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A Quarter-Century of the Transactional Model: How Have Things Changed?

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A QUARTER-CENTURY
OF THE TRANSACTIONAL
MODEL:
How Have Things Changed?

ARNOLD J. SAMEROFF
and
MICHAEL J. MACKENZIE
Center for Human Growth and Development,
University of Michigan, Ann Arbor

I
t is very hard to change people’s minds. Few people problems, they came to believe that almost any such devel-
change their opinion when they confront an oppos- opmental problem must be the result of brain damage. As a
ing argument that is only somewhat better than consequence of this strong belief, when scientists could not
their own. More people change when their beliefs detect evidence of an injury in a child with a developmental
lead to obvious contradictions. Such was the case problem, they proposed that there must be undetectable
when Arnold Sameroff and Michael Chandler pub- “minimal brain damage” resulting from pregnancy and birth
lished a review of child development research in 1975, complications (Pasamanick & Knobloch, 1961). If a child
entitled “Reproductive Risk and the Continuum of Care- developed cognitive or social and emotional problems, sci-
taking Casualty.” The article altered the thinking of many entists were certain that some brain injury must have
developmental scientists at two levels—the practical and
the theoretical. Eventually, the article was selected as one
of the 20 studies that revolutionized child psychology at a glance
(Dixon, 2002). Practically, the article identified the con-
tradiction between the belief that early abnormalities of • For most of the 20th century, researchers believed that
the brain were the explanation for a variety of mental if a child developed cognitive, social, or emotional
problems, some brain injury must have occurred.
health and learning difficulties and the evidence that most
infants with these abnormalities grew up to be normal • Later, scientists found that babies with birth problems
children and adults. Theoretically, the article exposed the were likely to have developmental problems only if
they were raised in a high-risk family.
contradiction between the belief that nature or nurture
predicted developmental outcomes and the evidence that • In the transactional model of development, child
outcomes are a product of the combination of an
nature and nurture were really inseparable. individual and his or her experience.
For most of the 20th century, developmental scientists
had presumed that perinatal physical problems had powerful • Converging evidence for the existence of bi-directional,
reciprocal relationships between infants and their care-
effects on children’s cognitive and social emotional develop- givers provides a strong basis for effective intervention.
ment. Because researchers found linkages between obvious
infant brain damage and later cognitive and mental health
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ISABELLA FISKEN
occurred. They failed to consider alternative explanations of learning and mental health problems by itself, because in
why children developed such problems. high socioeconomic status families, on average, groups of
The deterministic belief that brain problems led to children who did and did not have birth complications
developmental problems was based on research that com- developed the same.
pared individuals with various learning and mental health Simply put, babies with birth problems were likely to
difficulties with people who did not have such problems. have developmental problems only if they were raised in a
In each study, the group with developmental problems high-risk family. This is the kind of contradiction that can
had a higher percentage of birth and pregnancy complica- lead people to change their minds. What had appeared to
tions. The problem with this research was that it was ret- be an exclusively medical problem now became a social
rospective. In other words, scientists identified children or problem as well. To understand children’s mental well-
adults with problems and then looked back at their histo- being now required paying attention to the conditions in
ries to find out whether there was anything that distin- which they were raised. This idea fit well with the spirit of
guished them from people without these problems. This is the 1970s, when social justice was a dominant theme in
a good strategy for identifying possible causes but not a the national consciousness.
good one for proving the connection between cause and An example of these results comes from the now-famous
effect. To test whether a hypothesized cause produces a Kauai study of all the children who were born on that island
predicted effect requires prospective research. during a single year (Werner, Bierman, & French, 1971),
In prospective research, scientists begin their study with eventually following them prospectively for over 30 years
babies, dividing them into groups with and without birth (Werner & Smith, 2001). By age 10, 34% of the children
complications. Scientists then follow these infants until had some recognizable physical, intellectual, or behavior
they become schoolchildren or adults and test them to see problem, but only a minor proportion of these problems
whether there are more developmental problems in the could be attributed to perinatal difficulties. Werner and her
birth-complication group. A number of such studies found colleagues concluded that 10 times as many children had
that among children raised in poverty by parents with lim- problems related to poor environments than to the effects of
ited education, there were differences in outcome between birth and pregnancy complications.
children with and children without birth complications This is not to say that perinatal problems cannot lead to
(Wilson, 1985; Fawer, Besnier, Forcada, Buclin, & Calame, developmental problems. What Sameroff and Chandler
1995). To everyone’s surprise, however, there were no dif- proposed in 1975 was that an automatic belief in the power
ferences between groups of children raised in more affluent of biological determinism was not justified. A more compli-
families. The “undetected” brain damage thought to be cated way of thinking about development was necessary.
associated with birth complications could not be producing Sameroff and Chandler presented this more complex point
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of view as a transactional model of development, which are expressed differently in each cell as a function of their
combines influences of the child’s biological heritage and environment. On the nurture side, psychologists have dis-
life experience in a dynamic system. covered that the same parents respond differently to each
of their children as a function of their individuality.
The Transactional Model In the transactional model, how a child turns out is neither
of Development a function of the infant alone nor of experience alone, but a
The theoretical solution that Sameroff and Chandler product of the combination of an individual and his or her
(1975) proposed to the nature–nurture problem ran experience. The transactional model embeds the child in an
counter to the then-dominant (and now resurgent) idea environment of social relationships that will amplify some early
that one could separate nature from nurture and calculate characteristics and minimize others. Whatever characteristics
the percentage that each contributed to a person’s func- the infant may have been born with, in different families and
tioning. The birth of an infant is seen as a biological sepa- with different sets of experiences the infant would have devel-
ration that appears to produce an independent individual oped differently. The transactional model views the develop-
who will mature into an adult. This physical independence ment of the child as a product of the continuous dynamic inter-
from other family members gives rise to the idea that psy- actions between the child and the experience provided by his
chological independence exists as well. Whether a child or her family and social context. The model places an equal
ends up with good or poor mental health, the thinking emphasis on the effects of the child and of the environment.
goes, depends on seeds that were already there at birth. The experiences provided by the environment are not viewed
As with most abstractions, scientists can calculate for a as independent of the child. The child may have been a strong
population on average how much of a specific behavior determinant of current experiences, but developmental out-
can be attributed to genes and how much to environment, comes cannot be systematically described without an analysis of
but the reality of these calculations becomes suspect when the effects of the environment on the child.
they differ for different populations, and especially for dif- This is not to say that some children with birth compli-
ferent social classes within a population. What group aver- cations, especially severe anomalies, will not end up with
ages conceal is that for an individual there is no separation developmental disabilities—but so will some children with-
between nature and nurture: They are inextricably inter- out birth complications. The research that Sameroff and
twined. Although one can determine the genotype of each Chandler (1975) reviewed seemed to support the idea that
individual and the child-rearing beliefs and skills of the children with high-risk births ended up with later develop-
parents, these are potentials rather than actualities. On the mental problems not because of damage to the brain at
nature side, biologists have discovered that the same genes birth but because of the negative effect such children had

FIGURE 1A: CONTRASTING LINEAR AND TRANSACTIONAL MODELS FOR EXPLAINING


DEVELOPMENTAL PROBLEMS

Linear Model of Development

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on their caregivers. Figures 1a and 1b illustrate competing This example demonstrates how developmental achieve-
explanations for developmental problems. Figure 1a shows ments are rarely consequences of child or parent characteris-
a linear biological explanation, and Figure 1b depicts the tics alone. Not only is the causal chain between perinatal
alternative transactional process. problems and early childhood problems extended over time,
Consider a generally calm mother who has been made but it is also embedded in an interpretive framework. The
somewhat anxious by a complicated childbirth. Her anxiety mother’s anxiety is based on an interpretation of the mean-
during the first months of her baby’s life influences her into ing of a complicated childbirth, and her avoidance is based
being uncertain and less appropriate in her interactions with on an interpretation of the meaning of the child’s irregular
the child. In response to such inconsistency, the infant may feeding and sleeping patterns. Because transactions are
develop some irregularities in feeding and sleeping patterns located in the way the parent and child think about each
that give the appearance of a difficult temperament. This dif- other, we must comprehend their interpretive frameworks to
ficult temperament decreases parenting pleasure, so the moth- predict or intervene effectively. Understanding how infants
er spends less time with her child. If she or other caregivers and their parents influence each other over time is a neces-
are not actively interacting with the child, and especially are sary prologue to recommendations for appropriate treat-
not talking to the infant, the child may score poorly on later ment. Once we have an overview of the complexity of the
preschool language tests and be less socially mature. systems involved, we can turn to the search for nodal points
What was the “cause” of the poor outcome in this exam- at which to direct our interventions.
ple? Was the poor verbal performance caused by the compli-
cated childbirth, the mother’s anxiety, the child’s difficult Testing the Transactional Model
temperament, or the mother’s avoidance of verbal and social The descriptive aspect of the transactional model emerged
interaction? If one were to design an intervention program for from the pioneering temperament research of Thomas, Chess,
this family, where would it be directed—at the child, the par- Birch, Hertzig, and Korn (1963) and Bell’s (1968) reinterpre-
ent, or the relationship? The most proximal cause is the tation of direction of effects research. Both efforts were
mother’s avoidance of the child, yet one can see that such a designed to counter what Chess (1964) labeled the “mal de
view would oversimplify a complex developmental sequence. mere” orientations of psychoanalytic and behavioral theories
Would treatment be directed at eliminating the child’s diffi- that bad mothering caused bad children. Bell showed that
cult temperament? At changing the mother’s reaction? Or at many parent behaviors were not designed to socialize the child
providing alternative sources of verbal stimulation for the but, rather, were responses to the child’s characteristics and
child? Each of these options would eliminate a potential dys- behavior. Thomas, Chess, and Birch (1968) elucidated a clear
function at some point in the developmental system. transactional developmental path for a subset of children with

FIGURE 1B: CONTRASTING LINEAR AND TRANSACTIONAL MODELS FOR EXPLAINING


DEVELOPMENTAL PROBLEMS
Transactional Model of Development

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difficult temperaments. These children stimulated maladaptive A compelling example of the effect of maternal
parenting, which led to the children’s later behavioral distur- beliefs and preferences on later child functioning comes
bance (see Figure 1b). When parents were not negatively from a study of mothers who preferred one of their twins,
reactive to their children’s temperaments, no such pathway a phenomenon that can occur as early as 2 weeks after
to behavioral deviance was found. birth (Minde, Corter, Goldberg, & Jeffers, 1990). These
Building on these descriptive studies of parent–child preferences tended to be stable, lasting for at least the
relationships, Sameroff and Chandler (1975) proposed that 4 years that the families were followed in the study. The
transactional processes were a central part of development. particular aspect of the child that triggered the transac-
They viewed children as engaged in tion varied, with some mothers
active organization and reorganiza- preferring temperamentally easier
tion. What was constant in a What is constant in a child’s and healthier children, and others
child’s development was not a set of development is not a set of preferring the more “strong-
“traits,” but the processes by which “traits,” but the processes by willed” or sickly of the twin pair.
traits were maintained through the which traits are maintained Whatever the child characteristic
relationship between a child and through the relationship between that triggered maternal preference,
his or her experience in a variety of a child and his or her experience. the preferred twins had higher
social settings. scores on the Bayley at 12 months
of age, higher scores on the
Twenty-Five Years of the Stanford-Binet at age 4 years, and fewer behavior problems
Transactional Model than their twins. This study highlighted the transactional
During the more than quarter-century since Sameroff nature of socialization processes through an examination
and Chandler (1975) first articulated the transactional of the extent to which mothers’ attributions about their
model, it has been referenced extensively in the develop- infants led to differential responsiveness, which then
mental literature. All too often, however, it is used to served to affect later child outcomes in ways that con-
emphasize the unidirectional effects of environmental risk firmed and solidified the mothers’ initial preferences.
factors on development, rather than the more complex Gerald Patterson and his colleagues (1982, 1986) have
bidirectional interplay between dynamic systems. Despite vividly described aggressive behavior in children as an exam-
these issues, a growing body of research in several develop- ple of transactional processes in the development of mental
mental domains has set about testing transactional models health problems. Patterson (1982) hypothesized that antiso-
and disentangling complex bidirectional processes. cial behavior has its roots in family interactions and the cycle
Evidence of transactional processes can be found at all of behavioral responses of one family member to another
points in development. Some of the earliest processes over time. Patterson found “cycles of coercion,” in which
involve the establishment of the unique infant–caregiver inept parenting produces an antisocial child who is rejected
attachment relationship. Attachment theorists (Sroufe, by healthy peers, struggles academically, and is left with low
Carlson, Levy, & Egeland, 1999) have argued that the self-esteem. What may start as developmentally appropriate
quality of this relationship has great implications for sub- noncompliance on the part of a toddler in such a family esca-
sequent events, while at the same time being intimately lates to physical aggression. Patterson and his colleagues
tied to events of the past. A central tenet of attachment found that coercive cycles were more likely to begin in fami-
theory is that an infant’s secure relationship with the pri- lies characterized by unskilled parents, a child with a difficult
mary caregiver sets the stage for healthy emotional devel- temperament, and additional social and economic stressors.
opment and subsequent relationships outside of the family The escalating transactional nature of this positive feedback
context (Bowlby, 1969; Bretherton, 1990). The transac- loop is best illustrated by Patterson’s (1986) own words:
tional linkages in attachment theory begin with caregiver “What leads to things getting out of hand may be a relatively
behavior that establishes the quality of the attachment simple affair, whereas the process itself, once initiated, may
representation, which in turn affects the quality of the be the stuff of which novels are made” (p. 442).
child’s later social interactions. There is a difference between descriptive developmen-
In an investigation of the development of secure infant– tal studies, in which the evidence is based on correlations
mother attachment relationships over the first year of life, between influences and outcomes, and experimental stud-
Crockenberg (1981) found that irritable infants were more ies, in which children or parents are randomly assigned to
likely to develop insecure attachment relationships as a groups that receive different experiences. Using an elegant
result of the unresponsive mothering that is characteristic of design, Bugental and her colleagues (Bugental, Caporael, &
contexts that offer limited social support. Crockenberg con- Shennum, 1980) explored the association between child
cluded that these findings are best understood from a trans- responsiveness and controllability and adult attribution and
actional perspective because of the role played by the child interaction styles. The researchers trained 7- to 9-year-old
in eliciting parent interactions. boys to act as “confederates” who would interact with
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parents who had either high or low levels of an internal interventions to change the primary determinants of social
sense of power. The children were trained to be either class—that is, the parents’ educational, occupational, and
responsive or unresponsive during a toy construction task. financial attainment—are beyond the scope of infant devel-
Unresponsive child confederates affected the behavior only opment specialists. It will take major changes in the politi-
of adults who saw themselves as having limited control over cal and economic climate of the nation to alter families’
their lives. When confronted with unresponsive children, highly stable socioeconomic risk status significantly for the
these low-power adults were less assertive than adults with better (Sameroff, Seifer, Baldwin, & Baldwin, 1993). For
feelings of greater control. When matched with responsive the most part, then, infant development specialists direct
children, both groups of adults behaved the same. Bugental early interventions at the here-and-now interactions of
and Shennum (1984) concluded that adults bring with children and their caregivers. Sameroff and Chandler’s
them to the parenting role a set of beliefs about relation- theoretical contribution, the transactional model, is useful
ships with children, based on their history of social experi- in the treatment of early relationship problems, particularly
ences, that influences their interpretations of the child’s for identifying targets and strategies of intervention.
behavior, their subsequent behavioral responses, and—in a The principle that continuity in an individual’s behav-
transactional fashion—the later behavior of the child. ior is a reflection of the family system provides a rationale
Another innovative experimental approach to studying for expanding the focus of intervention efforts on behalf
transactions focused on parental interactions with preterm of an infant or young child. By examining the strengths
babies. Despite evidence that early differences between pre- and weaknesses of the many dimensions of the family
mature and full-term infants decline over time, some moth- child-rearing system, the clinician can identify categories
ers to continue to interact differently with their premature of targets that define and contain the scope of the inter-
infants (Barnard, Bee, & Hammond, 1984). Stern and vention while maximizing cost efficiency.
Hildebrandt (1984) showed adults video footage of an In a transactional system, the subsequent behavior and
infant who was labeled as either being full-term or prema- competence of the child is seen as function of how the parent
ture. They found that infants who were labeled as prema- reacts, not as an intrinsic characteristic of the child. One often
ture were rated more negatively by college students and sees a three-part sequence in which, first, infants stimulate
mothers than infants labeled as full-term. They went on to their parents, either through their appearance or behavior; sec-
determine whether these adult stereotypes and attitudes ond, the parents impose some meaning system on the input;
toward premature children would affect their behavior dur- and third, the parents then react with some form of caregiving
ing interactions. The researchers introduced adults to an (see Figure 2). Where relationships are problematic, interven-
actual, unfamiliar infant, randomly labeled either full-term tions should be directed at one or more of these three parts. In
or premature (Stern & Hildebrandt, 1986). Again, the pre- some cases, small alterations in child behavior may be all that
maturity label was found to trigger stereotypical beliefs: is necessary to reestablish a well-regulated parent–child rela-
infants labeled premature were rated as smaller, less cute, tionship. In other cases, changes in the parent’s representation
finer-featured, and less likable than infants labeled full- of the child may be the most strategic intervention. In a third
term. Moreover, these mislabeled infants were touched less category are cases that require improvements in the parents’
and given more babyish toys to play with. These effects on ability to take care of the child. These intervention categories
adult attitudes were carried back to the child in a transac- have been labeled the “three R’s” of intervention—remedia-
tion in which infants labeled as premature exhibited less tion, redefinition, and reeducation (Sameroff, 1987; Sameroff
positive emotion in their interactions with the misinformed & Fiese, 2000).
adults (Stern, Karraker, Sopko, & Norman, 2000). A conceptual model for the identification of family
problems would lead not only to better program design but
Transactional Interventions to better evaluation models and research designs as well.
Although experimental data augment what we can learn An array of therapies has been developed to intervene with
from descriptive studies of the development of different early relationship problems that can target the different
groups of infants or parents, we can never fully test causal parts of the transactional system (Sameroff, McDonough,
hypotheses for most groups of interest because we cannot ran- & Rosenblum, in press). A decision tree can be described
domly assign infants to have different temperaments or par- for choosing the appropriate form of transactional early
ents to be randomly competent or inept. However, the con- intervention (Sameroff & Fiese, 1990, 2000).
verging evidence for the existence of bidirectional, reciprocal The clinician must first decide whether remediation is
relationships between infants and their caregivers provides a appropriate or viable. In the case of remediation, the child is
strong basis for intervening more effectively to improve the defined as developmentally atypical. The focus of remediation
lives of families facing challenges from either child or parent. is to change the child—for example, through supplemental
Sameroff and Chandler (1975) highlighted the impor- feeding for malnourished infants or medication of hyperactive
tant influence of socioeconomic status on the outcome of school children. Most families with such a child are thought
children at risk for developmental disabilities. However, to need intervention, but little effort is made to change the
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parents. There are at least two instances in which remediation How Have Things Changed?
of the child cannot be achieved: when there is no procedure The transactional model was originally described to
available to modify the condition of the child—for example, emphasize the dynamic relation between child and con-
with tiny, low-birthweight infants—or when nothing can be text across time, with particular relevance to develop-
found in the child that needs changing. In such cases, the clin- mental outcomes in children with perinatal complications
ician focuses on the parents’ responses to the child’s situation. (Sameroff & Chandler, 1975). The transactional view has
Redefinition interventions are prescribed when the become central to current models of regulation and self-
parents’ representation of the child inhibits their ability to regulation that are permeating the developmental litera-
respond to the child with appropri- ture (cf. Boekaerts, Pintrich, &
ate caregiving. In this situation, Zeidner, 2000; Bradley, 2000).
the maladapted relationship In a transactional framework, We now view the individual as
between parents and their infant remediation, redefinition, having a major role in modifying
requires changes in the parents’ and reeducation are the social experience through both
attitudes and beliefs. The treat- “three R’s” of intervention. eliciting and selecting processes;
ment may simply involve aug- we also see the individual as hav-
menting the parents’ ability to see ing a major role in modifying bio-
the normal in the abnormal—for example, to recognize logical experience, through both stress reactions and med-
that preterm babies, although different in size, have cogni- ication (Cicchetti & Tucker, 1994). These regulations
tive and social–emotional needs and patterns of develop- provide clear evidence for the biopsychosocial unity of
ment similar to full-term babies. In a more complex situa- human functioning.
tion, psychotherapy can help parents to examine their Contemporary reconceptualizations of temperament
feelings about themselves in the role of a mother or father. have been part of these advances. Instead of conceptualizing
The third “R,” reeducation, is prescribed when the par- temperament as a set of traits inherent in the child, devel-
ent has a healthy acceptance of the child but lacks certain opmentalists now think of temperament as a set of individ-
caregiving skills or knowledge. This is frequently the case ual differences in the way children regulate experience
with teenage mothers. Reeducation is designed to improve (Rothbart & Bates, 1998). This view makes temperament a
parents’ ability to interact with the infant, especially where relational construct rather than a personal one. Another
adaptations to ordinary caregiving must be made, as in the area that illustrates the child’s contribution to transactional
case of handling very low-birthweight infants or properly pathways involves the maltreatment of children living
positioning babies with motor impairments. under the care and supervision of the child welfare system.

FIGURE 2: THE 3-R’S OF EARLY INTERVENTION WITHIN A TRANSACTIONAL MODEL

3-R’s of Intervention

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In theory, on removal from an abusive situation, children inadequacy or a reaction to prior experience with the child?
should go on to more positive outcomes. Unfortunately, this As the child grows, these influences become more and
does not seem to be universally true. Some children who more difficult to untangle—the direction of effects dilem-
have been abused in their families are maltreated by later ma. Sameroff and Peck (2001) were surprised to find that
caretakers, including foster parents (Milowe, Lourie, & adolescents whose parents made more efforts to prevent
Parrott, 1964). Something in these children seems to be car- behavioral and educational problems in their youth had
ried forward into new relationships. The changes wrought in worse outcomes. Their interpretation was that by adoles-
these children by their experience of maltreatment persist cence, parents only engaged in these efforts if their children
over time, influencing their future still had problems. For the children
relationships. who were doing well, the parents
Although Sameroff and Children affect their were less concerned.
Chandler (1975) described dyna- environments and environments We have focused this article on
mic reciprocal interchanges as affect children. Children are transactions between parents and
important features of their transac- neither doomed nor protected children, but we recognize that chil-
tional model, for most of their by their characteristics or by dren and their parents are involved
readers the take-away message was the characteristics of their in many ecological settings that are
that low socioeconomic status pre- caregivers alone. also changing and being changed by
sented many risks for developmen- their participants. Explaining devel-
tal problems (Sameroff, Bartko, opmental outcomes will require
Baldwin, Baldwin, & Seifer, 1998). For this audience, the attention to these multiple sources of influence as well as to
paper broadened what had been an exclusive focus on the the parent–child dyad. This issue is clearest in intervention
child’s characteristics as the explanation of developmental studies in which the interveners are part of the system, but it is
outcomes to include the social context as well. The nega- equally true of all studies beyond infancy where the parent–
tive effects of poverty on children (McLoyd, 1998), includ- child relationship begins to pale in the face of peer and school
ing children with perinatal complications (Infant Health involvements that occupy more of the youth’s time.
and Development Program, 1990), have been increasingly As far as the transactional model is concerned, several
well documented, but an exclusive focus on risk factors things are clear: Children affect their environments and
misses the important fact that they are probabilities, not environments affect children. In addition, environmental
certainties. Among any group of children who face a given settings affect and are affected by each other. Moreover,
social or, for that matter, biological risk factor, there will these effects change over time in response to normative and
be some who develop quite normally. Frequently it is the nonnormative events. Children are neither doomed nor
majority who do so. Studies of resilience are a growth protected by their own characteristics or by the characteris-
industry (cf. Luthar, 2003), reporting on children who tics of their caregivers alone. The complexity of the trans-
have overcome poverty, or parental mental illness, or mal- actional system opens up the possibility for many avenues
treatment. What these studies increasingly find is that the of intervention to facilitate the healthy development of
life course of any particular child includes many influences infants and their families. A
that have the power to change things for better or worse.
For clinical purposes it remains important to recognize REFERENCES
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dyadic interactions between the child and parenting figures. Bell, R. Q. (1968). A reinterpretation of the direction of effects in studies
of socialization. Psychological Review, 75, 81–95.
Each of these continuities is more or less open to change. Boekaerts, M., Pintrich, P. R., & Zeidner, M. (Eds.). (2000). Handbook of
Given these continuities, the clinician uses transactional self-regulation. San Diego, CA: Academic Press.
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