. Moreover, human aggression (Adachi & Willoughby, 2011).
is not periodic. The occurrence of human Several decades of research have led to
aggression is largely governed by specific modifications of the original hypothesis
social circumstances. Aggressive behavior (Berkowitz, 1978). First, studies have shown
does not increase when people have not ag- that frustration does not always produce
gressed for a long time or decrease after they aggressive responses (Zillman, 1979)—frus-
have recently aggressed. Thus, our biologi- trated individuals often restrain themselves
cal makeup provides only the capacity for due to fear of punishment. Take, for exam-
aggression, not an inevitable urge to aggress. ple, being laid off. Losing one’s job is a frus-
trating experience. Researchers predicted
Frustration-Aggression Hypothesis that small increases in layoffs would lead to
violence in communities. Large increases,
The second possible explanation for aggres- however, would lead to reduced violence
sive behavior is that aggression is an inter- because those still working would be afraid
nal state that is elicited by certain events. of being laid off for causing trouble (Cata-
The most famous view of aggression as an lano, Novaco, & McConnell, 1997). Data
elicited drive is the frustration-aggression from San Francisco supported these predic-
hypothesis (Dollard et al., 1939). This hy- tions. Frustration can also lead responses
pothesis asserts that (1) every frustration other than aggression, such as despair, de-
leads to some form of aggression and (2) pression, or withdrawal. Second, research
every aggressive act is due to some prior indicates that aggression can occur without
frustration. In contrast to instinct theories, prior frustration (Berkowitz, 1989). The
this hypothesis states that aggression is in- ruthless businessperson or scientist may
stigated by external, environmental events. attempt to sabotage competitors due to the
In one early demonstration (Barker, desire for wealth and fame, even though the
Dembo, & Lewin, 1941), researchers showed competitors have not blocked his or her
children a room full of attractive toys. They goal-directed activity.
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aggrEssIon 373
Aggressive acts often stem from frustration. Both the mother who yells at her children and a player who
yells at an umpire do so because they are frustrated, one with her children fighting and the other with the
umpire’s call. Left: © Ocean/Corbis; right: © Gabe Palmer/Corbis
The frustration-aggression hypothesis tration in another driver, blocking the driv-

implies that the nature of the frustration er’s attempt to reach a goal, such as arriving
influences the intensity of the resulting ag- on time for an appointment or securing an
gression. Two factors that intensify aggres- available parking spot. This frustration may
sion are the strength and the arbitrariness lead to many types of aggression. Social
of frustration. psychologists distinguish between driver
aggression (honking, tailing, making ob-
Strength of Frustration. The more we de- scene gestures) and driver violence (chasing
sire a goal and the closer we are to achieving the other car or its driver, throwing objects,
it, the more frustrated and aroused we be- or shooting at him or her). Mild frustration
come if blocked. If someone cuts ahead of tends to cause the former, whereas stronger
us just as we reach the front of a very long frustration causes the latter. Research finds
line, our frustration will be especially strong that men and women are equally likely to
and result in a more aggressive response report engaging in driver aggression in re-
than if we were further back. Researchers sponse to frustrating events, but only men
demonstrated this in a field experiment reported driver violence (Hennessy & Wie-
(Harris, 1974). They had confederates cut senthal, 2001).
ahead of people in lines at theaters, restau-
rants, and grocery checkout counters. The Arbitrariness of Frustration. People are
confederate cut in front of either the sec- also apt to feel more hostile when they
ond or the twelfth person in line. Observ- believe the frustration is arbitrary, unpro-
ers recorded the reactions of the person. As voked, or illegitimate than when they attri-
predicted, people at the front of the line re- bute it to a reasonable, accidental, or legit-
sponded more aggressively. They directed imate cause.
more than twice as many abusive remarks In a study demonstrating this principle,
toward the confederate than people at the researchers asked students to make appeals
back of the line. for a charity over the telephone (Kulick &
Cases of “road rage” also exemplify the Brown, 1979). The students were frustrated
frustration-aggression hypothesis and the by refusals from all the potential donors (in
relationship between the intensity of frus- reality, confederates). In the legitimate frus-
tration and intensity of aggression. Road tration condition, potential donors offered
rage most commonly occurs when one mo- good reasons for refusing (such as “I just lost
torist engages in a behavior that causes frus- my job”). In the illegitimate frustration con-
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374 aggrEssIon
Angry Arousal
Aggression
1
50
0.8
LEVEL OF VERBAL AGGRESSION BY CALLER

45
FORCE USED IN HANGING UP PHONE
0.6
40
0.4
35
0.2
0 30
Legitimate Illegitimate Legitimate Illegitimate
LEGITIMACY OF FRUSTRATION
FIgure 11.1 effect of legitimacy of Frustration on Aggressive Responses

Source: Adapted from “Frustration, Attribution of Blame, and Aggression” by Kulick and Brown, Journal of Experimental Social
Psychology, 15: 183–194. Copyright 1979, with permission from Elsevier.
dition, they offered weak, arbitrary reasons actions by others and unavoidable accidents
(such as “charities are a rip-off”). As shown could trigger aggressive reactions. Physical
in Figure 11.1, individuals exposed to ille- pain, such as stubbing one’s toe, and verbal
gitimate frustration were more emotionally and physical attacks can arouse us and elicit
aroused than those exposed to legitimate an aggressive response. Insults—especially
frustration. They also directed more verbal those involving traits that we value, per-
aggression against the potential donors. haps intelligence, honesty, ethnicity, or at-
tractiveness—can also provoke aggression.
Aversive Emotional Arousal Repeated insults and bullying by classmates
contributed to Columbine and other more
In the eight decades since the original state- recent school shootings by students.
ment of the frustration-aggression hypoth- Accidents, attacks, and insults tend to
esis, research has identified several other increase aggression because they all arouse
causes of aggression. In one study, commu- aversive affect—negative emotion that
nity residents and university students were people seek to reduce or eliminate (Ber-
asked what events upset or angered them kowitz, 1989). When persons act aggres-
(Averill, 1982). Some replied that legitimate sively in response to this negative affect, the
9780813349503.indb 374 5/16/14 1:50 PM

aggrEssIon 375
aggression is often instrumental. That is, it more aggressive toward the doll than those
is intended to reduce or eliminate the cause who had observed a nonaggressive model.
of the affect. Often, this affect is anger, but They engaged in aggressive behavior such as
it can be pain or other types of discomfort. kicking the doll and made comments simi-
For example, one of the reasons violence is lar to those they had observed.
higher in the summer months is because Many children learn aggressive behavior
the higher temperatures produce discom- from their parents. Indeed, 90% of parents
fort and people look for a way to discharge in the United States report using physical
this aversive affect (Anderson, Anderson, punishment to discipline their children
& Deuser, 1996). Turning on the air con- (see Chapter 3). Children who are spanked
ditioner, yelling at your little sister, kicking or slapped for transgressions are learning
the dog, or shooting someone who insults that if someone’s behavior breaks rules
you are instrumental actions to deal with or makes you angry, it is okay to punish
the discomfort. them physically. A longitudinal study of
Aggression resulting from aversive affect 717 boys found that boys who experienced
is called affective aggression. Affective ag- harsh parenting practices at ages 10 to 12
gression is more common among persons were more likely to be involved in violent
who believe that acting aggressively will dating relationships at age 16 (Lavoie et al.,
make them feel better. If someone believes 2002). Much of the other aggressive behav-
that acting aggressively will not decrease ior within the family—child abuse, intimate
the discomfort or negative affect, he or she partner abuse, or sibling abuse—can also be
will engage in other instrumental actions. explained with social learning theory. Peo-
ple who abuse their intimate partners or
Social Learning and Aggression children often grew up in families in which
they either witnessed or were the targets of
Social learning theories provide a fourth ex- abuse (Gelles & Cornell, 1990). Growing up
planation for aggressive behavior. Two pro- in a family in which some members abuse
cesses by which aggression can be learned others teaches the child that not only is it
are imitation and reinforcement. acceptable to engage in physical aggression
but that occupants of certain roles—such as
Imitation. Many people learn their aggres- husbands, girlfriends, or children—are also
sive behaviors by observing others commit appropriate targets for aggression.
aggressive acts and then enacting these
same behaviors themselves. In one exper- Reinforcement. Social learning theory
iment, children observed an adult playing holds that aggressive responses are acquired
with a five-foot-tall, inflated rubber Bobo and maintained—like any other social be-
doll (Bandura, Ross, & Ross, 1961). In one havior—through experiences of reinforce-
experimental condition, the adult engaged ment and reward (Bandura, 1973). Individ-
in aggressive behavior toward the doll, in- uals learn early on that aggression can be
cluding punching and kicking it and sitting associated with desired outcomes, thereby
on it. These actions, accompanied by the reinforcing the behavior. Muggers may at-
shouting of aggressive words and phrases, tack a person to take his or her money. One
continued for nine minutes. Later, each child child knocks down another to obtain the
was intentionally frustrated and then left toy he or she desires. Students bully other
alone in a room with various toys, including students to gain esteem or deference from
a smaller Bobo doll. The children who had their peers. Even if we do not consciously
observed the aggressive model were much consider the rewards we might gain, we can
9780813349503.indb 375 5/16/14 1:50 PM

376 aggrEssIon
learn that aggression leads to individual of violence involving current or former in-
gain, thus reinforcing the behavior. timate partners, women are the victims of
74% of the murders and 85% of the assaults
and sexual assaults (Greenfeld et al., 1998).
characterIStIcS of targetS that These patterns are found among Blacks,
Influence aggreSSIon Latinos, and Whites (Rennison, 2001), but
the rates appear to be lower among Asian
The preceding section introduced four and Pacific Islanders (Johnson & Ferraro,
potential sources of the motivation to ag- 2000).
gress. Once aroused, such motives incline Although men and women are equally
us toward aggressive behavior. Whether ag- likely to engage in aggressive behavior, men
gression occurs, however, also depends on engage in significantly more violent be-
the characteristics of the target—the per- havior. Of reported cases of rape or sexual
son toward whom the aggressive behavior assault, 95% involve a male offender and
is directed. In this section, we discuss four female victim. As Table 11.1 reports, men
target characteristics related to aggression: were responsible for almost 90% of mur-
race and gender, attributions for the aggres- ders, of both men and women, committed
sor’s attack, and retaliatory capacity. in 2009. Most murders and aggravated as-
saults—an attack by one person on another
Gender and Race with the intent of causing bodily injury—in-
volve two men.
Aggression does not occur at random. If it These patterns indicate that the display
did, we would observe aggressive behaviors of aggression is channeled by social beliefs
by all kinds of people directed at targets and norms. Observing violence within one’s
of both genders, all ethnic groups, and all family teaches children that violence within
ages. In fact, aggression is patterned. First, the family is acceptable. Similarly, beliefs
aggressive behavior usually involves two and norms in U.S. society encourage men
people of the same race or ethnicity. This is to direct physical and sexual aggression to-
true of aggression within the family, as most ward women and other men. For example,
families are racially and ethnically homoge- masculine gender norms encourage men to
neous. But it is also true of violent crimes be dominant over women (Connell, 2005).
such as assault, sexual assault, and murder. These gender norms also associate mascu-
Table 11.1 reports FBI murder statistics that linity with status and toughness, motivating
demonstrate this within-race tendency. men to use aggression to gain the respect
The relationship between aggression and of others (Thompson & Pleck, 1986). Men
gender depends on the type of aggressive in our society frequently compete with each
behavior. In cases of abuse within the fam- other for various rewards, such as influence
ily, both genders are targets. Boys and girls over one another, status in a group, the
are equally likely to be abused by a parent. companionship of a woman, or other sym-
Wives abuse their husbands as often as hus- bols of success. These competitions often
bands abuse their wives (Gelles & Strauss, lead to insults that provoke anger or direct
1988). However, the types of abuse are dif- physical challenges. There are norms in
ferent. Women are more likely to slap, kick, some groups, cultures, or subcultures that
bite, or to try to hit their partner with an require men to defend themselves in such
object. Men are more likely to beat up their situations. For example, observers have of-
partner and to push, grab, or shove. In cases ten described the American South as having
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aggrEssIon 377
TABle 11.1 Race and sex of Murder Victim by Race and sex of offender, 2009
rACe oF oFFenDer Sex oF oFFenDer
ToTAl WhITe BlACk oTher unknoWn MAle FeMAle

Race of Victim
White 3518 84.2% 12.9% 1.1% 1.7% 87.7% 8.7%
Black 2867 7.3% 90.8% 0.5% 1.4% 88.5% 10.0%
Other 181 27.6% 14.4% 57.5% 0.6% 89.5% 9.9%
Unknown 65 41.5% 33.8% 1.5% 23.1 67.7% 9.2%
Sex of Victim
Male 4638 44.3% 52.2% 1.9% 1.6% 87.9% 10.4%
Female 1928 60.6% 34.3% 3.7% 1.4% 89.2% 9.4%
Note: This table is based on incidents in which some information about the offender is known by law enforcement. Therefore, when
the offender’s age, sex, and race are all reported as unknown, these data are excluded from the table. For summaries related to sex,
percentages for those of an unknown sex are omitted.
Source: FBI Homicide data.
a norm that requires men to defend them- diate appraisal (or attribution) of an attack
selves against insults—a “culture of honor” or hostile situation, a reappraisal of the sit-
(see Box 11.1). uation only occurs if there are sufficient re-
sources (for example, time or cognitive ca-
Attribution of Intention pacity) and the initial appraisal is somehow
unsatisfactory.
Direct attacks, both verbal and physical, typ- These appraisals of the situation as well
ically produce an aggressive reaction (Geen, as related attributions for harm have im-
1968; White & Gruber, 1982). Nevertheless, portant implications for our responses
we withhold retaliation when we perceive to aggression. In one study of 70 abused
that an attack was not intentional. We are women, those living with their violent part-
unlikely to respond aggressively, for exam- ner sometimes blamed themselves for the
ple, if we see that a man who has smashed abuse. They attributed it to their incom-
his grocery cart into our car in the parking petence, unattractiveness, or talking back
lot was trying to save a child from an on- to the partner. Other women blamed situ-
coming car. However, we must first realize ational factors such as their partner’s stress.
the man’s intention. Aggression following The women most likely to leave their abu-
harm is both more probable and stronger sive partners were those who blamed him—
when we attribute the attack to the actor’s rather than themselves or the situation—for
intentions rather than to accidental or le- the abuse (Andrews & Brewin, 1990).
gitimate external pressures (Dyck & Rule, An important influence on attributions is
1978). In the former case, the target of our whether an attacker apologizes. An apology
aggressive response deserves that response often states or implies that the harm another
more than when the harm is accidental. did to us was unintentional. In one study, an
The general aggression model (Anderson experimenter made mistakes that caused
& Bushman, 2002), based on a dual-process the participant to fail at the tasks. When the
model, proposes that after an initial imme- experimenter apologized, the participants
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378 aggrEssIon
Box 11.1 research update: The Culture of honor
Students were milling around the cafeteria of made their way down the hallway, a confederate
Spring High School—just outside of Houston, bumped the unsuspecting student and called
Texas—before school on a September morning. him an “asshole.” Observers situated in the hall-
Some were eating breakfast, others catching up way, ostensibly working on their homework,
on their homework, many simply talking with gauged the participants’ reactions. Participants
friends before the first bell rang. Just outside the then participated in a series of judgment tasks to
cafeteria, Joshua Broussard “bumped” into Luis gauge their reactions to the incident.
Alfaro as he moved through the crowded hall- Comparisons of the reactions of Southerners
way. The two exchanged words. Moments later, and Northerners supported the idea of a “culture
Alfaro pulled out a knife and attacked Broussard. of honor” in the South. Social scientists argue that
As students scattered, Broussard collapsed in the individuals from places with a “culture of honor”
school hallway and died. are more likely to perceive a benign incident as
The attack at Spring High School is not unan interpersonal threat. Furthermore, once of-
usual. A large number of the homicides that oc- fended or insulted, those who accept a “culture
cur in any given year are triggered by arguments, of honor” will feel the need to restore honor
and many of these disputes are over trivial mat- by retaliating against the insult. Sure enough,
ters, including offensive comments or name Southerners who were bumped by the confeder-
calling. However, what is most interesting about ate were more likely to see the insult as a cause
the incident is its similarity to a series of social for anger rather than amusement and to see vi-
psychological experiments conducted 20 years olence as an appropriate reaction to an “affront.”
earlier on the “culture of honor” (Cohen, Nisbett, Whereas Northerners were able to brush off the
Bowdle, & Schwarz, 1996). insult and remain unaffected, Southerners who
In those experiments, both “Northerner” and were insulted were primed for aggression and
“Southerner”* students from the University of would act out if given the right stimulus. Later
Michigan were invited to the laboratory for what studies found that Southerners were also more
they believed was an experiment on response prepared to aggress on a physiological level,
times and human judgment. Upon arrival, they with higher cortisol and testosterone levels than
were asked to fill out initial paperwork and take Northerners who had also been insulted.
it to a table at the end of a long, narrow hallway. A tremendous amount of research on the
Unbeknownst to the participants, the experi- culture of honor conducted since these early
mental treatment actually occurred during the studies supports these findings. Social psycholo-
walk to this table. As some of the participants gists recently considered this concept in relation
to school violence and found that high school
*Students were classified as “Southern” if they lived in students in culture-of-honor states—including
one of the following states for at least six years: dela- Texas—were more likely to bring a weapon to
ware, Maryland, West Virginia, Virginia, North Carolina, school and were at higher risk of school shoot-
South Carolina, Georgia, Florida, Kentucky, Tennessee, ings than were students in other states (Brown,
Alabama, Mississippi, Arkansas, Louisiana, or Texas. All
Osterman, & Barnes, 2009). Although many at-
other students, except those who lived in Washington, dC,
were considered “Northern.” On average, those classified tributed the tragedy at Spring High to gang vio-
as “Southern” had lived 87% of their lives in the South, lence, the culture of honor may have also played
whereas those classified as “Northern” had spent only 4% an important role in the events of that Septem-
of their lives in the South. ber morning.
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aggrEssIon 379
refrained from acting aggressively toward curs because the aggression is instigated by
her. Apologies may also lessen resulting ag- a different source and then displaced onto a
gression because they sometimes provide less powerful or more available target who
mitigating information—accounts of ex- had no responsibility for the initial response
ternal causes of the offending action—that (Umberson, Williams & Anderson, 2002).
facilitate a reappraisal (Barlett & Anderson, Displaced aggression is a common expla-
2011). However, it is important to note that nation for aggression directed toward part-
as the severity of the harm increases, the ef- ners, children, or pets—“She is taking her
fectiveness of apologies decreases (Ohbuchi, bad day out on us.”—but does it actually oc-
Kameda, & Agarie, 1989). cur? A meta-analysis of social psychological
research on the subject provides substantial
Retaliatory Capacity evidence that displaced aggression is quite
real (Marcus-Newhall, Pedersen, Carlson
One of the consequences that we might & Miller, 2000). Some argue that displaced
consider in calculating the costs (and bene- aggression may partially account for higher
fits) of aggression is the likelihood of retali- incidences of domestic violence in poor and
ation by the target. working-class households (Umberson, An-
Research suggests that the threat of re- derson, Glick & Shapiro, 1998). Frustration
taliation reduces aggressive behavior. In with a lack of control over events outside the
one experiment, participants were told to home, whether related to work or in other
deliver electric shocks to another person interactions, ends up directed toward fam-
and that they could select the intensity of ily members (see the discussion of spillover
the shock. In one condition, participants from work to home in Chapter 15). Similar
were told that after they had delivered the processes can also help explain why children
shocks, the experiment would be over. In who are bullied are more likely to be bullies
another condition, participants were told themselves (Salmivalli & Nieminen, 2002).
that after they had delivered shocks, they Research on displaced aggression also
would change places with the other per- finds that the more negative the insult, at-
son. In other words, they would be in a tack, or frustration and the more similar the
position in which the other person would instigator and the target, the greater the like-
be delivering shocks (and could retaliate). lihood that displaced aggression will occur.
Participants in the latter condition deliv-
ered significantly less intense shocks than
in the former condition (Prentice-Dunn & SItuatIonal IMPactS on aggreSSIon
Rogers, 1980). These findings help explain
why anonymous cyber-bullying is described There are a number of specific characteris-
as more severe than nonanonymous forms tics of situations that make aggression more
of bullying. Bullies may be inclined to en- likely. Five covered in this chapter are po-
gage in more aggressive acts when they use tential rewards, presence of models, norms,
fake aliases or post on anonymous websites stress, and aggressive cues.
like ask.fm because the risk of retaliation is
significantly smaller. Potential Rewards
Sometimes, there are instances of dis-
placed aggression—defined as aggression Three types of rewards that promote ag-
toward a target that exceeds what is justified gression are direct material benefits, social
by provocation by that target. This often oc- approval, and attention.
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380 aggrEssIon
The material benefits that armed robbers among elementary students and teenagers
and Mafiosi obtain by using violence sup- but also among adults.
port their aggression. If the material bene- Just as the last chapter discussed the
fits are reduced—say, by vigorous law en- importance of models in demonstrating
forcement—this type of aggressive violence types of helping acts that are possible, ag-
will decline. gressive models demonstrate the possible
Although aggression is generally con- negative behaviors. Consider the riots that
demned, social approval is a second com- occurred in London and other parts of the
mon reward for aggressive acts. Virtually United Kingdom in 2011. What began as a
every society has norms that approve ag- peaceful protest of police brutality devolved
gression against particular targets in partic- quickly into a violent clash between protes-
ular circumstances. We honor soldiers for tors and police that included looting, arson,
shooting the enemy in war. We praise chil- and total chaos. A panel argued that social
dren for defending their siblings in a fight. media and the 24-hour news coverage actu-
Most of us, on occasion, urge friends to ally made the riot worse. The incident was
respond aggressively to insults or exploita- dubbed the “BlackBerry Riots” because of
tion. the importance of mobile devices and social
Attention is the third type of reward for media in organizing riot activities, spread-
aggressive acts. The teenager who taunts ing inflammatory and inaccurate accounts,
or bullies a classmate basks in the spot- and circulating photos of the destruction
light of attention from peers, even as he is and chaos.
reproached by school authorities. Research Media coverage exaggerated the extent
conducted in elementary school classrooms of rioting in some areas, which made riot-
shows that even though aggressive children ing a self-fulfilling prophecy as it encour-
are generally disliked by their peers, the aged others to join in. Social media and
aggressive behavior at school is positively news outlet images and film also provided
reinforced with laughter and interest from aggressive models. Aggressive models pro-
classmates (Powers & Bierman, 2013). Al- vide three types of information that influ-
though few today would suggest that we ence observers. First, models demonstrate
should ignore bullying, research does show specific aggressive acts that are possible in
that a strategy that coupled rewards for co- a situation. Second, models provide infor-
operation and ignored aggressive behavior mation about the appropriateness of ag-
was effective in reducing aggression among gression—about whether it is normatively
preschool children (Brown & Elliott, 1965). appropriate in a setting. The behavior of
the initial participants in the UK riots sig-
Modeling naled that violence was appropriate. The
live television coverage of the riot news sta-
A second situational factor that increases tions provided unwittingly—and the social
aggression is the presence of behavioral media more intentionally—transmitted this
models. Just as aggressive behavior is message to tens of thousands of others who
learned by observing and then imitating could join in and add to the chaotic scenes.
a model (Bandura, Ross, & Ross, 1961), a Finally, models provide information about
model’s aggressive behavior in a specific sit- the consequences of acting aggressively.
uation may encourage others to behave in Observers see whether the model succeeds
similar ways. This “peer contagion” (Dish- in attaining goals and whether the behavior
ion & Dodge, 2005) has been found not only is punished or rewarded. Not surprisingly,
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aggrEssIon 381
observers are more likely to imitate aggres- violent behavior during the past year (Mar-
sive behaviors that yield rewards and avoid kowitz & Felson, 1998).
punishment. The modeling of aggression The negative reciprocity norm requires
also helps account for why prior riots in one that the retaliation be proportionate to the
city are associated with subsequent riots in provocation. Numerous experiments indi-
the same city (Olzak, Shanahan, & McEne- cate that people match the level of retalia-
aney, 1996) and why riots seem to spread tion to the level of the attack (Taylor, 1967).
from one city to another with mass media In the heat of anger, however, we are likely
coverage (Myers, 1997). to overestimate the strength of another’s
These models matter little when ob- provocation and to underestimate the in-
servers are not motivated to do harm. But tensity of our own response. When angry,
people who feel provoked and who are we are also more likely to misinterpret re-
suppressing any urge to aggress often lose sponses that have no aggressive intent as
their inhibitions after observing an aggres- intentional provocation. Thus, even when
sive model. They are the most likely to im- people strive to match retaliation to provo-
itate aggression. In other words, the news cation, aggression may escalate.
coverage of school shootings like Colum- A study of 444 assaults against police
bine is unlikely to cause an observer who officers revealed that escalation of retalia-
is not motivated to do harm to consider tion due to mutual misunderstanding was
bringing a gun to school or to hurt a class- the most common factor leading to vio-
mate. However, such coverage might pro- lence (Toch, 1969). Typically, the police
voke someone who has an underlying urge officer began with a routine request for
to harm their peers by showing them that information. The person confronted inter-
lashing out violently at school is not only preted the officer’s request as threatening,
possible but also perhaps both common arbitrary, and unfair and, thus, refused to
and rewarded through mass media atten- comply. The officer interpreted this non-
tion (Coleman, 2004). compliance as an attack on his or her own
authority and reacted by declaring the sus-
Norms pect under arrest. Angered further by the
officer’s seemingly illegitimate assertion of
Just as there is a positive norm of reciproc- power, the suspect retaliated with verbal
ity (see Chapter 10), there is also a negative insults and obscenities. From there the in-
norm of reciprocity. This norm—“an eye for cident escalated quickly. The officer angrily
an eye, a tooth for a tooth”—justifies retal- grabbed the suspect, who retaliated by at-
iation for attacks. Research on the culture tacking physically. This sequence illustrates
of honor (see Box 11.1) suggests that the how a confrontation can spiral into violent
belief that one should respond to an attack aggression even when the angry partici-
on one’s family property or self with ag- pants feel they are merely matching their
gression—and even killing—varies across opponents’ level of attack.
cultural group. There is also evidence that Experiments also support this norm of
men are more likely to endorse this honor negative reciprocity. Two participants en-
ideology than women are (Barnes, Brown & gaged in a competitive reaction time task
Osterman, 2012). Such norms influence bein a laboratory; after each trial, the faster
havior. Among ex-offenders, endorsing “an person could direct a noxious blast of noise
eye for an eye” and similar statements was at the slower person (Bushman, Baumeis-
correlated with reports of more frequent ter, & Strack, 1999). The experiment was
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382 aggrEssIon
rigged so the participant received the noise Stress can also stem from living condi-
on one-half of the trials (randomly selected) tions. Research finds that intimate violence
and could deliver noise on the other half. occurs more frequently in economically
Over time, the participant increasingly disadvantaged neighborhoods (Benson &
matched the noise level delivered to him or Fox, 2004), even among those who are bet-
her—clear evidence of reciprocity. ter off financially than their neighbors (Fox
& Benson, 2006). These same processes
Stress suggest, though, that neighborhood charac-
teristics can also reduce intimate violence.
Stress also increases the likelihood of ag- Research linking survey data, census data,
gressive behavior. Social stressors, such as and homicide data for the city of Chicago
chronic unemployment and the experience found that, even in disadvantaged neigh-
of discrimination, are related to aggression borhoods, if residents share a sense of col-
because of their effects on frustration and lective efficacy (for example, “people in this
anger. A study on the impact of economic neighborhood can be trusted”) and a sense
distress on violence in married and cohabit- that neighbors could be counted on, rates
ing couples found that objective indicators of intimate violence were lower (Browning
such as reported household income were & Cagney, 2003). Such sentiments could be
negatively related to abuse; as household interpreted as indicators of lower levels of
income increased, the frequency of physi- stress stemming from the neighborhood
cal violence decreased. However, regard- environment.
less of actual income, when either partner Other situational stressors can also pro-
wished that the other worked more hours duce high levels of aggression. Several stud-
(or earned more money), this discrepancy ies have shown that temperature is related
between desire and reality was positively to the occurrence of a number of violent
related to physical violence (Fox, Benson, crimes, including assault, sexual assault,
DeMaris, & Van Wyk, 2002). murder, and riots (Anderson, 1987, Baron
There are several other sources of stress & Ransberger, 1978). This is, in part, be-
within couples that may lead to intimate vi- cause temperatures increase discomfort
olence. Some potential stressors include: a and feelings of hostility (Anderson, 2001).
short relationship duration (that is, the cou- Recent research finds that climate controls
ple doesn’t know each other well), a mis- like air conditioning have the potential to
match in gender role definitions (one has curb heat-related violence, but access to
traditional views, the other more modern such technologies is not uniform and their
views), substance abuse, and large numbers reach is limited (Rotton & Cohn, 2004). In-
of children. These are related to intimate terestingly, taking into account the time of
violence in part through their relationship day—because more crime occurs at night,
to more frequent disagreements as well as a but temperatures tend to be lower then—
more heated disagreement style that causes rates of violence peak at a temperature be-
disagreements to escalate (DeMaris, Ben- tween 80 and 90 degrees (Cohn & Rotton,
son, Fox, Hill & Van Wyk, 2003). This pro- 2005). Temperatures beyond that lead to
cess of escalation occurs, in part, because reduced violence, perhaps because people
the longer an argument or fight continues, want to escape the heat and break off inter-
the more likely each person is to introduce action with others (Cohn & Rotton, 1997).
past grievances rather than focusing solely Heat also influences aggression indirectly
on the issue at hand. by increasing the prevalence of aggressive
9780813349503.indb 382 5/16/14 1:50 PM

aggrEssIon 383
thoughts that may subsequently lead to ag- self-focused attention toward one’s distress
gressive behavior. Researchers found that and the possible causes and consequences
exposure to words related to hot tempera- of the distress rather than ways to over-
tures (sunburn, boils, roasted, hot, sweats), come it. When someone is thinking about
regardless of the actual temperature in the an earlier provocation, they may respond
laboratory, resulted in more aggressive aggressively to a mildly annoying event (a
thoughts and hostile perceptions than ex- trigger). If your roommate is thinking of
posure to either cold (frostbite, freezes, an incident in which her professor embar-
cold, shivers) or neutral words unrelated to rassed her in class earlier in the day as she
temperature (DeWall & Bushman, 2009). stirs the spaghetti sauce on the stove, she
might snap at you for asking when she will
Aggressive Cues be finished cooking. If she is instead think-
ing of the weekend ahead, she will be more
Situations that produce aggression often likely to simply tell you that dinner will be
start out in ways that are ambiguous to done in a few minutes.
those involved in them. Should that insult To test the effect of ruminating on ag-
be interpreted as a good-natured joke or a gression, social psychologists had a group
challenge to a man’s masculinity? Is a jovial of undergraduates participate in a three-
conversation between your boyfriend and part experiment (Bushman et al., 2005). In
another woman perfectly innocent, friendly the first part of the experiment, the prov-
banter, or an unwelcome attempt at flirt- ocation phase, the participants were asked
ing? Observers and participants involved in to solve difficult anagrams (for example,
such incidents need help from the environ- to unscramble NVTNIMEREON to spell
ment to figure out what is happening and ENVIRONMENT) while loud and dis-
how they should respond. tracting music played in the background.
Aggressive cues in the environment can After a few minutes, the experimenter
increase the likelihood of an aggressive re- collected the anagram sheets, turned off
sponse (Berkowitz, 1989). These cues may the music, and left to score the sheet. The
intensify the aggressive motivation or lower experimenter returned later and informed
inhibitions even if they are not directly in- the participants that their score was well
volved in the immediate situation. For ex- below average and they really should re-
ample, people who have been aroused or peat the task but added—in an exasperated
frustrated respond more aggressively when tone—that repeating the first part would be
in the presence of a gun than in the presence a waste of time and they should just pro-
of neutral objects, even when the object has ceed to part two. For part two, a random
nothing to do with the aggression (Carlson, group of participants were assigned to the
Marcus-Newhall, & Miller, 1990). The so- rumination phase and asked to respond to
called weapons effect occurs when people a number of self-focused phrases (“what
are already aroused. The effect involves cog- kind of person you are,” “why people treat
nitive priming; the sight of a weapon makes you the way they do”). Others responded
more accessible or primes aggression- to externally focused or mood-enhancing
related concepts or scripts for behavior (An- phrases. In the final part of the experiment,
derson, Benjamin, & Bartholow, 1998). the trigger phase, all the participants played
Aggressive cues also affect aggression a trivia game. When the research assistant
by a process of ruminative thought (Mar- read the trivia questions too quickly, mis-
cus-Newhall et al., 2000). Rumination is a pronounced some of the names (pronounc-
9780813349503.indb 383 5/16/14 1:50 PM

384 aggrEssIon
ing Leonardo da Vinci as Leon Divinsky), 5

Positive mood
and occasionally mixed up the possible re- Distraction
sponses, participants who had been in the Rumination
rumination condition reacted significantly
more aggressively—recommending the re-
search assistant not be hired for a perma-
nent position and experiencing more neg- 4
ative emotions—than did those who had
been assigned to the other groups in part
two or who had not experienced an annoy-
ing trigger in the final part of the experi-
ment (see Figure 11.2).
AGGRESSION
3
reducIng aggreSSIve behavIor
Aggressive behavior is often costly to in-

dividuals and the groups and society to
which they belong. Given the problems as-
sociated with aggressive behavior, reducing 2
aggression has been an important topic of
research. Four strategies that hold some
promise are reducing frustration, punishing
aggressive behavior, providing nonaggres-
sive models, and providing opportunities
for catharsis. 1
NO TRIGGER TRIGGER
Reducing Frustration
FIgure 11.2 The interaction Between
Given that frustration is so central to ag- Rumination and a Mild Annoyance on Aggression
gression, we might be able to reduce aggres- When participants were prompted to ruminate about
sive behavior by reducing the frequency or an aggressive provocation, a subsequent minor trigger
strength of frustration. A major source of caused a significantly more aggressive reaction than for
frustration in American society, for exam- those who were provoked but not asked to ruminate or
ple, is inadequate resources. Studies com- for those who ruminated but were not exposed to the
minor trigger.
paring crime rates across different cities
(e.g., Land, McCall, & Cohen, 1990) and Source: Figure 1, Bushman et al. (2005). “Chewing on It Can
Chew You Up: Effects of Rumination on Triggered displaced
nations (Gartner, 1990) find that economic
Aggression.” Journal of Personality and Social Psychology,
deprivation is the best predictor for crime. 88, 969–983.
Many cases of robbery, assault, and murder
are motivated simply by a desire for money
or property. Frustration and, therefore, ag- Thus, another way to reduce aggressive be-
gression could be reduced if everyone had havior is to provide people with alternative
access to life’s necessities. means of resolving interpersonal conflicts.
Many of the frustrations we experience Recent innovations in dispute resolution
arise from conflicts with other people. involve the increasing use of profession-
9780813349503.indb 384 5/16/14 1:50 PM

aggrEssIon 385
ally trained mediators and the training of aggression. A longitudinal study of adult
selected community members in conflict- offenders found that perception of risk of
resolution techniques. These innovations sanctions was not related to criminal activ-
have also been implemented in schools. ity. The most significant predictor of crime
Conflict-resolution programs using peers was the perception of opportunities to gain
as mediators have been introduced partly in economically by breaking the law (Piliavin
response to the rise in mass shootings and et al., 1986). As a result, the criminal jus-
bullying in schools. tice system is not very effective in deterring
criminal aggression.
Punishment
Nonaggressive Models
Punishment is often used to control ag-
gression because of a widely held belief Just as aggressive models may increase ag-
that punishment is an effective deterrent. gression, nonaggressive models may reduce
Threats can indeed be effective in elimi- it. Mahatma Gandhi, who led the move-
nating aggression, but only under certain ment to free India of British colonialism,
narrowly defined conditions (Baron, 1977). used pacifist tactics that have since been
For threats to inhibit aggression, the an- imitated by protesters around the world.
ticipated punishment must be great and Laboratory research has also demonstrated
the probability that it will occur very high. the restraining influence of nonaggressive
Even so, threatened punishment is largely models. In one study (Baron & Kepner,
ineffective when potential aggressors are 1970), participants observed an aggressive
extremely angry. model deliver many more shocks to a con-
Actual (not just anticipated or threat- federate than required by the task. Other
ened) punishment can also control aggres- participants observed a nonaggressive
sion, but again, strict conditions must be model who gave the minimum number of
met (Baron, 1977): (1) The punishment shocks required. A control group observed
must follow the aggressive act promptly, (2) no model. The results showed that the par-
it must be seen as the logical outcome of that ticipants who observed the nonaggressive
act, and (3) it must not violate legitimate so- model displayed less subsequent aggression
cial norms. Unless these conditions are met, than did the participants in either the con-
people perceive punishment as unjustified, trol group or the participants who saw the
and this increases the likelihood that they aggressive model. Other research shows
will respond with anger or aggression. that nonaggressive models not only reduce
Although research demonstrates the aggression but can also offset the influence
importance of these conditions for deter- of aggressive models (Baron, 1971).
rence, the criminal justice system often
fails to meet these conditions. The prob- Catharsis
ability than any single criminal act will be
punished is low, simply because most crim- Infuriated by a day of catering to the whims
inals are not caught. Even when criminals of her boss, Christina turned on her teen-
are caught, punishment rarely follows the age son as he drove her home. “Why must
crime promptly. Moreover, few criminals you drive like a maniac?” she snapped in
see the punishment as a logical or legiti- a fit of displaced aggression. Miguel was
mate outcome of their act. Finally, crimi- stunned. He was driving a sedate 35 miles
nals often have much to gain through their per hour and had done nothing to provoke
9780813349503.indb 385 5/16/14 1:50 PM

386 aggrEssIon
his mother’s aggression. Did Christina feel flected in the reports of murderers and
better after venting her anger on Miguel? soldiers who commented that killing was
Many people believe that letting off difficult the first time but became easier
steam is better than “bottling up” hostility. thereafter. Second, initial aggressive acts
A very old psychological concept captures serve to arouse our anger even further.
this idea (Aristotle, Poetics, Book 6). Ca- Third, they give us experience in harming
tharsis is the notion that one can reduce others, and thus, it becomes a more ac-
aggressive arousal by performing aggressive cessible part of our behavioral repertoires.
acts. The catharsis hypothesis states that Finally, if we do experience catharsis fol-
we can purge ourselves of hostile emotions lowing aggression, this reinforces aggres-
by experiencing these emotions while act- sion, and behaviors we find rewarding are
ing aggressively. A broader view suggests repeated more frequently.
that by observing aggression as an involved
spectator to drama, television, or sports, we
also release aggressive emotions. aggreSSIon In SocIety
Numerous studies support the useful-
ness of catharsis and show that it does in- Over the last two decades, there has been
deed reduce aggression (Geen & Quanty, increasing recognition that aggressive be-
1977). But again, conditions are everything. havior is at the heart of several major so-
For catharsis to occur, the aggressive act cial problems. This awareness is due, in
must be directed at the source of the frus- part, to the widespread publicity given to
tration and not someone else. Misdirected certain incidents like school shootings and
or displaced aggression, such as kicking other mass murders. But, fortunately, mass
the dog or yelling at Miguel, often does not murders are rare. Much more common are
result in catharsis. We also must feel that other types of interpersonal violence, in
the aggression we display will be viewed as which one person directs physical aggres-
acceptable by others, and we cannot feel sion toward another with the intent to injure
guilty about it afterward. or kill the target. This final section of the
In fact, with few exceptions, research has chapter on aggression discusses three spe-
shown that performing aggressive acts will cific aspects of interpersonal violence. First,
increase future aggression, not reduce it. it looks at the causes and consequences of
This is true whether the initial aggression sexual assault. Next, it examines the impact
is a verbal attack, a physical attack, or even of pornography on sexual assault. Finally, it
aggressive play (Bushman, Baumeister, & discusses whether television programming
Stack, 1999; Geen, Stonner, & Shope, 1975). and video games contribute to violence.
For example, research finds higher rates of
both psychological and physical dating vio- Sexual Assault
lence used by collegiate athletes in contact
sports (wrestling, basketball) versus those Sexual assault is sexual touching or inter-
in noncontact sports (track and field, swim- course without consent, accomplished by
ming) (Burns, 2009). coercion, manipulation, or either the threat
Initial aggression promotes further ag- or use of force. The greater the force used
gression because initial aggressive acts or the resulting injury, the more severe the
produce disinhibition—the reduction of assault. One study of sexual coercion sur-
ordinary internal controls against socially veyed from 165 men and 131 women who
disapproved behavior. Disinhibition is re- were new members of fraternities and so-
9780813349503.indb 386 5/16/14 1:50 PM

aggrEssIon 387
rorities. Men were as likely as women to and control the movement and behavior
report being coerced into unwanted sexual of their guests (Armstrong, Hamilton, &
contact, but only women reported being Sweeney, 2006). Men also regulate and dis-
physically forced to do so (Larimer, Lydum, tribute the alcohol, an important factor in
Anderson, & Turner, 1999). Most cases in- sexual assault on college campuses (Logan,
volve offenders and victims from the same Walker, Cole, & Keukefeld, 2002). With
racial or ethnic group. men as hosts, women are also expected to
In some cases, the offender is motivated be nice and to defer to men in interaction,
by sexual desire. In other cases, however, the ultimately supporting male dominance
offender’s intent is to dominate, humiliate, in the situation and contributing to the
or injure the victim. Sexual assault is one rape-prone environment of campus parties
form of sexual aggression; sexual aggres- (Armstrong, Hamilton, & Sweeney, 2006).
sion is really a continuum, ranging from the
use of bribes through verbal pressure, the Perpetrators of Sexual Assault. Of course,
intentional use of alcohol or drugs, physi- individuals rather than societies or cul-
cal force, and kidnapping to sexual murder tures commit rape. A second approach to
(Jewkes, Sen, & Garcia-Moreno, 2002). determining the causes of sexual assault is
to identify men’s characteristics that may
What Causes Sexual Aggression? There be related to their aggressive behavior. Re-
are several answers to this question. One is search suggests that some men are sexually
a specific set of cultural beliefs and practices aggressive—that is, they rely on aggres-
creates conditions that encourage rape. In sive behaviors in their relationships with
a rape-prone society, the sexual assault of women (Malamuth, Heavey, & Linz, 1993).
women by men is allowed or overlooked These men tend to score highly on mea-
(Sanday, 1981, 2003). Rape-prone societies sures of the desire to dominate women and
share several characteristics. First, there of hostility toward women. They also have
are high levels of interpersonal violence. a variety of attitudes that facilitate aggres-
Second, there is an ideology of male domi- sion toward women, including rape myths,
nance that subordinates women, suggesting such as the belief that women secretly de-
that women are the property of men and sire to be raped and enjoy it, that victims
should be subject to men’s control. Third, cause rape, and that other men are prone to
men and women are regularly separated rape (see Box 11.2) (Koss & Leonard, 1984;
(during religious rituals, for example) in Malamuth, 1984). These men also tend to
rape-prone societies. The United States is be sexually aroused by portrayals of rape. In
a rape-prone society. Rates of violent crime laboratory studies, men who endorse rape
are high. Until recently, men dominated myths are more likely to aggress against a
women politically, economically, and sexu- woman who has mildly insulted or rejected
ally. There is also a continuing separation of them (Check & Malamuth, 1983). In ad-
men and women in certain spheres (athletic dition to these specific gender attitudes,
programs, workplaces). findings from research suggest that por-
Rape-proneness has also been applied nography use and alcohol abuse are also
to college campuses. Researchers find significant predictors of the perpetration of
that when fraternities or men’s dorms are sexual violence (Carr & VanDeusen, 2004).
allowed to have parties, whereas sorori- Men’s tendency to be sexually aggres-
ties and women’s dorms are not, men are sive is stable over time. Researchers col-
more likely to be able to structure the party lected data on 423 young men, including
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388 aggrEssIon
Box 11.2 Test Yourself: rape Myths
Among the causes of sexual aggression are cul- 7. A lot of times, girls who say they were raped
tural beliefs that encourage rape. These beliefs agreed to have sex and then regret it.
are rape myths—prejudicial, stereotyped, and SA A ? D SD
false beliefs about rape, rape victims, and per-
sons who commit rape (Burt, 1980). Examples 8. Rape accusations are often used as a way of
of these myths are “She asked for it,” “He didn’t getting back at guys.
mean to,” and “It wasn’t really rape.” These beliefs SA A ? D SD
create a climate that encourages sexual assault 9. If a girl doesn’t say “no,” she can’t claim rape.
and is suspicious of and hostile toward victims.
SA A ? D SD
An attitude scale that is widely used to assess
these beliefs is the Rape Myth Acceptance Scale, 10. If a guy is drunk, he might rape someone
developed by Burt (1980). Below are some of the unintentionally.
items from an updated version of the scale in- SA A ? D SD
tended for college students (McMahon & Farmer,
2011). Read each statement and circle the appro- Scores for each question range from 1
priate response: Strongly Agree (SA), Agree (A), (strongly agree) to 5 (strongly disagree). Scores
don’t know (?), disagree (d), or Strongly disagree should be totaled for a cumulative score. Higher
(Sd). scores indicate greater rejection of rape myths. A
man with a lower score likely believes that if he
1. If a girl goes to a room alone with a guy at a engages in sexual activity with a woman who
party, it is her own fault if she is raped. comes home with him on the first date after they
SA A ? D SD have both been drinking, it is not rape, even if she
offers some resistance. This is one of the dangers
2. If a girl doesn’t physically fight back, you
of rape myths. They provide scripts that legitimize
can’t really say it was rape.
sexual activity to which the woman may not have
SA A ? D SD overtly consented. Another type of rape myth—
3. When girls go to parties wearing slutty that claims of rape are not true—creates an en-
clothes, they are asking for trouble. vironment in which such claims are not believed,
SA A ? D SD
and therefore, sexual assault is not punished.
There have been many studies on the cor-
4. If a girl initiates kissing or hooking up, she relates of endorsing rape myths. One review
should not be surprised if a guy assumes she summarizes the findings of 72 studies (Anderson,
wants to have sex. Cooper, & Okamura, 1997). Men, older persons,
SA A ? D SD and persons from lower socioeconomic back-
grounds are more likely to hold such attitudes.
5. If a girl is raped while she is drunk, she is at
Acceptance of rape was associated with tradi-
least somewhat responsible for letting things
tional beliefs about gender roles, an adversarial
get out of hand.
view of male-female relationships, and conserva-
SA A ? D SD tive political beliefs. These results are consistent
6. Rape happens when a guy’s sex drive goes with the theory that rape myth acceptance is the
out of control. result of socialization to gender types and con-
SA A ? D SD
servative beliefs.
9780813349503.indb 388 5/16/14 1:50 PM

aggrEssIon 389
measures of hostility toward women and ual assault than are other racial groups on
attitudes supportive of violence. Ten years campuses (Armstrong, Hamilton, & Swee-
later, they reinterviewed a number of the ney, 2006).
men and their female partners (Malamuth, Several factors contribute to the oc-
Linz, Heavey, Barnes, & Acker, 1995). The currence of sexual assault. One is alcohol,
characteristics measured ten years ear- which is a factor in more than half of all
lier predicted which men were later sex- sexual assaults (whether involving alcohol
ually aggressive toward their partners, as consumption by the perpetrator, victim,
reported both by men and their partners. or both) (Abbey, 2002). Alcohol lowers
This research suggests that men who com- internal inhibitions that might otherwise
mit sexual assault have learned a script for prevent aggression. It also influences judg-
heterosexual interactions that includes the ment. Both surveys and experiments pro-
use of verbal abuse or physical force to ex- vide evidence that people are more likely
ercise influence over or obtain sexual grat- to engage in risky behavior—including en-
ification from a woman (Huesmann, 1986). tering a risky situation—when they have
Once learned, it is used to regulate behavior been drinking. In fact, some men use alco-
in various situations. Research suggests that hol or drugs intentionally to make a woman
this script is learned in childhood (Jacobson more likely to take risks voluntarily (Abbey
& Gottman, 1998), likely when the child ob- et al., 2001). One study randomly assigned
serves aggression frequently, is reinforced male participants to one of two conditions.
for aggressive behavior, and is the object of In one, the men consumed alcohol. In the
aggression. other, the participants drank a nonalcoholic
beverage. The participants were then pre-
Victims of Sexual Assault. Victims of sex- sented with an acquaintance rape scenario.
ual assault are primarily women between Intoxicated participants found the male
the ages of 15 and 24. Some women—a mi- character’s use of force to obtain sex more
nority of all victims—are assaulted by men acceptable and were more willing to act in a
they do not know. These assaults by strang- similar manner than the sober participants
ers often occur outdoors, in parks, deserted (Abbey, 2011). The effects of alcohol were
parking lots, or in the victim’s residence. strongest for men who already held hostile
The offenders in these cases are often op- attitudes toward women.
portunistic, attacking any woman who is Another factor in sexual assault is misin-
available or appears to be vulnerable. terpreted verbal or nonverbal messages. A
Much more often, however, women are woman may engage in some behavior that
assaulted by someone they know. This may a man incorrectly interprets as a sexual in-
be a man they are dating (date rape) or a vitation (Bondurant & Donat, 1999). Mis-
neighbor or coworker (acquaintance rape). interpretations not only increase the prev-
The victims in most cases of date rape are alence of sexual assault but also influence
young, single women—often high school or attributions about the causes of assault.
college students. A recent study found that When responsibility for a sexual assault is
78% of unwanted sexual contact on a col- placed on the victim rather than the per-
lege campus took place while “hooking up” petrator, it is referred to as victim-blame.
(Flack et al., 2007). In part because of their Those engaged in victim-blame argue that
involvement in rape-prone fraternities on a woman’s flirting or provocative dress
campus and in the hook-up culture, White can somehow lead a man to believe that a
college students are at a higher risk of sex- woman is consenting to sexual contact or
9780813349503.indb 389 5/16/14 1:50 PM

390 aggrEssIon
intercourse. Men tend to perceive more the power of scripts to shape experience
sexual intent in women’s behavior than (see Chapter 6).
other women do (Farris, Treat, Viken, &
McFall, 2008). Pornography and Violence
Cultural beliefs are a third factor that
contributes to sexual assault. According to One possible source for scripts that encour-
one survey of 14- to 17-year-olds, teenagers age sexual aggression is growing up in an
of both genders believe that a man is justi- abusive family. Another is viewing or read-
fied in forcing a woman to have intercourse ing pornography (Ryan, 2011).
if she gets him sexually excited, leads him On August 1, 2013, Ariel Castro was sen-
on, or has dated him for a long time (Good- tenced to life plus 1,000 years for the kid-
childs & Zellman, 1984). Other influential napping, rape, and assault of three women
cultural beliefs include that men cannot whom he held captive in his home in Cleve-
stop once they have started to become sex- land, Ohio. At the sentencing hearing, Cas-
ually aroused, that husbands cannot rape tro blamed his behaviors on an addiction to
their wives, and that women enjoy rape (Ed- pornography and joined a growing number
wards et al., 2011; Ryan, 2011). of perpetrators—including Ted Bundy, a
Misperceptions and cultural beliefs serial murderer who confessed to killing
also influence women’s interpretation at least 24 young women—who have used
of forced, nonconsensual sexual activity. pornography addiction as a defense for
Many women who experience sexual as- their heinous actions. Such claims generate
sault do not perceive the experience as great interest in the connection between
rape (Kahn, Mathie, & Torgler, 1994). This pornography and violence, a link that social
may be because their experience—being psychologists have conducted considerable
assaulted by someone they know during a research to explore.
date after some sexual foreplay—does not
match their script for rape: a violent attack Nonaggressive Pornography. Various
by a stranger (Ryan, 1988). In one study, re- studies have shown that the effect of por-
searchers asked women to write a descrip- nography on behavior depends on what the
tion “of events before, during, and after a pornography portrays. Pornography that
rape” and to describe their past experiences explicitly depicts adults engaging in con-
with assault. There were some women who senting sexual activity is termed nonag-
reported that they had been forced to have gressive pornography or erotica. Reading
sex but who also replied “no” to the ques- or viewing nonaggressive pornography cre-
tion, “Have you ever been raped?” These ates sexual arousal (Byrne & Kelley, 1984),
women were more likely to describe rape as usually through the mechanism of cognitive
an attack by a stranger than were women and imaginative processing.
who reported that they had been raped. Nonaggressive pornography by itself
Similarly, women’s script for a loving re- does not produce aggression toward women
lationship is one of equality and romance, (Donnerstein & Linz, 1998). However,
which encourages individuals to overlook when the viewer’s inhibitions are lowered—
their partner’s bad behavior, with an em- as they may be if he is intoxicated—or if a
phasis on male rather than female sexual man is already at risk for sexual aggression,
drive (Lloyd & Emery, 2000). An experience it may do so (Vega & Malamuth, 2007).
of aggression does not fit this script and so Research finds that when men are angered
may be ignored. This is a good example of or frustrated and then view nonaggressive
9780813349503.indb 390 5/16/14 1:50 PM

aggrEssIon 391
pornographic images, they show more ag- ticipants completed several attitude scales,
gressive behavior toward women (Donner- including one that measured acceptance of
stein & Barrett, 1978). The mechanism is rape myths. Men who saw the films depict-
thought to be transfer of arousal: The sex- ing aggression or aggressive sexual activity
ual arousal that results from viewing por- scored higher on the rape myth acceptance
nography is added to the arousal induced scale (see Box 11.2) than did men who saw
by the anger, resulting in sexual aggression. the film depicting nonaggressive sexual
Hollywood films, while not considered activity. These men also indicated greater
pornography, increasingly include appar- willingness to use force to obtain sex. The
ently consensual sexual activity that is de- fact that both films depicting aggression,
grading or humiliating to women. For ex- even nonsexual aggression, affected atti-
ample, a study of James Bond films found tudes more than the nonaggressive film
that both the sexual activity and harm to suggests that it is aggression rather than
women shown in the films has been increas- explicit portrayals of sex that influences
ing steadily over time (Neuendorf et al., attitudes toward sexual aggression. Exper-
2010). An experiment explored the effect imental research like this is important for
of viewing scenes that objectified women. demonstrating the effects of viewing por-
Men and women who participated in the nography to counter the argument that the
experiment saw either selections from 9½ relationship between pornography and ag-
Weeks and Showgirls or scenes from ani- gression only goes the other direction: that
mated cartoons. Participants subsequently men who consume pornography already
read and evaluated a magazine story about have aggressive tendencies toward women
a date rape or a stranger rape. Men who saw and are, therefore, attracted to aggressive
the sexualized film clips were more likely to pornography (Malamuth, Addison, & Koss,
say that the victim of the data rape enjoyed 2000). Although that certainly may be the
it and “got what she wanted” (Milburn, Ma- case, exposure to pornography also influ-
ther, & Conrad, 2000). These results have ences sexual aggression.
important implications given the rise of de- In another experimental study (Donner-
pictions of sexual violence toward women stein & Berkowitz, 1981), male participants
in advertising and print media (Cortese, were either angered or treated neutrally
2004). by a male or female confederate. The par-
ticipants then viewed one of four films: a
Aggressive Pornography. Exposure to neutral film, a nonaggressive pornographic
aggressive pornography—explicit depic- film, or one of two aggressive pornographic
tions of sexual activity in which force is films. In the latter films, a young woman is
threatened or used to coerce a woman to shoved around, tied up, stripped, and raped.
engage in sex—also influences behavior, In one version, she finds the experience dis-
especially aggression toward women (Mal- gusting, whereas in the other she is smiling
amuth, 1984; Malamuth, Addison, & Koss, at the end. Following the film, the men were
2000). Unlike erotica, aggressive pornogra- given an opportunity to aggress against a
phy has lasting effects on both attitudes and male or female confederate by delivering
behavior. In a study of its effects on atti- electric shocks. The films did not affect
tudes (Donnerstein, 1984), men viewed one aggression toward the male confederate.
of three films featuring either aggression, However, participants who saw the aggres-
nonaggressive sexual activity, or aggressive sive films delivered more intense electric
sexual activity. Following the film, the par- shocks to the female confederate.
9780813349503.indb 391 5/16/14 1:50 PM

392 aggrEssIon
The fact that aggressive pornography Media Violence and Aggression

produces aggressive behavior reflects three
influences: sexual arousal, aggressive cues, If one thing has changed about American
and reduced inhibitions. Some men expe- lifestyles over the past century, it is the
rience high levels of arousal in response to amount of time spent consuming enter-
such portrayals. Moreover, such pornogra- tainment and news through visual media,
phy portrays women as targets of aggres- both online and on television. These media
sion. In the experiment conducted by Don- are replete with violence, sex, and aggres-
nerstein and Berkowitz, the film created an sive behaviors of all kinds. Given the ubiq-
association in the viewer’s mind between the uity of media and the widespread belief that
victim in the film and the woman who an- violence—sexual, physical, and psycholog-
gered him, suggesting aggression toward the ical—is increasing around the world, both
latter. Note that aggressive films led to in- researchers and the public are interested in
creased violence toward the female confed- the effects media exposure has on behavior.
erate and not the male confederate, a finding
consistent with this interpretation. These Violent Television and Aggression. Eve-
films may also reduce inhibitions to aggres- lyn Wagler was carrying a two-gallon can of
sion by suggesting that aggression directed gasoline back to her stalled car. She was cor-
toward women has positive outcomes. nered by six young men who forced her to
One important question is whether we douse herself with the fuel. Then, one of the
can generalize from the results of labo- men tossed a lighted match. She burned to
ratory research to natural settings. Does death. Two nights earlier, a similar murder
the viewing of aggressive pornography in had been depicted on national television.
nonlaboratory settings contribute to vio- Violence pervades television. Both he-
lence against women? One study found a roes and villains perform aggression on tele-
correlation between the availability of por- vision. Not just humans, but also cartoon
nography and rates of violent crime (Baron characters torment each other in aston-
& Straus, 1984). Results suggested that the ishingly creative ways. During prime-time
circulation index of eight “sex magazines” television, three to five violent incidents
(including Playboy and Hustler) in a state occur per hour of programming, and 20 to
was the strongest predictor of rape in that 25 violent incidents occur per hour during
state. Another study examined the influ- Saturday morning children’s shows (Amer-
ence of intentional exposure to X-rated ican Psychological Association, 1993). In
material on sexually aggressive behavior all, 60% of television programs and 70% of
among 10- to 15-year-olds (Ybarra et al., the programming intended for children
2011). After accounting for other poten- contains violence (Wilson et al., 2002). By
tial influences related to both exposure and age 18, the average American child is likely
sexual aggression (for example, substance to have seen about 200,000 violent acts on
abuse and being a victim of sexual aggres- television, including 40,000 homicides (Pla-
sion), researchers found that boys and gens, Miller, Foote, & Yoffe, 1991). Only
girls who were exposed to violent X-rated one-quarter of these violent acts results in
material were six times as likely to report any punishment for the perpetrators (Na-
perpetrating a sexually aggressive behavior tional Television Violence Study, 1996).
as were those who had either not viewed Although research suggests that watching
X-rated material or who had only been ex- violent television is correlated with aggres-
posed to nonviolent X-rated material. sive behavior (Anderson et al., 2003; Coyne
9780813349503.indb 392 5/16/14 1:50 PM

aggrEssIon 393
et al., 2011), correlation is not the same as Moreover, these results have been
causation. found in experiments with boys and girls
Does exposure to television violence of all ages, races, social classes, and levels
encourage viewers to behave aggressively? of intelligence as well as in many coun-
Experimental research—where one group tries (Huesmann & Moise, 1996). A meta-
is exposed to violent media in a controlled analysis of all the research available at the
setting while another group is not and then time reports that virtually every study—
both groups’ behavior and attitudes are mea- whether cross-sectional (n=86), longitudi-
sured—suggests that there is a causal con- nal (n=46), or experimental (n=152)—finds
nection (Comstock, 1984; Friedrich-Cofer a significant relationship between exposure
& Huston, 1986; Murray & Kippax, 1979). to media violence and aggression (Ander-
This research also points to five processes son & Bushman, 2002). This is true of tele-
that explain why exposure to media violence vision, movies, and Internet media (Ybarra,
might increase aggressive behavior (Hues- Diener-West, Markow, Leaf, Hamburger, &
mann & Moise, 1996). Boxer, 2008).
Violence on the Internet takes a num-
• Imitation. Viewers learn specific tech- ber of forms, including violent videos, like
niques of aggression from media mod- some posted on the sites YouTube or Vine,
els. Social learning evidently played or violent images and scenarios depicted in
a role in the violent attack on Evelyn photos and ads showing physical and sexual
Wagler. aggression. Other violence on the Internet
takes the form of psychological violence.
• Cognitive priming. Portrayals of vi-
“Hate pages” are devoted to harassing and
olence activate aggressive thoughts
degrading specific groups, and cyber-bully-
and pro-aggression attitudes. The ac-
ing runs rampant on Facebook, ask.fm, and
tivation of an attitude increases the
other social media sites. Users—particu-
likelihood that it will be expressed in
larly adolescents who are highly susceptible
behavior.
to peer pressure—frequently imitate this
• Legitimization/justification. Exposure displayed aggression, both on- and offline
to violence that leads to goal attain- (Ybarra et al., 2008).
ment and has positive outcomes (for However, the relationship between vio-
example, punishes wrongdoers) legit- lent media and aggression is not one direc-
imizes aggression and makes it more tional. A growing body of evidence suggests
acceptable (Bushmann & Huesmann, that the link between aggression and media
2001). usage is actually circular (Friedrich-Cofer
& Huston, 1986). Because aggressive chil-
• Desensitization. After observing vio-
dren are relatively unpopular with their
lence repeatedly, viewers become less
peers, they spend more time watching tele-
sensitive to aggression. This makes
vision as well as online and playing video
them less reluctant to hurt others and
games. This exposes them to more violence,
less inclined to ease others’ suffering.
teaches them aggressive scripts and behav-
• Arousal. Viewing violence on televi- iors, and reassures them that their behavior
sion produces excitement and phys- is appropriate. When they then try to en-
iological arousal, which may amplify act these scripts in interactions with others,
aggressive responses in situations that they become even more unpopular and are
would otherwise elicit milder anger. driven back to television—and the vicious
9780813349503.indb 393 5/16/14 1:50 PM

394 aggrEssIon
cycle continues (Huesmann, 1986; Singer & iors among boys, who watch more violent
Singer, 1983). programming than girls do (Rosenkoetter,
Despite all this evidence on the connec- Rosenkoetter, Ozretich, and Acock, 2004;
tion between media violence and violent Dodge, Coie, & Lynam, 2006).
behavior, scientists have been unable to
convince film and television producers to Violent Video Games and Aggression.
decrease the amount of violence shown in One late summer afternoon, an eight-year-
television and movies. In fact, over time, film old boy shot Marie Smothers, his elderly
ratings have relaxed to allow more violent caregiver, in the back of the head as she sat
content in PG-13 films than was allowed in in her living room watching television. Me-
previous years (Leone & Barowski, 2011). dia reports claimed the shooting was inten-
To approach the issue from another side, tional and blamed the violent video game
researchers have turned their attention to- Grand Theft Auto—which the boy had
ward developing interventions to limit the been playing just moments before he killed
negative effect of media violence (Rosen- Smothers—for his violent actions. Although
koetter, Rosenkoetter, & Acock, 2009). it is difficult to determine the causes of acts
Social psychologists have used experi- of aggression, research suggests that there is
mental methods—both in the field and the a relationship between both short- and long-
laboratory—to test strategies that parents, term exposure to violence in video games
teachers, and others might use to counter- and aggression (Anderson et al., 2010). Both
act the deleterious effects of violent media men and women who report playing violent
(Rosenkoetter, Rosenkoetter, & Acock, video games are more likely to report engag-
2009). Previous work suggests that aggres- ing in various aggressive behaviors (Bush-
sion is lower among individuals who are man, Baumeister, & Stack, 1999).
high in empathy (Dean & Malamuth, 1997). Although video game playing was once
Drawing on this, researchers tried to induce restricted to arcades and television con-
empathy among viewers. When adults ask soles, today people also play video games
children to empathize with the victim, chil- on computers, handheld devices, iPods, and
dren are less accepting of aggression and cell phones. Technological advances have
find the aggression in cartoons less humor- improved the sound effects and graphics,
ous (Nathanson & Cantor, 2000). Adults making video games more engrossing than
can also reduce children’s imitation of ag- they were in the past (Ivory & Kalyanara-
gression by making negative comments man, 2007). In 2008, 97% of teenagers be-
about the violence. A neutral comment, tween 12 and 17 reported playing video
however, is no less effective than no com- games, with 31% playing every day (Lenhart
ment at all (Cantor & Wilson, 2003). et al., 2008). Many of these video games
Interventions are most effective when portray interpersonal violence. A content
they are long term. A year-long program analysis of 33 popular video games found
for elementary students that emphasized that 80% of them involved aggression or
the ways that television distorts the reality violence as part of the strategy. About half
of aggression not only resulted in less pos- encourage violence directed at people, and
itive attitudes about violence on television 21% included violence directed at women
but also reduced identification with vio- (Dietz, 1998).
lent heroes and led children to watch less Playing video games involves a number
violent programming. Participating in the of the psychological processes discussed
program also lowered aggressive behav- earlier. Playing violent video games leads
9780813349503.indb 394 5/16/14 1:50 PM

aggrEssIon 395
Features of games either dampen or am-

plify the effect of violence on aggression.
For example, both more visible blood in
games and controllers in the shape of a real-
istic gun tend to heighten arousal and hos-
tility (Barlett, Harris, & Baldassaro, 2007;
Barlett, Harris & Bruey, 2008). Similarity
to and identification with aggressive video
game characters also increase the effects
of video games on aggression (Williams,
2010). Finally, research finds that playing
a video game that sexualized and objec-
tified women—with provocative dress—
increased men’s rape acceptance and led
them to judge rape victims more negatively
than did playing an identical game with
fully clothed women as characters (Stermer
& Burkley, 2012).
SuMMary
Aggression is behavior intended to harm

Technological advances have greatly expanded
young people’s access to media, including violent
another person that the target person wants
media, and have limited adults’ knowledge of what to avoid.
young people are exposed to and the opportunity
to discuss the images together. © CREATISTA/ Aggression and the Motivation to Harm.
shutterstock There are four main theories regarding the
motivation for aggression. (1) People are
to both physiological (heart rate, body tem- instinctively aggressive. (2) People become
perature) and emotional arousal (anger, aggressive in response to events that are
hostility) (Anderson et al. 2010). Players, frustrating. (3) People aggress against oth-
like the young boy discussed at the begin- ers as a result of aversive emotion. (4) Peo-
ning of the section, might imitate what they ple are motivated by rewards and learn to
see. More lasting, though, is acquiring the use aggression as a means of obtaining what
behavior patterns or scripts that include vi- they want.
olence as a means of achieving higher scores
(observational learning) and having these Characteristics of Targets That Affect
rewarded (reinforcement) (Funk, Flores, Aggression. Once aggressive motivation
Buchman, & Germann, 1999). Ongoing ex- has been aroused, target characteristics in-
posure to violence also desensitizes players fluence whether aggressive behavior occurs.
to violence, making it seem more normal Aggressive behavior is more likely if the
and natural (Krahé, 2013), and primes them target is of the same race or ethnicity. The
to later react more aggressively to minor target’s gender also influences the response.
annoyances (Anderson & Dill, 2000). This When we are attacked, our response is in-
occurs, in part, through disinhibition. fluenced by the attributions we make about
9780813349503.indb 395 5/16/14 1:50 PM

396 aggrEssIon
the attacker’s intentions. We are less likely Experimental research shows that observing
to engage in aggression toward a target who violence in film, on television and the Inter-
we believe is capable of retaliation. We may, net, and in video games increases aggressive
however, engage in displaced aggression attitudes and behavior in everyday settings.
against another.
Situational Impacts on Aggression. Situ- List of Key Terms and Concepts

ational conditions are important influences
on aggressive behavior. Rewards that en- affective aggression (p. 375)
courage aggression include material ben- aggravated assault (p. 376)
efits, social approval, and attention. Ag- aggression (p. 370)
gressive models provide information about aggressive pornography (p. 391)
available options, normative appropriate- aversive affect (p. 374)
ness, and consequences (or lack thereof) catharsis (p. 386)
of aggressive acts. The negative reciproc- displaced aggression (p. 379)
ity norm encourages aggressive behavior frustration (p. 372)
in certain situations. Aggressive behavior frustration-aggression hypothesis (p. 372)
is more likely when stressors, such as high nonaggressive pornography (p. 372)
temperature, are present. Aggressive be- rumination (p. 383)
havior is also more likely in the presence of sexual assault (p. 386)
aggressive cues, especially weapons. target (p. 376)
victim-blame (p. 389)
Reducing Aggressive Behavior. Frustra- weapons effect (p. 383)
tion levels could be reduced by guarantee-
ing everyone the basic necessities, therefore
limiting aggression motivated by rewards. Critical Thinking Skill:
Punishment is effective in controlling ag- Applying Scientific Research
gression only when it promptly follows the to Policy Decisions
aggressive act, is seen as the logical out-
come of that act, and does not violate social Gun violence in the United States has many
norms. Nonaggressive models reduce the people concerned. However, both politi-
likelihood of aggression and can offset the cians and citizens are divided on how best to
effect of aggressive models. Although ca- curb this violence. Some argue that only po-
tharsis may follow aggressive acts, such acts lice and the military should have guns, oth-
may still promote later aggression. ers argue that automatic weapons should be
restricted or guns should be harder to pur-
Aggression in Society. Interpersonal vio- chase, while still others assert that access
lence is a serious problem in American so- to guns is not the problem and that other
ciety. Rates of sexual assault and acceptance measures should be taken. How should the
of the behavior are influenced by societal average citizen or a policymaker decide
characteristics, such as male domination of their stance on this critical issue? The best
women, and by scripts that encourage male way to make a good decision is to use the
aggression toward women. Nonaggressive best available scientific evidence and think
pornography and aggressive pornography clearly about it. The evidence might come
both influence attitudes and behavior, al- from correlational methods, like field stud-
though the latter to a much higher degree. ies and surveys, or from experiments.
9780813349503.indb 396 5/16/14 1:50 PM

aggrEssIon 397
The current discourse around gun vi- acquire. The researchers could then expose
olence centers on access. To determine subjects to frustrating situations in which
whether the widespread availability of guns they had the opportunity to use the gun or
increases gun violence using a correlational deal with their aggression in another way
method, a scientist might compare rates and then compare the likelihood that sub-
of lethal gun violence (deaths related to jects would choose responses other than
gunshot wounds) in countries where gun gun violence. Although laboratory exper-
ownership is legal to the rates in countries iments allow scientists significant control
where citizens are not allowed to buy guns over conditions, the problem here is that
through legal channels. The researchers it is a video game. Furthermore, in such a
would then see whether there is a correla- research setting, participants are acutely
tion between accessibility and lethal gun aware that their behavior is being tracked.
violence. Suppose the correlation is positive Perhaps the findings would not generalize
and significant—that is, the more accessible to a natural environment.
guns are to citizens (legal to own, easy to What are the benefits and limitations of
purchase, and so forth), the larger the num- the above studies? What are other studies
ber of people who die from gun-related vi- you might conduct?
olence each year. This evidence provides We can be most confident of a conclu-
support for policies that limit access to sion if there is converging evidence from
guns. However, because it is a correlational multiple studies, both correlational and ex-
study, it cannot tell us whether access actu- perimental. Considering these hypothetical
ally influences violence. studies together would give us more confi-
Another way to get at the question dence in our ultimate decision because each
would be with an experiment. In a field ex- study addresses some of the limitations of
periment, scientists might choose two cit- the others.
ies with similar rates of gun violence that How can these studies inform a policy
are similar on other characteristics (racial decision? At this point, a good policy deci-
diversity, economic inequality, education sion would involve a cost-benefit analysis.
and income levels, and so forth). They Reducing citizens’ access to guns might
would then have politicians institute a law make those citizens more vulnerable to the
that limited access to firearms in one of the violent attacks of others. Gun manufactur-
cities. By tracking gun violence in the two ers and retailers would lose money if their
cities, they could gauge whether restricting only clients were police and military. These
access lessened violence. However, there are costs. What are other costs? However,
are a number of confounding factors that fewer gun deaths—whether accidental or
make such an experiment problematic and intentional—would be a benefit. Are there
the findings difficult to interpret. other benefits?
Alternatively, scientists could run a lab- In general, when making policy decisions
oratory experiment in which they put sub- when scientific evidence is available, we
jects in a situation—something like a video should evaluate the quality of that evidence
game—in which they either had easy access and then weigh the costs and benefits of im-
to a gun or a gun was difficult or costly to plementing policies based on the evidence.
9780813349503.indb 397 5/16/14 1:50 PM

9780813349503.indb 398 5/16/14 1:50 PM
chaPter 12
inTeRPeRsonAl ATTRAcTion
AnD RelATionshiPs
introduction 400 Love and Loving 422
Who is Available? 400 liking versus loving 422
routine activities 401 Passionate love 423
Proximity 401 the romantic love ideal 424
familiarity 403 love as a Story 426
Who is desirable? 404 Breaking Up 428

Social norms 404 Progress? chaos? 428
Physical attractiveness 405 Unequal outcomes and instability 428
exchange Processes 408 Differential commitment and

Dissolution 430
the determinants of Liking 412
responses to Dissatisfaction 432
Similarity 412
Summary 434
Shared activities 414
reciprocal liking 415 List of Key Terms and Concepts 436
the growth of Relationships 416 Critical Thinking Skill:

(Relationship) Decision Making
Self-Disclosure 416
and Problem Solving 436
trust 419
interdependence 421
399
9780813349503.indb 399 5/16/14 1:50 PM

400 InTErpErsonal aTTraCTIon and rElaTIonshIps
IntroductIon The development and outcome of per-

sonal relationships involves several stages.
Dan was looking forward to the new semes- This chapter discusses each of these stages.
ter. Now that he was a junior, he would be Specifically, it considers the following ques-
taking more interesting classes. He walked tions:
into the lecture hall and found a seat half-
way down the aisle. As he looked toward 1. Who is available? What determines
the front, he noticed a very pretty young with whom we come into contact?
woman removing her coat; as he watched,
she sat down in the front row. 2. Who is desirable? Of those available,
Dan noticed her at every class; she always what determines with whom we
sat in the same seat. One morning, he passed attempt to establish relationships?
up his usual spot and sat down next to her.
“Hi,” he said. “You must like this class. 3. What are the determinants of
You never miss it.” attraction or liking?
“I do, but it sure is a lot of work.”
As they talked, they discovered they were 4. How do friendship and love develop
from the same city and both were econom- between two people?
ics majors. When the professor announced
the first exam, Dan asked Mia if she wanted 5. What is love?
to study for it with him. They worked to-
gether for several hours the night before the 6. What determines whether love
exam, along with Mia’s roommate. Dan and thrives or dies?
Mia did very well on the exam.
The next week, he took her to a film at a
campus theater. The week after, she asked Who IS avaIlable ?
him to a party at her dormitory. That night,
as they were walking back to her room, Hundreds or thousands of persons may
Mia told Dan that her roommate’s parents go to school or live or work where you do.
had just separated and that her roommate Most of them remain strangers—persons
was severely depressed. Dan replied that with whom you have no contact. Those
he knew how she felt because his older persons with whom we come into contact,
brother had just left his wife. Because it was no matter how fleeting, constitute the field
late, they agreed to meet the next morning of availables—the pool of potential friends
for breakfast. They spent all day Sunday and lovers (Kerckhoff, 1974). What deter-
talking about love, marriage, parents, and mines who is available? Is it mere chance
their hopes for the future. By the end of the that George rather than Bill is your room-
semester, Mia and Dan were seeing each mate, or that Dan met Mia rather than
other two or three times a week. Heather? The answer, of course, is no.
At its outset, the relationship between Two basic influences determine who is
Dan and Mia was based on interpersonal available. First, institutional structures in-
attraction—a positive attitude held by one fluence our personal encounters. The ad-
person toward another person. Over time, missions office of your school, the faculty
however, the development of their relation- committees that decide degree require-
ship involved increasing interdependence ments, and the scheduling office all influ-
and increasing intimacy. ence whether Dan and Mia enroll in the
9780813349503.indb 400 5/16/14 1:50 PM

InTErpErsonal aTTraCTIon and rElaTIonshIps 401
same class. Second, individuals’ personal troduced by family members or coworkers.

characteristics influence their choice of Thus, social networks play an important
activities. Dan chose to take the econom- role in the development of relationships.
ics class where he met Mia because of an Studies of the friendship patterns of city
interest in that field and a desire to go to dwellers have found that friends are selected
graduate school in business. Thus, institu- from relatives, coworkers, and neighbors
tional and personal characteristics together (Fischer, 1984). Thus, routine activities and
determine who is available. social networks are important influences on
Given a set of persons who are available, the development of relationships.
how do we make contact with one or two How has the Internet affected where
of these persons? Three influences progres- couples meet? A study of 2,462 heterosex-
sively narrow our choices: routine activities, ual couple and 462 same-sex couples doc-
proximity, and familiarity. uments the changes (Rosenfeld & Thomas,
2012). Figure 12.1 displays the results. Since
Routine Activities 1995, the percentage of couples meeting
through family and friends has declined
Much of our life consists of a routine of ac- steadily, while the percentage meeting on-
tivities that we repeat daily or weekly. We line has increased. The Internet has espe-
attend the same classes and sit in the same cially changed how same-sex couples meet.
seats, eat in the same places at the same ta-
bles, shop in the same stores, ride the same Proximity
bus, and work with the same people. These
activities provide opportunities to interact Although routine activities bring us into the
with some availables but not with others. same classroom, dining hall, or workplace,
More important, the activity provides a fo- we are not equally likely to meet every per-
cus for our initial interactions. We rarely son who is present. Rather, we are more
establish a relationship by saying “Let’s be likely to develop a relationship with some-
friends” at a first meeting. To do so is risky, one who is in close physical proximity to us.
because the other person may decide to In classroom settings, seating patterns
exploit us. Or that person may reject such are an important influence on the devel-
an opening, which may damage our self- opment of friendships. One study (Byrne,
esteem. Instead, we begin by talking about 1961a) varied the seating arrangements for
something shared—a class, an ethnic back- three classes of about 25 students each. In
ground, a school, or the weather. one class, they remained in the same seats
Most relationships begin in the context for the entire semester (14 weeks). In the
of routine activities. A study of college stu- second class, they were assigned new seats
dents found that relationships began with a halfway through the semester. In the third
meeting in a class, a dorm, or at work (36 class, they were assigned new seats every
percent); with an introduction by a third 3½ weeks. The relationships among stu-
person (38 percent); or at parties (18 per- dents were assessed at the beginning and at
cent) or bars (14 percent). A study of 3,342 the end of the semester. Few relationships
adults aged 18 to 59 asked how respondents developed among the students in the class
met their sexual partners (Laumann, Gag- where seats were changed every 3½ weeks.
non, Michael, & Michaels, 1994). One-third In the other two classes, students in neigh-
reported that they were introduced by a boring seats became acquainted in greater
friend, and another third said they were in- numbers than students in nonneighboring
9780813349503.indb 401 5/16/14 1:50 PM

HETEROSEXUAL COUPLES SAME SEX COUPLES

70% 70%
60% 60%
PERCENTAGE WHO MET THIS WAY
PERCENTAGE WHO MET THIS WAY

50% 50%
40% 40%
30% 30%
20% 20%
10% 10%
0% 0%
1940 1950 1960 1970 1980 1990 2000 2010 1980 1990 2000 2010
YEAR COUPLE MET YEAR COUPLE MET
Met Online Coworkers Family
Met through Met in Primary or

Met in College
Friends Secondary School
Bar/Restaurant Neighbors Met in Church
FIgure 12.1 The impact of the internet on Where People Meet

A unique data set allows us a glimpse at how the Internet has affected where people meet. A survey of 2,462 het-
erosexual couples and 462 same-sex couples asked where they met and the year they met. The results are displayed
above. Among heterosexual couples, meeting through friends has become less important since 1995; in 2010, about
20 percent met on the Internet. Among same-sex couples, there have been dramatic declines in the importance of all
the traditional sources, with almost 70 percent of those meeting in 2010 reporting they met on the Internet.
Source: M. J. Rosenfeld & R. J. Thomas (2012). “Searching for a mate: The rise of the Internet as a social intermediary.” American
Sociological Review, 77: 523–547.
seats. Moreover, the relationships were (Festinger, Schachter, & Back, 1950), and
closer in the class where seat assignments business offices (Schutte & Light, 1978).
were not changed. We are more likely to develop friend-
Similar positive associations between ships with persons in close proximity be-
physical proximity and friendship have cause such relationships provide interper-
been found in a variety of natural settings, sonal rewards at the lowest cost. Interaction
including dormitories (Priest & Sawyer, is easier with those who are close by. It costs
1967), married student housing complexes less time and energy to interact with the
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When we think about where people meet available partners, we often picture the singles bar. However,
studies of heterosexual relationships have found that relatively few people met their partners at a bar.
Much more common were meetings in classes, dorms, or workplaces. © Kzenon/Shutterstock
person sitting next to you than with some- Does mere exposure produce attrac-
one on the other side of the room. tion? The answer appears to be yes. In one
experiment, female undergraduates were
Familiarity asked to participate in an experiment on
their sense of taste. They entered a series of
As time passes, people who take the same booths in pairs and rated the taste of vari-
classes, live in the same apartment building, ous liquids. The schedule was set up so that
or do their laundry in the same place be- two participants shared the same booth
come familiar with each other. Having seen either once, twice, five times, ten times,
a person several times, sooner or later we or not at all. At the end of the experiment,
will smile or nod. Repeated exposure to the each woman rated how much she liked each
same novel stimulus is sufficient to produce of the other participants. As predicted, the
a positive attitude toward it; this is called more frequently a woman had been in the
the mere exposure effect (Zajonc, 1968). same booth with another participant, the
In other words, familiarity breeds liking, higher the rating (Saegert, Swap, & Zajonc,
not contempt. This effect is highly general 1973). Interestingly, the increase in liking
and has been demonstrated for a wide va- as a function of frequency of exposure is
riety of stimuli—such as music, visual art, greater for stimuli that are presented sub-
and comic strips—under many different liminally, of which the person is not con-
conditions (Harrison, 1977). sciously aware (Bornstein, 1992).
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Who IS deSIrable? as an intimate partner and more appro-

priate for some other kind of relationship.
We come into contact with many poten- Thus, a person who is much older but of the
tial partners, but contact by itself does not same social class and ethnicity may be ap-
ensure the development of a relationship. propriate as a mentor—someone who can
Whether a relationship of some type ac- provide advice about how to manage your
tually develops between two persons de- career. Potential dates are single persons
pends on whether each is attracted to the (of the opposite sex) who are of similar age,
other. Initial attraction is influenced by class, ethnicity, and religion. Same-sex cou-
social norms, physical attractiveness, and ples are less likely to be homogeneous on
processes of interpersonal exchange. If the race/ethnicity, age, and education, perhaps
attraction is mutual, the interaction that due to the limited availability of partners
occurs is governed by scripts. (Schwartz & Graf, 2007).
Norms that define appropriateness in-
Social Norms fluence the development of relationships in
several ways. First, each of us uses norms to
Each culture specifies the types of relation- monitor our own behavior. We hesitate to
ships that people may have. For each type, establish a relationship with someone who
norms specify what kinds of people are al- is defined by norms as an inappropriate
lowed to have such a relationship. These partner. Thus, a low-status person is un-
norms tell us which persons are appropri- likely to approach a high-status person as a
ate as friends, lovers, and mentors. In U.S. potential friend. For example, the law clerk
society, there is a norm of homogamy—a who just joined a firm would not discuss
norm requiring that friends, lovers, and his hobbies with the senior partner (unless
spouses be similar in age, race, religion, and she asked). Second, if one person attempts
socioeconomic status (Kerckhoff, 1974). to initiate a relationship with someone who
Research shows that homogamy is charac- is defined by norms as inappropriate, the
teristic of all types of social relationships other person will probably refuse to recip-
from acquaintance to intimate (McPherson, rocate. If the clerk did launch into an ex-
Smith-Lovin, & Cook, 2001). Interviews tended description of the joys of restoring
with 832 students attending the same (all- antique model trains, the senior partner
White) high school obtained data on their would probably end the interaction. Third,
romantic/sexual relationships (Bearman, even if both persons are willing to interact,
Moody, & Stovel, 2004). The students’ rela- third parties often enforce the norms that
tionships were homophilous on IQ, family prohibit the relationship (Kerckhoff, 1974).
socioeconomic status (SES), getting drunk, Another member of the firm might later
sexual activity, and college plans. chide the clerk for presuming that the se-
A survey of 3,342 adults assessed the nior partner cared about his personal inter-
extent to which partners in relationships ests.
were similar on the following dimensions At the beginning of the twenty-first cen-
(Laumann et al., 1994): 75 to 83 percent tury, interracial relationships continue to
were homophilous (similar) by age, 82 to 87 be rare in the United States. A study of ado-
percent by education, 88 to 93 percent by lescent friendships found that “best friends”
race/ ethnicity, and 53 to 72 percent by re- are typically of the same race/ethnicity, par-
ligion. Differences on one or more of these ticularly among Whites (92 percent) and
dimensions make a person less appropriate Blacks (85 percent), compared to Hispanics
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According to the matching hypothesis, people

seek partners whose level of social desirability
is about equal to their own. We frequently
encounter couples who are matched—that is, who
are similar in age, race, ethnicity, social class, and
physical attractiveness. © Cathy Yeulet/123rf
(51 percent) and Asians (48 percent) (Kao Impact of Physical Attractiveness. A
& Joyner, 2004). In 2010, only 9.5 percent of great deal of evidence shows that given a
married couples were interracial; of these, choice of more than one potential partner,
38 percent were White-Hispanic, 8 percent individuals will prefer the one who is more
were Black-White, and the rest were White- physically attractive (Hendrick & Hendrick,
other (U.S. Bureau of the Census, 2010). 1992). A study of 752 first-year college stu-
The norm of homogamy remains especially dents, for example, demonstrates that most
strong on this dimension (Blackwell & individuals prefer more attractive persons
Lichter, 2004). Research on interracial ro- as dates (Walster [Hatfield], Aronson,
mantic relationships found that non-White Abrahams, & Rottman, 1966). As part of
males reported more disapproval from their the study, students were invited to attend
White female partners’ family and friends a dance. Before the dance, each student’s
than any other race/gender combination physical attractiveness was secretly rated by
(Miller, Olson, & Fazio, 2004). four people, and each student completed a
questionnaire. Although the students were
Physical Attractiveness told they would be paired by the computer,
in fact, men and women were paired ran-
In addition to social norms that define who domly. At the dance, during the intermis-
is appropriate, individuals also have per- sion, students filled out a questionnaire that
sonal preferences regarding desirability. measured their impressions of their dates.
Someone may be normatively appropriate This study tested the matching hypothe-
but still not appeal to you. Physical attrac- sis—the idea that each of us looks for some-
tiveness can have a significant impact on one who is of approximately the same level of
desirability. social desirability. The researchers predicted
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that the students whose dates matched their son possesses other desirable qualities. Re-
own level of attractiveness would like their search consistently finds that we infer that
dates most. Those whose dates were very physically attractive people possess more
different in attractiveness were expected to favorable personality traits and are more
rate their dates as less desirable. Contrary likely to experience successful outcomes in
to the hypothesis, in this situation, students their personal and social lives (Berscheid &
preferred a more attractive date, regardless Reis, 1998; Lorenzo et al., 2010).
of their own attractiveness. There are limits to the influence of this
How can we explain the significance of stereotype. A meta-analysis of more than 70
attractiveness? One factor is simply esthetic; studies found that attractiveness has a mod-
generally, we prefer what is beautiful. Al- erate influence on judgments of social com-
though beauty is, to a degree, “in the eye of petence—how sensitive, kind, and interest-
the beholder,” cultural standards influence ing a person is (Eagly, Ashmore, Makhijani,
our esthetic judgments. A study of female & Longo, 1991). It has less influence on
facial beauty found substantial agreement judgments of adjustment and intelligence,
among male college students about which and no influence on judgments of integrity
features are attractive (Cunningham, 1986). or concern for others. Also, the influence of
These men rated such features as large eyes, attractiveness on judgments of intellectual
small nose, and small chin as more attrac- competence is reduced when other infor-
tive than small eyes, large nose, and large mation about the person’s competence is
chin. What male features do women find at- available (Jackson, Hunter, & Hodge, 1995).
tractive? Female college students rated men When we believe another person pos-
with large eyes, prominent cheekbones, and sesses certain qualities, those beliefs influ-
a large chin as more attractive (Cunning- ence our behavior toward that person. Our
ham, Barbee, & Pike, 1990). Research has actions may then lead him or her to behave
also found a high level of agreement among in ways that are consistent with our beliefs
men that certain female body shapes are (see Chap. 6). In one experiment, men were
more appealing than others (Wiggins, shown photographs of either an attractive
Wiggins, & Conger, 1968) and agreement or an unattractive woman. They were then
among women about which male body asked to interact with that woman via in-
shapes are attractive (Beck, Ward-Hull, & tercom for 10 minutes. The woman was
McLear, 1976). actually a student volunteer. Each con-
A second factor is that we anticipate versation was tape-recorded and rated by
more rewards when we associate with at- judges. Women who were perceived as at-
tractive persons. A man accompanied by an tractive by the men were rated as behaving
extremely attractive woman receives more in a more friendly, likable, and sociable way
attention and prestige from other per- than women who were perceived as unat-
sons than if he is seen with an unattractive tractive. This happened in part because the
woman, and vice versa (Sigall & Landy, men gave the target person opportunities
1973). to act in ways that would confirm their ex-
pectations based on the attractiveness ste-
The Attractiveness Stereotype. A third reotype (Snyder et al., 1977). This is a good
factor is the attractiveness stereotype— example of the self-fulfilling prophecy.
the belief that “what is beautiful is good” Judgments of attractiveness seem to be
(Dion, Berscheid, & Walster [Hatfield], based on several dimensions. College stu-
1972). We assume that an attractive per- dents were asked to sort photographs of 95
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female fashion models. Analyses suggested Research suggests that people who hold tra-
that both men and women distinguished ditional attitudes toward men and women
three dimensions in their judgments—sexy, are those whose judgments are much more
cute (youthful), and trendy (up to date in likely to be influenced by beauty (Touhey,
clothing and grooming) (Ashmore, Solo- 1979).
mon, & Longo, 1996).
Each of us knows that physically attrac- Evolutionary Perspective on Attractive-
tive people may receive preferential treat- ness. According to the evolutionary per-
ment. As a result, we spend tremendous spective, men and women have an evolved
amounts of time and money trying to in- disposition to mate with healthy individuals
crease our own attractiveness to others. so that they will produce healthy offspring,
Men and women purchase clothing, jewelry, who will in turn successfully mate and pass
perfumes, colognes, and hair color products on their genetic code. According to this
in an effort to enhance their physical attrac- view, facial and bodily physical attractive-
tiveness. Our choice of products reflects ness are markers for physical and hormonal
current standards of what looks good. health (Thornhill & Grammar, 1999). Thus,
Increasingly, people are using cosmetic we prefer young, attractive partners because
surgery to enhance their appearance. Plas- they have high reproductive potential.
tic surgeons can lift your eyelids; pin your Research based on this perspective ar-
ears; fill your wrinkles; reshape your nose, gues that women and men face different
jaw, or chin; enlarge your breasts, pecto- adaptive problems in short-term (casual)
rals, or penis; and suck the fat from your mating compared to long-term mating and
abdomen, thighs, or ankles. In 2012, over reproduction. These differences lead to dif-
10 million cosmetic procedures were per- ferent strategies or behaviors designed to
formed by board certified persons in the solve these problems. In short-term mat-
United States, 1.7 million of them involving ing, a woman may choose a partner who of-
surgery (American Society for Aesthetic fers her immediate resources such as food
Plastic Surgery, 2013). The vast majority or money (drinks, dinner?). In long-term
are elective—that is, intended to enhance mating, she will prefer a partner who ap-
appearance, reflecting the impact of the at- pears willing and able to provide resources
tractiveness stereotype. Ninety percent of for the indefinite future (marriage?). A man
the procedures are performed on women, may choose a sexually available woman for
reflecting the greater importance of attrac- a short-term liaison and avoid such women
tiveness to them. Critics point out that the when looking for a long-term mate. A study
procedures don’t always work; they may re- of mating strategies found that physical
sult in misshapen features, serious scarring, attractiveness and possession of resources
or even death. This is another example of were judged important in selecting a long-
the downside of self-presentational con- term mate, whereas sexual availability and
cerns (see Box 4.5). giving gifts were judged more important in
Not everyone prefers attractive persons. selecting a partner for a “one-night stand”
Many of us were taught—and some of us (Schmitt & Buss, 1996). Moreover, both
believe—that “beauty is only skin deep,” and men and women are more selective when
“you can’t judge a book by its cover.” What choosing a partner for a long-term rela-
kinds of people are influenced by another’s tionship (Stewart, Stinnett, & Rosenfeld,
attractiveness, and what kinds of people 2000). It is not surprising, according to
“read the book” before making a judgment? this perspective, that singles ads emphasize
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attractiveness and resources. It is also worth These might include companionship, a gain
noting that mate-selection criteria do not in knowledge, enhanced self-esteem, satis-
vary much by age in the range from age 20 faction of emotional needs, or sexual grati-
to age 60 (Buunk, Dijkstra, Fetchenhauer, & fication. Costs are the negative aspects of a
Kenrick, 2002). relationship, such as time spent, physical or
mental effort, embarrassment, anxiety, and
Attractiveness Isn’t Everything. Physical money.
attractiveness may have a major influence Exchange theory proposes that this is, in
on our judgments of others because it is fact, the way people view their interactions
readily observable. When we meet someone (Blau, 1964; Homans, 1974). People evalu-
for the first time, one characteristic we can ate interactions and relationships in terms
assess quickly is his or her attractiveness. of the rewards and costs that each is likely
If other relevant information is available, to entail. They calculate likely outcomes
it might reduce or eliminate the impact of by subtracting the anticipated costs from
attractiveness on our judgments. In fact, the anticipated rewards. If the expected
an analysis of 70 studies found that when outcome is positive, people are inclined to
perceivers have other personal information initiate or maintain the relationship. If the
about the target person, the effect of the at- expected outcome is negative, they are un-
tractiveness stereotype is smaller (Eagly et likely to initiate a new relationship or to
al., 1991). stay in an ongoing relationship. Dan antic-
ipated that a relationship with Mia would
Exchange Processes be rewarding; she would be fun to do things
with, and others would be impressed that
How do we move from the stage of aware- he was with such an attractive woman.
ness of another person to the stage of con- At the same time, he anticipated that Mia
tact? Recall that in our introduction, Dan would expect him to be committed to her
noticed Mia at every lecture. Because she and that he would have to spend time and
was young and not wearing a wedding ring, money on her. He would also have less time
Dan hoped that she was available. She was to play pickup basketball.
certainly desirable—she was very pretty and What standards can we use to evaluate
seemed like a friendly person. What factors the outcomes of a relationship? Two stan-
did Dan consider when deciding whether dards have been proposed (Kelley & Thi-
to initiate contact? One important factor in baut, 1978; Thibaut & Kelley, 1959). One
this decision is the availability and desirabil- is the comparison level (CL), the level of
ity of alternative relationships (Backman, outcomes expected based on the average of
1990). Thus, before Dan chose to initiate a person’s experience in past relevant re-
contact with Mia, he probably considered lationships. Each relationship is evaluated
whether there was anyone else who might as to whether it is above or below that per-
be a better choice. son’s CL—that is, better or worse than the
average of past relevant relationships. Rela-
Choosing Friends. We can view each ac- tionships that fall above a person’s CL are
tual or potential relationship—whether satisfying, whereas those that fall below it
involving a friend, coworker, roommate, are unsatisfying.
or romance—as promising rewards but en- If this were the only standard, we would
tailing costs. Rewards are the pleasures or always initiate relationships that appeared
gratifications we derive from a relationship. to promise outcomes better than those we
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already experienced and avoid relationships Once in proximity, a stranger attracted

that appeared to promise poorer outcomes. to another person wants to communicate
Sometimes, however, we use a second stan- interest without making a commitment to
dard. The comparison level for alterna- interaction. In initial encounters, the prob-
tives (CLalt) is the lowest level of outcomes lem can be resolved by using ambiguous
a person will accept in light of the available cues. In opposite-sex encounters, the gen-
alternatives. A person’s CLalt varies de- der that has “more to lose” (the woman)
pending on the outcomes that he or she will try to control the interaction; to do so,
believes can be obtained from the best of she will initially use nonverbal cues that
the available alternative relationships. The the man may not consciously perceive
use of CLalt explains why we may some- (Grammar, Kruck, Juette, & Fink, 2000).
times turn down opportunities that appear Researchers observed 45 male-female pairs
promising or why we may remain in a rela- of strangers (aged 18 to 23) left alone in a
tionship even though we feel that the other waiting room. Questionnaires completed
person is getting all the benefits. later were used to assess each participant’s
Whether a person initiates a new re- interest in the other person. Women inter-
lationship or not will depend on both the ested in the man were more likely to display
CL and the CLalt. An individual usually several cues, including short glances, coy
avoids relationships whose anticipated out- smiles, and primping (adjusting clothing
comes fall below the CL. If a potential re- without a visible reason). Men interested in
lationship appears likely to yield outcomes the woman were more likely to speak to her
above a person’s CL, initiation will depend in the first 3 minutes (a direct cue); if she re-
on whether the outcomes are expected to sponded with head nods, his rate of speech
exceed the CLalt. Dan believed that a rela- increased. This pattern is probably repeated
tionship with Mia would be very satisfying. many times every day in airplanes, on trains
He was seeing another woman, and that and buses, and in classes and waiting rooms
relationship was not gratifying. Thus, the (see Box 12.1).
potential relationship with Mia was above
both CL and CLalt, leading Dan to initiate Scripts. The development of relationships
contact. is influenced by an event schema or script.
Whereas CL is an absolute, relatively un- A script specifies (1) the definition of the
changing standard, several factors influence situation (a hook-up, date, or job inter-
a person’s CLalt. These factors include the view), (2) the identities of the social actors
extent to which routine activities provide involved, and (3) the range and sequence of
opportunities to meet people, the size of the permissible behaviors (see Chap. 6). Recall
pool of eligible persons, and one’s skills in our discussion of symbolic interaction the-
initiating relationships. ory in Chapter 1.
The initiation of a relationship requires
Making Contact. Once we decide to ini- an opening line. Often, it is about some fea-
tiate interaction, the next step is to make ture of the situation. At the beginning of
contact. Sometimes we use technology, this chapter, Dan initiated the conversation
such as the telephone or e-mail. Often, we by commenting that Mia never missed the
arrange to get physically close to the per- class. Two people waiting to participate in
son. At parties and in bars, people often a psychology experiment may begin talking
circulate, which brings them into physical by speculating about the purpose of the
proximity with many of the other guests. experiment. The weather is a widely used
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Box 12.1 research update: Flirting
A distinctive class of communicative behaviors who used more space with their bodily position
is flirting, or courtship signaling (Birdwhistell, and movements, used fewer closed-body move-
1970). The term refers to a class of nonverbal be- ments (for example, arms folded), and engaged
haviors exhibited by a man/woman that serves in more nonreciprocated touching of other men
to attract the attention and elicit the approach of were more likely to make contact.
another man/woman (after Moore, 1985). A cat- While often it is the man who physically
alog of movements used by adult women to at- approaches and initiates verbal interaction, re-
tract men has been developed by Moore (1985), search indicates that women take the initiative,
and a catalog of movements used by men to at- using nonverbal signals, in encouraging the
tract women has been developed by Renninger, man to initiate contact. Men (and women) are
Wade, and Grammar (2004); both are based on reluctant to approach another person without
naturalistic observation. Traditional flirting in- invitation because of the possibility of rejection.
cludes gestures such as hair tossing, licking lips, Evolutionary analyses of mating point out that
or smiling, primping, touching hair or clothing, since women make the greater investment in
eye movements such as arching an eyebrow or offspring, they are the choosers. Thus, women se-
direct glance, bodily movements that mirror an- lectively encourage some men to approach but
other person’s movement, or the wearing of re- not others.
vealing or seductive clothing (Whitty, 2004). Women are said to be looking for a high-sta-
Renninger and colleagues observed men in tus male. The male behaviors identified by Ren-
bars; each man was observed for 30 minutes, ninger and colleagues as successful in producing
and each occurrence of 14 nonverbal behaviors contact, such as nonreciprocated touching and
that might attract a woman’s attention was re- use of greater space, are thought to be behaviors
corded. The average interobserver reliability was that indicate high status.
0.84. The outcome, making contact, was defined Moore (1985) began her research by observ-
as 1 minute or more of continual conversation ing 200 White women, judged to be aged 18 to
with a female. The results showed that men who 35, and recording their nonverbal behavior. A
engaged in short, direct glances at the woman, woman not accompanied by a man was selected
topic for openings. Following a first con- to know, evaluate, talk, laugh, joke, eat, at-
tact or meeting, we may check out the other tempt to make out/accept or reject, take
person online, at Facebook, LinkedIn, or date home, kiss, go home. In general, both
similar sites. men and women ascribed a proactive/ag-
Once initiated, scripts specify the per- gressive role to the man and a reactive role
missible next steps. American society—or to the woman. Recent research asked un-
at least the subculture of college students— dergraduates to describe a “typical date”; in
is characterized by a specific script for “first general, the descriptions were very similar
dates” (Rose & Frieze, 1993). When asked to those reported 15 years earlier, indicating
to describe “actions that a woman (man) the persistence of the traditional, gendered
would typically take” on a first date, both script (Bartoli & Clark, 2006). Research has
men and women identified a core action examined differences between Black and
sequence: dress, be nervous, pick up date, White undergraduates in the emphasis they
leave (meeting place), confirm plans, get place on certain aspects of dating (Jackson
9780813349503.indb 410 5/16/14 1:50 PM

at random and observed for at least 30 minutes were present and she was not accompanied by a
in settings where there were at least 20 men and man. The display of courtship signals was clearly
women present. Observers recorded every be- context-specific. Women were much more likely
havior of the focal subject and its consequences. to engage in these behaviors in the singles bar,
Flirting, or a nonverbal solicitation behavior, was and least likely to engage in them at women’s
defined as a behavior that resulted in a man’s at- center meetings.
tention within 15 seconds. Subsequent research Once a couple begins to interact, flirting is
(Moore & Butler, 1989) describes behaviors that reciprocal (Back et al., 2011). Three-minute in-
attract male attention and those that maintain teractions were videotaped in a speed-dating
his attention after interaction begins. Male at- setting. Raters viewed the tapes and rated how
tention is likely to follow a room-encompassing much each person was flirting every 30 seconds.
glance, a smile while looking at him, patting or Flirting by one person was highly correlated with
smoothing the hair, the “lip lick,” or a head toss. being flirted at by the other.
Once verbal interaction begins, male attention is Most research on flirting has been done in ro-
maintained by frequent head nods while he talks, mantic settings where the motivation is to meet
leaning close to him, and touching or brushing someone. However, these behaviors occur in
part of the body against him. other settings, and may reflect other motivations
Moore and Renninger, and others, provide (Henningsen et al., 2008). One study assessed
contextual evidence for the assertion that these motives for flirting in samples of undergraduates
behaviors are courtship signals. If these behav- (average age 20) and full-time workers (average
iors are intended to attract male/female atten- age 33.5). Students viewed flirting as motivated
tion, we should observe them in contexts where by sexual interest or the desire to advance a rela-
such solicitations are likely, such as bars, but tionship. Workers were more likely to view flirting
not in settings where no members of the other as intended to achieve an instrumental goal, for
gender are present. Moore studied 10 women in example, get a coworker to do a favor or make
each of four social settings: singles bar, university a sale.
snack bar, university library, and women’s center
meeting. Again, focal sampling was employed; a
woman was observed only if at least 25 people
et al., 2011). African Americans place more tions of women are engaging in these tradi-
importance on giving and receiving gifts, tionally male activities.
and meeting members of the date’s family. Since 2000, the “hook-up” has become
Whites place greater emphasis on hanging increasingly common on college campuses,
out with the date’s friends. and some observers suggest it has replaced
Actual first dates, of course, are char- dating. Research suggests that hook-ups are
acterized by departures from the script. very similar to dates. Men still initiate con-
A study of college students focused on tact and direct activities, couples still talk
whether the roles of men and women are and evaluate possible relationships/activi-
changing (Lottes, 1993). Both men and ties, leave the meeting place, and eventually
women were asked about the extent to go home (Eaton & Rose, 2011). The differ-
which they had experienced the woman’s ence is that dates are perceived as the first
initiating a date, initiating sexual intimacy, stage in the development of a longer-term
and paying for a date. Increasing propor- relationship, whereas the hook-up is not.
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women’s magazines portrayed men as in-

competent about relationships.
the deterMInantS of lIKIng
Once two people make contact and begin to

interact, several factors will determine the
extent to which each person will like the
other. Three of these factors are considered
in this section: similarity, shared activities,
and reciprocal liking.
Similarity
How important is similarity? Do “birds of

a feather flock together”? Or do “opposites
attract”? These two aphorisms about the
determinants of liking are inconsistent and
provide opposing predictions. A good deal
of research has been devoted to finding out
In the traditional dating script, males paid for the which one is more accurate. The evidence
activity, but young men and women report that indicates that birds of a feather do flock
the female is increasingly paying, at least some of together—that is, we are attracted to peo-
the time. © gchutka/iStock
ple who are similar to ourselves (Markey &
Markey, 2007). Probably the most import-
How do we learn these scripts, and the ant kind of similarity is attitudinal similar-
departures from them? One source is the ity—the sharing of beliefs, opinions, likes,
mass media. Both men and women learn and dislikes.
about relationships and how to handle them
from popular magazines. A study of maga- Attitudinal Similarity. A widely employed
zines oriented toward women (Cosmopoli- technique for studying attitudinal similarity
tan, Glamour, and Self) and men (Playboy, is the attraction-to-a-stranger paradigm,
Penthouse, and GQ) found that they por- initially developed by Byrne (1961b). Po-
trayed relationships in similar terms (Du- tential participants fill out an attitude ques-
ran & Prusank, 1997). The dominant focus tionnaire that measures their beliefs about
in both types of magazines was sexual re- various topics, such as life on a college cam-
lationships. In women’s magazines (January pus. Later, participants receive information
1990 to December 1991), the themes were about a stranger as part of a seemingly un-
(1) women are less skilled at and more anx- related study. The information they receive
ious about sex and (2) sex is enjoyed most describes the stranger’s personality or social
in caring relationships. In men’s magazines background and may include a photograph.
during the same period, the themes were They also are given a copy of the same ques-
(1) men are under attack in sexual relation- tionnaire they completed earlier, ostensibly
ships and (2) men have natural virility and filled out by the stranger. In fact, the strang-
strong sexual appetites. Also, the articles in er’s questionnaire is completed by the ex-
9780813349503.indb 412 5/16/14 1:50 PM

perimenter, who systematically varies the ness before he or she left on the date. When
degree to which the stranger’s supposed re- they returned, the couple rated each other’s
sponses match the participant’s responses. sexual attractiveness, desirability as a date,
After seeing the stranger’s questionnaire, and desirability as a marriage partner, and
the participants are asked how much they indicated how much they liked each other.
like or dislike the stranger and how much The experimenter also recorded the physi-
they would enjoy working with that person. cal distance between the two as they stood
In most cases, the participant’s attrac- in front of his desk.
tion to the stranger is positively associated The results of this experiment showed
with the percentage of attitude statements that both attitudinal similarity and physical
by the stranger that agree with the par- attractiveness influenced liking. Partners
ticipant’s own attitudes (Byrne & Nelson, who were attractive and who held highly
1965; Gonzales, Davis, Loney, Lukens, & similar attitudes were rated as more lik-
Junghans, 1983). We rarely agree with our able. Moreover, similar partners were rated
friends about everything; what matters is as more intelligent and more desirable as
that we agree on a high proportion of is- a date and marriage partner. The couples
sues. This relationship between similarity high in similarity stood closer together af-
of attitudes and liking is very general; it has ter their date than the couples low in sim-
been replicated in studies using both men ilarity—another indication that similarity
and women as participants and strangers creates liking.
under a variety of conditions (Berscheid & At the end of the semester, 74 of the 88
Walster [Hatfield], 1978). participants in this study were contacted
In the attraction-to-a-stranger paradigm, and asked whether they (1) could remem-
the participant forms an impression of a ber their date’s name, (2) had talked to their
stranger without any interaction. This allows date since their first meeting, (3) had dated
researchers to determine the precise rela- their partner, or (4) wanted to date their
tionship between similarity and liking. But partner. Participants in the high attractive-
what do you think the relationship would ness/high similarity condition were more
be if two people were allowed to interact? likely to remember their partner’s name, to
Would similarity have as strong an effect? report having talked to their partner, and to
A study attempting to answer this ques- report wanting to date their partner than
tion arranged dates for 44 couples (Byrne, those in the low attractiveness/low similar-
Ervin, & Lamberth, 1970). Researchers dis- ity condition.
tributed a 50-item questionnaire measuring The story of Dan and Mia at the begin-
attitudes and personality to a large sample ning of this chapter illustrates the impor-
of undergraduates. From these question- tance of similarity in the early stages of a
naires, they selected 24 male-female cou- relationship. After their initial meeting,
ples whose answers were very similar (66 they discovered they had several things in
to 74 percent identical) and 20 couples common. They were from the same city.
whose answers were not similar (24 to 40 They had chosen the same major and held
percent identical). Each couple was intro- similar beliefs about their field and about
duced, told they had been matched by a how useful a bachelor’s degree would be in
computer, and asked to spend the next 30 that field. Each also found the other attrac-
minutes together at the student union; they tive; like the participants in the high attrac-
were even offered free sodas. The experi- tion/high similarity condition, Dan and Mia
menter rated each participant’s attractive- continued to talk after their first meeting.
9780813349503.indb 413 5/16/14 1:50 PM

Why Is Similarity Important? Why does Research indicates that similarity in

attitudinal similarity produce liking? One mood is also an important influence on
reason is the desire for consistency between attraction. In the attraction-to-a-stranger
our attitudes and perceptions. The other paradigm, nondepressed participants pre-
reason focuses on our preference for refer nondepressed strangers (Rosenblatt &
warding experiences. Greenberg, 1988). In an experiment, male
Most people desire cognitive consis- and female students interacted with a de-
tency—consistency between attitudes and pressed or nondepressed person of the same
perceptions of whom and what we like and sex. People in homogeneous pairs (both de-
dislike. If you have positive attitudes toward pressed or both nondepressed) were more
certain objects and discover that another satisfied with the interaction than people
person has favorable attitudes toward the in mixed pairs (Locke & Horowitz, 1990).
same objects, your cognitions will be con- In another study, researchers measured the
sistent if you like that person (Newcomb, depression levels of people and of their best
1971). When Dan discovered that Mia had friends. Depressed people had best friends
a positive attitude toward his major, his who were also depressed (Rosenblatt &
desire for consistency produced a positive Greenberg, 1991).
attitude toward Mia (see Balance Theory, Third, we like others who share similar
Chap. 7). Our desire for consistency attracts attitudes because we expect that they will
us to persons who hold the same attitudes like us. In one experiment, college students
toward important objects. were given information about a stranger’s
Another reason we like persons with at- attitudes and the stranger’s evaluation of
titudes similar to our own is because our them (Condon & Crano, 1988). The partic-
interaction with them provides three kinds ipants’ perceptions of the stranger’s simi-
of reinforcement. First, interacting with larity to and evaluation of them were also
persons who share similar attitudes usually assessed. The students were attracted to
leads to positive outcomes (Lott & Lott, strangers whom they perceived as evaluat-
1974). At the beginning of this chapter, Dan ing them positively, and that accounted for
anticipated that he and Mia would get along the influence of similar attitudes.
well because they shared similar likes and
dislikes. Shared Activities
Second, similarity validates our own view
of the world. We all want to evaluate and As people interact, they share activities. Re-
verify our attitudes and beliefs against some call that after Mia and Dan met, they began
standard. Sometimes, physical reality pro- to sit together in class and to discuss course
vides objective criteria for our beliefs. But work. When the professor announced the
often there is no physical standard, and so first exam, Dan invited Mia to study for it
we must compare our attitudes with those of with him. Mia’s roommate was also in the
others (Festinger, 1954). Persons who hold class; the three of them reviewed the mate-
similar attitudes provide us with support for rial together the night before the exam. Mia
our own opinions, which allows us to deal and Dan both got As on the exam, and each
with the world more confidently (Byrne, felt that studying together helped. The next
1971). Such support is particularly im- week, they went to a movie together. Sev-
portant in areas, such as political attitudes, eral days later, she invited Dan to a party.
where we realize that others hold attitudes Shared activities provide opportunities
dissimilar to our own (Rosenbaum, 1986). for each person to experience reinforce-
9780813349503.indb 414 5/16/14 1:50 PM

ment. Some of these reinforcements come research suggests that secrecy will be as-
from the other person; Mia finds Dan’s sociated with greater attraction (Wegner,
interest in her very reinforcing. Often, the Lane, & Dimitri, 1994). But if shared ac-
other person is associated with a positive tivities are important, absence will prevent
experience, which leads us to like the other the development of shared reinforcements
person (Byrne & Clore, 1970). Getting an A and may increase costs, such as a sense of
on the examination was a very positive ex- burden (a sense that the relationship is dif-
perience for both Dan and Mia. The asso- ficult to coordinate, requires a great deal of
ciation of the other person with that expe- work, energy). A series of studies found that
rience led to increased liking for the other. participants in secret relationships reported
Thus, as a relationship develops, the greater burden, less satisfaction, and lower
sharing of activities contributes to in- relationship quality than persons in open
creased liking. This was shown in a study ones (Foster & Campbell, 2005). People in
in which pairs of friends of the same sex secret relationships also reported signifi-
both filled out attitude questionnaires and cantly less love for their partner. These re-
listed their preferences for various activities sults strengthen the conclusion that shared
(Werner & Parmelee, 1979). The duration activities make an important difference.
of the friendships averaged 5 years. The re-
sults of the study showed similarity between Reciprocal Liking
friends in both activity preferences and at-
titudes. A study of romantic relationships One of the most consistent research find-
found that sharing of tasks or activities was ings is the strong positive relationship be-
a strong predictor of liking (Stafford & Ca- tween our liking someone and the percep-
nary, 1991). Thus, participation in mutually tion that the other person will like us in
satisfying activities is a strong influence on return (Backman, 1990). In most relation-
the development and maintenance of re- ships, we expect reciprocity of attraction;
lationships. The results of a series of five the greater the liking of one person for the
studies indicate that participation in novel other, the greater the other person’s lik-
and arousing activities rather than mun- ing will be in return. But will the degree of
dane and trivial pursuits is associated with reciprocity increase over time as partners
relationship quality (Aron, Norman, Aron, have greater opportunities to interact? To
McKenna, & Heyman, 2000). As Dan and answer this question, one study obtained
Mia got to know each other, their shared liking ratings from 48 persons (32 men and
experiences—studying, seeing movies, go- 16 women) who had been acquainted for 1,
ing to parties—became the basis for their 2, 4, 6, or 8 weeks (Kenney & La Voie, 1982).
relationship, supplementing the effect of The results showed a positive correlation
similar attitudes. between each person’s liking rating and the
If shared activities are important, what other’s, and the reciprocity of attraction
happens when a couple does not do things increased somewhat with the duration of
together? This is not an idle question; many the acquaintance. Some participants in this
students and working adults are separated study were roommates rather than friends;
from their partner by distance, and may they would be expected to like each other
see each other (share activities) only occa- due to the proximity effect. When room-
sionally. What about secret relationships, mate pairs were eliminated from the re-
where contact is limited by the need to pre- sults, the correlation between liking ratings
vent others from learning about it? Some increased substantially.
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Box 12.2 online relationships: Are They Different?
Most of the literature reviewed so far in this chap- Research indicates that some online daters
ter is based on or assumes face-to-face interac- engage in misrepresentation. In an online sur-
tion. Internet technologies, especially instant vey of 6,581 Canadian users of such services,
messaging and chat rooms, which allow synchro- more than 25 percent reported misrepresenting
nous interaction, create the possibility of devel- themselves online; the most common areas were
oping or sustaining intimate relationships with- age (14 percent), marital status (10 percent),
out meeting face-to-face. How do the processes and appearance (10 percent) (Brym & Lenton,
involved differ? 2001). Ellison and colleagues (2006) interviewed
We discussed self-presentation online in 34 participants in Connect.com; half were male,
Chapter 4. In face-to-face interaction, potential most were in their 30s or 40s. They found that
partners have access to a broad array of non- because participants wanted to create a positive
verbal cues in addition to verbal messages in impression, some described online a future, po-
forming an impression. Online, potential part- tential self, rather than the (current) self; they did
ners only have access to messages crafted by the not perceive this as misrepresentation. Another
person. Participants realize that self-presentation source of misrepresentation is limited self-aware-
in the making contact stage is critical, because ness; as we saw earlier, we do not necessarily see
potential partners will use it to decide whether ourselves as others see us.
to explore possible relationships. So, in crafting Another study focused on accuracy of profiles
a self-presentation, the person wants to empha- posted on online dating sites. Researchers re-
size positive characteristics; at the same time, cruited subscribers to these sites; the sample was
if there is a possibility or hope of meeting, the 50 percent male, and many participants were in
presentation must be credible, if not authentic their 20s. Participants were given a printed copy
(Ellison, Heino, & Gibbs, 2006). Also, as in offline of their profile and asked to rate the accuracy of
relationships, accurate self-disclosure is related 15 informational items and of their photo. Upon
to the development of intimacy, increasing mo- completion of the ratings, the height and weight
tivation to be honest. of the participant were measured, and age listed
the groWth of relatIonShIPS regularly but to whom we do not feel espe-

cially close. A few of our relationships grow
We have traced the development of rela- closer; they proceed through “moderate”
tionships from the stage of zero contact to “major” mutuality. Three aspects of this
through awareness (who is available) and continued growth of relationships are ex-
surface contact (who is desirable) to mu- amined in this section: self-disclosure, trust,
tuality (liking). At the beginning of this and interdependence. As the degree of mu-
chapter, Dan and Mia met, discovered that tuality increases between friends, room-
they had similar attitudes and interests, and mates, and coworkers, self-disclosure, trust,
shared pleasant experiences, such as doing and interdependence also will increase.
well on an examination, going to a movie,
and later, going to a party. Self-Disclosure
Many of our relationships remain at the
“minor” level of mutuality. We have nu- Recall that when Dan and Mia returned
merous acquaintances, neighbors, and co- from the party, Mia told Dan that her room-
workers whom we like and interact with mate’s parents had just separated and that
9780813349503.indb 416 5/16/14 1:50 PM

on the profile was compared with age on the term dating, of meeting a special person, and of
driver’s license. differences were very common, finding a life/marital partner. Those who rated
and usually small. Men were more likely to lie these goals as more important reported that they
about their height, women to lie about their were more honest and intentional in their online
weight; the more the person deviated from the self-disclosures.
average, the bigger the lie. Overall, the partici- We noted earlier that the inclusion or exclu-
pants rated their profile photos as least accurate, sion of sexual language is considered significant
and their reported relationship status as most ac- by recipients of messages. Talk about sex can be
curate (Toma, Hancock, & Ellison, 2008). sexually arousing, providing one motive for its in-
Recognizing that others are motivated to clusion. Expressions by another of sexual desire
present a positive image and may misrepresent for you may give your self-esteem a boost. Also, if
themselves, participants in online dating care- one’s relational goal is a relationship that involves
fully attend to subtle cues in others’ messages. sexual intimacy, that needs to be communicated
They scrutinize the writing for spelling or gram- to potential partners. On the other hand, others
matical mistakes, the style of the writing, and de- may be turned off by direct, explicit statements
scriptors of the person. The inclusion/exclusion of sexual interest. A study of 30-minute conver-
of sexual language is noted. Other aspects, such sations from English and Spanish chat rooms
as user name, service provider, and time of day examined the conversational negotiation of sex-
the message was sent, may influence inferences uality. Participants often embedded sexual con-
by the recipient. tent in a “play” frame, characterized by the use
Gibbs, Ellison, and Heino (2006) conducted of emoticons and acronyms conveying laughter
an online survey of members of Match.com; 56 and joking, using verbal reproductions of humor-
percent of the respondents were female, 93 per- ous or childish pronunciations of sexual terms,
cent were White, and many were in their 40s. and the taking on of alternative roles via humor-
Participants adapt their behavior/responses to ous, or subtly sexual screen names. These tech-
the verbal and linguistic cues in messages they niques balance the inclusion of sexual content
receive. The survey contained a three-item mea- and adherence to constraints on public sex talk
sure of relational goals: the importance of long- (del-Teso-Craviotto, 2006).
her roommate was very depressed. Mia said Self-disclosure increases as a relation-
that she didn’t know how to help her room- ship grows. In one study, same-sex pairs of
mate—that she felt unable to deal with the previously unacquainted college students
situation. At this point, Mia was engaging were brought into a laboratory setting and
in self-disclosure—the act of revealing per- asked to get acquainted (Davis, 1976). They
sonal information about oneself to another were given a list of 72 topics. Each topic
person. Self-disclosure usually increases had been rated earlier by other students on
over time in a relationship. Initially, people a scale of intimacy from 1 to 11. The par-
reveal things about themselves that are not ticipants were asked to select topics from
especially intimate and that they believe the this list and to take turns talking about each
other will readily accept. Over time, they topic for at least 1 minute while their part-
disclose increasingly intimate details about ner remained silent. The interaction con-
their beliefs or behavior, including infor- tinued until each partner had spoken on 12
mation they are less certain the other will of the 72 topics. The results showed that
accept (Backman, 1990). the intimacy of the topic selected increased
steadily from the first to the twelfth topic
9780813349503.indb 417 5/16/14 1:50 PM

chosen. The average intimacy of topics dis- research has shown that self-disclosure de-
cussed by each couple increased from 3.9 to pends not only on gender but also on the na-
5.4 over the 12 disclosures. Research also ture of the relationship. In casual relation-
indicates that greater self-disclosure during ships (with men or women), men are less
a 10-minute conversation was associated likely to disclose personal information than
with an increase in positive affect—hap- women (Reis, Senchak, & Solomon, 1985).
piness, excitement—and attraction to the In dating couples, the amount of disclosure
partner (Vittengl & Holt, 2000). is related more to gender role orientation
When Mia told Dan about the situation than to gender. Men and women with tradi-
with her roommate, Dan replied that he tional gender role orientations disclose less
knew how she felt, because his older brother to their partners than those with egalitarian
had just separated from his wife. This ex- gender role orientations (Rubin, Hill, Pep-
change reflects reciprocity in self-disclosure; lau, & Dunkel-Scheker, 1980). Traditional
as one person reveals an intimate detail, the gender roles are more segregated, with
other person usually discloses information each person responsible for certain tasks,
at about the same level of intimacy (Altman whereas egalitarian orientations emphasize
& Taylor, 1973). In the Davis (1976) study, sharing. An emphasis on joint activity leads
each participant selected a topic at the same to greater self-disclosure. In intimate het-
level of intimacy as the preceding one or at erosexual relationships, men and women
the next level of intimacy. However, reci- do not differ in the degree of self-disclosure
procity decreases as a relationship develops. (Hatfield, 1982; Mitchell et al., 2008).
In another study, a researcher recruited stu- A study of self-disclosure by young adults
dents to be participants and asked each to inquired about the extent to which each had
bring an acquaintance, a friend, or a best disclosed in a variety of domains, including
friend to the laboratory (Won-Doornink, sexual activities, shameful events, personal
1985). Each dyad was given a list of topics health, and feelings and traumas. Generally,
that varied in degree of intimacy. Each was there were no differences between men and
instructed to take at least four turns choos- women. African-American and young men
ing and discussing a topic. Each conversa- were significantly less likely to disclose, but
tion was tape-recorded and later analyzed analyses suggested this was related to low
for evidence of reciprocity. The association income rather than to ethnicity and gender
between the stage of the relationship and (Consedine, Sabag-Cohen, & Krivoshekova,
the reciprocity of intimate disclosures was 2007).
curvilinear—that is, there was greater rec- The work discussed so far is concerned
iprocity of intimate disclosures between with the intimacy of self-disclosure. But
friends than between acquaintances but self-disclosure is a complex phenomenon
less reciprocity between best friends than and has several characteristics including
among friends (see Figure 12.2). content (information about self or about
Not all people divulge increasingly per- the relationship), amount, and emotional
sonal information as you get to know them. tone (Bradford, Feeney, & Campbell, 2002).
You have probably known people who were Using diaries, researchers gathered data on
very open—who readily disclosed informa- 1,908 conversations lasting more than 10
tion about themselves—and others who minutes from both members of the cou-
said little about themselves. In this regard, ple. The results indicated that disclosures
we often think of men as less likely to dis- could be scored on these dimensions and
cuss their feelings than women. However, that there were differences in intimacy and
9780813349503.indb 418 5/16/14 1:50 PM

45
40
NUMBER OF RECIPROCAL SELF-DISCLOSURES
35
30
25
20
15
10
0
Early Middle Advanced
STAGE OF RELATIONSHIP
Nonintimate Topic Medium Intimate Topic Intimate Topic
FIgure 12.2 The Relationship Between Reciprocity and intimacy

Reciprocity—picking a topic of conversation that is as intimate as the last topic introduced by your partner—is the
process by which relationships become more intimate. The extent of reciprocity depends on the intimacy of the topic
and the stage of the relationship. Students talked with an acquaintance (early stage), friend (middle stage), or best
friend (advanced stage). With topics that were not intimate (such as the weather), reciprocity declined steadily as the
stage increased. With intimate topics, in contrast, reciprocity was greatest at the middle stage, less at the advanced
stage, and least at the early stage of a relationship.
Source: Adapted from Won-doornink, 1985, Figure 4.
amount of disclosure related to the part- When we trust someone, we believe that
ner’s attachment style. person is both honest and benevolent (Lar-
zelere & Huston, 1980). We believe that the
Trust person tells us the truth—or at least does
not lie to us—and that his or her intentions
Why did Dan confide in Mia that his brother toward us are positive. One measure of in-
had just left his wife? Perhaps he was offer- terpersonal trust is the interpersonal trust
ing reciprocity in self-disclosure. Because scale reproduced in Table 12.1. The ques-
Mia had confided in Dan, she expected him tions focus on whether the other person is
to reciprocate. But had he been suspicious selfish, honest, sincere, fair, or considerate.
of Mia’s motives, he might not have. This We are more likely to disclose personal in-
suggests the importance of trust in the de- formation to someone we trust. How much
velopment of a relationship. do you trust your partner? Answer the
9780813349503.indb 419 5/16/14 1:50 PM

TABle 12.1 interpersonal Trust scale

STronglY SlIghTlY SlIghTlY STronglY
Agree Agree Agree ? DISAgree DISAgree DISAgree
1. My partner is primarily interested

in his or her own welfare. ______ ______ ______ ______ ______ ______ ______
2. There are times when my partner

cannot be trusted. ______ ______ ______ ______ ______ ______ ______
3. My partner is perfectly honest and

truthful with me. ______ ______ ______ ______ ______ ______ ______
4. I feel I can trust my partner

completely. ______ ______ ______ ______ ______ ______ ______
5. My partner is truly sincere in his or

her promises. ______ ______ ______ ______ ______ ______ ______
6. I feel my partner does not show

me enough consideration. ______ ______ ______ ______ ______ ______ ______
7. My partner treats me fairly and

justly. ______ ______ ______ ______ ______ ______ ______
8. I feel my partner can be counted

on to help me. ______ ______ ______ ______ ______ ______ ______
Note: For items 1, 2, and 6, Strongly Agree 1, Agree 2, Slightly Agree 3, and so on. For items 3, 4, 5, 7, and 8, the scoring is reversed.
Source: Adapted from “The dyadic Trust Scale: Toward Understanding Interpersonal Trust in Close Relationships,” by Larzelere and
Huston, Journal of Marriage and the Family, 42(3). Copyright 1980 by the National Council on Family Relations, 3989 Central Ave. NE,
Suite 550, Minneapolis, MN 55421. Reprinted by permission.
questions on the scale and determine your Each person was also asked how much he
score. Higher scores indicate greater trust. or she had disclosed to the partner in each
To study the relationship between trust of six areas—religion, family, emotions,
and self-disclosure, researchers recruited relationships with others, school or work,
men and women from university classes, and marriage. Trust scores were positively
from a list of people who had recently ob- correlated with self-disclosure—that is, the
tained marriage licenses, and by calling more the person trusted the partner, the
persons randomly selected from the tele- greater the degree of self-disclosure.
phone directory. Each person was asked Other research on interpersonal trust
to complete a questionnaire concerning suggests that in addition to honesty and
his or her spouse or current or most re- benevolence, reliability is an important as-
cent date. The survey included the scale in pect of trust. We are more likely to trust
Table 12.1. Researchers averaged the trust someone who we feel is reliable—on whom
scores for seven types of relationships, as we can count (Johnson-George & Swap,
shown in Figure 12.3. Note that as the re- 1982)—and predictable (Rempel, Holmes,
lationship becomes more exclusive, trust & Zanna, 1985).
scores increase significantly. Is there a rela- Many couples today are involved in
tionship between trust and self-disclosure? long-distance relationships; they are com-
9780813349503.indb 420 5/16/14 1:50 PM

60
48.5 48.7 49.4
50 46.8
43.6
40.5
40
TRUST
30 27.1
20
10
0
d
ers
ed
ed
s
ed
rce
tin
tin
ag
rri
rtn
yw
Da
Da
ivo
Ma
ng
Pa
wl
y
ely
/D
/E
all
ng
Ne
ing
ed
siv
su
ati
rat
clu
Ca
bit
-d
pa
Ex
ha
Ex
Se
Co
TYPE OF RELATIONSHIP
FIgure 12.3 Average interpersonal Trust scores for seven Types of heterosexual Relationships
Trust involves two components: the belief that a person is honest and that his or her intentions are benevolent. More
than 300 persons completed the interpersonal trust scale (see Table 12.1) for their current or most recent heterosexual
partner. Results showed a strong relationship between the degree of intimacy in a relationship and the degree of trust.
Source: Adapted from “The dyadic Trust Scale: Toward Understanding Interpersonal Trust in Close Relationships,” by Larzelere and
Huston, Journal of Marriage and the Family, 42(3). Copyright 1980 by the National Council on Family Relations, 3989 Central Ave.
NE, Suite 550, Minneapolis, MN, 55421. Reprinted by permission.
mitted to each other but do not live in Interdependence

the same city or state or even country. A
longitudinal study of student couples who Earlier in this chapter, we noted that peo-
were exclusively dating compared couples ple evaluate potential and actual relation-
in same-city and long-distance relationships in terms of the outcomes (rewards
ships (Cameron & Ross, 2007). Research- minus costs) they expect to receive. Dan
ers reasoned that relational security, a initiated contact with Mia because he an-
sense of trust and faith in the partner, ticipated that he would experience positive
would be especially important in the sur- outcomes. Mia encouraged the develop-
vival of long-distance relationships. High ment of a relationship because she, also, ex-
relational security among both men and pected the rewards to exceed the costs. As
women predicted stability of all relation- their relationship developed, each discov-
ships one year later. Long-distance rela- ered that the relationship was rewarding.
tionships were significantly more likely to Consequently, they increased the time and
break up; long-distance relationships in energy devoted to their relationship and
which the man reported lower relational decreased their involvement in alternative
security and higher negative affect (low relationships. As their relationship became
self-esteem, optimism) at Time 1 were increasingly mutual, Mia and Dan became
more likely to break up. increasingly dependent on each other for
9780813349503.indb 421 5/16/14 1:50 PM

various rewards (Backman, 1990). The re- ities they both liked, such as preparing food
sult is strong, frequent, and diverse interde- and running errands. Some couples experi-
pendence (Kelley et al., 1983). enced continuing conflict over what to do.
Increasing reliance on one person for A potential reward in many relationships
gratifications and decreasing reliance on is sexual gratification. As relationships de-
others is called dyadic withdrawal (Slater, velop and become more mutual, physical
1963). One study of 750 men and women intimacy increases as well. The couple ne-
illustrates the extent to which such with- gotiates the extent of sexual intimacy, with
drawal occurs. Students identified the in- the woman’s preferences having a greater
tensity of their current heterosexual rela- effect on the outcome (Lear, 1997). How im-
tionships, then listed the names of persons portant is sexual gratification in dating rela-
whose opinions they considered important. tionships? A study of 149 couples assessed
They also indicated how important each the importance of various rewards in rela-
person’s opinions were and how much they tionships of increasing intimacy (preferred
had disclosed to that person (Johnson & date, going steady, engaged, living together,
Leslie, 1982). As predicted, the more inti- and married). Among intimate couples,
mate his or her current heterosexual rela- sexual gratification was much more likely to
tionship, the smaller the number of friends be cited as a major basis for the relationship
listed by the respondent; there was no dif- (Centers, 1975). Other surveys indicate that
ference in the number of relatives listed. the more emotionally intimate a couple is,
Furthermore, as the degree of involvement the more likely they are to engage in sexual
increased, the proportion of mutual friends intimacy (Christopher & Roosa, 1991).
of the couple also increased (Milardo, 1982).
Other studies have found that as heterosex-
ual relationships become more intimate, love and lovIng
each partner spends less time interacting
with friends, whereas interaction with rel- It is fair to say that what we feel for our
atives may increase (Surra, 1990). friends, roommates, coworkers, and some
Interdependence evolves out of the proof the people we date is attraction. But is
cess of negotiation (Backman, 1990). Each that all we feel? Occasionally, at least, we
person offers various potential rewards to experience something more intense than a
the partner; the partner accepts some and positive attitude toward others. Sometimes
rejects others. As the relationship develops, we feel, and even say, “I love you.”
the exchanges stabilize. Shared activities are How does loving differ from liking?
an important potential source of rewards. Much of the research in social psychology
Each person has activity preferences. As on attraction or liking is summarized ear-
the relationship develops, the couple must lier in this chapter. By contrast, there has
blend their separate preferences into joint been less research on love. Three views of
activities. A study of dating couples found love are considered in this section: the dis-
that men liked sex, games, and sports bet- tinction between liking and loving, passion-
ter than women, whereas women preferred ate love, and romantic love.
companionship, entertainment, and cultural
activities (Surra & Longstreth, 1990). Some Liking versus Loving
couples achieved a blend by taking turns, al-
ternately engaging in activities preferred by One of the first empirical studies of love
each. Others cooperated, engaging in activ- distinguished between liking and loving
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(Rubin, 1970). Love is more than intense of jealousy and the ecstasy of being loved
liking; it is the attachment to and caring by another person? An alternative view of
about another person (Rubin, 1974). At- love emphasizes emotions such as these.
tachment involves a powerful desire to be It focuses on passionate love—a state of
with and be cared about by another person. intense physiological arousal and intense
Caring involves making the satisfaction of longing for union with another (Hatfield &
another person’s needs as significant as the Walster, 1978).
satisfaction of your own. Cognitive and emotional factors inter-
Based on this distinction, Rubin devel- act to produce passionate love. Each of us
oped scales to measure both liking and love. learns about love from parents (Trotter,
The liking scale evaluates one’s dating part- 2010), friends, and entertainment media
ner, lover, or spouse on various dimensions, (Ward, 2003). We learn with whom it is
including adjustment, maturity, respon- appropriate to fall in love, how it feels, and
sibility, and likability. The love scale mea- how we should behave when we are in love.
sures attachment to and caring for one’s We experience an emotion only when we
partner, and intimacy (self-disclosure). are physiologically aroused. Thus, we expe-
These scales were completed by each mem- rience passionate love when we experience
ber of 182 dating couples, both for her or intense arousal and the circumstances fit
his partner and best friend of the same sex the cultural definitions we have learned.
(Rubin, 1970). The results showed a high Passionate love has three components:
degree of internal consistency within each cognitive, emotional, and behavioral (Hat-
scale and a low correlation between scales. field & Sprecher, 1986). The cognitive com-
Thus, the two scales do measure different ponents include a preoccupation with the
things. loved one, an idealization of the person or
If the distinction between liking and lov- the relationship, and a desire to know the
ing is valid, how do you think you would other and be known by him or her. Emo-
rate a dating partner and your best friend tional components include physiological
on these scales? Rubin predicted high scores arousal, sexual attraction, and desire for
on both liking and love scales for the dating union. Behavioral elements include serving
partner, lover, or spouse, and a high liking the other and maintaining physical close-
score but lower love score for the (platonic) ness to him or her. A scale designed to mea-
friend. The average scores of the 182 cou- sure passionate love is reproduced in Box
ples confirmed these predictions. Research 12.3. Notice that each item deals with one
work by Davis (1985) also distinguishes of these components.
between friendship and love. Friendship Research in the United States using the
involves several qualities, including trust, passionate love scale finds that the items
understanding, and mutual assistance. Love are closely related—that is, all of them mea-
involves all of these plus caring (giving the sure a single factor (Hendrick & Hendrick,
utmost to and being an advocate for the 1989). A study of 60 men and 60 women
other) and passion (obsessive thought, sex- found that scores on the scale are related to
ual desire). the stage of the relationship. Passionate love
increases substantially from the early stage
Passionate Love of dating to the stage of an exclusive rela-
tionship. It does not increase further as the
Love certainly involves attachment and car- relationship moves from exclusively dating
ing. But is that all? What about the agony to living together or becoming engaged
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(Hatfield & Sprecher, 1986). A study of ing men and women identified variation in
197 couples at various stages of courtship, the relative importance of the factors across
including recently married, found that pas- culture by gender groups.
sionate love did decline as the length of the
relationship increased (Sprecher & Regan, The Romantic Love Ideal
1998).
Passionate love is associated with other The studies and theories of love discussed
intense emotions. When our love is recip- so far assume that love consists of a par-
rocated and we experience closeness or ticular set of feelings and behaviors. Fur-
psychological union with the other person, thermore, most of us assume that we will
we experience fulfillment, joy, and ecstasy. experience this emotion at least once in our
Conversely, positive emotional experi- lives. But these are very culture-bound as-
ences—excitement, sexual excitement—can sumptions. There are societies in which the
enhance passionate love. The study of 197 state or experience we call “love” is unheard
couples found that passionate love and sex- of. In fact, U.S. society is almost alone in ac-
ual desire were positively related (Sprecher cepting love as the major basis for marriage.
& Regan, 1998). Interestingly, sexual desire In U.S. society, we are socialized to ac-
and sexual activity are not related (Regan, cept a set of beliefs about love—beliefs that
2000). Unrequited love, on the other hand, guide much of our behavior. The following
is often associated with jealousy, anxiety, or five beliefs are known collectively as the ro-
despair. Loss of a love can be emotionally mantic love ideal:
devastating.
There are four widely used scales that 1. True love can strike without prior
measure love. A meta-analysis pooled the interaction (“love at first sight”).
data from 81 studies, involving more than 2. For each of us, there is only one other
19,000 participants, and analyzed the struc- person who will inspire true love.
ture of the four scales (Graham, 2011). Three 3. True love can overcome any obstacle
higher-order factors or dimensions underly- (“Love conquers all”).
ing the items were identified: love, romantic 4. Our beloved is (nearly) perfect.
obsession, and friendship. As relationship 5. We should follow our feelings—that
length increased, love scores increased and is, we should base our choice of
obsession scores decreased. These results partners on love rather than on other,
are consistent with the research showing more rational considerations (Lantz,
that passionate love generally decreases Keyes, & Schultz, 1975).
over time. Love scores were also positively
related to relationship satisfaction. Researchers have developed a scale to mea-
An important question is whether pas- sure the extent to which individuals hold
sionate love is universal or only found in these beliefs (Sprecher & Metts, 1989).
some (Western?) cultures. Analyses of an- When the scale was completed by a sample
swers to the 15-item scale using data from of 730 undergraduates, the results indicated
nine cultural groups (1,809 participants) that the first four beliefs are held by many
identified a common-factor structure; the young people. Interestingly, male students
six dimensions included commitment/af- are more likely to hold these beliefs than fe-
fection, security/insecurity, and self-/other- male students.
centered (Landis & O’Shea, 2000). More Research suggests that the fourth belief,
detailed analyses of the responses separat- idealization of the partner, is an important
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Box 12.3 Test Yourself: Passionate love
Think of the person you love most passionately 7. I want _____ physically, emotionally, and
right now. If you are not in love right now, think mentally.
of the last person you loved passionately. If you
8. I have an endless appetite for affection
have never been in love, think of the person you
from _____.
came closest to caring for in that way. Keep that
person in mind as you complete this question- 9. For me, _____ is the perfect romantic
naire. Try to record how you felt at the time when partner.
your feelings were the most intense.
10. I sense my body responding when _____
Use the following scale to answer each item: touches me.
1 2 3 4 5 6 7 8 9 11. _____ always seems to be on my mind.

Not at all true Moderately true Definitely true 12. I want _____ to know me—my thoughts,
my fears, and my hopes.
1. I would feel deep despair if _____ left me. 13. I eagerly look for signs indicating _____’s
desire for me.
2. Sometimes I feel I can’t control my thoughts;
they are obsessively on _____. 14. I possess a powerful attraction for _____.
3. I feel happy when I am doing something to 15. I get extremely depressed when things
make _____ happy. don’t go right in my relationship with
_____.
4. I would rather be with _____ than anyone
else.
Source: Adapted from “Scale for determining Passion-
5. I’d get jealous if I thought _____ were falling ate Love” by Hatfield and Sprecher, Journal of Adoles-
in love with someone else. cence, 9, 383–410. © Copyright 1986, with permission
from Elsevier.
6. I yearn to know all about _____.
influence on relationship satisfaction. Two (Murray, Holmes, & Griffin, 1996a). Analy-
studies of Dutch adults found that many of ses indicated that the participant’s ratings
them believed that their relationship was of the partner were more similar to the rat-
better than the relationships of others, and ings of the self and the ideal partner than
that this belief was associated with reported to the partner’s self-ratings. Furthermore,
happiness (Buunk & van der Eijnden, 1997). people who idealized their partners and
The perceived superiority of one’s own re- whose partners idealized them were hap-
lationship reflects strong commitment to pier. A longitudinal study found that over
that relationship, and is probably a resource a 1-year period, partners came to share the
in times of relational stress. In another individual’s idealized image of him or her
study, researchers asked the members of (Murray, Holmes, & Griffin, 1996b).
dating (98) and married (60) couples to rate The romantic love ideal has not always
themselves, their partners, and their ideal been popular in the United States. A group
partners on 21 interpersonal characteristics of researchers conducted an analysis of
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best-selling magazines published during be living happily ever after, right? If love is
four historical periods (Lantz et al., 1975; merely the interaction between two peo-
Lantz, Schultz, & O’Hara, 1977). They ple—how they communicate and behave—
counted the number of times the magazines you’re right; the stories have the wrong
mentioned one or more of the five beliefs endings. But there is more to love than in-
that make up the romantic love ideal. The teraction; what matters is how each partner
number of times the ideal was discussed interprets the interaction. To make sense
increased steadily over time. These find- out of what happens in our relationships,
ings suggest that American acceptance of we rely on our love stories.
the romantic love ideal occurred gradually A love story is a story (script) about
from 1741 to 1865. The romantic love ideal what love should be like; it has charac-
first really came into its own about the time ters, plot, and theme. There are two cen-
of the Civil War. tral characters in every love story, and they
play roles that complement each other.
Love as a Story The plot details the kinds of events that oc-
cur in the relationship. The theme is cen-
When we think of love, our thoughts often tral; it provides the meaning of the events
turn to the great love stories: Romeo and that make up the plot, and it gives direction
Juliet, Cinderella and the prince (Julia Rob- to the behavior of the principals. The love
erts and Richard Gere), King Edward VIII story guiding Zach and Tammy’s relation-
and Wallis Simpson, and Pygmalion/My ship is the “War” story. Each views love as
Fair Lady. According to Sternberg (1998), war—that is, a good relationship involves
these stories are much more than entertain- constant fighting. The two central charac-
ment. They shape our beliefs about love and ters are warriors, fighting for what they be-
relationships, and our beliefs in turn influ- lieve, to maintain their independence. The
ence our behavior. plot consists of arguments, fights, threats
to leave—in short, battles. The theme is
Zach and Tammy have been married that love is war; one may win or lose par-
28 years. Their friends have been pre- ticular battles, but the war continues. Zach
dicting divorce since the day they were and Tammy’s relationship endures because
married. They fight almost constantly. they share this view, and it fits their tem-
Tammy threatens to leave Zach; he tells peraments. Can you imagine how long a
her that nothing would make him hap- wimp would last in a relationship with ei-
pier. They lived happily ever after. ther of them?
According to this view, falling in love oc-
Valerie and Leonard had a perfect mar- curs when you meet someone with whom
riage. They told each other and all of you can create a relationship that fits your
their friends that they did. Their chil- love story. Furthermore, we are satisfied
dren say they never fought. Leonard with relationships in which we and our part-
met someone at his office and left Val- ner match the characters in our story (Beall
erie. They are divorced (adapted from & Sternberg, 1995). Valerie and Leonard’s
Sternberg, 1998). marriage looked great on the surface, but it
didn’t fit Leonard’s love story. He left when
Wait a minute! Aren’t those endings he met his “true love”—that is, a woman
reversed? Zach and Tammy should be di- who could play the complementary role in
vorced, and Valerie and Leonard should his primary love story.
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Where do our love stories come from? were associated with high satisfaction—for
Many of them have their origins in the cul- example, the “Garden” story, in which love
ture—in folk tales, literature, theater, films, is a garden that needs ongoing cultivation.
and television programs. The cultural con- Two stories associated with low satisfac-
text interacts with our own personal experi- tion were the “Business” story (especially
ence and characteristics to create the stories the version in which the roles are Employer
that each of us has (Sternberg, 1996). As we and Employee), and the “Horror” story, in
experience relationships, our stories evolve, which the roles are Terrorizer and Victim.
taking account of unexpected events. Each Love stories, or implicit theories of rela-
person has more than one story; the stories tionships (Franiuk, Cohen, & Pomerantz,
often form a hierarchy. One of Leonard’s 2002), are stable over time. Persons who be-
stories was “House and Home”; home was lieve there is a one-and-only love, or “soul
the center of the relationship, and he (in mate,” for them believe that finding the
his role of Caretaker) showered attention right person is the key to a satisfying rela-
on the house and kids—not on Valerie. tionship; people who believe that a success-
But when he met Sharon with her aloof air, ful relationship requires continuing work,
ambiguous past, and dark glasses, he was Sternberg’s “garden,” believe that hard
hooked; she elicited the “Love Is a Mystery” work is the key. So men and women in the
story that was more salient to Leonard. He first group emphasize the partner’s charac-
could not explain why he left Valerie and teristics in assessing their satisfaction with
the kids; like most of us, he was not con- the relationship; if they decide their partner
sciously aware of his love stories. It should is not Ms. or Mr. Right, they may leave in
be obvious from these examples that love search of the true love. Gardeners view the
stories derive their power from the fact that relationship as a work in progress and place
they are self-fulfilling. We create in our re- less emphasis on the partner in assessing
lationships events according to the plot and their satisfaction; if unhappy, they work
then interpret those events according to harder and apply more water and fertilizer.
the theme. Our love relationships are liter- Sternberg states that love stories reflect
ally social constructions. Because our love the culture. Does that mean that the stories
stories are self-confirming, they can be very or themes he has identified are unique to
difficult to change. U.S. culture? Researchers recruited 61 dat-
Sternberg and his colleagues have iden- ing and 81 married couples in the United
tified five categories of love stories found States (mostly White), and 46 dating and 94
in U.S. culture, and several specific stories married couples in China. A measure devel-
within each category. They have also de- oped by Sternberg to measure preferences
veloped a series of statements that reflect for themes was completed by the U.S. par-
the themes in each story. People who agree ticipants; a careful translation into Chinese
with the statements “I think fights actu- was completed by the Chinese participants.
ally make a relationship more vital” and “I Analyses revealed several components, in-
actually like to fight with my partner” are cluding devotion/caring and pragmatism,
likely to hold the “War” story. Sternberg that were common to both cultures. The
and Hojjat studied samples of 43 and 55 themes of love as war and love as a fairy
couples (Sternberg, 1998). They found that tale were unique to the United States. Love
couples generally held similar stories. The as the tending of a garden and the incom-
more discrepant the stories of the partners, prehensibility of a lover were unique to
the less happy the couple was. Some stories China. Devotion/caring was the strongest
9780813349503.indb 427 5/16/14 1:50 PM

predictor of relationship satisfaction (Jack- maintaining relationships. Our decision to

son, Chen, Guo & Gao, 2006). initiate a relationship is based on what we
expect to get out of it. In ongoing relation-
ships, we can assess our actual outcomes;
breaKIng uP we can evaluate the rewards we are obtain-
ing relative to the costs of maintaining the
Progress? Chaos? relationship. A survey of college students
examined the impact of several factors on
You may have noticed that much of the satisfaction with a relationship; one factor
work we have reviewed assumes or im- was the value of overall outcomes com-
plies that intimate relationships develop or pared with a person’s CL (Michaels, Ed-
progress in a linear way. We meet, disclose, wards, & Acock, 1984). In an analysis of
trust, disclose more, trust more, become the reports of men and women involved in
sexually intimate, become interdependent, exclusive relationships, the outcomes being
fall in love, and (we hope) live happily ever experienced were most closely related to
after. This linear model underlies much of satisfaction with the relationship. Several
the work on relationships and relationship other studies report the same results (Surra,
stability/instability. There is, however, an 1990).
alternative model that may be (more) ap- The CLalt is also an important standard
propriate: chaos theory (Weigel & Murray, used in evaluating outcomes. Are the out-
2000). Chaos theory suggests that relation- comes from this relationship better than
ships do not develop in a steady linear pro- those obtainable from the best available al-
gression. Instead, relationships may shift ternative? One dimension on which people
suddenly or spontaneously; they may go up may evaluate relationships is physical ap-
(get better) or down (get worse). A small pearance. A relationship with a physically
event (say, a missed phone call) may have attractive person may be rewarding. Two
a major impact; a traumatic event (say, a people who are equally attractive physically
diagnosis of cancer) may have little or no will experience similar outcomes on this di-
effect. As a result, it may be impossible to mension. What about two people who differ
predict the future of an individual relation- in attractiveness? The less attractive person
ship. We are just beginning to explore the will benefit from associating with the more
implications of this model of intimacy. attractive one, whereas the more attractive
Whether linear or not, few relationships person will experience less positive out-
last forever. Roommates who once did ev- comes. Because attractiveness is a valued
erything together lose touch after they fin- and highly visible asset, the more physically
ish school. Two women who were once best attractive person is likely to find alternative
friends gradually stop talking. Couples fall relationships available and to expect some
out of love and break up. What causes the of them to yield more positive outcomes.
dissolution of relationships? Research sug- This reasoning was tested in a study of
gests two answers: unequal outcomes and 123 dating couples. Photographs of each
unequal commitment. person in the study were rated by five men
and five women for physical attractiveness,
Unequal Outcomes and Instability and a relative attractiveness score was cal-
culated for each member of each couple.
Earlier in this chapter, we discussed the im- Both men and women who were more at-
portance of outcomes in establishing and tractive than their partners reported having
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more friends of the opposite sex—that is, receiving. The theory predicts that equita-
alternatives—than men and women who ble relationships—in which the outcomes
were not more attractive than their part- are equivalent—will be stable, whereas in-
ners. Follow-up data collected 9 months equitable ones will be unstable.
later indicated that dating couples who This prediction was tested in a study
were rated as similar in attractiveness were involving 537 college students who were
more likely to be still dating each other dating someone at the time (Walster [Hat-
(White, 1980). These results are consistent field], Walster, & Traupmann, 1978). Each
with the hypothesis that persons experienc- student read a list of things that someone
ing outcomes below CLalt are more likely might contribute to a relationship, includ-
to terminate the relationship. ing good looks, intelligence, loving, un-
But not everyone compares their current derstanding, and helping the other make
outcomes with those available in alternative decisions. Each student also read a list of
relationships. Individuals in White’s study potential consequences of a relationship,
who were committed—that is, cohabiting, including various personal, emotional, and
engaged, or married—did not vary in the day-to-day rewards and frustrations. Each
number of alternatives they reported. Also, student was then asked to evaluate the con-
their relative attractiveness was not related tributions he or she made to the relation-
to whether they were still in the relationship ship, the contributions the partner made,
9 months later. Persons who are committed the things he or she received, and the things
to each other may be more concerned with the partner received. Each evaluation was
equity than with alternatives. made using an 8-point scale that ranged
Weight is one aspect of physical attrac- from extremely positive (+4) to extremely
tiveness. A study of 1,405 adolescent and negative (−4). The researchers calculated
young adult couples investigated matching the person’s overall outcomes by dividing
and trading (providing more of one input to the rating of consequences by the rating
compensate for less of another) in relation- of contributions. They calculated the per-
ships involving obese persons (BMI greater ceived outcomes of the partner by dividing
than 30) (Carmalt et al., 2008). Obese men the rating of the consequences the partner
and women were less likely to have a phys- received by the rating of the contributions
ically attractive partner. The disadvantage the partner was making. By comparing the
was greater for women than men, and person’s outcomes with the perceived part-
for Black women than for White women. ner’s outcomes, the researchers determined
Greater education, a more attractive per- whether the relationship was perceived as
sonality, and better grooming (self-presen- equitable.
tation) offset the disadvantage of obesity for Students were interviewed 14 weeks
some persons, resulting in a more attractive later to assess the stability of their relation-
partner than would be expected. ships. Stability was determined by whether
Equity theory (Walster [Hatfield], Ber- they were still dating their partner and by
scheid, & Walster, 1973) postulates that how long they had been going together (or
each of us compares the rewards we receive how long they had gone together). The re-
from a relationship to our costs or contribu- sults clearly demonstrated that inequitable
tions. In general, we expect to get more out relationships were unstable. The less equi-
of the relationship if we put more into it. table the relationship was at the start, the
Thus, we compare our outcomes (rewards less likely the couple was to be still dating
minus costs) to the outcomes our partner is 14 weeks later. Furthermore, students who
9780813349503.indb 429 5/16/14 1:50 PM

perceived that their outcomes did not equal volvement is related to greater instability.
their partner’s outcomes reported that their Each partner completed a questionnaire at
relationships were of shorter duration. baseline, and follow-up surveys at 6, 18, 30,
and 42 months. At time 5 (42 months), 41
Differential Commitment and Dissolution of the couples were still together; 28 of the
41 were married. Perceptions of unequal
Are outcomes (rewards minus costs) the emotional involvement were common; in
only thing we consider when deciding 75 percent of the couples, at least one mem-
whether to continue a relationship? What ber reported that he or she, or the partner,
about emotional attachment or involve- was less involved. Less involved partners
ment? We often continue a relationship perceived themselves as more powerful—
because we have developed an emotional this reflects the “principle of least interest.”
commitment to the person and feel a sense Equal involvement was related to greater
of loyalty to and responsibility for that per- satisfaction (Sprecher, Schmeeckle, &
son’s welfare. The importance of commit- Felmlee, 2006).
ment is illustrated by the results of a survey The importance of equal degrees of in-
of 234 college students (Simpson, 1987). volvement is illustrated in another study.
Each student was involved in a dating rela- Couples were recruited from four colleges
tionship and answered questions about 10 and universities in the Boston area (Hill, Ru-
aspects of the relationship. Three months bin, & Peplau, 1976). Each member of 231
later, each respondent was recontacted to couples filled out an initial questionnaire
determine whether he or she was still dating and completed three follow-up question-
the partner. The characteristics that were naires 6 months, 1 year, and 2 years later.
most closely related to stability included At the time the initial data were collected,
length and exclusivity of the relationship couples had been dating an average of 8
and having engaged in sexual intimacy; all months; most were dating exclusively, and
three are aspects of commitment. A review 10 percent were engaged. Two years later,
of research on premarital relationships researchers were able to determine the sta-
concludes that commitment—the person’s tus of 221 of the couples. Some were still to-
intent to remain in the relationship—is gether, whereas others had broken up.
consistently related to stability (Cate, Levin, What distinguished the couples who
& Richmond, 2002). were together 2 years later from those who
A meta-analysis of the longitudinal stud- had broken up? Couples who were more
ies of the stability of nonmarital romantic involved initially—who were dating exclu-
relationships included data from more than sively, who rated themselves as very close,
37,000 participants in 137 studies (Le et al., who said they were in love, and who esti-
2010). Researchers assessed the relation- mated a high probability that they would get
ships between 16 often measured variables married—were more likely to be together
and stability; the average time between 2 years later. Of the couples who reported
Time 1 and the last follow-up across studies equal involvement initially, only 23 percent
was 145 weeks. The three major predictors broke up in the following 2 years. But of the
of lasting relationships were greater com- couples who reported unequal involvement
mitment, greater love for the partner, and initially, 54 percent were no longer seeing
more positive illusions about the partner. each other 2 years later.
A study of 101 heterosexual dating cou- Not surprisingly, the break up of a cou-
ples tested the hypothesis that unequal in- ple was usually initiated by the person who
9780813349503.indb 430 5/16/14 1:50 PM

Breaking up is very painful. It can be especially hard on the person who is more committed to the
relationship. The person left behind may experience a variety of powerful, negative emotions. © Thomas
Schweizer/Corbis
was less involved. Of those whose relation- to decide to quit, and perhaps to look for
ships ended, 85 percent reported that one alternatives.
person wanted to break up more than the We suggested earlier that breaking up
other. There was also a distinct pattern in is costly. Who experiences greater costs?
the timing of breakups; they were much One study surveyed both rejectors and re-
more likely to occur in May through June, jectees (Perilloux & Buss, 2008). Women
September, and December through Janu- were more likely to report loss of male pro-
ary. This suggests that factors outside the tection and post breakup stalking by the
relationship—such as graduation, moving, ex. Women also reported more negative
and arriving at school—led one person to emotions than men. Both men and women
initiate the breakup. Such changes, or life who were rejected experienced greater loss
course transitions (see Chap. 3), are likely of self-esteem and depression than rejec-
to increase the costs, such as the difficulty tors. In another study of students, greater
of meeting, or of continuing a relation- distress was reported by rejectees, persons
ship. Interestingly, other research shows whose breakup was recent, and those who
that college students are also more likely to had not entered a new relationship (Field et
break up in the two weeks around Valen- al., 2011).
tine’s Day (Morse & Neuberg, 2004). This The dissolution of a relationship is often
cultural event emphasizes what intimate re- painful. But breaking up is not necessarily
lationships should be like; perhaps the hype undesirable. It can be thought of as part of a
leads participants in declining relationships filtering process through which people who
9780813349503.indb 431 5/16/14 1:50 PM

are not suited to each other terminate their natives the person selects depends on the
relationships. Furthermore, coping with anticipated costs of breaking up, the avail-
and learning from the breakup may lead to ability of alternative relationships, and the
personal growth and more successful rela- level of reward obtained from the relation-
tionships in the future (Tashiro, Frazier, & ship in the past.
Berman, 2006). To assess the costs of breaking up, the
individual weighs the costs of an unsatisfac-
Responses to Dissatisfaction tory relationship against the costs of ending
that relationship. There are three types of
Not all relationships that involve unequal barriers or costs to leaving a relationship:
outcomes or differential commitment break material, symbolic, and affectual (Levinger,
up. What makes the difference? The answer 1976). Material costs are especially signif-
is, in part, the person’s reaction to these icant for partners who have pooled their
situations. The level of outcomes a person financial resources. Breaking up will re-
experiences and his or her commitment to quire agreeing on who gets what, and it
the relationship are influences on satisfac- may produce a lower standard of living for
tion with that relationship (Bui, Peplau, & each person. Symbolic costs include the re-
Hill, 1996; Rusbult et al., 1986). A study of actions of others. A survey of 254 persons,
60 students and 36 married couples found 123 of whom were in relationships, mea-
that an important influence on satisfaction sured the perception of friends’ and family
is the perception that your partner supports members’ support for the relationship and
your attempts to achieve goals that are im- commitment to it (Cox, Wexler, Rusbult,
portant to you (Brunstein, Dangelmayer, & & Gaines, 1997). Persons who perceived
Schultheiss, 1996). As long as the person more support were more committed, in
is satisfied, whatever the level of rewards both dating and married couples. Will close
or commitment, he or she will want to friends and family members support or crit-
continue the relationship. People who are icize the termination of the relationship? A
satisfied are more likely to engage in ac- longitudinal study of dating couples found
commodation—to respond to potentially that lower levels of support by friends for
destructive acts by the partner in a con- the relationship were associated with later
structive way (Rusbult, Verette, Whitney, termination of it (Felmlee, Sprecher, & Bas-
Slovik, & Lipkus, 1991). A study of Black sin, 1990). Affectual costs involve changes
and White married couples over 14 years in one’s relationships with others. Breaking
found that reports of frequent conflict and up may cause the loss of friends and reduce
of using insults, name-calling, and shout- or eliminate contact with relatives—that is,
ing in response to conflict (in other words, it may result in loneliness (see Box 12.4).
not engaging in accommodation) predicted A study of married persons asked each to
subsequent divorce (Orbuch, Veroff, Has- name “the most important factors keeping
san, & Horrocks, 2002). you together”; the most frequently men-
An individual in an unsatisfactory rela- tioned barriers were children (31 percent
tionship has four basic alternatives (Good- of respondents), religion (13 percent), and
win, 1991; Rusbult, Zembrodt, & Gunn, financial need (6 percent) (Previti & Amato,
1982): exit (termination), voice (discuss 2003).
with your partner), loyalty (grin and bear A second factor in this assessment is the
it), and neglect (stay in the relationship but availability of alternatives. The absence of
not contribute much). Which of these alter- an attractive alternative may lead the indi-
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Box 12.4 Are You lonely Tonight?
did you feel lonely when you first entered school lationships. One study of adolescents found a
here? If you did, you weren’t alone. People enter- strong association between self-disclosure and
ing a college or university are likely to feel lonely loneliness; greater self-disclosure to others was
for the first several weeks or months (Cutrona, associated with reduced loneliness (davis & Fran-
1982). In fact, most people have experienced zoi, 1986). Thus, shyness can cause loneliness by
loneliness sometime during their lives. inhibiting self-disclosure. There is evidence that
Loneliness is an unpleasant, subjective expe- loneliness in men is the result of having few or
rience that results from the lack of social relation- no relationships with others, whereas in women
ships satisfying in either quantity or quality (Perl- it is the result of having no intimate relationships
man, 1988). Loneliness is different from being (Stokes & Levin, 1986). Clearly, loneliness is tied
alone or social isolation. Social isolation is an ob- to the state of one’s interpersonal relationships.
jective situation, whereas loneliness is a subjec- Because loneliness is related to the number
tive, internal experience. You can feel lonely in the and quality of interpersonal relationships, we
midst of a family reunion, and you can be alone in can predict that people in some circumstances
your room and yet feel connected to others. are more likely to experience it. First, people un-
Loneliness is different from shyness. Shyness dergoing a major social transition are generally
is a personality trait that reflects characteristics at greater risk of loneliness. The transition from
of the person rather than the state of one’s social school to work may be accompanied by feelings
ties. Shyness is defined as “discomfort and inhibi- of loneliness, especially when this transition
tion in the presence of others” (Jones, Briggs, & involves a geographic move. Second, living ar-
Smith, 1986). A study of several measures of shy- rangements are related to feeling lonely. A study
ness found that the common element in these of 554 adult men and women found that living
measures is distress in and avoidance of interper- alone was the most important determinant of
sonal situations. When shy people interact with these feelings (de Jong-Gierveld, 1987). Third,
others, they are afraid they are being evaluated one’s relationship status is important. Earlier in
by the other person and are more likely to think this chapter, we described the increasing self-dis-
they are making a negative impression on the closure and interdependence that accompanies
other person (Asendorpf, 1987). the development of romantic relationships; peo-
There are two types of loneliness (Weiss, ple who report that interdependence developed
1973), which differ in their cause. One is social more rapidly and more broadly and who feel a
loneliness, which results from a lack of social re- strong sense of “we-ness” in their relationship
lationships or ties to others. Several studies have are less likely to report loneliness (Flora & Seg-
found that people with few or no friends and rin, 2000). Conversely, people who have recently
few or no family ties are more likely to feel lonely gone through the termination of an intimate
(Stokes, 1985). Thus, events that disrupt ties to relationship—through breaking up, divorce, or
social networks can cause loneliness (Marangoni death of a partner—may be especially vulnera-
& Ickes, 1989). ble to loneliness.
The other type is emotional loneliness, which
results from the lack of emotionally intimate re-
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vidual to maintain an unrewarding relation- caring for their partners—the more likely
ship, whereas the appearance of an attrac- they were to neglect or terminate the re-
tive alternative may trigger the dissatisfied lationship. The less the investment—that
person to dissolve the relationship. is, the degree of disclosure and how much
We noted at the beginning of this chap- a person stands to lose—the more likely
ter that two factors influence who is avail- participants were to engage in neglect or
able: personal characteristics and institu- termination. Finally, the presence of attrac-
tional structure. With regard to the first, tive alternatives increased the probability of
people who are in relationships perceive terminating the relationship. A later study
opposite-sex persons of the same age as less of ongoing relationships yielded the same
physically attractive than do people who results (Rusbult, 1983).
are not in relationships (Simpson, Ganges- A study of the stability of the relation-
tad, & Lerum, 1990). This devaluation of ships of 167 couples over a 15-year period
potential partners contributes to relation- also found that satisfaction, level of invest-
ship maintenance. However, a longitudi- ments, and quality of alternatives predicted
nal study found that the perceived quality commitment. Relationships in which com-
of alternative partners increased among mitment was high were more likely to en-
persons whose relationships subsequently dure (Bui et al., 1996).
ended (Johnson & Rusbult, 1989). With re-
gard to institutional structures, the sex ratio
in a community determines the number of SuMMary
eligible partners. Research combining sur-
vey data with census data for the area where Interpersonal attraction is a positive atti-
the respondent lived found that the risk of tude held by one person toward another
divorce is greatest in areas where husbands person. It is the basis for the development,
or wives encounter numerous alternatives maintenance, and dissolution of close per-
(South, Trent, & Shen, 2001). sonal relationships.
A third factor is the level of rewards ex-
perienced before the relationship became Who Is Available? Institutional structures
dissatisfying. If the relationship was partic- and personal characteristics influence who
ularly rewarding in the past, the individual is available to us as potential friends, room-
is less likely to decide to terminate it. mates, coworkers, and lovers. Three factors
How important are each of these three influence whom we select from this pool.
factors? That is, which factors are most (1) Our daily routines make some persons
important in determining whether a dis- more accessible. (2) Proximity makes it
satisfied person responds by discussing the more rewarding and less costly to interact
situation with his or her partner, waiting with some people rather than others. (3)
for things to improve, neglecting the part- Familiarity produces a positive attitude to-
ner, or terminating the relationship? In one ward those with whom we repeatedly come
study, participants were given short stories into contact.
describing relationships in which these
three factors varied. They were asked what Who Is Desirable? Among the available
they would do in each situation (Rusbult et candidates, we choose based on several cri-
al., 1982). The results showed that the lower teria. (1) Social norms tell us what kinds of
the prior satisfaction—that is, the less satis- people are appropriate as friends, lovers,
fied and the less positive their feelings and and mentors. Homogamy—similarity in
9780813349503.indb 434 5/16/14 1:50 PM

age, race, religion, and SES—is characteris- nevolence, and reliability—also increases as
tic of intimate relationships in the United relationships develop. Trust may be espe-
States. (2) We prefer a more physically at- cially important in long-distance relation-
tractive person, both for esthetic reasons ships. (3) Interdependence for various grat-
and because we expect rewards from as- ifications also increases, often accompanied
sociating with that person. Attractiveness by a decline in reliance on and number of
is more influential when we have no other relationships with others.
information about a person. (3) We choose
based on our expectations about the re- Love and Loving. (1) Whereas liking re-
wards and costs of potential relationships. fers to a positive attitude toward an object,
We choose to develop those relationships love involves attachment to and caring
whose outcomes we expect will exceed for another person. Love also may involve
both comparison level (CL) and compar- passion—a state of intense physiological
ison level for alternatives (CLalt). We im- arousal and intense absorption in the other.
plement our choices by making contact; the (2) The experience of passionate love in-
development of the relationship is guided volves cognitive, emotional, and behavioral
by a script. elements. Love increases as the length of
the relationship increases, but passion may
The Determinants of Liking. Many rela- decline. (3) The concept of love does not
tionships—between friends, roommates, exist in all societies; the romantic love ideal
coworkers, or lovers—involve liking. The emerged gradually in the United States and
extent to which we like someone is deter- came into its own about the time of the
mined by three factors. Civil War. (4) Love stories—scripts—shape
(1) The major influence is the degree to our beliefs about love and relationships,
which two people have similar attitudes. and our beliefs influence how we behave in
The greater the proportion of similar atti- and interpret our relationships.
tudes, the more they like each other. Sim-
ilarity produces liking because we prefer Breaking Up. There are three major in-
cognitive consistency and because we ex- fluences on whether a relationship dis-
pect interaction with similar others to be solves. (1) Breaking up may result if one
reinforcing. (2) Shared activities become an person feels that outcomes (rewards minus
important influence on our liking for an- costs) are inadequate. A person may eval-
other person as we spend time with them. uate present outcomes against what could
(3) We like those who like us; as we expe- be obtained from an alternative relation-
rience positive feedback from another, it ship. Alternatively, a person may look at
increases our liking for them. the outcomes the partner is experiencing
and assess whether the relationship is eq-
The Growth of Relationships. As relation- uitable. (2) The degree of commitment to
ships grow, they change on three dimen- a relationship is an important influence on
sions. (1) There may be a gradual increase whether it continues. Someone who feels a
in the disclosure of intimate information low level of emotional attachment to and
about the self. Self-disclosure is usually re- concern for his or her partner is more likely
ciprocal, with each person revealing some- to break up with that person. (3) Responses
thing about themselves in response to rev- to dissatisfaction with a relationship in-
elations by the other. (2) Trust in the other clude exit, voice, loyalty, or neglect. Which
person—a belief in his or her honesty, be- response occurs depends on the anticipated
9780813349503.indb 435 5/16/14 1:50 PM

economic and emotional costs, the avail- not had intercourse yet, but have done just
ability of attractive alternatives, and the about everything else. She thinks maybe the
level of prior satisfaction in the relationship. thing to do is send him a nude photo of her-
self to arouse his interest and make herself
seem hot.
List of Key Terms and Concepts What should Britney do? Apply the tech-
niques listed above to consider what her
accommodation (p. 432) best decision is. (1) What is her goal? (2)
attitudinal similarity (p. 412) What are at least two possible solutions? (3)
attractiveness stereotype (p. 416) Evaluate each solution in terms of whether
availables (p. 400) it helps her meet her goal and whether it
comparison level (p. 408) has any negative aspects. Do this before you
comparison level for alternatives (p. 409) read on.
dyadic withdrawal (p. 422) Britney’s goal is to maintain and develop
equitable relationships (p. 429) a relationship with Craig. One solution is
interpersonal attraction (p. 400) to send him the nude photo. Another is to
loneliness (p. 433) do nothing; doing “nothing” is doing some-
love story (p. 426) thing: waiting to see if there is a problem
matching hypothesis (p. 405) before doing something else. Did you think
mere exposure effect (p. 403) of other potential solutions? A third is to
norm of homogamy (p. 404) text him a positive, enthusiastic message
passionate love (p. 423) without a photo. A fourth solution would
romantic love ideal (p. 424) be to make sure she sees him before class
trust (p. 419) the next day and be friendly. It would be
best if Britney takes out a piece of paper and
systematically evaluates these options.
Critical Thinking Skill: (Relationship) Here are some evaluations of each solu-
Decision Making and Problem Solving tion.
In making good decisions, it helps to (1) 1. Send Craig the nude photo. It might
identify your goal(s) in the situation; (2) list help her achieve her goal of keeping
at least two possible actions or solutions to him, but it might backfire if Craig
the problem; (3) evaluate the quality of each forms a negative impression of her. A
solution (Does it help you meet your goal? definite negative is that Britney can-
Does it have any negative aspects?); and (4) not assume that Craig will keep the
decide on the best one. Consider the follow- photo private. He might decide to
ing scenario. forward it to his buddies, causing her
Britney, a student at your school, has great embarrassment.
been seeing Craig for a month. He seems 2. Do nothing. This may not contribute
to really like her, and she certainly is at- positively to Britney’s achieving her
tracted to him. At a party on campus, she goal, but it also carries no risk. She
sees Shelly flirting with Craig and starts to can assess whether Craig behaves dif-
worry that Shelly is trying to steal him. Back ferently the next time she sees him.
at her own apartment, Britney tries to de- 3. and 4. Send a positive text or see him
cide what to do to keep Craig. They have in person the next day. These are sim-
9780813349503.indb 436 5/16/14 1:50 PM

ilar solutions; both involve making Overall, then, the key to making good
contact, an important part of attrac- decisions is to “Think first!” Be clear about
tion, as discussed earlier in the chap- your goal. Think of multiple solutions;
ter. Positive contact is also import- don’t stop after the first or most obvious
ant, as discussed by exchange theory. one (especially if the obvious one involves
They differ in whether the contact is lashing out angrily). Then carefully evaluate
electronic or in person. Either one (or each possible solution. Choose the one that
both) help Britney achieve her goal, seems likely to help you achieve your goal
and neither seems to have any nega- and has few or no negative consequences.
tive aspects.
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9780813349503.indb 438 5/16/14 1:50 PM
chaPter 13
unDeRsTAnDing
GroUPS
introduction 440 Persistence of intergroup Conflict 458
What is a Group? 440 out-Group homogeneity 458
group Cohesion 441 Group Stereotypes and images 458
the nature of Group cohesion 442 Ultimate attribution error 459
Sources and consequences of Biased evaluation of Group

cohesion 443 Performance 459
group goals 444 Resolving intergroup Conflict 460

Group Goals and individual Goals 445 Superordinate Goals 460
intergroup contact 461
group norms 445
functions of norms 445 Summary 464
conformity and influence 446 List of Key Terms and Concepts 466
increasing conformity 450 Critical Thinking Skill:
intergroup Conflict 452 Promoting Higher Order Cognitive Skills 466
effects of intergroup conflict on

Within-Group Processes 453
Sources of intergroup Conflict 454

realistic Group conflict 455
Social identity 456
aversive events 457
439
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440 undErsTandIng groups
IntroductIon to guide performance, and rewards and re-

sources of all kinds. Without groups, most
Groups are everywhere. We all participate individuals would be isolated, unloved, dis-
in them, spending a significant portion of oriented, relatively unproductive, and very
our days engaging in group activities. Take possibly hungry.
Brandon Harris, for example. Brandon is To better understand groups and the sig-
the star cornerback on his university’s foot- nificant influence they have on our lives, this
ball team. He is close to his parents and his chapter provides the tools—both concepts
two younger sisters and enjoys spending and theories—used to classify and study
time with his extended family when he is groups. The next chapter (Chapter 14)
home during school breaks. He regularly at- delves more deeply into the within-group
tends the local Islamic Society Mosque and processes of interest to social psychologists.
is working closely with a group of students
in his Business 102 class on a semester-long What Is a Group?
project. Although he thought about mov-
ing into the fraternity house, he has re- We all have a notion of a “group,” but our
ally enjoyed living in Reilly for the last few commonsense notion is too broad for use
years. He thinks that dorm life keeps him in social psychology. In this chapter and the
grounded. He gets along well with his three next, the term group specifically refers to a
roommates and found serving as treasurer social unit that consists of two or more per-
of the dorm’s council a valuable experience. sons with all of the following attributes:
During the off-season, Brandon also holds
down a work-study job, shelving books in 1. Membership. To be a member of a
the library. He is friendly with the other group, we must identify ourselves as
work-study students and looks forward to belonging to the group and must also
the evenings he spends in the stacks. He be recognized by other members as
and his girlfriend have been together since belonging to the group (Lickel et al.,
their first year of college, when they met in 2000).
a sociology class. It has been a busy quarter 2. Interaction among members.
for Brandon, and he is genuinely looking Group members also must interact—
forward to spring break. He plans to kick it communicating with one another
off with a long-awaited beach vacation with and influencing one another, whether
a group of his closest high school friends, a in person, online, or through other
group he affectionately refers to as the Zoo mediums.
Crew. 3. Goals shared by members. Group
Brandon is clearly busy, but even if our members may have goals that are the
own social lives are less active than his, same, unique, or complementary.
groups are a pervasive part of our everyday Either way, group members should be
experiences as well. We are members of interdependent with respect to goal
families, work groups, sports teams, street attainment. In other words, progress
gangs, classes and seminars, therapy and by one member toward his or her
rehabilitation groups, classical quartets and objectives makes it more likely that
rock groups, small military units, neigh- another member will also reach his
borhood clubs, church groups, and so on. or her objectives.
Groups are important because they pro- 4. Shared norms. Group members
vide social support, a cultural framework hold a set of expectations (that is,
9780813349503.indb 440 5/16/14 1:50 PM

undErsTandIng groups 441
norms or rules) that place limits on one another and offering emotional support
members’ behavior and guide action. both on and off the field.
This chapter introduces a social psycho-
As this definition suggests, groups are logical view of groups, specifically focused
not simply collections of individuals; rather, on the forces that unify a group and define
they are organized systems in which the re- the behavior of its members. In doing so, it
lations among individuals are structured addresses the following questions:
and patterned. For our purposes here, not
all social units of two or more persons are 1. What factors hold members together
groups. For example, persons in a theater as a unit? That is, what produces
crowd escaping in panic from a fire would cohesion—or the lack of it—in
not constitute a group. Although there may groups?
be some communication among the indi-
viduals in the crowd, there are no explicit 2. How does a group define its structure
normative expectations or a sense of shared and goals?
membership among those present. Like-
wise, a commercial transaction between a 3. What are group norms and in what
customer and a cashier ringing up a basket ways do they regulate members’
of groceries would not qualify as a group behavior? How do groups influence
interaction. In such a situation, there is no their members to conform?
common goal or explicit basis for group
membership. 4. What are the causes of intergroup
Social psychologists typically divide conflict, and how can it be lessened
groups into two categories: primary and or resolved?
secondary (Cooley, 1909). Primary groups
tend to be smaller groups with strong emo- 5. How does conflict affect the
tional ties and bonds that endure over intragroup processes outlined above?
time. They are more informal and intimate
than other groups that individuals belong
to. Brandon’s family and close friends— grouP coheSIon
the Zoo Crew—are examples of primary
groups. Conversely, secondary groups are Groups vary in their connectedness. Take
more formal and impersonal. They tend to the Jaguars—a recreational softball club—
be organized around instrumental goals— as an example of a tight-knit, secondary
like the group working on the Business 102 group. The Jaguars have a long record of
class project with Brandon or the other championships in the city league. The Jag-
work-study students shelving books at the uar players take pride in their performance
library—and have few emotional ties. Occa- and are very committed to their team. At
sionally, secondary groups begin to take on practice and during games, this team is a
some of the qualities of primary groups. For model of enthusiasm and coordination. On
instance, over time the football team began the rare occasion when they have a losing
to feel like family to Brandon, as team mem- streak, all of the team members voluntarily
bers’ shared goals extended beyond the in- hold extra practice sessions to sharpen their
strumental goals of winning a game or hav- skills and teamwork. The players like one
ing an undefeated season toward something another, and they enjoy playing together
more intimate and diffuse, like encouraging and celebrating their victories. Although
9780813349503.indb 441 5/16/14 1:50 PM

they do not always agree on strategy, the emotional feeling about membership, and
Jaguars resolve their differences quickly. a tendency for members to perceive events
Several of the players consider teammates in similar terms (Bollen & Hoyle, 1990;
their best friends, and they often spend Braaten, 1991; Evans & Jarvis, 1980). Be-
time together off the field. The Jaguars team cause members of a cohesive group desire
rarely loses any of its players—not even its to belong, the interactions among them will
second-stringers. typically have a positive, upbeat character
The players of another team in the and reflect a “we” feeling.
league—the Penguins—provide a very dif-
ferent story. The Penguins have finished The Nature of Group Cohesion
in last place for the last three seasons. Oc-
casionally, the Penguins have to forfeit a People may have very different motives for
game because they cannot even field a team joining and staying in groups. Some may
of nine players. The team is not a high pri- belong to a group because they like the
ority for the players—they are often busy tasks they perform in the group, because
with other activities, and they often miss they enjoy interacting with the other mem-
practice. The players seldom run into one bers, because the group reflects their own
another outside of team activities. The Pen- values, or because the group helps them
guins’ planning session last spring dissolved get something they want (such as prestige,
into chaos when the players could not agree money, future opportunities, protection,
on how to pay for some new equipment. or social contacts). These varied motives
The friction was so bad that there is doubt lead to different levels and types of cohe-
about whether the team will even partici- sion among the members (Cota et al., 1995;
pate in the league next year. Hogg & Haines, 1996; Mullen & Copper,
The Jaguars and the Penguins differ in 1994; Tziner, 1982).
a number of respects. For one thing, the One of the fundamental types of group
Jaguars win a lot more than the Penguins. cohesion is social cohesion (Dion, 2000). A
But the teams also differ notably in their group has social cohesion if its members
members’ willingness to participate in the stay in the group primarily because they like
group. The Jaguar players care about their one another as persons and desire to inter-
membership on the team and want to interact with one another (Aiken, 1992; Lott &
act with one another, whereas the Penguin Lott, 1965). All other things being equal,
players seem to care much less. The Jaguars social cohesion will be greater when group
have a stronger grip on members’ loyalty members are similar. Similarity increases
than the Penguins do, and the team has liking; therefore, groups whose members
bonded together more firmly—the Jaguars have similar education, ethnicity, and sta-
have a higher level of group cohesion than tus, and hold similar attitudes will have
the Penguins do. greater social cohesion.
Group cohesion refers to the extent to The other major type of group cohe-
which members of a group desire to remain sion is task cohesion. When a group has
in a group and resist leaving it (Balkwell, high task cohesion, its members remain
1994; Cartwright, 1968). A highly cohe- together primarily because they are heav-
sive group generally maintains a firm hold ily involved with the group’s task(s). Task
over its members’ time, energy, loyalty, and cohesion will be greater if members find
commitment. Cohesive groups are marked the group’s task(s) intrinsically valuable,
by strong ties among members, a positive interesting, and challenging. It will also be
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Box 13.1 research update: The Ties That Bind: Attachments to a Sorority
Why are people strongly attached to some al’s involvement and position in the network of
groups? Social psychologists have identified a individuals inside the group would produce dif-
number of different factors that strengthen co- ferences in the sense of belonging and the indi-
hesion among group members. Recent work on vidual’s emotional satisfaction with the group.
the problem has produced a new proposition: To test these ideas, Paxton and Moody stud-
Emotional cohesion develops from the network ied the relationships among the members of
structure in a group. That is, patterns of who a sorority at a college in the southern United
knows whom, and who interacts with whom, States. Each member of the sorority was asked
produce emotional commitments to the group who in the sorority was her best friend, who she
and the ensuing effects of cohesion (conformity went out with socially on a regular basis, and in
to group norms, productivity of the group, and whom she would confide. As expected, some
so on). members were named more often than others,
To be emotionally attached to the group, in- and those people were considered more central
dividuals must feel they are full members of the to the sorority network.
group—that they belong to the group—and The researchers found, not surprisingly, that
they must feel good about being members of the sorority sisters who were more central to the net-
group—belonging to it makes them happy. Be- work felt more belonging to the group and were
ing emotionally attached implies that having to happier with their membership. But the research-
detach from the group produces negative emo- ers also located several subgroups or cliques
tional costs. If someone separates from a group within the larger sorority. They found that peo-
in which he or she does not feel very connected, ple who were more central to those subgroups
it would not produce much negative emotion be- were lower on their emotional attachment to the
cause the individual does not feel connected in group. In terms of group cohesion, then, rela-
the first place. Likewise, if someone is a member tionships with others can increase cohesion, but
of a group and is not happy about it (perhaps it is if cohesion among a subgroup becomes strong
a group that is constantly arguing), he or she will enough, it can damage the commitment of its
not suffer much from separating. members to the larger group.
Sociologists Pamela Paxton and James
Moody believed that differences in an individu- Source: Adapted from Paxton and Moody, 2003.
greater if the group’s objectives (and the ple, when the Jaguar players feel good after
related tasks) are clearly defined (Raven & winning a game, they make attributions
Rietsema, 1957). Groups that succeed at about the source of their happiness (see
achieving their goals (like the Jaguars) often Chapter 6). Given that the team had to
have higher task cohesion than do groups work together to win and the positive emo-
that fail repeatedly (like the Penguins). tions came from winning, the players attri-
bute their positive affect to the team and
Sources and Consequences of Cohesion its joint action. Focusing on the group as
an entity increases the group orientation of
Social psychological research suggests that the members. The players are more likely to
positive emotions attributed to the group think of the team as an important unit and
are an important source of cohesion (Law- to invest further in the group (Lawler, Thye
ler, Thye, & Yoon, 2000, 2008). For exam- & Yoon, 2000).
9780813349503.indb 443 5/16/14 1:50 PM

Implicit in the above is cohesion’s rela- Members of high-cohesion groups also

tionship to interdependence. That is, the have more influence on one another than
more that group members must rely on one do members of low-cohesion groups (Lott
another to achieve the goals that generate & Lott, 1965). This is not only because
positive emotion, the more likely they are members of high-cohesion groups try to in-
to attribute any positive emotion they ex- fluence one another more but also because
perience to the group (Lawler 2001, Lawler, they are more likely to be successful at do-
Thye, & Yoon, 2008). If the Jaguars won ing so. Conformity is higher in cohesive
because of the actions of a star player and groups than less cohesive ones (Sakurai,
not a group effort, the positive emotions as- 1975; Wyer, 1966).
sociated with winning would be much less Members of groups with high cohesion
likely to strengthen group ties because the are more likely to invest both time and
win would be attributed to the one player energy into their groups (Lawler, Thye, &
rather than any joint action on the part of Yoon, 2000) because they want them to
the team. perform well. This helps explain why co-
Cohesion begets increased cohesion. hesion tends to increase the productivity
Given the opportunity, members of highly and performance of groups. However, co-
cohesive groups communicate more with hesion does not always contribute to suc-
one another than do members of less co- cess (Evans & Dion, 1991; Gully, Devine, &
hesive groups (Moran, 1966), and the in- Whitney, 1995; Mullen & Copper, 1994).
teraction is of higher quality. Interaction The effects of cohesion ultimately depend
among members in highly cohesive groups on the type of cohesion holding the group
is usually friendlier, more cooperative, and together. Task cohesion (that is, members’
entails more attempts to reach agreements commitment to the group’s task) has a sig-
and to improve coordination (Shaw & nificant effect on group productivity, but
Shaw, 1962). other forms of cohesion (such as social co-
hesion and group pride) have little or no
effect on productivity (Mullen & Copper,
1994). This may be because members of so-
cially cohesive groups prefer to spend their
time socializing rather than producing.
grouP goalS
Groups can also be characterized by their

goals and by the structure they adopt in
pursuit of their goals. A group goal is an
Families are primary groups, with strong and
intimate ties. Engaging in activities that require outcome group members view as desirable
teamwork and generate positive emotions, and important to attain. These goals can
like this family is, increases cohesion among differ in terms of specificity, ranging from
group members. The positive affect the activity general statements about what the group
generates is attributed to the group, enhancing a does and why it exists to more specific tar-
sense of “we-ness.” Members of highly cohesive
groups invest more time and energy into group
gets and tasks that the group members at-
activities than those in less cohesive groups. © tempt to achieve along the way to its larger
Hero Images/Corbis goals. Primary groups tend to have more
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general or diffuse goals (like supporting or members more salient can enhance indi-
caring for one another). Conversely, sec- viduals’ support for group goals (Mackie &
ondary groups are likely to have specific Goethals, 1987). Strategies toward this end
goals (like winning football games or com- include increasing the proximity of mem-
pleting a course project). bers to one another, the experiences they
share in common, and the amount of social
Group Goals and Individual Goals contact and communication among them
(Turner, 1981). Using a common desig-
Although individual and group goals may nation to label group members (Penguins,
be related, they are not always the same, Tri-Delts, Crips) also makes salient a united
and these differences can be very important identity (Dion, 1979).
for the functioning of the group.
Most groups function best when there is
compatibility between group goals and the grouP norMS
individual goals of its members. The term
goal isomorphism refers to a state in which A norm is a rule or standard that specifies
group goals and individual goals are com- how group members are expected to be-
patible in the sense that actions leading to have under given circumstances (Hechter
group goals also lead to the attainment of & Opp, 2001). Most groups develop a va-
individual goals. High isomorphism benefits riety of norms that regulate their members’
the group and vice versa because members activities. For example, a Freecycle group
are motivated to pursue group goals and to may have norms specifying how many re-
contribute resources and effort to the group quests a community member can make for
(Sniezek & May, 1990). The common ad- free items before they must offer an item
monition among coaches—“There’s no I in of their own on the website. Norms of this
team”—is an effort to remind players that type will obviously have an impact on the
individuals’ goals can sometimes interfere ratio of requests to offers and influence
with group goals. A basketball player who members’ perceptions of the group’s goals.
refuses to pass might be trying to increase A group of college admissions officers may
his own stats and notoriety, but this can have norms that regulate how the officers
be detrimental to the team’s performance, make judgments; the nature of these norms
causing them to lose points or keeping them will indirectly affect which applicants will
from learning to work effectively as a unit. be admitted and which will not. A family
Groups use a number of strategies to may have norms regulating who washes the
heighten isomorphism. First, many groups dishes or mows the lawn.
recruit selectively—that is, only admit per-
sons who strongly support the group’s main Functions of Norms
goal(s) as members. Second, groups use
socialization and training. For example, a Norms serve a number of important func-
basketball coach might bench a star player tions for groups (Feldman, 1984). First, they
who consistently hogs the ball in an effort foster coordination among members while
to socialize him into being more of a team in pursuit of group goals. Because norms
player or run drills in practice that incor- usually reflect a group’s fundamental value
porate a number of passes. Finally, increas- system, they prescribe behaviors that help
ing members’ awareness that they belong the group in the attainment of important
to the group and making their identity as goals. When members conform to group
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Group norms can extend to any aspect of behavior, including dress and appearance. Bikers have a
different dress code from corporate executives, but conformity is high in each group. Left: © hroe/iStock;
right: © Squaredpixels/iStock
norms, they know what to expect of one Conformity and Influence

another, facilitating coordination among
them. If a family has established a norm of Norms do not mean much unless the group
gathering together for Sunday dinner, this can somehow oblige its members to live up
limits the needs to make explicit plans for to its norms. When an individual adheres
the dinner or for family members to won- to group norms and standards, it is called
der whether they will be free for other ac- conformity. Much of the behavior we wit-
tivities on an upcoming Sunday. ness in daily life involves conformity to one
Second, norms provide a cognitive frame group norm or another. Group members
of reference through which group mem- often change their behavior expressly so it
bers interpret and judge their environment. will conform to group norms.
That is, norms provide a basis for distin-
guishing good from bad, important from The Asch Conformity Paradigm. In
unimportant, tenable from untenable. They groups, influence flows in many directions—
are especially useful in novel or ambigu- members influence other members and are
ous situations, where they serve as point- influenced in turn. Of special importance,
ers on how to behave. Because norms are however, is the influence the group’s ma-
anchored in the group’s values and culture, jority exercises over individual members’
norms bring predictability and coherence behavior. Social psychologists use the term
to group activities. majority influence to refer to the processes
Third, norms define and enhance the by which a group’s majority pressures an in-
common identity of group members. This dividual member to conform or to adopt a
is especially true when group norms re- specific position on some issue.
quire members to behave differently from The impact of majority influence on in-
persons outside the group. Thus, norms dividual group members was illustrated
that prescribe distinctive dress (for examin a series of classic experiments by Asch
ple, clothing or hairstyles) or distinctive (1951, 1955, 1957). Using a laboratory set-
speech patterns (for example, dialects or voting, Asch created a situation in which an
cabulary) will differentiate group members individual was confronted by a majority
from nonmembers. These norms demarcate that agreed unanimously on a factual mat-
group boundaries and reinforce the group’s ter (spatial judgments) but was obviously
distinctive identity. in error. These studies showed that, within
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limits, groups can pressure their members a different set of lines each time. On each
to change their judgments and conform trial, the standard line matched one of the
with the majority’s position even when that three comparison lines. During each trial
position is obviously incorrect. of the experiment, the confederates an-
In the basic Asch experiment, a group of nounced their judgments publicly, one af-
eight persons participated in an investiga- ter another. The group was seated so that
tion of “visual discrimination.” In fact, all the confederates responded prior to the
but one of the participants in each group real participant, who also announced his
were confederates working for the experi- or her opinion publicly. Although this task
menter. The remaining individual was a na- seemed easy, it turned out to be a difficult
ive participant. In front of the experimental experience for the naive participant. On 6
room, large cards displayed a standard line of the 18 trials, the confederates gave a cor-
and three comparison lines, as shown in rect response, but on the other 12 trials, the
Figure 13.1. The participant’s objective was confederates responded incorrectly. The
to decide which of the three comparison confederates’ erroneous responses put the
lines was closest in length to the standard naive participants in a trying position. On
line. the one hand, they knew the correct re-
The task seemed simple and straightfor- sponse based on their own perception of
ward: one of the comparison lines was the the lines. On the other hand, they heard all
same length as the standard line, whereas the other persons (whom they believed to
the other two were very different. The be sincere) unanimously announcing a dif-
group repeated this task 18 times, using ferent and incorrect judgment on 12 trials.
The results showed that majority opin-
ion, even when obviously incorrect, strongly
influenced the judgments the naive partic-
ipants announced. In the 12 critical trials,
nearly one-third of the responses by par-
ticipants were incorrect (Asch, 1957). Only
one-quarter of the participants showed
no conformity and remained independent
throughout; the remainder conformed, at
least to some degree. One-third of the par-
1 2 3 ticipants conformed on 50% or more of the
Standard Line Comparison Lines
critical trials. This is striking compared to
the control condition. With no confeder-
FIgure 13.1 Judgmental Task used in Asch
ates present and participants recording
conformity studies
their judgments privately on paper, the er-
In the Asch paradigm, naive participants are shown one ror rate was less than 1%.
standard line and three comparison lines. The task is to Interviews conducted after the experi-
judge which of the three comparison lines is closest in
ment revealed that most of the participants
length to the standard line. By itself, this task appears
easy. However, participants are surrounded by other were quite aware of the discrepancy be-
persons (supposedly also naive participants but actual- tween the majority’s judgments and their
ly experimental confederates) who publicly announce own. They felt puzzled and under pressure,
erroneous judgments regarding the match between and they tried to figure out what might be
lines. Such a situation imposes pressure on the partici- happening. Some wondered whether they
pant to conform to their erroneous judgments. had misunderstood the experimental in-
Source: Adapted from Asch, 1952. structions; others began to look for other
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explanations or to question their eyesight. 2000). Being liked and accepted by other
Even those participants who did not con- members is one important reward in nor-
form to the majority felt some apprehen- mative influence. To exercise influence of
sion but eventually decided that the prob- this type, a group will need to maintain at
lem rested more with the majority than least some degree of surveillance over its
with themselves. The interviews indicated members’ behavior. The impact of norma-
that participants’ conformity in this study tive influence is heightened, for instance,
was of a particular type: public compliance when members respond publicly rather
without private acceptance: Although many than anonymously (Insko et al., 1983; Insko
participants conformed publicly, they pri- et al., 1985).
vately did not believe or accept the majori- Conformity to social norms may also be
ty’s judgment. In effect, they viewed public a utility-seeking activity, less in terms of
compliance as the best choice in a difficult directly avoiding punishments or currying
situation. favor but rather as a means to stabilize re-
lationships and enhance the predictability
Why Conform? The occurrence of ma- of behavior in the group. Conforming to
jority influence and conformity in groups norms and enforcing them produces more
can be explained generally by the fact that easily understandable relationships among
individual members are dependent on the people, making exchanges in these rela-
majority cognitively, socially, and for utili- tionships easier (Horne, 2004). If, for ex-
tarian reasons as well. For one thing, mem- ample, Bob wishes to sell an item on eBay,
bers seek information about social reality, he must follow the prescribed norms about
and they depend on the majority to validate describing his product accurately, ade-
their understanding of and opinions about quately packaging his product for shipping,
the group and the world. For another, in- and charging reasonable shipping and han-
dividual members want to obtain vari- dling costs. He is motivated to conform to
ous rewards and benefits—not the least of the standards of the eBay community, not
which is the acceptance of their continuing just because he will be sanctioned (by neg-
membership in the group—and they de- ative testimonials and perhaps even losing
pend heavily on the majority for these out- his account) if he does not but also because
comes. The dependence of group members following the norms enhances the trading
on the majority thus leads to the majority’s system for everyone involved. It makes buy-
exercise of influence in groups because it ing and selling behavior predictable, com-
can withhold these outcomes from the mi- fortable, and easy to manage.
nority.
Informational Influence. Informational
Normative Influence. Many analyses dis- influence occurs when a group member ac-
tinguish between normative influence and cepts information from others as valid evi-
informational influence (Cialdini & Trost, dence about reality. This type of influence
1998; Deutsch & Gerard, 1955; Kaplan, is likely when members need to reduce un-
1987; Turner, 1991). Normative influence certainty—as in situations that involve am-
occurs when a member conforms to expec- biguity or that entail an absence of objective
tations held by others (that is, to norms) in standards to guide judgment (Baron, Van-
order to receive the social rewards or avoid dello, & Brunsman, 1996). More concretely,
the punishments that are contingent on informational influence often occurs in
meeting these expectations (Janes & Olson, situations in which members are trying to
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solve a complex problem unfamiliar to them in an erratic fashion, even though the light
(Kaplan & Miller, 1987). Think back to your is not actually moving at all. Sherif used the
first time in the high school cafeteria. You autokinetic effect as a basis for studying in-
might not have known what to expect, but formational influence in groups. First, he
there probably were not explicit instruc- placed participants in a laboratory setting
tions anywhere. You looked to what others by themselves and asked them to estimate
were doing to determine how you should how far the light moved. In making these
proceed. Members considered more expert judgments, the participants were literally
or knowledgeable are especially likely to ex- in the dark—they had no external frame of
ercise informational influence during such reference. From their individual estimates,
tasks. This type of influence also occurs fre- the researcher was able to determine a sta-
quently in crisis situations when members ble range for each participant. Participants
must act immediately but lack knowledge differed quite a bit in this respect. Whereas
about the appropriate action. some thought the light was moving only
With respect to the Asch line judgment one or two inches, others believed it was
task, it seems that normative influence was moving as much as eight or ten inches.
operating prominently in the situation. Of Shortly thereafter, Sherif put the same
those participants who conformed in the participants together in groups of three
Asch experiment, many did so to avoid be- and placed them back in the autokinetic
ing embarrassed, ridiculed, or laughed at by situation. Although the estimates the par-
the majority. They were seeking acceptance ticipants had made when alone were dif-
by the majority (or at least to avoid outright ferent, the estimates they made in groups
public rejection). In one variation, Asch re- converged on a common standard. This
tested his participants on the same stimuli change in members’ judgments provides
with the majority group no longer present, evidence for the operation of informational
and they gave correct answers; their expe- influence. Lacking an external frame of ref-
rience of judging lines in the presence of erence and being uncertain about their own
the majority did not permanently alter their judgment, group members began to use one
understanding of the lines’ lengths, suggest- another’s estimates as a basis for defining
ing that informational influence was not an reality. Each group established its own ar-
influential factor. bitrary standard, and members used this as
Although informational influence was a frame of reference. This process of norm
relatively unimportant in the Asch situa- formation can be quite subtle; in fact, other
tion, we should not underestimate its im- research (Hood & Sherif, 1962) has shown
portance in other situations. A famous that participants involved in an autokinetic
study by Sherif (1935, 1936)—conducted experiment are often unaware that other
years before Asch did his line judgment re- members are influencing their judgments.
search—dramatically illustrates the impact Another interesting finding from Sherif’s
of informational influence under conditions original study emerged when, a week or two
of uncertainty. Sherif’s study used a physi- after their initial exposure, the participants
cal phenomenon known as the autokinetic were again placed alone in the autokinetic
effect (meaning “moves by itself”). The au- situation. The results showed that the par-
tokinetic effect occurs when a person stares ticipants used the acquired group norm
at a stationary pinpoint of light located at as the framework for their new, individual
a distance in a completely dark room. For judgments. Although not all studies have
most people, this light will appear to move found evidence of such enduring norm
9780813349503.indb 449 5/16/14 1:50 PM

internalization, at least one study retested Unanimity. What happens when the
individual participants in the autokinetic group’s majority is not unanimous? Basi-
task a year after their initial exposure to cally, lack of unanimity among majority
the group norm and found evidence that members has a liberating effect on partic-
the group norm still influenced partici- ipants’ behavior. A participant will be less
pants’ judgments despite the passage of likely to conform if another member breaks
time (Rohrer, Baron, Hoffman, & Swander, away from the majority (Gorfein, 1964;
1954). Morris & Miller, 1975). One explanation for
this is that the member who abandons the
Increasing Conformity majority provides validation and social sup-
port for the participant. For example, if one
An individual’s tendency to conform will be or several members in an experiment like
greater under some conditions than under Asch’s abandon the majority and announce
others. Social psychologists have identified correct judgments, their behavior will re-
a number of factors that affect conformity affirm the participant’s own perception of
in groups. reality and reduce his or her tendency to
conform to the majority.
Size of the Majority. If the majority is unan- Beyond this, however, any breach in the
imous—that is, if all the members of the majority—whether it provides social sup-
majority are united in their position—then port or not—will reduce the pressure on
the size of the majority will have an impact the participant to conform (Allen & Levine,
on the behavior of the participant. As the 1971; Levine, Saxe, & Ranelli, 1975). In one
size of the unanimous majority increases, study (Allen & Levine, 1969), individuals
the amount of participants’ conformity in- participated in groups of five persons, four
creases (Asch, 1955; Rosenberg, 1961). For of whom were confederates. The partici-
example, a participant confronted by one pants made judgments on a variety of items.
other person in an Asch-type situation will These included visual tasks similar to those
conform very little; he or she will answer in- used by Asch as well as informational items
dependently and correctly on nearly all tri- (for example, “In thousands of miles, how
als. However, when confronted by two per- far is it from San Francisco to New York?”)
sons, the participant will experience more and opinion items for which there were no
pressure and will agree with the majority’s correct answers (“Agree or disagree: ‘Most
erroneous answer more of the time. Con- young people get too much education’”).
fronted by three persons, the participant Depending on the experimental condition,
will conform at a still higher rate. In his participants were confronted with either a
early studies, Asch (1951) found that con- unanimous majority of four persons (con-
formity to unanimous false judgments in- trol condition), a majority of three persons
creased with majority size up to three mem- and a fourth person who broke from the
bers and then remained essentially constant majority and gave the correct answer (social
beyond that point. Although some research support condition), or a majority of three
(Bond & Smith, 1996; Gerard, Wilhelmy, & persons and a fourth person who broke
Conolley, 1968) has questioned the exact from the majority but gave an answer even
point at which the effect of majority size be- more erroneous than that of the majority
gins to level off, there does seem to be some (extreme erroneous dissent condition).
point at which additional persons do not The control condition, which involved
further increase conformity. a unanimous majority, produced the high-
9780813349503.indb 450 5/16/14 1:50 PM

est level of conformity. The social support when you know you will be continuing to
condition, in which the dissenter joined the work there for the foreseeable future.
participant, produced significantly less con-
formity than the control condition. Even Competence. Another factor affecting con-
the extreme erroneous dissent condition, formity is an individual member’s level of
in which the dissenter gave an answer that expertise relative to that of other members.
was more extreme and incorrect than the If members who are skilled at the group’s
majority’s, produced significantly less con- task differ from the majority’s view, they
formity. Thus, any breach in the majority will resist pressure to the degree that they
reduced conformity because it called into believe themselves to be more competent
question the correctness of the majority’s than the other group members (Ettinger et
position and reduced the participant’s ten- al., 1971). Interestingly, the extent to which
dency to conform. a person believes that he or she is compe-
tent may be more important than the actual
Attraction to the Group. Members who level of competence (Stang, 1972). Persons
are highly attracted to a group will con- who, in fact, are not competent will still re-
form more to group norms than will mem- sist conformity pressure and perhaps try to
bers who are less attracted to it (Kiesler persuade other members to change their
& Kiesler, 1969; Mehrabian & Ksionzky, positions if they believe they have more skill
1970). One explanation for this is that than the other members.
when individuals are attracted to a group,
they also wish to be accepted personally Priming. Two researchers combined the
by its members. Because acceptance and work of Sherif and Asch to do a study on
friendship are strengthened when mem- the effects of priming in conformity. Louise
bers hold similar attitudes and standards, Pendry and Rachael Carrick (2001) asked
individuals who are highly attracted to a their subjects to count the number of beeps
group conform more to the views held by they heard—a task not as ambiguous as the
the other members (Feather & Armstrong, Sherif autokinetic effect but still subject to
1967; McLeod, Price, & Harburg, 1966). considerable error by many subjects. Each
However, attraction to a group will increase time, the subjects actually heard 100 beeps,
conformity only if that conformity leads to but the confederates (as in the Asch experi-
acceptance by others in the group (Walker ments) were instructed to lie and report be-
& Heyns, 1962). tween 120 and 125 beeps. Not surprisingly,
the subjects often conformed and reported
Commitment to Future Interaction. much higher than 100 beeps.
Members are more likely to conform to However, what was most interesting
group norms when they anticipate that was that the experimenters were able to
their relationship with the group will be manipulate conformity through a process
permanent or enduring, as opposed to short of priming—brief exposure to a stimulus
term (Lewis, Langan, & Hollander, 1972). meant to influence the response to a sec-
This is true regardless of whether members ond stimulus. The researchers exposed
are attracted to a group (Forsyth, 1999). For their subjects to either a “punk” stimulus
example, even if you dislike your coworkers (representing anarchy and nonconformity),
and your job, you are likely to continue to an “accountant” stimulus (representing the
conform to group norms (coming in to work neat and orderly conformist), or no stim-
on time, being friendly, helping customers) ulus (the control condition) by showing
9780813349503.indb 451 5/16/14 1:50 PM

120
115
MEAN BEEP ESTIMATES
110
105
100
95
Accountant No Prime Punk Solo
EXPERIMENTAL CONDITION
FIgure 13.2 effects of Priming on conformity

In an experiment that combined Asch (conformity paradigm) and Sherif (ambiguous situation), researchers found
that priming influenced conformity. Participants primed to think about accountants conformed significantly more
than any other group. Furthermore, participants who were primed with punk before the experiment did not differ
from those who completed the task alone (without any type of influence).
Source: Adapted from Pendry & Carrick, 2001.
them a photo and asking them to read text exist in isolation as they do in the labora-
that described the person in the text as ei- tory. Sports teams and gangs have rivals.
ther a punk rocker or an accountant. The Families and friendship groups have con-
results showed that the accountant-primed temporaries. The United States is one of
subjects conformed to the confederates’ es- many countries in the world. One inter-
timates of the number of beeps the most of group process with profound implications
the three groups. The group that received on groups is intergroup conflict.
no prime conformed, but less so than the The term intergroup conflict is often
accountant-primed group. The punk- used in two distinct ways. First, we use it
primed group essentially did not conform when referring to conflict between orga-
at all. Their estimates were not significantly nized groups—each group consisting of
different from subjects who performed the members who interact with one another,
beep-counting task in isolation (and thus who have well-defined role relationships,
had no conformity pressure). and who have interdependent goals. Sec-
ond, we also use intergroup conflict to refer
to what might be better described as con-
IntergrouP conflIct flict between persons belonging to different
social categories. Although not necessarily
Processes between groups heavily influence members of organized groups, these people
processes within groups. Groups seldom perceive themselves as members of the same
9780813349503.indb 452 5/16/14 1:50 PM

social category and are involved emotionally conflict? As noted previously, if a group
in this common definition of themselves. is cohesive, its members will desire to re-
For instance, conflict between members of main in it and resist leaving it. A highly
ethnic or racial categories (such as neighbor- cohesive group will, in general, maintain a
hood conflicts between Blacks and Hispanics firm hold over its members’ time, energy,
in Miami) is usually considered intergroup loyalty, and commitment. Because confor-
conflict, even though the individuals in- mity and cooperation tend to be greater in
volved may not belong to organized groups. high-cohesion groups than in low-cohesion
groups (Sakurai, 1975), cohesive groups are
Effects of Intergroup Conflict on capable of taking well-coordinated action in
Within-Group Processes pursuit of their goals. In the context of in-
tergroup conflict, high-cohesion groups are
Intergroup conflict produces changes in the often more vigorous and contentious than
internal structure of the groups participat- low-cohesion groups.
ing in the conflict that can promote esca- Of course, there are some limits to this
lation and make conflict resolution more effect. If a group is embroiled in a conflict in
difficult (Coser, 1967). Three main changes which it cannot possibly prevail, members
that can occur are increased group cohe- may give up all hope. When this occurs,
sion, increased militancy of group leaders, cohesion can decline, and some members
and an alteration of norms in the group. may leave the group. But under conditions
in which success is still possible, in-group
Group Cohesion. Research finds that when cohesion will usually increase when conflict
a group engages in conflict against another develops with another group.
group or is threatened by another group,
it will become more cohesive (Dion, 1979; Leadership Militancy. Group leaders act
Ryen & Kahn, 1975; Worchel & Norvell, differently under conditions of intergroup
1980). During conflict, a group’s boundar- conflict than under conditions of peace.
ies will become more firmly etched, and its Under conflict, leaders have to direct the
members will generally show higher levels charge against the adversary. They plan the
of loyalty, commitment, and cooperative- group’s strategic moves, obtain resources
ness to the group (Sherif, 1966; Sherif & needed for the conflict, coordinate mem-
Sherif, 1982). bers’ actions, and serve as spokespersons in
Why does intergroup conflict lead to negotiations with the adversary. How well
higher cohesion? First, as the conflict esca- these activities are performed will have an
lates, a group’s cause becomes more signifi- important impact on a group’s success or
cant to its members, and thus they increase failure in intergroup conflict.
their commitment to it. Second, intergroup It is not uncommon for groups embroiled
conflict frequently entails threats; if an out- in heavy conflict to change leaders. If the
group issues a threat, that action quickly campaign against an opposing group is not
identifies the out-group as an enemy. Hav- progressing well, rivals for leadership may
ing a common enemy heightens perceived emerge within the in-group. Frequently,
similarity among in-group members and these rivals will be angrier, more radical,
increases cohesion (Holmes & Grant, 1979; and more militant than the existing lead-
Samuels, 1970). ers. This challenge from rivals will place
What are the consequences of height- the existing leaders under pressure. To de-
ened in-group cohesion during intergroup fend against this threat, they may react by
9780813349503.indb 453 5/16/14 1:50 PM

adopting a harder line and taking stronger adopt the group’s negative attitudes and ste-
action against the out-group. Under con- reotypes regarding the adversary—a form of
ditions of threat, group members are more “right thinking.” The importance of loyalty
likely to be influenced by their leaders and, to the in-group will increase, and members
therefore, are more accepting of this in- will increasingly expect one another to dis-
creased militancy. Although existing lead- play a distrusting, competitive orientation
ers do not always react to threat in this way, toward the out-group. Those who do not
they are especially prone to do so when their will be trusted less by the group and may
own position within the group is insecure or even be ostracized or ejected from the group.
precarious (Rabbie & Bekkers, 1978). These conformity pressures may well
impinge on the rights and liberties of in-
Norms and Conformity. Intergroup con- dividual members. Yet the group will care
flict not only increases group cohesion and less about these rights than it did before the
leadership militancy; it also changes group conflict, and there will be less tolerance of
norms and goals. Once serious intergroup dissent (Korten, 1962). If internal dissent
hostilities have begun, group members will does occur, the majority will likely react by
grow concerned with winning (or surviv- suppressing it or by forcing the dissidents
ing) the conflict. Some behaviors and activ- out of the group, especially if they suspect
ities the group considered valuable prior to them of sympathizing with the adversary or
the conflict may now seem useless or even engaging in behavior that jeopardizes the
detrimental to success in the conflict; if this group’s chance of victory.
happens, the group will reorder goal priori- All three of these processes—increased
ties and favor those behaviors that can help cohesion, leadership militancy, and norms
it win the conflict. and conformity—were evident in the
As part of this, the group may reassess United States immediately following 9/11.
the importance of various tasks and make The perceived threat from outside not only
corresponding changes in members’ role brought most of the country together, how-
definitions and task assignments. This can ever briefly, but also allowed George W.
result in a redistribution of status and re- Bush to get support to increase surveillance
wards among members that—if judged by of citizens, significantly enhance airport
preconflict standards—would not appear security regulations, and devote more mil-
fair. The reallocation of tasks may impose itary personnel and monies to the War on
an unequal sharing of costs and hardships, Terror. Furthermore, those who refused to
and it may not reflect members’ senior- conform to these norms were often consid-
ity or past contributions. Changes such as ered anti-American.
these can increase tensions among mem-
bers within the group (Leventhal, 1979).
But if the conflict is intense, concerns about SourceS of IntergrouP conflIct
group effectiveness and survival will over-
shadow concerns about equity and fairness. In the case of 9/11, intergroup conflict
Under severe conflict, the members will stemmed from a single aversive event, a se-
increase their demands on one another for ries of terrorist attacks on U.S. soil. There
conformity to group norms and standards. are several other origins of intergroup con-
Enhanced coordination and task perfor- flict. Overt conflict can develop because
mance will help the group achieve success groups have an underlying opposition of
in the conflict. There will also be pressure to interests. When this opposition prevents
9780813349503.indb 454 5/16/14 1:50 PM

them from achieving their goals simultane- camped out, cooked, worked on improv-
ously, it can lead to antagonism and friction ing swimming holes, transported canoes
and, eventually, to open conflict. Conflict over rough terrain to the water, and played
can also develop because members of one various games. As they worked together,
group view themselves as different in im- the boys in each group pooled their efforts,
portant ways from members of another organized duties, and divided tasks of work
group and act in a discriminatory way to- and play. Eventually, the boys identified
ward the other group. Or conflict may occur more and more with their own groups, and
because one group suddenly threatens or each unit developed a high degree of group
deprives another group and, thereby, pro- cohesion and solidarity.
vokes an aggressive reaction. These factors Next, the experimenters began the sec-
are not mutually exclusive; in fact, they of- ond stage, in which conflict was induced
ten work together to cause conflict between between the groups. Specifically, the camp
groups (Taylor & Moghaddam, 1987). staff arranged a tournament of games, in-
cluding baseball, touch football, tug-of-war,
Realistic Group Conflict and a treasure hunt. In this tournament,
prizes were awarded only to the victorious
Years ago, Muzafer Sherif and his col- group. Thus, one group could attain its goal
leagues conducted an important study of only at the expense of the other.
intergroup conflict at Robbers Cave State The tournament started in the spirit of
Park in Oklahoma (Sherif, 1966; Sherif et good sportsmanship, but as it progressed,
al., 1961; Sherif & Sherif, 1982). The par- the positive feelings faded. The good
ticipants in this experiment were well- sportsmanship cheer that customarily fol-
adjusted, academically successful, White, lows a game, “two-four-six-eight, who do
middle-class American boys, aged 11 and we appreciate,” turned into “two-four-six-
12. These boys attended a two-week exper- eight, who do we appreci-HATE.” Inter-
imental summer camp and participated in group hostility intensified, and members
camp activities, unaware that their behav- of each group began to refer to their rivals
ior was under systematic observation. The as “sneaks” and “cheats.” After suffering
research objective was to investigate how a stinging defeat in one game, the Eagles
an underlying opposition of interest might burned a banner left behind by the Rattlers.
lead to overt intergroup conflict. There- When the Rattlers discovered this “desecra-
fore, the boys were divided into two groups, tion,” they confronted the Eagles, and a fist-
named the Eagles and the Rattlers. fight nearly broke out. The next morning,
The experiment progressed in several the Rattlers seized the Eagles’ flag. Name
stages. The first stage, which lasted about calling, threats, physical scuffling, and cabin
a week, was designed to produce cohesion raids by the opposing groups became in-
within each of the groups. The boys arrived creasingly frequent. When asked by the ex-
at the camp on two separate buses and set- perimenters to rate each other’s characters,
tled into cabins located a considerable dis- a large proportion of the boys in each group
tance apart. By design, contact within each gave negative ratings to all the boys in the
group was high, but contact between the other group. When the tournament was fi-
two groups was minimal. nally over, the two groups refused to have
The boys within each group engaged in anything to do with each other.
various activities, many of which required This study is a classic illustration of
cooperative effort for achievement. They realistic group conflict theory, a well-
9780813349503.indb 455 5/16/14 1:50 PM

established theory that provides one expla- trism involves a pervasive and rigid distinc-
nation for the development of intergroup tion between the in-group and one or more
conflict. The basic propositions of realistic out-groups. It entails stereotyped positive
group conflict theory are (1) when groups imagery and favorable attitudes regarding
are pursuing objectives in which a gain by the in-group combined with stereotyped
one group necessarily results in a loss by negative imagery and hostile attitudes re-
the other, they have what is called an op- garding the out-groups. For example, seeing
position of interest; (2) this opposition of the in-group as superior and the out-group
interest causes members of each group to as inferior, viewing the in-group as strong
experience frustration and to develop an- and the out-group as weak, and construing
tagonistic attitudes toward the other group; the in-group as honest and peaceful and
(3) as members of one group develop nega- the out-group as treacherous and hostile
tive attitudes and unfavorable perceptions (LeVine & Campbell, 1972; Wilder, 1981).
about members of the other group, they be- Ethnocentric attitudes not only cause
come more strongly identified with and at- in-group members to devalue and demean
tached to their own group; (4) as solidarity out-group members; they also lead to dis-
and cohesion within each group increase, crimination—overt acts that treat mem-
the likelihood of overt conflict between bers of certain out-groups in an unfair or
groups increases, and even a very slight disadvantageous manner. The simple pro-
provocation can trigger direct action by one cess of social categorization—placing peo-
group against another. ple into arbitrarily defined groups that have
The pattern of conflict in the relationship no important meaning—is sufficient to
between the Eagles and the Rattlers is con- produce intergroup discrimination (Tajfel,
sistent with this theory. Intergroup conflict 1982b; Tajfel & Billig, 1974).
stemming from an underlying opposition This effect has been demonstrated con-
of interest is also apparent in the everyday sistently using an experimental paradigm
struggle for economic survival, such as the called the minimal group paradigm. This
competition between ethnic groups for ac- research finds that even arbitrary or triv-
cess to jobs, housing, and schooling (Bobo, ial distinctions between groups trigger in-
1983, 1999, 2000; Olzak, 1992). group and out-group processes. In one in-
stance, participants were openly assigned to
Social Identity categories at random based on a coin toss.
The results still show the same pattern as
Another factor in intergroup conflict is how well-entrenched groups: Participants dis-
strongly members identify with their own criminate in favor of their own in-group and
group. Even when an underlying opposi- against the out-group. This bias is reflected
tion of interest is not present, strong group both in attitudinal and evaluation measures
identification can, by itself, produce biased and in the allocation of money and other
behavior toward out-groups. rewards (Brewer, 1979; Brewer & Brown,
People have a fundamental tendency to 1998; Oakes & Turner, 1980; Tajfel, 1981).
like their own group (the in-group) and to Social identity theory of intergroup
dislike competing or opposing groups (the behavior, developed by Tajfel and others
out-groups) (Sumner, 1906). This is because (Tajfel, 1981, 1982a; Tajfel & Turner, 1986),
of ethnocentrism—the tendency to regard offers an account for this discrimination
one’s own group as the center of everything even when there is no utilitarian value in
and as superior to out-groups. Ethnocen- those beliefs or behaviors. This theory starts
9780813349503.indb 456 5/16/14 1:50 PM

Research in the minimal group paradigm consistently shows that even arbitrary group distinctions
can trigger in-group and out-group processes like ethnocentrism and biased evaluations of group
performance. Contact with members from the out-group can break down stereotypes and lessen
intergroup conflict. Comic courtesy of xkcd.com.
by assuming that individuals want to hold voke open hostilities between groups (Ber-
a positive self-concept. According to this kowitz, 1972; Konecni, 1979). An aversive
view, the self-concept has two components, event is a behavioral episode caused by
a personal identity and a social identity, and or attributed to an out-group that entails
improving the evaluation of either of these undesirable outcomes for members of an
can improve one’s self-concept. The social in-group. The unexpected loss of the bas-
identity component depends primarily on ketball game is an aversive event for fans of
the groups or social categories to which one the home team, and it can trigger conflict
belongs, and the evaluation of one’s own extending far beyond the hardwood court.
group is determined in part by a compar- Although aversive events can assume many
ison with other groups. Thus, positive so- forms, they always involve outcomes that
cial identity depends on whether the com- people would prefer to avoid, and they in-
parisons made between one’s in-group and clude such things as being physically or ver-
some relevant out-groups are favorable. bally attacked, being slighted or humiliated,
The desire to maintain a positive self- or being subjected to a loss of income or
concept, then, creates pressures to evaluate property.
one’s own group positively. Thus, in the The idea that aversive events trigger
minimal group situation, when an individ- overt intergroup conflict is based on the
ual is assigned to a group, he or she ends up general frustration-aggression hypothesis
thinking of that group (the in-group) as bet- (see Chapter 11). This hypothesis holds
ter than the other (the out-group) and as a that frustration leads to annoyance or an-
result will have higher personal self-esteem ger, which can quickly turn into aggression
(Aberson, Healy, & Romero, 2000; Rubin & if situational conditions are conducive (Ber-
Hewstone, 1998). He or she will also engage kowitz, 1989; Gustafson, 1989). The hy-
in actions to support this idea, such as allo- pothesis is true for groups as well as individ-
cating money to members of the in-group. uals. If provoked by an aversive event seen
to be caused by an out-group, an in-group
Aversive Events will mobilize and attack the out-group. This
response is most likely to happen when an
A single aversive event, like the 9/11 ter- underlying opposition of interest exists
rorist attack mentioned earlier, can pro- between groups, when easily identifiable
9780813349503.indb 457 5/16/14 1:50 PM

characteristics (such as language, religion, other (Park & Rothbart, 1982), of students
or members’ skin color) serve as a basis for attending rival universities (Quattrone &
differentiation between groups, and when Jones, 1980), of young and elderly persons
members of one group already hold antag- (Brewer & Lui, 1984), and of people in dif-
onistic attitudes and negative stereotypes ferent occupations (Brauer, 2001). Quat-
regarding the other. trone (1986) suggests that limited contact
with out-group members and richer con-
tact with in-group members contributes to
PerSIStence of this bias. Fewer experiences with an out-
IntergrouP conflIct group make it less likely that the perceivers
will have a chance to see or appreciate the
Intergroup conflict persists, in large part, extent to which out-group members differ
because of biased perceptions of the out- from one another in important ways.
group. In intergroup conflict, it is not un-
common for members of an in-group to Group Stereotypes and Images
harbor unrealistic impressions regard-
ing out-group members. When in-group In-group members often make use of ste-
members hold mistaken perceptions of the reotypes (see Chapter 6) of the out-group.
out-group, disputes become increasingly Although stereotypes do have certain vir-
difficult to resolve. Mistaken impressions tues (for instance, they make it possible to
arise from certain biases inherent in group process information more quickly), reli-
perception, including the illusion that the ance on them can foster mistaken impres-
out-group is homogeneous, an excessive sions of the out-group and its members.
reliance on stereotypes, errors in causal For one thing, stereotypes often exaggerate
attribution, and incorrect evaluation of in- or accentuate the differences between an
group performance relative to that of the in-group and an out-group; they make the
out-group. groups seem to differ from one another to
a greater extent than they really do (Eiser,
Out-Group Homogeneity 1984). Moreover, many stereotypes are
depreciatory, and they often ascribe nega-
There is a tendency for in-group members tively valued traits or characteristics to out-
to overestimate the degree of similarity or group members.
homogeneity among out-group members Individuals are also likely to overestimate
(Linville, Fischer, & Salovey, 1989; Quat- similarities between themselves and their
trone, 1986). Although in-group members in-groups relative to themselves and their
perceive and appreciate the diversity within out-groups. Thus, the stereotypes created
the in-group, individuals usually perceive of out-groups tend to attribute characteris-
less variability among members of the tics to its members that are opposed to the
out-group (Mullen & Hu, 1989; Rothbart, individual’s view of self and in-group: They
Dawes, & Park, 1984). In other words, they are stingy, we are generous. This, in turn,
tend to perceive the out-group members as helps create unrealistic contrasts between
“all alike.” This is referred to as the illusion in-groups and out-groups, exaggerating
of out-group homogeneity. differences and promoting intergroup con-
This perceptual bias is quite general flict (Riketta, 2005). One such difference is
and widespread. It has been observed in to perceive the in-group and its behavior
men’s and women’s perceptions of each as relatively peaceful and cooperative and
9780813349503.indb 458 5/16/14 1:50 PM

to perceive the adversary as aggressive and garding the character and motives of the
competitive (Bronfenbrenner, 1961). other side.
Another important characteristic of ste-
reotypes is that they tend to have low sche- Biased Evaluation of Group Performance
matic complexity—that is, they are over-
simplified and unrealistic (Linville & Jones, Another common bias is for in-group
1980). This lower schematic complexity members to rate the performance of their
puts in-group members at risk of neglecting own group more favorably than that of the
or misinterpreting new information about out-group, even when there is no objective
the activities of the out-group, especially if basis for this difference (Hinkle & Schopler,
it is inconsistent with the stereotype. For 1986). One illustration of this bias appeared
instance, if a peaceful overture by the out- in the Robbers Cave study discussed earlier.
group is difficult to understand in light of When antagonism between the Eagles and
the in-group’s stereotype of the out-group, the Rattlers was at its peak, the investiga-
the in-group members may incorrectly re- tors arranged for the boys to participate in
interpret the action as a veiled threat and a bean-collecting contest. They scattered
react with hostility. beans on the ground, and the boys col-
lected as many as possible in one minute.
Ultimate Attribution Error Each boy stored his beans in a sack with a
narrow opening, so he could not check the
Several studies have revealed a perceptual number of beans in it. Later, the experi-
bias that Pettigrew (1979) has called the ul- menters projected a picture of the beans
timate attribution error. When a member gathered by each boy on a screen in a large
of our own in-group behaves in a positive room. Boys from both groups tried to esti-
or desirable manner, we are likely to attri- mate the number of beans in each boy’s col-
bute that behavior to the member’s inter- lection. The projection time was very short
nal, stable characteristics (such as positive and precluded counting. In reality, the ex-
personality dispositions). If that same per- perimenters projected the same number of
son behaves in a negative or undesirable beans (35) each time, although in different
manner, we will tend to discount it and at- arrangements. The boys’ estimates revealed
tribute it to external, unstable factors (she a strong in-group bias; they overestimated
was operating under unusual stress or hav- the number of beans collected by members
ing a bad day). However, when perceiving of their own group and underestimated the
a member of an out-group, we display the number collected by the out-group. This
opposite bias. Positive behaviors by out- bias increases as the distinction between in-
group members are attributed to unstable, group and out-group becomes more salient
external factors (situational pressures or (Brewer, 1979).
luck). Negative behaviors are attributed to Bias in the evaluation of group perfor-
stable, internal factors (undesirable per- mance can produce a variety of conse-
sonal traits or dispositions). In other words, quences. It can serve as a positive motiva-
you are more likely to blame the out-group tional device that strengthens the in-group’s
for negative outcomes but are less likely to effort, boosts group morale, and helps mem-
give it credit for positive outcomes (Cooper bers avoid complacency (Worchel, Lind, &
& Fazio, 1986; Hewstone, 1990; Taylor & Kaufman, 1975). However, overvaluation of
Jaggi, 1974). These attribution biases tend an in-group’s relative performance can lead
to maintain each side’s negative view re- to faulty decision making or groupthink
9780813349503.indb 459 5/16/14 1:50 PM

(Janis, 1982; see Chapter 14). Overestima- became stuck along the roadway. If the boys
tion of a group’s capacity relative to that of were to eat, they had to work together to
an adversary may cause the in-group to be- free the heavy vehicle and push it up a steep
come overconfident and, hence, too willing grade. By inducing some cooperation be-
to continue a fight that realistically should tween the groups, the superordinate goal
be abandoned or settled. structure also reduced hostility (Sherif et
al., 1961).
The impact of superordinate goals on
reSolvIng IntergrouP conflIct conflict reduction is not usually immedi-
ate but rather gradual and cumulative. The
One cannot resolve intergroup conflict results are stronger when several goals are
merely by “reversing” the processes that introduced one after another rather than a
initially caused it. It is often impossible to single goal. Because superordinate goals are
eliminate the underlying opposition of in- cumulative in effect, they have greater im-
terest, to diminish the ethnocentric iden- pact when they are massed (Blake, Shepard,
tification with the in-group, or to forestall & Mouton, 1964; Sherif et al., 1961).
aversive events. Nevertheless, investigators Why does this work? First, superordinate
and practitioners have developed various goals serve as a basis for restructuring the
techniques to reduce or resolve intergroup relationship between groups. Superordinate
conflict. In this section, we discuss four of goals create cooperative interdependence
them. between the in-group and the out-group.
By changing a hostile win-lose situation
Superordinate Goals into one of collaborative problem solving,
with the possibility of a win-win outcome,
One of the most effective techniques for a superordinate goal reduces friction be-
resolving intergroup conflict is to develop tween groups. The activities of out-group
what are called superordinate goals. A su- members will become valued by in-group
perordinate goal is an objective held in members because members of one group
common by all groups in a conflict that can- are contributing to outcomes desired by the
not be achieved by any one group without other.
the supportive efforts of the other group. Second, the introduction of a superor-
Research confirms that, once introduced, dinate goal often increases interaction be-
superordinate goals usually reduce in-group tween in-group and out-group members.
bias and intergroup conflict (Bettencourt, Increased contact by itself is generally not
Brewer, Croak, & Miller, 1992; Gaertner et sufficient to reduce intergroup bias or hos-
al., 1999; Sherif et al., 1961). tility, but if some of the interaction with the
When the conflict between the Ea- out-group members is personalized rather
gles and the Rattlers was at its peak in the than just task-oriented or if it provides in-
Robbers Cave experiment, the researchers formation that reduces stereotyping, the
introduced several goals that involved im- superordinate goal will reduce bias and
portant shared needs. First, the researchers hostility (Bettencourt et al., 1992; Brewer &
arranged for the system that supplied wa- Miller, 1984; Worchel, 1986).
ter to both groups to break down. To find Third, the introduction of a superordi-
the source of the problem and restore water nate goal can generate a new, superordi-
to the camp, the two groups of boys had to nate social identity shared by all members.
work together. Next, the food delivery truck The superordinate goal reduces the sharp
9780813349503.indb 460 5/16/14 1:50 PM

distinction between the in-group (“us”) between Black and White children, but it
and the out-group (“them”), and a new did not always produce positive changes in
common identity applying to all members intergroup relations (Cook, 1984; Gerard,
of both groups is created. One theory of 1983). In some instances, increasing the
recategorization, termed the common in- level of intergroup contact can actually in-
group identity model, proposes that when crease conflict (Brewer, 1986). Given these
persons belonging to separate social groups mixed findings, social psychologists have
come to view themselves as members of a focused their attention on identifying the
single social unit or category, their attitudes conditions under which intergroup contact
toward one another will become more leads to reduced bias and conflict as well as
positive (Dovidio, Gaertner, Isen, & Low- the conditions under which it does not.
rance, 1995; Gaertner et al., 1993; Gaertner,
Mann, Murrell, & Dovidio, 1989). Former Sustained Close Contact. Findings sug-
out-group members will increase in attrac- gest that contact between members of dif-
tiveness, and the favoritism that in-group ferent groups is more effective in reduc-
members originally afforded their own ing conflict if the contact is sustained and
group will now be extended to the whole personal rather than brief and superficial
collective. (Amir, 1976; Brown & Turner, 1981; Levin,
van Laar, & Sidanius, 2003). Low levels of
Intergroup Contact intimacy will have little effect on intergroup
prejudice and stereotyping (Segal, 1965).
An increase in contact and communication There are several reasons why sustained
between members of opposing groups can close contact tends to reduce prejudice and
also reduce intergroup conflict. According stereotyping. First, cognitive dissonance
to the intergroup contact hypothesis, in- may produce attitude change. If individu-
creased contact should lessen stereotypes als with negative attitudes find themselves
and reduce bias and, consequently, lessen subject to situational pressures that in-
antagonism between groups (Allport, 1954; crease interaction, and if they consequently
Pettigrew & Tropp, 2006). For example, engage in positive actions toward members
research finds that more contact with the of an out-group, their behavior will be in-
homeless—whether having a homeless rel- consistent with their attitudes, which may
ative, interacting with them at a shelter, create a state of cognitive dissonance (see
reading an article about the problem of Chapter 7). The theory of cognitive disso-
homelessness, or even living in a neighbor- nance predicts that these persons will end
hood with a large homeless population— up changing their attitudes—becoming
increases sympathy toward the group and more positive toward the out-group—as a
fosters a willingness to sacrifice to help means of justifying to themselves their new
a homeless person (Lee, Farrell, & Link, behavior.
2004). Second, during close contact, members
Although intergroup contact often re- of different groups may engage in self-
duces prejudice and conflict between disclosure. Higher levels of self-disclosure
groups in some cases, it does not always generally promote interpersonal liking,
do so (Brewer & Kramer, 1985; Herek & provided that the attributes one person re-
Capitanio, 1996; Hewstone & Brown, 1986; veals are viewed positively—or at least not
Pettigrew, 1997; Riordan, 1978). School de- negatively—by the other (Collins & Miller,
segregation, for instance, increased contact 1994).
9780813349503.indb 461 5/16/14 1:50 PM

Box 13.2 using Remember the Titans to understand

Intergroup Conflict reduction
Many of the social psychological processes dis- right?” Only through ongoing, meaningful con-
cussed in this book are illustrated in popular tele- versations are these stereotypes broken down.
vision shows and movies. Intergroup processes Some of these conversations lead to close
are no exception. friendships. Scenes from the movie convey the
Remember the Titans follows the football team importance of these friendships between group
at Alexandria, Virginia’s T. C. Williams High School members, specifically because they offer numer-
during the 1971 season, its first as an integrated ous opportunities for anxiety reduction, empa-
school and team. Herman Boone, played by den- thy, and knowledge. Most notable is the friend-
zel Washington, is tasked with winning football ship between the White team captain, Gerry
games. However, he realizes that intergroup dy- Bertier, and a Black standout, Julius Campbell.
namics may stand in the way of that goal, and he When these two players move beyond superficial
employs specific strategies to reduce the conflict conversation to honestly assessing one another’s
evident between the Black and White players. strengths and weaknesses both on and off the
The “coming together” of the Titans over the field, their friendship begins. This relationship
course of the film clearly illustrates three import- moves to a new level during a scene in the locker
ant sociological theories of intergroup conflict room at camp. One of the Black players makes a
reduction—intergroup contact, superordinate joke about Gerry Bertier’s mama. Clearly upset,
goals, and shared identities. Gerry poises for a physically violent counterat-
Coach Boone began by trying to make Black tack, but Julius comes and puts his hand on Ber-
and White students interact by having them sit tier’s shoulder and, smiling, shoots an insult back
together on the bus to camp, room together at the antagonist. This begins a round of “mama
while there, and dine together at meals. When jokes” and exposes Bertier to this side of locker
this contact failed at first to lessen the animosity room banter that is apparently common among
between groups or forge an integrated commu- his Black teammates. The scene ends a few mama
nity, Boone specifically instructs the players to jokes later when another White player makes a
spend time getting to know players of another joke that elicits raucous laughter and Bertier ex-
race—things about their families, about their claims with good cheer, “Now that’s a mama joke!”
likes and dislikes. The stereotypes and general- Throughout the film, the shared goal of be-
izations prevalent between the groups become coming an excellent football team and winning
clear in the scenes that follow. At one point, a games provides a powerful superordinate goal
White player begrudgingly sits down to learn for the players. Here, Boone himself plays a criti-
more about a Black player and asks, “What does cal role as a no-nonsense authority figure. Super-
your daddy do?” Before the player can answer, ordinate goals are most effective when initiated
the White player says, “You do have a daddy, by an authority figure or an individual or cause
Third, sustained close contact between viewed as an exception who is not repre-
members of different groups can serve to sentative of the entire out-group (Weber &
break down stereotypes. Of course, con- Crocker, 1983). But close contact with mul-
tact with a single representative or “token” tiple members of an out-group sustained
member of an out-group is usually not suf- over time may provide enough contrary
ficient on its own to change group stereo- information to compel a change in old ste-
types because that person can too easily be reotypes.
9780813349503.indb 462 5/16/14 1:50 PM

outside of the groups themselves (Johnson and enhancing the positive effect of the superordi-
Lewicki, 1969)—institutional support for the nate goals.
intergroup contact. Coach Boone makes it clear Finally, integrating the in- and out-group (in
that he is such an authority figure—without this case, the Black and the White players) into
vested interest in either racial group. He does a single group results in a reduction of bias. At
not automatically side with the Black students a number of times in the film, Coach Boone re-
because he is a Black man himself and does not minds the team that they are in this together and
stand for any behavior that gets in the way of they are all Titans. The viewer watches as the use
winning. Early on, Boone informs his staff that he of “they,” “them,” and “those people” lessens and
is there as a football coach, nothing else, and he there is an increase in the use of “we,” “us,” and
came to win, and he tells his players that when “the Titans.” However, the emergent shared iden-
they put on that Titan uniform, they better come tity is best illustrated with the team chants and
out to win. Therefore, winning and overcoming choreographed dances emphasizing unity:
any barriers that might exist to accomplishing
that become the team’s superordinate goal. Everywhere we go, people want to know . . .
A pivotal moment in the establishment of this Who we are, who we are . . .
goal occurs during football camp. Boone rouses So we tell them, so we tell them . . .
the team at three in the morning to take a run We are the Titans, the mighty-mighty Titans.
through the woods surrounding Gettysburg Col-
lege. despite a reminder from his assistant coach Scenes of segregated stands of football spec-
that this is a high school football team and not tators and conflict in the school as a whole re-
the Marines, Boone pushes the players harder. As mind the viewer that the players’ shared identity
the sun comes up, the team ends up at the field as football players gives them a special perspec-
where the Gettysburg Battle was fought, and tive the other students lack. With time, however,
Boone turns to them and says, the community and school come around. Stu-
dents celebrate together, spectators sit together
Fifty-thousand died fighting the same fight integrated by race, and town businesses proclaim
we’re still fighting today. . . . Take a lesson that this is “Titan Country.” Although the film oc-
from the dead. If we don’t come together casionally departs from the specific historical re-
right now on this hallowed ground, we too ality of the Titans, as a narrative, it captures the
will be destroyed. . . . Respect each other spirit of social psychological research on conflict
[and] learn to play this game like men. reduction in integrated schools; athletic teams
really do serve an important role in school inte-
Boone takes winning one game at a time and, gration.
with each achievement, gains more legitimacy
with players and coaches alike, slowly breaking Source: Adapted from Collett, Kelly, & Sobolewski, 2010.
down the barriers between the racial groups and
Equal-Status Contact. Intergroup contact comes from a classic study conducted in the
is also more likely to reduce conflict when military during World War II (Mannheimer
in-group and out-group members occupy & Williams, 1949). At that time, the U.S.
positions of equal status than when they Army was still largely segregated by race;
occupy positions of unequal status (Rior- only a few companies were integrated. This
dan, 1978; Robinson & Preston, 1976). One study showed that White soldiers changed
early demonstration of equal-status contact their attitudes toward Black soldiers after
9780813349503.indb 463 5/16/14 1:50 PM

the two racial groups fought in combat as chance of changing attitudes and reducing
equals, side by side. When asked how they prejudice than if they do not.
felt about their company including Black as Institutionally supported intergroup
well as White platoons, only 7% of the White contact—that is, contacts sanctioned by
soldiers from integrated units reacted neg- an outside authority or by established cus-
atively. In contrast, 62% of the soldiers in toms—are more likely to produce positive
completely segregated White companies changes than unsupported contacts. With-
reacted negatively to the prospect of having out institutional support, members of an
Black platoons in their unit. Equal-status in-group may be reluctant to interact with
contact has been effective in reducing prej- outsiders because they feel doing so is de-
udice in other situations as well, including viant or simply inappropriate. With the
among Black and White children at inter- presence of institutional support, however,
racial summer camps (Clore, Bray, Itkin, & contact between groups is more likely to be
Murphy, 1978) and in interracial housing seen as appropriate, expected, and worth-
situations (Hamilton & Bishop, 1976). while. For instance, with respect to deseg-
To better understand why equal-status regation in elementary schools, there is
contact is important, consider what hap- evidence that students were more highly
pens when contact is not based on equal motivated and learned more in classes con-
status (Cohen, 1984). When status is un- ducted by teachers (that is, authority fig-
equal, members of a higher-status group ures) who supported rather than opposed
may refuse to accept influence or to learn desegregation (Epstein, 1985).
from a lower-status group. They can justify In sum, intergroup contact tends to re-
this to themselves on the grounds that the duce conflict when it is anchored by insti-
lower-status group has less skill or experi- tutional or authoritative support, when it is
ence. With one side unwilling to accept in- based on equal rather than unequal status,
fluence, expectations of lesser competence and when it is personal rather than superfi-
will appear to be supported, and stereotypes cial in character.
will be all the more difficult to overcome.
To have any impact, the lower-status group
will need to demonstrate repeatedly to the SuMMary
higher-status group that it is as good as the
other in relevant respects. For all these rea- What Is a Group? A group is a social unit
sons, intergroup contact is more effective in that consists of two or more persons and
reducing prejudice and conflict if members has certain defining attributes, including
of the different groups enter a situation on recognized membership, interaction among
an equal footing. members, shared goals and objectives, and
norms that guide members’ behavior. Pri-
Institutionally Supported Contact. Fi- mary and secondary groups differ on types
nally, intergroup contact is more likely to of goals and level of intimacy. A cohesive
reduce stereotyping and create favorable group is one that can strongly attract and
attitudes if it is backed by social norms that hold its members. Interdependence cou-
promote equality among groups (Adlerfer, pled with positive emotion enhances cohe-
1982; Cohen, 1980; Williams, 1977). If the sion. Two important types of cohesion are
norms support openness, friendliness, and social cohesion and task cohesion, and the
mutual respect, the contact has a greater level of a group’s cohesion affects the inter-
9780813349503.indb 464 5/16/14 1:50 PM

action among members. Members in highly Intergroup Conflict. Conflict between

cohesive groups communicate more than groups influences processes within groups.
those in less cohesive groups; they also exert Conflict increases the level of cohesion of
more influence over one another, and their the in-group as members increase their
interaction is friendlier and more cooper- commitment and unite to face a common
ative. A group goal is a desirable outcome adversary. However, it may also produce ri-
that members strive collectively to bring valry for leadership among in-group mem-
about. Group goals differ from individual bers, and this rivalry can produce more
goals—outcomes desired by members for militant leadership. Conflict often changes
themselves. the normative structure of the in-group and
both increases the pressure on in-group
Conformity to Group Norms. A norm is members to conform and lessens the ma-
a rule or standard that specifies how group jority’s tolerance of dissenters.
members are expected to behave under
given circumstances. Group norms coor- Development of Intergroup Conflict.
dinate activity among members, provide a Intergroup conflict has several origins. (1)
frame of reference that enables members Groups often have opposing interests that
to interpret their environment, and define prevent them from achieving their goals
the common identity of group members. simultaneously, leading to friction, hostil-
Conformity means adherence by an indi- ity, and overt conflict. (2) A high level of
vidual to group norms and expectations. in-group identification, accompanied by
The Asch conformity paradigm uses a sim- ethnocentric attitudes, may create discrim-
ple visual discrimination task to investigate ination between groups, which escalates
conditions that produce individuals’ con- conflict. (3) One group, by threatening or
formity to the majority’s judgment. Groups depriving another, may create an aversive
can use both normative influence and in- event that turns submerged antagonism
formational influence to exert pressure on into overt conflict.
individual members. Sherif’s autokinetic
effect studies illustrate the impact of in- Persistence of Intergroup Conflict. Al-
formational influence on group members. though some conflicts between groups
Many factors affect the level of conformity dissipate quickly, others last for a long
in Asch-type situations. Conformity in- time. Several mechanisms support the per-
creases with group size up to three, and it sistence of intergroup conflict. Perception
is greater when the majority is unanimous of the out-group by in-group members is
than when it is not. Group members are often biased. This bias, caused by insuffi-
also more likely to conform when they are cient information regarding the out-group
highly attracted to a group and when con- and excessive reliance on stereotypes, pro-
formity will lead to liking and acceptance duces an incorrect understanding of the
by other members. Commitment to future characteristics and intentions of out-group
interaction affects conformity. Finally, task members and an overestimation of in-
competence affects conformity; members group capabilities.
who oppose the majority’s view will resist
conformity pressures to the extent that they Resolution of Intergroup Conflict. Several
believe themselves to be more competent techniques can be used to reduce intergroup
than other members. conflict. One is to introduce superordinate
9780813349503.indb 465 5/16/14 1:50 PM

goals into the conflict. Because goals of this someone else if you were testing each oth-
type can be achieved only through the joint er’s understandings of the material? When
efforts of opposing sides, they promote you study the material, how are you engag-
cooperative behavior and serve as a basis ing with it?
for restructuring the relationship between By this point in the semester, critical
groups. Another technique is to increase engagement—that is beneficial for both
intergroup contact. This approach is more understanding and retention—should be
effective in reducing bias and conflict when coming naturally to you. However, this ex-
contact is sustained, close, based on equal ercise is a good opportunity to step back
status, and supported institutionally. and evaluate the types of questions you are
asking yourself and the depth of the con-
nections you are making (Bloom, 1956).
List of Key Terms and Concepts At the most basic level, questions test
what you remember. Are the questions
aversive event (p. 457) that you are asking things like, “What are
conformity (p. 446) the four attributes of a group?” or “What is
discrimination (p. 456) the definition of a norm?” These questions
ethnocentrism (p. 456) simply ask you to recall data or information.
goal isomorphism (p. 445) Anyone could memorize these things with-
group (p. 440) out truly understanding them. It is slightly
group cohesion (p. 442) more cognitively demanding to also require
group goal (p. 444) evidence of understanding the information
illusion of out-group homogeneity (p. 458) we retain. For example, “What is intergroup
informational influence (p. 448) conflict? Describe how it affects group pro-
intergroup conflict (p. 452) cesses.” Or “In your own words, summarize
intergroup contact hypothesis (p. 461) how the Titans were able to overcome in-
majority influence (p. 446) tergroup conflict and to become a cohesive
minimal group paradigm (p. 456) unit.”
norm (p. 445) Higher-order questions require applica-
normative influence (p. 448) tion, analysis, synthesis, or evaluation.
primary group (p. 441) Application questions ask you to trans-
priming (p. 451) fer the concepts you are learning to new
realistic group conflict theory (p. 455) situations. An example might be, “What is
secondary group (p. 441) a group that you belong to? Demonstrate
social identity theory of intergroup how it fits the four attributes of a group.”
behavior (p. 456) The benefit of this question is that to an-
superordinate goal (p. 460) swer it, you must have the knowledge of the
ultimate attribution error (p. 459) four attributes of a group (a lower-order
skill), but you are also using a higher-order
process by applying the concepts to a novel
Critical Thinking Skill: situation that is personally relevant.
Promoting Higher Order Cognitive Skills Questions that engage skills of analysis
encourage you to divide material or infor-
As you read this chapter, are you stopping mation into its component parts and then
to ask yourself questions? What kinds of demonstrate how to put it back together.
questions are you asking or would you ask If you asked yourself to “Use the tenets of
9780813349503.indb 466 5/16/14 1:50 PM

Realistic Group Conflict Theory to explain were taking a social psychology class and
a specific instance of enduring intergroup hopes you might have a solution for how
conflict in contemporary society,” you must to restore harmony between two room-
know the theory, including its individual mates who can’t seem to get along. If you
propositions, and be able to engage each were to give him a solution that is grounded
of those propositions in tandem to support in theory from this chapter, providing ev-
your single example. idence of its effectiveness, what would it
A question that requires synthesis pulls be?” This question should also prompt you
together seemingly separate or distinct to use creativity to solve a problem, another
knowledge to create a more complete pic- higher-order skill.
ture or enhance an outcome: “The chapter In sum, asking ourselves questions as
discusses conformity as related to group we read is an invaluable way to stay alert
norms, but how is conformity linked to and to learn material. However, we must
other topics related to groups, including also evaluate the types of questions we are
cohesion, goals, and intergroup conflict? asking. Although knowledge is important,
How might making these connections en- higher-order questions require more criti-
hance our understanding of conformity and cal thinking and reap more benefits for en-
groups?” gagement, retention, and understanding.
Finally, an evaluation question asks you What types of questions are you asking
to make judgments about the value of ideas, yourself? If they are currently higher-order
to develop opinions based on specific crite- questions, that is wonderful—keep it up! If
ria. An example of such a question might not, how could you take what you learned
be, “Imagine that your dorm’s resident adhere to shift your approach to studying?
viser approaches you for help. He heard you
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9780813349503.indb 468 5/16/14 1:50 PM
chaPter 14
GroUP
ProceSSeS
introduction 470 forms of exchange 489
the Systematic Study of groups 471 contemporary exchange theories 490
Status and expectations 474 equity and Justice 490

Status characteristics 475 Distributive Justice Principles 491
Status Generalization 476 responses to inequity 494
overcoming Status Generalization 479 Procedural Justice 495
Status construction and Status Summary 496

Value 480
group decision Making 481
Critical Thinking Skill:
Groupthink 481 Understanding Theory as a Bridge 498
risky Shift, cautious Shift, and Group
Polarization 484
Social exchange 485

Power and Dependence 486
commitment and trust 488
469
9780813349503.indb 469 5/16/14 1:50 PM

470 group proCEssEs
IntroductIon Social psychologists have studied small

groups like this jury for over 50 years. Their
The trial has ended, and now it is time to findings show that what happens next in
deliberate. You think the defendant is prob- that jury deliberation room is not based
ably guilty, but you want to hear how the on chance but rather is the result of highly
others feel. Delivering a guilty verdict is structured—and, therefore, predictable—
not a trivial matter. You look around at the group processes. Attributes of the group
other jurors who are sitting at the table in members (gender, race, age, occupation, at-
the deliberation room. tractiveness) and of the group itself (a col-
lective task, a designated foreperson) influ-
• Alex is a senior at Yale, where he is ence both individuals’ behavior in the group
apparently at the top of his class. He and the group’s effectiveness at achieving
is heading to medical school after its goals.
graduation. This chapter introduces the variety of
• Sophia looks tired. She has talked intergroup processes of interest to social
about her three children and how psychologists today. In doing so it addresses
difficult it has been to keep up with the following questions:
things around the house because of
the long days in court. She misses 1. How do group leaders emerge? What
staying home with her toddler while types of leaders are there? Why might
the twins are at school. people take on roles in groups?
• LaToya is anxious to get back to
work. She is concerned about how her 2. Who is afforded more status in
oncology patients and their families groups, and why? How are groups
are doing without her on the nursing influenced by the diversity of the
rotation. individuals involved in them?
• Charlotte has been quiet during the
meals the jury has shared, but you 3. How do groups make decisions?
cannot help but notice how beautiful What can social psychology tell us
she is. You heard her tell Sophia that about why they sometimes make
she just got a modeling contract in the wrong decision? How are
New York. individuals’ opinions influenced by
• Martin is vice president of a local the group?
grocery store chain. Judging by the
wisps of gray in his sandy-brown 4. Why do some people have more
hair, he is in his late forties. With his power in relationships, whereas
confident demeanor, it is no surprise other people are dependent?
he has been so successful in business. How do trust and commitment
emerge between people? How
The judge has instructed you six to choose a does interaction affect emotional
foreperson, someone who will keep the jury attachment to others?
on task and communicate with the court
if necessary. The six of you look around at 5. What principles do people use to
one another. Who will you choose? How determine what is fair? How do
will that choice affect the behavior of the they respond when they perceive
jury and the group’s ultimate decision? outcomes or processes to be unfair?
9780813349503.indb 470 5/16/14 1:50 PM

group proCEssEs 471
the SySteMatIc Study of grouPS agreement on a recommended punishment.

Although a discussion is not generally seen
Although social psychologists have long as a collective task, making a unanimous
been interested in groups and their influence decision is. As the group worked together,
on individuals (Allport, 1924; Cooley, 1902; Bales and his research assistants would ob-
Simmel, 1902), the systematic study of group serve, meticulously categorize, and record
processes did not begin until the mid-twen- every group-oriented behavior that group
tieth century, when Robert Bales (1950) members made.
started to record detailed accounts of inter- The small groups that Bales studied were
action in small groups. His interest in group homogeneous—that is, they were similar
processes began while he was a research as- on a number of factors. They were all white,
sociate at Yale, working in alcohol studies. undergraduate men (Harvard was a men’s
As part of that position, he observed thera- college until 1977). They were typically
peutic treatment groups for alcohol addicts. sophomores, in their second year of study
Watching these groups and the individuals at the university.
who participated in them, Bales began to Bales and his research team screened
consider how individuals’ behavior in groups subjects to ensure that the students inter-
stemmed not only from their personal char- acting in groups would not know one an-
acteristics but also from characteristics of other. He wanted to be absolutely sure that
the group. He formulated a method—Inter- the group dynamics he was studying were
action Process Analysis (IPA)—to systemat- not influenced by anything beyond what
ically document group members’ behavior he and his research team could manipulate
so he could better understand group-level and observe in the laboratory. Bales discov-
patterns. With this method, Bales did not ered that when members of these homoge-
focus on the specific content of communica- neous groups of strangers started to discuss
tion between group members; rather, he was their problem, specific patterns emerged.
interested in capturing the types of contri- For one, the initial equality among mem-
butions group members made (a joke, a sug- bers disappeared, and distinctions quickly
gestion, a criticism), which group member materialized between them.
made it, and to whom it was directed. Figure Bales noted that some members partici-
14.1 shows his coding scheme. pated more than others and exercised more
Group processes researchers often study influence regarding the group’s decision.
groups of students—or other commu- The most talkative member in the prob-
nity members (Milgram, 1974, Zimbardo, lem-solving groups typically initiated 40 to
1973)—in the laboratory to control as much 45 percent of all communicative acts. The
of the situation as possible. Bales was no ex- second-most active person initiated ap-
ception. The participants in much of his re- proximately 20 to 30 percent of all commu-
search were Harvard undergraduates whom nication. This pattern is apparent in Table
he invited to a laboratory in the Harvard So- 14.1, which summarizes the percentage of
cial Relations department. Bales would have acts initiated by each member for groups
the groups work on a collective task—a ranging from three to eight members. As
task that cannot be achieved without the the size of the group increased, the most
participation of all group members. In one talkative person still initiated a large per-
such task, Bales had the groups discuss a centage of the communicative acts, whereas
case, not unlike the criminal cases that ju- the less talkative individuals were crowded
ries deliberate, and then reach a unanimous out almost completely (Bales, 1970).
9780813349503.indb 471 5/16/14 1:50 PM

472 group proCEssEs
1. Shows solidarity, raises other’s status,

gives help, reward
Social-
Emotional
A 2. Shows tension release, jokes, laughs,
Area
shows satisfaction
Positive
3. Agrees, shows passive acceptance,

understands, concurs, complies
4. Gives suggestion, direction, implying

autonomy for other
5. Gives opinion, evaluation, analysis,

B
expresses feeling, wish
6. Gives orientation, information, repeats

Task clarifies, confirms
Area a b c d e f
Neutral 7. Asks for orientation, information, repetition,
confirmation
8. Asks for opinion, evaluation, analysis,

C
expression of feeling
9. Asks for suggestion, direction, possible

ways of action
10. Disagrees, shows passive rejection,

formality, withholds help
Social-
Emotional
D 11. Shows tension, asks for help, withdraws
Area
out of field
Negative
12. Shows antagonism, deflates other’s status,

defends or asserts self
Key
Key
a Problems ofa Communication A Positive Reactions
Problems of Communication
b Problems of Evaluation B Attempted Answers
Problems ofb Evaluation
c Problems ofc Control
Problems of Control C Questions
d Problems of Decision d Negative Reactions
Problems ofddecision
e Problems ofe Tension Reduction
Problems of Tension Reduction
f Problems off Reintegration
Problems of Reintegration
A Positive Reactions
FIgure 14.1 categorization schemeBforAttempted
interaction Process observations
Answers
C Questions
Source: Adapted from Bales, Interaction Process Analysis: A Method for the Study of Small Groups. 1950.
D Negative Reactions
9780813349503.indb 472 5/16/14 1:50 PM

group proCEssEs 473
TABle 14.1 Percentage of Total Acts initiated by each group Member as a Function of group size
MeMBer nuMBer grouP SIze
3 4 5 6 7 8
1 44 32 47 43 43 40
2 33 29 22 19 15 17
3 23 23 15 14 12 13
4 16 10 11 10 10
5 6 8 9 9
6 5 6 6
7 5 4
8 3
Note: data are based on a total of 134,421 acts observed in 167 groups consisting of 3 to 8 members.
Source: Adapted from Bales, 1970, pp. 467–474.
These patterns remain tremendously regarding ideas and guidance. In short, the
stable once developed (Fisek, 1974). The person initiating the most communicative
group member who initiates the most com- acts—generally the person who talked the
munication during the beginning minutes most—was perceived as the group’s task
of interaction is very likely to continue do- leader (guiding discussion, having the best
ing so throughout the interaction. Further- ideas). But this task leader was not usu-
more, these patterns tend to hold for the life ally the best-liked member. In fact, he was
of the group. If the same group meets for sometimes the least-liked member. In most
several sessions, the member who ranked groups, the second-highest initiator was the
highest in participation during the first ses- best-liked member. Why does this occur?
sion is likely to rank highest during subse- In general, the highest initiator is some-
quent sessions. one who drives the group toward the at-
Of course, Bales was more interested tainment of its goals. Most of the acts this
in the quality of communications than the person initiates are task oriented (see the
quantity. He wanted to know the specific clustering of contributions on the left side
types of contributions group members of Figure 14.1). For this reason, social psy-
made and how these affected individuals’ chologists call the high initiator the group’s
perceptions of their fellow group members. task specialist. However, in an effort to get
Observers scored the types of contribu- things done, the task specialist also tends
tions (using the coding scheme illustrated to engage in negative behaviors. This type
in Figure 14.1), and then, at the end of the of leader might be pushy or even openly
discussion period, group members filled antagonistic, and even if it helps influence
out questionnaires and rated one another. group opinion, this aggressive behavior can
Items included things like, “Who had the create tension.
best ideas in the group?” “Who did the most Importantly, the negative behavior of
to guide the group discussion?” and “Which the task-specialist opens the door for some
group member was the most likable?” other member, the social-emotional spe-
Typically, there was high agreement cialist, to ease the tension and soothe hurt
among group members in their answers feelings in the group. The acts this person
9780813349503.indb 473 5/16/14 1:50 PM

474 group proCEssEs
initiates are likely to be acts that release ten- contacting customers, other members of
sion and encourage solidarity (see the pos- the sales group would view it as a violation
itive social-emotional categories in Figure of role expectations and would doubtless
14.1). The social-emotional specialist is the take action to correct the situation.
group member who exercises tact or tells a
joke at just the right moment. This person
helps to ease tensions and maintain good StatuS and eXPectatIonS
spirits within the group. Not surprisingly,
the social-emotional specialist is often the In their research on group participation,
best-liked member of the group. Bales and his graduate student research-
Thus, in task groups, there are two basic ers discovered a strange phenomenon. In
functions—getting things done and keep- some groups, role and status differences—
ing relations pleasant—that are typically measured by members’ rate of participa-
performed by different members. When tion, their influence over group decisions,
group members divide up functions in this and the types of acts they contributed—
manner, we say that role differentiation emerged rather slowly. In others, it hap-
has occurred in the group. Although role pened almost instantaneously. In trying to
differentiation is common, it is not inevita- locate an explanation, the researchers re-
ble. In 20 to 30 percent of case studies in the alized that there was an important differ-
laboratory, a single member performs both ence between these groups: some began the
the task-oriented and the social-emotional group task with more knowledge about one
functions (Lewis, 1972). For groups in nat- another than others.
ural, nonlaboratory settings, the incidence Remember that Bales intended for these
of combined roles may be higher (Rees & groups to be strangers. He was careful to
Segal, 1984). ensure that the young men participating in
Both informal and formal groups tend to a group had no prior interaction with one
engage in role differentiation for efficiency. another. However, he had been less cau-
Usually, it is not productive for all members tious once the men were in the laboratory.
of a group to try to perform the same tasks. In some cases, there was time for the partic-
Instead, the group engages in a division of ipants to chat before the experiment began.
labor in which members are assigned differ- Think about the small talk you might make
ent tasks, or roles. with other students in a waiting room. You
A role is a cluster of rules or expectations might ask them where they are from, what
indicating the set of duties to be performed year they are, and what they are majoring
by a member occupying a given position in. At Harvard, where almost all students
within a group; it describes the function live on campus for the entire four years of
that a group member serves for the group. school, students would also ask one an-
Because group members hold role expecta- other what hall they lived in. These halls,
tions regarding one another’s performance, not unlike fraternities, had reputations.
they feel justified in making demands on The researchers realized that even though
one another. For instance, the members of a this information was completely unrelated
sales group expect the salespeople to contact to the task at hand, group members drew
potential customers, to identify customers’ on it when determining who to turn to as a
needs, and to offer customers the products leader (Willer & Walker, 2007).
that meet these needs. If, for some reason, Think back to the jury at the beginning of
one of the salespeople suddenly stopped the chapter. Given the little that you know
9780813349503.indb 474 5/16/14 1:50 PM

group proCEssEs 475
about the jury members—the tidbits that their contributions are perceived as more
you have picked up throughout the trial valuable. These expectations lead to the
and based on what you can observe—who formation of a power and prestige order
do you think is most likely to be chosen as in groups, with those of lower status often
foreperson? deferring to those of higher status and those
of higher status taking the lead in decision
Status Characteristics making (Berger & Webster, 2006).
What happens in newly formed groups Types of Status Characteristics. There

whose members are not identical in social are two types of status characteristics that
attributes? What about groups, like the jury, guide performance expectations: diffuse
that are composed of members who differ and specific.
in gender, race, age, education, attractive- Diffuse status characteristics influence
ness, and occupation? We encounter such ideas about general competence. For ex-
groups every day—PTAs, student commit- ample, in most cultures around the world,
tees, neighborhood associations, church people assume that men are more compe-
groups, and so on. Social psychologists find tent than women across a range of tasks
that many of the within-group differences (analytic ability, conversation, driving).
in participation and influence that emerge Men, therefore, benefit from greater es-
in heterogeneous groups are based on their teem and are thought of as worthy of more
members’ characteristics. respect than women not only in those do-
A status characteristic is any social mains but also overall (Ridgeway, 2011). In
attribute of a person around which evalu- fact, because of the burden-of-proof process,
ations and beliefs about that person come diffuse status characteristics are assumed
to be organized. When a characteristic is to be relevant and operative across a range
imbued with status value, certain states of of situations unless those attributes are
that status characteristic are afforded more explicitly demonstrated to be unrelated to
esteem in a culture than are other states task performance (Berger, Cohen, & Zeld-
(Ridgeway & Walker, 1995). For example, itch, 1972). In other words, group members
in the United States, gender is a status char- will assume that men will perform better at
acteristic, with men thought to be more being a foreperson unless they are aware of
competent than women; race is a status evidence that gender is not at all related to
characteristic, with Whites perceived of the task or that women have actually been
as more capable than Blacks; education is found to perform better on it.
a status characteristic, with graduate stu- Specific status characteristics (mathe-
dents believed to be more skilled than peo- matical ability, athleticism) also influence
ple who only completed high school and a performance expectations. However, these
student at Yale as more intelligent than a characteristics must be relevant to the task
student from Southern Connecticut State to influence expectations and can only
University. be applied to a more circumscribed set of
These cultural beliefs about status char- tasks. These attributes more directly and
acteristics are carried into small-group set- precisely indicate someone’s level of ability
tings, where they influence interactions. In on the task to be performed by the group.
problem-solving groups like the ones Bales For example, if the trial was about a nurse
studied, individuals of higher status are ex- who had accidentally administered the
pected to make more contributions, and wrong drug to a patient, the group might
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476 group proCEssEs
With gender a diffuse status characteristic, men are often afforded more influence in task groups
regardless of the task at hand. However, if the group task is feminized—as some types of design might
be—then women may be able to exert more influence in group decision making.
© monkeybusinessimages/iStock
decide that LaToya possessed a specific dency for members’ status characteristics
status characteristic (her experience as a to affect group structure and interaction is
nurse) that would make her more qualified called status generalization.
to be foreperson—or to have informal in- When status generalization occurs, a
fluence over deliberations—than if the case member’s status outside a group affects his
was about tax evasion. or her status inside that group. That is, the
members who hold higher status in society
Status Generalization at large will tend to hold higher status in the
group (Cohen & Zhou, 1991).
Studies show that persons with high stand- For example, you—like many Ameri-
ing on status characteristics are accorded cans—might begin jury deliberations be-
more respect and esteem than are other lieving that Martin, as a professional with
members, and they are chosen more fre- experience, would be a more competent
quently as leaders. Their contributions to leader than Sophia, who is a stay-at-home
group problem solving are evaluated more mom. Because of the influence of status
positively, they are given more opportuni- characteristics on the power and prestige
ties to participate in discussions, and they order, you and the other jury members will
exert more influence over group decisions likely decide that Martin should be foreper-
(Balkwell, 1991; Berger, Cohen, & Zelditch, son. Although the foreperson is not a for-
1972; Webster & Foschi, 1988). The ten- mal leadership role, you will find that you
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group proCEssEs 477
and the rest of the group increasingly defer outside the group. One might hypothesize,
to him. As a foreperson, he will likely talk for instance, that people of high intelli-
more than other jurors (Ellison & Munro, gence translate their intelligence into both
2010). The other members of the jury are high occupational status and better contri-
more likely to ask what he thinks, cede the butions to the group. If this were the case,
floor to him when he wants it, and defer a person’s standing inside a group would
to him. They are also inclined to select the not be caused by his or her external occu-
verdict that he suggests in deliberations. pational status; rather, both internal and
This is not just conjecture from students in external status would be caused by a third
laboratory experiments; these trends have factor—intelligence.
been supported using research on mock To check the possibility of unseen, con-
jury deliberations, with juries composed of founding factors, several studies have ma-
people from a typical jury pool (Strodtbeck, nipulated status characteristics experimen-
Simon, & Hawkins, 1965). Social psycholo- tally. One of these studies (Moore, 1968)
gists found that men on these mock juries investigated pairs of female participants.
initiated more interaction than did women. Both women were shown a series of figures
Furthermore, those with occupations of made up of smaller black-and-white rect-
higher status—both men and women—par- angles. They were told that the test mea-
ticipated more than those of lower status. A sured contrast sensitivity and their task was
questionnaire completed by mock jurors at to judge which of the two colors—black or
the end of the sessions provided informa- white—covered the greater area in each of
tion on their perceptions of one another, the figures. This task was difficult because
including who was “most helpful in reach- the black and white areas were in fact ap-
ing the verdict.” This measure reflected proximately equal, making the task ambig-
the amount of influence each member—as uous.
perceived by the other members—had over The participants, who were seated so
the group decision. The findings are very they could not see or talk with each other,
similar to those on the rates of participation signaled their initial judgments to one an-
in groups. On average, male jurors were other using a console with lights (these
perceived as more helpful than female ju- experiments are now conducted over com-
rors, and jurors of high occupational status puter networks). The participants knew
were perceived as more helpful than those they would each make a final judgment after
of lower occupational status. seeing each other’s initial judgments. They
Overall, this jury study revealed the typi- were told that they should weigh their own
cal impact of status generalization: Persons answers against their partner’s answers to
with higher standing in terms of gender and make accurate final judgments.
occupation became the group members What the participants did not know was
with the higher status inside the group. that the lights on the consoles were, in fact,
Although the findings in this study seem controlled by the experimenter. The exper-
clear-cut, the interpretation in terms of imenters were manipulating how often a
status generalization is open to criticism. participant learned that her partner’s initial
A critic might argue that a person’s status judgment was different from her own and
inside a group is not a function of his or then measuring how often the participant
her status outside the group but is, instead, changed her judgment if that was the case.
caused by the same qualities or personal All the participants in this experiment
traits that determine that person’s status were students at a junior college in the Bay
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478 group proCEssEs
Box 14.1 research update: Motherhood as a Status Characteristic
A number of studies suggest that mothers with less competent and less committed to their jobs
similar occupations, education, and training (Blair-Loy, 2003; Ridgeway & Correll, 2004).
make, on average, less money than women To test her ideas, Correll paid undergraduate
without children. However, these studies rely on participants to rate a pair of equally qualified,
data that lacks measures of productivity. Perhaps same-gender (either male or female), same-race
mothers are paid less because they are taking (either Black or White) job applicants who dif-
more time off from work or are more distracted in fered on parental status. The job applicant files
their jobs than are non-mothers. To better under- were created by Correll and her research team so
stand the underlying mechanism for the pay gap they could be as similar as possible—with both
between mothers and nonmothers, researchers candidates having similar education and experi-
would have to find a way to control for all the ence along with equivalent skills, goals, and pro-
extraneous factors. A laboratory experiment al- ductivity levels—but the students believed the
lowed Shelley Correll and her colleagues to do files they were reading were real. They thought
just that. that they were evaluating the candidates for a
Correll has always been interested in how communications company that was interested in
cultural schemas influence performance expec- gathering input from college students who were
tations. Her earlier research (Correll, 2001, 2004) heavy consumers of new communication tech-
explored the link between stereotypes about nology. The only differences between the files
women being less skilled at math than men and were the names—this is how Correll cued race
girls’ self-assessments about mathematical abil- and gender—and parental status (the résumés
ity and their plans to pursue math and science of parents included a line about PTA involve-
careers. In the case of mothers, Correll argued ment, and the mention of a family in an attached
that cultural understandings of the motherhood memo included children).
role (warm, nurturing, devoted to her children) After reading each application, participants
are in tension with the cultural understandings were asked to report their initial impressions of
of the “ideal worker” role (rational, devoted to the applicants, to provide pros and cons for the
work). These schemas might lead evaluators, applicant, and then to complete an evaluation
perhaps unconsciously, to expect mothers to be sheet that assessed applicants’ competence
Area. As a manipulation of status, one-half more likely to resist influence from those
of the participants were told that their part- of lower status. The random assignment
ner was a high school student (a lower-sta- of participants to experimental treatments
tus partner), whereas the other half were eliminated the possibility that participants
told that their partner was from Stanford differed systematically in intelligence or
University (a higher-status partner). The ability on the judgment task.
results show that the women who believed In the years since this experiment, re-
their partner to be of higher status changed search finds that many other status distinc-
their answers on the judgmental task signifi- tions affect whether research participants
cantly more often than those who thought are likely to change their initial responses
themselves to have higher status than their or to stay with their original judgments.
partner. In other words, they were likely to These include but are not limited to phys-
be influenced by those of higher status and ical attractiveness, race and ethnicity, mili-
9780813349503.indb 478 5/16/14 1:50 PM

group proCEssEs 479
MoTherS nonMoTherS FATherS nonFATherS
Competence 5.19 5.75 5.51 5.44

Commitment 67.0 79.2 78.5 74.2
Salary Recommended ($) 137,000 148,000 150,000 144,000
Proportion Recommended for
.691 .862 .936 .851
Management
Likelihood of Promotion 2.74 3.42 3.30 3.11
Proportion Recommended for Hire .468 .840 .734 .617
and commitment and made recommendations alty,” fathers were given a “fatherhood bonus” in
on hiring, salary, additional training, and other which they were advantaged compared to their
job-related outcomes. nonfather counterparts on all dimensions except
A selection of the results are summarized in perceptions of competence. In a follow-up audit
the table above. study, Correll and her team sent the fake résumés
The italicized numbers are those that differ to similar positions that were listed in the news-
significantly (more than expected by chance) paper. Results support the experimental findings.
from their counterparts (mothers from nonmoth- Mothers received significantly fewer callbacks
ers, fathers from nonfathers). Even though their than did their childless peers.
job-relevant file characteristics were identical, The connection between perceptions of com-
mothers were significantly disadvantaged on petence and motherhood suggests that mother-
all measures. They were seen as less competent hood does, indeed, act as a salient status char-
and less committed. The students recommended acteristic in the workplace, and status processes
lower starting salaries and were less likely to rec- and performance expectations play an important
ommend mothers for management, see them role in women’s ongoing disadvantage across oc-
as promotable, or recommend them for hire. In- cupational spheres.
terestingly, men experienced the reverse effect.
Whereas mothers suffered a “motherhood pen- Source: Correll, Benard, & Paik, 2007.
tary rank, sexual orientation, age, and occu- not, status generalization can work to an in-
pation (Webster & Foschi, 1988). Research dividual’s disadvantage (Forsyth, 1999). In a
on status effects has also extended beyond mixed setting with both men and women,
influence to examine other outcomes. For for example, the women may find that they
example, the research discussed in Box 14.1 are not permitted to influence the group’s
explores how status affects hiring and salary decision significantly even though they are
decisions. as qualified as—and may be more qualified
than—men with respect to the problem
Overcoming Status Generalization under discussion. Because of the burden-
of-proof process discussed earlier, without
Because group members often treat diffuse a clear demonstration that gender is irrele-
status characteristics as relevant to perfor- vant to performance, verbal protests regard-
mance expectations even when they are ing gender equality may be to no avail (Pugh
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480 group proCEssEs
& Wahrman, 1983). Status generalization Further complicating things, interac-

is also not something that only influences tions in groups not only are based on cul-
people’s beliefs about others; we also have tural beliefs but also often serve to reinforce
performance expectations for ourselves. them. If Martin had been selected as the ju-
These can influence our aspirations—lead- ry’s foreperson and he had influenced the
ing fewer girls and young women to aspire group’s ultimate decision, you and the other
to math careers, for example (Correll, 2001, jury members would likely leave the court-
2004)—and our performance (Lovaglia, Lu- house seeing him—and those who possess
cas, & Thye, 1998; see also the discussion similar status characteristics—as a good
of stereotype threat in Chapter 6). Because leader. He would provide confirmation of
irrelevant diffuse status characteristics can your status beliefs. In this way status beliefs
so easily place someone at a disadvantage, and their influence on the power and pres-
researchers have asked whether status gen- tige order function as a type of self-fulfilling
eralization can be overcome or eliminated prophecy that thereby perpetuates inequal-
in face-to-face interaction. ities based on status long after the specific
Early research tried to overcome status encounter (Ridgeway and Smith-Lovin,
generalization by raising the expectations 1999).
of lower-status persons regarding their own
performance on group tasks so they could, Status Construction and Status Value
in turn, force a change in other people’s
expectations regarding their performance. We acquire many of these cultural beliefs
Unfortunately, this approach does not work through socialization, but how is it that
very well. Social psychologists discovered any particular attribute becomes imbued
that to overcome status generalization, one with status? According to Cecilia Ridge-
must change everyone’s performance ex- way (2006, 2011), our beliefs about sta-
pectations—not only those held by low-status are formed in interaction. We acquire
tus group members but also those held by them in daily encounters. When we come
high-status group members. One effective upon a new type of nominal attribute, one
way to overcome status generalization, that we have not learned status meanings
then, is to supply all group members with for, we will look for clues about how that
information that contradicts performance attribute’s categories are organized in a
expectations inferred from a diffuse status status hierarchy. For example, if you know
characteristic (Berger, Rosenholtz, & Zeld- nothing about the fraternities on campus,
itch, 1980; Cohen & Roper, 1972; Riordan & you may look at fraternities’ resources
Ruggiero, 1980). (attractiveness of pledges, wealth, pop-
However, it can be quite difficult to over- ularity) to decide which fraternities are
come status generalization because expec- higher or lower status. In effect, you are
tations and evaluations of status groups constructing your own status hierarchy,
tend to reflect prevailing cultural stereo- and these status beliefs will influence your
types (Berger, Rosenholtz, & Zelditch, performance expectations for the vari-
1980; Ellard & Bates, 1990; Meeker, 1981). ous groups. When you treat those groups
Although we may not think of ourselves as based on those expectations and draw on
holding such views, as previous chapters these status beliefs in interaction, you cre-
suggest, these beliefs and their effect on our ate a status system.
behavior in group settings are likely auto- We are also formulating and maintaining
matic (Fiske Lin, & Neuberg, 1999). status meanings when we interact with oth-
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group proCEssEs 481
ers who are different on salient attributes the potential consequences of each option
that we are already aware of as status char- under consideration, and then (5) calculate
acteristics (race, gender, sexual identity) the overall value of each option. Once this is
because we attend to evidence about status. done, (6) the group selects the most attrac-
We note that men have better-paying jobs tive option as the group’s choice.
and are afforded more authority, influence, In practice, however, group decision
and respect. We come to understand men making is not always so easy or straightfor-
as having higher status. When we carry ward, for the decision-making process can
these beliefs into interactions, we also carry go awry in various ways. Information re-
them out of interaction. This process con- garding certain options may prove hard to
tinuously constructs and reconstructs the obtain, leading to incomplete or inadequate
status system. consideration of these options. Even if the
Like attributes, objects can also acquire individual members do have all the relevant
status value. Objects that are associated information, they may fail to share it fully
with high-status actors become more valu- with one another (Stasser, 1992; Stasser &
able than those linked to low-status actors Titus, 1987). If members hold different val-
(Thye, 2000). Within hours of the release ues, they may disagree regarding which op-
of the first official family portrait of Prince tions are most attractive. This disagreement
William, Kate Middleton, and their son can spawn arguments and block consensus
George, the $79 dress she wore for the within the group. As the previous sections
photo shoot sold out. The next month, the suggest, some group members may have
company that made the dress doubled their more influence over the group, and confor-
sales figures. Although the publicity of the mity pressures within the group may im-
photo shoot played a role in the business’s pel members to abbreviate or short-circuit
success, status value likely did as well. Once the deliberation processes. If this happens,
the dress—and brand—became associated group discussion may lead to ill-considered
with someone as high status as the Duch- or unrealistic decisions.
ess, it became more valuable. Buyers be-
lieved that the particular dress the Duchess Groupthink
had worn was more valuable than other $79
dresses. Aberrations in decision making can plague
any group, even those at the highest lev-
els of business and government. The in-
grouP decISIon MaKIng famous Bay of Pigs invasion, for example,
was planned by a small group of top gov-
Social psychologists have also studied ernment officials immediately after Pres-
group decision making without a specific ident John Kennedy took office in 1961.
focus on status and individual influence. All The group included what some considered
other things aside, group decision making to be the nation’s “best and brightest”: Mc-
should be fairly easy and involves several George Bundy, Dean Rusk, Robert Mc-
basic steps (Janis & Mann, 1977). To make Namara, Douglas Dillon, Robert Kennedy,
a decision effectively, group members need Arthur Schlesinger, Jr., and President Ken-
to (1) define a set of possible options, (2) nedy himself along with representatives of
gather all the relevant information about the Pentagon and the Central Intelligence
these options, (3) share this information Agency (CIA). This group decided to in-
among themselves, (4) carefully assess all vade Cuba in April 1961, using a small band
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482 group proCEssEs
of 1,400 Cuban exiles as troops. The in- 1. Illusions of invulnerability. Group

vasion was to be staged at the Bay of Pigs members may think they are invul-
and assisted covertly by the U.S. Navy, Air nerable and cannot fail, and therefore,
Force, and CIA. As it turned out, the inva- they display excessive optimism and
sion was poorly conceived. The materials take excessive risks.
and reserve ammunition on which the ex- 2. Illusions of morality. Members may
iles were depending never arrived because display an unquestioned belief in the
Castro’s air force sank the supply ships. group’s inherent superior morality,
The exiles were promptly surrounded by and this may incline them to ignore
20,000 well-equipped Cuban soldiers, and the ethical consequences of their de-
within three days, virtually all the exiles had cisions.
been captured or killed. The United States 3. Collective rationalization. Members
suffered a humiliating defeat in the eyes of may discount warnings that, if heeded,
the world, and Castro’s communist govern- would cause them to reconsider their
ment became more strongly entrenched on assumptions.
the Caribbean island. 4. Stereotyping of the adversary. Espe-
How could it happen? How could a group cially in the political sphere, the group
of such capable and experienced men make may develop a stereotyped view of
a decision that turned out so poorly? In a enemy leaders as too evil to warrant
post hoc analysis, Janis (1982) suggests that genuine attempts to negotiate or as
a specific group process, groupthink, may too weak to mount effective counter-
have led to the ill-fated decision. Although actions.
Janis’s interpretation of events has been 5. Self-censorship. Members may en-
called into question, particularly since the gage in self-censorship of any devi-
release of recordings made during the Bay ation from the apparent group con-
of Pigs briefings, the model he developed sensus, with each member inclined to
has largely endured (Esser, 1998). minimize the importance of his or her
Groupthink refers to a faulty mode own doubts.
of thinking by group members in which 6. Pressure on dissenters. The ma-
pressures for unanimity within the group jority may exert direct pressure on
overwhelm their desire to realistically eval- any member who dissents or argues
uate alternative courses of action. In other against any of the group’s stereotypes,
words, the group members neglect to ap- illusions, or commitments.
praise alternatives critically and to weigh 7. Mindguarding. There may emerge in
the pros and cons carefully because they the group some self-appointed “mind
fear disrupting the perception of consensus. guards”—members who protect
Once groupthink sets in, the typical result is against information that might shat-
a poor decision. ter the complacency about the effec-
tiveness and morality of the group’s
Symptoms of Groupthink. By studying decisions.
what happened during various important 8. Apparent unanimity. Despite their
foreign policy decisions, Janis (1982) was personal doubts, group members may
able to ascertain certain symptoms that in- share an illusion that unanimity re-
dicate when groupthink is operating. These garding the decision exists within the
include: group.
9780813349503.indb 482 5/16/14 1:50 PM

group proCEssEs 483
Janis suggests that some of these Causes of Groupthink. Various factors

symptoms were present during the deci- cause groupthink, including homogeneity
sion-making process for the Bay of Pigs in- of members, insulation of the group from
vasion. For example, there was an assumed its environment, lack of clear-cut rules to
air of consensus that caused members of guide decision-making behavior within
the decision-making group to ignore some the group, and high levels of group stress
glaring defects in their plan. Although sev- (Hensley & Griffin, 1986; Manz & Sims,
eral of Kennedy’s senior advisers had strong 1982; Moorhead & Montanari, 1986). An-
doubts about the planning, the group’s at- other contributing factor is promotional
mosphere inhibited them from voicing crit- leadership—that is, a leader who actively
icism. Several members emerged as “mind promotes his or her own favored solution to
guards” within the group; they suppressed the problem facing the group, to the neglect
opposing views by arguing that the decision of other possible solutions (Leana, 1985;
to invade had already been made and that McCauley, 1989). According to Janis, each
everyone should help the president instead of these factors contributes to groupthink,
of distracting him with dissension. Open and their simultaneous occurrence makes
inquiry and clearheaded exploration were groupthink very probable.
discouraged. Even the contingency plan- Janis also argued that groupthink is more
ning was unrealistic. For instance, if the likely to occur in high-cohesion groups than
exiles failed in their primary military objec- in low-cohesion groups, but there is only
tive at the Bay of Pigs, they were supposed limited support for this hypothesis (Aldag &
to join the anti-Castro guerrillas known to Fuller, 1993; Michener & Wasserman, 1995;
be operating in the Escambray Mountains. Park, 1990). The inconsistency in find-
Apparently, no one was troubled by the ings on the relationship between cohesion
fact that 80 miles of impassable swamp and and groupthink may arise in part because
jungle stood between the guerrillas in the the levels of cohesion that can be induced
mountains and the exiles. in laboratory studies are low compared to
Groupthink might not be such a con- what can emerge in real-life situations.
cern—except for the recognition that it
can occur and recur in many groups. Janis Avoiding Groupthink. If groupthink pro-
notes that the Bay of Pigs invasion is not duces poor decisions and outcomes, how
the only fiasco in which groupthink played can one guard against it? There are several
an important role. He suggests groupthink ways to prevent groupthink from occurring
was also involved in other high-level gov- (Janis, 1982).
ernment decisions, including the decision
to invade North Korea during the Korean 1. A group’s leader should encourage
War, the failure to defend Pearl Harbor on dissent and call on each member to
the eve of World War II, the decision to es- express any objections and doubts.
calate the Vietnam War, and the decision to 2. A leader should be impartial and not
engage in the Watergate cover-up. More re- announce a preference for any par-
cent work argues that groupthink played a ticular option or plan. By describing a
role in the Challenger disaster (Esser, 1995; problem rather than recommending a
Moorhead, Ference, & Neck, 1991) and the solution, a leader can foster an atmo-
decision to invade Iraq in 2003 (Badie, 2010; sphere of open inquiry and impartial
Rinehart & Dunwoody, 2005). exploration.
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484 group proCEssEs
3. A group should divide itself into sev- ual decision. The basic finding was that the
eral independent subgroups, each group decisions following discussion were,
working on the same problem and on the average, riskier than the decisions
carrying out its deliberation inde- made by individual members prior to the
pendently. This will prevent the pre- discussion. Moreover, the responses made
mature development of consensus in individually after participating in the group
the main group. were also riskier on average than the re-
4. After a tentative consensus has been sponses prior to discussion. This tendency
reached, a group should hold a “sec- to advocate more risk following a group
ond-chance” meeting, at which each discussion is termed a risky shift. This
member can express any remaining phenomenon has been observed in many
doubts before a firm decision is taken. studies (Cartwright, 1971; Dion, Baron, &
5. A group can appoint a “devil’s advo- Miller, 1970).
cate” who is responsible for challeng- Other studies using similar tasks, how-
ing the positions of other group mem- ever, have revealed something directly op-
bers even if he or she really agrees posite to the risky shift. On certain issues,
with them (Hirt & Markmann, 1995). when members are more likely to be cau-
tious or risk avoidant, group discussion
These methods are effective because they actually causes members to become even
increase the probability that a group will more cautious than they were initially (Fra-
obtain all the information relevant to a de- ser, Gouge, & Billig, 1971; Stoner, 1968;
cision and then evaluate that information Turner, Wetherell, & Hogg, 1989). This
with care. The net result of these steps will move away from risk following a group
be a better, more realistic decision. discussion is termed a cautious shift. So
although group discussion leads to more
Risky Shift, Cautious Shift, and extreme decisions, these are not necessarily
Group Polarization riskier decisions.
Both risky shift and cautious shift are
Even when group decision making is not forms of an underlying phenomenon called
dysfunctional and follows a fairly rational group polarization (Levine & Moreland,
course, it can still produce surprising con- 1998). Polarization occurs when group
sequences. For instance, there is some ev- members shift their opinions toward a posi-
idence that discussion in groups causes in- tion that is similar to—but more extreme—
dividuals to favor courses of action that are than their opinions before group discussion.
either riskier or more cautious than what Thus, if members favored a moderately
they would choose if they made the deci- risky position prior to a group discussion,
sion alone (Stoner, 1968; Vinokur, 1971). polarization would occur if they shifted to-
In one experiment (Stoner, 1968), indi- ward greater risk following the discussion.
viduals responded to 12 different choice Likewise, if they initially favored a moder-
dilemmas entailing various degrees of risk. ately cautious position, polarization would
After responding to these choice dilemmas occur if they shifted in the direction of even
alone, the participants assembled in groups greater caution after the group discussion
of six and discussed each item until they (Myers & Lamm, 1976).
reached a unanimous decision. The partic- The tendency for group discussion to
ipants were then separated and asked again create polarization is quite general. That
to review each item and indicate an individ- is, discussion produces polarization not
9780813349503.indb 484 5/16/14 1:50 PM

group proCEssEs 485
only on decisions involving risk but also

on judgments and attitudes in general. For
example, polarization has been observed
with respect to political attitudes (Paicheler
& Bouchet, 1973), jury verdicts (Isozaki,
1984; Myers & Kaplan, 1976), satisfaction
with new consumer products (Johnson &
Andrews, 1971), judgments of physical di-
mensions (Vidmar, 1974), ethical decisions
(Horne & Long, 1972), perceptions of other
persons (Myers, 1975), and interpersonal
bargaining and negotiating (Lamm & Sauer,
1974).
SocIal eXchange
Around the same time that Bales was

studying decision making and the types of
interactions that occur in groups, George
Homans (1958, 1961) was trying to de-
velop a general theory of human behavior
based on what we might observe in group
interaction. As part of this general theory, A popular application of exchange theory is to
think of the “benefits” people bring to dating
Homans argued that interaction between and marriage relationships. In one version of
people should be conceptualized as an ex- this, men offer status and financial resources in
change—a phenomenon he called “social exchange for women’s youth and beauty. Analyses
exchange.” of personal ads support gendered trends in
Conventional ideas about exchange tend benefits sought and offered. Heterosexual women
tend to offer attractiveness in ads while seeking
to focus on tangible goods. For example,
success in potential dates, and heterosexual men
two college students might make a trade— do the reverse, offering success while seeking
Ryan lends Jason his car for the weekend attractiveness (Davis, 1990). © leaf/iStock
and, in return, Jason gives Ryan his tickets
to an upcoming concert. However, much of
what we exchange in social life is intangible. ested, Homans argued, the relative payoffs
You smile at a passerby and they smile back. of relations shape interaction. For example,
You tell your friend that you like her new Ryan is less likely to lend Jason his car if
dress and she either expresses gratitude or Jason offers nothing—tangible or intangi-
deflects the compliment. Martin shares his ble—in return. The relative payoffs deter-
opinion on the case and some of his fellow mine both Ryan and Jason’s behavior.
jurors nod as others express disagreement. The social exchange perspective (Cook,
In this framework, all interaction occurs 1987; Homans, 1974; Kelley & Thibaut,
through a relation—a connection between 1978) focuses on (1) actors who exchange
two people—with people contributing ben- (2) resources using (3) an exchange process
efits and potentially deriving them from the while situated in (4) an exchange structure
interaction. Because people are self-inter- (Molm, 2006) and assumes that individuals
9780813349503.indb 485 5/16/14 1:50 PM

486 group proCEssEs
have freedom of choice and often face so- Social psychologists who study social
cial situations in which they must choose exchange study mutually dependent and
among alternative actions. Ryan can decide recurring exchange relationships. In other
whether or not he wants to lend Jason his words, social psychology is less interested
car. in a one-shot exchange, between people
Any action provides some rewards and who will never see one another again (a gas
entails some costs. Even if Jason gives Ryan station attendant and a motorist passing
nothing tangible in return, there could be through town), than they are in the ongoing
benefits. Jason could be indebted to Ryan. exchange relationship among friends like
Ryan could feel good about himself for Ryan and Jason, who both derive benefits
helping out a friend, or he might impress a from their relationship with one another.
girl he is interested in with his act of kind-
ness. The costs can vary too. If Ryan will be Power and Dependence
unable to run his regular weekend errands
or meet friends because he is without a car, In the same way that Robert Bales formal-
these might be significant costs. If his car ized the study of groups, Richard Emerson
would sit idle all weekend if he chose not to formalized the study of social exchange by
lend it to someone, the cost of lending it out taking Homan’s ideas and testing and refin-
is small. People tend to choose actions that ing them in laboratory experiments.
produce good profits and avoid actions that One of Emerson’s (1972) main contribu-
produce poor profits. tions was his emphasis on the networks that
In this way, social exchange draws on op- exchange relationships are nested in (Thi-
erant psychology and reinforcement theo- baut & Kelley, 1959). Rarely are two people
ries. These theories suggest that people will completely cut off from everyone else; there
be more likely to perform a specific behavior are always alternative exchange partners.
if it is followed directly by the occurrence Imagine that Ryan’s other roommate, Max,
of something pleasurable or by the removal also wants to borrow his car for the week-
of something aversive; likewise, people will end. Ryan would find out what both Max
more likely refrain from performing a par- and Jason had to offer before deciding to
ticular behavior if it is followed by the oc- whom he would lend the car.
currence of something aversive or by the Emerson argued that individuals’ po-
removal of something pleasant. sitions in these networks, more than their
This view of human behavior might seem personalities, influence their exchange be-
overly rational and calculated, but social ex- havior. He found that this is true even when
change theory suggests that these choices people are ignorant about the exchange
to engage in or refrain from a line of action structure and their relative position (Em-
are often given little thought because they erson, 1981). It might be hard to believe
are the result of conditioning—learning as that a position rather than your personality
the result of positive or negative responses can influence your behavior—especially a
to behavior (Mazur, 1998; Skinner, 1953). position that you are unaware of—but so-
Humans have the ability to learn the natural cial psychological research suggests that it
consequences of actions and to behave in can. People who are in powerful positions
ways that minimize costs and maximize re- will demand more benefits and get more
wards, either consciously or unconsciously from exchange than will actors who are in
(Emerson, 1972). weaker positions. But where does power
9780813349503.indb 486 5/16/14 1:50 PM

group proCEssEs 487
Ryan Ryan Ryan Ryan
Max Jason Max Jason Max Jason Julia Max Jason
A B C D
FIgure 14.2 Achieving Balance in an exchange Relation

The relationship between Jason and Ryan is unbalanced in (A) because Ryan has Max as an alternative source of
benefits. To achieve a more balanced relation, Jason might decrease his interest in Ryan’s car (B), find an alternative
source of a car (C), or form a coalition with Max (d).
come from? Social exchange argues that Jason’s dependence, Ryan would no longer
power—one’s ability to direct or influence have power in the relationship if Jason were
the behavior of others—is not an attribute no longer motivated to exchange with him
of an actor but of a position. In exchange (see Figure 14.2b).
networks, power depends, in part, on the Second, Jason could find an alternative
availability (and attractiveness) of alterna- source for the benefit that Ryan has to of-
tive exchange partners (Molm, Peterson, & fer. What if Jason’s chemistry partner, Julia,
Takahashi 2001; Skvoretz & Willer, 1993). also had a car on campus, and he could ask
If both Max and Jason want to borrow her instead? This would alter the structure
Ryan’s car, Ryan is in a powerful position. that Ryan and Jason’s exchange relation-
This power comes from Max’s and Jason’s ship is embedded in (see Figure 14.2c). This
dependence on him for a desired benefit change in structure would decrease Ryan’s
(see Figure 14.2a). Remember, Jason was power over Jason because it introduces an
originally willing to trade the car for con- alternative for Jason, thereby decreasing
cert tickets. However, if he learned that his dependence on Ryan for the valued re-
someone else wanted the car, Jason would source (a car).
feel like he needed to increase the incen- Third, he could work to increase Ryan’s
tive for Ryan to choose to lend it to him. He interest in what he had to offer. If Ryan was
might offer to do Ryan’s laundry in addition as excited to go to the concert as Jason was
to giving him the concert tickets. to borrow the car, the exchange relation
According to Emerson (1962), there are would be balanced. Of course, if Ryan was
four ways that Jason could decrease Ryan’s absolutely desperate to go to the concert
power over him, leading to a more balanced and offered Jason the car as an incentive
system: to give him the tickets, the power in the
First, he could decide that he was not relation could be reversed, and Jason could
all that interested in borrowing Ryan’s car be the one with the upper hand. In such
for the weekend, perhaps convincing him- a scenario, Ryan is more dependent on Ja-
self that he needed to stay on campus and son for a desired outcome than Jason is on
study. Because Ryan’s power stems from Ryan.
9780813349503.indb 487 5/16/14 1:50 PM

488 group proCEssEs
Finally, Jason could form a coalition with and to invest in them. For example, a study
Max. They—either with or without Ryan’s of teachers found that those who felt emo-
knowledge—could agree to share the car tionally connected to the other teachers
regardless of who Ryan gave it to. By format their schools were more likely to invest
ing a coalition, Max and Jason are decreas- their own time and money in professional
ing Ryan’s ability to play them against one development, from acting as a mentor to
another (see Figure 14.2D). They have be- getting more training in instruction tech-
come one collective actor and thereby in- niques (Price & Collett, 2012). These teach-
crease their power relative to Ryan by de- ers were also more committed to staying at
creasing their dependence on him. their current school than were those who
did not have the same emotional connec-
Commitment and Trust tion to the school.
Trust is another emergent outcome of
More recent work in exchange focuses less exchange. Social exchange requires that
on power and dependence and more on we trust an exchange partner to honor the
the affective outcomes of exchange—how terms of exchange. However, exchange also
people feel about the people they exchange fosters trust because the more times an ex-
with—and how these feelings influence be- change partner fulfills his or her obligations
havior. Two of these outcomes are trust and to us, the more we believe they are trust-
commitment. These are considered emer- worthy. Returning to Ryan and Jason, Ryan
gent outcomes because they develop over and Jason must trust one another to follow
time in ongoing exchange relations. through on their end of the agreement—
Commitment can be measured in two either handing over the tickets or the car
ways in social exchange. The first is a be- keys—for a successful exchange to occur.
havioral measure. Using this metric, an However, such exchanges also build trust.
individual is committed to an exchange The more times that Ryan and Jason have
partner if they repeatedly exchange with honored previous agreements, the easier it
them even if there are alternative exchange is for them to trust one another in a subse-
partners available (Cook & Emerson, 1978). quent exchange.
Take, for example, two colleagues who Trust usually evolves in relationships.
meet for lunch every Thursday. There are Early transactions require little trust. As the
many other people in the office who go out relationship continues and partners demon-
to lunch and who the two women enjoy strate their trustworthiness, exchanges often
spending time with, but these two women require more and more trust (Molm, 2006).
continue to meet at the same time and When you first meet a new person, you
same place every Thursday. This recurrent might share superficial things with them.
behavior is interpreted as a sign of commit- However, as they increasingly demonstrate
ment to the exchange relation. that they are accepting and honest, you will
Another way to measure commitment come to share more personal experiences
is as an emotional attachment, a sense of with them. It is unlikely that Ryan would
liking of the exchange partner or partners lend Jason his car for an entire weekend if
(Lawler & Yoon, 1996). This sense of sol- they had just met; it is much more likely
idarity is important. People who have an that Ryan and Jason have roomed together
emotional commitment to exchange rela- for a while. Jason has demonstrated that he
tions are more likely to stay in relationships is conscientious with the things he borrows
9780813349503.indb 488 5/16/14 1:50 PM

group proCEssEs 489
from Ryan—his toothpaste, a pen, his flash Negotiated

X Y
X Y
drive, and then a leather jacket—and that he
makes good on what he promises in return. Z
This exchange history influences the trust X Y

Reciprocal X Y
Ryan has in Jason.
Z
Forms of Exchange Generalized X Y
There are a number of processes through

which exchange occurs. Social psychol- Z
ogists find that, even with all else being Productive X Y
equal, the form that an exchange takes has
important effects on commitment, trust,
and other affective and cognitive outcomes
Z
(Molm, Collett, & Schaefer, 2007). The four
forms social psychologists study most often
FIgure 14.3 Forms of exchange
are negotiated, reciprocal, generalized, and
productive. These are illustrated in Figure The above figures illustrate the four main exchange
types—negotiated, reciprocal, generalized, and pro-
14.3.
ductive—in two- and three-person exchange networks.
Negotiated Exchange. In negotiated ex-

change, actors engage in a joint decision Generalized Exchange. Most people un-
process, like bargaining, to establish and derstand generalized exchange as the obli-
agree on the terms of exchange (Molm, gation to “pay it forward.” In a generalized
1997). If you and your professor decide that exchange relation, givers and receivers are
she will give you five extra-credit points if not matched in pairs. With reciprocal ex-
you participate in a social psychology exchange, the benefits and costs flow back and
periment, that is a negotiated exchange. forth between two actors. With generalized
Each person’s obligation is clear. exchange, the benefits (and costs) flow to an
exchange partner and then to someone else
Reciprocal Exchange. When we engage and then to someone else (or perhaps back
in an exchange with someone without di- to you). If the person in front of you holds
rect negotiation—and in which the giving the door for you, and then you hold it for
of benefits is performed separately—this is someone else, who holds it for yet another
considered reciprocal exchange. For exam- person, you are engaged in generalized ex-
ple, you and a friend might have established change. Those who have been given a bene-
a reciprocal trend in paying for the first fit give a benefit to someone else.
round at happy hour. You paid for the first
round two weeks ago, your friend picked Productive Exchange. The last form of
up the tab last week, and now you are ready exchange of interest to social psycholo-
to take the check again. You might assume gists is productive exchange. In productive
that they will pay next week, but you cannot exchange, there is a jointly produced good
be sure. You are giving someone something that exchange partners create and receive
without knowing when or even if they will benefits from. An example might be a group
reciprocate. project that a small group of students does
9780813349503.indb 489 5/16/14 1:50 PM

490 group proCEssEs
for a class. Each group member ostensi- negotiated exchange, seems competitive.
bly makes some individual contribution to Therefore, generalized and reciprocal ex-
the project, and they will benefit from the change strategies—forms that lessen the
grade they receive for the group’s work. Co- perception that exchange is competitive—
operation is key here, as individuals must will produce more trust and positive emo-
coordinate efforts and combine resources tion than will negotiated exchange. When
to generate a collective good (Lawler, 2001); someone fails to live up to his or her end of
it is not something any single person could a bargain in a negotiated exchange, this can
create on his or her own. easily be interpreted as an attempt to gain
something at the expense of the other. In
Contemporary Exchange Theories a relationship built on reciprocal exchange,
however, failure to follow through is an act
Two prominent theories explore the effects of omission rather than one of commission.
of form of exchange on affective and cog- This makes it less likely that the action (or
nitive outcomes, including commitment, lack thereof) will be seen as a transgres-
trust, and perceptions of fairness. sion. Consider two of the examples above.
The affect theory of social exchange If Ryan refuses to lend Jason his car after
focuses on interdependence (Lawler, 2001). Jason has already given him the concert
This theory proposes that the greater the tickets and fulfilled his end of an explicit
perceptions of shared responsibility for the agreement, this has a different tenor than if
outcome—that is, the more the group had you buy the first round at happy hour one
to work together to achieve it—the more week and your friend does not offer to do
likely that the exchange process will pro- the same the next week.
duce positive outcomes (solidarity, positive Reciprocity theory also proposes that re-
emotion, commitment behaviors). Not sur- ciprocal and generalized exchanges entail
prisingly given its focus on shared responsi- more risk—because there is no guarantee
bility, tests of this theory find that produc- of receiving something in return—and this
tive exchanges produce the most positive increased risk encourages the development
outcomes of the four types of exchange. of trust. The structure of giving in recip-
However, the affect theory also predicts rocal and generalized exchange also en-
that negotiated exchange, with the joint hances affective outcomes because an act
decision process and shared responsibil- of giving (or reciprocity) for which there is
ity inherent in bargaining, will foster more no explicit agreement has expressive value
solidarity and positive emotion than recip- beyond the instrumental benefits of the act
rocal exchange. Results of studies testing (Molm, Collett, & Schaefer, 2007). Negoti-
this proposition are mixed (Lawler, Thye, & ated agreements lack this symbolic value.
Yoon, 2008).
Rather than focus on interdependence,
reciprocity theory is concerned with con- eQuIty and JuStIce
flict, risk, and the expressive value of ex-
change. Reciprocity theory argues that the On October 1, 2013, the U.S. government
level of conflict inherent in an exchange shut down. Although there were many is-
process inhibits the development of trust sues plaguing Congress, the primary point
and decreases the solidarity and positive af- of contention was whether the govern-
fect between exchange partners. The back ment should fund the Affordable Care
and forth nature of bargaining, like that in Act—“Obamacare.” One issue of concern
9780813349503.indb 490 5/16/14 1:50 PM

group proCEssEs 491
was that if the government provided in- these justice principles or may apply several
come-based subsidies for health care, this of them simultaneously. These justice prin-
would benefit some Americans and not ciples usually lead to different distributions
others. Why should the same benefits be of rewards, but they can be combined. For
more expensive for some than for others? example, the students above could divide
the monthly profits they make from run-
Distributive Justice Principles ning their business equally but plan to di-
vide any profits they make from the sale of
Distributive justice is the perceived fair- the company based on an equity principle.
ness of a distribution of rewards. There are In this case, each student’s proportion of
many principles that people use to judge profits from the sale of the company would
distributive justice (Deutsch, 1985; Elliott & be equal to the proportion of the start-up
Meeker, 1986; Saito, 1988). The three that funds they had initially provided.
are most common are equity, equality, and Not surprisingly, the principles’ relative
relative need. importance varies from group to group and
When group members follow the equity from situation to situation. For instance,
principle, they distribute rewards in pro- the equality principle often prevails in sit-
portion to members’ contributions. For ex- uations in which members are concerned
ample, if three students started a business with solidarity and wish to avoid conflict
together, under the equity principle, the (Leventhal, Michaels, & Sanford, 1972). It
partner who invested the most resources also prevails in cultural settings that are
in it (either initially or over time) would ex- relationship oriented rather than econom-
pect to take a larger share of the business’s ically oriented (Mannix, Neale, & North-
profits. craft, 1995). There is some evidence that
When group members use the equality women favor the equality principle over
principle, they distribute rewards equally the equity principle more than men do
among members, regardless of mem- (Leventhal & Lane, 1970; Watts, Messe, &
bers’ contributions. Using this principle, Vallacher, 1982) and that friends are more
the three friends would divide the profits likely to follow the equality norm than are
evenly, regardless of initial contribution or strangers (Austin, 1980). Research findings
the hours each put into the business as it also suggest that members of small (3-per-
continued. son) groups are more likely to favor equality
Finally, when they follow the relative than members of large (12-person) groups
needs principle, group members distribute (Allison, McQueen, & Schaerfl, 1992).
rewards according to members’ personal The needs principle is frequently salient
needs, regardless of contributions (Lamm & in close or intimate relationships involving
Schwinger, 1980). The most profits would friends, lovers, and relatives. However, this
go to the partner who had the most debts, principle has also been invoked in other
the largest family, or some other measure contexts. Karl Marx, for example, advo-
of need. Because this is the least common cated the adoption of the needs principle in
principle in most Westernized cultures, communist societies, in which individuals
instances of this principle—like an in- would contribute according to their abili-
come-based subsidy—are often met with ties and receive according to their needs.
skepticism or outright disdain. The equity principle is often used in work
When allocating rewards among mem- situations, where many persons want their
bers, a group may rely exclusively on one of share of rewards to reflect the importance
9780813349503.indb 491 5/16/14 1:50 PM

492 group proCEssEs
Box 14.2 research Applications: exchange in Families
Recent research has applied both reciprocity the- Ben cleans up the dishes and kitchen. Although
ory and the affect theory of social exchange to they will sometimes switch roles, Larissa and
couples with young children. Initial results show Robert are similar. Larissa explains, “Like, if I cook,
support for the theory of reciprocity (Molm, he’ll clean. And if he cooks, I clean.” The couples
2010; Molm, Collett, & Schaefer, 2007). It appears state that these divisions of labor just happened
that couples who engage in reciprocal exchange and believe they are a sign that the couple just
are happier and more satisfied with their rela- clicked and are meant to be together.
tionship than are those who explicitly negotiate Other couples engage in explicit negotiation.
the division of labor in their households. Carla This is particularly common among newer cou-
and Ben are an example of such a couple. ples or those who have yet to really put down
Carla and Ben have been together for twelve roots. Couples who primarily use a strategy of
years and have three children. Ben uses finances negotiation seem less sure of their relationship
to illustrate how reciprocity works between them. and less happy. One such couple is Olivia and
Although they have separate bank accounts, they Mason. They started with a reciprocal system but
work in tandem to support the household: recently moved to a more negotiated strategy. It
is not going well. Parents of two young children,
When we were both working, we would al- both Olivia and Mason work outside the home.
ways just pay the bills together. There would She is a teacher and he is a counselor. At the be-
be some days, though, that she would just ginning of their relationship, they tried to just fill
go and pay a bill, and I didn’t even know in the gaps and to establish a sense of turn-tak-
about it, and the bill would come in and be ing or reciprocity in household tasks. Olivia soon
already paid. Well, I would do the same thing. realized, though, that she was doing the majority
of the household labor. She tried talking to Ma-
He emphasizes that they do not engage in ex- son about it. She asked for help and made sug-
plicit bargaining in their relationship. Although gestions, but nothing seems to work. She finally
they sometimes openly discuss what needs to be decided to keep her frustration to herself, which
done, they usually just step up and do what they caused major strife in the relationship because
need to do without discussing it directly. This in- she was constantly angry and Mason had no idea
cludes the laundry—whoever notices it needs to what needed to be done.
be done takes charge of it. Realizing that the quality of their marriage
Carla and Ben were one of many couples in was suffering, Olivia reached out to her married
the interviews who used meals to exemplify re- friends. She said they told her, “It’s a husband
ciprocal exchange patterns in their relationships. thing . . . you have to just talk about and talk
In their household, Carla does the cooking and about and talk about [it] until you get it right.”
of their contribution. For example, in an if she contributes more to the family than
industrial work group in the United States, her partner but receives little help or love
a worker normally would expect to receive in return. As these examples suggest, equity
better outcomes (salary, benefits) than oth- judgments are made when one group mem-
ers if his or her job required higher skill, ber compares his or her own outcomes and
more hours per week, and so on. Likewise, a inputs against those of another member
woman would probably feel some inequity (Brockner & Wiesenfeld, 1996; Greenberg
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group proCEssEs 493
She ended up doing just that. Olivia and Mason [his] children’s upbringing.” The two of them view
sat down and decided that they needed to draft a parenthood as something they will do together,
plan and explicitly agree on who should do what, regardless of whether they’re in a relationship.
when, and how. Unfortunately, it seemed to Aldo describes this approach to an interviewer:
make matters worse. When Mason failed to pitch
in as much as he’d agreed to in the plan, Olivia Yeah, if I go out there, and I see the trash and
was even angrier than she was initially because it stuff in the yard, and [we] will get out there
wasn’t only that she was still doing more; he also and clean it up, yeah. Mop the floor or what-
wasn’t upholding his end of the bargain. ever needs to be done… Regardless of, of
As predicted by reciprocity theory, conflict what beef you have with people, you know,
was more salient in the negotiated exchange set- it’s, it’s not only me doing that for her, it’s for
ting than the reciprocal one, and Olivia viewed me doing those . . . doing that for those chil-
Mason’s actions, or lack thereof, as intentional. dren, too. You know what I’m saying? So I’m
At the time of the last interview, in an even more like, she needs me to clean her bathroom,
explicit negotiation process, they sat down and I’m going to clean [it]. If I think it needs to be
put the expectations for chores on paper. Olivia done, I’m going to do it.
likens the document to “closing procedures” in a
workplace—everything that needs to be done Aldo and Sabrina’s experience demonstrates
before one can leave having completed one’s the importance of interdependence in satisfac-
work—but they are both unsure whether this tion with a relationship. Even as their romantic
new method will work any better than previous connection dissipates, the reciprocity in their
attempts. relationship is evident, and they are able to stay
Although the researchers found reciprocal close friends and generate positive emotions
exchanges to be beneficial for relationships, from working together as parents.
reciprocity alone was not enough. The couples The findings from these interviews demon-
with the best outcomes also perceive support- strate the mutuality of the affect theory of so-
ing a family as a highly interdependent task, cial exchange and reciprocity theory. They also
regardless of their family structure (for example, suggest that perceptions of interdependence,
breadwinner-homemaker or dual-career). Cou- likely fostered by reciprocity or a sense of shared
ples who see themselves as a team and believe responsibility in making their families work, may
they share responsibility for important outcomes be more important than the objective level of in-
in their relationship are much more satisfied with terdependence inherent in negotiation.
and committed to their relationships.
For example, Aldo continues to do housework Source: Collett & Avelis, 2011.
at Sabrina’s house even after they separated be-
cause he feels he should “play a very strong role in
& Cohen, 1982; Homans, 1974; Walster tion, reserved parking in the company’s lot,
[Hatfield], Walster, & Berscheid, 1978). and a fancy corner office with thick rugs and
To make this more concrete, consider a nice view. The other woman (Candace)
the case of two women employed by the is about the same age but receives a lesser
same company. One of the women (Anita) outcome—a salary of $40,000 per year, no
receives a high outcome—a salary of paid vacation, no reserved parking, and a
$100,000 a year, four weeks of paid vaca- cramped, noisy office with no windows.
9780813349503.indb 493 5/16/14 1:50 PM

494 group proCEssEs
Will Anita and Candace feel that this satisfied or angry (Austin & Walster [Hat-
distribution of rewards is equitable? If their field], 1974; Cropanzano, 1993; Scher, 1997;
inputs to the company are identical, the ar- Sweeney, 1990). The greater the degree of
rangement will almost certainly be experi- underreward, the greater the dissatisfaction
enced as distressing, especially by Candace. and desire to reestablish equity. Equity can
For example, if both work a 40-hour week, be restored by increasing the outcomes to
have only high school educations, and have the underrewarded, decreasing the inputs
approximately equal experience, there is from the underrewarded, decreasing the
little basis for paying Anita more than Can- outcomes to the overrewarded, or increas-
dace. Candace will probably feel angry being the inputs from the overrewarded. For
cause the reward distribution is inequitable, example, a person who feels their salary is
and Anita may feel uncomfortable or guilty. too low compared to their peers might ag-
But suppose instead that Anita’s inputs gressively seek a pay raise (increasing out-
are much greater than Candace’s. Say that comes). Alternatively, they might reduce
she works a 60-hour week, holds an ad- their effort (decreasing inputs). The latter
vanced degree such as an M.B.A., and has would reduce group productivity (Andrews,
12 more years of relevant experience than 1967; Lawler & O’Gara, 1967). Feelings of
Candace. Additionally, suppose that Anita’s underreward have been connected to other
job involves a high level of stress because negative outcomes, including increasing
it entails the risk of serious failure and fi- the likelihood that workers will steal from
nancial loss for the company. In this event, their employers or engage in other forms of
Anita not only has greater “investments” work-related sabotage (Greenberg & Scott,
(that is, education and experience) but also 1996).
is bearing greater immediate “costs” (60 Not everyone responds to underreward
hours of work a week plus high stress). Un- behaviorally. Some engage in cognitive ef-
der these conditions, both Anita and Can- forts to reduce distress. They might search
dace may feel that their outcomes, although for an external source to blame for the in-
not equal, are nevertheless equitable. equity—maybe there is a pay scale that caps
what a new employee can make. When
Responses to Inequity injustice can be attributed to an external
source rather than an individual, people are
Inequity produces distress (anger, guilt) less likely to address inequity behaviorally.
and reduces productivity and commitment
to the group. There are two distinct types Responses to Overreward. What happens
of inequity: underreward and overreward. when a person receives more than his or her
Underreward occurs when a person’s out- fair share in a relationship? Will he or she
comes are too low relative to his or her in- be content just to enjoy the benefits? Al-
puts; overreward occurs when a person’s though overreward is apparently less trou-
outcomes are too high relative to his or her bling to individuals than is underreward
inputs. Both make it likely that there will be (Greenberg, 1996), it can still create feelings
direct attempts to change the conditions of inequity, often in the form of guilt rather
that produce the inequity. than anger (Perry, 1993; Sweeney, 1990).
To reduce this distress, a person who feels
Responses to Underreward. Persons who guilty may attempt to rectify the inequity
are underrewarded typically become dis- (Austin & Walster [Hatfield], 1974).
9780813349503.indb 494 5/16/14 1:50 PM

group proCEssEs 495
Research findings show that in some ing equity. Similar findings appear in re-
situations, overrewarded persons sacrifice lated studies (Adams & Rosenbaum, 1962;
some of their rewards to increase those Goodman & Friedman, 1969).
of others. However, the extent of the re-
distribution often will not be complete, Procedural Justice
and equity may be only partially restored
(Leventhal, Weiss, & Long, 1969). There is Social psychologists increasingly find that
some evidence that overrewarded members the fairness of distributions, or outcomes,
prefer to restore equity by increasing their is only one measure of fairness. People also
inputs. For example, in a work situation, gauge the fairness of the procedures or pro-
overrewarded members can strive to processes that determine distributions, what
duce more or better products as a means of many call procedural justice. There are
reducing inequity (Goodman & Friedman, two different components of procedural
1971; Patrick & Jackson, 1991); this enables justice—instrumental and relational.
them to restore equity without sacrificing In instrumental terms, the justness of
any of the outcomes they receive. a process is related to the amount of con-
This process was investigated in a clas- trol an individual feels they have in shaping
sic study in which students were hired to the process and determining the outcome
work as proofreaders (Adams & Jacob- (Thibaut & Walker, 1975, 1978). The more
sen, 1964). In one condition, participants control an individual has, the more just they
were told that they were not really quali- believe the procedure is. If a teenager is al-
fied for the job—due to inadequate expe- lowed to give input on the punishment she
rience and poor test scores—but that they receives for breaking curfew, she will see
would nevertheless be paid the same rate this as more just than if her parents decide
as professional proofreaders (30 cents per this without consulting her. For example, if
page). In a second condition, participants they ask her what she thinks is fair, she will
were told that due to their lack of qualifi- see the process as more just.
cations, they would be paid a reduced rate Procedural justice is important because
(20 cents per page). In a third condition, the fairer an individual believes a process
participants were told that they had ad- is, the fairer he or she will perceive the out-
equate experience and ability for the job come to be (Tyler, Boeckmann, Smith, &
and that they would be paid the full rate Huo, 1997). In other words, the teenager
(30 cents per page). Thus, the participants will see the exact same punishment—per-
in the first condition viewed themselves as haps a week without her cell phone or being
overrewarded, whereas those in the second grounded from the homecoming dance—
and third conditions saw their pay as eq- as more fair if she is somehow involved in
uitable. Measures of the quality of the stu- the process than if her parents simply an-
dents’ work showed that the overrewarded nounce the punishment.
students caught significantly more errors In early research, these instrumental
than the equitably paid students. In fact, concerns dominated the research on pro-
the overrewarded students were so vigilant cedural justice. However, over time the
that they often challenged the accuracy of conception of procedural justice expanded
material that was correct. These results and began to consider whether processes
indicate that the overrewarded students make an individual feel included and val-
increased their inputs, thereby restor- ued beyond just giving them control. Social
9780813349503.indb 495 5/16/14 1:50 PM

496 group proCEssEs
psychologists who attend to relational fac- than when they are a result of negotiated
tors in processes would argue that includ- exchange (Molm, Peterson, & Takahashi,
ing the teenager in discussions about pun- 2003). They also see exchange partners in
ishment gives her voice—the opportunity reciprocal exchanges as more fair as well
to give her opinion (Greenberg & Folger, (Molm, Collett, & Schaefer, 2006). These
1983). Having a say is important, even if it effects are likely because conflict increases
does not influence the outcome. People will attention to inequities (Deutsch, 2000),
perceive a process as fairer if they have such and conflict is lower in reciprocal exchange
an opportunity, even if it comes after a de- than it is in negotiated exchanges (Molm,
cision has already been made (Lind, Kanfer, 2010). Social psychologists have also ex-
& Earley, 1990). If the teenager’s parents let plored the link between attributions (Chap-
her express her disappointment rather than ter 6) and reactions to injustice. An indi-
simply sending her to her room, she will feel vidual is less likely to respond to perceived
that the process was fairer. People are also injustice if they attribute the injustice to an
more likely to rate a procedure as fair if it external source than if they attribute it to
promotes relationships among group mem- an individual (Utne & Kidd, 1980). This is
bers, makes people feel included within one of the reasons people react more neg-
the group, indicates standing in the group, atively if it is a fair procedure—versus an
and demonstrates neutrality (Lind & Tyler, unfair one—that leads to an unfavorable
1988; Tyler & Lind, 1992). outcome. If the process is flawed, one can
Allocation procedures are more likely to expect the outcome to be flawed. If the
be seen as fair if they meet a number of cri- process is fair, it is much more difficult to
teria (Leventhal, Karuza, & Fry, 1980): sup- make sense of an outcome that is perceived
pression of bias, consistency, representation of as unfair.
of all parties’ interests, accuracy of informa-
tion, ethicality, and correctability. For ex-
ample, a teenage daughter is more likely to SuMMary
see the process of choosing a punishment as
fair if her parents ensure that they have all The Systematic Study of Groups. Rob-
the information about why she broke cur- ert Bales was the first to study groups in a
few (accuracy of information), they use the systematic fashion, using his Interaction
same process they would use for a sibling Process Analysis to document what type
(suppression of bias) and one that is similar of contributions group members made and
to those they have used previously (consis- to whom they directed those communica-
tency), and they use a process that is seen as tions. His research showed that status and
ethical (ethicality) and flexible enough that influence differences emerge, even in ini-
there is the possibility for change if there is tially homogeneous groups, and then persist
a problem with the process or new informa- for the life of the group. Over time, group
tion comes to light (correctability). members take on particular roles in groups.
Procedural and distributive justice are Two roles that influence group dynamics
related to a number of other concepts in so- are the task specialist and social-emotional
cial psychology. For example, recent work specialist.
in social exchange finds that people tend
to perceive identical outcomes as more fair Status Characteristics and Expectations.
when they come from reciprocal exchange Most groups are not homogenous. The di-
9780813349503.indb 496 5/16/14 1:50 PM

group proCEssEs 497
versity in groups affects within-group pro- Equity and Justice. There are three distri-
cesses, with those who are higher in status bution principles that shape justice evalu-
being afforded more influence in groups. ations—equity, equality, and need. When
Status characteristics are attributes that individuals feel they have been underre-
are connected to group members’ expec- warded or overrewarded, they experience
tations and evaluations of people and per- distress and engage in behavioral or cogni-
formances through a status generalization tive efforts to restore a perception of equity
process. Diffuse status characteristics are (in which an individual gets what he or she
attributes that are thought to influence per- deserves). Perceptions of fairness of proce-
formance on a wide range of tasks, whereas dures are also important in justice evalua-
specific status characteristics only influence tions. Procedures that afford participants
performance expectations if they are ex- control over the process and outcome and
plicitly connected to the group task. make individuals feel like a valued part of
the group are seen as most fair.
Group Decision Making. There are a se-
ries of steps that groups go through during
a group decision-making process. Some- List of Key Terms and Concepts
times these processes go awry. One prob-
lem plaguing group decision making is affect theory of social exchange (p. 490)
groupthink, a fault mode of thinking that cautious shift (p. 484)
often leads to ill-conceived outcomes. So- collective task (p. 471)
cial psychologists have located a number of diffuse status characteristics (p. 475)
symptoms and causes of groupthink as well distributive justice (p. 491)
as recommended ways to avoid falling vic- group polarization (p. 484)
tim to groupthink. Group decision making groupthink (p. 482)
and discussion also leads to group polariza- homogeneous (p. 471)
tion, causing group members to make ei- overreward (p. 494)
ther more cautious or more risky decisions power and prestige order (p. 475)
than they would alone. procedural justice (p. 495)
reciprocity theory (p. 490)
Social Exchange. Social psychologists relation (p. 485)
see interaction as a process of exchange, risky shift (p. 484)
whereby individuals trade benefits and re- role (p. 474)
wards with one another in interaction. The role differentiation (p. 474)
central premise of social exchange is that ac- social-emotional specialist (p. 473)
tors exchange resources using an exchange specific status characteristics (p. 475)
process while situated in an exchange net- status characteristic (p. 475)
work. These resources can be tangible or status generalization (p. 476)
intangible. Social exchange theorists study task specialist (p. 473)
attributes of relations and positions rather underreward (p. 494)
than individuals. Although early research in
social exchange focused on network struc-
ture, power, and dependence, more recent
research examines exchange form, trust,
and commitment.
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498 group proCEssEs
Critical Thinking Skill: (1) situations of risk and uncertainty (for

Understanding Theory as a Bridge example, when a couple is not together) and
(2) when the group members do not take
Much of the research on group processes advantage of the others’ trust (for example,
relies on laboratory experiments. As we if a partner remains faithful).
have seen throughout this text, it is nearly In fact, Linda Molm had a similar theory.
impossible to create conditions in the lab- Instead of bringing couples into the labora-
oratory that approximate the world outside tory, however, she brought students in and
the laboratory (experimentalists tend to had some exchange points using processes
avoid the phrase “the real world” because with very low levels of risk and others with
the laboratory is very real). However, re- very high levels of risk (Molm, Schaefer,
producing that outside world is not the goal & Collett, 2009). Unbeknownst to the stu-
of experiments (Zelditch, 1969); instead, dents, they were exchanging with comput-
experimental social psychologists are inter- erized actors. Some were programmed to
ested in testing theories—theories that are behave in a trustworthy manner, others in
based on and apply to the life outside the an untrustworthy manner. Molm found
laboratory. support for her theory. The highest levels
Social psychologists consider a process of trust were among those students who
they see in social life—for example, why exchanged points in a high-risk situation
you trust your current boyfriend more than with partners who engaged in a trustworthy
your last boyfriend—and generate a theory manner. She argued this supported her
about why that might be the case. Is it that “theory of reciprocity.”
his personality is different—he’s inherently Collett and Avelis (2011) were able to
more trustworthy—or is there a social pro- use Molm’s theory as the bridge between
cess at play? Thinking back on a previous the laboratory and the couples they stud-
relationship, perhaps you were together al- ied (see Box 14.2). They were not using the
most all the time, giving little opportunity results of the experiment—that exchanging
to a partner to build trust in your absence. points over computers led to different levels
In your current relationship, you have your of trust. They were using the theory—that
own life and your own interests and friends, acting in a trustworthy manner in a situa-
and this gives you and your partner the option of risk increases trust and enhances
portunity to act in a trustworthy manner. relationships. This is how theory can work
You think that this difference might be one as the bridge. It connects the outside world
of the reasons you have greater trust now to the laboratory and the laboratory back to
than previously. How could you test that? the outside world.
If you were to create an experiment, you Although there are many examples of
would have to think abstractly. What is it this from the text, one of the most famous
about being apart that facilitates trust in is Latané and Darley’s theory of bystander
couples? What facilitates trust in other sit- intervention. Their research was inspired
uations and relationships? by something they saw outside the labora-
You might generate a theory—a state- tory—the way people reacted to the attack
ment of the relationship of facts about the on Kitty Genovese. They came up with a
social world—about the genesis of trust in theory about the diffusion of responsibil-
relationships. Based on your experiences, ity to explain why Kitty’s neighbors failed
you might decide that trust emerges from to help her. They tested this theory in a se-
9780813349503.indb 498 5/16/14 1:50 PM

group proCEssEs 499
ries of laboratory experiments. None of the as the bridge, what the researchers learned
situations involved attacks or neighbors; can be used to explain countless situations
they involved students and emergencies in which individuals failed to act in an
that might occur in a laboratory on cam- emergency—or when they did.
pus. For those who apply the theory today, Can you think of how you might use the
it is unimportant that Latané and Darley’s theories in this chapter to understand life
research findings were related to billowing outside the laboratory?
smoke or students’ seizures. Using theory
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9780813349503.indb 500 5/16/14 1:50 PM
chaPter 15
Social StrUctUre
AnD PeRsonAliTy
introduction 502 Alienation 533
Status Attainment 503 Self-estrangement 533
occupational Status 503 Powerlessness 535
intergenerational mobility 504 Summary 537

individual Values 512 List of Key Terms and Concepts 538
occupational role 514 Critical Thinking Skill:
education 515 Thinking as Hypothesis Testing 538
Social influences on health 516

Physical health 516
mental health 522
501
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502 soCIal sTruCTurE and pErsonalITy
IntroductIon occupies one or more positions in the so-

cial structure. Each position carries a set of
Fred is 38, married, the father of two chil- expectations about the behavior of the oc-
dren, and sells pacemakers to hospitals. He cupant of that position, called a role (Rom-
travels 2 or 3 days a week and works at home metveit, 1955). Role expectations are antic-
the rest of the time in his $300,000 house ipations of how a person will behave based
in the suburbs. He earns almost $150,000 a on the knowledge of his or her position.
year. Because his income is based entirely Through socialization and personal experi-
on commission, Fred worries about his ence, each of us knows the role expectations
sales falling off; but on the whole, he is sat- associated with our positions (Heiss, 1990).
isfied with his life. His values are conserva- For example, Fred enacts several roles, in-
tive, and he voted for Mitt Romney in 2012. cluding salesman, husband, and father. The
Jose is also 38 and has a wife and two expectations associated with these roles are
children. He runs a service station and a major influence on his behavior.
works 6 days a week from early morning A second way that social structure in-
until 6:00 or 7:00 p.m. Jose and his family fluences the individual is through social
live in a small, three-bedroom house. Last networks—the sets of relationships asso-
year, he made about $60,000. He worries ciated with the various positions a person
a lot about money and has been very tense occupies. Each of us is woven into several
the past year. He has liberal values and usu- networks, including those involving co-
ally votes for Democratic candidates. workers, family, and friends. Ties between
Marie is 39. She is nurse manager in a the person and a family member or friend
hospital pediatric unit. Last year, her salary reflect a primary relationship—one that
was $83,500. Although she enjoys her young is personal, emotionally involving, and of
patients, she hates all the paperwork and long duration. Such relationships have a
the personnel problems. Some of her values substantial effect on one’s behavior and
are conservative, whereas others are liberal; self-image (Cooley, 1902).
she considers herself an Independent. A third way in which social structure in-
Fred, Jose, and Marie are three very dif- fluences the individual is through status—
ferent people. Each has a different occupa- the social ranking of a person’s position. In
tion, which produces differences in income every society, some positions are accorded
and lifestyle. They differ in their values—in greater prestige than others. Differences in
what they believe is important—and in the ranking indicate a person’s relative stand-
amount of stress they feel. ing—his or her status—in the social struc-
Where do these differences come from? ture. Each of us occupies several positions of
Often, they are the result of one’s location differing status. In the United States, occu-
in society. Every person occupies a social pational status is especially influential. It is
position—a designated location in a so- the major determinant of income, which has
cial system (Biddle, 1986). The ordered and a substantial effect on one’s lifestyle. One of
persisting relationships among these posi- the obvious differences between Fred and
tions in a social system make up the social Jose, for instance, is their annual income.
structure (House, 1981). Each person’s location in social structure
This chapter considers the impact of so- is the most important determinant of many
cial structure on the individual. There are of his or her life experiences. This chapter
three ways in which social structure influ- focuses on the relationships between social
ences a person’s life. First, every person location and several characteristics that
9780813349503.indb 502 5/16/14 1:50 PM

soCIal sTruCTurE and pErsonalITy 503
determine the nature and quality of one’s He needs to be on the road only 2 or 3
life, including education and occupation, days per week to earn $150,000 a year. He
values, health, and strength of connection has a beautiful suburban home and two
to the society. Specifically, it considers four cars. Jose, by contrast, owns a service sta-
questions: tion. He works from morning until night
pumping gas and repairing cars. His station
1. How does location in society affect is in a good location, but his overhead is
educational and occupational high; he earned only $60,000 last year, and
achievement? he worries that this year, that figure will be
lower. Jose and his family live in a smaller,
2. How does social location influence older house and have a 6-year-old car.
people’s values? The benefits that Fred and Jose receive
from their occupational statuses are clearly
3. How does social location influence a different. First, Fred earns twice as much
person’s physical and mental health? money as Jose. This determines the qual-
ity of housing, clothing, and medical care
4. How does social location influence a his family receives. Fred also has much
person’s sense of belonging in society, greater control over his own time. Within
or the lack thereof ? limits, he can choose which days he works
and how much he works; this, in turn, af-
fects the time he can spend with family and
StatuS attaInMent friends. Jose doesn’t have much free time.
Finally, Fred receives a great deal of respect
The individual’s relative standing or status from the people with whom he works. He
in the social structure is perhaps the single controls a scarce resource, so doctors and
most important influence on his or her life. hospital personnel generally treat him well.
Status determines access to resources—to Jose, however, deals with people who are
money and to influence over others. In the usually preoccupied or angry because their
United States, occupation is the main de- cars are not running properly. As a result,
terminant of status. This section considers Jose’s job is much more stressful.
the nature of occupational status, the deter- In addition to these tangible benefits,
minants of the status that particular indi- occupational status is associated with pres-
viduals attain or achieve, and the impact of tige. Several surveys in the United States
social networks on the attainment of status. have found that there is widespread agree-
ment about the prestige ranking of specific
Occupational Status occupations. In these studies, respondents
typically are given a list of occupations and
Occupational status is a key component of asked to rate each occupation in terms of its
social standing and a major determinant of “general standing” or “social standing.” The
income and lifestyle. Fred is a sales repre- average rating is often used as a measure
sentative for a company that makes pace- of relative prestige. The prestige scores for
makers and other electronic medical equip- the United States shown in Table 15.1 were
ment. These items are in great demand, taken from an occupational prestige scale of
and few companies make them. Fred sells 0–100 (Nakao & Treas, 1994). Surprisingly,
a single pacemaker for $7,200 and keeps 25 there is considerable agreement across di-
percent of the money as his commission. verse societies in the average ranking of
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TABle 15.1 occupational Prestige in the sists of persons who share a common sta-
united states tus in the society. There are various views
regarding the nature of social classes in the
nAkAo-TreAS
oCCuPATIon United States. One view of social class em-
PreSTIge SCore
phasizes occupational prestige in conjunc-
Physician 86
tion with income and education in defining
Lawyer 75 class boundaries. This approach ordinarily
College or university professor 74 classifies people into upper upper, lower
Registered nurse 66 upper, upper middle, lower middle, work-
Electrical engineer 64 ing, and lower classes (Coleman & Neugar-
Elementary school teacher 64 ten, 1971). A very different approach em-
Police officer 60 phasizes a relational view of class, especially
Social worker 52
the control, or lack of control, an individ-
ual has over his or her work and coworkers
dental hygienist 52
as the main determinant of class standing
Office manager 51
(Wright, Costello, Hachen, & Sprague,
Electrician 51 1982).
Housewife 51
Office secretary 46
Intergenerational Mobility
data-entry keyer 41
Farmer 40 When a person moves from an occupation
Auto mechanic 40 lower in prestige and income to one higher
Beautician 36
in prestige and income, he or she is expe-
riencing upward mobility. To what extent
Assembly-line worker 35
is upward mobility possible in the United
Housekeeper (private home) 34
States? On the one hand, we have the Hora-
Precision assembler 31
tio Alger rags-to-riches imagery in our cul-
Truck driver 30 ture: Anyone who is determined and works
Cashier 29 hard can achieve economic success. This
Waitress/waiter 28 imagery is fueled by stories about the aston-
Garbage collector 28 ishing success of Oprah Winfrey as a media
Hotel chambermaid 20 mogul, Bill Gates’s success as founder and
Househusband 14 head of Microsoft, Martha Stewart’s suc-
cess as a businesswoman, and so on. Many
Source: Hauser and Warren, 1997. Americans believe that they can become
rich in their lifetime (DiPrete, 2007). On
occupations. Even adults in China give the other hand, some argue that America is
rankings similar to those displayed in Table a caste society—that our eventual occupa-
15.1 (Lin & Xie, 1988). This agreement may tional and economic achievements are fixed
reflect the fact that modern societies de- at birth by our parents’ social class, our
velop a similar division of labor in order to ethnicity, and our gender. To be sure, ev-
function effectively (van Leeuwen & Maas, ery city has families that have been wealthy
2010). for generations and families that have been
The social structure of the United States poor for as long. This suggests that the
can be viewed as consisting of several United States is characterized by castes—
groups or social classes. A social class con- groups whose members are prevented by
9780813349503.indb 504 5/16/14 1:50 PM

rigid class boundaries from changing their post–high school education, military ser-
social status. vice, marital status, and current occupation.
These two views of upward mobility in Later, they obtained information about the
American society are concerned with in- students’ earnings and about the colleges
tergenerational mobility—the extent of or universities they attended. In 1975, 97
change in social status from one generation percent of the original sample were located,
to the next. To measure intergenerational and most were interviewed by telephone.
mobility, we compare the social status of The interview focused on post–high school
persons with that of their parents. If the education, work history, and family charac-
rags-to-riches image is accurate, we should teristics. The data from this study enabled
find that a large number of adults attain a researchers to trace the impact of the char-
social status significantly higher than their acteristics of high school seniors on subse-
parents’. If the caste society image is cor- quent education, occupation, earnings, and
rect, we should find little or no upward work experience.
mobility. Figure 15.1 presents a diagram of the re-
What are the influences on upward lationships found among the variables stud-
(intergenerational) mobility in American ied. The arrows indicate causal influences.
society? In this section, we consider the Variables are arranged from left to right to
impact of three factors: socioeconomic reflect the order in which they affect the
background, gender, and occupational seg- person through time. These results indicate
regation. that children from more affluent homes
have greater ability and higher aspirations,
Socioeconomic Background. Occupa- and receive more education. Children with
tional attainment in U.S. society rests higher ability get better grades, which re-
heavily on educational achievement. To be ward them for their academic work and re-
a doctor, dental assistant, computer pro- inforce their aspirations. Children who do
grammer, lawyer, or business executive, well are also encouraged by significant oth-
one needs the required education. To beers, such as teachers and relatives, which
come a registered nurse, Marie (whom we also contributes to their high aspirations.
met in the introduction) had to complete These children are likely to choose courses
nursing school. Fred, our medical equip- that will prepare them for college. They
ment salesman, earned a bachelor’s degree are likely to spend more time on academic
in business. pursuits and less time on dating and social
Beyond education, what other factors activities (Jessor, Costa, Jessor, & Donovan,
influence occupational attainment? To an- 1983). As a result, they are likely to con-
swer this question effectively, we need to tinue their education beyond high school
trace the occupational careers of individu- and perhaps beyond college. Finally, high
als over their life course. Such longitudinal ability, encouragement of significant oth-
data are available from a research project ers, and high educational attainment lead
begun in the 1950s (Sewell & Hauser, 1980). to greater occupational status and earnings.
In 1957, all high school seniors in Wiscon- Note that socioeconomic background
sin were surveyed about their post–high and grades have an indirect effect on oc-
school plans. From this population, a ran- cupational status and a direct effect on ed-
dom sample of 10,317 was selected for con- ucational attainment. This does not mean
tinuing study. In 1964, researchers obtained that parental socioeconomic status and an
information from students’ parents about individual’s grades are unrelated to occupa-
9780813349503.indb 505 5/16/14 1:50 PM

Grades
Socioeconomic Significant
Background Others
Occupational
Status and Earnings
Educational
Attainment
Measured Ability Aspirations
FIgure 15.1 The Determinants of occupational status Attainment

This figure summarizes the influences that determine educational and occupational status over the life course. Socio-
economic background (parents’ education, occupation, and income) influences ability, aspirations, and educational
attainment. Ability influences grades, which, in turn, affect encouragement from significant others and aspirations
for educational attainment. Occupational status is affected by education and also by ability, aspirations, and signif-
icant others.
Source: Adapted from William H. Sewell and Robert M. Hauser, “The Wisconsin Longitudinal Study of Social and Psychological Fac-
tors in Aspirations and Achievements,” Research in Sociology of and Education and Socialization, Vol. 1, 1980, pp. 59–99.
tional status. Rather, it indicates that status In the research summarized in Figure
and grades influence occupational attain- 15.1, the family characteristics studied are
ment through other variables—like aspira- mothers’ and fathers’ socioeconomic stand-
tions—that have a direct impact on occupa- ing—education, occupation, and income.
tional attainment (Sewell & Hauser, 1975). How is it that variables such as your father’s
A meta-analysis of the interrelationship of education and your mother’s income influ-
intelligence and parental socioeconomic ence your educational attainment? Parents
status (SES) on individuals’ attainment in- often use their resources to create a home
cluded studies that measured all of the rel- environment that facilitates doing well in
evant variables and used a longitudinal de- school (Teachman, 1987). Thus, they pro-
sign (Strenze, 2007). It used data from 85 vide such aids as a quiet place to study,
data sets, involving 135 samples. An index encyclopedias, and a laptop or tablet com-
of parental SES (education, occupation, puter. Moreover, they may provide cultural
and income), intelligence/ability measured enrichment activities, such as attending
while the individual was still in school, and concerts and sports events (DiMaggio &
academic performance/grades predicted Mohr, 1985). A study of the daily activities
later educational and occupational attain- of children aged 3 to 11 found that children
ment and income. of highly educated parents spent more time
9780813349503.indb 506 5/16/14 1:50 PM

reading and studying and less time watch- medical equipment firm. Ten years after he
ing TV (Bianchi & Robinson, 1997). In high graduated from high school, Fred was sell-
school, students whose parents have bach- ing $200,000 worth of equipment per year
elor’s degrees are more likely to study, and and earning 20 percent commissions. After
spend more hours studying (Allard, 2008). he finished his military service, Jose went to
One review of the research on the inter- work in a gas station. Ten years after Jose
generational transmission of poverty con- graduated from high school, he was earning
cludes that children raised in poor families $28,000 per year working in a gas station.
will complete fewer years of school, are Thus, there is some upward mobility
less likely to attend college, and are more in U.S. society, and one’s socioeconomic
likely to be poor as adults (Corcoran, 1995). background does not fix one’s occupational
On the other hand, many Black families, attainment and earnings. Through greater
though not wealthy, do give their children education, many persons achieve an oc-
the motivation and the skills to succeed in cupational status and income larger than
school (McAdoo, 1997). would be expected based solely on their
Family structure also plays a role in the background. Thus, America is not a caste
attainment process. A study of a national society. At the same time, one’s socioeco-
sample of 30- to 59-year-old men and nomic background is not irrelevant to one’s
women compared those raised in origi- educational and occupational attainment.
nal two-parent families with those raised Not everyone can be a doctor, lawyer, or en-
in other family structures. Those raised gineer. Opportunities for upward mobility
in original families earned more as adults are not unlimited.
(Powell & Parcell, 1997). Among Blacks,
the presence of two parents, both employed Education. The research summarized in
outside the home, is essential to mobility the preceding section clearly indicates the
(McAdoo, 1997). importance of education in determining
The experiences of Fred and Jose clearly one’s occupational attainment and adult
reflect the importance of these processes. status. Thus, differences in the amount of
Fred’s parents were upper middle class; education completed will result in differ-
they sent him to preschool at age 4 and en- ences in status. In U.S. society, there are
couraged him to learn to read. Jose’s par- large disparities in educational attainment
ents were working class; they encouraged by ethnicity. The percentage of all persons
him to get out and play and not to waste who have completed high school (and more)
time reading. Fred did well in school; his and college (and more) in 2010 are displayed
grades were always high. Jose struggled in Table 15.2. Looking at the data, Asian
with his schoolwork, especially math. By Americans are the most educated (one-half
eighth grade, Fred had an excellent re- complete college), followed by Whites (30
cord, and his teachers gave him lots of en- percent), Blacks (18, 21 percent), and His-
couragement; Jose’s teachers, on the other panics (13, 15 percent). Not surprisingly,
hand, didn’t pay much attention to him. these differences translate into differences
Fred worked hard in high school, got good in occupations, which in turn create differ-
grades, and, with the support of his teach- ences in income (see below) and lifestyle.
ers and family, went to a university. After
finishing high school, Jose went into the Gender. Is the process of status attainment
army, where he learned vehicle mechanics. different for men and women? According
When Fred finished college, he got a job in a to the data obtained on Wisconsin high
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TABle 15.2 educational Attainment by ethnicity and gender, 2010

WhITe BlACk ASIAn & PAIS hISPAnIC
MAle % FeMAle % MAle % FeMAle % MAle % FeMAle % MAle % FeMAle %

High school 86.9 88.2 83.6 84.6 91.2 87.0 61.4 64.4
graduate or more
College graduate 30.8 29.9 17.2 21.4 55.6 49.5 12.9 14.9
or more
Source: U.S. Census Bureau, Statistical Abstract of the United States: 2012, Table 230.
school students, the determinants of occu- up enough continuous experience to gain

pational status as depicted in Figure 15.2 promotions. Moving also interferes with
are the same for both men and women, al- women’s advancement, especially when the
though the size of some relationships var- purpose of the move is to further the man’s
ies. Using a prestige scale of 0–100, the first career (Shihadeh, 1991). Advancement is
jobs held by women were, on the average, also more limited in occupations held largely
6 points higher than the first jobs held by by women. The top positions in schools, so-
men. Women’s first jobs were concentrated cial work, airlines, and sales are more often
within a narrow range of prestige, whereas held by men than by women. So the occu-
there was much greater variation in the pational status achieved by men and women
prestige scores of first jobs held by men differs over the course of their careers.
(Sewell, Hauser, & Wolf, 1980). Table 15.1 These differences are evident in the
reveals how this occurred. The first jobs lives of Fred, Jose, and Marie, who were
that women held included registered nurse, introduced earlier in this chapter. After
schoolteacher, social worker, dental assis- college, Fred began in sales (prestige score
tant, and secretary. The prestige scores of 49), and his income increased substantially
these jobs range from 66 to 46. In contrast, every year. If he wanted, he could move up
men’s first jobs ranged from physician (86) in the company to regional sales manager,
to garbage collector (28). national sales manager, and perhaps vice
When the researchers looked at 1975 oc- president of sales. Jose has moved from
cupations, they found that men had gained gas station attendant (prestige score 21) to
an average of 9 points in status in the 18- owner of a service station (prestige score
year period since their graduation from high 44). Like Fred, Marie went to college and
school. Women, on the other hand, had ac- earned a bachelor’s degree. Her first job in-
tually lost status; the average prestige of cur- volved working on a surgical unit in a large
rent occupations for women was 2 points hospital (prestige score 66). As nurse man-
lower than the average prestige of their first ager in pediatrics, she works days now, gets
jobs. Men experience upward mobility be- weekends off, and earns more, but her oc-
cause they work continuously. Moreover, cupation is unchanged. She could move up
they are in occupations with possibilities to director of nursing, but she is unlikely to
of promotion and advancement. Women’s strive for this, because the added responsi-
work careers are often interrupted by mar- bility isn’t balanced by added pay.
riage and by raising children; when they re-
turn to work, they often take up the same Occupational Segregation. In the preced-
job. Thus, women are less able to build ing section, we saw that the influence of
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Segregation of occupations by gender is widespread in the United States; for example, most construction
workers are men, whereas most nurses and unit clerks in hospitals are women. This segregation has
serious consequences for a woman’s earnings and occupational prestige. Left: © kozmoat98/iStock; right:
© Helen King/Corbis
factors such as socioeconomic background media portrayals influences our aspirations.

and ability on occupational attainment is Further, cultural beliefs about gender dif-
similar for men and women. At the same ferences in skills and abilities, for example,
time, working men and women are not that girls are less skilled than boys at math,
proportionately distributed across occupa- influence educational decisions and career
tional categories. Look back at Table 15.1. choices (Correll, 2004) in ways that main-
As you look at each occupation in the list, tain occupational segregation (men become
which gender comes to mind? Chances are engineers) (see Box 15.1).
that when you think of engineers, carpen- Direct experience with occupational seg-
ters, or auto mechanics, you picture men regation begins in adolescence. Data from a
performing those jobs. In 2012, of those sample of 3,101 tenth- and eleventh-grade
employed in these occupations, 84 percent, students in suburban high schools provide
98 percent, and 98 percent, respectively, concrete evidence (Greenberger & Stein-
were men (U.S. Bureau of Labor Statistics, berg, 1983). Adolescents’ first jobs are seg-
2013a). Similarly, when you think of reg- regated by sex, with girls earning a lower
istered nurse or dental hygienist, you pic- hourly wage. These differences reflect dif-
ture women in these roles; in 2012, of those ferential opportunity; employers hire pri-
employed in these occupations, 91 percent marily girls or primarily boys for a partic-
and 99 percent, respectively, were women. ular job (for example, laborer, fast-food
Many occupations consist overwhelmingly sales), and they pay boys more. Performing
of either men or women; there is substantial different roles results in differences in the
occupational level segregation by gender skills developed by gender.
(Reskin & Padavic, 1994). As occupation is Adults often experience gender segre-
the basis of prestige and a major determi- gation in the workplace. In a survey of 290
nant of income, this segregation has serious organizations with a total of more than
consequences. 50,000 employees, the results indicated
There are several processes that perpet- that men and women rarely perform sim-
uate occupational segregation. Our aware- ilar work in a single organization; when
ness of the gender composition of occupa- they do, they usually have different job ti-
tions through our daily experience and via tles (Bielby & Baron, 1986). There is little
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evidence that employers’ practices in this of Labor Statistics, 2013b). Asian men and
regard are a rational response to differences women enjoy the highest average weekly
between men and women. Jobs held by men earnings in the U.S., $1,058 and $831 re-
in one organization are held by women in spectively. Part of these gaps is due to dif-
other organizations. What happens when ferences in occupations by race and gender,
a person of the other gender enters a seg- reflecting differences in (access to) educa-
regated occupation? That person may ex- tion and training. However, a substantial
perience stereotyping and harassment by proportion is due to discrimination, not to
coworkers or supervisors, and may leave differences in measures of workers’ skills.
the job. On the other hand, the person may
experience unusual rewards and rapid ad- Social Networks. We have seen that socio-
vancement. Elementary school teachers are economic background, ability, educational
primarily women (81.4 percent in 2012); attainment, and earlier jobs influence oc-
research comparing the outcomes of men cupational attainment over the life course.
and women elementary teachers found In part, this is because differences in ex-
that men were more likely than women to periences create differences in an individ-
be promoted to administrative positions ual’s aspirations and abilities to cope with
(Cognard-Black, 2004). Either way, the the occupational world. Varied experiences
dominance of one gender in the occupation also move people into different social net-
is maintained. works. This exposes them to varied social
Differences in work performed or in contacts, which have an important effect on
job titles often result in large differences their upward mobility. This section consid-
in pay. In the first quarter of 2013, the me- ers some of the ways in which position in
dian weekly earnings (in current dollars) social networks affects the person.
of White women employed full-time was Networks provide channels for the flow
$723, whereas the median for White men of information, including information
was $888 (U.S. Bureau of Labor Statistics, about job opportunities. What types of
2013b). Thus, the median annual earnings networks are likely to provide information
of a White woman was $37,596, whereas on finding new jobs? You might think it is
the median for a White man was $46,167—a networks characterized by strong ties, such
difference of $8,580. Thus, women’s earn- as families or peer groups. Surprisingly,
ings are, on average, 81 percent of men’s employment opportunities are often found
earnings. An analysis of local labor mar- through networks characterized by weak
kets found that the more segregated a la- ties—relationships involving infrequent in-
bor market was, the larger the gap between teraction and little closeness or emotional
men’s and women’s wages (Cohen, 2003). depth (Marsden & Campbell, 1984). Those
There are also differences in earnings to whom our ties are weak are involved in
by race and ethnicity. In 2013, the median different groups and activities than we are.
weekly earnings of Black women was $597, Consequently, they will be exposed to in-
whereas the earnings of Hispanic women formation that is different from the infor-
was $531. Thus, Black women earned $126 mation we and our friends already have. For
per week less than White women, and the this reason, new information is more likely
White/Hispanic difference was $192. The to come via a weak tie than via a strong
median earnings of Black men was $666, one. In one study, of those who found jobs
and of Hispanic men $593. The White/ through contacts, only 17 percent were
Black difference was $222 per week and the obtained through strong ties (Granovetter,
White/Hispanic gap was $295. (U.S. Bureau 1973).
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Box 15.1 Can girls Do Math? Cultural Beliefs and occupational Segregation
The power of cultural beliefs was convincingly More important, Summers is wrong. There
demonstrated by the controversy in early 2005 have been hundreds of studies of differences in
over remarks made by the president of Harvard mathematical and related skills and abilities, at
University, Lawrence Summers. Speaking at a all age levels. These studies have been the focus
meeting of the National Bureau of Economic of large-scale meta-analyses; one of them used
Research on January 14, Summers suggested data from more than 100 studies, testing 3 mil-
three reasons why women are underrepresented lion persons (Hyde, Fenema, & Lamon, 1990;
“in high-end scientific professions. One is what I Hyde, Lindberg, Linn, Ellis, & Williams, 2008).
would call . . . the high-powered job hypothesis. Overall, the average effect size was d = 0.05—
The second is what I would call different avail- that is, it was basically zero. When the analysis
ability of aptitude at the high end, and the third was done by age, the results indicated that there
is what I would call different socialization and is no gender difference in math performance in
patterns of discrimination in a search” (Summers, elementary or middle school, but a significant
2005). In an elaboration of the second point, he difference emerges in high school. These results
suggested that, among those with the very high- flatly reject the hypothesis that there are innate
est abilities in science and math, the ratio of men differences in ability, and are entirely consistent
to women was probably 5:1. Summers is restat- with the hypothesis that girls and boys are being
ing a widely held cultural belief in the United socialized to believe there is a difference, and
States, that girls/women are inferior at math and, that that cultural belief increasingly affects math
by extension, will not succeed in occupations performance as females progress through the
that require high mathematical ability. A profes- school system. It is not differential ability, but dif-
sor of biology at MIT, dr. Nancy Hopkins, walked ferential socialization that results in few women
out on Summers, and later discussed his remarks in top positions in science.
with a reporter. Another explanation for the underrepresen-
One reason why many reacted to his remarks tation of women at top levels of science is that it
with indignation is that these beliefs become a reflects their lifestyle choices—to have children
self-fulfilling prophecy (see Chap 6). Many teach- and spend time with family—not discrimination.
ers and guidance counselors (and many parents) This explanation was put forward in a paper in the
believe girls are inferior at math and so they cau- prestigious Proceedings of the National Academy
tion girls not to take advanced math or science of Science (Ceci & Williams, 2011). It was widely
courses. This, of course, restricts the number of covered by major media outlets. The problem is
girls who take the courses needed to later pur- that there is no data supporting the hypothesis
sue degrees in these fields. This belief is held (Barnett & Rivers, 2011). The authoritative scien-
by many boys and girls, and influences the way tific report is “Beyond Bias and Barriers” (Commit-
they interact with one another. Furthermore, a tee, 2007). It cites more than 500 sources of data
girl who believes she is less skilled will not work showing that women face widespread discrimi-
as hard or be as persistent as a girl who believes nation in science and engineering. This discrimi-
she can do it, making it less likely that she will nation is evident in the results of an experiment
succeed (see Chap. 3, self-efficacy). If we really (Moss-Racusin, et al., 2012). Science faculty at
want to encourage members of a group to enter major universities rated the application materials
an occupational field in larger numbers, we need of a student, who was randomly assigned either
to stop constraining them by voicing and acting a male or female name. Faculty rated the male
upon such beliefs. It is especially upsetting when more competent and more hireable, selected a
someone of Summers’s status, president of one higher starting salary, and offered more mento-
of the oldest universities in the United States, ring to him.
voices them.
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A study of the hiring process in a mid- and women in traditional roles. Apparently,
sized high-tech organization gathered in- men are in networks that allow greater
formation on all 35,229 applicants over a access to information about and opportu-
10-year period (1985–1994). The results nities for advancement. Contemporary re-
indicated that there were only small differ- searchers refer to access to organizational
ences in hiring by gender, and they were ac- networks as bridging social capital to high-
counted for entirely by age and education. light its value as an influence on one’s re-
For ethnic minorities, on the other hand, sources (Coffe & Geys, 2008).
some of the differences were accounted for It is common to advise people seeking
by referral method; members of minority jobs to network, to seek information and
groups lacked access to the informal net- assistance from people they know, in per-
works that were associated with success in son, online, or through networking sites.
getting hired (Petersen, Saporta, & Seidel, Thus, men are likely to network with men
2000). and women with women, so women are
We noted earlier that women are less often networking with people who have
likely than men to experience upward oc- lower-paid jobs in gender-segregated firms.
cupational mobility during their careers. This, of course, perpetuates gender segre-
Might this occur because men and women gation in employment and the earnings gap
differ in their access to networks that carry between men and women (Munsch, 2013).
job information? Our ties to networks grow Social networks also contribute to mo-
out of the activities we share with others. bility within one’s workplace. A longitu-
The organizations we belong to are a major dinal study of employees in one high-tech
setting for such activities (Feld, 1981). The firm found that having a large network
larger the organization, the larger the po- of informal ties was associated with pro-
tential number of weak rather than strong motions and salary increases (Podolny &
ties. If men belong to larger organizations Baron, 1997).
than women, they would have more weak
ties and, hence, better access to information
useful in finding jobs. IndIvIdual valueS
To examine this possibility, 1,799
adults were asked the name and size of Last year, Fred, Jose, and Marie were each
each organization to which they belonged approached by a labor union organizer.
(Miller-McPherson & Smith-Lovin, 1982). Fred, the sales representative, was ap-
On average, men belonged to organizations proached by a member of Retail Clerks In-
such as business and professional groups ternational. The organizer explained that
and labor unions, whereas women were under a union contract, Fred would spend
more likely to belong to smaller charita- fewer days on the road and would receive
ble, church, neighborhood, and community a travel allowance from his employer. Jose
groups. Moreover, job-related contacts are was approached by a representative of the
more likely to develop in business, profes- Teamsters. The organizer sympathized
sional, and union groups. Findings showed with the problems of independent service
that men had an average of 170 job-related station owners and urged Jose to let the
potential contacts, whereas women had an Teamsters represent his interests in dealing
average of fewer than 35. The difference was with his supplier. Marie was approached
as large comparing men and women who by the president of United Health Care
worked as comparing men who worked Workers; she was promised higher wages
9780813349503.indb 512 5/16/14 1:50 PM

and greater respect from physicians if she Sel

f-T
ge ran
would join. an sc
Ch e
Fred flatly rejected the invitation, believ-
nd
Self-Direction Universalism
to
en
ing that a union contract would limit his
ss
ce
ne
Ope
freedom and perhaps reduce his income.
Jose’s reaction was mixed. On the one hand, Stimulation Benevolence
he felt he was at the mercy of “Big Oil.” On
the other hand, he was also a self-employed Conformity
Hedonism Tradition
businessman; like Fred, he didn’t want to
join a labor organization that might limit
n
at i o
his ability to determine his prices and the Achievement
Security
er v
pace at which he worked. Marie reacted
ns
very favorably to her invitation and began
Co
lf-
Se
En Power
to attend union meetings “to see what they ha
n ce
m en
are like.” She felt that a union might lead to t
higher pay and might force the hospital to
give her more freedom in determining the FIgure 15.2 The structure of individual Values
pace at which she worked. A theory of values developed by Schwartz (1992) iden-
In making their decisions, Fred, Jose, and tifies 10 motivationally distinct types of values. Each
Marie used their personal values, which are value is defined in terms of its central goal. The theory
enduring beliefs that certain patterns of be- also specifies a structure of relationships among the
havior or end states are preferable to others values. Values that lead to actions that conflict with
(Rokeach, 1973). All three were concerned each other are located opposite each other; comple-
mentary values are located close to each other. Thus,
with protecting or enhancing their freedom
actions that provide hedonistic rewards often conflict
and income. These values provided crite- with social norms and traditions; actions that conform
ria for making decisions. Thus, each per- to social norms enhance security. Finally, the values
son weighed the potential effect of joining can be thought of as lying along two dimensions, from
a union on freedom and income. Fred felt self-enhancement to self-transcendence, and from
that the effect on both would be negative. conservation to openness to change.
Jose was sure that union membership would Source: Value priorities and gender. (1998). By Prince-Gibson
limit his freedom but uncertain about its ef- and Schwartz, Social Psychological Quarterly, 61, 49–67.
fect on his income. Marie perceived a po-
tential gain in both freedom and income, so achievement and hedonism. Education was
she decided to explore union membership. also related to importance; as education in-
An important theory of values has been creased, persons gave lower ratings to tra-
developed by Schwartz (1992, 1994). He dition, conformity, and power, and higher
identifies 10 motivationally distinct values; ratings to stimulation, self-direction, and
these are portrayed in Figure 15.2. One universalism (Prince-Gibson & Schwartz,
study assessed the values of 999 adults, 52 1998).
percent of them women. There were no Because values are general, they can
differences by gender in either the struc- provide integration or coherence across
ture of values or the mean ratings of the the many roles an individual plays (Hitlin,
importance of each value. The rated impor- 2003). Although general, they influence
tance of specific values was related to age; many specific attitudes, choices, and behav-
older persons gave higher ratings to tradi- iors as well. For example, values are related
tion and benevolence, and lower ratings to to our attitudes toward public policy. Thus,
9780813349503.indb 513 5/16/14 1:50 PM

the importance one places on personal their effect on values, we must identify
property and on social equality is related to the basic differences among occupations.
one’s attitudes toward paying higher taxes Three important characteristics have been
to help the poor (Tetlock, 1986). Those who suggested (Kohn, 1969). The first is close-
place greater value on property will oppose ness of supervision—the extent to which
higher taxes, whereas those who place the worker is under the direct surveillance
greater importance on equality will favor and control of a supervisor. As a traveling
increasing taxes to help the poor. Those salesman, Fred is rarely under close super-
who feel these values are equally important vision, whereas Marie’s work is supervised
should find it hard to decide. by the director of nursing and various phy-
Values are related to choices. A study sicians. The second occupational character-
of university students assessed their values istic is routinization of work—the extent to
and asked them to respond to 10 hypo- which tasks are repetitive and predictable.
thetical scenarios. Each scenario required Much of Jose’s work is routine—pumping
a choice between two options, each repre- gas, tuning engines, relining brakes. But his
senting a different value. The respondents’ work is not highly predictable. From one
choices were consistent with their values day to the next, he never knows what kind of
(Feather, 1995). auto breakdown he will encounter or what
Values are related to preference for con- unusual request some customer may make.
venience foods. A sample of adults respon- The third characteristic is substantive com-
sible for food purchasing and preparation plexity of the work—how complicated the
in Thessaloniki, Greece, were interviewed work tasks are. Work with people is usually
(Botanaki & Mattas, 2010). Their values more complex than work with data or work
were measured based on the Schwartz with objects. Marie’s occupation as a nurse
model, as were their attitudes toward con- is especially complex because she must
venience in the domains of meal planning, constantly cope with the problems posed
shopping, preparation, and consumption. by doctors, patients, and families.
Pro-convenience food attitudes were posi- All three of these characteristics were
tively associated with values of stimulation measured in several studies of employed
and achievement—that is, seeking new ex-
periences and acting independently. Valu-
ing conservation and self-transcendence
were associated with negative attitudes to-
ward convenience foods.
How do value systems arise? They are in-
fluenced by our location in the social struc-
ture. This section examines two aspects of
social position that affect individual values:
occupational role and education.
Occupational Role
Workers on an assembly line often experience
We spend up to half of our waking hours at
alienation. Assembly-line jobs are monotonous,
work, so it is not surprising that our work do not allow workers to exercise initiative, and
influences our values. But occupational ex- give them no influence over working conditions.
periences vary tremendously. To determine © gerenme/iStock
9780813349503.indb 514 5/16/14 1:50 PM

men to determine the impact of occupa- 1982). What they found indicated causal ef-
tional role on values and personality (Kohn fects in both directions between values and
& Schooler, 1983). The results of these occupational conditions. Men who had val-
studies show a relationship between par- ued self-direction highly in 1964 were more
ticular occupational characteristics and likely to be in work roles that were more
particular values: Men whose jobs were less complex, less routine, and less closely su-
closely supervised, less routine, and more pervised 10 years later. Thus, values influ-
complex placed especially high value on re- enced job selection. At the same time, men
sponsibility, good sense, and curiosity. Men who were in occupations that allowed or re-
whose work was closely supervised, routine, quired self-direction in 1964 placed greater
and not complex were more likely to value value on responsibility, curiosity, and good
conformity. Thus, the occupational condi- sense in 1974. Thus, their earlier job condi-
tions that encourage self-direction—less tions influenced their later values.
supervised, nonroutine, complex tasks—are Do these effects persist into later life?
associated with valuing individual qualities Men and women interviewed in 1974 were
that facilitate adjustment and success in a interviewed again in 1994 (Schooler, Mu-
self-directed environment: responsibility, latu, & Oates, 2004). The results replicated
curiosity, and good sense. Occupational those in the original 10-year longitudinal
conditions that encourage adherence to a study. Persons high in self-direction in 1974
prescribed routine—close supervision and were more likely to work in jobs that en-
routine and simple tasks, such as bolting courage self-direction in 1994, and scored
bumpers on new cars—are associated with higher on measures of self-direction and in-
qualities that facilitate success in that envi- tellectual flexibility. Jobs providing greater
ronment, such as neatness and obedience. independence and self-direction—physi-
This pattern has emerged in studies of em- cian, lawyer, professor, accountant, CEO—
ployed men and women (Miller, Schooler, are higher in social status, providing their
Kohn, & Miller, 1979) and in studies occupants with greater advantages.
conducted in several countries includ- A recent review of research on cross-na-
ing the United States, Japan, and Poland tional psychological differences concludes
(Slomczynski, Miller, & Kohn, 1981). that opportunities for self-direction in one’s
Early studies of the relationships between work are consistently associated with dif-
workers’ values and their occupational conferences in values in a number of countries
ditions revealed that workers exposed to (Schooler, 1996).
particular conditions hold particular values.
However, these studies were unable to de- Education
termine with certainty whether adjustment
to occupational conditions actually caused Are differences in education also related to
people to value particular qualities. Perhaps differences in an individual’s values? The re-
men who value curiosity and desire respon- search by Kohn and his colleagues described
sibility select occupations that allow them in the preceding section demonstrated that
to exercise these traits (Kohn & Schooler, men in jobs that are nonroutine, substan-
1973). In attempting to identify the causal tively complex, and not closely supervised
order, researchers compared the men’s val- value self-direction, whereas men in jobs
ues and occupational conditions in 1974 with the opposite characteristics value con-
with their values and occupational condi- formity. Education is associated with the
tions 10 years earlier (Kohn & Schooler, value one places on these characteristics;
9780813349503.indb 515 5/16/14 1:50 PM

the higher one’s education, the greater the answer: health problems that may be due
value placed on self-direction. largely to their occupational roles.
Substantively complex occupations in- Occupational roles affect physical health
volve working independently with people, in two ways. First, some occupations di-
objects, or data. Such work requires intel- rectly expose workers to health hazards.
lectual flexibility, the ability to evaluate Miners who are exposed to coal dust, work-
information or situations, and the ability ers exposed to chemical fumes, and work-
to solve problems. These abilities should ers who process grain often suffer damage
be related to educational attainment, so to lung tissue. Waitstaff, bartenders, and
education should be related to intellectual kitchen workers exposed to cigarette smoke
flexibility. Analyses of data from a sample may develop lung cancer. Workers exposed
of 3,101 men indicate that as education to various toxic chemicals may die of blad-
increases, so does intellectual flexibility der cancer. Occupational conditions caused
(Kohn & Schooler, 1973). Thus, education 4,609 deaths in 2011 (U.S. Bureau of Labor
influences both the value placed on self- Statistics, 2012a), and 3 million injuries and
direction and the abilities needed for suc- illnesses (U.S. Bureau of Labor Statistics,
cess in substantively complex occupations. 2012b). The highest death and injury rates
are in transportation, followed by manufac-
turing and construction.
SocIal InfluenceS on health Second, many occupational roles expose
individuals to stresses that affect physical
Most of us attribute diseases to biological health indirectly. Each of the roles we play
rather than social factors. But the trans- carries a set of obligations or duties. Meet-
mission of disease obviously depends on ing these demands requires time, energy,
people’s interactions, and our physical sus- and resources. When these demands ex-
ceptibility to disease is influenced by our ceed the person’s perceived ability to meet
lifestyles. This is true, for instance, with a them, the result is stress (Lazarus, 1991).
disease such as AIDS. Similarly, our men- There are several types or sources of
tal health is influenced by our relationships stressors with different consequences
with relatives, friends, lovers, professors, (Thoits, 2010). A common source is stress-
supervisors, and so on. Thus, social position ful life events. Upcoming exams, a major
affects both physical and mental health. project deadline, an acute illness, and a
This section examines the impact of occu- move within the same city are all events that
pation, gender, marital role, and social class cause some stress; their effects are generally
on physical health. It also considers the re- short-lived, and end following the event.
lationship between these factors and men- Negative life events are associated with re-
tal health. duced physical and mental health. In one
study, researchers asked adults to report
Physical Health the amount of stress in their lives and their
health problems 20 times over a 6-month
Occupational Roles. What do the phy- period. Those who reported higher levels of
sician addicted to oxycotin, the executive stress also reported more health problems,
with an ulcer, the coal miner with black including sore throats, headaches, and flu.
lung disease (chronic obstructive pulmo- Increased stress was associated with more
nary disease), and the factory worker with ailments on the same day and on subse-
chronic back pain all have in common? The quent days (DeLongis, Folkman, & Lazarus,
9780813349503.indb 516 5/16/14 1:50 PM

1988). The connection between stress and regarding illness that included both mild
physical health is the body’s immune sys- (for example, influenza) and serious (for
tem. A study of college students found that example, heart attack) conditions. There
as their reports of stress increased, the con- were strong associations between the level
centration of antibodies in their saliva de- of stress experienced initially and reported
creased (Jemmott & Magloire, 1988). The illness 1 or 2 years later. Research indicates
lower the level of antibodies, the more sus- that the impact of cumulative or chronic
ceptible one is to illness. stress on health is greater than the impact
Another perspective on stress considers of life events, and that females, members
daily hassles of life and their effect on health. of minority groups, and poor and work-
The Daily Inventory of Stressful Events ing-class persons experience significantly
(Almeida, Wethington, & Kessler, 2002) as- more chronic stress (Thoits, 2010).
sesses whether the person has experienced A third type are traumas, extreme threats
each of a broad range of stressors, including to the person’s psychological or physical
arguments about various personal and fam- well-being. Examples include physical or
ily issues, work or school overload or diffi- sexual assault, military combat experiences,
culties, or issues involving one’s residence and natural disasters. An earthquake and its
(money, needing repairs). Interviews with a aftershocks may last only one day. But the
national sample (N = 1031) found that re- devastation and disruption experienced by
spondents reported at least one hassle on 40 survivors may affect them for months. Data
percent of the days and multiple hassles on from numerous countries document the
11 percent of them. Respondents who re- association of earthquakes with increased
ported more frequent interpersonal stress- cardiovascular risks, such as pulmonary
ors and concerns regarding the self (the way embolism (Dimsdale, 2008).
you feel about yourself, the way others feel Many people spend energy, time, and
about you) were more likely to report daily money jogging, playing tennis, or working
physical symptoms. out. Does it do any good? There is evidence
A second source is chronic stressors or that people who are physically fit are less
strains. Insufficient income to support the likely to experience stress-related illness.
family, caring for a chronically ill (for ex- One study of students obtained self-reports
ample, with AIDS) or disabled person, and of time spent per week in each of 14 fitness
living in a dangerous neighborhood (Board- activities. The researchers also assessed
man, 2004) are all examples. Chronic con- fitness directly, measuring blood pressure,
flict leading to a breakup and chronic un- aerobic capacity, and endurance. Higher
employment are also examples. These levels of self-reported fitness were associ-
conditions are continuous over time, and so ated with higher levels of health. Greater
is the stress associated with them. Chronic fitness as measured directly was associ-
stress may lead to physical illness. Excellent ated with fewer visits to the student health
evidence of this link comes from a longitu- center (Brown, 1991b). However, whereas
dinal study of two samples of adults (140 stress is related to health, it is not related
and 190 persons, respectively) employed at to self-reported fitness (Roth, Wiebe, Fillin-
a large company (Maddi, Bartone, & Puc- gian, & Shay, 1989). Fitness does not reduce
cetti, 1987). Each person’s level of stress was the amount of stress one experiences, but
assessed by a carefully designed measure of it does reduce illness. A review of litera-
stressful life events. Then, 1 or 2 years later, ture, including randomized clinical trials of
each person completed a questionnaire physical-activity interventions, concludes
9780813349503.indb 517 5/16/14 1:50 PM

Traumatic events, like hurricanes, earthquakes, tornadoes, or major floods, may cause high levels of stress
in survivors lasting for years. Rebuilding one’s residence, one’s financial base, and re-establishing daily
routines may take several years, or more. © Leif Skoogfors/FEMA
that persons who engage in regular physi- An important aspect of jobs that are as-
cal activity are less likely to experience sev- sociated with an increased risk of heart at-
eral diseases and have a better quality of life tack is the lack of control over work pace
(Penedo & Dahn, 2005). and task demands (Dimsdale, 2008). Occu-
The most widely studied relationship pations associated with the highest risk in-
between job characteristics and physical clude cooks, waitstaff, assembly-line opera-
health is the impact of occupational stress tors, and gas station attendants. These jobs
on coronary heart disease. As one’s work- are characterized by high demand—heavy
load increases—including perceived de- workload and rapid pace—over which the
mands and number of hours worked—so worker has little or no control. Cashiers and
does the incidence of coronary heart disease waiters are four to five times more likely to
(Dimsdale, 2008). Heart attacks are associ- have a heart attack than foresters or civil
ated with a high level of serum cholesterol engineers. One study assessed the contri-
in the blood. Several studies report that the bution of lack of control on the job to coro-
level of serum cholesterol rises among per- nary heart disease, controlling for other fac-
sons under high work-related stress (Chan- tors, including individual risk factors and
dola, Brunner, & Marmot, 2006). This sug- the availability of social support (Marmot,
gests another tangible link between role Bosma, Hemingway, Brunner, & Stansfeld,
demands and physical health. Furthermore, 1997). Longitudinal data were obtained
some studies suggest that the job-stressed from 7,372 employed men and women at
individual may hyperrespond to stressors three points in time. A reported lack of con-
outside the work environment. trol at Time 1 was associated with increased
9780813349503.indb 518 5/16/14 1:50 PM

incidence of self-reported chest pain and also variation by ethnicity. Blacks have the
angina, and doctor-diagnosed angina or highest age-adjusted death rates of heart
heart attack, at Times 2 and 3. disease, cerebrovascular disease, and can-
cer, while Hispanics have the lowest rates
Gender Roles. Who is more likely to experi- of these three, with Whites intermediate.
ence coronary heart disease, cirrhosis of the Research on Black/White differences in
liver, or lung cancer—men or women? You mortality suggests that differences in social
probably picked men, and if you did, you are class—education, income, and job com-
right. Men are twice as likely as women to plexity—are responsible (Warner & Hay-
die from these conditions. More generally, ward, 2006). These differences have per-
research consistently finds that women live sisted for 50 years (Syme, 2008), indicating
longer than men but suffer from more ill- that we need new approaches to reducing
nesses in many countries around the world these disparities.
(Read & Gorman, 2010). Although there is Role overload, in which the demands
evidence that genetic and hormonal factors of one’s role(s) exceed the amount of time,
play a role, traditional role expectations for energy, and other resources one has, is
men and women and occupational role seg- associated with coronary heart disease.
regation are also significant factors. Professionals such as physicians, lawyers,
Some gender differences in health are accountants, and so on are especially vul-
associated with reproductive roles (Mac- nerable to overload; until recently, the per-
intyre, Hunt, & Sweeting, 1996). Health sons holding these positions have been pri-
problems related to reproduction, such as marily men. Other studies have shown that
premenstrual syndrome and pregnancy- heart attacks are correlated with certain
related conditions, are most likely among personality traits known as coronary-prone
women of childbearing age. Men exposed behavior patterns (Jenkins, Rosenman, &
to various chemicals, heat, or radiation, Zyzanski, 1974). People who exhibit these
usually on the job, may experience reduced behavior patterns are work-oriented, ag-
sperm production, abnormal sperm types, gressive, competitive, and impatient. They
or impaired sperm transfer (National In- often initiate two or more tasks simulta-
stitute of Occupational Safety and Health, neously (Kurmeyer & Biggers, 1988). Men
2002). Hormonal changes at menopause are much more likely to be characterized by
affect the physical health of some women, this behavior pattern than women.
causing osteoporosis and an increased We documented above the differences
likelihood of broken bones. Older men are in income of men and women in the con-
very likely to experience enlarged prostate temporary United States (and it is found
glands, and may die of prostate cancer. in many other countries as well). Wom-
The top three causes of death are the en’s lower earnings limit their access to
same for men and women in the United health-related resources compared to men
States: heart disease, cancer, and respira- (Read & Gorman, 2010).
tory diseases. However, age-adjusted death Men are more prone than women to
rates indicate that males are at greater risk have cirrhosis of the liver because they are
for all three (1.6 to 1.3) (National Center more likely than women (1.7 to 1) to be
for Health Statistics, 2012). One analy- heavy drinkers (Schoenborn, 2004). Until
sis suggests that the greater likelihood of recently, men were much more likely to
male death from these illnesses is related smoke cigarettes and, therefore, more likely
to smoking (Case & Paxson, 2004). There is than women to contract lung cancer and
9780813349503.indb 519 5/16/14 1:50 PM

emphysema. Men are 2.5 times more likely unmarried persons. They are less likely to
to die in auto accidents (National Center smoke and drink (Schoenborn, 2004). They
for Health Statistics, 2012), both because may take fewer risks, reducing the likeli-
of higher rates of driving under the influ- hood they will be involved in accidents. Fi-
ence of alcohol (4 of 5 arrests for DWI are nally, they may be more likely to seek medi-
of men) and because of poor driving habits cal care when ill (Verbrugge, 1979).
(Waldron, 1976). This explanation suggests that the health
Clearly, certain behaviors increase the advantage of married people is the result
risk of illness or death. The transmission of of living with another person. To test this
these health risk behaviors, such as not eat- interpretation, data were analyzed from
ing an adequate diet, smoking, and drink- a national sample of women. Measures of
ing, was the focus of a study of 330 teen- illness included the number of days spent
agers and their parents. The results showed in bed and the number of doctor visits in
that the father’s lifestyle affected only boys the past year. Women who lived with an-
and the mother’s lifestyle affected only other adult reported no more illness than
girls (Wickrama, Conger, Wallace, & El- married women, regardless of whether they
der, 1999). Thus, health risk behaviors are were single, separated, divorced, or wid-
learned as part of gender role socialization. owed (Anson, 1989). When another adult
These generalizations highlight overall is present, she or he can provide emotional
differences between men and women, but support, help identify illness early, and pro-
we need to recognize that gender roles vary vide care that encourages rapid recovery.
by culture and subculture—and that gen- Is merely being married sufficient to re-
der roles are changing (Watkins & Whaley, duce risk? Perhaps. But being happily mar-
2000); for example, increasing numbers of ried is even more beneficial. According to
women are smoking, and so the gender gap one study, married men and women who
in deaths due to lung cancer will gradually were satisfied with their marital roles re-
get smaller. ported better physical health than those
who were dissatisfied (Wickrama, Conger,
Marital Roles. Marriage is associated with Lorenz, & Matthews, 1995). On the other
physical health. Married men and women hand, marital conflict has been shown to
are less likely to report conditions such as have direct negative influences on cardio-
back pain and headaches, and limitations vascular, immune, and other physiological
on activity (Schoenborn, 2004). They ex- mechanisms. Marital stress also has indi-
perience fewer acute and chronic health rect consequences for health by increas-
conditions (Ross, Mirowsky, & Goldsteen, ing depression and by negatively affecting
1990). On a variety of indicators, widowed health behaviors (Kiecolt-Glaser & New-
persons are more likely than the divorced ton, 2001).
or separated to experience health problems. In contemporary U.S. society, one-half
These patterns are found in Whites, Blacks, of marriages end in divorce, and most di-
and Hispanics. vorced persons remarry. How do these
Why is it that being married protects transitions—which are often stressful—
people against illness and accidents? The affect health? A longitudinal study of the re-
most likely explanation is that married per- lationship between marital status and mor-
sons are less likely to engage in behaviors tality in a sample of 12,484 people shows
that expose them to illness and accidents. that the longer one is married, the greater
They probably eat and sleep better than one’s life expectancy. Women especially
9780813349503.indb 520 5/16/14 1:50 PM

Psychosocial Factors
1. Health practices (smoking, alcohol,
nutrition)
2. Social ties
3. Perceptions of control
4. Stress (family, occupational, residential)
Biomedical Factors
Socioeconomic Status Health Outcomes
Demographic Factors
Medical Care
(e.g., age, race, sex)
FIgure 15.3 A Model of the influences on health

There are several influences on a person’s physical and mental health. Biomedical, socioeconomic (such as occupa-
tion), and demographic (including age, race, gender, and marital status) factors all influence health, both directly and
indirectly. All influence such immediate psychosocial factors as health practices and stress. Socioeconomic status is
the major influence on the amount and quality of medical care available to the person: The availability of medical
care, in conjunction with the other factors, influences how physically and mentally healthy one is.
Source: From “Socioeconomic differentials in Health: A Review and Redirection” (1990) by david R. Williams, Social Psychology Quar-
terly, 53(2), 82. Used with permission from the American Sociological Association.
benefit from not being single. On the other Social Class. We noted earlier that status
hand, any transition—to (re)marriage, di- has a major impact on lifestyle. One aspect
vorce, or widowhood—increases the risk of of this impact is the effect of social class on
death (Brockmann & Klein, 2002). physical health.
What about cohabiting couples? Do A model of the influences on health is
they enjoy the same health advantage as presented in Figure 15.3 (Williams, 1990).
married persons? Research suggests they In this model, socioeconomic status is one
do not. Comparisons of the health of men of three influences on health. Whether edu-
and women living in same-sex and differ- cation, occupation, or income is used as the
ent sex relationships found that cohabiters indicator of status, lower-socioeconomic-
had higher odds of poorer health than mar- status groups in the United States experi-
ried couples (Denney, Gorman, & Barrera, ence higher death rates. A study of 18,733
2013). Among different-gender couples, deaths in 1986 found that social class was
women experienced a greater disadvantage strongly correlated with mortality (Rogers,
compared to their married counterparts. 1995). The highest mortality was found
There was little difference between same- among persons who were single and poor.
sex cohabiting men and women. Rates of infant mortality are also negatively
9780813349503.indb 521 5/16/14 1:50 PM

related to social class; the rate of mortality Differences in health associated with class
among Black infants is twice as high as the are small in early adulthood (25 to 44), then
rate for White infants. Controlling for class, increase with age (45 to 54) until late in
differences by race are reduced. However, life, when they become small again (75 and
racial differences do persist. Blacks have older). The large differences in later adult-
higher death rates, tend to become ill at hood reflect greater exposure of lower-class
younger ages (for example, Black women persons to risk factors such as occupational
are more likely to be diagnosed with breast health hazards, lack of control on the job,
cancer before age 40) and some diseases excessive alcohol consumption, and num-
progress faster in Blacks than whites (for ber of stressful life events.
example, chronic kidney disease) (Wil- In sum, the relationship between social
liams, 2012). Racism and minority person’s status and physical health is complex. Occu-
experiences of discrimination are certainly pational roles may expose men and women
a factor in these elevated risks; these experi- directly to health risks, causing illness and
ences are stressful, and may occur on a daily death, or to the stressful effects of lack of
basis, causing chronic stress. control on the job. Gender differences in
Several factors have been identified as reproductive roles lead to differences in
causes of the negative relationship between health risks. Role overload is associated
class and health. First, persons with higher with some occupations and differentially
status are more likely to be employed full- affects men and women due to occupa-
time, to have subjectively rewarding jobs, tional segregation. Being married or living
and to have higher income. Second, higher- with another adult reduces one’s health risk
status persons are more likely to have a sense compared to being single. Social class is also
of control on the job and of control over associated with differences in mortality,
their lives and health. Finally, higher-status due to its association with occupation and
persons are less likely to engage in health risk lifestyle. The bottom line is that improving
behaviors—smoking and heavy drinking— the physical health of people in the United
and more likely to eat properly, exercise, States requires interventions that improve
and use health-care services. In other words, the socioeconomic circumstances and oc-
social class is associated with several of the cupational conditions within which people
factors discussed earlier. Analyses of data live (Syme, 2008).
from two national probability samples found
that full-time employment, sense of control Mental Health
on the job, and lifestyle were all related to
self-reported health (Ross & Wu, 1995). A At the beginning of this chapter, we intro-
study of mortality differences between men duced Jose, who owns a service station, works
and women found that differences in death long hours, and earns about $60,000 per year.
rates by class (income, occupation) were as He has two children, a large mortgage on his
large for women as for men (Koskinen & home, and he has trouble making ends meet.
Martelin, 1994). The exception was among He comes home from work every day ex-
married women, whose death rates varied hausted. He worries about the economy and
little by class—that is, being married com- whether there will be another energy crisis,
pensates for the health risks experienced by leading to inadequate supplies of gasoline,
working-class single women. or an oil glut, leading to gasoline price wars.
Class differences in physical health vary Either one would ruin his business, because
across the life course (House et al., 1994). more than one-half of his income is from
9780813349503.indb 522 5/16/14 1:50 PM

gasoline sales. The ups and downs of gas control over their work pace are stressful.
prices in 2012 were very stressful. Physicians are under high levels of stress;
Like many Americans, Jose finds that his they are expected to heal their patients, to
life situation is very demanding. His cus- be available to others whenever needed, to
tomers expect him to do high-quality repair be compassionate, and to be cost-effective.
work at low prices, his wife expects him to These expectations are internalized by most
support the family and spend time with her, physicians, and they may be exacerbated by
and his children want more toys and elec- personal traits such as perfectionism. The
tronics than he can afford. At times, the de- high rates of suicide, depression, substance
mands made on him by others exceed his abuse, and marital problems among physi-
ability to cope with them, causing psycho- cians appear to result from these stresses
logical stress. People who are under stress (Miller & Megowen, 2000).
often become tense and anxious, are trou- Beyond the stresses associated with spe-
bled by poor appetite, or experience insom- cific occupations, one’s economic circum-
nia. A widely used questionnaire designed stances are an important source of stress
to measure stress-related symptoms is re- (Voydanoff, 1990). Economic hardship—
produced in Box 15.2. Many of the items on insufficient income to meet basic needs—is
this scale measure behavior, thoughts, and stressful. Interviews with more than 2,000
feelings associated with depression. adults showed that not having enough
Stress is a major influence on mental money to provide food, clothing, and med-
health. Short-term stressors, such as fi- ical care for self or family was the major
nal exam week or an approaching dead- variable associated with depression scores
line, may produce a temporary increase in (Pearlin & Johnson, 1977).
stress-related symptoms or depression. As Economic uncertainty—concern over
soon as the exams are over or the dead- one’s prospects of finding or keeping a job—
line passes, mood may return to normal. is also stressful. A study of 7,095 workers
Long-term stressors, such as the continu- found that the level of unemployment in an
ing economic worries that Jose experi- industry as a whole is associated with the
ences, may produce impaired psychological level of distress experienced by employed
functioning. Neuroses, schizophrenia, and workers in that industry (Reynolds, 1997).
affective disorders such as depression are The relationship was stronger for workers
among the mental illnesses associated with in complex, rewarding jobs. Unemploy-
severe stress. The experience of stress and ment is especially debilitating (Vinokur,
impaired psychological functioning varies Price, & Caplan, 1996). It is associated with
by occupation, by gender, by marital and anxiety, depression, and admission to men-
work roles, by membership in social net- tal hospitals (Voydanoff, 1990), and with
works, and by social class. Some events an increased risk of death (Voss, Nylén,
have an impact on large numbers of people Floderus, Diderichsen, & Terry, 2004). In
simultaneously. Box 15.3 provides an exam- addition to economic rewards, one’s work is
ple of such a stressful event. a highly salient role identity for many peo-
ple. The meaning the individual attaches
Occupational Roles. Work-related stress to work influences its importance to psy-
not only affects physical health but also chological well-being (Simon, 1997). The
can affect mental health. We noted earlier impact of unemployment is greater on men
that occupations that involve heavy work- than on women, probably because the work
loads and in which workers have little or no role identity is more salient for men.
9780813349503.indb 523 5/16/14 1:50 PM

Box 15.2 Test Yourself: how Do You respond to Stress?
Stress is a discrepancy between the demands These questions measure depression, a com-
on a person and his or her ability to successfully mon response to stress. This is the CES-d (Center
respond to those demands. Individuals under for Epidemiological Studies depression) scale.
stress experience a variety of physical and psy- You can determine your score by adding up
chological symptoms. A widely used measure the numbers you circled (0, 1, 2, or 3) for all of
of these symptoms is reproduced here. Read the the items except items 4, 8, 12, and 16. Notice
instructions and complete the scale. that these four items refer to positive feelings,
Here is a list of ways you might have felt or be- whereas the other items refer to negative ones.
haved in the past week. Read each of the follow- To score items 4, 8, 12, and 16, give yourself 0 if
ing statements and then circle the appropriate you circled 3, 1 if you circled 2, 2 if you circled 1,
number to the right of the statement to indicate and 3 if you circled 0. Total scores on the scale
how often you have felt this way during the past may range from 0 to 60. If your score is more than
week. 16 points, you could be diagnosed as depressed.
rArelY or SoMe or A oCCASIonAllY MoST or

none oF The lITTle oF or MoDerATe All oF The
TIMe (leSS The TIMe AMounT oF The TIMe (5–7
DurIng The PAST Week ThAn 1 DAY) (1–2 DAYS) TIMe (3–4 DAYS) DAYS)
1. I was bothered by things that usually don’t bother

me. 0 1 2 3
2. I did not feel like eating; my appetite was poor. 0 1 2 3
3. I felt I could not shake off the blues even with help
from my family and friends. 0 1 2 3
4. I felt that I was just as good as other people. 0 1 2 3
5. I had trouble keeping my mind on what I was doing. 0 1 2 3
6. I felt depressed. 0 1 2 3
7. I felt that everything I did was an effort. 0 1 2 3
8. I felt hopeful about the future. 0 1 2 3
9. I thought my life had been a failure. 0 1 2 3
10. I felt fearful. 0 1 2 3
11. My sleep was restless. 0 1 2 3
12. I was happy. 0 1 2 3
13. I talked less than usual. 0 1 2 3
14. I felt lonely. 0 1 2 3
15. People were unfriendly. 0 1 2 3
16. I enjoyed life. 0 1 2 3
17. I had crying spells. 0 1 2 3
18. I felt sad. 0 1 2 3
19. I felt that people disliked me. 0 1 2 3
20. I could not “get going.” 0 1 2 3
9780813349503.indb 524 5/16/14 1:50 PM

In some instances, the stress associated In an attempt to identify sources of

with unemployment leads to violence. Each chronic stress in women’s lives, researchers
year, there are incidents in which a fired asked female students, professionals, and
employee returns to the workplace with mothers to write items representing stress-
guns or rifles, often seeking the person(s) ful situations for women. A factor analysis
believed responsible for his or her being yielded five factors, including fear of being
fired. These incidents can lead to injuries unattractive, of victimization, and of failing
and deaths, and to suicide by the former to be nurturing (Watkins & Whaley, 2000).
employee. These sources of stress may be unique to
A daily hassle experienced frequently by women.
many residents of the United Sates is eth- There also may be a gender difference
nic/racial discrimination. Microaggressions, in how people respond to stress. Whereas
acts of disregarding the person of color men experiencing high stress report higher
based on biased beliefs, are experienced of- rates of substance use and abuse, women
ten, and require management of anger and experiencing high stress report higher rates
emotional upset. Inability to successfully of impaired psychological functioning. In a
resolve these issues causes race-related survey of 3,131 adults, stress was measured
stress (Franklin, Boyd-Franklin, & Kelly, by the number of life events experienced
2006). It is not surprising, therefore, that a by the person, or by someone close to him
study of 6,082 African Americans, Carib- or her, in the prior 6 months. Respondents
bean Blacks, and Whites found that Afri- were also asked questions about participa-
can-Americans and Caribbean Blacks have tion in various behaviors and psychological
substantially higher rates of chronic major functioning. Men experiencing stress were
depressive disorder, and are more likely to more likely to report alcohol or drug use or
report that it is severe and disabling (Wil- dependence, whereas women experiencing
liams et al., 2007). stress reported increased anxiety and emo-
tional disorders (Armeli, Carney, Tennen,
Gender Roles. Adult women in the United Affleck, & O’Neil, 2000).
States have somewhat poorer mental health
than men. On measures of distress, women Marital Roles. Just as married men and
attain significantly higher scores than men. women are physically healthier than people
For example, Macintyre, Hunt, and Sweet- who are not married, they are characterized
ing (1996) found that women report greater by greater psychological well-being and less
malaise (sleep problems, difficulty concen- depression than single, separated, divorced,
trating, worry, and fatigue) than men at all or widowed persons (Ross et al., 1990).
ages. Are women under greater stress? Or Again, it appears that it is the presence of
are they more likely to report symptoms of another adult in the residence—rather than
distress than men? One study assessed the being married per se—that is associated
frequency of experiencing emotions such as with being healthy.
anger, sadness, and happiness and the levels Of course, it might be that people who
of distress in men and women (Mirowsky have higher levels of well-being are more
& Ross, 1995). The results indicated that likely to marry or cohabit, whereas persons
women expressed emotions more freely with lower levels remain single. A longitu-
than men, but this did not fully account dinal study of 18- to 24-year-old men and
for the differences in stress scores. Overall, women, some of whom married whereas
women experienced stress about 30 percent others remained single, found that marriage
more often than men. did improve well-being (Horowitz, White,
9780813349503.indb 525 5/16/14 1:50 PM

Box 15.3 The Impact of large-scale Traumas on Psychological Functioning
On July 20, 2012, about 12:30 AM, a young man 2001, on the World Trade Center and the Penta-
dressed in tactical clothing entered a crowded gon. More than 2,800 people were killed, affect-
movie theater in Aurora, Colorado. He activated ing hundreds of workplaces and thousands of
two canisters which released gas and smoke, and families. There was the immediate stress of the
then started firing in turn a shotgun, a semi-au- deaths and destruction, the continuing stress for
tomatic weapon, and a handgun. The shooting persons in New York and Washington due to the
lasted two minutes, and resulted in 12 deaths disruption of their lives, and the continuing stress
and 70 injuries. for most Americans due to the uncertainty about
The research summarized in this chapter further attacks.
indicates that relatively common, “everyday” Excellent data on the impact of the terrorist
stressors such as moving, starting a new job, attacks comes from the longitudinal National
changes in relationships, and conflict with fam- Tragedy Survey conducted by the National Opin-
ily or coworkers affect individuals’ physical and ion Research Center (NORC) at the University of
mental health, in some cases seriously. Occasion- Chicago (Rasinski, Berktold, Smith, & Albertson,
ally, a large group or a population experiences 2002). Two weeks after the attacks, a probabil-
extreme situations—events that dohrenwend ity sample of 1,013 Americans and a probability
(2000) terms fateful. Fateful events share several sample of 406 residents of New York City were
characteristics: They are beyond the individual’s interviewed. Four to 6 months later, in January
control, unpredictable, often life-threatening, to March 2002, re-interviews were completed
and often large in magnitude, and they disrupt with 805 Americans (79 percent of the original
people’s usual activities. Such events have con- sample) and 296 residents of New York City (73
sequences far beyond those of everyday stress- percent).
ors. The Aurora theater shooting affected several To begin, consider national pride. One goal
hundred people directly and hundreds of others of the terrorist attacks was to demoralize the
indirectly. There are the immediate stresses of American population. However, measures of
death and injury, and impacts on family, friends, pride taken 2 weeks after September 11 either
and coworkers. Because the event and its con- remained the same or increased compared to
sequences were uncontrollable, thousands of previous NORC surveys. For example, 97 percent
people in the community experienced fear, an- of those surveyed said they would rather be a
ger, and rage that could not be channelled into citizen of America than of any other country. On
effective action. the other hand, confidence in major institutions,
A wide variety of responses are seen in adults including the executive branch, Congress, and
following such traumatic events. In addition to banks and financial institutions, fell by 7 to 13
the emotions just listed, they include disbelief, ir- percent; the exception was confidence in the U.S.
ritability, anxiety, depression, sleep disturbances, military, which remained at pre-attack levels (81
and increases in alcohol and other substance use. percent).
For most individuals, these acute traumatic stress The interview included questions assessing
symptoms resolve over time. For some, however, the experience of stress. In the first survey, re-
the intensity and duration of the symptoms jus- spondents were asked which of 15 symptoms
tify the diagnosis of posttraumatic stress disorder they had experienced following the attacks. Nine
(PTSd) (Norwood, Ursano, & Fullerton, 2002). symptoms were reported by 20 percent or more
The most researched such event in the United of the national sample; the five most common
States was the terrorist attacks on September 11, were crying (60.3 percent), trouble sleeping (51.2
9780813349503.indb 526 5/16/14 1:50 PM

percent), feeling nervous or tense (49.9 percent), sasters such as earthquakes (Seplaki, Goldman,
feeling dazed and numb (45.7 percent), and Weinstein, & Lin, 2003) and hurricanes, finds that
feeling more tired than usual (37.5 percent). In persons of low SES in that society (whether the
the sample of New York City residents, 12 symp- country is rich or poor), people who are socially
toms were reported by 20 percent or more; the isolated, and people who are directly affected
five most common were crying (74.1 percent), by the disaster report higher levels of depres-
feeling nervous or tense (62.5 percent), trouble sive symptoms. Several hypotheses have been
sleeping (59.4 percent), feeling more tired than offered to account for the increased vulnerabil-
usual (47.6 percent), and not feeling like eating ity of low-SES persons. First, such persons may
(46.4 percent). Not surprisingly, New York City be more likely to have suffered as a result of the
residents were somewhat more likely to report event due to poor housing or inadequate public
specific symptoms. Clearly, the impact of the at- services. Second, economic assets and education
tacks was substantial, measured by the numbers can enhance recovery because the individual has
who experienced symptoms of stress. access to resources. Third, persons who are of low
At the re-interview 4 to 6 months later, reports SES may also be socially isolated, lacking the so-
of symptoms experienced in the past 2 weeks cial support that family and friends can provide.
were generally lower than in the initial survey. In According to one observer, “disasters most often
the national sample, the numbers reporting cry- exacerbate social inequality” (de Waal, 2006).
ing declined 40 percent, those reporting trouble In response to the rise in reports of symptoms
sleeping declined 20 percent, feeling tense and and of widespread PTSd after traumatic events,
nervous 22 percent, and feeling dazed and numb debriefing has become standard clinical prac-
33 percent. Comparable declines were observed tice. debriefing involves group sessions in which
in the reports of New York City residents. These those affected by a fateful event are encouraged
longitudinal results indicate a trend toward re- to process their emotional reactions. Following
covery—that is, reduced incidence of stress. de- many recent traumatic events, such as 9/11 and
clines were greatest among those who reported the Northern Illinois University shooting (Febru-
that they knew someone who had been hurt or ary, 2008), large numbers of persons have par-
killed in the attacks. African Americans, on the ticipated in debriefings. do they help persons
average, reported fewer symptoms in Septem- cope with traumatic events? An expert panel
ber, but showed little decline in the follow-up assembled by the National Institute of Mental
interviews. Slower recovery was also observed in Health (2002), having reviewed the empirical evi-
persons with less than a high school education dence, concludes that early interventions such as
and with family incomes less than $40,000 per debriefing do not reduce the risk of later or con-
year. The follow-up interview included a stan- tinuing disorder. Research, such as the surveys
dard measure of PTSd. Among the New York City following the 9/11 attacks, shows that most peo-
residents, 15 percent scored in the range indica- ple are resilient; relying on their own resources,
tive of the disorder. In the national sample, the social support networks, and community ser-
percentage scoring in this range was 8 percent. vices, they will recover (van Emmerik, Kamphuis,
The highest PTSd scores were observed among Hulsbosch, & Emmelkamp, 2002). Psychological
those with poor general health, less education, services should be available for those whose per-
and less income. sonal resources are not sufficient or who do not
These results suggest that those of vulner- recover on their own.
able social status have more or longer-lasting
adverse reactions to fateful events. Research on
a broad variety of disasters, including natural di-
9780813349503.indb 527 5/16/14 1:50 PM

& Howell-White, 1996). Another study ners for either 28 or 42 consecutive days.
with data from a national sample compared Each person reported on stressors at work
persons who were stably married with those (too much to do, arguments with cowork-
who experienced separation or divorce. ers) and at home (too much to do, argu-
Persons who experienced a loss reported ments with spouse, arguments with child).
increased symptoms on the CES-D (see Box For both husbands and wives, increased
15.2); the effect was greater on persons who stress at work was associated with increased
believed marriage should be a lifelong com- stress at home (Bolger et al., 1989).
mitment (Simon & Marcussen, 1999). Stress associated with marital roles can
The greater well-being of married per- influence work role performance. The re-
sons reflects the beneficial effects of so- search by Bolger and colleagues (1989) also
cial support. A spouse can provide social found that for husbands, increased stress at
support—care, advice, and aid in times of home was associated with increased stress
stress—and emotional support. Do hus- at work. Forthofer, Markman, Cox, Stan-
bands and wives share equally in receiving ley, and Kessler (1996) analyzed data from a
these benefits? Apparently not. Married study of 8,098 persons aged 15 to 54; they fo-
men are characterized by better mental cused on 1,431 employed married men and
health than married women (Kurdek, 1991). 1,138 employed married women. The results
A study of a representative sample of indicated that problems within the marriage
more than 13,000 adults assessed the rela- were related to the number of days the per-
tionship between roles and mental health in son was “unable to function” in the preced-
four ethnic groups (Jackson, 1997). Occu- ing month among both men and women.
pying the spousal role was associated with If marital strains can lead to reduced
greater well-being among Blacks, Mexican performance at work, can positive experi-
Americans, Puerto Ricans, and non-His- ences at home enhance work experience?
panic Whites. Occupying other family roles, Two studies suggest that the answer is
especially sibling, was related to better men- yes. Barnett (1994) studied 300 full-time
tal health in all groups except Puerto Ricans. employed women in dual-earner couples.
Some researchers focus on the interrela- Positive experiences in the roles of partner
tions of work and family roles. Of particular or parent buffered the effects of negative
interest is work-family conflict—the extent job experiences on distress. A longitudinal
to which the demands associated with one study found that increases/decreases in
role are incompatible with the other. One marital satisfaction are related to increases/
common circumstance is spillover, in decreases in work satisfaction among em-
which the stress experienced at work or in ployed men and women, but not the reverse
the family is carried into the other domain (Rogers & May, 2003).
(Bolger, DeLongis, Kessler, & Wething- Work/family conflict can affect the qual-
ton, 1989). A study of air traffic controllers ity of the marital relationship by influencing
and their wives documented the impact of the couple’s interaction. Research demon-
work stress on marital interaction (Repetti, strated that and the resulting distress effects
1989). As the controllers’ daily workload on two dimensions of marital interaction:
increased (larger number of planes han- hostility and warmth. As distress increases,
dled, poorer visibility), wives reported that both the person and the spouse report
the men were more withdrawn at home. A greater hostility and less warmth (Mat-
longitudinal study of 166 married couples thews, Conger, & Wickrama, 1996). Work/
obtained completed diaries from both part- family conflict also is related to alcohol con-
9780813349503.indb 528 5/16/14 1:50 PM

sumption. A study of employed adults aged chological well-being are complex (Ross et
35 to 65 found that higher levels of marital al., 1990). The demands of work roles may
disagreement (regarding spending money lead to distress; this is especially likely when
or household tasks) and stress at work (too work demands are high and not under the
much to do, conflicting demands) were each person’s control. Economic hardship and
related to reports of problem drinking. Pos- unemployment cause distress. Men typi-
itive spillover from family (talking at home, cally have somewhat better mental health
expressions of love) to work was associ- than women, in part because men react
ated with less frequent reports of problem to stress by drug and alcohol use, whereas
drinking; interestingly, both positive and women respond psychologically. Married
negative spillover from work to family were men report greater well-being than married
associated with greater problem drinking women, apparently because wives are more
(Grzywacz & Marks, 2000). likely to experience family-related strains
Another type of spillover involves the (Mennino, Rubin, & Brayfield, 2005).
worker using behavior patterns acquired or Stresses experienced at work can spill over
reinforced at work in interactions with fam- and affect marital relationships; conversely,
ily members. This possibility was explored strain at home can produce losses at work.
in a study that linked occupational condi- In any case, the social roles one occupies are
tions to the use of violence by a man against major influences on mental health.
his female partner. The results showed that
men in violent (for example, law enforce- Social Networks. Up to this point, we have
ment) and dangerous (for example, con- reviewed evidence showing that our rela-
struction) occupations were more likely to tionships with others—that is, our mem-
engage in violence directed at the partner bership in social networks—can be major
(Melzer, 2002). This may reflect a spillover sources of stress. At the same time, social
of the stress associated with these occupa- networks can serve as an important re-
tions, or the violence-supportive attitudes source in coping with stress (Wellman &
learned on the job. Worley, 1990).
How do people cope with work/family Two examples of social networks are de-
conflict? They use one or more of several picted in Figure 15.4. Both networks center
strategies. In one study, wives reported the on a single individual, Aurora.. The net-
use of planning and cognitive restructur- work on the left depicts the pattern of re-
ing—changing their definition of the sit- lationships among Aurora and her friends
uation—for example, deciding the house that has evolved out of their shared experi-
does not need to be cleaned every week. ence. For example, the ties between Aurora,
Husbands reported restructuring and with- Ian, and Casey developed because they took
drawing from interaction (Padden & Bue- graduate courses together. Bailey, Becca,
hler, 1995). In a study of 221 managers, both and Sean are friends she met in high school.
men and women reported the use of prior- Aurora described this network when asked
itizing, reducing their personal standards to name the people to whom she is closest,
(restructuring), asking others for help, and excluding relatives. When asked to include
ending involvement in one or more roles relatives, Aurora described the network on
(for example, in community organizations) the right of Figure 15.4. The most striking
(Kirchmeyer, 1993). difference is the greater number of direct
Thus, the relationships among occupa- ties among the persons in the network on
tional, gender, and marital roles and psy- the right. This network is dense—most of
9780813349503.indb 529 5/16/14 1:50 PM

Sara Sara Ian

Ian
Bailey Bailey
Aurora Aurora Casey
Becca Becca
Casey Susan-Sister
Sean
Sean
Alice-Mom
Dan-Dad
FIgure 15.4 social networks

These two networks are focused on Aurora. When asked to name her best friends, excluding relatives, she described
the network on the left. Bailey, Becca, and Sean are her best friends from “home,” where she grew up. She met two
of them through work. Ian and Casey are her best friends where she lives now; she met them both through her
graduate work. Aurora and her friends from home all know each other, but her home friends are not connected to
her school friends. The network on the right includes Aurora’s relatives, including Alice (her mom), dan (her dad), and
Susan (her sister). This network is a dense one, because each person has close ties to several of the others.
the persons in it know each other inde- shows that people who report poor well-
pendently of their ties to Aurora (Milardo, being tend to seek out others who can pro-
1988). vide the type of support they need (Harlow
First, a network of close friends and kin & Cantor, 1995).
eases the impact of stressful events by pro- The presence or absence of support is a
viding various types of support (Cooke, major determinant of the impact of a stress-
Rossmann, McCubbin, & Patterson, 1988; ful life event. A study of 882 women seek-
House, 1981). One type is emotional sup- ing an abortion obtained longitudinal data
port—letting us know that they care for and from 615 of them. Before the abortion, each
are concerned about us. Emotional support woman rated the degree to which she re-
is an important buffer for negative psycho- ceived positive (expressed concern, offered
logical states like depression (Harlow & help) and negative (argued, criticized) sup-
Cantor, 1995). A second type is esteem support from her partner, mother, and friends.
port—providing us with positive feedback Perceptions of positive support from each
about our abilities and worth as a person. source were associated with greater well-
A poor grade, for example, is less stressful being following the abortion (Major, Zubek,
if our friends let us know they think we are Cooper, Cozarelli, & Richards, 1997).
good students. Informational support from Research has documented the impact of
others prepares us to avoid problems or to supportive relationships on the individu-
handle them when they arise. Advice from al’s ability to cope with stress. A longitudi-
friends on how to handle job interviews, nal study of a representative sample of 900
for example, improves our ability to cope adults focused on the relationship between
with this situation. Finally, network mem- social network membership and physical
bers provide each other with instrumental health (Seeman, Seeman, & Sayles, 1985).
support—money, labor, and time. Research Persons who reported in the initial inter-
9780813349503.indb 530 5/16/14 1:50 PM

view that they had instrumental support siblings, and adult children), secondary kin,
available (that is, persons who, when ill, had and friends and neighbors. The kind of sup-
others who would call, express concern, and port provided depends on the type of rela-
offer help) were in better physical health 1 tionship. Persons to whom we have strong
year later. Another longitudinal study as- ties provide emotional support and com-
sessed the impact of family support on panionship. Primary kin provide us with
mental health (Aldwin & Revenson, 1987). financial aid and services, whereas friends
The sample consisted of 245 men and 248 and neighbors give us services and emo-
women from randomly selected families in tional support (Wellman & Worley, 1990).
an urban area. The availability of support Research indicates that, among Blacks, kin
from one’s family at the time of the initial primarily provide services such as trans-
survey was associated with better psycho- portation and child care, whereas among
logical adjustment one year later. Other re- Whites, kin are more likely to provide fi-
search indicates that individuals with family nancial support; however, the data suggest
support are more likely to cope with stress- that this difference may have more to do
ful events by using active strategies rather with social class than with race (Sarkisian &
than avoidance or withdrawal strategies Gerstel, 2004). Also, Black women are more
(Holahan & Moos, 1990). A longitudinal likely to engage in reciprocal exchanges of
study of the relation between coping strat- services, and White women to engage in
egies and mental health found that people reciprocal exchanges of emotional support.
who used active strategies at the time of the Research on provision of support among
initial survey reported fewer psychological low-income families suggests that these
symptoms on the second survey (Aldwin & exchanges of services provide an import-
Revenson, 1987). Finally, using active be- ant resource for coping with daily demands
havioral coping strategies is associated with (Henley, Danziger, & Offer, 2005).
shorter duration of several types of stressful There is evidence that neighborhood
events (Harnish, Aseltine, & Gore, 2000). disadvantage is associated with poorer
A second way in which social networks mental health among residents. These
reduce stress is by teaching us strategies for neighborhoods are characterized by poor
coping with stressful events or crises when
they occur. When members of a group are
all subjected to similar stressors, the group
may develop coping strategies. A study of
interns and residents in a hospital found
that they were subjected to long hours of
demanding work in often poor facilities
(Mizrahi, 1984). These physicians coped
with stress by minimizing the time spent
with each patient, by limiting interaction
with patients to “relevant topics,” and by
treating patients as nonpersons—for exam-
ple, by focusing exclusively on their illness.
Family members help us to cope with stressful
These strategies were passed on from expe-
events, such as the death of a relative or a close
rienced group members to new ones. friend. They are an important source of emotional
Several types of relationships can provide support and may help by temporarily taking over
support, including primary kin (parents, some of our role obligations. © Rubberball/iStock
9780813349503.indb 531 5/16/14 1:50 PM

access to health services, transportation, the most important component. Occupa-

quality housing, jobs, and desirable part- tional attainment is the least important de-
ners. There may also be significant rates of terminant of stress for both genders.
crime and violence. These conditions may How does education affect stress? Re-
create chronic stress in residents, leading search shows that people who are well-
to depressive symptoms and fearful anxiety educated have lower levels of distress, pri-
(Hill, Ross, & Angel, 2005). These, in turn, marily because of paid work and financial
create distress, which negatively affects resources (Ross & van Willigen, 1997). The
health. Supportive social networks, close evidence suggests that the relationship be-
relationships with nearby kin and neigh- tween social class and health also reflects
bors, mediate the relationship between lifestyle differences; persons higher in so-
neighborhoods and symptoms by providing cioeconomic status are more likely to have
emotional support and services, reducing a healthy diet, exercise regularly, and get
depressive symptoms (Haines, Beggs, & adequate sleep, and less likely to smoke
Hurlbert, 2011). (Mulatu & Schooler, 2002).
Recognizing the significance of support- In the United States, a large percentage
ive relationships, an innovative approach— of the lower class are Black. As a result, one
social network mapping—is being used to might expect Blacks to have poorer mental
assess the support available to organ trans- health than Whites. However, the results of
plant recipients (Lewis, Winsett, Cetingok, research comparing the psychological func-
Martin, & Hathaway, 2000). The map both tioning of Blacks and Whites are inconsis-
increases the person’s awareness of the re- tent; whereas some studies find higher aver-
sources available and enables health profes- age symptom scores among Blacks, others
sionals and social workers to work with the do not (Vega & Rumbaut, 1991).
person more effectively. Further analyses have sought to iden-
tify the causes of the negative relation-
ship between social status and stress. Are
Social Class. The lower a person’s socio- lower-class persons exposed to greater
economic status, the greater the amount of stress, or are they simply less able to cope
stress reported (Mirowsky & Ross, 1986). effectively with stressful events? The an-
According to data from interviews with swer is, both (Kessler & Cleary, 1980). On
a representative sample of U.S. adults, the one hand, lower-class persons are more
8.3 percent of the poor, 5.3 percent of the likely to experience economic hardship—
near-poor, and 2 percent of the nonpoor not having enough money to provide ad-
are characterized by serious psychological equate food, clothing, and medical care
distress (National Center for Health Sta- (Pearlin & Radabaugh, 1976). They also ex-
tistics, 2004). Education, occupation, and perience higher rates of a variety of physical
income are the principal measures of socio- illnesses (Syme & Berkman, 1976).
economic status. An analysis of data from Both economic hardship and illness in-
surveys of eight quite diverse samples (Kes- crease the stress that an individual experi-
sler, 1982) shows that each contributes sep- ences. Furthermore, persons who are low
arately to stress. The relative importance of in income, education, and occupational at-
these three components as sources of stress tainment lack the resources that would en-
is different for men and women. For men, able them to cope with these stresses effec-
income appears most important; for women tively. Low income reduces their ability to
(employed or not), education appears to be cope with illness. Moreover, low-status per-
9780813349503.indb 532 5/16/14 1:50 PM

sons are less likely to have a sense of control sociated with increased depression, and the
over their environment, and they have less shift to unemployment is related to even
access to political power or influence. For higher depression scores (Dooley, Prause, &
this reason, they are less likely to attempt to Ham-Rowbottom, 2000). Unemployment is
change stressful conditions or events. especially stressful, and rates of unemploy-
Resilience to economic adversity—that ment are highest among the least educated
is, no increase in distress scores in response (U.S. Bureau of the Labor Statistics, 2012).
to hardship—is provided by several re- Finally, the members of the social networks
sources. A longitudinal study of 558 rural of the least educated have fewer economic
youths and their families began when the and emotional resources.
youths were in seventh grade. Resilience
among the parents was associated with
marital support, effective problem-solving alIenatIon
skills, and a sense of mastery. Resilience
among the youths was promoted by nur- Jim dragged himself out of bed and headed
turance (support) by parents and support for the shower. As the water poured over
by older siblings (providing warmth, not him, he thought, “Thursday . . . another 10-
drinking alcohol) and friends (Conger & hour shift . . . if the line doesn’t shut down,
Conger, 2002). I’ll bolt 500 bumpers . . . sick of car frames
If stress increases as socioeconomic . . . I’d rather do almost anything else . . . if
status decreases, we would expect per- only I’d finished high school . . . damn the
sons lower in status to have poorer mental money! . . . Let ’em take the job and shove it
health. Research over the past 60 years has . . . but what else pays a guy who quit school
consistently confirmed this expectation; $24.36 an hour?”
there is a strong correlation between social Jim is experiencing alienation—the
class and serious mental disorders (Eaton, sense that one is uninvolved in the social
1980). This correlation has been found in world or lacks control over it, a sense of
studies conducted in numerous countries separation or disconnect from one’s social
(Dohrenwend & Dohrenwend, 1974). In surroundings (Nair & Vohra, 2012). Sev-
general, persons in the lowest socioeco- eral types of alienation have been identified
nomic class have the highest rates of mental (Seeman, 1975). Two will be discussed here:
illness (Hudson, 2005). self-estrangement and powerlessness. An
The differences by social class in rates of analysis of scales measuring alienation ver-
mental disorders are due in part to differ- ified that these two dimensions are central
ences in stress. Persons in low-status occu- ones (Lacourse, Villeneuve, & Claes, 2003).
pations are more likely to experience lack
of control over work. They may also ex- Self-Estrangement
perience economic uncertainty due to risk
of layoff or seasonal variations in employ- Jim’s hatred for his job reflects self-
ment opportunities. This stress is likely to estrangement—the awareness that he is
spill over into family interaction patterns, engaging in activities that are not rewarding
causing familial relations to become an in themselves. Work is an important part of
added source of stress rather than a buffer. one’s waking hours. When work is mean-
Research indicates that the shift from ade- ingless, the individual perceives the self
quate to inadequate employment, involun- as devoting time and energy to something
tary part-time work, or low-wage jobs is as- unrewarding—that is, something “alien.”
9780813349503.indb 533 5/16/14 1:50 PM

Whereas social background and individual workers in textile and automobile plants
characteristics have some influence, alien- with skilled printers and chemical indus-
ation from work is primarily determined by try technicians. As expected, assembly-line
the occupational and organizational condi- workers were more alienated than skilled
tions of work (Mortimer & Lorence, 1995). workers who had jobs that were more var-
What makes a job intrinsically reward- ied and involved the exercise of judgment
ing? Perhaps the most important feature and initiative.
is autonomy. Work that requires the indi- Work in bureaucratic organizations—like
vidual to use judgment, exercise initiative, large insurance companies or government
and surmount obstacles contributes to self- agencies—may also produce self-estrange-
respect and a sense of mastery. A second ment. In many bureaucratic organizations,
feature is variety in the tasks that the per- workers have little or no control over the
son performs. Jim has no autonomy; his job work process and do not participate in or-
does not allow him to exercise judgment or ganizational decision making. Thus, work-
initiative. It also has no variety; it is monot- ers at the lowest levels of such organizations
onous and boring. should experience self-estrangement or
Four features of industrial technology dissatisfaction with their work. Conversely,
produce self-estrangement. First, self-es- workers who are involved in decision mak-
trangement will be higher if the worker has ing should be less alienated. A survey of
no connection with the finished product it- 8,000 employees in 100 companies located
self. Second, it will be higher if the worker in the United States or Japan found that
has no control over company policies. workers involved in participatory deci-
Third, it will be higher if the worker has sion-making structures had higher commit-
little influence over the conditions of em- ment to their work (Lincoln & Kalleberg,
ployment—over which days, which hours, 1985). Such workers were willing to work
or how long he or she works. Finally, it will harder and were proud to be employed by
be higher if the worker has no control over and wanted to remain with the company.
the work process—for example, the speed More generally, the extent to which
with which he or she must perform tasks workers are alienated depends on the sys-
(Blauner, 1964). Notice that alienation, like tem of production in which they work.
stress, is caused by lack of control over the Hodson (1996) identifies five systems: craft,
conditions of work. Research indicates that where each worker produces a product;
persons from high SES backgrounds are direct supervision; assembly line; bureau-
more likely to experience alienation un- cratic; and participatory. A review of stud-
der these conditions (Nair & Vohra, 2012), ies of all five types of workplaces reveals a
probably because such environments are U-shaped relationship between workers’
inconsistent with their values and skills (see attitudes and the system of production
earlier discussion of Occupational Roles). (see Figure 15.5). Both craft and participa-
These features are especially character- tory systems are associated with high job
istic of assembly-line work, in which each satisfaction and pride in one’s work; direct
person performs the same highly special- supervision is the most alienating system.
ized task many times per day. Thus, work- Results such as these have led many large
ers on assembly lines should be more likely firms, such as General Motors, to introduce
to experience self-estrangement than other participatory systems.
workers. A study testing this hypothesis As noted earlier, individual characteris-
(Blauner, 1964) compared assembly-line tics do influence reactions to work (Mor-
9780813349503.indb 534 5/16/14 1:50 PM

.600 According to the theory developed more

.500
Job Satisfaction
than a century ago by Karl Marx (Botto-
.400 Pride more, 1964), whether a person will experi-
.300
ence self-estrangement is determined by his
COEFFICIENT
.200
.100
or her relation to the means of production.
0 The most alienated employees are hypoth-
–.100 esized to be those who have no autonomy,
–.200 who do not have the freedom to solve non-
–.300 routine problems, and who have no subor-
–.400
Craft Direct Assembly Bureaucratic Worker
dinates. Marx referred to such workers as
Supervision Line Participation the proletariat. In contemporary society,
WORKPLACE ORGANIZATION assembly-line workers, sales-clerks, file
clerks, and laborers are all in occupations
FIgure 15.5 systems of Production and that have these characteristics. A survey
Alienation from Work of 1,499 working adults found that 46 per-
cent were in jobs of this type (Wright et al.,
The way in which work is organized, or the system of
production, is a major influence on people’s attitudes
1982). Several studies have found that men
toward their work. Historically, five different systems of whose jobs are characterized by lack of au-
production have been used: craft, where each worker tonomy and complexity typically have high
has considerable autonomy; direct supervision, where scores on measures of self-estrangement
another person monitors one’s work; assembly line, (Kohn, 1976) and low scores on measures
where the work activity is determined by the organi- of job involvement (Lorence & Mortimer,
zation and speed of the line; bureaucratic, where many 1985).
aspects of work are governed by impersonal rules; and
There is some evidence that the charac-
participatory organization, where teams of managers
and workers make decisions.
teristics of the work environment influence
A review of the research literature suggests that psychological well-being. One researcher
the pride workers have in their work and their job sat- assessed the common environment of of-
isfaction vary depending on the system in which they fice workers by averaging the ratings of all
work. The graph displays these variations, indicating of those employed in each of 37 branch of-
that although participative systems are less alienating fices; each worker’s own ratings were used
than the assembly lines and bureaucratic forms they as a measure of his or her immediate en-
replaced, they are not as satisfying as the craft system
vironment (Repetti, 1987). Workers who
of production.
rated their branches more positively (on
Source: Hodson, “dignity in the Workplace under Participa-
interpersonal climate and support and re-
tive Management,” American Sociological Review, 61(5), 730
(1996). Used with permission of the American Sociological
spect from coworkers) reported lower lev-
Association. els of anxiety and depression. Aggregate
ratings by the workers of the environment
timer & Lorence, 1995). Surveys indicate in the branch were also related to anxiety
that job satisfaction and involvement are and depression scores.
most stable among workers aged 30 to 45.
Women are as committed to work as men, Powerlessness
though they place greater emphasis on the
quality of interpersonal relations in the Consider the facts that vandalism is wide-
workplace. Among those holding compara- spread in certain sections of large cities,
ble jobs, Blacks are as committed as Whites that many adults do not vote in presidential
to their jobs and employers. elections, and that some people on welfare
9780813349503.indb 535 5/16/14 1:50 PM

The graffiti gracing walls and buildings in American cities are responses to alienation. Spray-painted
messages, sometimes including the painter’s initials, reflect the lack of control over their lives that many
youth feel. © stevegeer/iStock
make no effort to find a job. These facts all Research with a sample of high school stu-
have something in common. They reflect, dents identified powerlessness as a signifi-
at least in part, people’s sense of powerless- cant factor in alienation in adolescence (La-
ness—the sense of having little or no con- course et al., 2003). Interestingly, a sense of
trol over events. powerlessness is not associated with social
Powerlessness is a generalized orienta- class—that is, income, occupation, or edu-
tion toward the social world. People who cation.
feel powerless believe they have no influ- Statements that measure powerlessness,
ence on political affairs and world events; such as “People like me have no say” and
this is different from feeling a lack of con- “Politicians don’t care what I think,” were
trol over events in day-to-day life. A typical included in several surveys between 1952
measure of powerlessness includes items and 1980. Analysis of patterns of agreement
like “This world is run by a few people in with these items shows that powerlessness
power and there is not much the little guy or political alienation declined from 1952 to
can do about it.” Agreement with such 1960, rose steadily from 1960 to 1976, and
statements indicates powerlessness. Most then declined (Rahn & Mason, 1987). The
people’s scores on measures of powerless- increase in the 1960s and 1970s was asso-
ness are quite stable over a period of many ciated with increased concern about such
years (Neal & Groat, 1974). There is some political and social issues as civil rights for
evidence that a sense of powerlessness de- Blacks, the war in Vietnam, and the Water-
velops during childhood (Seeman, 1975). gate political scandal. Thus, fluctuations in
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powerlessness reflect, at least in part, events Individual Values. Two aspects of the indi-
in the larger society. vidual’s position in society influence his or
Although the sense of powerlessness is her values (1) Particular values are reliably
found in all classes, upper and lower classes associated with certain occupational role
may have different means of expressing it. characteristics. Men and women whose
Middle-class and upper-class persons may jobs are closely supervised, routine, and not
be more likely to stay home on election day complex value conformity, whereas those
or to feel apathetic about political affairs or whose jobs are less closely supervised, less
organizations that influence public policy. routine, and more complex value self-direc-
Lower-class persons may be more likely to tion. (2) Higher education is associated with
have a hostile attitude toward city officials placing greater value on self-direction and
and to vandalize city buses, subway trains, with greater intellectual flexibility.
and businesses in their neighborhoods.
Thus, how an individual expresses frustra- Social Influences on Health. Physical
tion over his or her lack of influence on the health is influenced by occupation, gender,
world may depend on his or her social po- marital roles, and social class. (1) Occu-
sition. pational roles determine the health haz-
ards to which individuals are exposed and
whether they experience role overload. (2)
SuMMary The traditional role expectations for men
and women make men more vulnerable
This chapter considers the impact of social than women to illnesses such as coronary
structure on four areas of a person’s life: heart disease. (3) Marriage protects both
achievement, values, physical and mental men and women from illness and prema-
health, and sense of belonging in society. ture death. (4) Members of lower-status
Social structure influences the individual groups and Blacks experience higher rates
through the expectations associated with of illness, disability, and death.
one’s roles, the social networks to which Mental health is also influenced by so-
one belongs, and the status associated with cial factors. (1) Economic hardship, uncer-
one’s positions. tainty, and unemployment are associated
with poor mental health. (2) Women have
Status Attainment. An individual’s status somewhat poorer mental health than men.
determines his or her access to resources— (3) Marriage is associated with reduced
money, lifestyle, and influence over others. stress for both men and women. Working
Three generalizations can be made about adults may experience spillover of stress
status in the United States. (1) An indi- from work into family relationships. (4) So-
vidual’s status is closely tied to his or her cial networks are an important resource in
occupation. (2) Occupational attainment coping with stress; they provide the person
is influenced directly by the individual’s with emotional, esteem, and informational
educational level and ability and indirectly support, as well as instrumental aid. (5)
by socioeconomic background. Among Lower-class persons report greater stress
women, occupational status and earnings and experience a higher incidence of men-
are limited by gender segregation. (3) Infor- tal illness.
mation about job opportunities is often ob-
tained via social networks, especially those Alienation. Two types of alienation are
characterized by weak ties. self-estrangement and powerlessness. (1)
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Self-estrangement is associated with work eral sources of stress in contemporary life.

roles that do not allow workers a sense of Your stress may reflect economic hardship,
autonomy, such as assembly-line jobs. (2) being overworked at school or work (which
Powerlessness is a generalized sense that can spill over at home), problems in an in-
one has little or no control over the world. timate relationship (marital strain), or lack
of a supportive social network. Obviously,
to cope with stress effectively requires iden-
List of Key Terms and Concepts tifying the source(s) of it. Often, we look
around and focus on the most obvious or
alienation (p. 533) most recent person or event. If you have a
fateful events (p. 536) partner, that person is perhaps the most ob-
position (p. 502) vious, especially if you have been fighting.
powerlessness (p. 536) But your fights may be a result of economic
primary relationship (p. 502) hardship, your overload at work, or stresses
role (p. 502) at school, not problems with the relation-
role overload (p. 519) ship. In fact, breaking up with your partner
self-estrangement (p. 533) will probably add to your stress rather than
social class (p. 504) reduce it.
social networks (p. 502) A better strategy is to think like a sci-
social structure (p. 502) entist. Accumulate some observations. In
spillover (p. 528) what situation(s) do you feel more stress—
status (p. 502) at work, at home? When do you feel most
upward mobility (p. 504) stressed—during the week, on the week-
values (p. 513) end, when you pay the bills? Does the stress
fluctuate from week to week? If so, is that
associated with the deadlines at work, or
Critical Thinking Skill: arguments with a superior, or your partner,
Thinking as Hypothesis Testing or visits with family? If you observe system-
atically, you will hopefully identify some
In everyday life, we function like intuitive patterns that suggest a hypothesis. Suppose
scientists. Events occur and we want to ex- you observe that the stress is greatest when
plain and perhaps control them. To do that, you pay bills, when there is an unexpected
we use the same skills as a scientist testing expense, when your partner asks for extra
a hypothesis: (1) we accumulate observa- money. That suggests economic hardship,
tions; (2) we formulate hypotheses or expla- not your partner, as the source. Collect
nations; (3) we use the information to see some data over the next several weeks. Note
if it confirms or disconfirms the hypothesis. each time you feel stress and the events that
A common experience for many peo- occurred recently. This process will take
ple today is stress—feeling tense, anxious, some time. You might want to keep some
overworked. Stress may result in depressed notes.
mood, feeling overwhelmed and unhappy If your observations verify the hypoth-
with life. When we experience stress, we esis, you can turn to the question of how
usually want to reduce it or escape from it. to cope with the problem. If you think it is
To do that successfully, we need to deter- economic hardship, there are two general
mine the source of the stress. The research strategies you can use: increase your in-
summarized in this chapter identifies sev- come, or decrease your expenses. There are
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several ways to implement each strategy. Maybe you can rent videos from your cable
You could increase income by taking a sec- company instead of going to the theater. If
ond or third job. Note, however, that this you are in a relationship, you will want to
will add to your stress unless you cut back communicate with your partner about your
on school, work, or time spent with your observations and choices of strategy. If you
partner or friends or family. You could bor- adopt a strategy and the hypothesis is cor-
row money, or take out a loan. Or you could rect, your stress should gradually decline.
reduce your expenses. Sometimes it is rel- If the stress doesn’t decline, like a scientist,
atively easy. Three Starbucks per day cost you need to start over again and develop a
$15; three coffees from McDonald’s cost $3. new hypothesis.
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9780813349503.indb 540 5/16/14 1:50 PM
chaPter 16
DeViAnT BehAVioR AnD

sociAl ReAcTion
introduction 542 Labeling and Secondary deviances 561
the Violation of norms 542 Societal reaction 562
norms 543 Secondary Deviance 564
anomie theory 543 Formal Social Controlss 565

control theory 547 formal labeling and the creation of
Differential association Deviance 566
theory 550 long-term effects of formal
routine activities Perspective 552 labeling 573
Reactions to norm Violationss 555 Summarys 575

reactions to rule Breaking 556 List of Key Terms and Concepts 576
Determinants of the reaction 557 Critical Thinking Skill: Applying Stigmatizing
consequences of labeling 560 Labels Critically 577
541
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542 dEvIanT bEhavIor and soCIal rEaCTIon
IntroductIon Deviant behaviors such as alcoholism, drug

addiction, and crime are perceived as seri-
Megan and Hanna wandered through the ous threats to society. Once we understand
boutique, stopping briefly to look at blouses its causes, we may be able to develop better
and then going to the lingerie section. Each programs that reduce or eliminate deviance
looked at several bra and panty sets. Hanna or that help people change their deviant
kept returning to a burgundy set priced at behavior.
$69.50. Finally, she picked it up, glanced This chapter addresses four fundamental
quickly around her, and dropped it into her questions:
shoulder bag.
The only other shopper in the vicinity, 1. What are the causes of deviant
a well-dressed man in his 40s, saw Hanna behavior?
take the clothing. He looked around the
store, spotted a clerk, and walked toward 2. How important for deviant behavior
her. Megan stammered to Hanna, “I, uh, I is the reaction of observers? That
don’t think we should do this.” is, does someone have to react to
“Oh, it’s okay. Nothing will happen,” behavior in particular ways for it to
Hanna replied, before walking quickly out be considered deviant?
of the store. Moments later, Megan fol-
lowed her. As Hanna entered the mall, the 3. Why do some people engage in
clerk stepped up to her, took her by the el- deviance repeatedly? Why do they
bow, and said, “Come with me, please.” adopt a lifestyle that involves regular
Shoplifting episodes like this one occur participation in deviant activities?
many times every day in the United States.
Shoplifting is one of several types of devi- 4. What determines how authorities
ant behavior—behavior that violates the and agents of social control deal
norms that apply in a given situation. In ad- with incidents of deviance? Is their
dition to crime, deviance includes cheating, reaction influenced by the deviant
substance use or abuse, fraud, corruption, person’s gender, social status, or
delinquent behavior, harassment, and be- other characteristics of the
havior considered symptomatic of mental situation?
illness.
There are two major reasons why social
psychologists study deviant behavior, one the vIolatIon of norMS
theoretical and one practical. First, social
norms and conformity are the basic means When we read or hear that someone is
by which the orderly social interaction nec- accused of murder, or embezzling money
essary to maintain society is achieved. By from her employer, or engaging in illegal
studying nonconformity, we learn about the accounting practices, we often ask, “Why?”
processes that produce social order. For ex- In Hanna’s case, we would ask, “Why did
ample, we might conclude that Hanna took she take that lingerie?” In this section, we
the lingerie because there were no store consider first the nature of norms and then
employees nearby, suggesting the impor- look at several theories about the causes of
tance of surveillance in maintaining order. deviant behavior. These include anomie
Second, social psychologists study deviant theory, control theory, differential associ-
behavior to better understand its causes. ation theory, and routine activities theory.
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dEvIanT bEhavIor and soCIal rEaCTIon 543
Norms family members, or coworkers. Violations

of these norms may affect most of one’s
Most people would regard Hanna’s behav- day-to-day interactions. Violations of soci-
ior in the department store as deviant be- etal norms may subject a person to action
cause it violated social norms. Specifically, by formal agencies of control, such as the
she violated laws that define taking mer- police or the courts. Earlier in this book, we
chandise from stores without paying for it discussed the violation of local norms (see
as a criminal act. Thus, deviance is a social Chap. 4) and group norms (see Chap. 13).
construction; whether a behavior is deviant In this chapter, we focus on the violation
or not depends on the norms or expecta- of societal norms and on reactions to norm
tions for behavior in the situation in which violations.
it occurs.
In any situation, our behavior is governed Anomie Theory
by norms derived from several sources
(Suttles, 1968). First, there are purely “lo- The anomie theory of deviance (Merton,
cal” and group norms. Thus, roommates 1957) suggests that deviance arises when
and families develop norms about what people striving to achieve culturally val-
personal topics can and cannot be dis- ued goals, such as wealth, find that they do
cussed at meals. Second, there are subcul- not have any legitimate way to attain these
tural norms that apply to large numbers of goals. These people then break the rules,
persons who share some characteristic. For often in an attempt to attain these goals il-
example, there are racial or ethnic group legitimately.
norms governing the behavior of Blacks or
persons of Polish descent that do not ap- Anomie. Every society provides its mem-
ply to other Americans. A subculture that bers with goals to aspire to. If the members
is particularly relevant to the discussion of a society value religion, they are likely to
of deviance is the subculture of violence, socialize their youths and adults to aspire to
which will be discussed later. Third, there salvation. If the members value power, they
are societal norms, such as those requir- will teach people to seek positions in which
ing certain types of dress or those limiting they can dominate others. U.S. culture
sexual activity to certain relationships and extols wealth as the appropriate goal for
situations. Thus, the norms that govern our most members of society, and the means to
daily behavior have a variety of origins, in- happiness. In every society, there are also
cluding family and friends; socioeconomic, norms that define acceptable ways of striv-
religious, or ethnic subcultures; and the so- ing for goals, called legitimate means. In
ciety in general. the United States, legitimate means for at-
The repercussions of deviant behavior taining wealth include education, working
depend on which type of norm an individ- hard at a job to earn money, starting a busi-
ual violates. Violations of local norms may ness, and making wise investments.
be of concern only to a certain group. Fail- A person socialized into U.S. society
ing to do the dishes when it is your turn will most likely desire material wealth and
may result in your roommate being angry, will strive to succeed in a desirable occupa-
although your friends may not care about tion—to become a sales rep, teacher, nurse,
that deviance. Subcultural norms are of- business executive, doctor, or the like. The
ten held in common by most of those with legitimate means of attaining these goals
whom we interact, whether they are friends, are to obtain a formal education and to
9780813349503.indb 543 5/16/14 1:50 PM

climb the ladder of occupational prestige

(see Chap. 15). The person who has ac-
cess to these means—who can afford to go
to college and has the accepted skin color,
ethnic background, and gender—can attain
these socially desirable goals.
What about those who do not have ac-
cess to the legitimate means? As Americans,
these people will desire material wealth like
everyone else, but they will be blocked in
their strivings. Because of the way society is
structured, certain members are denied ac-
Most Americans are socialized to strive for
cess to legitimate means. Government deci-
economic success. But some people do not
sions regarding budgeting, building schools, have access to legitimate employment, so they
or closing schools determine the availability seek wealth by alternative, sometimes illegal
of education to individuals. Similarly, cer- means, such as commercial sex work. © Karen
tain members of society are denied access Kasmauski/Corbis
to jobs. Not only individual characteristics,
such as lack of education, but also social shark is an innovative means of attaining
factors, such as the profitability of making wealth. Finally, one might attempt to over-
autos in Detroit, determine who is unem- throw the existing system and create differ-
ployed. ent goals and means through rebellion.
A person who strives to attain a legiti- Shoplifting is a form of innovation. Like
mate goal but is denied access to legitimate other types of economic crime, it represents
means will experience anomie—a state a rejection of the normatively prescribed
that reduces commitment to norms or the means (paying for what you want) while
pursuit of goals. There are four ways a per- continuing to strive for the goal (possessing
son may respond to anomie; each is a dis- merchandise). According to anomie theory,
tinct type of deviance. First, an individual Hanna, the shoplifter, has been socialized
may reject the goals, and give up trying to to desire wealth but does not have access to
achieve success, but continue to conform a well-paying job due to her poor education.
to social norms. This adaptation is termed As a result, she steals what she wants be-
ritualism. The poorly paid stock clerk who cause she does not have the money to pay
never misses a day of work in 45 years is a for it.
ritualist. He is deviant because he has given Another influence on an individual’s ad-
up the struggle for success. Second, the in- aptation is access to deviant roles. Using a
dividual might reject both the goals and the means of goal achievement—whether le-
means, withdrawing from active participa- gitimate or illegitimate—requires access to
tion in society by retreatism. This may take two structures (Cloward, 1959). The first is
the form of drinking, drug use, withdrawal a learning structure—an environment in
into mental illness, or other kinds of escape. which an individual can learn the informa-
Third, one might remain committed to tion and skills required. A shoplifter needs
the goals but turn to disapproved or illegal to learn how to conceal objects quickly, how
ways of achieving success. This adaptation to spot electronic anti-theft devices, and so
is termed innovation. Earning a living as forth. The second is an opportunity struc-
a burglar, commercial sex worker, or loan ture—an environment in which an individ-
9780813349503.indb 544 5/16/14 1:50 PM

ual has opportunities to play a role, which college were much more likely to report de-
usually requires the assistance of those in linquent behavior.
complementary roles. Anomie theory as- One measure of access to legitimate
sumes that anyone can be an innovator— means is the unemployment rate. Accord-
through shoplifting, prostitution, or profes- ing to the theory, as unemployment in-
sional theft. But not everyone has access to creases, rates of deviance also should in-
the special knowledge and skills needed to crease. One study analyzed the relationship
succeed as a commercial sex worker (Heyl, between unemployment rates and crime
1977) or a black-market banker (Weigand, rates in the United States for each year of
1994). Just as access to legitimate means to the 1948–1985 period (Devine, Sheley, &
achieve goals is limited, so is access to ille- Smith, 1988). There was a strong relation-
gitimate means. Only those who have both ship; as unemployment increases, so does
the learning and opportunity structures crime. The relationship is stronger for eco-
necessary to become a shoplifter, commer- nomic crime (burglary) than for violent
cial sex worker, or embezzler can use these crime (murder). An analysis of increases
alternative routes to success (Coleman, and decreases in the homicide rate from
1987). 1970 to 2000 in major U.S. cities found that
The opportunities for deviance available increases and decreases in relative depriva-
to a person depend on age, sex, kinship, tion (percentage of families living in pov-
ethnicity, and social class (Cloward, 1959). erty, median family income) was related
These characteristics, with the possible ex- to number of murders (McCall, Parker, &
ception of class, are beyond the individual’s MacDonald, 2008). Evidence of a direct
control. Thus, commercial sex work in our connection between unemployment and
society primarily involves young, physically economic crime comes from a longitudi-
attractive persons. People who do not have nal study in which ex-addicts, ex-offenders,
access to the learning or opportunity struc- and “dropout” youths reported their legal
tures necessary for deviance cannot suc- and illegal income for up to 3 years; as the
ceed either through legitimate or through unemployment rate in the city increased,
illegitimate means. Such failure often pro- youths reported greater income from illegal
duces retreatism. Drug addicts, alcoholics, activities (Uggen & Thompson, 2003).
and mentally ill persons may be losers in Two studies suggest that it is relative
both the conventional and criminal worlds. rather than absolute socioeconomic stand-
ing that determines whether one experi-
Anomie and Social Class. Anomie the- ences anomie. A study of arrest rates for
ory emphasizes access to education and burglary and robbery from 1957 to 1990
employment. Those who have access to found that as income inequality among
both should not engage in deviant behav- Blacks increased, so did Black arrest rates
ior. Those who do not have access to one (LaFree & Drass, 1996). Similarly, an anal-
or both should experience anomie and are ysis of the number of Latinos murdered in
likely to engage in deviance. A survey of 1980 found that the degree of income in-
1,614 youths aged 15 to 18 measured com- equality among Latinos was an important
mitment to success goals (“making a lot of factor (Martinez, 1996). Thus, it is one’s
money”) and perceived access to college economic standing relative to similar oth-
education (Farnworth & Leiber, 1989). Re- ers, in this case in one’s ethnic group, that
spondents who said they wanted to make a matters, not one’s standing in the society as
lot of money but did not expect to complete a whole.
9780813349503.indb 545 5/16/14 1:50 PM

The relationship between socioeconomic activities that violate norms of trust, usually
disadvantage and crime is not limited to mi- for personal gain (Shapiro, 1990). To em-
nority groups. A study of 124 central cities bezzle or misappropriate funds or engage in
with substantial Black populations found insider trading of stocks, one needs access
that, in cities where the economic circum- to a position of trust. Such positions usually
stances (such as rates of home ownership) are filled by middle-class and upper-class
of Blacks and Whites were similar, mur- persons. These crimes are facilitated by
der rates were similar as well (Boardman, the social organization of trust; the acts of
Finch, Ellison, Williams, & Jackson, 2001). trustees are invisible, hidden in a network
Another study used a composite score of of often electronic connections between or-
disadvantages, including the percentage of ganizations. Widespread crimes of this type
households below poverty and male unem- in the investment and banking industries
ployment rates. Neighborhood disadvan- caused the economic crisis of 2008–2010.
tage was associated with increased exposure Thus, although specific crimes may vary by
to social stressors (illness, criminal victim- class, illegitimate economic activity may be
ization) and psychological distress (feeling common to all classes.
sad, anxious, hopeless); all three were asso-
ciated with drug use, especially among those General Strain Theory. One limitation of
with the lowest incomes. These results are anomie theory is that it does not specify the
consistent with anomie theory. mechanism by which the lack of access to
Anomie theory directs our attention legitimate means produces delinquent or
to the importance of social class. Because criminal behavior. One attempt to do so
lower-class members are more frequently is Agnew’s general strain theory (Agnew,
excluded from quality education and jobs, 1992; Agnew & White, 1992). Agnew pro-
the theory predicts that they will commit poses that emotion connects the experience
more crimes. Data collected by police de- of strain with deviant behavior; strain elicits
partments and the FBI generally confirm negative affective states—frustration, anger,
this prediction, showing that a dispropor- or fear—that create the motivation to act.
tionate number of those arrested for crimes These actions may be deviant or criminal.
are poor, minority men. This has led some Such actions include crimes that provide
to conclude that crime and social class are access to the goal (robbery, burglary, selling
inversely related—that the highest crime drugs), aggression against people perceived
rates are found in the lower social strata as responsible for the strain (abuse, assault),
(Cloward, 1959). or drug and alcohol use to escape the emo-
However, there is a class bias built into tions. The role of emotion can explain in-
the official statistics on crime. Not all ille- cidents such as an angry former employee
gitimate economic activities are included in returning to the workplace and killing su-
these statistics. Whereas data on burglary, pervisor(s) and former coworkers.
robbery, and larceny are compiled by police A longitudinal study of high school
departments, data on income tax evasion, youths provides data to test the theory.
price fixing, and insider trading are not. Po- Youths in the ninth, tenth, and eleventh
lice and FBI statistics are much more likely grades in three primarily White suburban
to include “street” crimes than the kinds of communities were interviewed three times
economic crimes committed by the wealthy, over a 2-year period. The research mea-
corporate executives, and stockbrokers. sured life stress and family conflict, anger
The latter are called white-collar crime— and anxiety, aggressive delinquency (dam-
9780813349503.indb 546 5/16/14 1:50 PM

aging property, carrying a weapon, fighting) strain, including frequency of unpleasant

and nonaggressive delinquency (stealing, experiences and how well one has achieved
joyriding, running away), and marijuana his or her goals, predicted likelihood of of-
use. The results indicated that life stress- fending. However, the relationship was not
ors and family conflict were related to de- mediated by negative emotions (feeling
linquency and marijuana use. As predicted upset, angry, depressed) (Tittle, Broidy, &
by the theory, family conflict was related to Gertz, 2008).
anger, and anger was related to engaging
in aggressive delinquency. However, anger Control Theory
was not related to nonaggressive delin-
quency or marijuana use, and anxiety was If you were asked why you don’t shop-
not related to any of the three types of be- lift clothing from stores, you might reply,
haviors (Aseltine, Gore, & Gordon, 2000). “Because my parents (or lover, or friends)
Thus, the results provide only modest sup- would kill me if they found out.” According
port for the key predictions. to control theory, social ties influence our
A longitudinal study of youths living in tendency to engage in deviant behavior. We
Dade County, Florida, yielded a sample with often conform to social norms because we
substantial numbers of African Americans are sensitive to the wishes and expectations
and Hispanics, as well as Whites, allowing of others. This sensitivity creates a bond
a test of the theory among these minorities. between the individual and other persons.
To the extent that there are differences by The stronger the bond is, the less likely the
racial/ethnic group in criminal behavior, individual is to engage in deviant behavior.
general strain theory suggests that these There are four components of the so-
are caused by differences between groups cial bond (Hirschi, 1969). The first is at-
in strain. The research included three mea- tachment—ties of affection and respect for
sures of strain: recent life events (in the others. Attachment to parents is especially
preceding 12 months), chronic stressors important, because they are the primary so-
(for example, unemployment, relationship, cializing agents of a child. A strong attach-
child care, residence), and lifetime major ment to them leads the child to internalize
events (for example, abandonment, school social norms. The second component is
failure, divorce, physical or sexual assault) commitment to long-term educational and
(see Chap. 15). It also included measures of occupational goals. Someone who aspires
social support. Using data from 898 young to go to law school is unlikely to commit a
men, analyses indicated that strain as mea- crime, because a criminal record would be
sured by recent life events was related to an obstacle to a career in law. The third com-
criminal activity, and that greater involve- ponent is involvement. People who are in-
ment of African Americans in crime was volved in sports, Scouts, church groups, and
associated with greater exposure to major other conventional activities simply have
lifetime events (Eitle & Turner, 2003). less time to engage in deviance. The fourth
A survey of a random sample of resi- component is belief—a respect for the law
dents of Raleigh, North Carolina, tested and for persons in positions of authority.
strain theory with an adult population. Re- We can apply control theory to the
spondents were asked to report the likeli- shoplifting incident described in the in-
hood they would commit violence, a prop- troduction. Hanna does not feel attached
erty violation (for example, theft), a minor to law-abiding adults; therefore, she was
offense, or illegal drug use. A measure of not concerned about their reactions to her
9780813349503.indb 547 5/16/14 1:50 PM

in athletics, hobbies, and work is unrelated

to reported delinquency. Involvement in
religion, as reflected in frequent church at-
tendance and rating religion as important
in one’s life, is associated with reduced de-
linquency (Sloane & Potrin, 1986). Finally,
evidence suggests that conventional beliefs
reduce the frequency of delinquent behav-
ior (Gardner & Shoemaker, 1989).
Control theory asserts that attachment
to parents leads to reduced delinquency.
Implicitly, the theory assumes that parents
These Boy Scouts are attending a Memorial Day do not encourage delinquent behavior. Al-
parade. Participation in such group activities though this assumption may be correct in
increases attachment to and involvement in most instances, there are exceptions. Stud-
conventional society, reducing the likelihood of
delinquency. © Jonathan Alcorn/Reuters/Corbis
ies suggest that some parents encourage
delinquent and criminal behaviors. Some
parents explicitly teach their children how
behavior. Nor did she seem deterred by to shoplift, commit burglaries, and steal
commitment when she said, “Nothing will cars and trucks (Butterfield, 2002). A lon-
happen.” Hanna’s deviant act reflects the gitudinal study of criminal convictions in
absence of a bond with conventional society. a Dutch sample found that same-sex par-
The relationship between delinquency ent’s convictions significantly predicted
and the four components of the social bond son’s/daughter’s convictions (van De Rakt,
has been the focus of numerous studies. Nieuwbeerta, & Apel, 2009). However,
Several studies have found a relationship same-sex sibling’s convictions were the
between a lack of attachment and delin- strongest predictor. These data provide a
quency; young people from homes char- stringent test, since the outcome measure is
acterized by a lack of parental supervision, convictions. These are cases in which crime
communication, and support report more really does “run in the family.” In these in-
delinquent behavior (Hoffman, 2002; Hun- stances, parental (and sibling) attachment
dleby & Mercer, 1987; Messner & Krohn, leads to increased delinquency and crime.
1990). Attachment to school, measured by The influence of sex suggests the impor-
grades, is also associated with delinquency. tance of learning and imitation.
Boys and girls who do well in school are less Does a lack of attachment to parents in
likely to be delinquent. Regarding commit- childhood relate to adult deviant behavior?
ment to long-term goals, research indicates Yes. Research consistently shows that chil-
that youths who are committed to edu- dren who are physically and sexually abused
cational and career goals are less likely to are more likely to be involved as adults in vi-
engage in property crimes such as robbery olent and property crime, prostitution, and
and theft (Johnson, 1979; Shover, Novland, alcohol and substance abuse (Macmillan,
James, & Thornton, 1979). Findings rele- 2001). The strength of adult social bonds is
vant to the third component, involvement, also related to adult criminal behavior. One
are mixed. Whereas involvement in study- study assessed month-to-month variations
ing and homework is negatively associated in circumstances that could strengthen or
with reported delinquency, participation weaken the bond, and related this varia-
9780813349503.indb 548 5/16/14 1:50 PM

tion to the occurrence of criminal behav- 8,000

ior (Horney, Osgood, & Marshall, 1995). 7,000
The circumstances were starting/stopping 6,000
school, starting/stopping work, and start- 5,000
ing/stopping living with a girlfriend or wife.
4,000
Interviews were conducted with 658 men
3,000
in prison who had committed felonies. In-
creases in criminal behavior were closely 2,000
related to changes that reduced the men’s 1,000

bonds to others—stopping school or work, 0
8 13 18 23 28 33 38 43 48 53 58 63 68
and stopping living with a girlfriend or wife. AGE OF OFFENDER
A well-established finding in the study
of delinquency and crime is the “age-crime FIgure 16.1 The Relationship Between Age
curve”—rates of offending rise sharply in and crime
adolescence, peak in young adulthood, and
decline steadily thereafter (Stolzenberg & Involvement in delinquency and crime varies across the
life course, responding to changes in economic condi-
D’Alessio, 2008; see Figure 16.1). Most of-
tions, changes in social roles, and opportunities. While
fenses are committed by men, but the curve rates of offenses vary by gender and race, the shape of
is the same for women’s offenses. Typical the curve is the same across these groups.
adolescent offenses include vandalism, auto
Source: Stolzenberg & d’Alessio, “Co-offending and the Age-
theft, and burglary. Persons aged 18 to 28 Crime Curve,” Journal of Research in Crime and Delinquency, 45,
are more likely to be involved in drug vio- 65–86, 2008.
lations and homicide. Middle-aged persons
are more frequently involved in gambling
offenses. These variations suggest life- desistance from crime among women who
course changes in attachments and oppor- were serious delinquents in adolescence? A
tunities lead to different types of offenses, study comparing women and men who were
and to desistance as one ages. in institutions during adolescence found
One longitudinal study indicates that that neither job stability nor marriage was
the strength of the social bond influences associated with adult desistance. In narra-
whether adults engage in deviant behavior tives of their lives, women were more likely
(Sampson & Laub, 1990). The researchers than men to describe their children and
studied 500 boys aged 10 to 17 who were religious transformation as the forces for
in a correctional school and 500 boys of the change in their lives (Giordano, Cernkov-
same age from public school. Each boy was ich, & Rudolph, 2002). Moreover, it was not
followed until he was 32. Generally, strong the fact of having children or a good job that
ties to social institutions were associated was important; it was a transformation in
with reduced rates of crime, alcohol abuse, the woman’s identity or her thinking about
gambling, and divorce. In adolescents, the those aspects of her life. These results are
important attachments were to family and consistent with symbolic interaction theory
school. In young adults, the influential ties and its emphasis on meaning constructed
were to school, work, or marriage. In later by the person in interaction with others.
adulthood, the important ties were to work, Ethnographic research on women who
marriage, and parenthood. smuggle drugs from Mexico to the United
What about women? Would work, mar- States illustrates how strong adult attach-
riage, and parenthood be associated with ment to male family members, lovers, or
9780813349503.indb 549 5/16/14 1:50 PM

spouses may lead to a woman’s involve- because (1) it violates academic regulations,
ment in crime. Some of these women were (2) it claims credit for work that is not your
coerced by these others into smuggling, own, and (3) it is unfair to other students
whereas others perceived involvement as a who do their own work. Other groups be-
means of increasing their income and inde- lieve it is acceptable because (1) it saves
pendence from men (Campbell, 2008). time, (2) the professor will never know, and
(3) everybody (like Butch and George) is
Differential Association Theory doing it. The latter are referred to as neu-
tralizing beliefs (Rettinger & Kramer, 2009;
Vince and Arturo were roommates in the Sykes and Matza, 1957); they neutralize the
Phi Kappa Sly house. They were both taking influence of definitions/beliefs unfavorable
Human Sexuality, and the first exam was in to the behavior.
three days. Arturo asked Vince if he wanted Attitudes about behaviors are learned
to study with him. Vince replied, “I’m just through associations with others, usually
going to review the old exams in the file the in primary group settings. People learn mo-
night before.” Arturo replied, “But that’s tives, drives, and techniques of engaging
cheating!” Vince said, “I got to get an A. I in specific behaviors. What they learn de-
saw Butch and George using the file last pends on with whom they interact—that is,
night.” Arturo said, “Well, I want to learn on their differential associations. Whether
the material, so count me out.” Arturo stud- someone engages in a specific behavior
ied for several hours and got an A-; Vince depends on how frequently he or she is
looked at old exams for one hour and got exposed to attitudes and beliefs that are fa-
a C. vorable toward that behavior.
Vince’s behavior reflects a conflict be- The principle of differential association
tween two sets of norms. His college has states that a “person becomes delinquent
rules defining cheating as academic mis- because of an excess of definitions favor-
conduct. Academic work such as writing able to violation of the law over definitions
papers and preparing for tests should be unfavorable to violation of the law” (Suther-
done by the student, not by relying on paper land, Cressey, & Luckenbill, 1992). Studies
or exam files or materials on the Internet. designed to test this principle typically ask
Arturo’s behavior reflects this set of norms. individuals questions about their attitudes
Fraternity members, on the other hand, be- toward a specific behavior and about their
lieve academic work is not important, and participation in that behavior. One study
help their brothers minimize effort by main- revealed that the number of definitions fa-
taining an exam file. Butch’s and George’s vorable to delinquency accurately predicted
behavior represents this set of norms. Vince which young men reported delinquent be-
is not insensitive to the expectations of oth- havior (Matsueda, 1982). The larger the
ers. In fact, he is highly sensitive to the ex- number of definitions a youth endorsed,
pectations of his “brothers.” the larger the number of delinquent acts
This view of deviance is the basis of dif- he reported having committed in the pre-
ferential association theory, developed by ceding year. A subsequent study found that
Sutherland. He argued that although the law associating with delinquent peers was also
provides a uniform standard for deviance, related to delinquent behavior (Heimer &
one group may define a behavior as deviant, Matsueda, 1994).
whereas another group defines it as desir- Research on cheating by students found
able. Some groups believe cheating is wrong that direct knowledge of cheating by other
9780813349503.indb 550 5/16/14 1:50 PM

students is the most powerful predictor of between differential association, reinforce-

cheating (O’Rourke et al., 2010). Thus, see- ment, and adolescents’ drinking behavior
ing Butch and George use the exam file was and marijuana use. Differential association
probably a major influence on Vince’s be- was measured by three questions: “How
havior. many of your (1) best friends, (2) friends you
Certain groups within the United States spend the most time with, and (3) friends
hold a set of beliefs that justify the use of you have known longest smoke marijuana
physical aggression in certain situations. and/or drink?” The survey also assessed
This set of beliefs is referred to as the subcul- students’ definitions of drug and alcohol
ture of violence. Within this subculture, vio- laws. Both social reinforcement (whether
lence is considered appropriate when used the adolescent expected praise or punish-
as a means of self-defense and protection of ment for use from parents and peers) and
one’s home, or to defend one’s reputation. A nonsocial reinforcement (whether the ef-
review of state laws governing spouse abuse, fects of substance use were positive or neg-
corporal punishment, and capital punish- ative) were measured. The findings of this
ment found that Southern states have laws survey showed that differential association
that are more accepting of violence (Cohen, was closely related to the use of alcohol or
1996). Several studies report a relationship drugs. The larger the number of friends who
between these beliefs and behavior. Felson, drank or smoked marijuana, the more likely
Liska, South, and McNulty (1994) studied the student was to drink alcohol or smoke
young men in 87 high schools. The young marijuana. Reinforcement was also related
men were asked whether aggressive re- to behavior; those who used a substance re-
sponses were appropriate in three situations ported that it had positive effects. The stu-
involving insults or threats. Those young dents’ definitions were also related to those
men who endorsed the use of violence were with whom they associated; if their friends
much more likely to report involvement in drank or used marijuana, they were more
eight types of interpersonal violence, in- likely to have positive attitudes toward the
cluding striking a parent or teacher, fight- behavior and negative attitudes toward laws
ing, and using weapons in disputes. Endors- defining that behavior as criminal. Finally,
ing the use of violence was also associated students’ attitudes were consistent with
with delinquency within the school, includ- their behavior. Those who opposed mari-
ing cheating, tardiness, and truancy. juana use and supported the marijuana laws
The theory of differential association were much less likely to use that substance.
does not specify the process by which peo- A similar study (Akers, LaGreca, Co-
ple learn criminal or deviant behavior. For chran, & Sellers, 1989) focused on drinking
this reason, Burgess and Akers (1966) de- among older persons. Interviews were con-
veloped a modified theory of differential ducted with 1,410 people aged 60 and over.
association. This modified version empha- The measures used were the same or similar
sizes the influence of positive and negative to those used with adolescents. The results
reinforcement on the acquisition of be- were essentially the same. The drinking be-
havior. Much of this reinforcement comes havior of persons 60 and older was related
from friends and associates. to the drinking behavior of spouse, family,
A survey of 3,056 high school students or friends; reinforcements; and an individ-
was conducted to test the theory (Akers, ual’s attitudes toward drinking.
Krohn, Lanza-Kaduce, & Radosevich, 1979). Survey data collected at one point in time
In particular, it assessed the relationship often cannot be used to test hypotheses
9780813349503.indb 551 5/16/14 1:50 PM

about cause-effect relationships. However, provoked by media coverage, as detailed in

survey data collected from the same people Box 16.1.
at two or more times can be. Stein, New- Recall from Chapter 15 that an import-
comb, and Bentler (1987) analyzed data ant characteristic of social networks is den-
from 654 young people who were surveyed sity—the extent to which each member
three times at 4-year intervals that began of the network or group knows the other
when they were in junior high school. The members. Networks that are dense should
measures included peer drug use, adult have more influence on their members’ be-
drug use, and community approval of drug havior; if all of your friends drink alcohol, it
use. The results showed that adolescents will be hard for you to “just say no.” A study
who believed that both peers and adults of a nationally representative sample of sev-
were using drugs were more likely to be- enth to twelfth graders found that peers’
come drug users. delinquency has a stronger association
Persons who are members of a group with an adolescent’s delinquency when the
should be most heavily influenced by it. A friendship network is dense (Haynie, 2001).
study analyzing longitudinal data collected Because each person usually associates
over a 6-year period, from adolescence into with several groups, the consistency or in-
young adulthood (Pollard et al., 2013), dif- consistency in definitions across groups
ferentiated three positions: member (more is also an important influence on behavior
than 50 percent of friends are members of (Krohn, 1986). Network multiplexity refers
same group), liaison (has friends in more to the degree to which individuals who in-
than one group), and isolate (only one tie teract in one context also interact in other
to the group/network). Members of a group contexts. When you interact with the same
with one or more binge drinkers at Time 1, people at church, at school, on the athletic
in high school, were much more likely to field, and at parties, multiplexity is high.
become long-term heavy bingers. This may When you interact with different people in
reflect the point noted above, that observ- each of these settings, multiplexity is low.
ing deviance is the best predictor of engag- When multiplexity is high, the definitions of
ing in the behavior. an activity will be consistent across groups;
Thus, differential association empha- when it is low, definitions may be inconsis-
sizes interacting with groups and learning tent across groups. Thus, differential asso-
pro-conformity or neutralizing beliefs with ciations should have the greatest impact on
regard to the behavior. Learning empha- attitudes and beliefs when multiplexity is
sizes modeling and imitation in learning the high. A survey of 1,435 high school students
behavior (see Chap. 3) and reinforcement, measured the extent to which individuals
a positive or negative experience includ- interacted with parents and with the same
ing feedback from others. A meta-analysis peers in each of several activities (Krohn,
considered the results of 133 studies testing Massey, & Zielinski, 1988). Students who
the relationship between these and crime or participated jointly with parents and peers
deviant behavior. The results indicate that in various activities were less likely to smoke
measures of interaction and beliefs are con- cigarettes.
sistently stronger in cross-sectional but not
longitudinal studies (Pratt, Cullen, Sellers, Routine Activities Perspective
et al., 2013).
In addition to being modeled by peers or So far, we have considered characteristics of
family, deviant behaviors can sometimes be the person (motivation, beliefs) and of his
9780813349503.indb 552 5/16/14 1:50 PM

associations with others (parents, friends). aged 18 to 26 allowed researchers to relate

These have been shown to be related to involvement in these situations to devi-
delinquency, assault, murder, burglary, ance. Frequency of participation in them
economic crimes, suicide, and alcohol and was related to alcohol and marijuana use,
drug use. The routine activities perspec- dangerous driving, and criminal behavior.
tive focuses on a third class of influences— Changes across five waves of data collection
how these behaviors emerge from the rou- in an individual’s participation in these ac-
tines of everyday life (Felson, 1994). tivities were related to changes in his or her
Each instance of deviant behavior re- involvement in deviance.
quires the convergence of the elements Researchers have consistently noted that
necessary for the behavior to occur. Crimes men are much more likely to commit crim-
such as burglary, larceny, or robbery re- inal acts than women. This is not only true
quire the convergence of an offender and of street crime but also of economic crimes
a likely target (residence, store, or per- involving violation of trust, such as insider
son) and the absence of some guardian trading. The routine activities perspective
who could intervene. In the illustration at explains this as due to gender role socializa-
the beginning of the chapter, the shoplift- tion, which teaches women different norms
ing incident involves such a convergence: and definitions; to lack of access to tute-
Hanna, the lingerie, and the absence of a lage in various forms of deviance; and to
clerk or security guard. Illegal consumption restrictions on activities that keep women
requires two offenders (seller and user), a out of certain settings (Steffensmeier & Al-
substance, and a setting with no guardian; lan, 1996). Thus, few women commit either
“crack houses” provide the latter in many burglary or insider trading because of their
large cities. Without such convergence, de- lack of access in everyday life to the appren-
viance will not occur. We can understand ticeships where one learns these behaviors.
another aspect of deviance if we analyze ev- Similarly, we are not surprised that the cor-
eryday activity from the perspective of how porate executives of Enron, WorldCom,
it facilitates or prevents such convergences. and other companies who committed fraud
This perspective calls our attention to the in the period 1995–2003 were men; the
contributions of situations to behavior. “glass ceiling” prevents most women from
One class of situations that facilitates occupying such roles.
deviance is unstructured socializing with Research on youths aged 9 to 19 living
peers in the absence of an authority fig- in 12 high-poverty neighborhoods demon-
ure (Osgood, Wilson, O’Malley, Bachman, strates that some elements simultaneously
& Johnston, 1996). The presence of peers increase and decrease the likelihood of
makes it likely that definitions will be criminal activity. Carrying a gun in such a
shared, including definitions favorable to neighborhood makes it available for use in
particular forms of deviance. The absence a crime, but also available to defend oneself
of an authority figure or guardian reduces in case of attack. Similarly, employment
the likelihood of punishment for deviance. creates a conventional attachment and
Lack of structure makes time available for provides income by a legitimate means,
deviance. What situations have these char- but also creates the risk of injury or death
acteristics? They include cruising in a car during a robbery (Spano, Freilich, & Bol-
with friends, going to parties, and “hanging land, 2008).
out” with friends. Data from a longitudinal The anomie, control, differential associ-
study of a national sample of 1,200 persons ation, and routine activities perspectives are
9780813349503.indb 553 5/16/14 1:50 PM

Box 16.1 The Power of Suggestion
Rape, robbery, murder, and other types of devi- of a suicide in major daily papers. Moreover, the
ant behavior receive a substantial amount of cov- more publicity a story was given—as measured
erage in newspapers and on radio and television. by the number of days the story was on the front
One function of publicizing deviance is to remind page—the larger the rise in suicides. If a story
us of norms—to tell us what we should not do was published locally—in Chicago but not in
(Erikson, 1964). But is this the only consequence? New York, for example—the rise in suicides oc-
Could the publicity given to particular deviant curred only in the area where it was publicized.
activities increase the frequency with which they Why should such publicity lead other persons
occur? In some cases, the answer appears to be to kill themselves? There must be some factor
yes. that predisposes a small number of persons to
A study of the relationship between the pub- take their own lives following a publicized sui-
licity given to suicides and suicide rates suggests cide. That predisposing factor may be anomie.
that the two are positively correlated (Phillips, According to this theory, suicide is a form of re-
1974). This study identified every time a suicide treatism—of withdrawal from the struggle for
was publicized in three major U.S. daily news- success. Persons who don’t have access to legit-
papers during the years 1947–1968. Next, the imate means are looking for some way to adapt
researchers calculated the number of expected to their situation. Publicity given to a suicide may
suicides for the following month by averaging suggest a solution to their problem.
the suicide rates for that same month from the These results were replicated by a study in
year before and the year after. For example, the Australia, which measured the amount of pub-
researchers noted that the suicide of a Ku Klux licity in newspapers and on radio and TV given
Klan leader on November 1, 1965, was widely suicides during a one-year period (Pirkis, Burgess,
publicized. They then obtained the expected Francis, et al., 2006). Media reports were more
number of suicides (1,652) by averaging the total likely to be associated with increases in suicides
number of suicides for November 1964 (1,639) if they were broadcast on television, the suicide
and November 1966 (1,665). In fact, there were was successful, and other suicides were reported
1,710 suicides in November 1965; the difference on the same day.
between the observed and the expected rates When we think of suicide, we think of shoot-
(58) could be due to suggestion via the mass ing oneself, taking an overdose of a drug, or
media. jumping off a building. We distinguish suicide
The results of this study showed that sui- from accidents, in which we presume the person
cides increased in the month following reports did not intend to harm himself or herself. But the
not incompatible. Anomie theory suggests ments to others and our commitment to
that culturally valued goals and the oppor- attaining success. Our position in the social
tunities available to achieve these goals are structure and our attachments to parents
major influences on behavior. Opportu- and peers determine our differential asso-
nities to learn and occupy particular roles ciations—the kinds of groups to which we
are influenced by age, social class, gender, belong. Within these groups, we learn defi-
race, and ethnic background—that is, by nitions favorable to particular behaviors,
the structuring of everyday life based on and we learn that we face sanctions when
these variables. According to control the- we choose behaviors that group members
ory, we are also influenced by our attach- define as deviant.
9780813349503.indb 554 5/16/14 1:50 PM

critical difference is the person’s intent, not the women who took their lives, and vice versa. Sim-
event itself. Some apparent accidents may be sui- ilarly, an increase in suicides by Whites followed
cides. For example, when a car hits a bridge abut- a publicized case involving a White celebrity,
ment well away from the pavement on a clear whereas rates among Blacks were unaffected.
day with no evidence of mechanical malfunction, The fact that the effects of publicized suicide are
this may be suicide. age-, gender-, and race-specific is consistent with
If some auto accidents are, in fact, suicides, the concept of imitation.
we should observe an increase in motor vehicle A detailed study of the impact of one suicide
accidents following newspaper stories about a identified several consequences. The suicide of
suicide. In fact, data from newspapers and motor a well-known male TV reporter in Quebec was
vehicle deaths in San Francisco and Los Angeles the subject of 65 news articles in the following
verify this hypothesis (Phillips, 1979). Statistics week. It was followed by an increase in suicides
show a marked increase in the number of deaths among men aged 20 to 49 in Quebec in the four
due to automobile accidents 2 and 3 days after a months following his death. There was a cluster
suicide is publicized, especially accidents involv- of six suicides in the community where he died,
ing a single vehicle. In the detroit metropolitan all by hanging, which was the means of his death.
area, an analysis of motor vehicle fatalities for the There was also a significant, almost 100 percent
years 1973–1976 revealed an average increase increase in calls to the Suicide Prevention Centre
in fatalities of 35 to 40 percent the third day af- (Tousignant, Mishara, Caillaud, Fortin, & St-Lau-
ter a suicide story appeared in the daily papers rent, 2005).
(Bollen & Phillips, 1981). Again, the more public- A very different explanation of suicide is that
ity, the greater the increase. Finally, if the person it reflects a lack of social integration. The imita-
whose suicide is publicized was young, deaths tion explanation would be strengthened if we
of young drivers increase, whereas if the person find clustering of suicides after controlling for
killing himself was older, the increase in fatalities the effects of variables such as marital and resi-
involves more older drivers. dential stability. Such an analysis was performed
does an increase in suicide follow any pub- of suicide rates for U.S. counties from 1989 to
licized suicide, or are some suicides more likely 1991. Interestingly, the variance in suicide rates
to be imitated than others? Stack (1987) studied in the western third of the United States was ex-
instances in which celebrities killed themselves. plained by integration; in the non-West, cluster-
The effect of publicized suicide is gender- and ing remained, strengthening the argument that
race-specific. Suicide by a male celebrity was suicide involves imitation (Baller & Richardson,
followed by an increase in the number of men 2002).
who killed themselves but not in the number of
reactIonS to norM vIolatIonS who engage in these behaviors. All of these

instances of deviance share another import-
When we think of murder, robbery, or sex- ant characteristic as well: In every case, the
ual assault, we think of cases we have read behavior was discovered by someone who
about or heard of on radio or television. We called it to the attention of others.
frequently refer to police and FBI statistics Does it matter that these instances in-
as measures of the number of crimes that volve both an action (by a person) and
have occurred in our city or county. Our a reaction (by a victim or an observer)?
knowledge of alcohol or drug abuse de- Isn’t an act equally deviant regardless of
pends on knowing or hearing about persons whether others find out about it? Let’s go
9780813349503.indb 555 5/16/14 1:50 PM

back to Hanna’s theft of the lingerie. Sup- If deviance depends on the reactions of
pose Hanna had left the store without being others to an act rather than on the act it-
stopped by the clerk. In that case, she and self, the key social psychological question
Megan would have known she had taken becomes, “Why do particular audiences
the lingerie, but she would not have faced choose to label an act as deviant, whereas
sanctions from others. She would not have other audiences may not?” Labeling the-
experienced the embarrassment of being ory is an attempt to understand how and
confronted and accused of a crime. More- why acts are labeled deviant. In the case of
over, she would have had some beautiful the stolen lingerie, labeling analysts would
lingerie. But the fact is that she was stopped not be concerned with Hanna’s behavior.
by the clerk. She will be questioned, the po- Rather, they would be interested in the re-
lice will be called, and she may be arrested. sponses to Hanna’s act by Megan, the male
Thus, the consequences of committing a customer, and the clerk. Only if an observer
deviant act are quite different when certain challenges Hanna’s behavior or alerts a
reactions follow. store employee does the act of taking the
Whether a rule violation becomes lingerie become deviant.
“known about” depends in part on the ac-
tor’s social and economic resources (Jack- Reactions to Rule Breaking
son-Jacobs, 2004). Consider two crack us-
ers, both 21-year-old men. DuShawn lives in Labeling theorists refer to behavior that
a deteriorating neighborhood; he works at a violates norms as rule breaking, to em-
car wash, and his earnings support his habit. phasize that the act by itself is not deviant.
When he isn’t working, he hangs out with Most rule violations are “secret,” in the
other users. Sometimes, he commits bur- sense that no one other than the actor (and
glary to get more money. He shoots up in a on occasion, the actor’s accomplices) is
“crack house,” the only place where he can aware of them. Many cases of theft and tax
get some privacy and escape surveillance. evasion, many violations of drug laws, and
He is at risk of assault by fellow users, who some burglaries are never detected. These
know he is a user; they want his money or activities can be carried out by a single per-
his drugs. Doug is a junior at a university. He son. Other acts, such as robberies, assaults,
lives in an apartment near campus, where and various sexual activities, involve other
he can use heroin with little risk. His part- people who will know about them, but who
time job supplies the money. His schedule of may not label the act as deviant. Instances
classes and work make it relatively easy for of assault, domestic violence, rape, and sex-
him to restrict his use to leisure times in his ual abuse of children are not reported be-
apartment, with carefully selected friends. cause the victim is unwilling or unable to
Joseph’s legitimate and sufficient income, do so.
control over his life, and access to private How will members of an audience re-
space make it unlikely he will be arrested. spond to a rule violation? It depends on the
This reasoning is the basis of labeling circumstances, but studies suggest that peo-
theory—the view that reactions to a norm ple very often ignore it. When wives of men
violation are a critical element in deviance. hospitalized for psychiatric treatment were
Only after an act is discovered and labeled asked how they reacted to their husband’s
“deviant” is the act recognized as such. If bizarre behavior, for example, they often
the same act is not discovered and labeled, replied that they had not considered their
it is not deviant (Becker, 1963). husbands ill or in need of help (Yarrow,
9780813349503.indb 556 5/16/14 1:50 PM

Schwartz, Murphy, & Deasy, 1955). People Actor Characteristics. Reactions to a type
react to isolated episodes of unusual behav- of deviance, such as mental illness, depend
ior in one of four ways. A common response on the specific behavior. Given a vignette
is denial, in which the person simply does describing a person who meets the diag-
not recognize that a rule violation occurred. nostic criteria for mental illness, adults are
In one study, denial was typically the first more unwilling to interact with (for exam-
response of women to their husbands’ ex- ple, have as a neighbor or coworker) some-
cessive drinking (Jackson, 1954). A second one who is dependent on drugs (72 percent)
response is normalization, in which the or alcohol (56 percent) than someone who
observer recognizes that the act occurred has schizophrenia (48 percent) or depres-
but defines it as normal or common. Thus, sion (37 percent). People who view these
wives often reacted to excessive drinking behaviors as caused by stress are less likely
as normal, assuming that many men drink to reject interaction with the person. The
a lot. Third, the person may recognize the belief most closely associated with rejection
act as a rule violation but excuse it, attribut- is the belief that such persons are danger-
ing its occurrence to situational or transient ous (Martin, Pescosolido, & Tuch, 2000).
factors; this reaction is attenuation. Thus, The extent to which people have the same
some wives of men who were later hospi- reaction depends on the degree of norma-
talized believed that the episodes of bizarre tive consensus about the act (Schmidtke,
behavior were caused by unusually high 2007). We noted that there are often both
levels of stress or by physical illness. Finally, definitions favorable and unfavorable to a
people may respond to the rule violation behavior; the greater the agreement that
by balancing it, recognizing it as a violation the act is undesirable/deviant/criminal, the
but de-emphasizing its significance in light more likely observers will label the actor.
of the actor’s good qualities. Reaction to a rule violation often de-
The man who witnessed Hanna’s behav- pends on who performs the act. First, peo-
ior looked around, spotted the clerk, and ple are more tolerant of rule breaking by
reported the act. In doing so, he labeled family members than by strangers. The
the actor. Labeling involves a (re)definition research cited earlier reveals extraordinary
of the actor’s social status; the man placed tolerance of spouses for bizarre, disruptive,
Hanna into the category of “shoplifter” or and even physically abusive behavior. Many
“thief.” The clerk, in turn, probably defined of us probably know of a family attempting
Hanna as “another shoplifter.” Although la- to care for a member whose behavior cre-
beling is triggered by a behavior, it results in ates problems for them. Second, people are
a redefinition or typing of the actor. As we more tolerant of rule violations by persons
shall see, this has a major impact on peo- who make positive contributions in other
ple’s perceptions of and behavior toward ways. In small groups, tolerance is greater
the actor. for persons who contribute to the achieve-
ment of group goals (Hollander & Julian,
Determinants of the Reaction 1970). We seem to tolerate deviance when
we are dependent on the person commit-
What determines how an observer reacts to ting the act—perhaps because if we punish
rule breaking? Reactions depend on three the actor, it will be costly for us. Third, a
aspects of the rule violation, including the study of employee theft from restaurants
nature of the actor, the audience, and the found that coworkers were less likely to la-
situation. bel the act as theft if they perceived the actor
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as more similar to themselves (Schmidtke, histories were prepared that included

2007). Fourth, we are less tolerant if the symptoms of clinical disorders (as defined
person has a history of rule breaking (Whitt in the then-current Diagnostic and Statisti-
& Meile, 1985). cal Manual of Mental Disorders, “DSM-III”;
Does gender affect reactions to deviant American Psychiatric Association, 1981)
behavior? It depends on the behavior. An and personality disorders (DSM-III, Axis
ingenious field experiment suggests that II). Personality disorders are generally less
it does not affect responses to shoplifting. serious and more ambiguously defined than
With the cooperation of stores, shoplifting clinical disorders. The case histories were
events were staged near customers who identical except for gender: male, female,
could see the event. The experiment was or unspecified. The psychiatrists’ diagnoses
conducted in a small grocery store, a large of clinical disorders were not influenced by
supermarket, and a large discount depart- gender, but they were more likely to diag-
ment store. The gender of the shoplifter, nose women as having personality disor-
the appearance of the shoplifter, and the ders than men with the same symptoms.
gender of the observer were varied. Neither
the shoplifter’s nor the customer’s gender Audience Characteristics. The reaction
had an effect on the frequency with which to a violation of rules also depends on who
the customer reported the apparent theft witnesses it. Because groups vary in their
(Steffensmeier & Terry, 1973). Gender does norms, audiences vary in their expectations.
affect reactions to persons who are mentally People enjoying a city park on a warm day
ill. People are more willing to interact with will react quite differently to a nude man
a woman who is described as having schizo- walking through the park than will a group
phrenia, depression, or drug or alcohol de- of people in a nudist park. Recognizing this
pendence than with a man described the variation in reaction, people who contem-
same way. This is partly explained by the fact plate breaking the rules—by smoking mari-
that women are perceived as less dangerous juana, drinking in public, or jaywalking, for
than men (Schnittker, 2000). We are less example—often make sure no one is around
likely to label women than men for viola- who will punish them.
tions of criminal law (Haskell & Yablonsky, People who violate rules often belong
1983), women are less likely to be kept in jail to groups. What influences whether other
between arraignment and trial, and they re- group members will ignore or punish a vi-
ceive more lenient sentences than men. One olation? One variable is the cohesiveness of
explanation for this differential treatment is the group. A laboratory experiment found
that women are subject to greater informal that members of a cohesive group are more
control by family members and friends, and likely to reward a member who punished
so are treated more leniently in the courts. a deviant person than members of groups
A study of the influences on pretrial release low in cohesion (Horne, 2001). As a re-
and sentence severity found that both men sult, members were more likely to punish
and women with families received more le- violators. The effect was found in all-male
nient treatment; the effect was stronger for groups and all-female groups.
women (Daly, 1987). Social identity theory (see Chap. 4) sug-
On the other hand, research suggests that gests that the group membership of the
psychiatrists are more likely to label women deviant person and the audience both in-
as having a personality disorder than men fluence reactions. We are motivated to
(Dixon, Gordon, & Khomusi, 1995). Case maintain a positive in-group identity, and
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one means we employ is to maximize the likely to be denied bail, more likely to plead
differences we perceive between our group guilty, and more likely to be convicted on
and other groups. Thus, we negatively judge more severe charges.
members of our in-group who deviate, es- Consider the example of a student with a
pecially if the deviation is negative. We drinking problem seeking help at a univer-
judge favorably an out-group member who sity counseling center. The treatment will
deviates from his or her group’s norms. A depend on how counselors view student
laboratory experiment tested these predic- “troubles.” One study found that the staff
tions; the results supported them (Abrams, of a university clinic believed that students’
Marques, Brown, & Henson, 2000). problems could be classified into one of the
An important influence on whether a following categories: problems in studying,
witness will label a rule violation is the level choosing a career, achieving sexual inti-
of concern in the community about the be- macy, or handling personal finances; con-
havior. Citizens who are concerned about flict with family or friends; and stress arising
drug use as a social problem are probably from sociopolitical activities. When a stu-
more alert for signs of drug sales and use, dent came to the clinic because of excessive
and are more likely to label someone as a drinking, the therapist first decided which
drug user. A major determinant of the level of these categories applied to this person’s
of concern is the amount of activity by pol- troubles; that is, which type of problem was
iticians, service providers, and the mass causing this student to drink excessively.
media calling attention to the problem How the problem was defined in turn deter-
(Beckett, 1994). Political rhetoric, intense mined what the therapist did to try to help
media attention, and public concern over the student (Kahne & Schwartz, 1978).
a perceived threat may combine to create
a moral panic (Fox, 2013), leading to de- Situational Characteristics. Whether a
mands that rule-breakers be labeled and behavior is construed as normal or labeled
punished/treated. as deviant also depends on the definition of
Officials who routinely deal with suspects the situation in which the behavior occurs.
react very differently to suspected offenders Marijuana and alcohol use, for example, are
than do most citizens. One study focused much more acceptable at a party than at
on officials working in a court-affiliated unit work (Orcutt, 1975). Various sexual activ-
who evaluated suspected murderers follow- ities expected between spouses in the pri-
ing arrest. These officials had a stereotyped vacy of their home would elicit condemna-
image of the type of person who commits tion if performed in a public park in many
murder (Swigert & Farrell, 1977). When parts of the United States.
lower-class male members of ethnic mi- Consider so-called gang violence. In
norities committed murder, these officials some major cities, incidents in which teen-
believed that it was in response to a threat age gangs assault each other are common.
to their masculinity. For example, if an News media, police, and other outsiders of-
Italian-American truck driver was arrested ten refer to such incidents as “gang wars.”
for murder, they were likely to assume that These events often occur in the neighbor-
he had killed the other man in response to hoods where the gang members live. How
verbal insults. This labeling based on a ste- do their parents, relatives, and friends react
reotype had important consequences. Sus- to such incidents? According to a study of
pects who fit this stereotype were less likely one Chicano community, it depends on the
to be defended by a private attorney, more situation (Horowitz, 1987). Young men are
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expected to protect their families, women, actor and the audience? We will consider
and masculinity. When violence results from four possible outcomes.
a challenge to honor, the community gener-
ally tolerates it. On the other hand, if the vi- Institutionalization of Deviance. In some
olence disrupts a community affair, such as a cases, individuals who label a behavior as
dance or a wedding, it is not tolerated. deviant may decide that it is in their own in-
We often rely on the behavior of others terest for the person to continue the behav-
to help us define situations. Our reaction to ior. They may, in fact, reward that person
a rule violation may be influenced by the re- for the deviant behavior. If you learn that a
actions of other members of the audience. good friend is selling drugs, you may decide
The influence of the reactions of others is to use this man as a source and purchase
demonstrated in a field experiment of intru- drugs from him. Over time, your expecta-
sions into waiting lines (Milgram, Liberty, tions will change; you will come to expect
Toledo, & Wackenhut, 1986). Members of him to sell drugs. If your drug-selling friend
the research team intruded into 129 wait- then decides to stop dealing, you may treat
ing lines with an average length of six per- him as a rule breaker. Illegal activities by
sons. One or two confederates approached stockbrokers are likely to be ignored or en-
the line and stepped between the third and couraged by other employees and supervi-
fourth person. In some cases, other confed- sors when all of them benefit economically
erates served as buffers; they occupied the from the activity (Zey, 1993). The process by
fourth and fifth positions and did not react which members of a group come to expect
to the intrusion. When the buffers were and support deviance by another member
present, others in the line were much less over time is called institutionalization of
likely to react verbally or nonverbally to the deviance (Dentler & Erikson, 1959).
intrusion. Consider the following sworn statement
A good deal of research suggests that by a former Enron employee, Timothy N.
interpersonal violence—especially assaults Belden:
and murders—often involves two young
men and is triggered by a verbal insult (Katz, I was Director of Enron’s California
1988). An aggressive response by a male to energy trading desk . . . [We] marketed
an insult often reflects masculine overcom- and supplied electricity to Californian
pensation; reaction to a threat to one’s mas- wholesale customers. . . . Beginning in
culinity with an exaggerated demonstration approximately 1998, and ending in ap-
of masculinity (Willer, Conlon, Rogalin, & proximately 2001, I and other individ-
Wojnowicz, 2013). But whether a remark is uals in Enron agreed to devise and im-
an insult is a matter of social definition. Not plement a series of fraudulent schemes
surprisingly, fights are more likely to erupt through these markets. We designed
following a remark when there is a male au- the schemes to obtain increased reve-
dience and when the men have been drink- nue for Enron. . . .
ing (Felson, 1994). A remark is less likely We exported and then imported
to lead to a fight if the audience includes amounts of electricity generated within
women. California in order to receive higher,
out-of-state prices from the [ISO] when
Consequences of Labeling it purchased “out of market.” We sched-
uled energy that we did not have, or did
Assume that an audience defines an act as not intend to supply. (United States of
deviant. What are the consequences for the America v. Timothy Belden, U.S. Dis-
9780813349503.indb 560 5/16/14 1:50 PM

trict Court, Northern District of Cali- threatens or attempts to punish the actor
fornia, Doc. CR 02-0313 MJJ, October may force the actor to give up further in-
17, 2002) volvement in the deviant activity. This third
consequence of labeling is known as effec-
Note the repeated use of “we”; Belden and tive social control. This reaction is common
other Enron employees supported (and ex- among friends or family members, who of-
pected the support of) one another as they ten threaten to end their association with an
engaged in these deviant activities. It is pos- actor who continues to engage in deviance.
sible that support for their criminal activ- Similarly, they may threaten to break off
ities extended to the highest levels of the their relationship if the person does not seek
corporation. professional help. In these instances, the
Sadly, history repeats itself. The Fed- satisfaction of the actor’s needs is contin-
eral Energy Regulatory Commission had gent on changing his or her behavior. Mem-
charged JP Morgan Ventures Energy with bers of the audience also may insist that the
the same manipulation of the electricity actor renounce aspects of his or her life that
markets in the western United States in they see as contributing to future deviance
2010 and 2011. Notice that JP Morgan ac- (Sagarin, 1975). If excessive drinking is due
knowledged the violations and the assess- to job-related stressors, for example, family
ment of a civil penalty of $285 million was members may demand that the person find
issued July 30, 2013 (Docket Nos. IN11-8- a different type of employment. Displays
000, IN13-5-000: ORDER APPROVING of remorse may also lead to reduced pun-
STIPULATION AND CONSENT AGREE- ishment for an offense (Robinson, Smith-
MENT, http://www.ferc.gov/EventCalen Lovin, & Tsoudis, 1994).
dar/Files/20130730080931-IN11-8-000.
pdf). These activities clearly reflect differ- Unanticipated Deviance. Still another
ential association among corporate em- possibility is that the individual may engage
ployees, and a corporate culture that priori- in further or unanticipated deviance. Note
tizes making money over obeying the rules. the use of the term “unanticipated.” Nega-
tive reactions by members of an audience
Backtracking. Even when an audience re- are intended to terminate rule-breaking
acts favorably to a rule violation, the actor activity. However, such reactions may, in
may decide to discontinue the behavior. fact, produce further deviance. This occurs
This second consequence of labeling is when the audience’s response sets in mo-
called backtracking. It may occur after the tion a process that leads the actor to greater
actor learns that others label his or her act involvement in deviance. This process and
as deviant. Though some audiences react its outcomes are the focus of the next sec-
favorably, the actor may wish to avoid the tion.
reaction of those who would not react favor-
ably—and the resulting punishment. Many
teenagers try substances like marijuana labelIng and Secondary devIance
once or twice. Although their friends may
encourage its continued use, some youths Labeling a person as deviant may set in mo-
backtrack because they want to avoid their tion a process that has important effects
parents’ or others’ negative reactions. on the individual. The process of societal
reaction produces changes in the behavior
Effective Social Control. An audience of others toward the labeled individual and
that reacts negatively to rule breaking and may lead to corresponding changes in his
9780813349503.indb 561 5/16/14 1:50 PM

or her self-image. A frequent consequence Changes in the Behavior of Others. When

of the process is involvement in second- we learn that someone is an alcoholic, a
ary deviance and participation in a deviant convicted “sex offender,” or mentally ill, our
subculture. In this section, we consider this perceptions and behavior toward that per-
process in detail. son change. For example, if we learn that
someone has a drinking problem, we may
Societal Reaction respond to his or her request for a drink
with “Do you think you should?” or “Why
Earlier in this chapter, we mentioned that don’t you wait until the food is served?” to
labeling is a process of redefining a person. convey our objection. We may avoid jokes
By categorizing a person as a particular about drinking in the person’s presence,
kind of deviant, we place that person in a and we may stop inviting him or her to
stigmatized social status (see Chap. 4). The parties or gatherings where alcohol will be
deviant person (sex addict, “bipolar,” thief) served.
is defined as undesirable—not acceptable A more severe behavioral reaction in-
in conventional society—and frequently volves withdrawal from the stigmatized
treated as inferior. There are two import- person (Kitsuse, 1964). For instance, the
ant consequences of stigma: status loss and labeled shoplifter, alcoholic, or out(ed) gay
social discrimination (Link & Phelan, 2001). teacher may be fired from his or her job.
The loss of status causes a gradual change Behavioral withdrawal may occur because
in self-conception; the person comes to of hostility toward the deviant person, or it
perceive the self as a type of deviant. Dis- may reflect a sincere desire to help the per-
criminatory behavior by others not only af- son. For example, the employer who fires
fects one’s self-concept but constrains one’s an alcoholic may do so because he dislikes
behavior and opportunities. alcoholics or because he believes that relief
from work obligations will reduce the stress
that may be causing the drinking problem.
Paradoxically, our reaction to deviance
may produce additional rule breaking by
the labeled person. We expect people who
are psychologically disturbed to be irrita-
ble or unpredictable, so we avoid them to
avoid an unpleasant interaction. The other
person may sense that he or she is being
avoided and respond with anger or distrust.
This anger may cause coworkers to gos-
sip behind his or her back; he or she may
respond with suspicion and become para-
noid. When members of an audience be-
have toward a person according to a label
and cause the person to respond in ways
that confirm the label, they have produced
Being caught in a deviant act has important
a self-fulfilling prophecy (Merton, 1957).
consequences. This youth may experience
disrupted schooling and separation from family Lemert (1962) documents a case in which
and friends as a result of being arrested. © filo/ such a sequence led to a man’s hospitaliza-
iStock tion for paranoia.
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Self-Perception of the Deviant. Another Self-Rejection

consequence of stigmatized social status
Disposition
is that it changes the deviant person’s self- to Deviance
image. A person labeled deviant often in- Deviant
Behavior
corporates the label into his or her identity. Deviant Peer
Associations
This redefinition of oneself is due partly to
Deviant
feedback from others who treat the person Behavior
as deviant. Moreover, the new self-image
may be reinforced by the individual’s own
FIgure 16.2 The Relationship of self-Rejection
behavior. Repeated participation in shop-
to Deviant Behavior
lifting, for example, may lead Hanna to de-
fine herself as a thief. A person who engages in deviant behavior anticipates
that others will reject him or her, which, in turn, can
Redefinition is facilitated by the social
lead to self-rejection. A longitudinal study collected
programs and agencies that deal with spe- data from junior high school students three times, each
cific types of deviant persons. Such agencies 1 year apart. At Time 1, reported participation in devi-
pressure persons to acknowledge that they ance was positively related to self-rejection (feeling one
are deviant. Admitting that one purchased is no good, a failure, rejected by parents and teachers).
a term paper on the Internet will often lead Self-rejection at Time 1 was associated with more fa-
student personnel workers and deans to go vorable dispositions (attitudes) toward deviance but a
easy on a cheater, especially if it is a first decreased likelihood of associating with other deviants
1 year later (at Time 2). Favorable dispositions and de-
offense. Failure to acknowledge the action
viant associations at Time 2, as well as deviance at Time
may lead to suspension or dismissal from 1, were related to increased deviance—theft, gang vio-
the college. Admitting that one is men- lence, drug use, and truancy—at Time 3.
tally ill is often a prerequisite for psychi-
Source: Kaplan, Johnson, & Bailey, “deviant Peers and deviant
atric treatment (Goffman, 1959a). Mental Behavior: Further Elaboration of a Model,” Social Psychology
health professionals believe that a patient Quarterly, 50(3), 281, 1987. Used with permission from the
cannot be helped until the individual recog- American Sociological Association.
nizes his or her problem. Employees of an
agency that provided jobs for unemployed 1986). In a study of junior high school stu-
persons viewed their clients’ employment dents, data were collected three times at
problems as partly the result of individual 1-year intervals. Self-rejection (that is, feel-
failure (Miller, 1991). To receive agency ing that one is no good, a failure, rejected by
services, clients had to agree with this view parents and teachers) was related to more
and change their behavior accordingly. favorable dispositions (definitions) toward
Thus, the deviant person experiences deviance and to an increased likelihood
numerous pressures to accept a stigmatized of associating with deviant persons 1 year
identity. Acceptance of a stigmatized iden- later. A high disposition and associations
tity has important effects on self-perception. with deviant peers were related to increased
Everyone has beliefs about what people deviance—theft, gang violence, drug use,
think of specific types of deviant persons. and truancy—1 year later (Kaplan, Johnson,
Accepting a label such as “thief,” “drunk,” & Bailey, 1987). Figure 16.2 summarizes
or “bipolar” leads a person to expect that these relationships. Delinquent behavior, in
others will stigmatize and reject him or turn, is associated with reduced self-esteem
her, which in turn produces self-rejection. (McCarthy & Hoge, 1984).
Self-rejection makes subsequent deviance In short, labeling may set in motion a cy-
more likely (Kaplan, Martin, & Johnson, cle in which changes in the labeled person’s
9780813349503.indb 563 5/16/14 1:50 PM

behavior produce changes in other people’s ample, initially, a person with a drinking
behavior, which in turn changes the devi- problem may drink only at night and on
ant person’s self-image and subsequent be- weekends to prevent his or her drinking
havior. Self-fulfilling prophecies can also from interfering with work. Once the per-
be positive. One study assessed the expec- son adopts the role of “heavy drinker” or
tations of 98 sixth-grade math teachers for “alcoholic,” however, he or she may drink
their students (N 1,539) (Madon, Jussim, & continuously. An attractive 19-year-old
Eccles, 1997). Teachers’ expectations (pos- latina woman answered an ad for models;
itive or negative) predicted performance at first, she modeled lingerie in provocative
much better for students who were low poses, somewhat tentatively and anxiously.
achievers. Also, teachers’ overestimates— At the urging of the photographer, and for
that is, positive expectations—predicted more money, she did some nude shots, and
actual achievement better than their un- as she got increasingly comfortable display-
derestimates. Perhaps positive expectations ing her body, finally engaged in some ex-
inspire underachievers. plicit stills. Her parents found some of the
Although more attention has been given photos and were horrified; they kicked her
to situations in which others label the per- out. Within 6 months, she moved to San
son, some persons become committed to Fernando Valley and signed on with Vivid
deviance without such labeling. For exam- Entertainment. She makes $1,500 per film
ple, some persons voluntarily seek psychi- and hangs with other actors and film pro-
atric treatment; some of these cases reflect ducers in the community.
self-labeling (Thoits, 1985). People know As an individual becomes openly and
that others view certain behaviors as symp- regularly involved in deviance, he or she
toms of mental illness. If they observe them- may increasingly associate with others who
selves engaging in those behaviors, they may routinely engage in the same or related
label themselves as mentally ill. A study of activity. The individual may join a devi-
persons who had experienced a psychiatric ant subculture—a group of people whose
disorder in the prior 12 months, measured norms encourage participation in the devi-
by self-reports of symptoms, found that ance and who regard positively those who
persons with more education, and who are engage in it. Subcultures provide not only
not living in poverty, were more likely to acceptance but also the opportunity to en-
voluntarily seek treatment (Thoits, 2005). act deviant roles. Through a deviant subcul-
This probably reflects in part greater infor- ture, the would-be drug dealer or commer-
mation about mental illness and access to cial sex worker can gain access to customers
mental health services. more readily.
Subcultural groups are an attractive al-
Secondary Deviance ternative for deviant persons for two rea-
sons. First, these people are often forced
A frequent outcome of the societal reaction out of nondeviant relationships and groups
process is secondary deviance, in which a through others’ reactions. As family and
person engages increasingly in deviant be- friends progressively break off relationships
havior as an adjustment to others’ reactions with them, they are compelled to seek ac-
(Lemert, 1951). Usually, the individual be- ceptance elsewhere. Second, membership
comes openly and actively involved in the in subcultural groups may result from the
deviant role, adopting the clothes, speech, deviant person’s desire to associate with
and mannerisms associated with it. For ex- persons who are similar and who can pro-
9780813349503.indb 564 5/16/14 1:50 PM

vide them with feelings of social acceptance system clearly documents these dynamics
and self-worth (Cohen, 1966). Deviant per- (Perry, 2011). Respondents reported ex-
sons are no different from others in their periences of people being anxious around
need for positive reflected appraisals. them, unwilling to make friends, and cut-
Deviant subcultures help persons cope ting off relationships with them. Respon-
with the stigma associated with deviant dents diagnosed with schizophrenia and
status. We have already noted that deviant bipolar disorder, and who had high levels of
persons are often treated with disrespect symptoms, were more likely to report these
and sanctioned by others for their activ- reactions. At the same time, some respon-
ity. Such treatment threatens self-esteem dents reported having supportive networks
and produces fear of additional sanctions. of people who knew about their illness and
Subcultures help the deviant person cope helped them to cope with it. People with
with these feelings. They provide a vocab- more perceptible cognitive, emotional and
ulary of motives—beliefs that explain and behavioral symptoms were more likely to
justify the individual’s participation in the report having a supportive core group, per-
behavior. haps because the visible symptoms elicited
The norms and belief systems of subcul- concern in others.
tures support a positive self-conception. In Joining a deviant subculture often sta-
the early 1970s, a commercial sex workers’ bilizes participation in one form of devi-
rights group, COYOTE (Cast Off Your Old, ance. It also may lead to involvement in
Tired Ethics), emerged in San Francisco. additional forms of deviant behavior. For
Although it has not obtained the legal- instance, many commercial sex workers be-
ization of prostitution, it did enhance the come drug users through participation in a
self-images of its members (Weitzer, 1991). subculture.
In 2012 it had branches in San Francisco
and Los Angeles, and continued to advo-
cate for sex workers’ rights. Many people forMal SocIal controlS
think that nudists are exhibitionists who
take off their clothes to get sexual kicks. So far, this chapter has been concerned with
Nudists, on the other hand, consider them- informal social control—the reactions of
selves morally respectable and hold several family, friends, and acquaintances to rule
beliefs designed to enhance that claim: (1) violations by individuals. Informal controls
nudity and sexuality are unrelated, (2) there are probably the major influence on an in-
is nothing shameful about the human body, dividual’s behavior. In modern societies,
(3) nudity promotes a feeling of freedom however, there are often elaborate systems
and natural pleasure, and (4) nude exposure set up specifically to process rule breakers.
to the sun promotes physical, mental, and Collectively, these are called formal social
spiritual well-being. There are also specific controls—agencies given responsibility
norms—“no staring,” “no sex talk,” and “no for dealing with violations of rules or laws.
body contact”—designed to sustain these Typically, the rules enforced are written,
general beliefs (Weinberg, 1976). The belief and, in some cases, punishments also may
systems of deviant subcultures provide the be specified. The most prominent system
social support the person needs to maintain of formal social control in our society is the
a positive self-image. criminal justice system, which includes po-
A study of the networks of persons hav- lice, courts, jails, and prisons. A second sys-
ing their first contact with the mental health tem of formal social control is the juvenile
9780813349503.indb 565 5/16/14 1:50 PM

Deviant subcultures create opportunities for people to enact roles not acceptable elsewhere in society.
This nudist camp provides a place where people can undress without attracting attention or being
arrested. © Regis Duvignau/Reuters/Corbis
justice system, which includes juvenile of- In the 1990s, crime control became big
ficers, social workers, probation officers, business in U.S. society. Federal and state
courts, and treatment or detention facili- governments provided funds to hire thou-
ties. A third system of formal social control sands of additional police officers, sheriff’s
deals with mental illness. It includes mental deputies, and federal agents. Many states
health professionals, commitment proce- built new prisons. Additional officers and
dures, and institutions for the mentally ill new prisons require large investments in
and mentally impaired. new equipment. It has been suggested that
there is a crime control industry, with many
Formal Labeling and the people lobbying for its preservation and
Creation of Deviance growth (Chambliss, 1994). More officers
and prisons lead to more arrests and further
Most of us think of these agencies as reac- increases in prison populations. Is this ex-
tive—as simply processing individuals who pansion due to real increases in crime? No.
have already committed crimes or who are Crime has not increased substantially in the
mentally retarded or in need of psychiat- past 25 years. In fact, rates of violent crime
ric treatment. But these agencies do much were stable from 1973 to 1993; since 1993,
more than take care of persons already they have fallen by more than 52 percent.
known to be deviant. It can be argued that Rates of property crime have been declin-
the function of formal social control agen- ing steadily since 1975 (U.S. Department of
cies is to select members of society and Justice, 2011). What has increased is politi-
identify or certify them as deviant (Erikson, cal rhetoric on and mass media attention to
1964). the level of crime, leading the public to per-
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ceive an increase. Politicians have used this acts (Carmichael, Langton, Pendell, Reitzel,
perception as a basis for fear campaigns to & Piqure, 2005). Similarly, a study of theft
enlist support for the expansion of formal of company property by employees found
control systems. that those who perceived greater certainty
and severity of organizational sanctions for
Functions of Labeling. Of what value is la- theft were less likely to have stolen property
beling people as “criminals,” “delinquents,” (Hollinger & Clark, 1983).
or “mentally ill”? There are three functions For the punishment of some offenders
of labeling persons as deviant: (1) to provide to deter others, others must be aware of
concrete examples of undesirable behavior, it. Again, research with youths found that
(2) to provide scapegoats for the release those who had observed their peers getting
of tensions, and (3) to unify the group or away with delinquent acts perceived less
society. risk of punishment, whereas those who ob-
First, the public identification of devi- served peers receiving punishment follow-
ance provides concrete examples of how ing delinquent acts perceived greater risk
we should not behave (Cohen, 1966). When (Matsueda, Kreager, & Huizinga, 2006).
someone is actually apprehended and sanc- What about publicity? Does publicizing
tioned for deviance, the norms of society are punishment influence perceived risk? In
made starkly clear. For instance, the arrest recent years, executions of murderers have
of someone for shoplifting dramatizes the been widely publicized. Does this publicity
possible consequences of taking things that deter murder? Specifically, does coverage of
do not belong to us. Scandals involving sex- executions on the evening news on network
ual misconduct by high-profile politicians television lead to a reduction in homicide
heighten awareness of politicians engaging rates? A study of news coverage and homi-
in sexual harassment, sexting, and sexual cide rates from 1976 through 1987 found
activity with commercial sex workers. no relationship (Bailey, 1990).
According to the deterrence hypoth- Perceived certainty of sanctions gener-
esis, the arrest and punishment of some ally has a much greater effect on persons
individuals for violations of the law deters who have low levels of moral commitment
other persons from committing the same (Silberman, 1976; Wright, Caspi, Moffit,
violations. To what extent does general & Paternoster, 2004). People whose mor-
deterrence really affect people’s behavior? als define a behavior as wrong are not as
Most analysts agree that the objective pos- affected by the threat of punishment. For
sibility of arrest and punishment does not example, personal moral beliefs are a more
deter people from breaking the law. Rather, important influence on whether adults use
conformity is based on people’s perceptions marijuana than the fear of legal sanctions
of the likelihood and severity of punish- (Meier & Johnson, 1977). Adults who be-
ment. Thus, youths who perceive a higher lieve that the use of marijuana is wrong do
probability that they will be caught and that not use it, regardless of their perception of
the punishment will be severe are less likely the likelihood that they will be sanctioned
to engage in delinquent behavior (Jensen, for its use.
Erickson, & Gibbs, 1978). Perceptions of We have seen that personal experi-
risk are affected by personal experience; ence or peers’ experience of punishment
youths who have committed specific acts is associated with greater perceived risk.
of delinquency but have not been punished This suggests that more vigorous or ag-
perceive lower risk of sanction for those gressive arrest practices (a “crackdown”)
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This scapegoating process is illustrated

among the Puritans, who came to New
England in the 1600s to establish a com-
munity based on a specific Christian the-
ology. As time passed, groups within the
community periodically challenged the
ministers’ claims that they were the sole
interpreters of the theology. Furthermore,
the community faced the threat of Native
American attacks and the problems of daily
survival in a harsh environment. In 1692, a
Some crime and delinquency prevention
programs involve having persons convicted of
group of young women began to behave in
breaking the law talk to youths about the nature such bizarre ways as screaming, convuls-
and consequences of deviance. By publicizing the ing, crawling on all fours, and barking like
penalties for deviance, such programs attempt to dogs. The community focused attention on
deter others from breaking the law. © AP Photo/ these women. The physicians defined them
Matt Rourke
as “witches,” representatives of Satan, and
the entire community banded together in
should increase perceived risk, which in search of others who were under the “Dev-
turn should reduce crime. A study of ar- il’s influence.” The community imprisoned
rest practices in one precinct in New York many persons suspected of sorcery and sent
City found that increases in the number of 22 persons to their deaths. Thus, the witch
arrests per officer and total arrests for vio- hunt provided a scapegoat—an outlet for
lent crimes produced decreases in cases of people’s fears and anxieties (Erikson, 1966).
robbery and burglary. But the effect was not A third function of the public identifi-
linear; beyond a threshold, further increases cation of deviant persons is to increase the
in arrests produced a larger number of rob- cohesion and solidarity of society. Noth-
beries and burglaries. Also, arrest vigor did ing unites the members of a group like a
not produce decreases in assault, suggesting common enemy (Cohen, 1966). Deviant
that deterrence effects of crackdowns occur persons, in this context, are “internal ene-
for economic crimes and crimes in public, mies”—persons whose behavior threatens
but not noneconomic crimes that occur in the morale and efficiency of a group. Should
private (Kane, 2006). the solidarity of the group be threatened, it
A second function of the public identi- can be restored by identifying one member
fication of deviant persons is to provide a as deviant and imposing appropriate sanc-
scapegoat for the release of tension. Many tions. Suppose you are given the case study
people face threats to the stability and se- of a boy with a history of delinquency who
curity of their daily lives. Some fear the is to be sentenced for a minor crime. You
possibility that they will be victimized by are asked to discuss the case with three
aggressive behavior or the criminal activ- other persons and decide what should be
ity of others. The existence of such threats done. One member of the group argues for
arouses tension. Persons identified publicly extreme discipline, whereas you and the
as deviant persons provide a focus for these other two favor leniency. Suddenly, an ex-
fears and insecurities. Thus, the publicly pert in criminal justice, who has been sit-
identified deviant person becomes the con- ting quietly in the corner, announces that
crete threat we can deal with decisively. your group should not be allowed to reach
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a decision. How might you deal with this they develop cognitive schemas and rules
threat to the group’s existence? The rea- that simplify their decision making. A very
soning just outlined suggests that the per- common police-citizen encounter occurs
son who took the extreme position will be when an officer stops a motorist who has
identified as the cause of the group’s poor been drinking. What determines whether
performance and that the other members a driver who has been drinking is labeled a
will try to exclude him or her from future “drunken driver”? Officers on the street rely
group meetings. A laboratory study used on a variety of subjective data, such as visi-
exactly this setup, contrasting the reaction ble intoxication or the odor of alcohol (Myr-
of threatened groups to the person taking stol, 2012), since the Breathalyzer or blood
the extreme position with the reaction of or urine test are usually available only at the
nonthreatened groups. In the former con- police station. Research suggests that police
dition, the person taking the extreme posi- officers develop a series of informal guide-
tion was more likely to be stigmatized and lines that they use in deciding whether to
rejected (Lauderdale, 1976). arrest the motorist. In one study of 195 po-
Thus, controlled amounts of deviant be- lice encounters with persons who had been
havior serve important functions. If devi- drinking, arrests were more likely if the en-
ance is useful, we might expect control agen- counter occurred downtown and if the citi-
cies to “create” deviance when the functions zen was disrespectful (Lundman, 1974).
it serves are needed. In fact, the number of Prosecutors also develop informal rules
persons who are publicly identified as devi- that govern their decisions. For example, in
ant seems to reflect the levels of stress and one large Midwestern city, taking an object
integration in society (Scott, 1976). When worth less than $100 is a misdemeanor, and
integration declines, there is an increased conviction normally results in a fine. The
probability of deviance. Eventually, the level theft of a more valuable object is a felony
and severity of deviance may reach a point and results in a prison sentence. Because
where citizens will demand a “crackdown.” felony theft cases require much more time
Social control agencies will step up their and effort, the prosecutor charged most
activity, increasing the number of publicly persons arrested for shoplifting with mis-
identified deviant persons. This, in turn, will demeanors, even if they had taken jewelry
increase solidarity and lower stress, leading worth hundreds of dollars.
to an increase in the amount of informal In many jurisdictions, probation officers
control and a reduction in deviance. are asked to prepare a presentencing report
and to recommend a sentence for the con-
The Process of Labeling. Labeling is not victed person. Research indicates that these
a simple, one-step procedure for formal officers have a set of typologies or schemas
agencies. The processing of rule breakers into which they sort persons (Lurigis & Car-
usually involves a sequence of decisions. At roll, 1985). Semistructured interviews with
each step, someone has to decide whether probation officers in one community iden-
to terminate the process or to pass the rule tified 10 schemas, including burglar, addict,
breaker on to the next step. Figure 16.3 gang member, welfare fraud, and conman.
shows the sequence of steps involved in Each schema was associated with beliefs
processing criminal defendants. about the motive for the crime and the ap-
Each of the control agents—police offi- propriate treatment and prognosis. When
cers, prosecutors, and judges—has to make officers were asked to evaluate sample cases,
many decisions every day. Like anyone else, those fitting a schema were evaluated more
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Control
Police Prosecutor Judge/Jury Judge
Agent
1. Jail/Prison
Decision Arrest Prosecute Sentence 2. Fire
3. Probation
4. Discharge
Wa Acq Dis
r n in uit/ mis
g Rel sC
eas har
e ges
FIgure 16.3 Formal social control: Processing criminal Defendants

Formal social control often involves several control agents, each of whom makes one or more decisions. The first step
in the criminal justice system is an encounter with a law enforcement officer. If you are arrested, the case is passed to
a prosecutor, who decides whether to prosecute. If your case goes to court, the judge or jury decides whether you are
guilty. Finally, the judge renders a sentence. These decision makers are influenced by their own personal attitudes,
cognitive schemas, role expectations, and the attitudes of others regarding their decisions. Much research is devoted
to the social psychological aspects of decision making in the criminal justice system.
quickly and confidently. More experienced This leads one to ask whether systematic bi-
officers were more likely to use similar sche- ases exist in the social control system.
mas (Drass & Spencer, 1987). It has been suggested that control agents
Each step in this process involves inter- are more likely to label those people who
action between professionals and the al- have the least power to resist their certifi-
leged rule breaker—and often members of cation as deviant (Quinney, 1970). This hy-
his or her family. The professional’s goal pothesis predicts that lower-class persons
is to have the rule breaker and other lay- and members of racial and ethnic minori-
persons accept the label. Research on the ties are more likely to be certified as deviant
labeling of children with developmental than upper-class, middle-class, and White
disabilities suggests that family members persons. This hypothesis offers a radically
are more likely to accept a diagnosis if the different explanation for the correlation be-
professional elicits family members’ sche- tween crime and social class. Earlier in this
mas and frames the diagnosis/label in those chapter, we suggested that crime rates are
terms (Gill & Maynard, 1995). higher for lower-class persons because they
do not have access to nondeviant means
Biases in Social Control. Not all persons of economic success. Here we are sug-
who violate the rules are labeled. Most so- gesting that crime rates are higher among
cial control agencies process only some of lower-class persons because they are more
those who engage in rule-breaking behav- likely to be arrested, prosecuted, and found
ior. In the study of police encounters with guilty, even though the underlying rate of
drunken persons, only 31 percent were deviant activity may not vary as a function
arrested (Lundman, 1974). In some cases, of social class.
control agents may be influenced by the de- Does social class or race influence how
meanor of the rule breaker, by the agent’s an individual is treated by control agents?
schema, or by where the violation occurs. One way to answer this question is by
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Whether a police officer gives a citizen a traffic ticket or not depends partly on the demeanor of the
citizen. Officers are more likely to ticket or arrest hostile, argumentative persons than polite and
submissive ones. © Kali Nine LLC/iStock
studying police-citizen encounters through Washington, D.C., suggests that at least in

the ride-along method, in which trained that city, Blacks are subjected to more in-
observers ride in squad cars and systemat- tense police surveillance than other racial/
ically record data about police-citizen en- ethnic groups (Chambliss, 1994).
counters. In the largest study of this kind, Police officers frequently have to make
observers rode with some officers on all a quick decision about whether someone
shifts every day for 7 weeks. Data were col- is dangerous or a “criminal.” As noted
lected in Boston, Washington, and Chicago, above, they rely on schemas they learn in
and included 5,713 encounters. There was training and on the job. Research indicates
no evidence that Blacks were more likely that they rely on nonverbal cues such as
to be arrested than Whites. Rather, arrests speech disruptions, inappropriate smiles,
were more likely when a third party de- and avoidance of eye contact as indicators
manded an arrest, when the evidence was of nervousness or deception. An analysis
strong, and when the crime was serious of videotaped police-citizen encounters in-
(Black, 1980). A study of how police officers cluded interactions with 40 African-Ameri-
managed violent encounters between citi- can, 40 Caucasian and 40 Hispanic persons
zens found that arrest was more likely if the who were innocent, and 40 from each group
incident involved White persons; two men in which there was evidence that the sus-
instead of one woman and one man, or two pect had committed a crime. While guilty
women; or if one person acted abusively to- White men and women did display more
ward the officer (Smith, 1987). On the other frequent speech disruptions, innocent Af-
hand, research that included ride-alongs in rican-American persons were more likely
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to display these nonverbal behaviors than The prosecutor may offer not to indict the
guilty ones (Johnson, 2007). driver for manslaughter if a plea of guilty is
What about decisions by prosecutors? entered to a drunken driving charge. The
Do they entail discrimination based on race attorney may accept the offer, provided the
or class? Prosecutors are generally moti- prosecutor also recommends a suspended
vated to maximize the ratio of convictions sentence.
to trials. This may be one criterion that Are the members of certain groups more
citizens use in evaluating the performance likely to be tried or to get bigger reductions
of a district attorney. Prosecutors develop in sentences? An analysis of charge reduc-
beliefs about which cases are “strong”—that tion or plea bargaining in a sample of 1,435
is, likely to result in conviction. A study of a criminal defendants found that women and
random sample of 980 defendants charged Whites received slightly more favorable re-
with felonies found that prosecutors are ductions than men and Blacks (Bernstein,
more likely to prosecute cases involving se- Kick, Leung, & Schulz, 1977). Another study
rious crimes where the evidence is strong of 1,213 men charged with felonies found
and the defendant has a serious prior police that the characteristics of an offense—espe-
record. Race was not generally influential cially the seriousness of the crime and the
(Myers & Hagan, 1979). strength of the evidence—were most im-
Does the social class of an arrested per- portant in determining the disposition. The
son influence how he or she is treated by outcomes of the cases were not related to
the courts? Several studies of the handling age, ethnicity, or employment status (Bern-
of juvenile cases report little evidence of stein, Kelly, & Doyle, 1977). A study of 296
class or race bias. A study of cases in Denver women who killed another person found
and Memphis found that the seriousness that whereas they were all initially charged
of the offense and the youth’s prior record with murder, in two-thirds of the cases, the
were the major determinants of the sen- charge was reduced to manslaughter or
tence given (Cohen & Kluegel, 1978). Two a lesser offense (Mann, 1996). Women in
longitudinal studies, of 9,945 boys in Phila- Southern cities and women who killed men
delphia (Thornberry & Christenson, 1984) were less likely to have the charge(s) re-
and of cases in Florida (Henretta, Frazier, & duced and received more severe sentences
Bishop, 1986), found that the most import- if convicted.
ant influence on the disposition of a charge Among the persons convicted, do we
was the disposition imposed for a prior of- find a class or racial bias in the length of
fense or offenses. the sentences given? One study focused on
A common practice in adult criminal the sentences received by 10,488 persons
cases is plea bargaining, in which a prose- in three Southern states: North Carolina,
cutor and a defendant’s lawyer negotiate a South Carolina, and Florida (Chiricos &
plea to avoid the time and expense of a trial. Waldo, 1975). The researchers examined
A single action frequently violates several sentences for 17 different offenses and
laws. For instance, if a driver who has been found no relationship between socioeco-
drinking runs a red light and hits a pedes- nomic status or race and sentence length.
trian who later dies, that incident involves Again, the individual’s prior record was
at last three crimes: drunken driving, fail- the principal variable related to sentence
ure to obey a signal, and vehicular man- length. A study of a random sample of
slaughter. These offenses vary in serious- 16,798 felons convicted during the years
ness and thus in their associated sentences. 1976–1982 in Georgia looked at racial dif-
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ferences in sentencing (Myers & Talarico, stage, significant influences were serious-
1986). In general, the seriousness of a crime ness of offense, time served, discipline while
was the principal influence on the sentence in prison, and parole officer’s recommenda-
length. Another study of the influence of tion. The only significant influence on the
race on sentencing analyzed federal court decision was recommendations by prison
proceedings for the years 1993–1996. The personnel (Morgan & Smith, 2008).
sentences given male defendants varied
by race/ethnicity. For offenses of the same Long-Term Effects of Formal Labeling
seriousness, there were small to moderate
effects, with Whites receiving shorter sen- How long does the official label of “deviant”
tences and Hispanics receiving longer ones; stick to a person? Can it be shaken? In con-
Blacks received intermediate sentences trast to the trial or hearing in which a per-
(Steffensmeier & Demuth, 2000). son is formally certified as deviant, there is
Earlier, we discussed white-collar crime, no formal ceremony terminating one’s de-
which is often committed by middle-class viant status (Erikson, 1964). People are sim-
and upper-class persons. Are white-collar ply released from prison or mental hospital,
offenders more likely to receive lenient sen- or the final day of probation passes—with
tences? A study of persons charged with em- no fanfare. Does the individual regain his
bezzlement and tax, lending, credit, postal, former status upon release, or does deviant
and wire fraud found that within this group, status in our society tend to be for life?
high-status persons were no less likely to be Some argue that ex-convicts, ex-patients,
imprisoned or to receive shorter sentences and others who have been labeled as devi-
(Benson & Walker, 1988). The significant ant face continuing pressures from family,
influences were the total amount of dollars friends, employers, and coworkers that pre-
involved and how widespread the offenses vent them from readjusting to normal life.
were. Blacks did receive longer sentences Such pressures constitute a reminder of
than Whites. It is sometimes argued that their former deviant status.
judges are lenient on high-status offenders One domain in which persons who have
because they suffer serious informal sanc- been officially labeled might face discrimi-
tions, such as the loss of a job. A study of the nation is employment. In the United States,
likelihood of job loss and the influence of a good job is essential to health and welfare
job loss on sentence severity found no rela- as an adult. Labeling theory asserts that
tionship (Benson, 1989). However, class po- contact with authorities will reduce one’s
sition did influence job loss; high-status of- occupational attainment, independently
fenders and those whose frauds were larger of the rule-breaking or deviant behavior.
in scale were less likely to lose their jobs. Longitudinal data allowed a study of the ef-
Persons sentenced to prison may become fect of contact with authorities (suspended
eligible for parole. What influences deci- from school, stopped by police, charged,
sions at this stage? A study in Alabama an- convicted, sentenced, jailed) at ages 15 to 23
alyzed the influence of race. Alabama uses a on status (employed, status, income) during
two-stage process: a screening to determine ages 29 to 37 (Davies & Tanner, 2003). For
who should be considered for parole, and males, suspension or being stopped had lit-
a parole decision—whether to release the tle effect; the more serious forms of contact,
prisoner. Considering 762 cases, the results especially being jailed, had significant nega-
showed that race did not have a significant tive effects on average hours worked, status
effect at either stage. At the preliminary of job, and income. For women, suspension
9780813349503.indb 573 5/16/14 1:50 PM

had negative effects; also, being sentenced Questionnaires and interviews with men
and jailed had substantial impact, with in- hoping to transition from AIDS disability
carceration resulting in a reduction in an- back to work focused on issues of identity.
nual income of more than 50 percent! An- The men countered the stigma of living with
other study of data from more than 3,600 AIDS by developing a romanticized antici-
men compared those who had been incar- patory identity as worker/gay man/recov-
cerated with men who had not (Western, ered. As they sought re-employment, they
2002); overall, incarceration reduced subse- experienced discrimination and shame, and
quent earnings by 19 percent, and also re- had to adjust to medical and other con-
sulted in slower wage growth in later years. straints, producing an actualized identity at
The impact on Black and Hispanic men was odds with the anticipatory one. The transi-
about twice as large as the impact on White tion back into the worker role was thus very
men. stressful for some (Ghaziani, 2004).
Discrimination in employment following Another approach to studying the long-
formal labeling may occur because others term effects is to compare persons who
perceive these persons as “delinquents,” have and have not been labeled. A study of
“ex-cons,” or “crazies,” and expect them to psychiatrically disturbed persons compared
behave in ways consistent with the label. the income and employment status of those
A study of the impact of a criminal record who had been treated (labeled) with the in-
on decisions by employers used the audit come and status of those who had not been
method, which involves sending matched treated. Treatment was negatively associ-
pairs of people (testers) to apply for real job ated with both income and employment
openings. The pairs differ on some charac- (Link, 1982). The impact seemed to depend
teristic, and the researcher observes whether partly on whether occupational compe-
employers respond differently to the two tence was developed before or after the on-
people. Two young White men and two set of the illness. Men who had no history
young Black men, matched on age, physical of competent work performance had more
appearance, and style, applied for the same difficulty obtaining employment following
jobs 1 day apart. One man of each race had hospitalization. Men who had a history of
a criminal record—a felony drug conviction occupational competence usually kept their
that resulted in 18 months in prison. Each jobs, even during periods when their work
tester posed as the convicted felon in al- performance was seriously affected.
ternate weeks. The dependent variable was Some persons turn a career history of
whether the employer called back the young deviance into an occupational asset by be-
man for an interview. Having a record had coming a “professional ex-” (Brown, 1991a).
a significant effect. For the White pair, the Individuals with histories of alcohol or drug
man without the record was called 34 per- abuse or other problem behaviors some-
cent of the time, whereas the man with the times become counselors, working with
record was called 17 percent of the time. others who are involved in these behaviors.
Among the Black testers, the percentages Professionalizing rather than giving up the
were 14 percent and 5 percent (Pager, 2003). deviant identity is another way of going
Thus, the combination of being Black and straight.
having a criminal record makes it unlikely A study of the long-term impact of be-
one will be called for an interview. This con- ing labeled as mentally ill suggests that
tributes to the high rates of unemployment it is not the label by itself that has impact
in some minority communities. but the label combined with changes in
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self-perception (Link, 1987). The study These tactics include selective conceal-
compared samples of residents and clinic ment of past labeling, preventive disclo-
patients from the same area of New York sure to close friends, and various decep-
City. Three samples involved people who tion strategies (Miall, 1986). On the other
had been labeled: first-treatment contact hand, longitudinal research suggests that
patients, repeat-treatment contact patients, persons who have been publicly labeled
and formerly treated community residents. and treated continue to anticipate rejection
The other two groups were untreated from others even though they no longer
“cases” (people with symptoms) and a sam- engage in the symptomatic behavior (Link,
ple of residents. All participants completed Struening, Rahav, Phelan, & Nuttbrock,
a scale that measured the belief that mental 1997). A longitudinal study of 88 persons
patients are stigmatized and discriminated released following an average of 8 years of
against. High scores on the measure were hospitalization measured experiences with
associated with reduced income and unem- rejection following release. Those who re-
ployment in the labeled groups but not in ported a larger number of such experiences
the unlabeled ones. Later research shows subsequently attained low scores on mas-
that when people enter treatment, those tery. Former patients’ self-views appear to
who expect discrimination use strategies fluctuate, perhaps in response to alternat-
such as keeping their condition secret or ing experiences of acceptance and stigma
withdrawing from interaction (Link, Cul- (Wright, Gronfein, & Owens, 2000). Thus,
len, Struening, Shrout, & Dohrenwend, stigma may have lasting effects on a per-
1989). This tends to cut them off from so- son’s psychological well-being.
cial support and interfere with their work
performance.
A longitudinal study of recovery from SuMMary
mental illness obtained data from members
of self-help groups (N = 590) and outpa- Deviant behavior is any act that violates the
tients (N = 90) two times, 18 months apart. social norms that apply in a given situation.
The results indicate that recovery is a com-
plex process. As reported satisfaction with The Violation of Norms. (1) Norms are lo-
job status, income, place of residence, and cal, subcultural, or societal in scope. The re-
time spent with family and friends increase, percussions of deviant behavior depend on
symptoms decrease. Decreases in symp- which type of norm an individual violates.
toms over the 18-month period were asso- (2) Anomie theory asserts that deviance oc-
ciated with increases in self-esteem. In turn, curs when persons do not have legitimate
we would expect increases in self-esteem means available for attaining cultural suc-
to be associated with reduced symptoms cess goals. Possible responses to anomie in-
and recovery (Markowitz, 2001). Thus, an clude ritualism, retreatism, innovation, and
important part of recovery is the quality of rebellion. General strain theory suggests
social, economic, and occupational roles that emotions link structural position and
available to the person. behavior. (3) Control theory states that de-
The long-term effects of formal labeling viance occurs when an individual is not re-
on the reactions of others may be limited, sponsive to the expectations of others. This
because persons who have been labeled in responsiveness, or social bond, includes at-
the past engage in various tactics to prevent tachment to others, commitment to long-
others from learning about their stigma. term goals, involvement in conventional
9780813349503.indb 575 5/16/14 1:50 PM

activities, and a respect for law and au- behavior toward the actor. If they withdraw
thority. Research indicates that social inte- from the stigmatized person, they may cre-
gration is associated with reduced rates of ate a self-fulfilling prophecy and elicit the
deviance in adolescence and adulthood. (4) behavior they expected from the actor. (2)
Differential association theory emphasizes Labeling often causes the actor to change
the importance of learning through inter- his or her self-image and to come to define
action with others. Individuals often learn the self as deviant. This, in turn, may lead to
the motives and actions that constitute de- secondary deviance—an open and active in-
viant behavior just as they learn socially ap- volvement in a lifestyle based on deviance.
proved behavior. (5) The routine activities Such lifestyles are often embedded in devi-
perspective calls attention to situations that ant subcultures.
facilitate the convergence of offenders and
targets, in the absence of a guardian. Formal Social Controls. Every society gives
certain agents the authority to respond to
Reactions to Norm Violations. Deviant deviant behavior. (1) In U.S. society, the
behavior involves not only acts that violate major formal social control agents are the
social norms but also the societal reactions criminal justice, juvenile justice, and mental
to these acts. (1) There are numerous pos- health systems. These agencies select per-
sible responses to rule breaking. Very of- sons and identify them as deviant through
ten, we ignore it. At other times, we deny a sequence of decisions. In the criminal
that the act occurred, define the act as nor- justice system, the sequence includes the
mal, excuse the perpetrator, or recognize decisions to arrest, prosecute, and sen-
the act but de-emphasize its significance. tence the person. Various factors influence
Only after an act is discovered and labeled each step in decision making, including the
“deviant” is it recognized as such. (2) Our strength of the evidence, the seriousness of
reaction to rule breaking depends on the the rule violation, and the individual’s prior
characteristics of the actor, the audience, record, and sometimes gender and race. (2)
and the situation. People often have a ste- Contrary to popular belief, people do not
reotyped image of deviant persons; these systematically stigmatize former deviant
stereotypes influence how audiences react persons. Most families do not continue to
to rule violations. (3) The consequences of stigmatize relatives following their release
rule breaking depend on the reactions of from mental hospitals, and most employers
the audience and the response of the rule do not stigmatize ex-patients who have es-
breaker. If members of the audience reward tablished competent work records. On the
the person, the deviance may become insti- other hand, employers may stigmatize mi-
tutionalized. Alternatively, the person may nority men with prison records, and stigma
decide to avoid further deviance, in spite may have long-term effects on the ex-devi-
of others’ encouragement. If the person is ant person’s psychological well-being.
punished, he or she may either give up the
behavior or respond with additional rule
violations. List of Key Terms and Concepts
Labeling and Secondary Deviance. The anomie theory (p. 543)

process of labeling has two important con- control theory (p. 547)
sequences. (1) It leads members of an au- deterrence hypothesis (p. 567)
dience to change their perceptions of and deviant behavior (p. 542)
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deviant subculture (p. 564) slut is used to refer to someone who is

differential association theory (p. 550) sexually promiscuous; but what does that
formal social controls (p. 565) mean? In practice it probably means differ-
informal social control (p. 565) ent things to different people. So whether a
institutionalization of deviance (p. 560) woman is a slut is subjective; it depends on
labeling theory (p. 556) the standards of the person doing the label-
learning structure (p. 544) ing. They may have very different standards
legitimate means (p. 543) than you do.
opportunity structure (p. 544) We also reviewed research in this chap-
routine activities perspective (p. 553) ter that indicates that often a person is la-
rule breaking (p. 556) beled a slut, gay or lesbian, or an alcoholic
secondary deviance (p. 564) based on indirect evidence. The person
self-fulfilling prophecy (p. 562) applying the label may not have observed
relevant behavior—sex with multiple part-
ners, or excessive drinking. Labeling is of-
Critical Thinking Skill: ten based on dress—showing a lot of skin,
Applying Stigmatizing Labels Critically wearing colorful clothing—hanging out
with a certain group, working in a certain
A major contribution of the labeling per- occupation, or being a type of athlete (“all
spective on deviance is calling our attention ___ are lesbians”).
to the fact that many of the words we use to Labels are communicated through social
describe people who engage in deviance are interaction. If a friend tells you that Jade is
stigmatizing. Labels like “slut,” “jd” (juvenile lesbian and you repeat the label to others,
delinquent), “retard,” “child molester,” and you are uncritically accepting another per-
“murderer” carry a strong negative evalua- son’s judgment—a judgment you might not
tion. If we use such labels in conversation, agree with if you knew “the facts.” This, of
it changes the attitudes of others toward course, is gossip, which can ruin another
the person; eventually the label gets back to person’s reputation, possibly wrongly. Peo-
the person and may have a negative impact ple have been forced to change schools and
on his self-image and mental health. So it jobs, lost relationships, and even commit-
is really important that we use these labels ted suicide because of gossip.
only when they are accurate. Therefore, the A critical thinker should not accept with-
issues are (1) to what does the label refer ex- out question the accuracy of such labels. At
actly, and (2) does the person actually have a minimum, we should inquire how the per-
that characteristic? son applying the label knows it is accurate.
One concern is that the meaning of some If the answer is “So-and-so said so” or “Ev-
labels is ambiguous to begin with. The term erybody knows!” we should be skeptical.
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9780813349503.indb 578 5/16/14 1:50 PM
chaPter 17
collecTiVe BehAVioR AnD

sociAl MoVeMenTs
introduction 580 recruitment 601
Collective Behavior 581 mobilization 603
crowds 581 conservative movements in the

United States 604
Gatherings 587
Underlying causes of collective Summary 608
Behavior 589 List of Key Terms and Concepts 608
Precipitating incidents 593
Critical Thinking Skill: Understanding
empirical Studies of riots 593 the Difference Between Anecdotal and
Social Movements 599 Scientific Evidence 608
Preconditions 599
ideology and framing 600
579
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580 CollECTIvE bEhavIor and soCIal MovEMEnTs
IntroductIon Collective behavior refers to two or

more persons engaged in behavior judged
• On March 12, 2011, at least 85,000 common or concerted on one or more di-
protestors gathered on the Capital mensions (McPhail, 1991). This is an in-
Square in Madison, Wisconsin, tentionally broad definition, because a wide
alternately marching, yelling, chanting range of events have been studied by social
slogans, singing, and listening to scientists as examples of collective behav-
speeches. They were protesting the ior, including the four just described.
passage (at 12:30 a.m. in a hastily called Collective behavior has three dimen-
session) by the Republican-controlled sions: spatial, temporal, and scale. With
legislature of Act 10, which severely regard to space, collective behavior may
curtailed public employees’ union occur at a single point (such as a street cor-
protections. ner or building), at a larger site (such as a
football stadium), or across an entire city
• On October 29, 2012, the San Francisco
or state. Temporal duration can vary from
Giants baseball team won the World
a few minutes (such as a violent attack by
Series in a rare 4-game sweep of the
a gang) to several hours (such as a victory
Detroit Tigers in Detroit. Fans in San
celebration) to several days (such as the
Francisco converged on the Civic
widespread rioting in Stockholm, Sweden,
Center, and small groups fanned out and
in May of 2013). Collective behavior also
set fires, broke windows, and vandalized
varies in terms of the scale of the activity.
cars and at least one city bus.
We usually only learn about large-scale
• On July 28, 2013, a large crowd moved events, because newspapers and television
through Huntington Beach, California, news programs tend to report only the larg-
fighting, looting, and trashing property. est rallies, demonstrations, riots, victory
Thousands of people had attended the celebrations, or political campaigns (Oliver
U.S. Open of Surfing earlier in the day. & Myers, 1999; Myers & Caniglia, 2004).
A large fight broke out after the event This focus on large-scale events colors the
ended; when police tried to break it up, public’s perception of the nature of collec-
the crowd surged into the downtown tive behavior.
area. Research on “collective behavior” usu-
ally focuses on short-term, unorganized
• On August 14, 2013, hundreds of
events—crowd behavior—but another seg-
protestors marched through the streets
ment of the field examines longer-term,
of Alexandria, Egypt, armed with
relatively organized activities called “social
wooden clubs. The protestors, backers
movements.”
of ousted Egyptian president Mohamed
In this chapter, we will examine both by
Morsi, set fires, beat restaurant patrons,
discussing the following questions:
and stormed a police station.
Events such as these occur daily and some- 1. What social processes are involved in
times receive international media coverage. collective behavior?
In part because they occur frequently and
often result in injuries, deaths, and property 2. What causes collective behavior?
damage, they have been of interest to social That is, what conditions facilitate
scientists since the turn of the twentieth it, and what conditions precipitate
century. particular collective activities?
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CollECTIvE bEhavIor and soCIal MovEMEnTs 581
3. What factors influence the behavior (McPhail, 1991). But these ideas about
of people when they gather in a crowds and “mob psychology” live on in the
crowd? popular press and the mind of the public.
Therefore, we discuss them not only to pro-
4. How do social movements develop? vide an understanding of the historical de-
What are the processes by which velopment of thinking about collective be-
social movements define issues and havior, but also to show that some of these
attract members? popular ideas are, in fact, myths.
5. How do social movement Crowds

organizations mobilize supporters,
especially into high-risk activism? A crowd is a temporary gathering of per-
sons in close physical proximity, engag-
ing in joint activity that is unconventional
collectIve behavIor (Snow & Oliver, 1995). Participants may
engage in one common activity (such as lis-
Several years ago, the University of Wis- tening to a speech or spontaneously sing-
consin Badgers, playing a football game ing a song) or in concerted action (such as
at home, beat the University of Michi- vandalizing cars or rescuing victims from
gan Wolverines, 13 to 10. When the game a collapsed building) or in a large variety
ended, fans in the stadium rushed onto of activities (such as observing others in
the field to celebrate the win. An esti- the crowd, milling, discussing actions with
mated 12,000 persons attempted to move friends, looting, and running away from
forward onto the field from two sections police). Crowd incidents often seem to be
of the stadium, seemingly in unison. But marked by high levels of emotion (Turner &
their progress was blocked by a 3-foot-high Killian, 1972). For instance, in the surge at
iron railing in front of the stands and by a the Wisconsin football game, most persons
6-foot-high chain-link fence just beyond it. in the stadium were Wisconsin fans and
As the people in the back pressed forward, were elated at the unexpected victory over
those in front were crushed against the bar- a powerful rival.
rier, and many fell and were trampled. The The classic perspective on crowds has
force ripped the railing out of its concrete its roots in the writings of Gustave Le Bon
moorings and flattened the fence. At least (1895) and focuses much of its attention
68 people were injured, and 16 were hospi- on emotion in the crowd. According to Le
talized for at least one night. Miraculously, Bon and other early writers, emotion in a
no one was killed. The incident received na- crowd produces unity among its members
tionwide publicity. and gives direction to the crowd’s behavior
Can social psychology help us under- (Locher, 2002; McPhail, 1991; Miller, 2000).
stand incidents like these? Since the very Le Bon referred to this as “the mental unity
beginnings of the discipline, social psychol- of the crowd.” This unanimity is then sup-
ogists have been concerned with crowd be- posed to lead participants to think, feel,
havior. As we will see, however, the earliest, and act in ways that are different than if
or classic, perspectives on the crowd were each member were alone. Thus, the elation
largely uninformed by actual empirical shared by the Wisconsin fans led them to
study and, in fact, most of these theoreti- want to celebrate on the field, whereas they
cal notions have been thoroughly debunked might not have tried to enter the field if it
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weren’t for the influence of others. If these a behavior very quickly. When one person
persons all had different feelings, the surge provides a novel model for behavior, it can
would not have occurred. quickly be assessed and performed by oth-
ers in the crowd. The outbreak of violence
Deindividuation. One influence on bein the Super Bowl XXXII celebration that
havior in crowds is that the members may followed the Denver Broncos win occurred
feel more anonymous in the large group when a group of people began kicking in the
than they usually do. This deindividua- windows of an Athlete’s Foot store. This be-
tion can result in a temporary reduction havior spread; others began to break win-
in self-awareness and sense of personal re- dows in neighboring stores.
sponsibility (Festinger, Pepitone, & New- Le Bon’s understanding of crowd be-
comb, 1952). This can make it easier for the havior was deeply influenced by his under-
person to act on impulse and to engage in standing and observation of French politics
behavior that violates social norms—such (Miller, 2000). The tremendous interper-
as shoving hard against others, breaking sonal violence that accompanied the French
windows, or overturning cars. Social psy- Revolution and its long aftermath provided
chologists have long thought that this effect a frightening model of crowd behavior. Le
arises from a reduced sense of self-aware-
ness (Diener, 1980), increased arousal, and
the diffusion of responsibility (Zimbardo,
1969) (see Chap. 10). More recently, how-
ever, some social psychologists have rec-
ognized the possibility that behavior in
deindividuated situations may actually be
the result of conforming to norms that are
specific to the situation (Postmes & Spears,
1998). This view is more consistent with
sociological understandings of crowds such
as the emergent norm theory discussed
later. Furthermore, although the effects of
deindividuation have been amply demon-
strated in laboratory settings, it is consid-
erably more controversial whether individ-
uals in crowds experience marked degrees
of deindividuation in the first place. In fact,
most people in crowds attend as part of a
group of friends or family members and are
thus not particularly anonymous (McPhail,
1991). At the protest in Madison, most per- The behavior that occurs in groups and crowds
sons came with family, friends, or cowork- often seems very different from behavior in our
ers rather than as individuals. daily routines. Coordination of activity in a crowd
can produce an innocuous, even fun, outcome,
Contagion. People in general have a ten- such as this water balloon attack. Or it can result
in something much more serious, such as a
dency to imitate the behavior of others. destructive riot. Collective behavior scholars try to
When many people are crowded into a understand the dynamics that produce both kinds
relatively small area, imitation can spread of action. © Matthias Balk/dpa/Corbis
9780813349503.indb 582 5/16/14 1:50 PM

Bon tried to understand how people could reactions to unusual things happening to
participate in such extraordinary fits of others in the vicinity; 22 of the 29 persons
violence and revert to their normal rou- experiencing symptoms were female; and
tines only hours later. He concluded that symptoms resolved within minutes or a few
a disease-like contagion was spreading hours of leaving the building. Such inci-
through the crowd and infecting everyone dents gain momentum from attention and
present. Thus, an unconscious contagious prolonged media exposure. Camera crews
effect transformed individuals in crowds from major networks descended on Le Roy,
into a unanimous mass. He thought the New York, and were constantly trying to
hypnotized mass was highly suggestible and interview those affected, their families, and
thus could easily be turned to destructive friends and neighbors. Such attention can
behavior. encourage the spread of the behavior.
Contemporary events that appear to re-
flect contagion involve a number of peo- Myths about Crowds. Although casual and
ple in close proximity displaying the same unsystematic observation of crowds has a
behavior or symptoms of illness, with no tendency to produce impressions similar
apparent physical (chemical, biological) to Le Bon’s, social scientists have produced
cause. A highly publicized case involved evidence that these notions of contagion
more than 20 high school students in Le and the accompanying view of mob psy-
Roy, New York, who in 2011 developed chology are simply wrong (McPhail, 1991;
uncontrollable arm swings or tics within a Miller, 2000). Over 40 years ago, sociologist
3-month period. An investigation revealed Carl Couch (1968) summarized research
no plausible physical cause. These inci- on crowds and identified a number of ste-
dents are variously termed mass or collec- reotypes of crowds held by social scientists
tive hysteria, or mass psychogenic illness. and the broader public. These stereotypes
It is believed that these events occur when have been so difficult to shake that collec-
someone who is under stress “converts” tive behavior scholars now refer to them as
the emotional disturbance into a physical “myths”! Recently, David Schweingruber
symptom. Others in the vicinity experienc- and Ronald Wohlstein (2005) summarized
ing stress observe the behavior and adopt the seven dominant myths about crowds:
it. These events often occur in schools or
workplaces. Most such incidents involve • Irrationality. Although people in
women. In one 3-day period in 2005, 29 crowds do things that to the outsider
students in a Michigan high school became look irrational, research shows that
ill, experiencing headache and light-head- people are no less rational in their de-
edness. The school was evacuated twice, cision-making processes when they
so that emergency response teams could are in crowd situations than they are
search for possible causes. After the second at other times. Even in emergency
evacuation, federal and state specialists were evacuation situations where we might
brought in. A thorough assessment was expect people to panic (for example,
carried out of the air, water, and infrastruc- the evacuation of the World Trade
ture of the building over the next 3 days; all Center during the September 11, 2001,
of the findings were normal. Investigators attacks), people remain orderly and
concluded this was probably a case of MPI calm throughout (Tierney, 2002).
(US DHHS, 2006). All of the evidence sug- • Emotionality. People are engaged
gests that the students’ “symptoms” were emotionally in crowd situations, but
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crowds do not cause individuals to and norms to guide their action much
supplant rationality with emotion, nor of the time (Tilly, 1995). Consider the
is emotionality the exclusive domain emergence of the “wave” in a football
of crowds by any means. stadium. Although the individual fan
• Suggestibility. Despite how it may ap- might not be able to predict when it
pear to an outsider, people in crowds will occur, the crowd at the game is re-
are not particularly likely to obey sponding to an action planned by the
the directives of others or to imitate cheer squad and knows what to do as
mindlessly other behavior they see. If a result of prior experience seeing or
crowds are so easily suggestible, one being part of the wave. It is not a spon-
might ask why they do not disperse taneous act.
immediately when asked to by the • Anonymity. As mentioned earlier,
authorities! individuals are rarely anonymous in
• Destructiveness. Crowd situations crowds. They assemble at the event
sometimes end up producing some with friends and family and usually
kind of destruction or violence. But stay with that group throughout the
even though these violent episodes event.
may be emphasized by the media, and • Unanimity. Although people in
thus become associated with crowds crowds are sometimes thought to all
(Myers & Caniglia, 2004), violent be doing the same thing at the same
crowds are very much the exception time, those who have actually system-
rather than the rule (McPhail, 1994). atically observed crowds have found
Furthermore, even in crowds that do that people are engaged in a huge
produce violence, only a small fraction variety of activities while in crowds
of the crowd is engaged in any kind of (Turner & Killian, 1987), and rarely
destructive act. In San Francisco, of can one observe even near-unanimous
the thousands of fans gathered at the activity—even at a rally where every-
Civic Center, only an estimated 100 one is supposed to be paying attention
engaged in destructive acts. Therefore, to a speaker or praying together (Sch-
it does not seem that being in a crowd weingruber & McPhail, 1999).
causes all/most/many individuals to
become violent. Some of these seven beliefs about crowds
• Spontaneity. Crowds are often may seem very intuitively attractive to you,
thought to be spontaneous in produc- but as has often been shown to be the case
ing action that is not thought through, throughout this textbook, systematic social
not rational, and unpredictable. Once psychology does not always verify our com-
again, this myth seems to emerge monsense understandings. To better illus-
from the outsider not being able to trate various aspects (perhaps unexpected)
predict what the crowd will do rather of crowd behavior, Box 17.1 discusses a
than from those in the crowd engag- crowd rush at a rock concert, and how peo-
ing in unplanned action. Much crowd ple’s behavior in the rush was quite differ-
action, and in particular the protest ent than the portrayals of the event in the
crowds that are so often the focus of popular press suggested.
crowd psychology, require a great deal
of planning. Furthermore, those in Emergent Norms. Emergent norm the-
crowds rely on well-established scripts ory, proposed by Turner and Killian (1972,
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Box 17.1 “Stampede” at The Who Concert
In december of 1979, the rock group The Who ring around them. Unfortunately, the immense
were preparing to play a concert at Cincinnati’s pressure from behind them forced them either
Riverfront Coliseum. The concert promoters had to walk across the fallen group or to fall into it
arranged open seating for the concert, meaning themselves. Others reported trying to help or to
that whoever got to a seat first claimed it for the get help for other people, but everyone around
concert. As a result, concertgoers began gath- was trapped by the crowd. People reported not
ering at the Coliseum some 6 hours before the being able to move their arms, and others were
concert was scheduled to begin. By the time the carried along by the crowd, unable to touch the
doors opened, thousands of people were waiting ground for long periods.
to enter the concert. As the crowd surged forward Second, social norms were not suspended
to enter the Coliseum, the crowd became com- during the surge. For example, one norm in our
pacted and people near the front were caught in society is that men, by virtue of being stronger,
a massive crush. Some fell and were trampled by should help women. during the crush, men did
the crowd. In the end, 11 people were killed and not abandon this norm and just attend to their
many more injured. own interests. Instead, they offered much more
The press and other observers reacted angrily help than they received, and offered the majority
to the incident, decrying the “mob psychology” of their help to women.
that seemed to have produced incredibly callous In the end, it is clear that the structure of the
behavior on the part of the concertgoers. The situation had much more to do with the emer-
press called on traditional theories of crowd be- gence of the crush than with transformative con-
havior to characterize what happened. They be- tagion or amoral, individualistic behavior.
lieved either that the crowd situation had trans- For one thing, communication in the crowd
formed people into ruthless monsters who were was extremely limited. The only ones who knew
willing to kill other people just to get a better seat that people were being hurt were those close
at the concert or that the concert was a gathering to the injured. The vast majority of the people
of sociopaths who “stomped 11 persons to death in the crowd had no idea what was happening
[after] having numbed their brains on weed, and were just moving forward in what they per-
chemicals, and Southern Comfort” (Ryoko, 1979). ceived as a routine situation. A second structural
Aware that the traditional theories of crowd problem was that the crowd had been allowed to
behavior had serious shortcomings, sociologist build up to such a large number with no place to
Norris Johnson examined the crush at the con- go until the doors were opened. When the doors
cert to determine how accurate the press had were opened, too few were opened to accom-
been in characterizing the events, and if there modate the large number of people who were
was any empirical evidence for or against the waiting. Those at the back of the crowd could see
traditional theories of crowds. Johnson found that the doors were open—a signal to move for-
that systematic, detailed investigation revealed ward—but they had no idea that they were mov-
a quite different set of behaviors than what had ing forward more rapidly than those in the front
been reported. First, the concertgoers’ behavior could move through the doors.
could not be described as “unregulated competi-
Source: Adapted from Norris R. Johnson, “Panic at The
tion” for seats. People in the crowd near the area
Who Concert Stampede: An Empirical Assessment,”
where the injuries occurred reported that every- Social Problems, Vol. 34, No. 4: 362–373. © 1987, The
one in the area was desperately trying to help Society for the Study of Social Problems Inc. Used by
others. When the first group of approximately permission. All rights reserved. http://www.ucpress
25 people fell, others tried to form a protective .edu/journals.
9780813349503.indb 585 5/16/14 1:50 PM

1987), was constructed to correct the mis- olis after a police bullet fired in a drug raid
takes of earlier crowd theorists. Emergent ricocheted and hit a young bystander in the
norm theory applies to collective behavior arm. Rumors quickly spread that the police
that occurs when people find themselves had aimed at the boy, producing a quite
in an undefined or unanticipated situation. different understanding of the situation. In
The situation may be novel, so there are few some incidents, rumors are broadcast by ra-
cultural norms to guide or direct action. For dio and TV stations, making them appear
instance, in recent years, there have been to be true. In other incidents, milling—the
several incidents in which a person with a movement of persons within a setting, and
gun walked into a school and opened fire. the consequent exchange of information
On December 14, 2012, Adam Lanza en- between crowd members—is the primary
tered Sandy Hook Elementary School in method through which rumor is transmit-
Newtown, Connecticut, by shooting his way ted. Persons who are not physically present
through a locked door. Confronted by three may learn about the emerging situation
school personnel, he shot and killed two of from radio or television reports or through
them, then entered a first-grade classroom telephone calls (McPhail, 1991).
and shot and killed all but one of the stu- Diverse interpretations and action ten-
dents. Witnesses described chaotic scenes dencies are usually present in a crowd sit-
in several classrooms during the attack. uation (Turner & Killian, 1972). Someone
Such incidents are completely unexpected, initiates an act—perhaps in the belief that
and there are no behavioral guidelines; peo- others will support him or her. Once a per-
ple don’t know what to do. In other cases, son initiates an act, the support of those
the social structure may be temporarily nearby determines whether that person will
disrupted by a natural disaster—such as a persist in attempts to influence others. If
tornado—or by an event such as a citywide enough people reinforce that person’s po-
strike by police officers. Another possibil- sition or behavior, a shared understanding
ity is that there may be conflicting defini- will emerge. The definition of the situation
tions of how people should behave. To act that results from interaction in an initially
in these situations, those present must de- ambiguous situation is termed an emer-
velop a shared definition of the situation gent norm. The emergent norm is usually
and the associated behavioral norms. not completely novel; it involves a modi-
In all these circumstances, people want fication or transformation of preexisting
to find out what is going on or what they norms (Killian, 1984).
should do. Because they need information, Once a definition of the situation devel-
conventional barriers to communication ops, people are able to act purposively. In a
may break down. Strangers talk to one an- crowd, behaviors consistent with the norms
other or to members of groups they usually are encouraged, whereas behaviors incon-
avoid. Furthermore, the usual standards of sistent with the norms are discouraged.
judgment and morality may be suspended Thus, there are normative limits on the be-
(although research has shown that this is havior of crowd participants. Crowds cele-
usually quite rare). Rumor—communi- brating a football championship usually do
cation through informal and often novel not engage in looting. Conversely, crowds
channels that cannot be validated—can of looters in the inner city do not congre-
exert a major influence on the emerging gate in bars for several hours, drinking al-
definition of the situation (Knopf, 1975). In coholic beverages and chanting for their
August 2002, a riot broke out in Indianap- victorious team.
9780813349503.indb 586 5/16/14 1:50 PM

A distinctive image of crowds emerges Gatherings are the basis of collective be-
from this perspective. People in crowds are havior. People may gather for a variety of
viewed as emotional. Crowd activity reflects reasons. Some gatherings are for purposes
the rapid spread of a behavior—often one of recreation or “hanging out,” as in parks,
that violates social norms, such as looting theaters, swimming pools, or at the scene
stores—through the crowd. The spread is of a fire, accident, or arrest. Other gather-
facilitated by anonymity; people can engage ings are demonstrations that involve two or
in deviance without fear of sanction, because more people meeting in public to protest or
the others present don’t know them. But celebrate some person, principle, or condi-
people are still making rational decisions in tion; these may be political or religious in
line with their current understanding of the nature, or involve an athletic event. Still
situation. Nevertheless, when large num- other gatherings are ceremonies, intended
bers of people engage in the same behavior, to mark a change in status or a life-course
unintended and undesirable outcomes can transition; these may be semipublic or pri-
occur, such as the injuries suffered in the vate events.
surge at the Wisconsin-Michigan game.
While the emergent norm perspective Behavior in Gatherings. The behaviors of
has been helpful in understanding certain persons in gatherings reflect their purposes.
kinds of actions in a limited set of collec- Many persons who attend share the stated
tive settings, it has been criticized because purpose (say, to celebrate a victory). But
emerging norms via negotiation are not others come with other purposes—to ac-
unique or even especially relevant to crowd company a friend, to meet potential dates,
situations. Norms emerge in many social or to pick someone’s pocket. What occurs
situations, including but hardly limited reflects two influences: (1) participants’
to crowds. Furthermore, norms of behav- purposes and (2) features of the situa-
ior that individuals have prior to being in tion. Consider again the surge at the Wis-
a crowd are used and acted on within the consin-Michigan game. At the end of the
crowd settings. game, some of those in the student section
wanted to go onto the field to celebrate.
Gatherings Others wanted to leave the stadium. Oth-
ers wanted to get something to eat or drink.
The traditional view of crowds as emotional Each of these required movement toward
is at best incomplete and at times mislead- the lower level of the stands. A situational
ing. An alternative perspective has been feature, unknown to most of them, was the
developed that calls our attention to other iron railing; because it was only 3 feet high,
aspects of crowd incidents and collective it was not visible to those standing more
behavior (McPhail, 1991, 1994). This per- than a few rows back. The interaction of the
spective uses such concepts as the gather- participants’ purposes and the situational
ing, the phases of a gathering, and compan- feature—the railing—caused the undesir-
ion clusters to analyze collective behavior able outcome: injuries to 68 people.
(McPhail, 1997). Gatherings have three phases: assem-
According to this view, the social setting bling, activities, and dispersal (McPhail,
for many forms of collective behavior is a 1991). We will briefly examine each in turn.
gathering—that is, a temporary collection
of two or more persons occupying a com- Assembling. Any gathering is the result of
mon space and time frame (McPhail, 1991). people coming together in a common loca-
9780813349503.indb 587 5/16/14 1:50 PM

tion at the same time (McPhail, 2006). This of control over participants’ behavior—was
process may involve convergence, or it may incorrect on this point. Although it is true
reflect the ecology of the location at which that many participants in gatherings do not
the gathering occurs. know one another, each participant is often
Convergence refers to the situation in part of a small group. These groups form
which those present at a gathering share the fundamental social unit in collective be-
certain qualities. The spectators at a football havior situations—they discuss what is hap-
game are there to see the game. They may pening, decide jointly how to interpret the
have other, more idiosyncratic purposes as activities of others, and act together.
well, but they are fans, and this fact influ-
ences their behavior. Indeed, because the Activities. The activities of participants in
crowd has so many fans in it and because gatherings are not random. McPhail (1991,
they have gathered because they are fans, 2006) has identified the “elementary forms
their identity as fans may become more of collective action.” Four common vocal
salient to them and contribute more to activities are conversing, singing, praying,
their behavior than it does in other circum- and cheering. Data collected at the Prom-
stances. The surge at the Wisconsin-Mich- isekeepers March on Washington, Octo-
igan game occurred in part because many ber 4, 1997, found that praying and singing
fans wanted to celebrate the unexpected were solicited by speakers from the podium,
victory. Convergence at a gathering is much whereas conversing and cheering were
more likely if the gathering has been publi- more spontaneous. Physically, participants
cized in advance. It is also more likely if the may congregate in companion clusters—of
media broadcast news of it in advance or as family, friends, or acquaintances. A second
it occurs. activity form is the queue or line, as partici-
More often, the composition of a gath- pants wait for admission, access, or service.
ering reflects the social ecology of the en- A third form is arcs or rings of participants
vironment. Other factors being equal, the around performers, speakers, or fights.
greater the density of an area, the larger the Certain activities are common in partic-
number of potential participants. Crowd ular types of gatherings. For instance, reli-
events are much more likely to occur in gious, concert, and sport gatherings involve
central cities than in suburbs or rural ar- celebration rituals—individual or collective
eas. Organizers of demonstrations learned chanting, singing, or praying, combined
many years ago that they need to provide with symbolic gestures, such as the “wave”
buses if sympathizers are not located near or holding up cigarette lighters to request
the site of the demonstration. an encore. Most members of the culture are
Research suggests that many individuals familiar with these rituals because of child-
come to gatherings in small groups of two hood socialization or exposure via mass
to five people (McPhail, 1991). These small media. Thus, even a first-time participant
groups are usually made up of acquain- in a religious service can act in unison with
tances, friends, or family members. This others. Ceremonial gatherings often in-
group-within-a-group composition is im- volve singing, dancing, and musical perfor-
portant because the presence of others who mances; these are sometimes quite complex
know the person establishes some informal and require considerable advance planning
social control over his or her behavior. The and coordination. Retirement and farewell
classic perspective on crowds—which em- ceremonies and funerals often involve trib-
phasized anonymity and the resulting lack utes to the person and have a typical form.
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Dispersal. Gatherings end or disperse in to shooter scenarios on college campuses,

one of four ways: routine, coerced, emer- or disaster preparedness training are all de-
gency, or negotiated. By far the most com- signed to reduce confusion, injuries, and
mon but least studied is the routine type, in death. Conversely, failure to hold an evac-
which those present leave the setting in an uation drill may have contributed to the 32
orderly fashion. People often queue as they deaths that occurred during the sinking of
leave an airplane, football stadium, or con- the cruise ship Costa Concordia after it ran
cert hall. They typically leave in the com- aground on January 13, 2012.
pany of the same people with whom they Negotiated dispersals are possible when
assembled. When there are large numbers event or protest organizers and law en-
of persons or vehicles, officials may facili- forcement personnel collaborate before or
tate dispersal by directing traffic. In more during protest events. This allows for an ad-
open settings, such as a concert in a park, vance agreement about the time, place, and
people may leave in clusters. manner of dispersal of crowds.
Coerced dispersal refers to the situation
in which social control agents, such as po- Underlying Causes of Collective Behavior
lice officers or firefighters, direct people to
leave before the intended purpose of the Having considered the internal dynamics
gathering is achieved. This occurs when the of gatherings, we turn now to the causes
authorities suspect that those gathered are of collective behavior. In some instances,
in some danger, are causing others to be collective behavior is simply a response to
in danger, or because the assembled group some event, such as a natural disaster, an
is being too disruptive of others’ life rou- athletic victory, or an assassination. Other
tines. An example is police directing citi- types of collective behaviors—demonstra-
zens to leave a stadium or concert because tions, boycotts, lynchings, lootings, and ep-
of a bomb threat. Another type of coerced idemics—frequently are thought to involve
dispersal occurred in downtown Denver not only a specific event but also more basic
during the Super Bowl victory celebration, underlying conditions in the larger society.
when the police used tear gas to force the Three such conditions are strain, relative
revelers to leave the area. deprivation, and grievances.
The most frequently studied is emer-
gency dispersal. This refers to situations Strain. Society may be viewed as normally in
where people have to deal with a suddenly a state of equilibrium, maintaining a relative
disrupted or dangerous environment. The balance between the emphasis on achieving
evacuation of the World Trade Center on society’s goals and the provision of the means
September 11, 2001, after the first plane hit to achieve them—education and jobs (Mer-
the tower is one example of an emergency ton, 1957) (see Chap. 16). At times, however,
dispersal. Studies have shown that even in social change may disrupt this equilibrium,
such extraordinary circumstances, most so that one aspect of society is no longer
people do not panic (Perry & Pugh, 1978). in balance with other aspects. Advances in
In fact, critical thinking and problem solv- technology, for example, demand changes
ing may even be enhanced in these danger- in occupational structure. Machines and ro-
ous situations. The speed and efficiency of bots have replaced many blue-collar workers
emergency dispersal can be improved by rein automobile plants. This change has con-
hearsal. Thus, fire (bomb) drills in schools, tributed to plant closings and high unem-
buildings, or ships, rehearsals of response ployment in cities like Detroit that depend
9780813349503.indb 589 5/16/14 1:50 PM

heavily on the auto industry. Such change evidence that strain does produce nonrou-
produces strains in society that cause some tine collective action (Myers, 1997; Myers
individuals to experience stress (see Chap. & Li, 2001; Olzak & Shanahan, 1996).
15). Although those who are affected may Surveys of three distinctive groups, Ger-
not recognize the source (for example, auman students, Indian Muslims, and British
tomation), they experience stress or frustra- Muslims, tested a theory of the antecedents
tion, which has been theorized to contribute of normative (demonstrations, picketing)
to collective behavior. and nonnormative (civil disobedience, ri-
Historically, economic issues have often ots) collective action. Perceptions of unfair
been the key grievances articulated by pro- group disadvantage are predicted to lead to
testors (Rudé, 1964). Food riots to protest group-based anger and aggressive, nonnor-
the lack of sufficient food, attacks on fac- mative, action. Perceptions of disadvantage
tories and businesses to prevent mechani- combined with the belief in the group’s ef-
zation, and sabotage to disable machinery ficacy to solve its problems are predicted
and other property are often economically to lead to normative action. The results
motivated. These activities were com- supported the theory, suggesting a group’s
mon in preindustrial England and France response to relative deprivation depends
(Hobsbawm & Rudé, 1975; Tilly, 1995). partly on its beliefs about the efficacy of
More recently, bank failures in Japan and normative protest (Tausch et. al., 2011). A
Korea produced economic crises in several meta-analysis finds that perceived efficacy
Southeast Asian countries, where curren- is highly related to participation in protest
cies declined sharply in value. The reduced (van Zomeren et al., 2008).
purchasing power that resulted led to
widespread rioting in Indonesia in Febru- Relative Deprivation. In the eighteenth
ary 1998 (“Indonesians die,” 1998). Rioters century, the revolt against the feudal socio-
frequently targeted businesses and homes economic structure occurred first in France.
of ethnic Chinese, whom they blamed for Yet France had already lost many feudal
soaring prices. These protests may reflect characteristics by the time the French Rev-
the strain caused by widespread unemploy- olution began in 1789. The French peasant
ment and inadequate incomes. was free to travel, to buy and sell goods, and
The evidence that economic issues drive to contract services. In Germany, however,
strain and produce collective action is the feudal social structure was still intact.
mixed. Whereas economic grievances seem Thus, based on objective conditions, we
to be related to people’s attitudes and their would have expected a revolution to oc-
support of radical policies (Plutzer, 1987), cur in Germany before it did in France.
other researchers have had great difficulty Why didn’t it? One analyst (de Tocqueville,
connecting economic conditions to actual 1856/1955) argued that the decline of medi-
collective behavior or protest (Myers, 1997; eval institutions in France caused peasants
Shorter & Tilly, 1974; Spilerman, 1970, to become obsessed with the ownership of
1976). Useem (1998) argues that these am- land. The improvement in their objective
biguous findings can be clarified if we make situation created subjective expectations
a distinction between routine (election ral- for further improvement. Peasant partici-
lies, peaceful protest) and nonroutine (ri- pation in the French Revolution was moti-
ots, rebellion, violence) collective action. vated by the desire to fulfill subjective ex-
Whereas routine collective action cannot pectations—to obtain land—rather than by
be well explained by strain, there is more a desire to eliminate oppressive conditions.
9780813349503.indb 590 5/16/14 1:50 PM

This basic notion about the causes of High

revolutions was expanded into a more sys- Expected Need
Satisfaction
tematic view. According to the J-curve Actual Need
theory (Davies, 1962, 1971), the “state of Satisfaction Intolerable
Gap
mind” of citizens determines whether there
NEEDS
is political stability or revolution. Based on Tolerable
external conditions, individuals develop Gap
expectations regarding the satisfaction of
their needs. Under certain conditions, per-
sons expect continuing improvement in the
satisfaction of their needs. If these expecta- Low
tions are met, people are content, and polit- TIME
ical stability results. But if the gap between

expectations and reality becomes too great, FIgure 17.1 The J-curve Model
people can become frustrated and engage in One theory of the causes of revolt is the J-curve theory.
protest and rebellious activity. According to this model, rebellion occurs when there
Some have posited that revolutions oc- is an intolerable gap between people’s expectations
cur when the level of actual satisfaction de- of need satisfaction and the actual level of satisfaction
they experience. In response to improved economic
clines following a period of rising expecta-
and social conditions, people expect continuing im-
tions and their relative satisfaction (Davies, provement in the satisfaction of their needs. As long as
1971). These relationships are summarized they experience satisfaction, there is political stability,
in Figure 17.1. Note the J shape of the actual even if there is a gap between expected and actual sat-
need satisfaction curve; as satisfaction de- isfaction. If the level of actual satisfaction declines, the
clines, an intolerable gap between expected gap gets bigger; at some point it becomes intolerable,
need satisfaction and actual need satisfac- and collective action occurs.
tion emerges. Source: Adapted from davies, “Toward a Theory of Revolution,”
Such a gap between one’s desired level American Sociological Review, 27, 5–19, 1962.
of need satisfaction and one’s actual need
satisfaction is called relative deprivation. should increase the chances that collective
Relative deprivation arises when people behavior will break out, a large number
make a comparison between their own of studies have failed to find such a rela-
circumstances and some comparison situ- tionship (Gurney & Tierney, 1982). Other
ation. The comparison might be made by studies have tried to measure and analyze
an individual comparing oneself or one’s the relationship between the individual’s
group to people from a different group or level of frustration or deprivation and his or
to an expected standard. For example, an her participation in protest. These studies
African-American person might experience found no differences in frustration or rela-
relative deprivation by comparing his or tive deprivation between participants and
her own salary to the salaries of Whites, by nonparticipants (McPhail, 1994).
comparing the overall level of Black salaries On the other hand, there have been suc-
to White salaries, or by comparing to what cesses for relative deprivation theory as
that individual thinks is a fair salary level. well. Corning and Myers (2002), for exam-
Thus, even if things are improving, relative ple, measured relative deprivation among
deprivation can still occur. women by focusing on group comparisons
Although it has been hypothesized that and found that women with higher rela-
increasing relative deprivation in a group tive deprivation scores were more likely
9780813349503.indb 591 5/16/14 1:50 PM

to have engaged in collective behavior and large gains in political influence. By 1890,
were more likely to expect to participate in however, Whites were attempting to re-
the future. This and other research suggest gain political control. Between 1890 and
that it is the feeling about one’s group be- 1900, several state legislatures discussed
ing deprived that is most important, rather laws that would have taken the vote away
than feelings about one’s own individual from Blacks. During these years, the num-
condition (Begley & Alker, 1982; Guimond ber of Blacks lynched in Alabama, Georgia,
& Dubé-Simard, 1983). In one laboratory Louisiana, Mississippi, and South Carolina
experiment, the researchers manipulated reached a peak (Wasserman, 1977). The
whether deprivation (the loss of a promised lynching of Blacks also increased during
$10 payment) was seen as due to individual economic downturns—for example, when
failure or group membership. Participants the price of cotton was declining (Beck &
who perceived it as due to group member- Tolnay, 1990).
ship were more supportive of collective ac- A second type of collective action, called
tion (Foster & Matheson, 1995). reactive, involves a conflict between a local
group and the agents of a national politi-
Grievances and Competition. In any soci- cal system. Tax rebellions, draft resistance
ety, certain resources are highly valued but movements, and protests of governmental
scarce. These resources include income or policy are reactive. Such behavior is a re-
property, skills of certain types, and power sponse to attempts by the state to enforce
and influence over others. Because of their its rules (regarding military service, for
scarcity, such resources are unequally dis- example) or to extend its control (such as
tributed. Some groups have more access imposing a new tax). Thus, such events rep-
to a given resource than others. When one resent resistance to the centralization of
group has a grievance—discontent with the authority.
existing distribution of resources—collec- A third type of collective action, called
tive behavior may occur to change that dis- proactive, involves demands for material
tribution (Oberschall, 1973). Attempts to resources, rights, or power. Unlike reactive
change the existing arrangement frequently behavior, it is an attempt to influence rather
elicit responses by other groups that are de- than resist authority. Strikes by workers,
signed to preserve the status quo. The re- demonstrations for equal rights or against
sult may be a series of actions by challeng- abortion, and various nonviolent protest
ers and power holders. activities are all proactive. Most proactive
There are three types of collective ac- situations involve broad coalitions rather
tions (Tilly, Tilly, & Tilly, 1975). Compet- than one or two locally based groups.
itive action involves conflict between com- The three underlying conditions dis-
munal groups, usually on a local scale. One cussed in this section differ in their em-
example is conflict and violence directed phasis. The strain model emphasizes the
toward members of certain ethnic groups. individual’s emotional state in explaining
Such incidents are more likely when mem- collective behavior. The relative depriva-
bers of the two groups are competing for tion view emphasizes the person’s subjec-
low-wage jobs or where there are sharp tive assessment of need satisfaction. The
increases in immigration (Olzak, 1989, grievance model suggests that collective
1992). The high rates of lynching of Blacks behavior results from rational attempts to
in the South in the 1890s is another ex- redistribute resources in society (Zurcher &
ample. From 1865 to 1880, Blacks enjoyed Snow, 1990).
9780813349503.indb 592 5/16/14 1:50 PM

Precipitating Incidents pants. Many of those present merely ob-

served these activities. Violence and looting
Conditions of strain, relative deprivation, spread rapidly. The ensuing disorder lasted
and grievances may be present in a society 3 days, resulting in 53 deaths and the de-
over extended periods of time. By contrast, struction of 10,000 businesses.
incidents of collective behavior are often The acquittal of the officers symbolized
sporadic. Frequently, there are warning for many Blacks their inferior position. The
signals that a group is frustrated or dissat- relations between Black citizens and White
isfied. Members of the dissatisfied group or police officers in Los Angeles and other cit-
third parties may attempt to convince those ies have been characterized by hostility for
in power to make changes (Oberschall, many years. The videotaped beating of Rod-
1973). If these changes are not made, mem- ney King was a graphic example of the mis-
bers may increasingly perceive legitimate treatment many Blacks had suffered. The
channels as ineffective, leading to marches, verdict suggested that White police officers
protests, or other activities. Eventually, an could abuse Black citizens without fear of
incident may occur that adversely affects punishment. This increased the frustration
members of the group and highlights the felt by large numbers of Blacks. Some of
problem, triggering collective behavior by them acted, and others quickly joined in.
group members; such an incident is re-
ferred to as a precipitating event. Such in- Empirical Studies of Riots
cidents appear to increase sharply the dis-
satisfaction of those who may have had low Because they are unpredictable, hostile
levels of grievance prior to the event (Opp, crowd events such as the one in Los Ange-
1988). les are difficult to study empirically. Nev-
An incident is more likely to trigger col- ertheless, extensive and sophisticated re-
lective behavior if it occurs in an area ac- search has been conducted on past racial
cessible to many members of the affected disturbances, such as occurred in many U.S.
group; this facilitates the assembling pro- cities between 1965 and 1971. These stud-
cess. It is also more likely to lead to col- ies have made careful attempts to examine
lective action if it occurs in a location that many of the theories presented earlier in
has special significance to group members this chapter.
(Oberschall, 1973). An event that occurs in In the first 9 months of 1967, there were
such a place may produce a stronger reac- more than 160 serious racial disturbances.
tion than would the same incident in a less In response, President Lyndon Johnson ap-
meaningful location. pointed a commission to study the causes
In April 1992, a California jury acquitted of these incidents. In its report (National
four police officers charged with beating a Advisory Commission on Civil Disorders,
Black motorist, Rodney King. Word of the 1968), the commission concluded that the
acquittal was broadcast throughout South- racial disturbances were caused by the un-
ern California. Within minutes, a crowd of derlying social and economic conditions
young men gathered at the intersection of affecting Blacks in our society. The report
Florence and Normandie in mostly Black pointed to the high rates of unemployment,
South Central Los Angeles. At first, some poverty, and the poor health and sanitation
of the men shouted at and harassed passing conditions in Black ghettos; the exploita-
motorists. As their numbers grew, others tion of Blacks by retail merchants; and the
began stopping cars and beating the occu- experience of racial discrimination, all of
9780813349503.indb 593 5/16/14 1:50 PM

which produced a sense of deprivation and Severity of Disturbances. In some cities,

frustration among Blacks. racial disorders involved a few dozen peo-
The Commission studied 24 disorders in ple, and there was little property damage.
23 cities in depth. It concluded that In other cities, they involved thousands
of people, and millions of dollars worth of
disorder was generated out of an in- property was destroyed. What determined
creasingly disturbed social atmo- how severe a disorder was?
sphere, in which typically a series of The commission’s report suggested that
tension-heightening incidents over the deprivations experienced by Blacks fu-
a period of weeks or months became eled the disorders. Numerous researchers
linked in the minds of many in the have studied this hypothesis. One question
Negro community with a reservoir of is whether absolute or relative deprivation
underlying grievances. At some point is more influential. Are grievances greater
in the mounting tension, a further in- only when unemployment, poor housing,
cident—in itself often routine or triv- and poor health are widespread, or are
ial—became the breaking point, and the grievances greater when the conditions
tension spilled over into violence. Vio- experienced by Blacks are poorer than the
lence usually occurred almost imme- conditions experienced by Whites?
diately following the occurrence of the Measures of both absolute and relative
final precipitating incident, and then deprivation were included in a series of
escalated rapidly. Disorder generally be- studies of riots that occurred from 1961 to
gan with rock and bottle throwing and 1968 (Spilerman, 1970, 1976). The absolute
window breaking. Once store windows level of deprivation was measured by the
were broken, looting usually followed. unemployment rate, the average income,
(National Advisory Commission on and the average education of non-Whites
Civil Disorders, 1968, p. 6) in each city where a disturbance occurred.
Relative deprivation was measured by the
The precipitating event frequently in- differences between White and non-White
volved contacts between police officers and unemployment rates, average income, av-
Blacks. In Tampa, Florida, a disturbance in erage education, and average occupational
1967 began after a policeman shot a fleeing status. Spilerman examined both the fre-
robbery suspect. A rumor quickly spread that quency and the severity of rioting. The re-
the Black suspect was surrendering when sults were sobering for deprivation theo-
the officer shot him. In other cities, disorder rists. Spilerman found that although both
was triggered by incidents involving police severity and frequency of disturbances were
attempts to disperse a crowd in a shopping associated with the size of the non-White
district or to arrest predominantly Black pa- population of a city and its location in the
trons of a tavern selling alcoholic beverages Southern region of the United States, nei-
after the legal closing time (Bergesen, 1982). ther absolute nor relative deprivation was
To many Blacks, police officers symbolize associated with the severity of disorders.
White society and are therefore a readily This finding was challenged by subsequent
available target for grievances and frustra- work, and other analysts have located small
tion. When a police officer arrests or injures effects of relative deprivation and strain-re-
a Black under ambiguous circumstances, it lated variables (Carter, 1983, 1990; Myers,
provides a concrete focus for discontent and 1997; Olzak & Shanahan, 1996). Neverthe-
a poignant reminder of grievances. less, these explanations do not appear to
9780813349503.indb 594 5/16/14 1:50 PM

be very important in predicting where and is that high? To answer this question, the
when rioting will occur. researchers estimated the probability of a
These results suggest that Black protests disturbance, controlling for the number of
were not due to local community conditions days in each temperature range. The results
but to general features of the society, such show a direct relationship (Carlsmith &
as increased Black consciousness, height- Anderson, 1979). In other words, the higher
ened racial awareness, and greater identifi- the temperature, the more likely a distur-
cation with other Blacks because of the civil bance is to occur. One interpretation of this
rights movement. Television may have con- relationship is that in high-density neigh-
tributed to the disorders of the late 1960s borhoods with little air conditioning, the
by providing role models: Blacks in one city number of people on the streets increases
witnessed and later copied the actions of with the temperature. Large street crowds
those in other cities (Myers, 2000). Blacks facilitate the transmission of rumors and
who were engaged in vandalism, looting, increase the likelihood of supportive re-
and other collective behavior served as a sponses to acts initiated by an individual or
model for Blacks experiencing grievances a small group.
and deprivation. If high temperature is associated with
the occurrence of collective violence, an
Temperature and Collective Violence. It obvious question is whether high tem-
is often suggested that high temperatures perature is related to other types of violent
contribute to large-scale racial distur- behaviors (Anderson, 2001). One readily
bances. The report of the National Advi- available measure of behavior is the rate of
sory Commission on Civil Disorders (1968) violent crime—of murder, sexual assault,
noted that 60 percent of the 164 racial dis- and assault. One study analyzed the rela-
orders that occurred in U.S. cities in 1967 tionship between rates of violent crime and
took place in July, during hot weather. Of average temperature in data from 260 cit-
the 24 serious disturbances studied in detail, ies for the year 1980 (Anderson, 1987). As
in most instances the temperature during expected, the higher the average tempera-
the day on which violence first erupted was ture, the higher the rates of violent crime
very high. in a city. Another study analyzed data from
One study of the relationship between Dayton, Ohio, for a 2-year period (Rotton
temperature and collective violence fo- & Frey, 1985). The researchers looked at
cused on 102 incidents that occurred be- daily variations in the number of reports to
tween 1967 and 1971 (Baron & Ransberger, police of assaults and family disturbances.
1978). The results showed a strong rela- The number of each was positively associ-
tionship between temperature and the oc- ated with the temperature. These results
currence of violence. The incidents of col- suggest that people are more irritable in
lective violence were much more likely to hot weather and, thus, more likely to en-
have begun on days when the temperature gage in aggressive or violent behavior (Ber-
was high (71–90 degrees). This relationship kowitz, 1993).
is depicted in Figure 17.2. Some analysts have wondered if the
As Figure 17.2 indicates, there were few relationship between violence and heat
riots on days when the temperature was is merely an artifact of other processes
higher than 90 degrees. Does this indicate related to heat, and not a product of in-
that it is too hot on such days, or that there creased aggressiveness. As in the case of
are very few days when the temperature riots, people may be outside, interacting in
9780813349503.indb 595 5/16/14 1:50 PM

24
20
All Riots
16 Excluding
M.L. King–related Riots
NUMBER OF RIOTS
12
31– 36– 41– 46– 51– 56– 61– 66– 71– 76– 81– 86– 91– 96– 101– 106–
35 40 45 50 55 60 65 70 75 80 85 90 95 100 105 110
TEMPERATURE (°F)
FIgure 17.2 Ambient Temperature and collective Violence

There is a strong relationship between mean temperature and the occurrence of collective disturbances. An analysis
of 102 incidents between 1967 and 1971 generated this graph. As the temperature increased, the frequency of riots
also increased. As the temperature increases, so does the number of people who are outside. Large numbers of peo-
ple on the streets facilitate the development of a crowd.
Source: Baron and Ransberger, “Ambient Temperatures and the Occurrence of Collective Violence,” Journal of Personality and So-
cial Psychology, 36: 351–360, 1978. Copyright 1978 by the American Psychological Association.
different kinds of circumstances, and pro- held constant (Anderson, Anderson, Dorr,
viding themselves with more opportunities DeNeve, & Flanagan, 2000). For example,
for violent behavior in the summer rather Reifman, Larrick, and Fein (1991) found
than in the winter. If violence is more likely that baseball pitchers are more likely to hit
to occur in places where people sell illegal batters with a pitch on hot days. This result
drugs, for example, could it be that people suggests that aggression is partially a direct
are more willing to go and buy drugs in the product of heat irritability.
summer, or more likely to spend more time
in the area than they would in the winter? Selection of Targets. Looting during a
Although we do not know for certain civil disturbance does not occur randomly.
how much these kinds of artifacts contrib- During racial disorders, such as the one in
ute to the heat-violence relationship, some Los Angeles in 1992, property damage is
field studies and laboratory studies con- primarily to retail stores. Residences, public
firm an increase in irritability and aggres- buildings such as schools, and medical facil-
sion, even when gathering processes are ities such as clinics and hospitals are usually
9780813349503.indb 596 5/16/14 1:50 PM

Civil disorders, which occur periodically in American cities, often involve members of disadvantaged
groups. Looting and vandalism are common, with businesses whose owners are disliked as the likely
targets. © Lee Celano/Reuters/Corbis
unaffected. Moreover, the looting and van- within the crowd. Emergent norms may de-
dalism of businesses is often selective. Some fine some buildings and types of stores as
stores are cleaned out, whereas others in appropriate targets and others as inappro-
the same block are untouched. priate targets. These norms are probably
According to one survey (Berk & Aldrich, enforced by members of the crowd itself
1972), the reason for this discrepancy is that (Oberschall, 1973).
businesses with higher average prices of Even in deadly collective violence, as-
merchandise (that is, more attractive mer- sailants retain a clear sense of rationality
chandise) were more likely to be attacked. as they choose whom they are going to kill.
A second factor was familiarity with the in- In a careful study of ethnic riots in which
terior of the store. The larger the percent- people were attacked and killed, Horow-
age of Black customers, the more likely the itz (2001) documents the great pains riot-
store was to be looted. Retaliation was also a ers often go to as they try to avoid what he
factor; stores whose owners refused to cash calls “false positives.” In other words, riot-
checks and give credit to Blacks were more ers work very hard to make sure that they
likely to be attacked. White ownership by do not kill people who do not belong to the
itself was the least important factor. group they wish to attack.
Thus, the selection of targets during
a riot reflects the desire of participants to Social Control and Collective Behavior.
obtain expensive consumer goods and to Social control agents such as police officers
retaliate against anti-Black owners. This strongly influence the course of a collective
may reflect the operation of social control incident once it begins. In some cases, the
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mere appearance of authorities at the scene the disorder progresses, participants grad-
of an incident sets off collective action. ually become physically exhausted. Under-
The importance of control agents is es- control by authorities may facilitate the col-
pecially clear in protest situations. Protest- lapse of the protest. Overcontrol may result
ers usually enter a situation with (1) beliefs in incidents that fuel hostility, draw in new
about the efficacy of violence and (2) norms participants, and increase the intensity of
regarding the use of violence (Kritzer, the disturbance.
1977). If the participants’ norms do not op- Three strategies for protest policing have
pose violence, and if they believe violence been identified (Earl, 2011). The first is es-
may be effective, they are predisposed to calated force, in which police are present in
choose violent tactics. Similarly, control large numbers and confront protestors. The
agents enter a situation with (1) beliefs second is negotiated management, which
about what tactics the protesters are likely involves requiring permits; this provides
to use and (2) informal norms regarding police with an opportunity to negotiate
violence. If the police anticipate violence, crowd control in advance, and monitor it.
they prepare by bringing specially trained Some scholars suggest negotiation replaced
personnel and special equipment. Based on the use of force in the 1970s in the United
these beliefs and expectations, either the States as a result of experiences during the
control agents or the protesters may initiate riots in the 1960s. During this period, how-
violence. Violence by one group is likely to ever, police also developed specialized units
produce a violent response from the other. like SWAT teams to be used in crowd con-
Data from 126 protest events support this trol. The anti–World Trade Organization
view (Kritzer, 1977). protests in Seattle in 1999, involving more
In some instances, the response of au- than 40,000 protestors, led to the develop-
thorities determines the severity and the ment of a third strategy, strategic incapaci-
duration of disorders (Spiegel, 1969). In any tation (Noakes & Gillham, 2007), involving
disturbance, there are two critical points at the creation of large no-protest zones, the
which either undercontrol or overcontrol use of nonlethal weapons, and strategic ar-
can cause a protest to escalate. The first rests. Obviously, which strategy police use
is the authorities’ response to the initial may determine the course of a protest.
phase. Undercontrol by police in reaction The response of authorities to one inci-
to the initial disorder may be interpreted by dent also may affect the severity of subse-
protesters as an “invitation to act.” It sug- quent disorders in the same city (Spilerman,
gests that illegal behavior will not be pun- 1976). One study investigating incidents
ished. Overcontrol at this point—such as an of collective violence in France, Germany,
unnecessary show of force or large numbers and Italy between 1830 and 1930 (Tilly et
of arrests—may arouse moral indignation, al., 1975) found that episodes involving vi-
which may attract new participants and in- olence were often preceded by nonviolent
crease violence. In Madison in 2011, there collective action. Moreover, a substan-
were many law enforcement personnel in tial amount of the violence consisted of
the area but they maintained a low profile; the forcible reaction of authorities (often
officers assembled and remained in areas military or police forces employed by the
away from the center of the protest. government) to the nonviolent protests of
The second critical point in a distur- citizens. Thus, violence was not necessar-
bance is the response to widespread disor- ily associated with attempts to influence
der and looting during the second day. As authority. It was equally associated with
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reactions to such attempts by the agents persons with defined roles who engage in
of authority. A study of supporters of the sustained activity to promote or resist so-
Irish Republican Army found that they cial change (Turner & Killian, 1972).
supported the use of violence only when In this part of the chapter, we first dis-
they viewed peaceful protest as ineffective cuss the development of a social movement.
and knew others who had experienced re- Then we consider the movement organiza-
pressive acts by authorities (White, 1989). tion and some influences on how it oper-
A survey of the death rate associated with ates.
political violence in 49 countries in the pe-
riod from 1968 to 1977 found that the death Preconditions
rate was higher in countries with moderate
scores on an index of regime repressiveness By themselves, strain or grievances cannot
(Muller, 1985). create a social movement. For a movement
to appear, people must perceive their dis-
content as the result of controllable forces
SocIal MoveMentS external to themselves (Ferree & Miller,
1985; McAdam, 1999). If they attribute
The difference between collective behav- their discontent to such internal forces as
ior and social movements is in part one of their own failings or bad luck, they are not
degree. Both involve gatherings of people predisposed to attempt to change their en-
who engage in unconventional behavior— vironment. Moreover, people must believe
behavior that is inconsistent with some they have a right to the satisfaction of their
norms of society or is unconventional for unmet expectations (Oberschall, 1973).
the social space and time in which it occurs These attributions are often the result of
(Snow & Oliver, 1995). Both are caused by interaction with others in similar circum-
social conditions that generate strain, frus- stances. The moral principles used to legit-
tration, or grievances. The differences lie imize their demand may be taken from the
in their degree of organization. Crowd in- culture or from a specific ideology or philos-
cidents are often unorganized; they occur ophy (Snow, Rochford, Worden, & Benford,
spontaneously, with no widely recognized 1986). Thus, at the core of any social move-
leaders and no specific goals. ment are beliefs rooted in the larger society.
A social movement is a collective ac- A current social movement taking place
tivity that expresses a high level of con- in the United States involves abortion. In the
cern about some issue (Zurcher & Snow, late 1960s, an organized social movement
1990). Its participants are people who feel developed that pressed for change in the
strongly enough about an issue to act. Per- laws restricting the availability of abortion.
sons involved in a movement take a variety This movement culminated in the Supreme
of actions—sign petitions, donate time or Court decision Roe v. Wade on January 22,
money, talk to family or friends, partici- 1973. This decision held that the state can-
pate in rallies and marches, engage in civil not interfere in an abortion decision by a
disobedience, or campaign for candidates. woman and her physician during the first
These activities are drawn from the reper- 3 months of pregnancy. The increasingly
toire of ordinary political activities in soci- widespread availability of abortion created
ety, but are often outside the conventional strain for others in our society. Many peo-
two-party structure. Within the movement, ple view a fetus as a person and thus define
an organization may emerge—a group of abortion as murder. Drawing primarily on
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conservative Christian theology, these peo- movement participants as the movement

ple gradually organized a movement in the grows.
mid-1970s to obtain legislation that would The anti-abortion, or pro-life, ideology
sharply restrict a woman’s right to abortion. rests on several assumptions. First, each
In addition to perceiving unmet needs, conception is an act of God. Thus, abortion
people in a social movement must believe violates God’s will. Second, the fetus is an
that the satisfaction of their needs cannot individual who has a constitutional right
be achieved through established channels. to life. Third, every human life is unique
This perception may be based on a lack of and should be valued by every other hu-
access to such channels (Graham & Hogan, man being. Pro-life forces view the status of
1990), or it may result from the failure of at- abortion as temporary—a departure from
tempts to bring about change through those the past when it was morally unacceptable.
channels. At first, the anti-abortion move- Persons and programs (such as sex educa-
ment emphasized lobbying and attempts to tion) are evaluated in terms of whether they
influence elections. As these activities did support or undermine these beliefs. Any
not produce the legislative or judicial action person or group who favors continued legal
they sought, the movement increasingly ad- abortion is defined as immoral. In recent
opted more aggressive tactics, including at- elections in many communities, a candi-
tempts to physically prevent women from date’s position on abortion has been a ma-
entering abortion clinics. In the 1990s and jor political issue. Pro-life activists believe
2000s, some individuals engaged in violent that by opposing people and programs that
acts, including bombing clinics where abor- encourage abortion, they will cause a sharp
tions were performed and killing physicians decline in its availability and redefine it as
who performed the procedure. illegitimate.
Another precondition may be a solu- Such an ideology fulfills a variety of func-
tion—action that people believe will ame- tions (Turner & Killian, 1972). First, it pro-
liorate their discontent or redress their vides a way of identifying people and events
grievance (Wilmoth & Ball, 1995). A case and a set of beliefs regarding appropriate
study of the movement to control world behavior toward them. Ideology is usually
population growth suggests that the devel- oversimplified because it emphasizes one
opment of birth control in the 1960s—espe- or a few values at the expense of others. A
cially oral contraceptives and surgical ster- second function of ideology is that it gives a
ilization procedures—provided a feasible movement a temporal perspective. It pro-
solution to the problem of overpopulation. vides a history (what caused the present
As a result, population control efforts were undesirable situation), an assessment of the
more organized and successful in the 1970s present (what is wrong), and a conception
than they had been in the 1950s. of the future (what goals can be attained by
the movement) (Martin, Scully, & Levitt,
Ideology and Framing 1990; Snow et al., 1986). Third, it defines
group interests and gives preference to
As affected individuals interact, an ideol- them. Finally, it creates villains. It identi-
ogy or generalized belief emerges. Ideology fies certain persons or aspects of society as
is a conception of reality that emphasizes responsible for the discontent. This latter
certain values and justifies a movement function is essential because it provides the
(Turner & Killian, 1972; Zurcher & Snow, rationale for the activity designed to pro-
1990). Ideologies are often developed by duce change (Oberschall, 1973).
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A common element of the ideology of opposition resonated more with the popu-
contemporary groups seeking to produce lation of Cincinnati—the framing attempts
change is the rhetoric of “the public good” made by the gay and lesbian population
(Williams, 1995). Like other elements of were unsuccessful and were defeated.
ideology, this rhetoric is drawn from the These results and the many other studies
larger culture and provides a resource that of movement framing demonstrate the im-
movements use in making their claims. portance of social construction in protest.
Once social movement groups have It is not enough for social problems to exist
identified and committed to ideological that are not being addressed by traditional
positions, they must articulate and present government and institutional approaches.
their ideas to others in the broader social These problems have to diagnosed, the
environment so that they can win support, population has to be convinced that the
recruit participants, and gather the re- problems are worthy of correction because
sources they need to accomplish their goals. they are unjust, and activists must also de-
In essence, they must sell their ideas and velop a corrective action plan that will be
causes to others. The processes of articulat- accepted (Gamson, 1992). Without these
ing their idea for the consumption of others critical processes, social movements will fail
is called social movement framing (Snow et to even get off the ground.
al., 1986; Snow & Benford, 1992).
When activists frame their issues, they Recruitment
attempt to link them in some way with the
values and ideologies potential recruits The development and continuing exis-
already hold. For example, in the United tence of any movement depends on recruit-
States, people commonly accept the notion ment—the process of attracting supporters.
that “all men are created equal” and that Some people are attracted to a movement
individuals, by their mere existence, have because they share some distinctive attri-
certain rights. These two general values, butes (Zurcher & Snow, 1990). In many in-
equality and basic rights, can be tapped into stances, these are persons who experience
by activists to align others to their cause. the discontent or grievances at the base of
For example, in a battle over gay rights in the movement.
Cincinnati, those supporting the gay and A study comparing people who partici-
lesbian cause argued that gay men and les- pated in the movement to prevent the re-
bian women were being denied basic rights opening of Pennsylvania’s Three Mile Is-
and that all activists wanted was a guaran- land nuclear power plant with a group of
tee of the same rights (to be free from em- nonparticipants found that the activists had
ployment discrimination, for example) that opposed commercial and military uses of
everyone should enjoy (Dugan, 2004). The nuclear energy before the accident, and the
opposition, however, argued that the gay accident had served to increase their dis-
and lesbian cause would provide special content substantially (Walsh & Warland,
privileges to a select group, thereby violat- 1983). There are limitations, however, to
ing equality notions: The rights of gay and this grassroots view of recruitment (Turner
lesbian people were equally protected by & Killian, 1972). Many studies have found
general principles that applied to everyone that the supporters of a movement are not
in Cincinnati—why should there be special the most deprived or frustrated. Also, the
treatment of this particular group? In this goals of a movement may not be aimed at
particular case, the frame chosen by the removing the sources of the discontent.
9780813349503.indb 601 5/16/14 1:50 PM

The content of the ideology reflects several ministers recruited their entire congrega-
influences—not just a desire to eliminate a tions and communicated the ideology to
particular source of frustration. Once the other ministers. As a result, the movement
movement has developed, people may be spread rapidly. More recently, the pro-life
attracted by the ideology who do not share movement has grown by recruiting entire
the discontent. congregations of Catholics and Mormons.
Recruitment depends heavily on three Such en bloc recruitment is much more ef-
catalysts: ideology, identity, and existing so- ficient than recruiting individuals (Jenkins,
cial networks (Zurcher & Snow, 1990). The 1983). Pro-life protests in many cities are
content and framing of the ideology is what the result of recruiting members of one or
attracts supporters. The ideology spreads, two congregations to assemble at the pro-
at least in part, through existing social net- test site. Pro-choice protests often are the
works. Supporters communicate the ideol- result of recruiting members of feminist
ogy to their friends, families, and coworkers and women’s health advocacy groups.
as they interact with them. An alternative mechanism for recruit-
Research on recruitment into religious ment is the mass media. On Wednesday,
movements documents the importance of August 28, 2013, over 100,000 people gath-
friendship and kinship ties (Stark & Bain- ered on the National Mall in Washington,
bridge, 1980). Adherents to the Mormon D.C., to commemorate the fiftieth anniver-
religion, for example, are called to prose- sary of Dr. Martin Luther King’s “I Have a
lytize. They establish friendship ties with Dream” speech. Most had come from out-
nonmembers, then gradually introduce side the Washington area, from New York,
their beliefs to their new friends. Likewise, Maine, and California. The organizers had
the members of a doomsday cult who be- publicized the event for weeks, and it was
lieved the Earth would soon be destroyed listed on many websites and announced in
often were relatives of other members. many venues.
Those with kinship ties were less likely to Thus, the media play an important role
leave the cult. in social movements. Media reports convey
A study of conversion to Catholic Pen- a movement’s ideology and attract mem-
tecostalism compared 150 converts with a bers by providing role models or by provid-
control group of non-Pentecostal Catho- ing information about the time and place of
lics (Heirich, 1977). The major difference activities. It is no accident that movement
between the two groups was in their social groups devote considerable effort to getting
networks. Converts had been introduced reporters and camera crews to cover their
to the “born again” movement by someone activities. Media attention—time on tele-
they trusted—a parent, priest, or teacher. vision and radio, space in newspapers and
Converts also reported positive or neutral magazines—is a scarce resource. To get it,
reactions to their participation from family movement groups may have to engage in
and friends. novel or dramatic acts (Holgartner & Bosk,
Sometimes, entire groups are recruited 1988). Such actions may lead to confronta-
all at once (Oberschall, 1973). The civil tion and violence.
rights movement in the South in the 1950s No matter what ideology drives a move-
is one example. Because of their religious ment group and what kinds of social net-
views, Black ministers were predisposed works guide recruitment, successful mobi-
to support a movement whose ideology lization is also dependent on a successful
emphasized freedom and equality. These notion of collective identity. Collective
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as a fringe group with little relevance to

the social and political realities of the day
(McVeigh, Myers, & Sikkink, 2004).
Mobilization
Having attracted supporters, a movement

must induce some of them to become com-
mitted members (Zurcher & Snow, 1990).
Commitment involves the creation of links
between the interests of an individual and
those of the movement so that the individ-
ual will be willing to contribute actively to
the achievement of movement goals. Mo-
bilization is the process through which
individuals surrender personal resources
and commit them to the pursuit of group or
organizational goals (Oberschall, 1978). Re-
sources can be many things: money or other
material goods, time and energy, leadership
or other skills, or moral or political author-
ity. From the individual’s viewpoint, mobi-
lization often involves a rational decision.
This demonstration was part of the Occupy Wall
Street movement. Organizers of such events hope
The person weighs the costs and benefits
for coverage by the mass media, because reports of various actions. If the potential rewards
of movement activities may attract additional outweigh the potential risks, a particular
supporters. © Owen Franken/Corbis course of action is taken. Mobilization also
involves group processes, such as collective
rituals and democratic decision making,
identity is a shared understanding that which increase the individual’s commit-
a group of people has of who they are as ment to movement actions (Hirsch, 1990).
a group—who is a member of the group, Among committed members, some may
who is not, and what the boundary is that become leaders. Taking a leadership role
separates them (Taylor, 1989; Taylor & in a movement organization may be risky
Whittier, 1992). Constructing the identity but potentially very rewarding (Oberschall,
boundary for an activist group is a critical 1973). If the movement is successful, leaders
activity and often requires a great deal of may attain prestige, visibility, a permanent,
work. If the group defines its boundaries well-paid position with the organization,
too widely, it will not be able to present it- and opportunities to interact with powerful,
self as an alternative to the status quo, and high-status members of society. Leaders of
its members will not feel they are contrib- movements are often persons with substan-
uting to change. If the collective identity is tial education (such as lawyers, writers, pro-
too narrow and its boundaries are too rig- fessors, and students) and at least moderate
idly drawn, the group risks alienating po- status in society (Weed, 1990). They are
tential members, thwarting its chances of frequently persons whose skills cannot be
having a political impact, and being viewed confiscated by authorities, who can expect
9780813349503.indb 603 5/16/14 1:50 PM

social support, and who will be dealt with degree of commitment is required by some
leniently if arrested. Thus, their risk-reward religious movements and by so-called uto-
ratio is favorable for involvement. pian communities. Conversion involves
For a movement to succeed, others also persuasion and “consciousness raising”;
must be induced to follow and work ac- it is an attempt to change the individual’s
tively in the organization (Zurcher & Snow, worldview. Conversion is usually accom-
1990). One basis of commitment is moral— plished during a period of intensive inter-
anchoring an individual’s worldview in the action with other movement members. It
movement’s ideology. Members who are is thus a very labor-intensive mobilization
attracted by the ideology tend to see their strategy (Ferree & Miller, 1985). An orga-
own interests as furthered by the achieve- nization seeking volunteers for high-risk
ment of movement goals. Many women activities, such as those involving the risk
become involved in pro-abortion orga- of arrest, must use powerful inducements.
nizations because preserving freedom of A study of volunteers for a project to regis-
choice for all women will benefit them. At ter voters in rural Mississippi in 1964 found
the same time, movement adherents clarify, that several characteristics distinguished
extend, and even reinterpret the ideology as participants from volunteers who decided
they attempt to persuade others to commit not to go (McAdam, 1986). Participants had
resources to the movement (Snow et al., intense ideological commitment, previous
1986). A second basis of commitment is a experience with activism, and ties to other
sense of belonging, which is facilitated by activists (see Figure 17.3) or all of the above.
collective rituals in which members partici-
pate. One advantage of recruiting preexist- Conservative Movements in
ing groups, such as church congregations, the United States
is that this sense of belonging is already de-
veloped. A third basis of commitment is in- Since the 1980s, political conservatives have
strumental. If the organization has enough become a major force in the United States,
resources at its disposal, it can provide util- partly through the rise and success of a
itarian rewards for committed members. number of social movements. These include
These rewards may be distributed equally movements against same-sex marriage, sex
among members or selectively to members education, abortion, and immigration, and
who make a particular contribution (Oliver, for unrestricted gun ownership. The ideol-
1980). ogy of some of these movements includes
Depending on its overall strategy, a strongly held conspiratorial beliefs, distrust
movement organization can use moral, af- of and the desire to curtail democratic pro-
fective, or instrumental rewards as bases for cesses, and advocacy of criminal action or
building commitment. These are sufficient violence. Scholars in the first half of the
for most organizations to induce members twentieth century attributed such move-
to contribute time, materials, and other re- ments to factors such as status anxiety (the
sources. Other organizations demand that view that one’s political or economic power
members commit themselves to exclusive is waning), ignorance, or psychological dis-
participation. They require that members order, at least among their leaders (Blee &
renounce other roles and commitments and Creasap, 2010). However, there is evidence
undergo conversion—the process through that these movements attract ordinary,
which a movement’s ideology becomes the middle-class people, many of whom are
individual’s fundamental perspective. This wealthy and powerful.
9780813349503.indb 604 5/16/14 1:50 PM

Family
Socialization
Increasing
Receptive Integration
Political into Activist
Attitudes Networks
Other
Socialization
Influences Subsequent
Initial Low- Deepening
High-
Risk/Cost Ideological
Risk/Cost
Activism Socialization
Activism
Contact
with
Activist(s) Construction
Biographical of Activist
Availability Identity
FIgure 17.3 influences on Recruitment to high-Risk Activism

Many social movement activities are low-risk—involving little or no cost to participants. Such activities include do-
nating money, distributing leaflets, and attending rallies. Sometimes, however, movement leaders decide to engage
in activities that are high-risk—involving the risk of injury or death. Political activism in the rural South in 1964 is
an example of a high-risk activity. A study of the characteristics associated with the willingness to participate in this
activity compared those who went with those who initially volunteered but decided not to go. Analyses suggested
that a sequence of experiences, beginning with particular socialization experiences and including contact with other
activists and prior activism, were associated with being available for and participating in the high-risk activity. Once
involved, participation facilitated greater involvement.
Source: McAdam, “Recruitment to High-Risk Activism: The Case of Freedom Summer,” American Journal of Sociology, 92, 64–90,
1986. Copyright © 1986, The University of Chicago Press.
Many movements in the second half of fact, they have often arisen in opposition to
the twentieth century were “progressive,” these progressive movements, and attempt
focused on securing rights for disadvan- to counter or even push back advances made
taged and stigmatized groups. As such, their by them. Thus, they may focus on lobby-
goals were often to enact new legislation that ing to repeal legislation rather than protest
would guarantee rights and create social pro- marches, and lawsuits to overturn legislation
grams to increase the status and improve the or court decisions. These groups are engag-
living standards of such groups. Movements ing in reactive actions. Thus, the tactics used
to improve the status of women, Blacks, im- by the two types of movements differ a great
migrants, the poor, and similar groups were deal. How else do they differ?
the focus of much of the research on social We noted above that religious and civil
movements by scholars from 1970 to 2000. rights movements recruited members
These groups were engaging in proactive through existing social networks. They re-
actions. Rightist movements do not support cruited by mobilizing members to recruit
changes or policies; they oppose them. In family and friends. They also recruited
9780813349503.indb 605 5/16/14 1:50 PM

Box 17.2 research update: emotions and Social Movements
We began this chapter by reviewing early the- key element that drives individuals to partici-
ories of collective behavior, which attributed pate. Oftentimes, activists face very difficult chal-
many of these behaviors to emotional processes lenges as they pursue their goals, and the emo-
in crowds. We summarized research and theory tions they experience can play a very important
that challenged these views, leading to the con- part in keeping them involved or causing them
clusion that some of the early ideas were myths. to abandon their activism. In doug McAdam’s
From 1970 to 2000, views of collective behavior (1986) study of college students who traveled
and social movements were primarily concerned to the South to register Black voters during the
with cognitive processes and resource mobiliza- civil rights movement, it was apparent that the
tion issues, usually ignoring emotion. Recently, volunteers had transformative emotional expe-
scholars have rediscovered the important role riences—ranging from fear that had to be over-
that emotions play in these phenomena, discuss- come, to anger that strengthened their resolve,
ing them in much more nuanced ways than the to love for their fellow activists.
early writers treated them. More recently, Erika Summers-Effler (2005)
Psychologists of all types have been heavily has been studying the emotional experiences
focused on how emotions emerge. But there is a of those who live and work in Catholic worker
different set of questions that uses emotions not houses. These individuals are engaged in very
as a dependent, or outcome, variable, but rather challenging and highly involved activism in ser-
looks at the effects of emotions on the individual, vice to the poor in inner cities. They essentially
on other people, and on the social environment. give their lives to the Catholic worker move-
These approaches treat emotions as independent ment, abandoning their possessions and former
variables—the sources as opposed to the out- lives to live in the inner-city environment. The
comes. Researchers recognize, of course, that the Catholic worker house hosts “guests,” who essen-
experience and expression of emotions are part of tially are anyone who wishes to live at the house
complicated cycles in which felt emotions are ex- and typically are those who would otherwise
pressed and cause changes in the social context. be homeless. In addition to hosting the guests
These changes introduce feedback in the system in the house, the Catholic workers also provide
that can result in new emotions being experi- meals for people in the neighborhood, maintain
enced and introduced to the environment or in a clothing pantry for those in need in the neigh-
changes in the original emotions. These issues are borhood, and provide after-school tutoring. The
of great interest in the study of social movements. challenges are many and the support systems are
Some researchers who examine political and sparse, resulting in difficult daily challenges that
social activism have come to see emotions as a can stretch the workers to their limits.
through organizational networks such as working women, abortion providers, im-

churches and labor groups. Conservative migrants, and especially sexual minorities.
movements, by contrast, recruited through These campaigns attracted like-minded
cultural events, including music concerts people to participation in the movements.
and amusement parks, and using publish- Their anti-gay efforts were particularly suc-
ing houses to publish books and sponsor cessful in the 1990s.
tours by authors. Another strategy was the Conservative movements also use par-
identification and vilification of enemies: ticular strategies to mobilize their support-
9780813349503.indb 606 5/16/14 1:50 PM

Given these kinds of extreme challenges, Catholic worker environment was full of both
Catholic workers need intangible support in emotion and ritual—rituals both formal and
order to continue with their work—they need informal. What Summers-Effler found was that
emotional outlets and emotional rituals that give emotion and ritual combined to produce positive
them the fortitude to continue on and maintain outcomes for the workers; in particular, greater
their commitments. Summers-Effler documents solidarity. What seemed to occur was that nega-
a number of critical emotional processes that tive emotion was processed by the ritual and the
provide this kind of support. For one, she em- result was a strengthening of bonds among the
phasizes the importance of laughter in the com- group. One example was the weekly community
munity. Humor, she found, allowed individuals gathering:
to face difficult situations and maintain a sense
of cohesion within the group. Joint laughter al- Once a week the extended community,
lowed individuals to escape any shame they mostly white middle class supporters but
might have felt or any sense of failure by recog- also some guests and people from the neigh-
nizing the absurd in the situation without giving borhood, participate in a community dinner
in to it. This story illustrates that process: at the Catholic worker house . . . during this
weekly ritual, which often involves the for-
Lynn said that the ice cream was in the base- mal ritual of liturgy, the extended group
ment because the refrigerator was broken. I reaffirms the Catholic workers as sacred
asked, half seriously, if they were waiting for symbols of the community. Because the
God to get them a new refrigerator. Everyone Catholic workers are the center of attention
thought this was really funny; most were and praise, these weekly dinners are an emo-
doubled over in laughter. The laughter was tional boost to the Catholic workers from
irresistible, contagious. their extended community.
I found myself laughing as well . . . Finally,
Lynn stopped laughing long enough to say Thus, we can see some ways that emotions
that she was debating whether to call the reproduce important social outcomes, and there-
pair man or not, and that she had had a few fore their role as inputs into social situations
discussions with St. Francis about it . . . she should be considered as carefully as are ques-
was immediately consumed with laughter tions about how emotions emerge from social
again. (pp. 143–144) situations.
A second key process related to emotion was Source: Excerpted from Summers-Effler, 2005.
its relationship to rituals in the community. The
ers. They have heavily utilized alternative marches, allow members to meet and cre-
media, such as blogs, bulletin boards, and ate involvement.
chat rooms, to disseminate their views. Thus, the “new” conservative and right-
Use of the Internet makes their efforts wing social movements use different strate-
much less visible, and it allows people to gies to recruit and mobilize supporters, and
support and participate in the movement use different tactics to achieve their goals.
relatively anonymously. Music and me- The study of these groups has revitalized
dia events, rather than rallies and protest the study of social movements.
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SuMMary recruited by spreading the ideology, often

through existing social networks. Develop-
This chapter discusses both collective be- ment of a movement organization depends
havior and social movements. on mobilization—getting individuals to
commit personal resources to the group.
Collective Behavior. (1) The classic per- Conservative movements differ from pro-
spective on collective behavior focuses on gressive ones in the content of their ideol-
the crowd. Early crowd theorists focused on ogy, and in the tactics they use to recruit
ideas about crowd behavior that included and mobilize supporters.
unanimity of feeling, deindividuation, and
contagion. Later analysts debunked some
of these ideas and focused instead on how List of Key Terms and Concepts
people in undefined situations, such as di-
sasters, develop new norms and social or- collective behavior (p. 580)
ganization. (2) An alternative perspective collective identity (p. 602)
considers the gathering. Gatherings have companion clusters (p. 588)
a purpose; participants’ behaviors reflect contagion (p. 583)
that purpose in interaction with features of conversion (p. 604)
the setting. (3) Three conditions have been crowd (p. 581)
studied as underlying causes of collective deindividuation (p. 582)
behavior: strain, relative deprivation, and emergent norm (p. 586)
grievances. (4) Collective behavior is often framing (p. 601)
triggered by an event that adversely affects gathering (p. 587)
those already experiencing strain, depriva- ideology (p. 600)
tion, or grievances. (5) Empirical studies of J-curve theory (p. 591)
riots suggest that the severity of a distur- mobilization (p. 603)
bance is influenced mainly by the number relative deprivation (p. 591)
of potential participants and less so by dif- rumor (p. 586)
ferences in underlying social conditions. social movement (p. 599)
Once it begins, the course of a collective
incident and the likelihood of future disor-
ders are influenced by the behavior of po- Critical Thinking Skill:
lice and other social control agents. Understanding the Difference Between
Anecdotal and Scientific Evidence
Social Movements. A social movement is
collective activity that expresses a high level Large-scale riots occurred in London and
of concern about some issue. The develop- several other British cities August 6 to
ment of a social movement rests on several 11, 2011. Thousands of people engaged
factors. First, people must experience strain in looting, arson, and mass destruction of
or deprivation, believe they have a right to property—homes, businesses, automobiles,
satisfy their unmet needs, and believe that and buses. The precipitating event was the
satisfaction cannot be achieved through es- shooting of Mark Duggan in Tottenham by
tablished channels. Second, as participants police following a traffic stop. Duggan, a
interact, an ideology must emerge that jus- 29-year-old local resident, died. More than
tifies collective activity. Third, to sustain 3,100 people were arrested during the days
the movement, additional people must be of rioting.
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Max Hastings posted the following com- This chapter has reviewed the social sci-
mentary on a British blog on August 10, entific evidence about riots, collected over
2011: several decades. You can see in the synopsis
of the British riots several features of riots
If you live a normal life of absolute fu- identified by researchers and scholars.
tility, which we can assume most of This body of research led to the identi-
this week’s rioters do, excitement of fication of several myths about collective
any kind is welcome. The people who behavior that we summarized early in this
wrecked swathes of property, burned chapter. How many of the myths are re-
vehicles and terrorised communities flected in the comments by Mr. Hastings?
have no moral compass to make them Irrationality? Emotionality? Destructive-
susceptible to guilt or shame. ness? Spontaneity? Unanimity? We are ex-
Most have no jobs to go to or exams posed to such anecdotal interpretations of
they might pass. They know no family events daily, and more frequently given the
role models, for most live in homes in proliferation of social media and blogs. We
which the father is unemployed, or from need to be very careful not to take them too
which he has decamped. seriously. Such commentaries usually re-
They are illiterate and innumerate, flect one very narrow point of view, picking
beyond maybe some dexterity with out one or two elements of a complex series
computer games and BlackBerries. of events, and emphasizing them. The real-
They are essentially wild beasts. ity, as reflected in the scientific evidence, is
much more complex.
This is an example of anecdotal evidence, a
claim of evidence based on personal inter-
pretation.
9780813349503.indb 609 5/16/14 1:50 PM

9780813349503.indb 610 5/16/14 1:50 PM
GloSSary
a Aligning actions Actions people use to define

their apparently questionable conduct as actu-
Access display A signal (verbal or nonverbal) ally in line with cultural norms, thereby repair-
from one person indicating to another that ing social identities, restoring meaning to situ-
further social interaction is permissible. ations, and reestablishing smooth interaction.
Accommodation A constructive response to a Altercasting Tactics we use to impose roles and
potentially destructive act by a partner in a identities on others that produce outcomes to
romantic relationship. our advantage.
Accounts Explanations people offer after they Altruism Actions performed voluntarily with the
have performed acts that threaten their social intention of helping someone else that entail
identities. Accounts take two forms—excuses no expectation of receiving a reward or benefit
that minimize one’s responsibility and justi- in return (except possibly an internal feeling of
fications that redefine acts in a more socially having done a good deed for someone).
acceptable manner. Anomie theory The theory that deviant behavior
Action units A configuration of facial muscles or arises when people striving to achieve cultur-
a discernible movement originating from them. ally valued goals find they do not have access to
Actor-observer difference The bias in attribution the legitimate means of attaining these goals.
whereby actors tend to see their own behavior Arbitrator In situations of conflict, a neutral third
as due to characteristics of the external situ- party who has the power to decide how a con-
ation, whereas observers tend to attribute ac- flict will be resolved. See also Mediator.
tors’ behavior to the actors’ internal, personal Archival research A research method that in-
characteristics. volves the acquisition and analysis (or reanaly-
Affect A subjective positive or negative evaluation sis) of existing information collected by others.
of an object, which can vary in direction, inten- Attachment A warm, close relationship with an
sity, and activity. adult who provides an infant with a sense of
Affective aggression Aggression resulting from security and stimulation.
aversive affect (negative emotion that people Attitude A predisposition to respond to a partic-
seek to reduce or eliminate). More common ular object in a generally favorable or unfavor-
among persons who believe that acting aggres- able way.
sively will make them feel better. Attitude change A change in a person’s attitudes
Affect theory of social exchange A theory that about some issue, person, or situation.
focuses on the genesis of emotion during social Attitude inoculation A process that helps a tar-
exchange and the cognitive and behavioral ef- get person to resist persuasion attempts by
fects of that emotion. exposing him or her to a weak version of the
Aggravated assault An attack by one person arguments.
on another with the intent of causing bodily Attitudinal similarity The sharing by two people
injury. of beliefs, opinions, likes, and dislikes.
Aggression Behavior that is intended to harm an- Attractiveness stereotype The belief that “what
other person and that the other wants to avoid. is beautiful is good”; the assumption that an
Aggressive pornography Explicit depiction—in attractive person possesses other desirable
film, video, photograph, or story—of sexual qualities.
activity in which force is threatened or used to Attribution The process by which people make
coerce a person to engage in sex. See also Non- inferences about the causes of behavior or
aggressive pornography. attitudes.
Alienation The sense that one is uninvolved in Authority The capacity of one group member
the social world or lacks control over it. to issue orders to others—that is, to direct or
611
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612 glossary
regulate the behavior of other members by in- withhold criticism and defer judgment until
voking rights that are vested in his or her role. later, try to generate as many ideas as possible,
Availables Those persons with whom we come and build on ideas suggested by others.
into contact and who constitute the pool of Bystander effect The tendency for bystanders
potential friends and lovers. in an emergency to help less often and less
Aversive affect Negative emotion that people quickly as the number of bystanders present
seek to reduce or eliminate. increases.
Aversive event In intergroup relations, a situation Bystander intervention In an emergency situa-
or event caused by or attributed to an outside tion, a quick response by a person witnessing
group that produces negative or undesirable the emergency to help another who is endan-
outcomes for members of the target group. gered by events.
b c
Back-channel feedback The small vocal and Career A sequence of roles—each role with its
visual comments a listener makes while a own set of activities—that a person enacts
speaker is talking, without taking over the during his or her lifetime. People’s most im-
speaking turn. This includes responses such portant careers are in the domains of family
as “Yeah,” “Huh?” “M-hmn,” head nods, brief and friends, education, and work.
smiles, and completions of the speaker’s words. Categorization The tendency to perceive stimuli
Back-channel feedback is crucial to coordinate as members of groups or classes rather than as
conversation smoothly. isolated entities; the act of encoding stimuli as
Back regions A setting used to manage appear- members of classes.
ances. In back regions, people allow themselves Catharsis The reduction of aggressive arousal
to violate appearances while they prepare, by means of performing aggressive acts. The
rehearse, and rehash performances. Contrasts catharsis hypothesis states that we can purge
with front regions, where people carry out ourselves of hostile emotions by intensely ex-
interaction performances and exert efforts to periencing these emotions while performing
maintain appropriate appearances. aggression.
Balance theory A theory concerning the determi- Cautious shift In group decision making, the
nants of consistency in three-element cognitive tendency for decisions made in groups after
systems. discussion to be more cautious (less risky) than
Belief perseverance A tendency to continue to decisions made by individual members prior to
view an initial assumption as correct despite discussion. See also Risky shift.
evidence to the contradictory. Cognitions An element of cognitive structure.
Birth cohort A group of people who were born Cognitions include attitudes, beliefs, and per-
during the same period of one or several years ceptions of behavior.
and who are, therefore, all exposed to particu- Cognitive dissonance A state of psychological
lar historical events at approximately the same tension induced by dissonant relationships
age. between cognitive elements.
Body language (kinesics) Communication Cognitive labeling theory A theory that proposes
through the silent motion of body parts— that emotional experience is the result of a
scowls, smiles, nods, gazes, gestures, leg move- three-step sequence: (1) an event in the envi-
ments, postural shifts, caresses, slaps, and so ronment produces a physiological reaction, (2)
on. Because body language entails movement, we notice the physiological reaction and search
it is also known as kinesics. for an appropriate explanation, and (3) by ex-
Borderwork Interaction across gender bound- amining situational cues we find an emotional
aries that is based on and strengthens such label for the reaction.
boundaries. Cognitive processes The mental activities of an
Brainstorming In groups, a procedure intended individual, including perception, memory,
to generate a large number of high-quality, reasoning, problem solving, and decision
novel ideas in a brief period. Brainstorming is making.
based on the principles that members should Cognitive structure Any form of organization
freely express any idea that comes to mind, among a person’s concepts and beliefs.
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glossary 613
Cognitive theory A theoretical perspective based Compliance may occur either with or without
on the premise that an individual’s mental concomitant change in attitudes.
activities (perception, memory, and reasoning) Conditioning A process of learning in which, if
are important determinants of behavior. a person performs a particular response and if
Collective behavior Emergent and extrainstitu- this response is then reinforced, the response is
tional behavior that is often spontaneous and strengthened.
subject to norms created by the participants. Confirmation bias The tendency to focus on
Collective identity A shared understanding that a information relevant to a belief and ignoring or
group of people has of who they are as a group. downplaying information that is inconsistent
Collective task A task that requires group with that belief.
members to take into account the views of Conformity Adherence by an individual to group
other group members to achieve a successful norms so that behavior lies within the range of
outcome. tolerable behavior.
Collectivist cultures Cultures that emphasize Conjunctive tasks A type of unitary group task in
group over individual. The focus is on the in- which the group’s performance depends en-
terconnectedness of individuals, particularly tirely on that of its weakest or slowest member.
the interdependent nature of their social rela- See also Additive tasks, Disjunctive tasks.
tionships and identities. See also Individualist Contagion The rapid spread through a group
cultures. of visible and often unusual symptoms or
Communication The process through which peo- behavior.
ple transmit information about their ideas and Content analysis A research method that in-
feelings to one another. volves a systematic scrutiny of documents or
Communication accuracy The extent to which messages to identify specific characteristics
the message inferred by a listener from a com- and then making inferences based on their
munication matches the message intended by occurrence.
the speaker. Contingencies (of self-esteem) Characteristics of
Communication-persuasion paradigm A re- self or categories of outcomes on which a per-
search paradigm that conceptualizes persua- son stakes his or her self-esteem.
sion attempts in terms of source, message, Contingency model of leadership effectiveness
target, channel, and impact—that is, who says A middle-range theory of leadership effective-
what to whom by what medium with what ness that maintains that group performance is
effect. a function of the interaction between a leader’s
Communicator credibility In persuasion, the style (task-oriented or relationship-oriented)
extent to which the communicator is perceived and various situational factors such as the
by the target audience as a believable source of leader’s personal relations with members, the
information. degree of task structure, and the leader’s posi-
Companion clusters Groups of family, friends, or tion power.
acquaintances who remain together through- Control theory The theory that an individual’s
out a gathering. tendency to engage in deviant behavior is influ-
Comparison level (CL) A standard used to eval- enced by his or her ties to other persons. There
uate the outcomes of a relationship, based on are four components of such ties: attachment,
the average of the person’s experience in past commitment, involvement, and belief.
relevant relationships. Conversion The process through which the ideol-
Comparison level for alternatives (CLalt) A ogy of a social movement becomes the individ-
standard specifying the lowest level of out- ual’s fundamental perspective.
comes a person will accept in light of available Cooling-out A response to repeated or glaring
alternatives; the level of profit available to failures that gently persuades an offender to
an individual in his or her best alternative accept a less desirable though still reasonable
relationship. alternative identity.
Complexity-extremity effect The bias where less Cooperative principle The assumption conver-
complex schemas lead to more extreme judg- sationalists ordinarily make that a speaker is
ments and evaluations. behaving cooperatively by trying to be (1) in-
Compliance In social influence, adherence by the formative, (2) truthful, (3) relevant to the aims
target to the source’s requests or demands. of the ongoing conversation, and (4) clear.
9780813349503.indb 613 5/16/14 1:50 PM

614 glossary
Correspondence The degree to which the ac- the impending acts may ordinarily imply a
tion, context, target, and time in a measure of negative identity, his or hers is an extraordi-
attitude is the same as those in a measure of nary case.
behavior. Discrepant message In persuasion, a message
Crowd A substantial number of persons who advocating a position that is different from
engage in behavior recognized as unusual by what the target believes.
participants and observers. Discrimination Overt acts, occurring without
Cultural routines Recurrent and predictable ac- apparent justification, that treat members of
tivities that are basic to day-to-day social life. certain out-groups in an unfair or disadvanta-
geous manner.
Disjunctive tasks A type of unitary group task
d
in which the group’s performance depends
Definition of the situation In symbolic interac- entirely on that of its strongest or fastest
tion theory, a person’s interpretation or con- member. See also Additive tasks, Conjunctive
strual of a situation and the objects in it. An tasks.
agreement among persons about who they are, Displaced aggression Aggression toward a target
what actions are appropriate in the setting, and that exceeds what is justified by provocation
what their behaviors mean. by that target. Often occurs because aggression
Deindividuation A temporary reduction of instigated by a different source is displaced
self-awareness and sense of personal responsi- onto a less powerful or more available target
bility; it may be brought on by such situational who had no responsibility for the negative
conditions as anonymity, a crowd, darkness, response.
and consciousness-altering drugs. Display rules Cultural norms that dictate how we
Dependent variable In an experiment, the vari- must modify our facial expressions to make
able that is measured to determine whether it them fit particular situations.
is affected by the manipulation of one or more Dispositional attribution A decision by an ob-
other variables (independent variables). server to attribute a behavior to the internal
Deterrence hypothesis The view that the arrest state(s) of the person who performed it rather
and punishment of some individuals for vio- than to factors in that person’s environment.
lation of laws deters other persons from com- See also Situational attribution.
mitting the same violations. Distributive justice principles A criterion in
Deviant behavior Behavior that violates the terms of which group members can judge the
norms that apply in a given situation. fairness and appropriateness of the distribution
Deviant subculture A group of people whose of rewards. Three of the most important are
norms encourage participation in a specific the equality principle, the equity principle, and
form of deviance and who regard positively the relative needs principle.
those who engage in it. Dyadic withdrawal The process of increasing
Differential association theory The theory that reliance on one person for gratification and
deviant behavior occurs when people learn decreasing reliance on others.
definitions favorable to the behavior through
their associations with other persons.
e
Diffuse status characteristics Social attribute of
a person that influences evaluations and beliefs Ebonics A variety of American English spoken by
about that person’s general competence. See many Blacks, with distinctive pronunciation
also Specific status characteristics. of some words; African-American Vernacular
Diffusion of responsibility The process wherein English (AAVE).
a bystander does not take action (e.g., in an Egoism Helping behavior motivated by a helper’s
emergency situation) because there are other own sense of self-gratification.
bystanders who share the responsibility for Embarrassment The feeling that people experi-
intervening. ence when interaction is disrupted because the
Disclaimer A verbal assertion intended to ward identity they have claimed in an encounter is
off any negative implications of impending discredited.
actions by defining these actions as irrelevant Emergent norm The definition of the situation
to one’s established social identity. By using that results from interaction in an initially
disclaimers, a person suggests that although ambiguous situation.
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glossary 615
Emotional deviance When individuals project an Extraneous variable A variable that is not explic-
emotion that is inappropriate or too high or itly included in a research hypothesis but has a
low in intensity for a particular situation. causal impact on the dependent variable.
Emotional intelligence One’s ability to read, Extrinsically motivated behavior A behavior that
understand, and respond to others’ emotional results from the motivation to obtain a reward
cues and behavior. (food, praise) or avoid a punishment (spanking,
Emotional labor Emotion work that is done as an criticism) controlled by someone else.
occupational requirement or expectation.
Emotions Short-lived reactions to a stimulus,
f
a type of affect. The four components of an
emotion are (1) a situational stimulus, (2) phys- Fateful events Events that are beyond an individ-
iological changes, (3) expressive gesturing of ual’s control, unpredictable, often life-threat-
some kind, and (4) a label to identify a cluster ening, often large in magnitude, and that dis-
of the first three. rupt people’s usual activities.
Emotion work Efforts to change the intensity or Feeling rules Norms that dictate which emotions
quality of feelings to bring them into line with are appropriate for particular roles in a social
the requirements of the occasion. context.
Empathy An emotional response to others as if Field study An investigation that involves the
we ourselves were in that person’s situation; collection of data about ongoing activity in
feeling pleasure at another’s pleasure or pain at everyday settings.
another’s pain. Five-factor model A psychological model that
Encoder-decoder model A theory that views takes a wide variety of personality traits and
communication as a linear process in which organizes them into five factors, or catego-
the message is encoded by a transmitter, trans- ries. These factors and examples of associated
mitted, and decoded by a receiver. traits are agreeableness (warmth, friendliness),
Endorsement An attitude held by a group mem- conscientiousness (efficiency, dependability),
ber indicating the extent to which he or she extraversion (outgoingness, assertiveness),
supports the group’s leader. openness (curiosity, insight), and neuroticism
Equitable relationships A relationship in which (confidence, sensitivity). Also called the “Big
the outcomes received by each person are Five.”
equivalent. Focus-of-attention bias The tendency to overes-
Equity When people receive rewards in propor- timate the causal impact of whomever or what-
tion to the contributions they make toward the ever we focus our attention on.
attainment of group goals. Formal social controls Agencies that are given
Ethnocentrism In intergroup relations, the ten- responsibility for dealing with violations of
dency to regard one’s own group as the center rules or laws.
of everything and to evaluate other groups in Frame A set of widely understood rules or con-
reference to it; the tendency to regard one’s ventions pertaining to a transient but repetitive
in-group as superior to all out-groups. social situation that indicate which roles should
Evolutionary psychology A theoretical perspec- be enacted and which behaviors are proper.
tive positing that predispositions toward some Framing The attempts social movement activists
social behaviors are passed genetically from make to articulate and present their ideas to
generation to generation and shaped by the broader audiences in hopes of winning support.
process of natural selection. Front regions A setting used to manage ap-
Experiment A research method used to inves- pearances. In front regions, people carry out
tigate cause-and-effect relations between interaction performances and exert efforts to
one variable (the independent variable) and maintain appropriate appearances. Contrasts
another (the dependent variable). In an ex- with back regions, where they allow themselves
periment, the investigator manipulates the to violate appearances while they prepare, re-
independent variable, randomly assigns par- hearse, and rehash performances.
ticipants to various levels of that variable, and Frustration The blocking of goal-directed activ-
measures the dependent variable. ity. According to the frustration-aggression
External validity The extent to which it is pos- hypothesis, frustration leads to aggression.
sible to generalize the results of one study to Frustration-aggression hypothesis The hypoth-
other populations, settings, or times. esis that every frustration leads to some form
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616 glossary
of aggression and every aggressive act is due to prior to group discussion; both the risky shift
some prior frustration. and the cautious shift are instances of group
Fundamental attribution error The tendency to polarization.
underestimate the importance of situational Group productivity The level of a group’s output
influences and to overestimate personal, dispo- (per unit of time) gauged relative to something
sitional factors as causes of behavior. else, such as the level of resources used by the
group or the group’s targeted objectives.
Group self-esteem An individual’s evaluation of
g
self as a member of a racial or ethnic group.
Game stage Mead’s second stage of social expe- Groupthink A mode of thinking within a cohesive
rience, in which children enter organized ac- group whereby pressures for unanimity over-
tivities and learn to imagine the viewpoints of whelm the members’ motivation to realistically
several others at the same time. appraise alternative courses of action.
Gathering A temporary collection of two or more
people occupying a common space and time
h
frame.
Gender role The behavioral expectations associ- Halo effect The tendency of our general or overall
ated with gender. liking for a person to influence our assessment
Generalized other A conception of the attitudes of more specific traits of that person. The halo
and expectations held in common by the mem- effect can produce inaccuracy in our ratings of
bers of the organized groups with whom one others’ traits and performances.
interacts. Helping Any behavior that has the consequences
Goal isomorphism In groups, a state in which of providing some benefit to or improving the
group goals and individual goals held by a well-being of another person.
member are similar in the sense that actions Heuristics Mental shortcuts that allow individuals
leading to the attainment of group goals also to quickly select and apply schemas to new or
lead simultaneously to the attainment of indi- ambiguous situations.
vidual goals. Homogenous Similar in important qualities.
Group A social unit that consists of two or more Hypothesis A conjectural statement of the re-
persons and has the following characteristics: lation between two or more variables. Some
shared goal(s), interaction (communication hypotheses are explicitly causal in nature,
and influence) among members, normative whereas others are noncausal.
expectations (norms and roles), and identifica-
tion of members with the unit.
I
Group cohesion A property of a group, specifi-
cally the degree to which members of a group Identity The categories people use to specify who
desire to remain in that group and resist leav- they are—that is, to locate themselves relative
ing it. A highly cohesive group will maintain a to other people.
firm hold over its members’ time, energy, loy- Identity control theory Proposes that an actor
alty, and commitment. uses the social meaning of his or her identity as
Group goal A desirable outcome that group a reference point for assessing what is occur-
members strive collectively to accomplish or ring in the situation.
bring about. Identity degradation A response to repeated or
Group goal effect An empirical generalization glaring failures that destroys the offender’s cur-
regarding group productivity—namely, that if rent identity and transforms him or her into a
a group establishes explicit, demanding objec- “lower” social type.
tives with respect to the group’s performance, Identity theory A sociological theory that em-
and if the group’s members are highly com- phasizes the importance of self-meanings (role,
mitted to those objectives, then the group will group, social, and person identities) in guiding
perform at a higher level than if it does not do behavior.
these things. Ideology In the study of social movements, a
Group polarization In group decision making, conception of reality that emphasizes certain
the tendency for group members to shift their values and justifies the movement.
opinions toward a position that is similar to Illusion of out-group homogeneity The ten-
but more extreme than the positions they held dency among in-group members to overesti-
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glossary 617
mate the extent to which out-group members Intergroup contact hypothesis An hypothesis
are homogeneous or all alike. holding that in intergroup relations, increased
Imitation A process of learning in which the interpersonal contact between groups will
learner watches another person’s response reduce stereotypes and prejudice and, conse-
and observes whether that person receives quently, reduce antagonism between groups.
reinforcement. Internalization The process through which ini-
Implicit personality theory A set of unstated tially external behavioral standards become
assumptions about which personality traits are internal and subsequently guide an individual’s
correlated with one another. behavior.
Impression formation The process of organizing Internal validity The extent to which research
diverse information into a unified impression findings are free from contamination by extra-
of a person. neous variables.
Independent variable In an experiment, the vari- Interpersonal attraction A positive attitude held
able that is manipulated by the investigator to by one person toward another person.
study the effects on one or more other (depen- Interpersonal spacing (proxemics) Nonverbal
dent) variables. communication involving the ways in which
Individualist cultures Cultures that emphasize people position themselves at varying distances
the individual and value individual achieve- and angles from others. Because interpersonal
ment. See also Collectivist cultures. spacing refers to the proximity of people, it is
Informal social control The reactions of family, also known as proxemics.
friends, and acquaintances to rule violations by Intersubjectivity The information that each par-
individuals. ticipant in an interaction needs about the other
Informational influence In groups, a form of participant(s) in order for communication to
influence that occurs when a group member be successful.
accepts information from others as valid ev- Interview survey A method of research in which
idence about reality. Influence of this type a person (i.e., an interviewer) asks a series of
is particularly likely to occur in situations of questions and systematically records the an-
uncertainty or where there are no external or swers from the respondents. See also Question-
“objective” standards of reference. naire survey.
Informed consent Voluntary consent by an indi- Intrinsically motivated behavior A behavior that
vidual to participate in a research project based results from the motivation to achieve an inter-
on information received about what his or her nal state that an individual finds rewarding.
participation will entail.
Ingratiation The deliberate use of deception to
J
increase a target person’s liking for us in hopes
of gaining tangible benefits that the target J-curve theory The theory that revolutions occur
person controls. Techniques such as flattery, when there is an intolerable gap between peo-
expressing agreement with the target person’s ple’s expectations of need satisfaction and the
attitudes, and exaggerating one’s own admira- actual level of satisfaction they experience.
ble qualities may be used.
Institutionalization of deviance The process by
l
which members of a group come to expect and
support deviance by another member over time. Labeling theory The view that reactions of, and
Instrumental conditioning The process through characterizations by, others are an essential
which an individual learns a behavior in re- element in deviance.
sponse to a stimulus to obtain a reward or Leadership In groups, the process whereby one
avoid a punishment. member influences and coordinates the behav-
Intentionalist model A theory that views com- ior of other members in pursuit of group goals.
munication as the exchange of communicative The enactment of several functions necessary
intentions and views messages transmitted as for successful group performance, including
merely the means to this end. planning, organizing, and controlling the activ-
Intergroup conflict A state of affairs in which ities of group members.
groups having opposing interests take antag- Learning structure An environment in which an
onistic actions toward one another to control individual can learn the information and skills
some outcome important to them. required to enact a role.
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618 glossary
Legitimate means Those ways of striving to Meta-analysis A statistical technique that allows
achieve goals that are defined as acceptable by the researcher to combine the results from all
social norms. previous studies of a question.
Legitimate power Authority that is accepted as a Methodology A set of systematic procedures used
normal part of a social role. to conduct empirical research. Usually these
Life course An individual’s progression through a procedures pertain to how data will be col-
series of socially defined, age-linked social roles. lected and analyzed.
Life event An episode marking a transition point Middle-range theories Narrow, focused, theo-
in the life course that provokes coping and retical frameworks that explain the conditions
readjustment. that produce some specific social behavior. See
Likert scale A technique for measuring attitudes also Theoretical perspective.
that asks a respondent to indicate the extent to Minimal group paradigm Placing people into ar-
which he or she agrees with each of a series of bitrarily defined groups that have no important
statements about an object. meaning is sufficient to trigger in-group and
Linguistic intergroup bias Subtle and systematic out-group processes and produce intergroup
differences in the language we use to describe discrimination.
events as a function of our group membership Minority influence An attempt by an active
and the group to which the actor or target minority within a group to persuade majority
belongs. members to accept their viewpoint and adopt a
Loneliness An unpleasant, subjective expe- new position.
rience that results from the lack of social Mobilization The process through which individ-
relationships satisfying in either quantity or uals surrender personal resources and commit
quality. them to the pursuit of group or organizational
Looking-glass self The term coined by Cooley goals.
that describes the self-schema we create based Mood A general psychological condition that
on how we think we appear to others. characterizes an individual’s experience and
Love story A script about what love should be emotional orientation for hours or even days.
like; it has characters, plot, and theme. Considerably less specific than an emotion.
Moral development The process through which
children become capable of making moral
M
judgments.
Majority influence The process by which a
group’s majority pressures an individual to
n
adopt a specific position on some issue.
Mass media Those channels of communication Nonaggressive pornography Explicit depic-
(TV, radio, newspapers, and the Internet) that tions—in film, video, photograph, or story—of
enable a source to reach and influence a large adults engaging in consenting sexual activity.
audience. See also Aggressive pornography.
Matching hypothesis The hypothesis that Nonstandard speech A style of speech charac-
each person looks for someone to date who terized by limited vocabulary, improper pro-
is of approximately the same level of social nunciation, and incorrect grammar. The use of
desirability. this style is associated with low status and low
Media campaign A systematic attempt by an power. See also Standard speech.
influencing source to use the mass media Norm In groups, a standard or rule that specifies
to change attitudes and beliefs of a target how members are expected to behave under
audience. given circumstances; expectations concerning
Mediator A third party who helps groups in con- which behaviors are acceptable and which are
flict to identify issues and agree on some reso- unacceptable for specific persons in specific
lution to the conflict. Mediators usually serve situations.
as advisers rather than as decision makers. See Normative influence In groups, a form of influ-
also Arbitrator. ence that occurs when a member conforms to
Mere exposure effect Repeated exposure to the group norms in order to receive the rewards or
same stimulus that produces a positive attitude avoid the punishments that are contingent on
toward it. adherence to these norms.
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glossary 619
Normative life stage A discrete period in the life Persuasion An effort by a source to change the
course during which individuals are expected beliefs or attitudes of a target person through
to perform the set of activities associated with the use of information or argument.
a distinct age-related role. Play stage Mead’s first stage of social experience,
Normative transition Socially expected changes in which young children imitate the activities
made by all or most members of a defined of people around them.
population. Population A set of all people whose attitudes,
Norm of homogamy A social norm requiring that behavior, or characteristics are of interest to
friends, lovers, and spouses be characterized by the researcher.
similarity in age, race, religion, and socioeco- Position A designated location in a social system.
nomic status. Power and prestige order A structure of influ-
Norm of reciprocity A social norm stating that ence that emerges in task groups, with those of
people should (1) help those who have previ- lower status often deferring to those of higher
ously helped them and (2) not help those who status and those of higher status taking the
have denied them help for no legitimate reason. lead in decision making.
Powerlessness The sense of having little or no
control over events.
o
Prejudice A strong like or dislike for members of
Observational learning The acquisition of behav- a specific group.
ior based on the observation of another per- Primacy effect The tendency, when forming an
son’s behavior and of its consequences for that impression, to be most influenced by the ear-
person. Also known as modeling. liest information received. The primacy effect
Opportunity structure An environment in which accounts for the fact that first impressions are
an individual has opportunities to enact a role, especially powerful.
which usually requires the assistance of those Primary group A group with strong emotional
in complementary roles. ties and bonds that endure over time. This type
Overreward A situation in which an individual’s of group tends to be more informal and inti-
outcomes are too high relative to his or her mate than other groups that individuals belong
inputs. See also Underreward. to. See also Secondary group.
Primary relationship An interpersonal relation-
ship that is personal, emotionally involving,
P
and of long duration.
Panel study A method of research in which a Priming An implicit cognition effect, whereby
given sample of respondents is surveyed at one exposure to one stimulus influences a response
point in time and then resurveyed at a later to another stimulus.
point (or several later points). Also known as a Primitive belief A belief based on our own per-
longitudinal survey. sonal experience or from a credible authority.
Paralanguage All the vocal aspects of speech other Principle of cognitive consistency In cognitive
than words, including loudness, pitch, speed of theory, a principle maintaining that if a person
speaking, pauses, sighs, laughter, and so on. holds several ideas that are incongruous or
Passionate love A state of intense longing for inconsistent with one another, he or she will
union with another and intense physiological experience discomfort or conflict and will sub-
arousal. sequently change one or more of the ideas to
Perceived behavioral control The tendency render them consistent.
of our behavior to be influenced not only by Principle of covariation A principle that attri-
intentions but also by whether we are able to butes behavior to the potential cause that is
carry out those intentions. present when the behavior occurs and absent
Personal norms Feelings of moral obligation to when the behavior fails to occur.
perform specific actions that stem from an in- Procedural justice Perceptions of fairness of
dividual’s internalized system of values. processes or procedures used to determine
Perspective-taking model A theory that views distributions.
communication as the exchange of messages Production blocking In brainstorming groups, a
using symbols whose meaning is created by the phenomenon that inhibits the production of
interaction itself. novel ideas. Production blocking occurs when
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620 glossary
participants in a brainstorming group are un- Reflexive self The ability to act toward oneself,
able to express their ideas due to bottlenecks taking the role of both the subject and the ob-
caused by turn taking among members. ject in a situation; a uniquely human trait.
Promise An influence technique that is a com- Reinforcement Any favorable outcome or conse-
munication taking the general form, “If you do quence that results from a behavioral response
X (which I want), then I will do Y (which you by a person. Reinforcement strengthens the
want).” See also Threat. response—that is, it increases the probability it
Prosocial behaviors A broad category of actions will be repeated.
considered by society as being beneficial to Reinforcement theory A theoretical perspective
others and as having positive social conse- based on the premise that social behavior is
quences. A wide variety of specific behaviors governed by external events, especially rewards
qualify as prosocial, including donation to and punishments.
charity, intervention in emergencies, cooper- Relation A connection between two people, with
ation, sharing, volunteering, sacrifice, and the people contributing benefits and potentially
like. deriving them from interactions with each
Prototype In person perception, an abstraction other.
that represents the “typical” or quintessential Relative deprivation A gap between the expected
instance of a class or group. level and the actual level of satisfaction of the
Punishment A painful or discomforting stimulus individual’s needs in which the level expected
that reduces the frequency with which the tar- by the individual exceeds the level of need sat-
get behavior occurs. isfaction experienced.
Reliability The degree to which a measuring
instrument produces the same results each
Q
time it is employed under a set of specified
Questionnaire survey A method of research in conditions.
which a series of questions appear on a printed Response rate In a survey, the percentage of peo-
questionnaire and the respondents read and ple contacted who complete the survey.
answer them online at their own pace. Usually Risk-benefit analysis A technique that weighs the
no interviewer is present. See also Interview potential risks to research participants against
survey. the anticipated benefits to participants and the
importance of the knowledge that may result
from the research.
r
Risky shift In group decision making, the ten-
Random assignment In an experiment, the as- dency for decisions made in groups after dis-
signment of participants to experimental con- cussion to be riskier than decisions made by
ditions on the basis of chance. individual members prior to discussion. See
Reactance Resistance to persuasion attempts that also Cautious shift.
occurs when the persuasion attempt threatens Role A set of functions to be performed by a per-
the independence or freedom of the target. son on behalf of a group of which he or she is
Realistic group conflict theory A theory of inter- a member; a cluster of rules indicating the set
group conflict that explains the development of duties to be performed by a member occu-
and the resolution of conflict in terms of the pying a given position within a group; the set
goals of each group. Its central hypothesis is of expectations governing the behavior of an
that groups will engage in conflictive behavior occupant of a specific position within a social
when their goals involve opposition of interest. structure.
Recency effect The tendency, when forming an Role differentiation The emergence of distinct
impression, to be most influenced by the latest roles within a group; the division of labor
information received. within a group.
Reciprocity theory An exchange theory that fo- Role identities Individuals’ concept of self in spe-
cuses on conflict, risk, and the expressive value cific social roles.
of exchange. Role overload The condition in which the de-
Referent power Social influence that occurs be- mands placed on a person by his or her roles
cause individuals seek to be liked and accepted exceed the amount of time, energy, and other
by valued social groups. resources available to meet those demands.
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glossary 621
Role taking In symbolic interaction theory, the Self-disclosure The process of revealing personal
process of imaginatively occupying the position information (aspects of our feelings and be-
of another person and viewing the situation haviors) to another person. Self-disclosure is
and the self from that person’s perspective; the sometimes used as an impression-management
process of imagining the other’s attitudes and tactic.
anticipating that person’s responses. Self-discrepancy The state in which a component
Role theory A theoretical perspective based on of the individual’s actual self is the opposite of
the premise that a substantial portion of ob- a component of the ideal self or the ought self.
servable, day-to-day social behavior is simply Self-esteem The evaluative component of the
persons carrying out role expectations. self-concept. The positive and negative evalua-
Romantic love ideal Five beliefs regarding love, tions people have of themselves.
including the belief (1) in love at first sight, Self-estrangement The awareness that one is
(2) that there is one and only one true love for engaging in activities that are not rewarding in
each person, (3) that love conquers all, (4) that themselves.
our beloved is (nearly) perfect, and (5) that one Self-fulfilling prophecy When persons behave
should follow his or her heart. toward another person according to a label
Routine activities perspective A theory that con- (impression) and cause the person to respond
siders how deviant behavior, such as crime and in ways that confirm the label.
substance abuse, emerges from the routines of Self-presentation All conscious and unconscious
everyday life. attempts by people to control the images of self
Rule breaking Behavior that violates social norms. they project in social interaction.
Rumination Self-focused attention toward one’s Self-reinforcement An individual’s use of inter-
distress and the possible causes and conse- nalized standards to judge his or her own be-
quences of the distress rather than ways to havior and reward the self.
overcome it. Self-schema The organized structure of infor-
Rumor Communication via informal and often mation that people have about themselves; the
novel channels that cannot be validated. primary influence on the processing of infor-
mation about the self.
Self-serving bias In attribution, the tendency
S
for people to take personal credit for acts that
Salience The relative importance of a specific role yield positive outcomes and to deflect blame
identity to the individual’s self-schema. The for bad outcomes by attributing them to exter-
salience hierarchy refers to the ordering of an nal causes.
individual’s role identities according to their Sentiment The social aspect of emotion. Compo-
importance. nents of human responses that separate them
Schema A specific cognitive structure that orga- from analogous responses animals would have.
nizes the processing of complex information Sexism Prejudice or discrimination on the basis
about other persons, groups, and situations. of sex.
Our schemas guide what we perceive in the Sexual assault Sexual touching or intercourse
environment, how we organize information in without consent, accomplished by coercion,
memory, and what inferences and judgments manipulation, or either the threat or use of
we make about people and things. force. The greater the force used or the result-
Secondary deviance Deviant behavior employed ing injury, the more severe the assault.
by a person as a means of defense or adjust- Shaping The learning process in which an agent
ment to the problems created by others’ reac- initially reinforces any behavior that remotely
tions to rule breaking by him or her. resembles the desired response and subse-
Secondary group A group that is formal and im- quently requires increasing correspondence
personal, often organized around instrumental between the learner’s behavior and the desired
goals. See also Primary group. response before providing reinforcement.
Self The individual viewed as both the active source Significant others People whose views and atti-
and the passive object of reflexive behavior. tudes are very important and worthy of con-
Self-awareness A state in which we take the self sideration. The reflected views of a significant
as the object of our attention and focus on our other have great influence on the individual’s
own appearance, actions, and thoughts. self-concept and self-regulation.
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622 glossary
Simple random sample A sample of individuals Social impact theory A theoretical framework,
selected from a population in such a way that applicable to both persuasion and obedience,
everyone is equally likely to be selected. See stating that the impact of an influence attempt
also Stratified sample. is a function of strength, immediacy, and num-
Situated identity A conception held by a person ber of sources that are present.
in a situation that indicates who he or she is Social influence An interaction process in which
in relation to the other people involved in that one person’s behavior causes another person to
situation. change an opinion or to perform an action that
Situated self The subset of self-concepts that con- he or she would not otherwise do.
stitutes the self people recognize in a particular Socialization The process through which indi-
situation. Selected from the person’s various viduals learn skills, knowledge, values, motives,
identities, qualities, and self-evaluations, the and roles appropriate to their positions in a
situated self depends on the demands of the group or society.
situation. Social learning theory A theoretical perspective
Situational attribution A decision by an observer maintaining that one person (the learner) can
to attribute a behavior to environmental forces acquire new responses without enacting them
facing the person who performed it rather than simply by observing the behavior of another
to that person’s internal state. See also Disposi- person (the model). This learning process,
tional attribution. called imitation, is distinguished by the fact
Situational constraint An influence on behavior that the learner neither performs a response
due to the likelihood that other persons will nor receives any reinforcement.
learn about that behavior and respond posi- Social loafing The tendency by group members
tively or negatively to it. to slack off and reduce their effort on additive
Social class Persons who share a common status tasks, which causes the group’s output to fall
in society. One’s class standing may be based short of its potential.
on occupational prestige and income. Social movement Collective activity that ex-
Social-emotional specialist In groups, a person presses a high level of concern about some
who strives to keep emotional relationships issue; the activity may include participation in
pleasant among members; a person who initi- discussions, petition drives, demonstrations, or
ates acts that ease the tension and soothe hurt election campaigns.
feelings. Social networks The sets of interpersonal rela-
Social emotions Emotions that cannot be under- tionships associated with the social positions a
stood or defined without reference to the social person occupies.
world; emotions that (1) involve an awareness Social perception The process through which we
of oneself in the social context, (2) emerge out construct an understanding of the social world
of interaction with at least one other actor, and out of the data we obtain through our senses;
(3) are often experienced in reference to some more narrowly defined, the processes through
kind of societal standard. which we use available information to form
Social exchange theory A theoretical perspective, impressions of people.
based on the principle of reinforcement, that Social psychology The field that systematically
assumes that people will likely choose actions studies the nature and causes of human social
that maximize rewards and minimize costs. behavior.
Social facilitation A phenomenon in which the Social responsibility norm A widely accepted so-
mere presence of other individuals causes per- cial norm stating that individuals should help
sons to perform better. people who are dependent on them.
Social identity A definition of the self in terms of Social structure The ordered and persisting
the defining characteristics of a social group. relationships among the positions in a social
Social identity theory of intergroup behavior system.
A theory of intergroup relations based on Sociolinguistic competence Knowledge of the
the premise that people spontaneously cat- implicit rules for generating socially appropri-
egorize the social world into various groups ate sentences that make sense because they fit
(specifically, in-groups and out-groups) and the listeners’ social knowledge.
experience high self-esteem to the extent that Source In social influence, the person who inten-
the in-groups to which they belong have more tionally engages in some behavior (persuasion,
status than the out-groups. threat, promise) to cause another person to
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glossary 623
behave in a manner different from how he or the product of a promise’s credibility times its
she otherwise would. See also Target. magnitude.
Specific status characteristics Attributes that Subjective norms An individual’s perception of
influence performance expectations for tasks others’ beliefs about whether a behavior is ap-
that are relevant to that attribute (e.g., mathe- propriate and their motivation to comply with
matical ability on a math test). See also Diffuse those expectations.
status characteristics. Subtractive rule When making attributions about
Speech act theory The theory that verbal utter- the influence of personal dispositions on a
ances both state something and do something. behavior, the observer subtracts the perceived
Spillover Stress experienced at work or in the impact of situational forces from the personal
family is carried over into the other domain. disposition implied by the behavior itself.
Spoken language A socially acquired system of Subtyping A process through which perceivers
sound patterns with meanings agreed on by the create subcategories of stereotyped groups who
members of a group. serve as exceptions to the rule without threat-
Standard speech A speech style characterized by ening the overarching stereotype. Cognitive
diverse vocabulary, proper pronunciation, cor- strategies like these help people explain away
rect grammar, and abstract content. The use contradictory information and preserve their
of this style is associated with high status and stereotypes.
power. See also Nonstandard speech. Summons-answer sequence The most common
Status The social ranking of a person’s position. verbal method for initiating a conversation,
Status characteristic Any property of a person in which one person summons the other as
around which evaluations and beliefs about with a question or greeting, and the other in-
that person come to be organized; properties dicates his or her availability for conversation
such as race, occupation, age, sex, ethnicity, by responding. This sequence establishes the
education, and so on. mutual obligation to speak and to listen that
Status generalization A process through which produces conversational turn taking.
differences in members’ status characteristics Superordinate goal In intergroup conflict, an
lead to different performance expectations and, objective held in common by all conflicting
hence, affect patterns of interaction in groups; groups that cannot be achieved by any one
the tendency for a member’s status inside a group without the supportive efforts of the
group to reflect his or her status outside that others.
group. Supplication An impression management tactic
Stereotypes Fixed sets of characteristics that are that involves convincing a target person that
attributed to all the members of a group; sim- you are needy and deserving.
plistic and rigid perceptions of members of one Symbolic interaction theory A theoretical per-
group that are widely shared by others. spective based on the premise that human na-
Stereotype threat The suspicion a member of a ture and social order are products of commu-
group holds that he or she will be judged based nication among people. Also know as symbolic
on a common stereotype of the group. interactionism.
Stigma Personal characteristics that others view Symbols Forms used to represent ideas, feelings,
as insurmountable handicaps preventing com- thoughts, intentions, or any other object. Sym-
petent or morally trustworthy behavior. bols represent our experiences in a way that
Stratified sample In survey research, a sampling others can perceive with their sensory organs—
design whereby researchers subdivide the pop- through sounds, gestures, pictures, and so on.
ulation into groups according to characteristics
known or thought to be important, select a
t
random sample of groups, and then draw a
sample of units within each selected group. See Tactical impression management The selective
also Simple random sample. use of self-presentation tactics by a person who
Stress The condition in which the demands made wishes to manipulate the impressions that oth-
on the person exceed the individual’s ability to ers form of him or her.
cope with them. Target In social influence, the person who is af-
Subjective expected value (SEV) With respect fected by a social influence attempt from the
to threats, the product of a threat’s credibility source. In aggression, the person toward whom
times its magnitude; with respect to promises, an aggressive act is directed. See also Source.
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624 glossary
Task specialist In groups, a member who pushes ment of its goals; in return, the leader receives
the group toward the attainment of its goals; a support, endorsement, and rewards.
person who contributes many ideas and sug- Transformational leadership Leadership that
gestions to the group. strengthens group performance by changing
Theoretical perspectives Theories that make the way members view their group, its op-
broad assumptions about human nature and portunities, and its mission; leadership that
offer general explanations of a wide range conveys an extraordinary sense of mission
of diverse behaviors. See also Middle-range to group members and arouses new ways of
theories. thinking within the group.
Theory A set of interrelated propositions that Trust The belief that a person is both honest and
organizes and explains a set of observed facts; benevolent.
a network of hypotheses that may be used as a
basis for prediction.
u
Theory of cognitive dissonance A theory con-
cerning the sources and effects of inconsis- Ultimate attribution error A perceptual bias oc-
tency in cognitive systems with two or more curring in intergroup relations. Negative be-
elements. haviors by out-group members are attributed
Theory of planned behavior A revised model of to stable, internal factors such as undesirable
the theory of reasoned action that argues that personal traits or dispositions, but positive be-
the link between intention and behavior will be haviors by out-group members are attributed
strongest when an individual perceives individ- to unstable, external factors such as situational
ual control over the behavior. pressures or luck. As a result, in-group ob-
Theory of reasoned action The theory that be- servers will blame the out-group for negative
havior is determined by behavioral intention, outcomes but will not give it credit for positive
which in turn is determined by both attitude outcomes.
and subjective norm. Underreward When a person’s outcomes are
Theory of speech accommodation The theory too low relative to his or her inputs. See also
that people express or reject intimacy with oth- Overreward.
ers by adjusting their speech behavior (accent, Upward mobility Movement of a person from
vocabulary, or language) during interaction. an occupation lower in prestige and income to
They make their own speech behavior more one higher in prestige and income.
similar to their partner’s to express liking, and
more dissimilar to reject intimacy.
v
Threat An influence technique that is a commu-
nication taking the general form, “If you don’t Values Enduring beliefs that certain patterns of
do X (which I want), then I will do Y (which behavior or end states are preferable to others.
you don’t want).” See also Promise. Victim-blame When responsibility for a sexual
Trait centrality A personality trait has a high assault is placed on the victim rather than the
level of trait centrality when information about perpetrator.
a person’s standing on that trait has a large
impact on the overall impression that others
W
form of that person. The warm-cold trait, for
instance, is highly central. Weapons effect A cognitive priming effect, when
Transactional leadership Leadership in groups the sight of a weapon makes more accessible or
based on an exchange between the leader and primes aggression-related concepts or scripts
other group members. The leader performs for behavior.
actions that move the group toward the attain-
9780813349503.indb 624 5/16/14 1:50 PM

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inDex
accommodation, 432 stress and, 382–383 attachment

accounts, 145–157 temperature/heat and, 382– definition, 71–72
action units (of facial 383 style of, 73 (box)
expressions), 182, 183 (fig.) aggressive pornography, 81, attitude change
actor-observer difference, 391–392 components, 320 (fig.)
235–237 alienation definition, 312
adjustment, 227 definition/description, 514 See also communication-
affect, 179 (photo), 533, 537–538 persuasion paradigm;
affect theory of social exchange, powerlessness, 535–537, persuasion
490 536 (photo) attitude inoculation, 337–338
affective aggression, 375 self-estrangement, 533–535, attitude measures
aggravated assault, 376 535 (fig.) Likert scale, 40, 41 (box)
aggression aligning actions, 156–157 overview, 40, 41 (box), 42
definition/description, 370– altercasting, 157–158 semantic differential scales,
371, 370 (photo) altruism 40, 41 (box), 42
examples, 370 definition/description, 345 single items, 40, 41 (box)
intervention with children/ empathy-altruism model, attitudes
violent media, 394 346–348 accessibility and, 259–260
media violence and, 392–395, evolutionary perspectives of, activation and, 259
395 (photo) 348–350 analyzing (critical thinking
pornography and, 81, 390– Amazon’s Mechanical Turk skills), 268–269
392 (AMT), 57 (box) behavior and, 258–259, 260–
reducing strategies, 384–386 ambivalent/anxious individual 266, 263 (photo), 268
summary, 395–396 (attachment style), 73 (box) characteristics of, 260–262
violent media and, 393–394 anchor, 227 components of, 244–245, 266
violent television and, 392– anecdotal vs. scientific evidence, definition/description, 244
394 608–609 formation of, 245–247, 248
violent video games and, 81, anger (photo)
372, 394–395 collectivist/individualist functions of, 248–249
See also targets (of cultures and, 187 Implicit Associations Test
aggression); specific social status and, 188 (box) (IAT), 247 (box)
aggressive behavior anomie/anomie theory organization of, 249–251,
Aggression, causes (internal) definition/description, 543– 251 (fig.)
averse emotional arousal, 545, 544 (photo), 554 stereotypes/racism and, 247,
374–375 social class and, 545–546, 248, 248 (photo)
instinct and, 371–372 554 See also balance theory; theory
social learning, 375–376 anxious/ambivalent individual of cognitive dissonance
See also frustration-aggression (attachment style), 73 attitudinal similarity, 412–414
hypothesis (box) attraction
Aggression, causes (situational) archival research exchange processes, 408–412
aggressive cues and, 383–384, content analysis of, 48 physical attractiveness and,
384 (fig.) costs and, 48 405–408, 428–429
models and, 380–381 definition/description, 47 social norms and, 404–405,
negative norm of reciprocity, sources for, 47–48 405 (photo)
381–382 strengths/weaknesses of, See also availables; liking
rewards and, 379–380 48–49 factors
703
9780813349503.indb 703 5/16/14 1:51 PM

704 IndEx
attractiveness stereotype, behavior definition, 70–71

406–407 attitudes and, 258–259, 260– divorce effects, 76–77
attribution, 206, 228 266, 263 (photo), 268 family, 71–77
attribution theory causal factors/dimensions of, father and, 72, 74
actor-observer difference, 28 infants in institutions and,
235–237 culture and, 28 71
covariation model of identities and, 131–133 living arrangement diversity,
attribution, 231–233, 233 self-awareness and, 136–137 74–75, 75 (table)
(table) self-discrepancy and, 137–138 mass media, 80–81
dispositional/situational self-esteem and, 142 maternal employment and,
attributions, 228–229, stigma and, 169–170, 170 72, 74
230 (fig.) (fig.) mother and, 71–72, 74
focus-of-attention bias, 234– belief perseverance, 237 parental education and, 74
235, 235 (photo) Bem Sex Role Inventory, 58, parenting styles and, 75–76
inferring dispositions and, 222–223 (box) parent’s gender and, 72
227–228, 229–231 biological aging, 103, 109 (photo) peers, 77–79, 78–79 (box)
motivational biases, 237–238, birth cohort race/ethnicity and, 75–76
240 definition, 105 schools, 79–80
overattribution to historical trends/events and, single parents and, 72
dispositions, 233–234 105–106, 107 (table), 111– children defined, 67
summary, 240 112 Clinton, Bill, 157, 327 (box)
attributions for success/failure, social change and, 106–107, CMC (computer-mediated
238–239, 238 (table), 111–112 communication), 124–125,
240 body language, 283, 283 (table), 158, 159, 285–286, 297
authority 284 (photo), 295–296, codability, 276
definition/description, 331– 295 (photo) code switching and language,
333, 332 (photo), 339 borderwork, 79 (box) 296–297
experimental studies of breach of confidentiality, 59 coerced dispersal, 589
obedience, 333–335, 336 Bundy, Ted, 390 cognitions and attitudes, 244–
factors affecting obedience to, burden-of-proof process 245
336–337 (in diffuse status cognitive consistency
legitimate power, 329 (box) characteristic), 475 description, 251–252, 266
availables bystander effect, 51 (photo), 361, See also balance theory;
definition/description, 400– 362 theory of cognitive
401 bystander intervention dissonance
Internet and, 401, 402 (fig.) definition/description, 51 cognitive dissonance
meeting, 401–403, 402 (fig.), (photo), 498–499 definition, 254
403 (photo) steps in decision, 360, 361 selling/salespeople and,
See also attraction (fig.) 258 (box)
aversive affect, 374–375 cognitive dissonance theory.
aversive events, 454, 457–458 Cage, Nicolas, 163 (box) See theory of cognitive
avoidant individual (attachment career dissonance
style), 73 (box) definition, 99 cognitive labeling theory
overview, 99–101, context in interpreting others’
back-channel feedback, 290 100 (photo) emotions, 191–192
(box), 305 Carter, Jimmy, 327 (box) others importance and, 191
back regions, 152 Castro, Ariel, 390 overview, 189–191
backtracking, 561 Castro, Fidel, 233–234 cognitive perspectives
Bailey, J. Michael, 59, 61 categorization, 208 cognitive theory overview,
balance theory catharsis, 386 17–18
definition/description, 252– cautious shift, 484 dual-process theory of
254, 253 (fig.) childhood socialization information processing,
imbalance/change and, 252– attachment and, 71–72 19–20, 21 (fig.)
254, 253 (fig.) child care effects, 74 limitations of, 22
9780813349503.indb 704 5/16/14 1:51 PM

IndEx 705
schemas and, 18–19, 19 status expression and, 294– control theory

(photo) 296, 295 (photo) deviant behavior explanations
social identity theory successful communication and, 547–550
overview, 20, 22 example, 286 (photo) social bonds and, 547, 548
cognitive processes, 17 See also conversation analysis; (photo), 554
cognitive structure, 18–19 nonverbal communication; convenience samples, 42
cognitive theory, 17–18 spoken language convergence (gatherings), 588
collective behavior communication accuracy, conversation analysis
definition/description, 580 276–277 feedback/coordination, 305–
precipitating incidents, 593 communication-persuasion 306
social control and, 597–599 paradigm, 314–315, 314 initiating conversions, 302–
strategies for protest policing, (fig.) 304, 303 (photo)
598 See also message (persuasion); summary, 307
summary, 608 source (persuasion); targets turn taking and, 304–305
underlying causes, 589–592, (of persuasion) conversion (social movements),
591 (fig.) communicator credibility, 315 604
violence/high temperatures, companion clusters, 588 cooling-out, 167, 174
595–596, 596 (fig.) comparison level, 408–409, 428 cooperative principle, 279
See also crowds; gatherings; comparison level for alternatives, correspondence in attitude-
riots 409, 428 behavior, 262–264
collective identity, 602–603 complexity–extremity effect, 213 cosmetic surgery, 407
collective task, 471 compliance Costa Concordia sinking, 589
collectivist cultures definition/description, 312, COYOTE, 565
definition, 185 325, 328, 339 criterion validity, 39
emotional display, 185–189, promises and, 328, 330, 331 critical thinking skills
186 (photo) social power and, 329 (box) analyzing attitudes, 268–269
commonsense knowledge threats and, 328, 330–331, anecdotal vs. scientific
sources/description, 2–3 330 (photo) evidence, 608–609
Test Yourself, 4 (box) See also authority communicating clearly, 308–
communication Compliance (docudrama), 333 309
African-American Vernacular computer-mediated creative thinking, 366–367
English, 292–293 communication (CMC), decision making/problem
combining nonverbal/verbal 124–125, 158, 159, 285– solving (relationships),
communication, 286–288 286, 297 436–437
computer-mediated conditioning, 14 description/benefits, 27–28
communication (CMC), confirmation bias, 207, 213 evaluating persuasive
124–125, 158, 159, 285– conformity messages, 340–341
286, 297 Asch studies on, 446–448, persuasive techniques and,
definition, 272 447 (fig.), 449 174–175
face and, 286 definition, 446 promoting higher order
gender and, 289, 290 (box), 291 increasing, 450–452, 452 (fig.) cognitive skills, 466–467
importance of clear intergroup conflict and, 454 research/policy decisions,
communication, 308–309 reasons for, 448 396
intimacy expression and, Sherif studies on, 449–450 sampling importance, 63
296–299 summary, 465 on social performance effects,
normative distances and, consensus (attribution theory), 202–203
299–300 232 stigmatizing labels and, 577
personal space and, 300–302, consistency (attribution theory), theory evaluation, 114–115
301 (fig.), 302 (photo) 232 theory understanding/use,
resolving inconsistency, 288 construct validity, 39 498–499
silencing and, 296 contagion, 582–583 thinking as hypothesis testing,
social status and speech style, content analysis, 48 538–539
291–292 contingencies (of self esteem), understanding stereotyping,
social structure and, 307 138 241
9780813349503.indb 705 5/16/14 1:51 PM

706 IndEx
crowds discrepant message, 319, 320 emotions

definition/description, 581, (fig.) classical ideas on origins,
582 (photo) discrimination, 456 180–181, 201
myths on, 583–584 disinhibition, 386 components of, 179
traditional perspectives of, displaced aggression, 379 criticism of universal emotion
582–584 display rules, 185 studies, 184
crowdsourcing, 57 (box) dispositional attribution, 228 cultural differences in, 184–
Cuban Missile Crisis, 233 distinctiveness (attribution 185
cultural routines, 69–70 theory), 232 cultural norms and emotional
culture distributive justice, 491–494 display, 185–189, 186
behavior and, 28 divorce (photo)
definition, 56 effects on children, 76–77 definition/description, 179,
emotional display and, 185– longitudinal study on effects, 201
189, 186 (photo) 77 display rules, 185
gender role and, 88 dual-process theory of genetics and, 180, 181
love and, 424, 427–428 information processing, universal emotions/facial
research results and, 56, 58 19–20, 21 (fig.) expressions and, 181–184,
culture of honor, 377, 378 “Dude,” 299 182 (table), 183 (fig.)
(box), 381 dyadic withdrawal, 422 See also facial expressions of
Southern states laws and, emotions; social emotions;
551 ebonics, 292–293 specific emotions
subculture of violence, 551 education empathy, 346
ethnicity and, 507, 508 (table) empathy-altruism model,
Darley, John, 12 gender and, 507–508, 508 346–348
See also help in emergencies (table), 511 (box) empirical research
Darwin, Charles, 22, 180, 181, values (individual) and, 515– definition, 32
201 516 See also research
decision making women and science, 511 (box) encoder-decoder model, 276,
critical thinking skills and, effective social control, 561 276 (fig.)
436–437 egoism, 345–346 equitable relationships, 429–430
in group processes, 481–485, Ekman, Paul, 181–184, 182 equity, 14–15
497 (table), 183 (fig.) equity/justice
definition of the situation, Elaboration Likelihood Model, Affordable Care Act and,
147–148 324 (fig.) 490–491
deindividuation, 582 embarrassment distributive justice principles,
dependent variable, 34 definition/description, 152 491–494
desirability. See attraction (photo), 164–165 procedural justice, 495–496
deterrence hypothesis, 567–568, expression of, 184–185 responses to inequality, 494–
568 (photo) responses to, 165–167, 174 495
development process in children, as social emotion, 197, 200 ethical issues. See research
68 (table) sources, 165 ethical issues
deviant behavior emergency dispersal, 589 ethnocentrism, 456
definition/description, 542 emergent norm theory, 584, event schemas, 209–210
See also norm violations 586–587 evolutionary perspectives
deviant subculture, 564–565, emergent outcomes, 488 attractiveness, 407–408
566 (photo) emotion work of helping, 348–350
Diallo, Amadou, 207, 210, 212 definition/description, 192 evolutionary psychology, 22
differential association theory, flight attendants and, 192, evolutionary theory
550–552 193, 193 (table), 194 human behavior and, 22–25,
diffuse status characteristics, overview, 192–194 23 (box), 24 (photo)
475, 476 (photo) emotional deviance, 194 limitations of, 25
diffusion of responsibility, emotional intelligence, 198–199 overview, 22–24
362–363 (box) exchange theory, 408, 485
disclaimer, 156 emotional labor, 194 (photo)
9780813349503.indb 706 5/16/14 1:51 PM

IndEx 707
experimenter effects, 53–54 framing (social movements), group goals, 444–445

experiments 601 group norms
characteristics/description, Freud, Sigmund, 71, 181 definition/description, 445–
49 front regions, 152 446, 446 (photo)
dependent variable and, 49, frustration, 372 intergroup conflict and, 454
50, 51, 52 frustration-aggression See also conformity
emergency situations/help, hypothesis group polarization, 484–485
50–52, 51 (photo), 57 (box) definition/description, 8, group processes
field experiments, 50 372–373, 373 (photo) categorization scheme for
independent variable and, 49, frustration legitimacy and, interactions, 472 (fig.)
50, 51, 51 (photo), 52 373–374, 374 (fig.) decision making, 481–485,
laboratory experiments, 49– frustration strength and, 373 497
50 fundamental attribution error, group size/member acts
mundane/experimental 234 initiations, 471, 473 (table)
realism and, 54 limitations of, 16
random assignment and, 49 game, 123, 123 (photo) participation studies/findings,
strengths, 52 Gandhi, Mahatma, 385 471, 473–474
validity and, 52, 53, 54 gatherings status and, 15–16, 475–481
weaknesses, 50, 52–53 assembling, 587–588 status construction/value,
external validity, 35 behavior/activities, 587, 588 480–481
extraneous variable, 34 definition/description, 587 status generalization and,
extrinsically motivated, 85 dispersal types, 589 476–480
gender role summary, 496–497
face validity, 39 books/stories and, 88–89 See also groupthink; social
facial expressions of emotions children’s play and, 87–88 exchange
computer software/uses and, definition, 88 group schemas. See stereotypes
183 ethnicity and, 88, 90 group self-esteem, 145 (box)
criticism/limitations of Paul helping and, 356 groups
Ekman’s work, 184 influences, 87, 88–90, 89 definition/attributes of, 440–
Ekman’s work, 181–183, (photo) 441
183 (fig.) parents/family influence, 87, goals, 444–445
involuntary/voluntary 88 summary, 464–466
expressions, 181 religion and, 88 systematic studies beginnings,
fateful events, 526–527 (box) women’s work/attitude 471, 473–474
feeling rules, 192 changes, 108–110, See also intergroup conflict
field studies 110 (fig.) groupthink
description/examples, 45–46 general strain theory, 546–547 avoiding, 483–484
informed consent and, 47 generalized other, 123–124 Bay of Pigs invasion example,
participant observation, 46 Genovese, Catherine (Kitty) 481–482, 483
strengths/weaknesses of, murder/witnesses, 359– causes, 483
46–47 360, 361, 362, 498–499 definition/symptoms of, 482–
unobtrusive measures, 46 Gestalt psychology, 17–18 483
five-factor model, 325 goal isomorphism, 445 guilt, 195–196
fixed-interval schedule gossip, 349 (box)
(reinforcement), 83 grief expression and cultural halo effect, 216
fixed-ratio schedule differences, 186 (photo), health (mental) and social
(reinforcement), 83 187–188 influences
flirting (courtship signaling), group cohesion gender and, 525
303 (photo), 410–411 (box) definition/description, 441– marital status and, 525, 528–
focus-of-attention bias, 234–235, 442, 443 (box) 529
235 (photo) intergroup conflict and, 453 occupation and, 522–523,
forewarning, 338 sources/consequences of, 525
formal social controls, 565–566 443–444, 444 (photo) summary, 537
frames, 147–148 types, 442–443 See also stress
9780813349503.indb 707 5/16/14 1:51 PM

708 IndEx
health (physical) and social hierarchy of identities, 133, independent variable, 34

influences 135–136, 135 (photo) individualist cultures
gender and, 519–520 HIT (human intelligence task), definition, 185
marital status and, 520–521 57 emotional display and, 186–
model of influences, 521 (fig.) Holocaust and compliance, 334 189
occupation and, 516, 518–519 homogeneous (groups), 471 informal social control, 565
physical exercise and, 517–518 hook-ups, 210, 211 (table), 389, informational influence, 448–
social class and, 521–522 411 450
stress and, 516–517, 518 human intelligence task (HIT), informed consent
(photo) 57 Bailey’s sexual behavior study
summary, 527 hypotheses and, 59
heat/high temperatures cause and, 34 description/elements of, 61
aggression and, 382–383 definition, 33–34 ingratiation
riots and, 595–596, 596 (fig.) thinking as hypothesis testing, definition/overview, 152–153
help in emergencies 538–539 tactics, 153–156, 155 (box)
diffusion of responsibility, types, 34 ingratiator’s dilemma, 161
362–363 institutional review board (IRB),
evaluation apprehension, 362 IAT (Implicit Associations Test), 60–61
experiments, 50–52, 51 247 (box) institutionalization of deviance,
(photo), 57 (box) identities 560–561
interpreting the situation, behavior and, 131–133 instrumental conditioning
361–362 choosing, 133–134, 172 definition/overview, 81, 82,
See also bystander effect; consistency and, 135–136 82 (photo)
bystander intervention definition, 13, 125 motivation and, 85
help recipient online networks and, 124– negative reinforcement, 83
obligation and, 363 125, 134 positive reinforcement, 83
provider similarity and, 364 self-verification strategies, 136 punishment, 83–85, 84 (fig.)
self-esteem and, 363–364 situational opportunities and, reinforcement schedules, 83
helping 134 intentionalist model, 277–280,
definition/description, 345 social networks and, 133–135 278 (table)
normative factors and, 353– support and, 134 interdependence
356 identity control theory, 132 affect theory of social
helping/characteristics of the identity crisis, 136 exchange and, 490
needy identity degradation, 167–168, in families, 493
acquaintanceship/liking 174 with group members, 440,
person, 350 identity theory, 13 444, 452, 464–465, 490,
deservingness, 352–353, 353 ideology (social movements), 493
(photo) 600–601 relationships and, 421–422,
similarities to self, 350–352, illusion of out-group 493
351 (box) homogeneity, 458 superordinate goals and, 460
helping motivation Implicit Associations Test (IAT), See also group cohesion
altruism/empathic concern, 247 (box) intergenerational similarity, 66
346–348 implicit personality theory, 215– intergroup conflict
egoism, 345–346 216, 215 (table), 239 definition/description, 452–
evolutionary perspectives, impression formation 453
348–350 continuum model, 21 (fig.) effects on within-group
helping/situational influences definition/description, 223 processes, 453–454
costs and, 358–359, 359 first impressions and, 224– leadership and, 453–454
(photo) 225 persistence and, 458–460
helping models and, 357 heuristics and, 226–227 resolving, 460–464
mood and, 357–358 self-fulfilling prophecies and, sources of, 454–458
heuristics 226 summary, 465–466
definition, 20, 226 trait centrality and, 223–224, intergroup contact hypothesis,
overview, 226–227 239–240 461
9780813349503.indb 708 5/16/14 1:51 PM

IndEx 709
internal validity, 34–35 Legally Blonde (movie) and Martin, Trayvon, 207
internalization, 86–87 schemas, 19 (photo) mass campaign, 326–327 (box)
interpersonal attraction, 400 legitimate means (goals), 543 mass media, 326 (box)
interpersonal spacing legitimate power, 329 (box) mass psychogenic illness (MSI),
(proxemics), 283–284, life course 583
283 (table) careers, 99–101, 100 (photo) matching hypothesis, 405–406,
intersubjectivity, 280 change and, 98–99, 107 405 (photo)
interview surveys, 36 (photo), 37 components of, 99–102 mate poaching, 23 (box)
intrinsically motivated, 85 definition, 99 mate selection and evolutionary
IRB (institutional review board), historical trends/events, 105– theory, 23–24
60–61 107, 107 (table) mechanism, 17
historical variations and, media
J-curve theory, 591, 591 (fig.) 107–112 childhood socialization and,
jealousy, 197 identities and, 101 80–81, 89–90
Johnson, Lyndon, 593 influences on, 102–107, 104 childhood use by age, 82 (fig.)
justice (photo) children’s gender role and,
procedural justice, 495–496 personal impact of events, 89–90
See also equity/justice 110–112, 111 (table) See also aggression
self-esteem and, 101 media campaigns, 326–327
Kennedy, John, 481–482, 483 stress/satisfaction and, 101– (box)
King, Martin Luther, 602 102 mere exposure effect, 403
King, Rodney, 593 summary, 113–114 message (persuasion)
Kohlberg, 95–96 women’s work/attitude discrepancy, 318–319, 320
Kohlberg’s model of moral changes, 108–110, 110 (fig.) (fig.)
development, 95–96, 96 life events, 102 fear arousal, 320–322
(table) Likert scale, 40, 41 (box) media campaigns, 326–327
liking (box)
labeling reciprocal liking, 415 one-/two-sided messages,
consequences overview, 560– shared activities, 414–415 322
561 similarity/importance, 412– meta-analysis, 55–56
secondary deviance and, 414 methodology, 32
561–656, 562, 563, 576 liking vs. loving, 422–423 microaggressions, 525
stigmatizing labels and, 577 linguistic intergroup bias, 281 middle-range theories, 8
labeling (formal) linguistic relativity hypothesis, Milgram, Stanley/obedience
biases and, 570–573, 571 274–275 (box) studies, 334–335, 336–337
(photo) loneliness, 433 (box) minimal group paradigm, 456,
functions, 567–569, 568 longitudinal surveys. See panel 457 (fig.)
(photo) studies (longitudinal mobilization (social movements),
long-term effects, 573–575 surveys) 603–604
overview, 566–567, 576 looking-glass self, 122 modeling. See observational
process of, 569–570, 570 (fig.) love learning
labeling theory, 555–561 as a story, 426–428 mood, 180
language culture and, 424, 427–428 moral development
components of, 90–91 liking vs. loving, 422–423 definition, 95
as evolving, 299 passionate love, 423–424, Kohlberg’s model of, 95–96,
private speech, 92 425 (box) 96 (table)
as socialization outcome, romantic love ideal, 424–426 moral judgment, 95–97, 96
90–92 as social emotion, 200–201 (table)
stages of acquisition/ love story, 426–428 overview, 93–97
development, 91–92 Piaget’s work on, 95
Lanza, Adam, 586 majority influence, 446–448, social rules/norms and,
Latané, Bibb, 12 447 (fig.) 93–95
See also help in emergencies Man Who Would Be Queen, The movie theater shooting (2012),
learning structure, 544 (Bailey), 59, 61 526
9780813349503.indb 709 5/16/14 1:51 PM

710 IndEx
multiracial heritage and identity, summary, 575–576 peers

129–130 See also anomie/anomie borderwork and, 79 (box)
My Lai Massacre and theory; labeling; reactions childhood socialization and,
compliance, 334 to norm violations 77–79, 78–79 (box)
normative influence, 448 gender and, 78, 78–79 (box)
National Advisory Commission normative life stage, 104–105, race and, 78
on Civil Disorders, 593– 104 (photo) rebellion against authority
594, 595 normative transition, 105 and, 78 (box), 79
naturalistic observation. See field norms perceived behavioral control,
studies definition, 13 265
negative norm of reciprocity, groups and, 445–452 person schemas, 209, 214
381–382 moral development and, personal effects, choice
negative reinforcement, 83 93–95 of (nonverbal
negative-state relief hypothesis, nudists, 565, 566 (photo) communication), 283
358 (table), 284–285
negotiated dispersals, 589 obedience. See authority personal norms and helping,
network multiplexity, 552 observational learning 355–356
nonaggressive pornography, overview, 85–86, 86 (photo) personality theory (schemas/
390–391 studies on, 86 assumptions), 214
nonstandard speech occupational status perspective-taking model,
African-American Vernacular attainment factors summary, 280–282
English, 292–293 506 (fig.) persuasion
deficit theories and, 292 description, 503–504, 504 critical thinking skills and,
definition/description, 291– (table) 174–175, 340–341
292 education and, 505, 506 (fig.), definition, 314
nonverbal communication 507 Elaboration Likelihood
summary, 307 gender and, 507–508, 508 Model, 324 (fig.)
types, 282–285, 283 (table), (table) resisting, 337–339
284 (photo) occupational segregation, summary, 339
See also specific types 508–510, 509 (photo) See also communication-
nonverbal leakage, 161 social networks and, 510, 512 persuasion paradigm
norm of homogamy, 404–405 socioeconomic background, physiognomy, 286
norm of reciprocity, 355 505–507, 506 (fig.) play, 122–123
norm of reciprocity in upward mobility and, 504–505 playing dumb, 155 (box)
disclosure, 149 opportunity structure, 544–545 politics and public opinion polls,
norm violations overreward, 494–495 36
control theory and, 547–550, population (in survey), 42
554 panel studies (longitudinal pornography and aggression, 81,
crime and age, 549, 549 (fig.) surveys), 44 390–392
crime and gender, 553 paralanguage, 282–283, 283 position (in social system), 502
description, 543 (table), 295 positive reinforcement, 83
deviant behavior definition/ parenting practices power and prestige order, 475
description, 542 authoritarian parenting, powerlessness, 535–537, 536
differential association theory 75–76 (photo)
and, 550–552 authoritative parenting, 75, 76 prejudice, 248
general strain theory, 546– evolution and, 24–25 primacy effect, 225
547 physical/psychological primary groups, 441
labeling theory and, 555–556 punishment, 83–84, 84 primary relationship, 502
routine activities perspective (fig.) priming, 451–452, 452 (fig.)
and, 553 self-esteem and, 140 primitive belief, 250
self-rejection and, 563–564, social class differences, 16–17 principle of covariation, 232
563 (fig.) values and race/ethnicity, 76 procedural justice, 495–496
suicides and publicity, 554– passionate love, 423–424, 425 promise (compliance), 328,
555 (box) (box) 330–331, 329 (box)
9780813349503.indb 710 5/16/14 1:51 PM

IndEx 711
prosocial behavior realistic group conflict theory, hypotheses, 33–34

definition/description, 344– 455–456 meta-analysis, 55–56
345, 347 (photo) recency effect, 225 methods comparison, 54–55,
gossip as, 349 (box) reciprocity theory 55 (table)
philanthropy, 364 definition/description, 490 methods summary, 62
summary, 365–366 families and, 492–493 (box) objectives, 33
volunteering, 364–365 referent power, 329 (box) policy decisions and, 396
See also altruism; helping reflected appraisal, 128–129 on self-concept formation,
prototype, 208 reflexive behavior, 120 127–130
proxemics (interpersonal reflexive self, 12 validity and, 34–35
spacing), 283–284, 283 refutational defense, 337–338 See also archival research;
(table) relation (in social exchange), 485 experiments; field studies;
psychology defined, 7 relationships surveys
public opinion polls as linear/chaotic, 428 research ethical issues
organizations specializing in, long-distance relationships, breach of confidentiality, 59
36, 37 415, 420–421 considerations overview, 60
politics and, 36 online relationships, 416–417 (box)
punishment (box) false/negative feedback and,
aggression and, 385 secret relationships, 415 58–59
definition, 83 sexual gratification and, 422 institutional safeguards, 59
effectiveness, 84 summary, 434–436 potential benefits and, 61–62
long-term consequences, See also attraction; availables; potential sources of harm,
84–85, 375 liking; love 58–59
use in US, 83–84, 84 (fig.) relationships ending risk-benefit analysis, 60–61
differential commitment/ sexual behavior/
questionnaire surveys, 37 dissolution, 430–432, 431 transsexualism study
(photo) example, 59, 61
race responses to dissatisfaction summary, 62
complexity-extremity effect and, 432, 434 research updates
and, 213 unequal outcomes/instability, emotions and social
prototypes and, 208 428–430 movements, 606–607 (box)
self-esteem and, 145 (box) relationship growth evolution theory/mate
random assignment, 49 interdependence and, 421– poaching, 23 (box)
rape myths, 387, 388 (box), 391 422 flirting (courtship signaling),
reactance, 338–339 reciprocity/intimacy and, 410–411 (box)
reactions to norm violations 416–419, 419 (fig.) Implicit Associations Test
actor characteristics and, self-disclosure and, 416–419 (IAT), 247 (box)
557–558 trust and, 419–421, 420 linguistic relativity hypothesis,
audience characteristics and, (table), 421 (fig.) 274–275 (box)
558–559 relative deprivation, 591–592 motherhood as status
consequences of labeling, reliability characteristic, 478–479
560–561 assessing, 38–39 (box)
determinants of, 557–560 of surveys, 38–39 playing dumb, 155 (box)
gender of actor and, 558 Remember the Titans, 462–463 sorority attachments, 443
labeling theory and, 555– (box) (box)
556 representativeness heuristic, response rate, 37
rule breaking, 556–557 226–227 revolution, causes, 590–591,
secondary deviance and, research 591 (fig.)
564–565 answering questions (love riots
situational characteristics and, example), 53 (box) causes, 593–595
559–560 crowdsourcing and, 57 (box) National Advisory
stigma and, 562 diverse populations and, 56, Commission on Civil
summary, 576 58 Disorders and, 593–594,
See also labeling empirical research defined, 32 595
9780813349503.indb 711 5/16/14 1:51 PM

712 IndEx
riots (continued) norms/moral development, front/back regions, 152

target selection, 596–597, 94–95, 94 (photo) hazardous actions and, 159
597 (photo) social comparison, 80 (box), 173
temperature/heat and, 595– scientific vs. anecdotal evidence, impression management
596, 596 (fig.) 608–609 online, 158, 160
risk-benefit analysis, 60–61 scripts defined, 80 ingratiation/tactics, 152–156
risky shift, 484 scripts (in relationships), 409– product demonstrator
“road rage,” 373 412, 412 (photo) example, 144, 146
role See also event schemas self-disclosure and, 148–149,
definition, 13 secondary deviance, 564 149 (photo)
in groups, 474 secondary groups, 441 See also tactical impression
role differentiation (groups), 474 secure child/adult (attachment management
role identities style), 73 (box) self-presentation failures
adoption, 127 selective self-presentation, 154– cooling-out, 167
definition/description, 125– 156, 159 (box) identity degradation, 167–
126 self 168
role overload, 519 concept, development, 11, See also embarrassment;
role schemas, 209 118–125, 121 (photo), 172 stigma
role taking, 11, 122–123 definition/description, 120, self-reinforcement, 85
role theory, 13 172 self-schema
romantic love ideal, 424–426 online communication and, definition/description, 118,
Rosenberg Self-Esteem Scale, 124–125 119 (box), 209
138, 139 (box) self-awareness, 136–137 measuring, 119 (box)
routine activities perspective, 553 self-concept. See self-schema research on formation, 127–
routine dispersal, 589 self-deprecation, 154–156 130
rule breaking, 556 self-differentiation, 120–122, self-discrepancy and, 137–
rumination, 383–384, 384 (fig.) 121 (photo) 138
rumor, 586 self-disclosure, 148–149, 149 student self-descriptions and,
(photo) 131 (fig.)
salience hierarchy, 133–134, self-discrepancy theory, 137–138 self-serving bias, 237–238
135–136 self-efficacy, 85 semantic differential scales, 40,
samples self-esteem 41 (box), 42
bias and, 43 assessment, 138, 139 (box) sentiment, 179–180
overview, 42–43 behavior and, 142 sexism
types, 42–43 definition, 138, 173 ambivalent sexism inventory,
sampling, importance, 63 minority status and, 145 (box) 266–267 (box)
scapegoating, process, 568 protecting, 142–144 definition, 266 (box)
schemas sources, 140–142, 141 (photo) sexual assault
definition/description, 19, self-estrangement causes/perpetrators, 387, 388
208–209, 239 industrial technology and, (box), 389
language/cognitive 534 definition/description, 386–
competence, 92–93 overview, 533–535, 535 (fig.) 387
problems with schematic workplace organization and, victims, 389–390
processing, 213–214, 534, 535, 535 (fig.) shame
214 (fig.) self-evaluation, 125 collectivist/individualist
types, 209–210 self-fulfilling prophecy cultures and, 187
why used, 210 impressions as, 226, 240 as social emotion, 196–197
schematic inference, 212 labeling/deviant behavior, shaping, 81, 83, 83 (photo)
schematic judgment, 212–213 562, 564 sign language, 273 (photo)
schematic memory, 210–212 positive examples, 564 significant others, 12, 122
schools self-presentation simple random sample, 42–43
childhood socialization and, definition/description, 146, situated identity, 11, 148
79–80 173 situated self, 130
children’s gender role and, definition of the situation and, situational attribution, 228, 229,
88–89 147–148 230 (fig.)
9780813349503.indb 712 5/16/14 1:51 PM

IndEx 713
situational constraint, 264 social movements components, 70–71

social age grading, 103–105, definition/description, 599 definition/description, 66
104 (photo) ideology/framing, 600–601, development (heredity)
social class, 504 604 perspective, 67–68, 67
anomie, 545–546 leaders, 603–604 (photo), 68 (table)
children’s peer groups, 78– media and, 602, 603 (photo) interpretive perspective,
79 (box) mobilization, 603–604 69–70
mental health, 532–533 preconditions for, 599–600 perspectives summary, 112
occupational status, 504–505 recruitment, 601–603, 603 responsiveness to others, 67–
physical health, 521–522 (photo), 604, 605 (fig.) 68, 67 (photo), 68 (table)
powerlessness, 537 recruitment to high-risk social learning and
social control bias, 570–573 activism, 605 (fig.) development perspective,
stress, 533 research on emotions, 606– 69
upward mobility, 505–507 607 (box) social learning (environment)
social cohesion, 442 summary, 608 perspective, 68–69
social-emotional specialist, US conservative movements/ social structure impact, 70
473–474 strategies, 604, 605–607 See also agents of childhood
social emotions social networks socialization
definition/description, 194– definition, 502 socialization outcomes
195, 195 (photo) stress and, 529–532, 530 (fig.), cognitive competence, 92–93
overview of specific emotions, 531 (photo) language and, 90–92
195–197, 200–201 social perception summary, 113
social exchange definition/description, 206– work orientation, 97–98
commitment/trust and, 488– 207 See also gender role; moral
489 race and, 207, 210, 212 development
definition/description, 14– social psychology socialization processes
15, 485–486, 485 (photo), core concerns of, 3–6, 5 (fig.) internalization, 86–87
497 definition, 3 observational learning, 85–86,
in families, 492–493 (box) groups on groups impact, 5 86 (photo)
forms of, 489–490, 489 (fig.) (fig.), 6 summary, 113
power/dependence and, 486– groups on individuals impact, See also instrumental
488, 487 (fig.) 5–6, 5 (fig.) conditioning
theories, 490 history, 7 sociobiology, 348–350
See also equity/justice individuals on group impact, sociolinguistic competence,
social exchange perspective, 5 (fig.), 6 281–282
14–15, 485–486 individuals on individuals sociology defined, 6–7
social identities impact, 4–5, 5 (fig.) source (persuasion)
adoption, 127–128 social context on individuals/ attractiveness/likability and,
definition/description, 126– groups impact, 5 (fig.), 6 317
127, 128 (photo) sociology/psychology definition, 312
in-group/out-group identity, relationship, 6–7 expertise and, 315–316, 316
132 summary, 26 (photo)
stereotypes and, 132–133 social responsibility norm, multiple sources and, 317–318
social identity theory, 20, 22, 354–355 trustworthiness and, 316–317,
558–559 social structure 316 (photo)
social identity theory of definition/description, 502– specific status characteristics,
intergroup behavior, 503 475–476
456–457 See also specific components speech act theory, 278
social impact theory, 317–318 social structure and personality spillover (stress), 528–529
social influence tradition split-half method, 38–39
definition, 312 limitations of, 17 spoken language
forms of, 312–313 overview, 16–17 advantages, 274–275
resisting, 337–339 socialization basic components, 273–275
See also attitude change; child living with deaf-mute encoder-decoder model, 276,
authority; persuasion mother example, 69 276 (fig.)
9780813349503.indb 713 5/16/14 1:51 PM

714 IndEx
spoken language (continued) social class and, 532–533 roles and identities, 13 (box)
intentionalist model, 277– social networks and, 529– self in relationship to others,
280, 278 (table) 532, 530 (fig.), 531 (photo) 11–12
perspective-taking model, social status and, 527 (box) symbols, 272
280–282 spillover and, 528–529
summary, 306–307 terrorist attacks (2001) and tactical impression management
“stampede” at The Who concert, responses, 526–527 (box) appearance and, 150–152,
585 (box) test yourself on, 524 (box) 150 (photo)
standard speech, 291–292 unemployment and, 525 definition/description, 146,
status stressful life events, 102 149–150, 173
definition/description, 15, subculture of violence, 551 tactical impression
502, 537 subject effects (experiments), 53 management/detecting
See also occupational status subjective expected value (SEV), deception
status characteristics/types, 331 accuracy of detection, 162–
475–476, 476 (photo), subjective norms, 265 164, 163 (box)
478–479 (box) subtractive rule, 228–229 nonverbal cues, 161–162, 164,
status generalization subtyping, 222 173–174
definition/description, 476– suicides and publicity, 554–555 ulterior motives and, 160–
479 (box) 161, 173
overcoming, 479–480 Summers, Lawrence, 511 (box) targets (of aggression)
stereotype threat, 218–219 summons-answer sequence, culture of honor and, 376–
(box), 219 302–303 377, 378 (box)
stereotypes superordinate goals, 460–461 displaced aggression, 379
as changing, 219–220 supplication, 154 gender and, 376–377, 377
common stereotypes, 219– supportive defense, 338 (table)
220 surveys intention and, 377, 379
definition/description, 209, analysis of data, 43–44 race and, 376, 377 (table)
216–219, 217 (photo), costs, 37 retaliatory capacity and, 379
239 definition/example, 35–36 targets (of persuasion)
errors caused by, 221–222 measuring attitudes, 40, 41 definition, 312
gender stereotype study, (box), 42 distraction and, 325
218–219 panel studies (longitudinal intelligence and, 322–323
intergroup conflict and, 458– surveys), 44 issue involvement and, 323,
459 purposes, 36–37 325
origins, 220–221 questions and, 39–40 personality and, 325
understanding stereotyping, reliability and, 38–39 task cohesion, 442–443
241 response rates and, 37, 43 task specialist, 473
stigma sample and, 42–43 tattoos, 151
behavior effects, 169–170, sampling issues, 38 telephone interview, 37
170 (fig.) self-reporting issues, 45 test-retest method, 38
coping strategies, 170–172, strengths of, 44–45 Test Yourself
174 threatening/embarrassing ambivalent sexism inventory,
definition, 156, 168 questions and, 40, 45 266–267 (box)
discomfort sources, 168–169 types, 37–38 attachment in children/adults,
examples, 156, 168 validity and, 39 73 (box)
stigmatizing labels and, 577 weaknesses of, 45 detecting deception/smile,
stratified sample, 43 symbolic interactionism 163 (box)
stress Calvin and Hobbes example, emotional IQ, 198–199 (box)
definition, 102 10 (fig.) gender schemas and
fateful events/examples and, description/bottle example, 9, stereotypes, 222–223 (box)
526–527 (box) 9 (photo) measuring self-concepts, 119
occupation and, 522–523 limitations of, 12 (box)
physical health and, 516–517, negotiating meanings/ passionate love, 425 (box)
518 (photo) examples, 9–11, 10 (fig.) rape myths, 388 (box)
9780813349503.indb 714 5/16/14 1:51 PM

IndEx 715
response to stress, 524 (box) threat (compliance), 328, 330– victim-blame (sexual assault),
Rosenberg Self-Esteem Scale, 331, 330 (photo), 329 (box) 389–390
139 (box) trait centrality, 223–224 video games (violent) and
social psychology/common traumas/traumatic events, 517, aggression, 81, 372, 394–
sense, 4 (box) 518 (photo) 395
theoretical perspectives trust violence, 551
definition/description, 8 definition/description, 419– See also aggression
overview, 9–25 421 voice (procedural justice),
summary, 25–27 interpersonal trust scales/ 495–496
traditions/faces of social scores, 420 (table), 421
psychology, 8 (fig.) weapons effect, 383
See also specific perspectives web surveys, 37–38
theory ultimate attribution error, 459 weight and self-concept, 128–
definition, 8, 33 unanticipated deviance, 561 129
understanding/using, 498– underreward, 494 Weiner, Anthony/
499 upward mobility, 504 embarrassment, 152
theory of cognitive dissonance (photo)
counterattitudinal behavior, validity and research, 34–35 witch hunts, 568
256–257 values (individual) work orientation
definition/description, 254, education and, 515–516 gender/sexual orientation
266, 268 labor union organizer and, 98
postdecisional dissonance, example, 512–513 socialization and, 97–98
254–256, 255 (fig.), 257, occupational role and, 514– working self-concept, 130
257 (photo) 515, 514 (photo)
theory of planned behavior, 265 theory/structure of, 513–514, Zimmerman, George, 207
theory of reasoned action, 513 (fig.)
265–266 vandalism, 535–536, 536 (photo)
theory of speech variable-interval schedule
accommodation, 297–299 (reinforcement), 83
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EIGHTH EDITION DELAMATER

“If you’re looking for an undergraduate textbook in social psychology that

JOHN D. DELAMATER, DANIEL J. MYERS,

AND JESSICA L. COLLETT

COVER IMAGE © TIM ELLIS/IKON IMAGES/CORBIS

A Member of the Perseus Books Group

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A Member of the Perseus Books group

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Copyright © 2015 by Westview Press

Find us on the World Wide Web at www.westviewpress.com.

Library of Congress Cataloging-in-Publication Data

Editorial production by Marrathon Production Services. www.marrathon.net

Design by Jane Raese

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1 introduction to Social Psychology 1

2 research methods in Social Psychology 31

3 Socialization through the life course 65

4 Self and Self-Presentation 117

6 Social Perception and cognition 205

8 Symbolic communication and language 271

9 Social influence and Persuasion 311

10 altruism and Prosocial Behavior 343

12 interpersonal attraction and relationships 399

13 Understanding Groups 439

14 Group Processes 469

15 Social Structure and Personality 501

16 Deviant Behavior and Social reaction 541

17 collective Behavior and Social movements 579

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Preface xv archival research and content

theoretical Perspectives in Sociological Summary 62

Critical Thinking Skill: An Introduction to Perspectives on Socialization 67

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moral Development 93 tactical impression Management 149

introduction 118 List of Key Terms and Concepts 174

identities: the Self We Know 125 introduction 178

identities: the Self We enact 130 Universal emotions and Facial

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6 SocIal PercePtIon Cognitive Consistency 251

introduction 206 the Relationship Between Attitudes

impression Formation 223 the Reasoned Action Model 265

Bias and error in Attribution 233 introduction 272

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Conversational Analysis 302 altruism and empathetic concern 346

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Situational impacts on Aggression 379 Passionate love 423

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Resolving intergroup Conflict 460 intergenerational mobility 504

Critical Thinking Skill: Understanding Formal Social Controls 565

introduction 502 Critical Thinking Skill: Applying

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17 collectIve behavIor and mobilization 603

introduction 580 Summary 608

Collective Behavior 581 List of Key Terms and Concepts 608

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about thIS booK his Ph.D. in Social Psychology in 1969.

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University of Wisconsin–Madison; Henry Finally, we express thanks to the profes-

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