Managing People and Organization Behaviour

Managing People & Organization
MBA ZG511
BITS Pilani Lecture-1 Date : 15/01/22 Total Slides : 38 Dr. Shikha Sahai
Pilani Campus
BITS Pilani
Pilani Campus
– An Overview of Organizational Behavior

– Challenges and Opportunities in OB
Learning Objective
1. Discuss the importance of interpersonal skills at workplaces.
2. Describe Managers functions, roles and skills.
3. Define Organization.
4. Define organizational behavior (OB).
5. Explain the value of the systematic study of OB.
6. Identify the contributions made to OB by major behavioral science
disciplines.
7. Describe how OB concepts can help make organizations more productive.
8. List the major challenges and opportunities for managers to use OB
concepts.
9. Identify the three levels of analysis in OB and discuss the model of OB.
Managing People and Organization

1-3
BITS Pilani, Pilani Campus
Management as a field
• Until late 1980s
• Shift in 1990s
• Management thinkers have realized the

importance of interpersonal skills
Managing People and Organization BITS Pilani, Pilani Campus

The Importance of Interpersonal Skills
• Social relationships at works

– Job Satisfaction
– Attracting and Retaining Talent
– Intention to quit/ stay
– Stress and well-being
– Superior Financial Performance
• Great place to work (Google, Infosys,
Tatas, DHL, Mahindra) have great financial
numbers too!!!
What is an Organization?
• A consciously coordinated social unit
composed of two or more people that
functions on a relatively continuous basis
to achieve a common goal or set of goals.
– Examples
• Corporates
• Government Organizations and NGOs
• Schools, Colleges
• Hospitals etc.

What Do Managers Do?
• Formulate Vision, Goals and Objectives
• Make Plans to achieve them
• Allocate Resources
• Make Decisions
• Manage People
• Monitor Activities

Management Functions
• Define goals, establish strategy and develop

Planning plans to coordinate activities
• Determining the What, Where, Who, When and

Organizing How of tasks to be accomplished
• Motivating employees, resolving conflicts,

Leading directing employees and choosing effective
communication channels
• Monitoring activities to ensure on time

Controlling completion of objectives
Source: Stephen P. Robbins., Timothy A. Judge & Neharika Vohra, “Organizational Behaviour”, Pearson Education, 16th Edition, 2016.
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BITS Pilani, Deemed to be University under Section 3 of UGC Act, 1956

Mintzberg’s Managerial Roles
https://www.youtube.com/watch?v=TVBPhCJh-dw

The New World
• Virtual connections (onboarding to exit)
• Working from Anywhere
• Uncertainties & Sustainability
• Motivation & Performance
• Diverse workforce
• Health & Well-being
Course Name or Code 10

Essential Management Skills
• Conceptual Skills
– The mental ability to analyze and diagnose complex situations
• Technical Skills
– The ability to apply specialized knowledge or expertise
• Human Skills
– The ability to work with, understand, and motivate other people, both
individually and in groups
11

Review
1. If an employee has very good human skills but lacks in technical aspect,
should company ABC replace him ?
a) Yes. As technical skills are very critical for a company’s success..
b) No. As technical training can be imparted and communication skills are

more critical.
12

Luthans’ Study of Managerial Activities
• Four types of managerial activity:

– Traditional Management
• Planning, decision making and controlling
– Communication
• Exchanging routine information and processing
paperwork
– Human Resource Management
• Staffing, Motivating, training, managing conflict and
disciplining
– Networking
• Socializing, politicking and interacting with others
13

Pause and Ponder
1. Based on your experience which managerial activity do

you think is most important to be an effective manager?
a. Traditional Management
b. Communication
c. HRM
d. Networking
14

Successful Vs. Effective Managers
Managers who got promoted faster (were successful) did different things
than did effective managers (those who did their jobs well) 15

Organizational Behavior
• Observing and dealing with personal and

interpersonal issues
• Probably you are already proficient
• OB provides the tools to make these

observations and take decisions systematically

Define Organizational Behavior
Organizational Behavior is a field of study that

investigates the impact that individuals, groups and
structure have on behavior within organizations, for
the purpose of applying such knowledge toward
improving an organization’s effectiveness.
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Focal Points of OB
• Attitude • Decision Making
• Personality • Group Dynamics
• Perception • Organization Structure
• Learning • Leadership
• Motivation • Culture
• Communication • Change
1-18
Organizational Behaviour
• Heroic Deed at Taj Hotel
• Historical Case of
exemplary individual
behaviour, leadership,
recruitment, training,
reward & culture

Some Situations at Work Where You Can Apply OB
• You want to develop good working relationships with

your colleagues
• You want to motivate and retain your star performers
• You want to improve the communication in your
team
• You want to punish a habitually late employee
• You have to lead a highly dysfunctional team
• You want to build culture of innovation and change
• You want to create a great place to work

How Do We Deal With Behavioral Issues?
• Intuition
• Past Experience
• Systematic Study
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Complementing Intuition with Systematic Study
• Systematic study improves ability to

accurately predict behavior.
– Assumes behavior is not random.
– Fundamental consistencies underlie
behavior.
– These can be identified and modified to
reflect individual differences.
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Few Absolutes in OB
• Human beings are complex and diverse
• Impossible to make simple and accurate

generalizations
• OB concepts must reflect situational

conditions: contingency variables

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Three Levels of OB Analysis

Contributing Disciplines
to the OB Field
Micro: Psychology
The Individual
Social Psychology
Sociology
Macro:
Groups &
Organizations Anthropology
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Challenges and Opportunities for OB
The major challenges and opportunities are:

• Responding to Global Pandemic
• Responding to Globalization, Climate Change & Sustainability
• Managing Workforce Diversity
Some other challenges and opportunities include:
• Improving Customer Service
• Improving People Skills
• Stimulating Innovation and Change
• Coping with “Temporariness”
• Working in Networked Organizations
• Helping Employees Balance Work-Life Conflicts
• Creating a Positive Work Environment
• Improving Ethical Behavior
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Thinking Positive
• Creating a positive work environment can

be a competitive advantage
• Positive Organizational Scholarship
(Positive OB):
– Examines how organizations develop human
strengths, foster vitality and resilience and
unlock potential.
– Focus is on employee strengths, not their
weaknesses.

1-27
Pause and Ponder
1. Do you think managers who focus on strengths rather

than weakness of employees can achieve better results?
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OB Model
Source: Stephen P. Robbins., Timothy A. Judge & Neharika Vohra, “Organizational Behaviour”, Pearson Education, 16th Edition, 2016.

Organization Behavior
• After eight months of working in her new role as a senior associate, Sarah
noticed significant changes within her organization that made her very
uncomfortable. She tried to offer her feedback, but no one took her seriously. As
a result, the organizational culture was slowly shifting from one that was very
inspirational and motivational to one that breeds toxicity. Sarah, sensing that the
organization did not value her work, became very disengaged; she kept her head
under the radar while looking for a new job, losing all enthusiasm.
• According to Tim McClure, when passionate employees become quiet, it usually
sends a signal that the work environment has become very dysfunctional.
• People don’t lose their motivation and inspiration overnight; it’s always a
combination of small and big things that creeps into the organization slowly and
consistently over time. So when you have a team passionate, inspired, and
motivated to help the company achieve its vision while fulfilling its purpose, you
must do everything in your power to ensure that this team keeps this vibe.
Otherwise, you run the risk of pushing away great talent while settling for
mediocrity. (…..excerpts from a post by Leadership First on LinkedIn)

Summary and Managerial Implications
• Managers perform various activities to achieve organizational goals.
• Managers use multiple skills to perform these activities.
• Managers need to develop their interpersonal/ human skills to be effective.
• OB focuses on how to improve factors that make managers and

organizations more effective.
• Situational variables moderate cause-and-effect relationships, which is why

OB theories are contingent.
• OB derives from various subjects: Psychology, sociology and Anthropology.
• There are many OB challenges and opportunities for managers today.
• OB is studied at three levels: individual, groups and organizations.
• OB Model construes: input, process and outcomes at three levels

31

R1_L1 : Reflection Time
1. Do you think employee’s behavior is linked to the performance?
2. Think about your own personal behavior at work and how it influences your
performance.
3. Talk to some of the professionals and understand their viewpoints on whether
behavior can influence performance at work. Ask them to share with you on
some success/ failure stories.

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Course Structure
Module Title Sub- Module Titles
1 Introduction to Organizational Behavior 1.1 What is Organizational Behavior
2 Introduction to Human Resource 2.1 Understanding the nature and scope of HRM
Management(HRM)
2.2 Understanding the context of HRM
3 Organization and individuals 3.1 Diversity in organizations
3.2 Attitudes & Job Satisfaction
3.3 Emotions and Moods (Quiz 1)
3.4 Personality and values
3.5 Perception and individual decision making
3.6 Motivation Concepts and Applications (Quiz 2)
4 Organization and groups 4.1 Foundations of Group Behavior
4.2 Understanding work teams (Mid-Term)
4.3 Communication
4.4 Leadership
5 The organization system 5.1 Foundations of Organizational Structure
5.2 Organizational culture
6 Managing the existing workforce-1 6.1 Appraising and managing performance
7 Managing the existing workforce-2 7.1 Compensation management
8.1 T&D, Career and Talent Management
8 Managing for future 8.2 Employee engagement and empowerment BITS Pilani, Pilani Campus
Evaluation Scheme
No Name Type Duration Weight Day, Date, Session, Time

EC-1 Quiz I Online - 5% February 06-15, 2022
Quiz II Online - 5% February 27- March 8, 2022
Assignment Online - 15%
submission
April 05-April15, 2022
EC-2 Mid-Semester Test Open Book 2 hours 30%
March 11-13, 2022
EC-3 Comprehensive Open Book 2 hours 45%

Exam
May 20-22, 2022
Syllabus for Mid-Semester Test (Open Book): Topics in Contact Hrs: 1 to 16
Syllabus for Comprehensive Exam (Open Book): All topics (Contact Hrs: 1 to 32)

Observation Skills
First Step to Understand Behavior

Look at the picture and write 10 statement of facts

Observation Skill

BITS Pilani
Pilani Campus
Thank you
MBAZG511
BITS Pilani
Pilani Campus Lecture- 2 Date : 22/01/22 Total Slides : 49 Dr. Shikha Sahai
BITS Pilani
Pilani Campus
Attitude and Job Satisfaction

Learning Objectives
– Understand three components of an attitude.
– Examine the relationship between attitudes and
behavior.
– Understand and Apply Cognitive Dissonance
Theory.
– Compare and contrast the major job attitudes.
– Job satisfaction and its outcome.
– Identify four employee responses to
dissatisfaction.
– Learning Behaviors

Attitudes
Evaluative statements or
judgments concerning
• Objects
• People
• or Events

Attitudes
1. Attitude Can be Positive or
Negative
2. Attitude develops through experiences
3. Attitude can be Changed?

Attitudes
Three components of an attitude:

– Cognitive – The opinion or belief segment of an
attitude
– Affective – The emotional or feeling segment of

an attitude
– Behavioral – An intention to behave in a certain

way towards someone or something

Attitude- 3 Components
Cognition= Evaluation
My Supervisor gave
promotion to a co-worker.
My supervisor is unfair to
me
Affective = Emotional Negative Attitude

I don’t like my supervisor Towards Supervisor
Behavioral = Action
I am looking for other job

Identify: Affective, Cognitive and Behavior component of Attitude
• Rishabh is very happy with work from home (WFH)

• Rishabh thinks by WFH he is able to balance work-life
• Rishabh plans to continue WFH post pandemic too
• Rita finds working from home stressful as the boundaries
of home and office have blurred
• Once given a choice she would go to office for work
• Suba believes that it is very difficult to make customers
attracted towards the new fitness band that his company
has introduced as it is very expensive as compared to
other competitor brands.

Attitude- Behavior Linkage
• Attitude influences our Behavior.
• We interpret Attitude of others based on the behavior

they exhibit:
– An employee who always reaches for a meeting on time, is

perceived to have positive attitude towards meeting, he/ she
likes his/her work and considers work as important
– An employee who is always found chatting near the coffee

vending machine is perceived to have negative attitude towards
work

Attitude
Attitude Behavior

Does Behavior Always Follow from Attitudes?
• Leon Festinger – No, the reverse is sometimes true!
• Cognitive Dissonance: Any incompatibility between
two or more attitudes or between behavior and
attitudes
• Individuals seek to reduce this uncomfortable gap, or
dissonance, to reach stability and consistency

Does Behavior Always Follow from Attitudes?

Cognitive Dissonance Theory
Consistency is achieved by
• Changing the behavior
– I'll Stop Smoking.
• Changing Original Attitude
– No Conclusive research that smoking causes cancer
• Develop a rationalization for discrepancy
– Justify commitment to original behaviour/ cognition: Helps me reduce stress
– Trivializing importance of cognition: Can’t overcome the effect of passive smoking anyways as
most colleagues smoke
– Selective Information Processing: My non-smoker friend recently had cancer
• No Dissonance Reduction

How to use CDT to Our Advantage
– Identify and describe our attitude

– Describe our behavior
– Introduce dissonance
– Learn new behavior

– Attitude: Job Security is very important for

me
– Behavior: Continue the Job
– Introduce Dissonance: I need to step out of
my comfort zone to grow in my career
– New Behavior: Learn new skills/ look for job

– Attitude: Union is a nuisance element

– Behavior: Avoid talking to union members
– Introduce Dissonance: Meet union members
– New Attitude: Understand union concern

Moderating Variables of Dissonance Reduction
• Moderating Factors suggested by Festinger

• Importance of elements
• Degree of individual influence
• Rewards involved in dissonance
• The most powerful moderators of the attitude-behavior relationship are:

– Importance of the attitude
– Accessibility: Remember or talk about a given attitude
– Existence of social pressures
• Individual having anti-union attitude attending pro-union
meeting
– Personal and direct experience of the attitude
• College student about authoritative boss
Job Satisfaction
• Job Satisfaction
– A positive feeling about the job resulting from an evaluation of its
characteristics
• One of the primary job attitudes measured.
– Broad term involving a complex individual summation of a
number of discrete job elements.
• Are people satisfied in their jobs?
– Results vary by multiple facets of the job and personality.
– Compensation, benefits, and incentives are the most problematic
elements in India.
18

Some more Job Attitudes
• Job Involvement
– Degree of psychological identification with the job
where perceived performance is important to self-
worth.
• Psychological Empowerment
– Belief in the degree of influence over the job,
competence, job meaningfulness and autonomy.

Some more Job Attitudes
• Organizational Commitment
– Identifying with a particular organization and its goals,
while wishing to maintain membership in the
organization.
– Three dimensions:
• Affective – emotional attachment to organization
• Continuance Commitment – economic value of staying
• Normative – moral or ethical obligations
– Has some relation to performance, especially for new
employees.
– Less important now than in past – now perhaps more
of occupational commitment, loyalty to profession
rather than to a given employer.

And Yet More Major Job Attitudes…
• Perceived Organizational Support (POS)
– Degree to which employees believe the organization
values their contribution and cares about their well-being.
– Higher when rewards are fair, employees are involved in
decision-making, and supervisors are seen as supportive.
– High POS is related to higher OCBs and performance.
• Employee Engagement
– The degree of involvement, satisfaction with, and
enthusiasm for the job.
– Engaged employees are passionate about their work and
company.

Pause and Ponder
1. For most people, is pay or the work itself more
important?
2. What causes job satisfaction for you as an individual?
22

Outcomes of Job Satisfaction
• Job Performance
– Satisfied workers are more productive AND more
productive workers are more satisfied!
– The causality may run both ways.
• Organizational Citizenship Behaviors
– Satisfaction influences OCB through perceptions of
fairness.
• Customer Satisfaction
– Satisfied frontline employees increase customer
satisfaction and loyalty.
• Absenteeism
– Satisfied employees are moderately less likely to miss
work.

More Outcomes of Job Satisfaction
• Turnover
– Satisfied employees are less likely to quit.
– Many moderating variables in this relationship.
• Economic environment and tenure.
• Organizational actions taken to retain high performers and to
weed out lower performers.
• Workplace Deviance
– Dissatisfied workers are more likely to unionize,
abuse substances, steal, be tardy and withdraw.

Dissatisfaction

Job Satisfaction
Methods to measure Satisfaction:
1. Questionnaire
2. Observation
3. Listening
4. Grievance Mechanism
5. Town Hall Meeting
6. Focused Group Discussion
7. Skip Level Meeting

Review
1. Job satisfaction is not related to:

a) Absenteeism
b) OCB
c) Memory
d) Productivity
e) Performance
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Job Satisfaction
Measures to increase Satisfaction:
1. Address employee concerns at the earliest: VOICE
2. Maintain a transparent and open culture
3. Provide Challenging Assignments
4. Provide Constructive Feedback

Case Study 1
• Ravi Goyal, 38, heads the international marketing of an engineering firm. He
travels to at least 20 countries in one year. He travels more than four times in a
year to some countries. He has learned to sleep on planes and taxis so that he can
start working as soon as he reaches his destination. He responds to customer
messages throughout the day. Even when he is home and gets up in the middle of
the night to check on his children, he logs on to his e-mail id on his BlackBerry and
sends a reply if there is an urgent message. He says, “I do not count my hours of
work. I just work for as long as I need to.”
1. Do you think that only certain individuals are attracted to these types of jobs, or is
it the characteristics of the jobs themselves that are satisfying?
2. Given that Ravi tends to be satisfied with his job, how might this satisfaction relate
to his job performance, citizenship behavior, and turnover?

Behaviors can be Reinforced

Effects of Reinforcing Consequences on Learning New Behaviors
Behavioral Consequences
The Situation
Response of the Behavior
Positive consequences, or
removal of negative ones,
reinforces behavioral response
New Response
to the Situation
Aversive consequences lead to avoidance of
the same behavioral response, or to new
responses to similar situations in the future

Types of Reinforcement
• Positive reinforcement
– Providing a reward for a desired behavior.
• Negative reinforcement
– Removing an unpleasant consequence when the
desired behavior occurs.
• Punishment
– Applying an undesirable condition to eliminate an
undesirable behavior.
• Extinction
– Withholding a desirable condition to eliminate a
desirable behavior.

Learning Behaviours
Desired Behaviour
Positive Reinforcement Negative Reinforcement

Reinforce
Reinforcement
Undesired Behaviour
Avoid
Punishment Extinction Or Learn New
Add Stimulus Remove Stimulus

Example

Desired Behaviour
Giving a Chocolate to a child for Removal for Sound on Wearing Set Reinforce
scoring good marks Belt
Reinforcement
Undesired Behaviour
Punishment Extinction Avoid

Or Learn New
Charging Fine For not Wearing Seat Taking away drivers licence for not
Belt driving safe

Identify the Reinforces
• Run into a pole while texting
• A mother gives her son praise for completing his
homework on his own
• Preeti fights with her brother and mother takes

away Preeti’s favorite toy
• A child touches a hot stove and burn his hand

Desired Behaviour
Distribution of Sweet Coupon on No Deduction in Salary for late

Meeting Production Target coming on achieving sales target
Reinforcement
Undesired Behaviour
Extinction
Punishment Removal of coffee vending machine
Suspension for misconduct for spending too much time in
cafeteria

Identify the Reinforces
• Appreciated by boss in a meeting for improving the

productivity
• Removing AC from Rest Room for sabotaging property
• Wearing sunglass to avoid glare of sun
• Reduce Incentive for not working safely leading to
accident
Positive Reinforcement
• Some Examples
• 10% extra commission for the large sale closed by an employee
• Give praise in front of other staff
• Thank high sellers at the company meeting
• Throw a random office party and tell everyone they can thank this
specific employee for their extra hard work and earning the team a
party.
•WORD of Caution
• Using different types of positive reinforcement
• Use it selectively to preserve its value.

Negative Reinforcement
• Some Examples
•Mark would never submit his company reports on time. You would
have to pester him every week to get them. You finally set up
automatic emails that he would receive three times a day,
reminding him that his reports were due on Friday by 3:00 PM.
When Mark submits his reports on time, three weeks in a row, you
stop sending him the reminder emails.
• Ceasing required overtime when staff regularly meet their sales
quotas.
• Stop holding daily sales pitch meetings when sales begin to
increase.

Punishment
• Some Examples
• Demoting the employee
• Suspending the employee
• Extending Probation period.

Schedules of Punishment
Immediate Immediate

Punishment Guidelines
• Use only if necessary
• Deliver as quickly as possible after
the undesired event
• Focus on specific behaviors that have been
made clear to the recipient
• Deliver in an objective, impersonal fashion
• Listen to the person before taking action
Extinction
• Some Examples
•Taking Away Some Privilege / benefit given
•WORD of Caution
• Save it for the last as it is most severe form

Which is better Reinforcement or Punishments?
Rewards:
•The employee MUST be interested in the reward, They
Should Value the Reward
•The reward must be given AFTER accomplishment of the
desired action
•Performance must EXCEED normal standards
• Reinvent Rewards
• Selective Usage
Punishment:
• Can reinforce negative behaviour esp. in children below 12
rather than changing them
• Penalties imposed by fellow team members can be effective in
sustaining higher contribution level (Fehr and Gachter, 2000)

Case Study 2
Dinesh, a machine operator, worked as a mechanist for Ganesh, the supervisor.
Ganesh told Dinesh to pick up some trash that had fallen from Dinesh’s work area, and
Dinesh replied, “I won’t do the janitor’s work”. Ganesh replied, “when you drop it, you
pick it up”. Dinesh became angry and abusive, calling Ganesh a number of names in a
loud voice and refusing to pick up the trash. All employees in the department heard
Dinesh’s comments. Ganesh had been trying for two weeks to get his employees to
pick up trash in order to have cleaner workplace and prevent accidents. He talked to all
employees in a weekly departmental meeting and to each employee individually at least
once. He stated that he was following the instructions of the general manager. The only
objection came from Dinesh. Dinesh has been with the company for five years, and in
this department for six months. Ganesh had spoken to him twice about excessive
alcoholism, but otherwise his record was good. He was known to have quick temper.
This outburst by Dinesh hurt Ganesh badly. Ganesh told Dinesh to come to the office
and suspended him for one day for insubordination and abusive language to a
supervisor. The decision was within company policy, and similar behaviours had been
punished in other departments. After Dinesh left Ganesh’s office, Ganesh phoned the
HR manager, reported what he had done, and said that he was sending a copy of the
suspension order for Dinesh’s file.
Case Study
Q1. What method of punishment did Dinesh use?
Q2. Do you think he is justified in using the method?
Q3. What would be the probable behaviour that employees will learn
Q4. Is there any other way of dealing with the situation?

Know More….
1. Organizations often conduct attitude surveys of their employees. What is it that they want
to know? Go to: http://www.hr-survey.com/EmployeeAttitude.htm to learn more about
employee attitude surveys. What you think would be the three most important topics to
include on an attitude survey and why.
47

Thank you
BITS Pilani
Pilani Campus
Reinforcement Theory – B F Skinner; 1938 (Process Theory)
What is the Theory?
B.F Skinner’s work is built on the assumption that behaviour is influenced by its consequences.
Reinforcement theory is the process of shaping behavior by controlling consequences of the behavior.
Reinforcement theory proposes that you can change someone's behaviour by using reinforcement,
punishment, and extinction. Rewards are used to reinforce the behaviour you want
and punishments are used to prevent the behaviour you do not want. Extinction is a means to stop
someone from performing a learned behaviour. The technical term for these processes is called
‘operant conditioning’.
Key Concepts of Reinforcement Theory
The fundamental concepts of this theory are reinforcement, punishment, and extinction.
Reinforcement can be divided into positive reinforcement and negative reinforcement as follows:-
 Positive reinforcement occurs when the consequence resulting in the behaviour you are
attempting to produce increases the probability that the desired behaviour will continue. If a
salesperson performs well, that salesperson may receive a bonus, which reinforces the desire
to make sales because of the positive consequence of doing so.
 Negative reinforcement occurs when a negative consequence is withheld if the behaviour you
desire is demonstrated, which will increase the probability that the behaviour you are seeking
will continue. For example, let's say that your company is opening a new office in The Outer
Hebrides. No one wants to move there. The company decides to let the top ten salespeople
in the office pick if they go to the Outer Hebrides or stay at the old office. You work very hard
to be in the top ten so you can avoid the negative consequence of relocating there. You will
continue to perform your best to avoid the negative consequence. Negative reinforcement,
however, is not the same as punishment. Reinforcement theory suggests that when positive
reinforcement for a learned response is withheld, individuals carry on practicing that
behaviour for some period of time. However, after a while, if the non-reinforcement
continues, the behaviour will decrease in frequency and intensity and will eventually
disappear.
Punishment occurs when you impose a negative consequence to reduce an undesirable behaviour.
While negative reinforcement involves withholding a negative consequence to encourage a desirable
behaviour, punishment is imposing a negative consequence to discourage an unwanted behaviour.
For example, getting your wages docked for being late to work is a punishment that is imposed on late
workers to discourage workers from being late - an undesirable behaviour. However, punishment is
often used as a last resort in an attempt to reshape the employee's behaviour because it can result in
bad consequences and create more pressure and stress for the employee.
Extinction is a means to stop someone's learned behaviour. You attempt to extinguish a behaviour by
withholding the positive reinforcement that encouraged the behaviour. For example, let's say that you
manage a production facility that had a hard time keeping up with orders for the past few months.
You used overtime pay as a positive reinforcement to bring workers in on weekends and to delay
holidays. Now that you have the orders under control, you stop approving overtime. Workers no
longer come in on the weekends to work. Their learned behaviour has been extinguished.
1
Reinforcement Theory – B F Skinner; 1938 (Process Theory)
How to Apply this Theory to the Workplace
As a manager, it is important to select the appropriate type of ‘Operant Conditioning’ to ensure you
get the desired results and to avoid conflict. This will depend on a number of factors including but not
limited to - the behaviour you want to encourage/discourage, the organisational culture, your
personal management style and the circumstances under which the behaviour is being displayed.
Below are some example scenarios that may help you to influence positive behaviours:
Reinforcement Examples:
 Positive reinforcement – This may be used to good effect when there is a workplace change
on the horizon (e.g. a new system is being implemented or a new Manager is joining the
business.) Fear of the unknown may produce an unwanted behaviour in favour of the change
which may be helped by introducing positive reinforcement. In this case, positive
reinforcement could be introduced in team meetings/briefings, informal brew chats or
individually via one to ones.
 Also useful where behaviour/performance/attitude to work has recently started to improve
and you want the individual to sustain the desired behaviour and/or outputs. Positive
reinforcement could include a simple thank you & well done chat, a hand-written card, or a
small gift (making sure you explain the specific reason/s behind your appreciation) to ensure
it can be sustained.
 Negative reinforcement - Can be used to encourage employee completion of reports in a
timely manner rather than face the consequences of being ‘named and shamed’ and chased
in public for non-completion. Also useful as a tool to ensure that annual leave requests are
submitted within x days’ notice, on the basis that otherwise their leave will automatically be
turned down for example.
Punishment example:
 When an individual repeatedly and consciously chooses to ignore a new procedure that you
have implemented (maybe because they disagree with it), despite them being spoken to by
you about this informally on several occasions, then sometimes there is no other alternative
than to formally discipline that individual as a consequence of their negative behaviour. If this
is the case, ensure that you follow your organisations formal policies and procedures.
Extinction examples:
 Overcoming changes to current routine that have resulted in a positive reinforced behaviour
can sometimes be helped with the extinction method. For example, you no longer want your
employees to promote a free service that you were incentivising staff for doing so as you’re
oversubscribed – so you stop the incentives to signal that this behaviour is no longer required.
 Another example is where you had an employee deputising for you in your absence and had
changed their objectives and adjusted their monthly wage for doing so. Once this temporary
role ceases, by sitting down with the individual and reviewing their objectives/wage and
managing their expectations moving forward, you will encourage a change to their learned
behaviour in favour of a redefined set of behaviours that are mutually acceptable.
Extracts taken from http://study.com/academy/lesson/reinforcement-theory-in-the-workplace-definition-examples-
quiz.html
2
MBAZG511
BITS Pilani
Pilani Campus Lecture-3 Date : 22/01/22 Total Slides : 46 Dr. Shikha Sahai
BITS Pilani
Pilani Campus
Emotions and Moods

Learning Objectives
After studying this chapter, you should be able to:
• Differentiate between emotions and moods.
• Discuss whether emotions are rational and what
functions they serve.
• Identify the sources of emotions and moods.
• Show the impact emotional labor has on employees.
• Describe affective events theory and its applications.
• Contrast the evidence for and against the existence of
emotional intelligence.
• Identify strategies for emotion regulation and their
likely effects.
• Apply concepts about emotions and moods to specific
OB issues. 1-3

Emotional side of Sportsperson
Anger: Novak Djokovic
Anger: Virat Kohli

Relevance of Emotions and Moods in Organization
• In the past, emotions were ignored in OB

• Myth of rationality
– Managers worked to make emotion-free
environments.
• Emotions were believed to be disruptive.
– Emotions interfered with productivity.
• Now we know that emotions can’t be
separated from the workplace. 1-5

Emotional side of CEOs
Accepting Mistakes
Gratitude
Making human connections with your customers and the

people who work for you is crucial. People want to do business
with — and work with — someone they can trust.

What are Emotions and Moods: Introduction
1. Affect is a generic term that covers a broad range of feelings

that people experience and encompasses both emotions and
moods.
2. Emotions are intense feelings that are directed at someone or
something or some event.
3. Moods are less intense feelings than emotions and often arise
without a specific event acting as a stimulus.
4. Emotions can turn into moods when you lose focus on the
contextual object.
5. Emotions and moods can mutually influence each other.

Differentiate Between Emotions and Moods
1-8

Differentiate Between Emotions and Moods
• Six essentially universal emotions

1. Anger
2. Fear
3. Sadness
4. Happiness
5. Disgust
6. Surprise
1-9

The Basic Emotions: Positive and Negative Affect
One way to classify emotions is by whether they are

positive or negative.
a.Positive emotions—such as joy and gratitude—
express a favorable evaluation or feeling.
b.Negative emotions—such as anger or guilt—
express the opposite.
c. Emotions can’t be neutral. Being neutral is being
non-emotional.

Grouping Emotions
When we group emotions into positive and

negative categories, they become mood states
because we are now looking at them more
generally instead of isolating one particular
emotion.
Research finds a positivity offset, meaning that at
zero input (when nothing in particular is going on),
most individuals experience a mildly positive mood.

Structure of Emotions and Moods
1-12

Impact of Emotions on Decision Making
Decision Making
Thinking Feeling
1. Observations of emotions suggest rationality and emotion are

in conflict, and that if you exhibit emotion, you are likely to
act irrationally.
2. These perspectives suggest the demonstration or even
experience of emotions can make us seem weak, brittle, or
irrational.
3. The key to good decision making is to employ both thinking
and feeling in our decisions. 1-13

Impact of Emotions on Ethical Decision Making
1. A growing body of research has begun to examine the

relationship between emotions and moral attitudes.
2. Decision making was believed to be a higher-order cognitive
process, but recent research on moral emotions questions this
assumption.
a) Examples of moral emotions include sympathy for the
suffering of others, guilt about our own immoral behavior,
anger about injustice done to others, contempt for those
who behave unethically, and disgust at violations of moral
norms.
b) Numerous studies suggest that these reactions are largely1-14
based on feelings rather than cold cognition.

Sources of Emotions and Moods
• Personality
a. Affect intensity—individual differences in the
strength with which individuals experience their
emotions.
b. People differ in how predisposed they are to
experience emotions intensely.
c. Affectively intense people experience both positive
and negative emotions more deeply:
1)When they’re sad, they’re really sad.
2)When they’re happy, they’re really happy. 1-15

• Time of Day
– There is a common pattern for most of us.
a. Levels of positive affect tend to peak in the late morning and then
remain at that level until early evening.
b. Researchers analyzed 509 million Twitter messages from 2.4 million
individuals across 84 countries.
1) Positive affect increased after sunrise, tended to peak at
midmorning, remained stable until roughly 7 p.m., and then
tended to increase again until the midnight drop.
• Day of the Week

- Happier towards the end of the week.
1-16

• Weather
– Little effect on mood.
– Illusory correlation.
• Stress
– Stress is cumulative and does effect emotions and mood.
– Even low levels of constant stress can worsen moods.
• Social Activities
– Social activities tend to increase positive mood.
– Physical, informal, and dining activities increase positive
moods.
– Social interactions have long-term positive health 1-17
benefits.
• Sleep
– Poor sleep quality increases negative affect.
• Exercise
– Does somewhat improve mood, especially for
depressed people.
1-18

• Age
– Older people experience fewer negative
emotions.
• Gender
– Women feel emotions more intensely, have
longer-lasting moods and express emotions
more frequently than do men.
1-19

Emotional Labor: Introduction
• Emotional labor – an employee’s

expression of organizationally desired
emotions during interpersonal transactions
at work.
• Challenge is when employees have to
project one emotion while simultaneously
feeling another (Emotional Dissonance)
• Can be very damaging and lead to
burnout. 1-20

Types of Emotions
– Felt: the individual’s actual emotions.

– Displayed: required or appropriate emotions.
– Displaying fake emotions require us to
suppress actual emotions
• Surface acting: hiding one’s inner feelings and
foregoing emotional expressions in response to
display rules.
• Deep acting: trying to modify one’s true inner
feelings based on display rules.
– Implication: It is important to give breaks to
1-21
such employees to relax and recharge.
Affective Events Theory
1-22

Applications Affective Events Theory
• AET offers two important messages:
1. Emotions provide valuable insights into how

workplace hassles and uplifting events
influence employee performance and
satisfaction.
2. Emotions, and the events that cause them,
should not be ignored at work because they
accumulate.
1-23

Emotional Intelligence
• Emotional Intelligence is a person’s ability to

– Perceive emotions in the self and others.
– Understand the meaning of these emotions.
– Regulate one’s emotions accordingly in a
cascading model.
1-24

Emotional Intelligence: 4 Core Skills
What I See What I Do
PERSONAL COMPETENCE SELF- SELF-

AWARENESS MANAGEMENT
SOCIAL RELATIONSHIP
SOCIAL COMPETENCE AWARENESS MANAGEMENT

Emotional Intelligence: The 4 Core Skills
Can I accurately identify my own

emotions and tendencies as they
happen?
SELF- SELF-
SOCIAL RELATIONSHIP

Can I manage my emotions

and behavior to a positive
outcome?
SELF- SELF-
SOCIAL RELATIONSHIP

Can I accurately identify your emotions

and tendencies as I interact with you or a
group?
SELF- SELF-
SOCIAL RELATIONSHIP

Can I manage the interactions I have with

others constructively and to a positive
outcome?
SELF- SELF-
SOCIAL RELATIONSHIP

Personal Competence
PERSONAL COMPETENCE SELF- SELF-

Self-Management Strategies
3. Slow down, breathe
2. Admit what’s 4. Buy some time
happening to think
1. Don’t ignore it 5. Use positive

self-talk
Emotional
My Actions
Reaction

Social Competence
SOCIAL COMPETENCE SOCIAL RELATIONSHIP

See The Whole Picture
What’s above the
surface?
One observation
may not be the
whole story.
What’s below the surface?

Social Awareness Strategies
2. Listen to how it 3. Watch

was said behavior and
body language
4. Ask questions
1. Listen to what
is said
Emotional My Actions
Reaction

Social Awareness
The whole picture allows you to…
– Better understand others

– Provide helpful feedback
– Communicate
– Identify problems before they escalate
– Make better decisions
– See and seize opportunities

Emotional Regulations
• To identify and modify the emotions we feel.

• Studies indicate that effective emotional regulation techniques include
acknowledging rather than suppressing our emotional responses to
situations, and re-evaluating events after they occur.
• Another technique with potential for emotion regulation is venting.
– Research shows that the open expression of emotions can be helpful to the
individual, as opposed to keeping emotions “bottled up.”
• Emotion suppression appears to be especially difficult to do effectively and
can lead to more negative emotions; reappraising situations is usually more
effective in increasing positive emotions and limiting negative emotions.

OB Application of Emotions and Moods
• Selection
– EI can be used as a hiring factor, especially
for social jobs.
• Decision Making
– Positive emotions can lead to better
decisions.
• Creativity
– Positive mood increases flexibility, openness,
and creativity.
1-37

• Motivation
– Positive mood affects expectations of success.
• Feedback amplifies this effect.
• Leadership
– Emotions are important to acceptance of
messages from organizational leaders.
• Negotiation
– Emotions can affect negotiations.
1-38

• Customer Service
– Emotions influence customer service.
• This influences repeat business and customer
satisfaction.
– Emotional contagion = “catching” emotions
• Job Attitudes
– A good day at work tends to be followed by a good
mood at home and vice versa.
• This usually dissipates overnight.
1-39

• Deviant Workplace Behaviors

– Negative emotions lead to workplace deviant
behaviors.
• Actions that violate norms and threaten the
organization.
• Safety and Injury at Work
– Don’t do dangerous work when in a bad mood.
1-40

How Managers Can Influence Moods
• Emotional Intelligence can influence relationships and

performance.
• Use humor and praise to increase employees’ positive
moods.
• Being in a good mood oneself can result in more
positivity and better cooperation.
• Selecting positive team members can have a contagion
effect.
1-41

Implications for Managers
• To foster effective decision making, creativity, and motivation in

employees, look to model positive emotions and moods as much
as is authentically possible.
• Provide positive feedback to increase the positivity of employees.
• In the service sector, encourage positive displays of emotion,
which make customers feel more positive and thus improve
customer service interactions and negotiations.
• Regulate your intense emotional responses to an event by
recognizing the legitimacy of the emotion and being careful to vent
only to a supportive listener who is not involved in the event.
• Be careful not to ignore co-workers’ and employees’ emotions; do
not assess others’ behavior as if it were completely rational.
1-42

Pause and Reflect
Questions
1. What factors do you think make some organizations ineffective
at managing emotions?
2. Do you think the strategic use and display of emotions serve to

protect employees, or does covering your true emotions at work
lead to more problems than it solves?
3. Have you ever worked where emotions were used as part of a

management style? Describe the advantages and disadvantages of
this approach in your experience.

• “You can’t divorce emotions from the
workplace because you can’t divorce
emotions from people.”
….Anonymous

Thank you
BITS Pilani
Pilani Campus
Psychological Bulletin Copyright 1999 by the American Psychological Association, Inc
1999. Vol. 125, No. 1,3-30 0033-2909/99/S3.00
On the Bipolarity of Positive and Negative Affect

James A. Russell and James M. Carroll
University of British Columbia
Is positive affect (PA) the bipolar opposite of, or is it independent of, negative affect (NA)? Previous
analyses of this vexing question have generally labored under the false assumption that bipolarity predicts
an invariant latent correlation between PA and NA. The predicted correlation varies with time frame,
response format, and items selected to define PA and NA. The observed correlation also varies with
errors inherent in measurement. When the actual predictions of a bipolar model are considered and error
is taken into account, there is little evidence for independence of what were traditionally thought
This article is intended solely for the personal use of the individual user and is not to be disseminated broadly.
opposites. Bipolarity provides a parsimonious fit to existing data.

This document is copyrighted by the American Psychological Association or one of its allied publishers.
Man! Thou pendulum betwixt a smile and tear. a "fundamental psychometric principle" (p. 282) that "oppositely
—Lord Byron, Childe Harold's Pilgrimage valenced affects tend to be only weakly negatively correlated with
one another" (p. 282). They therefore posited that "variations in
Science has repeatedly shown that things are not necessarily the positive and negative mood are largely independent of one an-
way they appear. The sun does not rise in the east, a solid rock other" (p. 270). Costa and McCrae (1980) called independence of
consists mainly of empty space, the continents move about, and positive and negative affect a "paradox that has never been fully
panda bears are not bears. Science seems about to destroy yet explained" (p. 669). They remarked that "the repeated observation
another long-held belief. that the pleasantness and unpleasantness of one's life are uncor-
Zautra, Potter, and Reich (1997) observed that "most of us related is a puzzling phenomenon the explanation for which is of
believe that positive feelings are the opposite of negative feelings, considerable theoretical importance" (p. 670).
and that a person who is unhappy is also sad. These statements are Evidence has challenged the bipolar view so often that it now
truisms in the language of feelings, affects, and emotions, as seems on its deathbed, and independence has taken its place as the
fundamental as one plus one equals two" (p. 75). Psychologists prevailing assumption. At the same time, some researchers have
have uncovered evidence that positive affective feelings are not, in insisted that the evidence for independence might be an artifact of
fact, the bipolar opposite of negative affective feelings: It seems method, and others have found reason to maintain the assumption
that a human being is not a pendulum, moving between opposite of bipolar opposites (Eich, 1995; Parducci, 1995; Reisenzein,
feelings. A pendulum can be in only one place at a time, but a 1994; Smith & Ellsworth, 1985). Bipolarity is assumed in Kelson's
human being can be both happy and unhappy. Zautra, Potter, and (1964) adaptation level theory and Osgood's (1969) semantic
Reich went on to invite their readers "to consider the possibility differential technique.
that in many cases one and one does not equal two, at least when The resulting controversy is central to the psychology of affect.
it comes to comparing positive and negative affective states. In- Its resolution touches on such basic issues as the processes in-
stead, ... most of the time, positive and negative feeling states are volved in affect and its causes and consequences and what strat-
independent of one another" (p. 75). egies to use against crippling negative emotions (Is negative affect
The National Advisory Mental Health Council (1995) similarly counteracted by, or independent of, improvements in positive
advised "while one would ordinarily think that positive and neg- affect?). Some theories assume independent unipolar dimensions
ative emotions are opposites, apparently this is not the case... . of positive and negative affect (Mayer & Gaschke, 1988; Meyer &
This finding [is] one of the most interesting results of emotion Shack, 1989; Morris, 1989; Tellegen, 1985; Watson & Clark,
research" (p. 839). In an article on the measurement "and mismea- 1997)—as do some measures of affect (Watson, Clark, & Telle-
surement" (p. 267) of mood, Watson and Clark (1997) declared as gen, 1988). Other theories assume a bipolar positive-negative
dimension (Feldman, 1995; Lang, Greenwald, Bradley, & Hamm,
1993; Ortony, Clore, & Collins, 1988; Reisenzein, 1994; Russell,
James A, Russell and James M. Carroll, Department of Psychology, 1989)—as do some measures of affect (Cuthbert, Bradley, & Lang,
University of British Columbia, Vancouver, British Columbia, Canada. 1996; Russell, Weiss, & Mendelsohn, 1989). Different lines of
This study was funded by the Social Sciences and Humanities Research research are accumulating on each of these fundamentally different
Council of Canada through a predoctoral fellowship to James M. Carroll assumptions.
and through a grant. We thank James H. Steiger, Shawn Reynolds, Sherri In this article, we focus on the bipolarity of one quality of affect,
Widen, Lisa Feldman Barrett, Kim Barchard, and Darrin Lehman for their
variously called its hedonic quality, its valence, its pleasant-
advice in formulating the analysis presented here and for comments on a
unpleasant quality, or its positive-negative quality—positive af-
draft of this article.
Correspondence concerning this article should be addressed to James A. fect (PA) and negative affect (NA). We later consider how to
Russell, Department of Psychology, 2136 West Mall, University of British define these concepts. By affect, we have in mind genuine subjec-
Columbia, Vancouver, British Columbia, Canada V6T 1Z4. Electronic tive feelings and moods (as when someone says, "I'm feeling
mail may be sent to jrussell@neuron3.psych.ubc.ca. sad"), rather than thoughts about specific objects or events (as
RUSSELL AND CARROLL
when someone calmly says, "The crusades were a sad chapter in although their role in the appearance of independence or bipolarity
human history"). Affect can be assessed at any given moment, of affect has yet to be systematically examined.
rather than only in times of great emotion. We limit our analysis to However, it would be false to portray the study of affect as
the psychometrics of affect as experienced, where almost all of the focused on measurement error. Most researchers implicitly as-
challenge to bipolarity has taken place, and we do not consider the sumed that the correlation between observed scores provides a
underlying biological mechanisms.1 reasonable estimate of the true correlation between the latent
We argue that the controversy's persistence stems from various variables. Indeed, in the 1980s, interest in the role of measurement
misconceptions held by writers (including ourselves) on both sides error faded. In their review of the history of this debate, Green,
of the debate. So, before examining the accumulated evidence, we Goldman, and Salovey (1993) pointed to three highly influential
examine the logic behind the research. We argue that the bipolar articles that appeared around the same time advocating indepen-
view of affect has been misunderstood, that incorrect predictions dence in one form or another (Diener & Emmons, 1984; Warr,
have been derived from it, and that existing data have not been Barter, & Brownbridge, 1983; Zevon & Tellegen, 1982). After this
properly interpreted. Indeed, even though bipolarity has been trio, Green et al. (1993) observed a "virtual cottage industry
repeatedly defended or rejected, no model of bipolarity with pre- developed with the goal of demonstrating that positive and nega-
tive affect were indeed independent across a variety of contexts"

cise psychometric predictions has been specified. When we for-

mulated a bipolar model, some of its predictions surprised us, and (p. 1031).
not all commonly used methods of testing bipolarity turned out to In 1993, a time when measurement errors were all but forgotten
be appropriate. Reviewing the evidence, we found little support for in the study of affect, Green et al. (1993) published a powerful
the independence of what were once thought opposites. A bipolar reminder of their potential impact. They also proposed a new
view of affect provides a parsimonious fit to existing data. For approach. Instead of examining each type of error separately,
affect, one plus one does equal (approximately) two. Green et al. (1993) used a variety of different response formats to
measure the same concept and analyzed the resulting data with a
structural equation model. To the extent that the formats vary in
Background: The Persistent Debate the kinds of systematic error to which they are susceptible, it
should be possible to estimate the zero-order correlation between
Traditionally, pleasure and displeasure were assumed to be latent variables relatively free of both systematic and random error.
opposites. With the introduction of psychometrically sophisticated Green et al. (1993) found that observed correlations were system-
correlational techniques, pioneers such as Nowlis (Nowlis & Now-- atically biased away from bipolarity and toward independence. For
lis, 1956) and Bradbum (1969; Bradbum & Caplovitz, 1965) example, the observed correlations between happy and sad scales
sought to establish the structure of affect empirically. They antic- ranged from -.25 to —.69; the true correlation between their latent
ipated bipolar dimensions, but their results forced them to question scores was estimated to be —.84. Diener, Smith, and Fujita (1995)
this assumption. They and other early researchers (Borgatta, 1961; observed that "the work of Green et al. clearly demonstrated the
Clyde, 1963; McNair & Lorr, 1964; Thayer, 1967) found that absolute necessity of controlling measurement error when exam-
factor analysis yielded two independent unipolar factors where one ining the structure of emotions" (p. 131).
bipolar factor had been expected. The correlation between positive Nevertheless, consideration of measurement error has not suf-
and negative affect was surprisingly low. ficed to resolve the controversy. Watson and Clark (1997) re-
Defenders of bipolarity soon appeared (Bentler, 1969; Meddis, viewed relevant evidence and conceded that random error, acqui-
1972; Russell, 1979), and the debate was on. The debate initially escence, and other systematic errors do exist and do alter the
centered on whether bipolarity was being masked by errors of observed correlation, thereby biasing results away from bipolarity
measurement. Random noise is well known to attenuate a corre- and toward independence. Nonetheless, they concluded that PA
lation coefficient. The more random error there is, the closer an and NA are still largely independent. When they examined each
observed correlation will be to zero. The more unreliable two source of error separately, the amount of variance accounted for by
scales are, the more independent they appear. Thus, now that each one was not large. Watson and Clark also argued that their
Bradburn's (1969) scales of PA and NA have been shown to have own scales from the Positive Affect and Negative Affect Schedule
relatively low reliability (Watson, 1988), his research should be (PANAS; Watson et al., 1988) are only weakly correlated. Their
cited for its pioneering contribution but no longer as credible estimate of this correlation after controlling random and one sys-
evidence of the independence of PA and NA. tematic error (acquiescence) was -.43, a figure that fell in a region
In a classic article, Bentler (1969) showed that a nonrandom Tellegen et al. (1994) had defined as "largely independent." Even
error, specifically, an acquiescent response style, can also mask
bipolarity by shifting the correlation in a positive direction. Ac-
1
quiescence refers to individual differences in the tendency to agree Perhaps some day behavioral and neurochemical measures of affect
or disagree with an item regardless of its content. Consistent with will be developed, but they will presumably have to be validated at least to
Bentler's (1969) analysis, an acquiescent response style has been some extent against self-reported experience, and so we are back to
repeatedly found to influence affect ratings (Davison & Srichantra, self-report. There is no way to bypass solving the problems of bipolarity
and independence within the realm of self-reported experience. Cacioppo
1988; Lorr, 1989; Lorr & McNair, 1982; Lorr, McNair, & Fisher,
& Bernston (1994) discuss bipolarity and independence in this broader
1982; Lorr & Shea, 1979; Lorr, Shi, & Youniss, 1989; Lorr & context. They point out that bipolarity should be empirically tested rather
Wunderlich, 1980; Russell, 1979; Russell & Mehrabian, 1977; than presupposed and that testing requires that alleged opposites be treated
Tellegen, Watson, & Clark, 1994, in press). Many other forms of within a bivariate framework. They also argue that positive and negative
systematic (nonrandom) error exist (Hunter & Schmidt, 1990), affect likely result from separate neurological processes.
BIPOLARITY OF AFFECT
with their full procedure, Green et al. (1993) estimated a similar negative affect were both confounded with the same component, then
correlation between the constructs underlying these scales. Later, their observed correlation would be shifted in a positive direction.
we return to these scales. Once again, however, acknowledgement of the multidimen-
The debate between Green et al. (1993) and Watson and Clark sional nature of affect is not sufficient to resolve the controversy.
(1997; see also Tellegen et al., 1994) raised a number of unresolved Noting at least two dimensions of affect, Green et al. (1993)
questions. Foremost, once measurement error is controlled, what argued that Watson et al.'s (1988) scales of PA and NA both
correlation indicates bipolarity? What are we to make of empirically contained a component of arousal, and it is this shared substantive
obtained figures such as —.84 and —.43? And why is there a discrep- component that accounts for their correlation being shifted in a
ancy? As our review will show, this broad range exemplifies the positive direction. Tellegen et al. (1994) countered that Green et
findings in this field. Although it is an essential consideration, mea- al.'s bipolar model was unidimensional and was thus contradicted
surement error alone cannot tell the whole story. by evidence of the multidimensional nature of affect.
A second consideration that is essential in resolving this con- To summarize, as soon as affect was measured with modern
troversy is time. Because one can feel happy today and unhappy correlational techniques in the 1950s, evidence began to emerge
that challenged the traditional assumption of bipolarity. In turn, the
tomorrow (in fact, we suspect that one's mood can change over the
course of completing a long mood questionnaire), any analysis of possibility was raised that bipolarity was being masked through
bipolarity and independence requires a very careful consideration errors in those same modern techniques. The ensuing debate has
of time. Some research is cross-sectional, concerning the mood of been especially vexing for its persistence. The problem seems to
different individuals at one point in time, whereas other research is defy empirical solution. Both sides in the dispute have presented a
longitudinal, concerning the various moods of the same individual similar range of correlations, including values high, medium, and
over some extended period of time; these two designs do not yield low in magnitude. More than additional data, resolution would
exactly the same estimate of the correlation between PA and NA seem to depend on making sense of the range of already available
(Watson & Clark, 1997). results. Much progress has been achieved, with three consider-
Time was also central to two landmark articles that proposed ations now understood to be essential in resolving the controversy:
conceptual resolutions to the puzzle. Warr et al. (1983) pointed out (a) the role of random and systematic errors of measurement, (b)
that Bradburn's (1969) findings are less paradoxical when time is time, and (c) the multidimensional nature of affect.
Our analysis, to which we now turn, builds on these three factors.
considered. Bradburn had asked each respondent to rate retrospec-
The remainder of this article is divided into two major sections based
tively the affect of the previous few weeks. Over that length of
on time. In the first section, the research examined concerns affective
time, the number of pleasant episodes might well be unrelated to
feelings at a given moment. We call this momentary affect. In the
the number of unpleasant episodes, even though the proportion of
second, the research examined concerns affective feelings extended
time spent in a pleasant state is inverse to the proportion of time
over a good length of time, such as happiness over several months.
spent in an unpleasant state. Diener and Emmons (1984) then
We call this extended affect. The psychometric considerations in
proposed, and offered evidence to show, that measures of momen-
momentary and extended affect are different. We build on the mul-
tary affect suggest a more bipolar relation between PA and NA
tidimensional nature of affect by looking at its implication for item
than do measures of affect extended over time. selection. We also point to an additional factor (response format) so
On the other hand, Watson (1988) offered evidence of his own far not sufficiently appreciated. Our theme is that the original three
that PA and NA are independent across a range of time frames. factors plus response format are interactive and must therefore be
Green et al. (1993) offered evidence of their own that PA and NA considered simultaneously. We emphasize the need to articulate an
are bipolar both at one time and when extended over time. And so, explicit representation of bipolarity that specifies its predictions as
time must be considered, but once again it is not sufficient to these four factors vary. We then compare those predictions with the
resolve the controversy. available data.
A third essential consideration is the multidimensional nature of
affect. Affect involves various dimensions or components (Russell,
1978; Smith & Ellsworth, 1985; Scherer, 1984), and therefore the
Momentary Affect
issue of bipolarity must be distinguished from the issue of indepen- Affective feelings ebb and flow over the course of a day. Like
dence. The question of the bipolarity of any one dimension is not the weather, they sometimes change slowly, sometimes quickly.
equivalent to the question of how many independent dimensions (or Because affect is transitory, the first case to consider is affect at a
components) are required to describe affect (just as answering the slice in time. When the voice of tradition says that one cannot be
question of whether extraversion is the bipolar opposite of introver- both happy and sad, or both tense and relaxed, or both elated and
sion would not specify the total number of independent dimensions depressed, it means both at the same time.
required to describe the domain of personality, or vice versa). Still, the The studies that have challenged bipolarity of momentary affect
questions are closely related and easily confused. Two variables that have been of three basic types: (a) a factor analysis that yields two
are bipolar opposites are the whole of or parts of one dimension; two unipolar factors, positive as one and negative as another; (b)
variables that are independent or even separable are two dimensions. external correlates of PA and NA that are not the mirror image of
The multidimensional nature of affect thus opens the door to substan- each other (for instance, whereas PA correlates with Extraversion
tive confounds. If bipolarity is taken as predicting one dimension but not Neuroticism, NA correlates with Neuroticism but not
where independence predicts two, then evidence of two or more Extraverson); and (c) a weak correlation between separate unipolar
substantive dimensions in the domain of affect could conceivably be scales of PA and NA. All three types of study ultimately rely on
mistaken for evidence against bipolarity. If measures of positive and the correlation coefficient, which is thus the statistic to focus on.
RUSSELL AND CARROLL
We examine the three types of evidence, but before doing so, we Because of disagreements and lack of explicitness, a review of this
take a step curiously overlooked in previous tests of the bipolar literature cannot impose a definition on the domain. We therefore
view. We develop an explicit statement of that view or what we sought to present an analysis of definitions as independent as
call a bipolar model. To interpret empirically obtained correla- possible of any one conceptualization of the domain.
tions, we need to know the correlation predicted by a bipolar Semantic studies of the affect domain show that affect words are
model. To derive this predicted value, we must carefully consider defined by a number of components—affect is multidimensional.
how the abstract notions of PA and NA are made operational. We Valence is but one component. In words from thrilled to tranquil,
argue that the predicted correlation varies with both item selection our English lexicon recognizes many different types of PA. Sim-
and response format. ilarly, in words from distressed to depressed, it recognizes many
different types of NA. To account for this diversity, we require
components beyond valence. Here we emphasize one, namely
Building a Model of Bipolarity what has been variously called arousal, activity, or activation. It is
Definitions, Semantics, and Item Selection an empirical finding that both pleasant and unpleasant words vary
in the level of activation they imply (Averill, 1975; Bush, 1973;
Neufeld, 1975, 1976; Russell, 1978; Thayer, 1989; Whissell,

To test bipolarity, one must specify just what is supposed to be

bipolar to what. Our hypothesis comes from everyday language. 1981). Some pleasant words imply activation (elated, thrilled), and
As Zautra et al. (1997) noted, it is in the everyday "language others imply deactivation (serene, calm). Some unpleasant words
[italics added] of feelings, affects, and emotions" (p. 75) that imply activation (upset, distressed), and others imply deactivation
bipolarity is a truism. The claim that PA is independent of NA is (lethargic, depressed).
counterintuitive, because, in large part, the words positive and Figure 1 shows an array of affect-related words, each of which
negative are antonyms. varies both in valence (the x axis) and activation (the y axis). Not
In language, opposites are antonyms: happy and sad, tense and all bipolar pairs lie directly on the x axis. Activation has fanned
relaxed, elated and depressed. Not every positive affect term is the them out. Positive terms lie on the right half of Figure 1 and vary
antonym of every negative affect term. It is sad rather than tense in level of activation. Negative terms lie on the left half and also
that is the opposite of happy, but it is tense rather than sad that is vary in level of activation. Notice that a rigid rod placed through
the opposite of relaxed. Thus, there is not one but many bipolarity the center of Figure 1 would mark out specific bipolar opposites.
hypotheses. When the topic is the bipolarity of a specific affective Thus, exact antonyms fall 180° away. (Quasi antonyms fall near
state (such as feeling guilty), then its specific semantic opposite 180°, just as quasi synonyms are separated by small angles.) The
(feeling innocent) is the proper target of a test of its bipolarity. opposite of a pleasant activated word (such as elated) is an un-
Bipolarity has not been challenged at the level of such specific pleasant deactivated word (depressed). Thus, bipolar opposites are
items as happy and sad or guilty and innocent but rather at a more opposite on both valence and activation. In testing bipolarity,
abstract level: factors or scales named positive and negative. For activation must be taken into account. A two-dimensional repre-
example, Watson and Clark (1997) acknowledged that happiness sentation of the semantics of affect is admittedly oversimplified,
and sadness form a bipolar pair, even as they proclaimed and but Figure 1 provides a first approximation of the bipolarity
defended the independence of "positive and negative mood" (p. implicit in the everyday language of affect. The important point is
270) in general. that Figure 1 is thoroughly bipolar. In fact, we cannot imagine a
On this more abstract level, the key question becomes this: What model more bipolar.
counts as PA and NA in general? Some terms are already more Now, the question becomes, where in Figure 1 is affect? Different
general (positive, happy, negative, unhappy), others are more researchers have picked out different regions of Figure 1 as affect.
specific (proud, guilty). A test of bipolarity of affect in general Rather than impose our own definition of this domain, we offer Figure
could rely either on more general terms or on a broad representa-
tive sample of more specific terms. In either case, the items chosen
must still be semantic opposites.
Sampling raises the question of how to specify the domain from
which the word samples are to be drawn. Presumably, PA in
general is simply all affective states that are pleasant, and NA in
general is all affective states that are unpleasant. As it happens, the
key issue has been the definition of affect. Unfortunately, the word
affect (like emotion, mood, and feeling) is not consensually de-
fined. Psychologists have not agreed which specific states (and Displeased (-x) (x) Pleased
hence which words in an affect questionnaire) are to be included
and which are to be excluded. Lack of agreement is a serious
difficulty, because one definition can pick out a set of states that
manifest bipolarity and another definition can pick out a set of
states that do not. Not all researchers have explicitly defined their
terms, although most seem to share a common-sense notion that
affect includes the self-reportable feelings of happiness, sadness,
elation, depression, tension, relaxation, and countless others, in- Figure 1. A semantic analysis of affect terms as composed of two
cluding but not limited to those involved in mood and emotion. components: x = pleasantness, y = activation.
BIPOLARTTY OF AFFECT
2 as a broad perspective that encompasses various possible defini- other semantic studies of affect across diverse languages (Averill,
tions. On the right side of Figure 2, we have defined three clusters of 1975; Bush, 1973; Osgood, 1969; Russell, 1991c; Russell,
positive items. PA/HighAct refers to a cluster of positively valenced Lewicka, & Niit, 1989; Whissell, 1981). Our aim in this section is
items that are also high in activation, with items such as enthused, not to use semantic studies as evidence for bipolarity, but as a
excited, and energetic. PA/MediumAct refers to a cluster of positively means to develop a hypothesis. In later sections, we take up the
valenced items that are medium (or noncommittal) in activation, with entirely different question of whether affective experience actually
items such as happy, gratified, and content. PA/LowAct refers to a conforms to the semantic hypothesis of Figures 1 and 2.
cluster of positively valenced items that are also low in activation, However simple, our model of bipolarity highlights certain
with items such as calm, serene, and relaxed. Three clusters are used requirements in tests of bipolarity. In testing the bipolarity of a
for convenience; we believe that positive items vary more or less specific affective state, it is necessary to select its specific semantic
continuously in the amount of activation that they denote. opposite. We know of no challenge to the bipolarity of specific
In parallel fashion, we have defined three clusters of negative items affect items and thus focus on what has been challenged: the
on the left side of Figure 2. NA/HighAct refers to a cluster of bipolarity of PA and NA in general. This challenge raises more
difficult issues, but it is just as necessary to specify a bipolarity
negatively valenced items that are also high in activation, such as

jittery, tense, and nervous. NA/MediumAct refers to a cluster of items hypothesis and to select items that test that hypothesis. Items
that are medium (or noncommittal) in activation, such as unhappy, selected must actually be the hypothesized bipolar opposites and
miserable, and troubled. NA/LowAct refers to a cluster of negatively must represent PA and NA in general. In the multidimensional
valenced items that are low in activation, such as depressed, lethargic, domain of affect, bipolarity is an angle of 180° between items in
and down. Again, the number of clusters is merely a convenience. Figures 1 and 2. Bipolarity is thus understood as one relation
Any or all of these clusters might be used to define affect. So, among a range of relations. As we discuss shortly, the predicted
even at this abstract level, there is more than one bipolarity correlation between affect items varies with the angle between
hypothesis. According to the bipolar model of Figures 1 and 2, the them. But before developing that point, we must examine the
relationship between PA and NA depends on which item clusters response format used to assess each variable.
are selected. It is essential to distinguish among types of PA and
among types of NA. Only some pairs of clusters include semantic Response Format and Part Versus Whole Definitions
opposites. For instance, PA/HighAct is semantically opposite On our bipolar model, happy, sad, elated, depressed, or any
(180° away from) N A/Low Act but is not opposite either NA/ other item can be conceptually and operationally defined in one of
MediumAct or NA/HighAct. Exclude the cluster 180° away and two ways. It can be defined either as its whole underlying bipolar
you have excluded bipolarity by definition. continuum or as a region of that continuum. To test whether two
Figures 1 and 2 are nothing more than a working semantic items (or clusters) are bipolar opposites, one must measure the two
model meant to clarify one feature of the language of affect: items separately. To do so requires a unipolar response format.
bipolarity. In trying to be as clear as possible, we may seem to Although Meddis (1972) and Warr et al. (1983) emphasized the
imply that emotion concepts can be defined as precisely as can possible effects of response format, the consequences of this act of
types of triangles. A more thorough analysis of the semantics of separation and this use of a unipolar format for potentially bipolar
affect would discuss such properties as fuzziness, hierarchical items have gone largely unrecognized in writings on bipolarity. As
relations, and semantic components beyond valence and activation we explain in this section, separation and unipolar formats can
(Fehr & Russell, 1984; Bullock & Russell, 1984; Russell, 1978, force each item to be defined as a region of rather than the whole
1991a, 1991b, 1991c, 1997; Russell & Bullock, 1986; Russell & of the full continuum—thereby producing a relation (and hence
Fehr, 1994). Although our treatment is brief, we rely on extensive correlation) between PA and NA that is not what researchers have
evidence from unidimensional and multidimensional scaling and generally presupposed. (An analysis in agreement with ours was
made by Diener and Iran-Nejad, 1986.)
Defined as whole continuum. On the bipolar model, one way
NA/HighAcf PA/HighAct to define an item conceptually and operationally is as its full
negative affect positive affect
high activation
underlying continuum. In this case, the positive item is a dimen-
high activation
(e.g., tense, nervous, upset) (e.g., excited, elated, ebullient) sion that extends all the way from the most extreme negative
feeling through neutral to the most extreme positive feeling. To
achieve this definition, the scoring procedure must assign the
NA/MediumAct PA/MediumAct
positive affect
lowest score to the most negative feelings and its highest score to
negative affect
medium activation medium activation the most positive. A neutral feeling is assigned a score approxi-
(e.g., miserable, unhappy (e.g., happy, pleased, mately midway between these extremes. Only some response
discontent) content)
formats can do the job. Here is one candidate for the item happy:
Circle the number that describes your present mood:
NA/LowAct PA/LowAct
negative affect positive affect -7 -6 - 5 - 4 - 3 - 2 - 1 0 1
low activation low activation
(e.g., depressed, bored, lethargic) (e.g., calm, serene, tranquil) (very sad) (neutral) (very happy)
Figure 2. Six clusters of affect items defined by valence and activation. Of course, sad and happy could be replaced with any pair of
PA = Positive Affect; NA = Negative Affect. valenced antonyms.
RUSSELL AND CARROLL
A negative item can also be defined as the full underlying were bipolar. Consider the following item: "Please describe your
bipolar continuum, simply looked at and scored in the opposite mood right now" coupled with the following apparently unipolar
direction. In this case, the negative item starts at (and the lowest response scale:
score is assigned to) the most positive feeling, goes through neutral
(which is assigned an intermediate score), and ends at (and the 1 7
highest score is assigned to) the most negative. To ensure that a not happy happy
respondent defines a negative item as the whole continuum, the
response format must assign scores along the full continuum. The The respondents are allowed to construe each option as they see fit.
following response format appears to do the job for sad: How do they construe "not happy"? Do they take it to mean
"neutral (a lack of happiness)" as required for a strictly unipolar
Circle the number that describes your present mood:
format? Or, do they take it to be synonymous with "sad or
-7-6-5-4-3-2-1 0 1 2 3 4 5 6 7 miserable"? If the latter, the format is effectively bipolar.
To explore the specific item just discussed, Carroll and Russell
(very happy) (neutral) (very sad) (1998) showed it to 20 respondents drawn from the general public and
asked them to supply a word describing each response option. No

We define a strictly bipolar format as one that explicitly specifies

respondent construed the seven options as required for a strictly
the bipolar opposites and that succeeds in assigning scores along
unipolar format. Different respondents defined the various options
the full underlying bipolar continuum.
differently, but a typical respondent placed "neutral" not at Option 1
Defined as pan of the continuum. Bipolarity also allows an-
but around the middle of the scale, usually 4. (Two independent raters
other conceptual and operational definition of any affective item.
judged the neutral point implied by the full set of words each respon-
Because the bipolar formats just given presuppose bipolarity,
dent supplied; neutral fell in the range of 3 to 4.5, M = 4.0, on the 1
researchers reasoned that PA and NA must be separated and
to 7 scale.) Most telling were the labels supplied for Option 2; rather
unipolar formats must be used. In this case, according to the
than meaning a bit of happiness as required for a strictly unipolar
bipolar model, the positive item is being defined as a part of the
scale, Option 2 was thought by all respondents to be negative (e.g.,
full continuum, namely the part above neutral. Similarly, the
sad, glum, bad). These respondents had apparently defined this os-
negative item is being defined as a part of the full continuum,
tensibly unipolar response scale as bipolar, extending from NA
namely the part below neutral.
through a neutral point around 4 to PA.
Here is a response format that seems to do the job for happy:
What about other formats? Table 1 shows five hypothesized classes
Do you feel happy? yes no Circle one. If you circled yes, of response format (I-V). We know of no way to verify the exact
please indicate how much: nature of each type (this is a job for future research), but inspection
suggests the following hypothesis. Let us begin with the last one
1-
shown. The last format type is likely strictly bipolar in that both
(slightly) (moderately) (extremely) bipolar opposites are specified (happy and sad) and neutral is explic-
itly placed in the middle of the scale. All the other formats are
The response of "no" is assigned a zero. Similarly, here is a
ostensibly unipolar in that no bipolar opposite is specified. Return to
response format that seems to do the job for sad:
the top of the list. The strictly unipolar format explicitly divides
Do you feel sad? yes no Circle one. If you circled yes, please responses into parts (happy and not happy with not happy assigned a
indicate by how much: zero). The remaining formats are more ambiguous. The format we
call ambiguous-likely unipolar fails to specify where a neutral feeling
1-
should be placed but does imply that it would receive the lowest score.
(slightly) (moderately) (extremely) The format we label simply ambiguous leaves the respondent to
define the anchors (Does "not at all" happy mean neutral or misera-
We define a strictly unipolar format as one that succeeds in ble?). The format we call ambiguous-likely bipolar again leaves to the
defining an item as the appropriate part of the full underlying respondent the definition of the anchors; but by providing degrees of
continuum. With a strictly unipolar format, a neutral feeling is not happy, it suggests that neutral should fall toward the middle of the
assigned the lowest possible score; in this example, it is the zero as format; that is, the bipolar symmetry of the response options violates
indicated by circling "no." the assumption of a strictly unipolar format and strongly suggests
Actual response formats. Whether a unipolar response format bipolarity.
in actual use is strictly unipolar is an empirical question and Whether respondents interpret a specific item on a questionnaire
depends on how respondents subjectively construe the options as unipolar or bipolar depends not only on its response format but
provided. For instance, how do they construe the option "not at all" on the specific affective words involved (Carroll & Russell, 1998).
as a response to the item "I am in a good mood"? They might take Semantically unmarked words are typically used to refer to a
it to mean "no positive amount of good mood" or, then again, they whole dimension, whereas marked words refer to part of a dimen-
might take it to mean "I am in a quite bad mood." Similarly, what sion (Clark & Clark, 1977). For example, the unmarked word
does "strong disagreement" mean as a response to the item "I am happiness can refer to the full happiness-unhappiness dimension,
in a cheerful mood"? Does it mean neutral or gloomy? whereas the word unhappiness, which is marked by the prefix un,
The bipolarity thesis—that people's implicit response dimen- refers to only part of that dimension.
sion is really a bipolar continuum—suggests that respondents Which formats are legitimate? One cannot test bipolarity with
might readily reinterpret ostensibly unipolar formats as if they a response format that imposes bipolarity on the respondent. Thus,
BIPOLARTTY OF AFFECT
Table 1
Five Hypothesized Types of Response Format
Type Code Example
I. Strictly unipolar If you feel happy, tick here _. If you ticked, please indicate by how much:
1 2 3 4 5- —6 7
(slightly) (moderately) (extremely)
II. Ambiguous- 2 Circle the number that describes the degree to which the statement "I am happy" describes your present mood:
likely unipolar 1 2 3 4 5
(not at all or slightly) (moderately) (very much)
III. Ambiguous Circle the number that describes the degree to which the statement "I am happy" describes your present mood:
0 1 2 3 4 5 6
(not at all) (very much)
Circle the number that describes the degree to which you agree with the statement "I am happy":
1 2 3 4
(not at all) (very well)
Circle the number that describes the degree to which you feel happy:
1 2 3 4
(definitely do not feel) (cannot decide) (slightly feel) (definitely feel)
Circle the number that describes the degree to which you feel happy:
1 2 3 4
(not at all) (a little) (quite a lot) (extremely)
IV. Ambiguous- Circle the number that describes the degree to which you feel happy:
likely bipolar 1 —: 2 3 . 4
(definitely do not feel) (do not feel) (slightly fee!) (definitely feel)
Circle the number that describes the degree to which you agree with the statement "I am happy":
I 2 3 4 5
(strong disagreement) (strong agreement)
Circle the number that describes your mood:
1 2 3 4 5 6 7
(not happy) (happy)
10 Circle the number that describes the degree to which the statement "I am happy" describes your present mood:
1 2 3 4
(not at all) (not very well) (somewhat) (very well)
V. Strictly bipolar Circle the number that describes your present mood:
-7 -6 -5 -4 - 3 - 2 - 1 0 1 2 5 6 7
(very sad) (neutral) (very happy)
Note. No distinction was made between response formats that differed only in the number of response options or in seemingly irrelevant phrasing or
configuration of the question.
strictly bipolar formats are out. That respondents treat ambiguous is invariant with time frame and operational definition of the hypoth-
but ostensiby unipolar formats as bipolar might, at first blush, esized opposites. Two exceptions are Diener and Iran-Nejad (1986)
suggest that those formats too are illegitimate in tests of bipolarity. and Van Schuur and Kiers (1994). The specific value of the predicted
However, in this case, the researcher does not impose bipolarity on correlation is rarely mentioned, but when a number is specified, it is
the respondent; no bipolar opposite is specified. Rather, the re- -1.00, although, of course, no one expects an actual observed cor-
spondent apparently imposes bipolarity onto what the researcher relation to match the predicted value precisely. What is more telling
believed was a unipolar format and one that, indeed, would allow is that a correlation of —.70 has been assumed to be a challenge to
a unipolar interpretation. We believe, therefore, that ambiguous bipolarity and to be evidence of independence (Tellegen et al., 1994).
formats allow a legitimate test of bipolarity. Their ambiguity does, None of these assumptions is correct.
however, introduce another problem, to which we now turn. What is needed is a point value for the theoretic correlation
between PA and NA predicted by a bipolar model. By theoretic
What Correlation Indicates Bipolarity? correlation, we mean the correlation predicted for the population
Finally, we arrive at the key question in the debate surrounding of true scores (i.e., free from all error). To derive a prediction from
bipolarity: What is the correlation between bipolar opposites? a bipolar model (or any other), it is necessary to make assumptions
At times, bipolarity is almost equated with a correlation of -1.00. that go beyond bipolarity per se. We assume, for example, that
Most writers (including Russell, 1979) implicitly assumed that the each variable is measured on a continuous dimension, that the
correlation coefficient is the proper statistic to describe a bipolar frequency distribution of the underlying bipolar affect dimension
relation, that bipolarity requires a negative correlation of large mag- is normal, and that the mean on that distribution is the point that
nitude between the alleged opposites, and that the required correlation divides PA from NA. Although the theoretical model we offer is
10 RUSSELL AND CARROLL
highly simplified, some model is essential. Only with a theoretic half of the underlying bipolar continuum, the median of which is zero.
value can a researcher then decide, based on the quality of the data In this case (i.e., strictly unipolar formats), scores on the two items are
and reasonableness of the assumptions for a given case, whether mutually exclusive, their relation is nonlinear, the correlation coeffi-
specific data are or are not consistent with bipolarity. cient is not the proper statistic to describe their relation, and the
The theoretic correlation predicted by a bipolar model is not, as theoretic correlation (in error-free measurement) is not —1.00. The
commonly assumed, invariant. Carroll, Russell, and Reynolds (1997) theoretic correlation is —.467. This prediction can be seen in Figure 3,
provided mathematical arguments for predicting the theoretic corre- and the precise value is given by Carroll et al. (1997).2
lation, and their results are shown in Figure 3. The correlation varies Why is the correlation coefficient not appropriate in this case?
both with item semantics (represented by the angle between the When PA and NA are each defined as parts, their relation is not
variables in Figures 1 and 2) and with response format. In a later linear. On our bipolar model, a person's true score on a full bipolar
section, we show how it also depends on time frame. Here, we continuum falls into either the PA region or the NA region but not
illustrate those results by focusing on four idealized cases that are into both. Suppose it falls in the NA region; wherever it falls
central in interpreting the available data on the bipolarity of affect. within the NA region, it is simply not in the PA region—there is
Case 1. Suppose that items or scales are selected for PA and no PA score other than not-PA, which is assigned a zero in a
NA that, according to the semantic analysis summarized in Fig- strictly unipolar format. Therefore, a zero on PA is consistent with
ures 1 and 2, are separated by 90°. In this case, the theoretic any score on NA. Respondents who score zero on PA have not
correlation between them is zero, whether they are each defined as specified whether they feel neutral or negative; and if they feel
the whole underlying continuum or as a unipolar part. The effect negative, they have not specified how negative.
of response format disappears at 90°. Further, at 90°, random error Why is the correlation so modest in magnitude in this case?
does not bias the observed correlation. For example, 90° is ap- Strictly unipolar formats assess only part of the information of a
proximately the angle separating PA/HighAct and NA/HighAct in bipolar format, and it is this loss of information that accounts for
Figure 2. If the angle is exactly 90°, and if we set aside systematic the reduction in the theoretic correlation. For two scales to corre-
error, our bipolar model anticipates a robust empirical correlation late — 1.00, the information provided by one scale must be com-
between these two sets near .00, whatever the response format or pletely redundant with the information provided by the other.
the reliability of the two scales involved. Figure 4 shows what is happening graphically. In each case, the
Case 2. In the remaining cases, suppose that items are selected axes consist of 7 options assumed to form a strictly unipolar scale.
for PA and NA that are separated by 180°. At 180°, response Imagine that these unipolar scales, one for happy and the other for
format is a powerful force. In this case, suppose that PA and NA sad, are administered to a sample of respondents. Imagine that
are each conceptually and operationally defined as a full underly- happy and sad are actually bipolar opposites and that our measure-
ing bipolar continuum (i.e., strictly bipolar formats). The relation ment procedure is completely free from any errors of measure-
between the two variables is linear: specifically, scores on one are ment. Ask yourself this: What would the results have to look like
simply the inverse of scores on the other. The correlation coeffi- if they are to produce a correlation of — 1.00? All data would have
cient is an appropriate statistic to describe that relation. The to fall as shown in Figure 4A. Those who rate themselves as
theoretic correlation between them equals —1.00. moderately sad would also have to rate themselves as moderately
Case 3. Again consider two items 180° apart, but now suppose happy—they could not rate themselves as not at all happy. This
that each item is conceptually and operationally defined as exactly result would violate rather than confirm the basic assumption of
2
1.00 The prediction of r = —.467 can be derived independent of the
formula developed by Carroll et al. (1997). Assume that X and Y are two
mutually exclusive parts of a single continuum in standard normal form
with zero as the point of division between X and Y, that both X and Y are
assessed with strictly unipolar response formats, that both are scored with
positive numbers, and that they have the L-shaped bivariate distribution
shown in Figure 4B. Both X and Y are thus positively skewed. Let p be the
.20..
correlation between X and Y: p = [E(XY) - E(X)E(Y)] {[E(X2) -
.00. • (E(X))2] [E(Y2) - (E(Y))2]}-1'2. In this case, E(XY) = 0, because
Strictly Unipolar Format either X or Y is always zero. E(X) = E(Y) = the height of the normal
curve at the mean of the normal distribution = (2ir)~ "2 (Glass & Hopkins,
\ 1984, p. 72). E(X2} = E(Y2) = '/2, because E(X2) = 1 for a normal
distribution and the distribution of X is normal except that half the values
-.60 • > 'Strictly Bipolar Format
are zero. With substitutions, p = (1 - ir)~' = -.467. The p just calculated
is the usual Pearson product—moment correlation. When the same assump-
tions about X and Y are made and data are sampled from the resulting
-1.00 populations, correlations between X and Y of approximately -.47 result.
When the same data are converted to a polycotomous format and poly-
Angle between X and Y (in degrees) choric correlations are calculated, correlations of approximately -1.00
result. More generally, for two variables separated by an angle of 0
Figure 3. Theoretic correlation between two variables, X and Y, as a degrees, their theoretic polychoric correlation equals cos(8). The possibil-
function of the angle between them and part (strictly unipolar format) ity of using polychoric correlations was inspired by an article by Tellegen,
versus whole (strictly bipolar format) operational definition. Watson, and Clark (in press). We return to this possibility in footnote 6.
BIPOLARTTY OF AFFECT 11
B other than bipolarity. To test bipolarity, obtained data must be

extremely 6n • i
compared to the actual predictions of a bipolar model for the
very much 5 i
' specific method used to gather those data.
much 4' i i
moderately 3. . i Watson, Clark, and Tellegen's PAN AS
slightly 2. . i
We can now turn to two actual scales that have played a large role
very slightly 1 • 1 i
in the debate concerning bipolarity and independence: the two scales
not at all 0.
of the PANAS (Watson et al., 1988). The positive cluster consists of
0 1 2 3 4 5 6 0 1 2 3 4 5 6
active, alert, attentive, determined, enthusiastic, excited, inspired, in-
.c terested, proud, and strong. The negative cluster consists of afraid,
;ry slightly
noderately
£ >. x:
extremely
"nj CJ "ro s ^
D 3 S S ashamed, distressed, guilty, hostile, irritable, jittery, nervous, scared,
"H
1
CT>
In
fr
w o) O) 2 E
fl) H and upset. The response format provided is what we have called
ambiguous-likely unipolar (see Code 2 in Table 1).
A number of writers have noted problems with the PANAS scales

Figure 4. A: Data required to achieve a correlation of -1.00. B: Data

as measures of PA and NA in general (Carver, 1996; Green et al.,
required to show a bipolar relationship between two variables in which
each is assessed with a strictly unipolar response format and therefore
1993; Larsen & Diener, 1992; Morris, 1989; Nemanick & Munz,
defined as mutually exclusive parts of a single bipolar continuum. 1994). The PANAS items stand out as unlike those chosen by other
researchers, and they violate the semantic requirements listed earlier
for a test of bipolarity. The negative set includes none of the semantic
opposites of the positive set. For interested, one might expect to see
bipolarity that at a given moment a person falls at one and only one
bored; for strong, one might expect weak; for active, one might expect
point along the full bipolar continuum. When strictly unipolar
passive. The clusters do not cover the full range of PA or NA. For PA,
formats are used, ironically, an observed correlation of —1.00
happy, positive, satisfied, serene, and pleased are missing and high
between happy and sad would contradict bipolarity. With strictly
arousal items predominate (active, alert, attentive, excited). For NA,
unipolar scales, bipolar opposites yield the L-shaped distribution of
unhappy, negative, depressed, and sad are missing, and high arousal
responses shown in Figure 4B.
items predominate (distressed, jittery, upset).
Case 4. Again consider items 180° apart, but now imagine the
One could simply conclude that the PANAS scales are not
response format is not known to be either strictly bipolar or strictly
relevant to a test of the bipolarity of PA and NA. A more useful
unipolar. In this case, a predicted correlation is impossible to
analysis would be to state clearly the predictions of a bipolar
specify, except to say that it should fall between —.467 and —1.00.
model for these two sets of items. According to Watson et al.
The more bipolar the format, the closer the correlation is to — 1.00.
(1988), the positive items were chosen to tap a theoretical dimen-
As we indicated, we suspect that most ostensibly unipolar formats
sion (unfortunately given the very broad and unqualified name
in actual use are ambiguous, and the theoretic value thus remains
Positive Affect or PA) defined as activation plus pleasantness. The
specified only to this range. The vagueness of prediction intro-
negative items were chosen to tap a theoretical dimension (given a
duced here stems not from our model of bipolarity but from the
name that is the antonym of the first scale: Negative Affect or NA)
ambiguity of the response format. The solution is research that
defined as activation plus unpleasantness. Because they are not
establishes the properties of response format used.
opposite on activation, they are not opposites. In our terms,
Actual correlations. The preceding four cases are all based on
Watson et al. defined positive affect as PA/HighAct and negative
highly simplified assumptions. We assumed that measurement
affect as NA/HighAct, which are separated by 90° from one
occurred without error and that scores faithfully represented con-
another in Figure 2. If the angle were indeed 90°, then the theoretic
tinuous variation. In Case 2, we further assumed a bivariate normal
correlation between them would equal zero.3 Feldman Barrett and
distribution. In Cases 3 and 4, we assumed a special distribution in
Russell (1998) estimated the empirical angle to be 115°; if so, the
which half of the scores are zero and the other half come from
theoretic correlation between them would be - .423 with a strictly
either the upper or lower half of a normal distribution. In actual
bipolar format and —.262 with a strictly unipolar format.
data, these assumptions are unlikely to be met.
Nevertheless, these theoretic values serve as benchmarks against
which observed values can be compared. Researchers have not 3
The prediction of a zero correlation here depends on the angle being
known ahead of time the true relation between PA and NA. exactly 90°. At 90°, response format does not alter the correlation, but if
Instead, they gathered data and wanted to infer that relationship by the actual angle is greater than 90°, the ambiguous but likely unipolar
calculating a correlation coefficient. To interpret the resulting response format of the PANAS would limit the magnitude of any negative
evidence, it is therefore useful to know what correlation the bipolar correlation. The prediction of a zero correlation does not depend on our
model predicts even in cases when the correlation is inappropriate. specific model of bipolarity but follows more generally from the manner in
which Watson et al. (1988) defined their constructs. Let y be activation, x,
Our analysis has one further implication that should be under-
be pleasantness, and — x be unpleasantness. If we assume that pleasantness
scored: In testing bipolarity, bipolarity cannot be equated with or and activation are equal in their contribution, then, on this translation, their
inferred directly from a correlation coefficient, whatever its value. PANAS PA = x + y and their PANAS NA = -x + y. If x and y are in
Under specified circumstances, bipolarity predicts a correlation of standard score form, the correlation between x + y and —x + y is exactly
— 1.00; under other circumstances, it is inconsistent with —1.00. zero. Because affect involves at least two dimensions, dimensions of affect
Under specified circumstances, it predicts a correlation of —.467, can be defined that are independent of one another, and indeed, this
but clearly a correlation of —.467 could arise from relationships formula shows how to do so.
Put differently, the extensive correlational research behind the items, (b) items similar to those used by Diener and Emmons, and
PANAS shows that affect involves at least two substantive dimen- (c) items Watson termed pleasant versus unpleasant. All items
sions. Because affect is multidimensional, items can be selected, or were assessed with the same response format; in Table 1, it is
clusters of items can be constructed, that bear various correlations called ambiguous-likely unipolar. (Hence, the absolute magnitude
to each other, including zero. Therefore, the clusters that are of any negative correlation can be predicted to be restrained; see
created—and what they are named4—are critical in any test of Figure 3.) The specific items are given in Table 2. The PANAS
bipolarity. Our semantic hypothesis of Figures 1 and 2 does make items have already been discussed as sampling PA/HighAct and
a further prediction, however. Each dimension so created has a NA/HighAct. Diener and Emmons' set and Watson's pleasant-
bipolar opposite. According to Figure 2, the opposite of the unpleasant set contained roughly antonyms, sampled widely from
PANAS PA (in our terms PA/HighAct) is NA/LowAct. The op- PA and NA. The correlations (also shown in Table 2) varied
posite of the PANAS NA (in our terms NA/HighAct) is PA/ reliably with item pool. As expected, correlations from the PA-
LowAct. These predictions are borne out (Feldman Barrett & NAS were close to zero, whereas correlations from the other two
Russell, 1998; Yik, Russell, & Feldman Barrett, 1998; Watson & item sets were more negative.
Tellegen, 1985; Watson et al., 1988). A bipolar interpretation of
Uncorrected correlations and response format. Table 3

the dimensions underlying the PANAS is not a trivial matter. lists 31 data sets that yielded a zero-order correlation between PA
Although acknowledging bipolarity, Watson and Tellegen (1985) and NA but that used a variety of response formats. We did not
presented these two as the basic dimensions of mood, each con- include in Table 3 studies that used the PANAS items, but we did
ceptualized, labeled, and assessed as unipolar: high versus low PA include studies that used any other item pool.
and high versus low NA. In contrast, consider how low scores The predicted correlation can be specified only roughly. Items
from each of the PANAS scales are understood on our bipolar varied across studies, and although the item pools were roughly
interpretation. Whereas the phrase "low positive affect" might semantic opposites, none were constrained to antonyms. The num-
suggest mild comfort, we anticipate that low scores on their PA ber of items was often small, and one might question how repre-
scale include states of depression, melancholy, and lethargy. sentative they were of PA or NA in general. In addition, these
Whereas the phrase "low negative affect" might suggest mild observed correlations failed to take into account errors of mea-
discomfort, we anticipate that low scores on their NA scale include surement. The results in Table 3 are thus valuable less for the
states of relaxed tranquility and serenity. absolute magnitude of the observed correlations than for the rel-
ative magnitude when response format changes. We used the
Available Evidence tentative scheme of Table 1 to categorize the response formats; no
Zero-Order Correlation
4
With the benefit of hindsight, we believe that Watson & Tellegen's
We now review evidence on what has been considered the most
(1985) choice of labels for their concepts and scales was unfortunate.
definitive challenge to the bipolarity of PA and NA at a particular
Evidence we review in this article shows that the PANAS scales do not
moment in time: the zero-order correlation. We were lenient in measure what other positive and negative affect scales measure. Positive
what we considered to be a moment. We include studies that have affect and negative affect were phrases used by earlier writers such as
asked participants how they felt today, since this morning, right Bradburn (1969) and Costa & McCrae (1980) interchangeably with pleas-
now, or about a brief incident.5 ant affect and unpleasant affect. For Bradburn and Costa and McCrae, the
All studies to be reviewed in this section followed the same independence of PA from NA was a startling and important empirical
procedure of creating separate (ostensibly) unipolar scales of PA finding. In contrast, Watson and Tellegen's system of definitions presup-
and NA. The correlation between the two scales was then calcu- poses the bipolarity of pleasantness-unpleasantness, a distinction between
lated across participants. In what follows, our concern is the pleasant and positive affect, and a distinction between unpleasant and
negative affect. Their meaning of independence depends critically on the
evaluation of bipolarity; but to evaluate properly, we must also
existence of another dimension of affect (engagement or activation). As
consider measurement error, the semantics of the items, and the
Watson and Tellegen use the terms, to assert that PA and NA are inde-
nature of the response format. We begin with studies that have not pendent is to assert that affect involves two independent substantive
considered measurement error. dimensions that can be additively combined.
Uncorrected correlations and item semantics. Does the zero- 5
Ideally, we would focus on studies of affect at a particular instant, and
order correlation between PA and NA vary with item content? Com- this range of time frames is too liberal for momentary affect. Larson &
mon sense, previous reviews, and evidence converge on an answer of Csikszentmihalyi (1980) found that mood at one moment bore no relation
yes (Lawton, Kleban, & Dean, 1993; Lawton, Kleban, Rajagopal, & to mood just 3 hr earlier. Therefore, reports of daily mood surely mix
Parmelee, 1992), Here, we quickly review one study (Watson, 1988), together a range of events. As is described later in this article, the likely
asking whether the variations are consistent with the semantic analysis effect of too broad a time frame would be to obscure any negative
presented earlier. This study did not control errors of measurement but correlation predicted by bipolarity of momentary affect. Later in this
did hold response format constant. The results are thus valuable less article, we suggest that bipolarity might be extended to natural units of
time—blocks of time that the person thinks of as a single unit rather than
for the absolute magnitude of the observed correlations than for the
as an aggregate of separate events. Likely, a day is a natural unit. We also
relative magnitude when item pool changes.
doubt that questionnaires about mood should be mixed with questionnaires
Watson (1988) noted that Diener and Emmons (1984) had found about affective reactions to specific events. Ignoring such distinctions, as
correlations between PA and NA more negative than he had. we do, would operate against the model we propose; they are ignored here
Watson suggested item selection as one of the reasons. He then in the interest of having a large enough body of data to review, but future
gave the same respondents three different item sets: (a) PANAS analyses might well want to separate these different topics.
Table 2
Correlation Between Different Sets of Positive and Negative Affect Items
Correlation
Moment Today
Positive items Negative items (A' = 574) (N = 657)
PANAS
Active, alert, attentive, determined, Afraid, ashamed, distressed, guilty, -.12,
enthusiastic, excited, inspired, hostile, irritable, jittery, nervous,
interested, proud, strong scared, upset
Watson's pleasant-unpleasant
Happy, contented, at ease, calm, Sad, blue, downhearted, alone, lonely -.40, -•42b
confident, friendly, sociable,

warmhearted
Diener & Emmons (1984) pleasant-unpleasant
Happy, joyful, pleased, enjoying Unhappy, frustrated, blue, angry, -.38,, -.40,
myself worried
Note. Results were reported by Watson (1988), who compared correlations within a column: Correlations
between sets of items not sharing the same subscript were significantly different from one another (/> < .01,
two-tailed). PANAS = Positive Affect and Negative Affect Schedule.
response format was strict, but there was variation within the happy and sad mood. The study was of single items, partly for
ambiguous category. We added a category for dichotomous for- simplicity, partly because single items can be valuable (Burisch,
mats (yes-no, true-false, and the like), which cannot be catego- 1984), and partly because single items are the clearest candidates
rized as either unipolar or bipolar. In general, dichotomous formats for bipolarity. Still, such data can only approximate the continuous
are thought to be poor psychometrically. distributions postulated in our theoretical model, and single items
All 31 correlations obtained were negative, ranging from -.25 are especially subject to random and systematic measurement
to —.86, with a median of —.66. Because the dichotomous formats errors.
may introduce excessive measurement error, we focus on the In one study, 120 participants were each given one verbally de-
polychotomous formats. Even here, the variability of correlations scribed temperature drawn from a normal distribution and then were
that is observed is much greater than the variability that is to be asked to describe that temperature on 12 items, half for hot and half
expected merely by sampling error, ^(26) = 412.0, p < .001 (see for cold. The items varied in format. In another study, 195 participants
Hunter & Schmidt, 1990). On the other hand, within each group were asked to complete a small, anonymous mood survey. Partici-
with a similar type of response format, the variability is reduced, pants were asked to describe their current mood with eight items, half
although it is still somewhat greater than what would be expected for happy and half for sad. The items varied in format.
by sampling error alone in two of the three cases. Mean correlation The results for both temperature and mood are shown in Table 4.
obtained with an ambiguous-likely unipolar format was signifi- The response format is keyed to Table 1. The observed correlations
cantly closer to zero than the mean correlation obtained with either failed to match those derived theoretically in absolute magnitude,
of the other two ambiguous formats. The more the format allowed as would be expected from the nature of measurement error, from
a bipolar interpretation, the more negative was the resulting sampling, from the lack of a continuous scale, and so on. Still, the
correlation. pattern of relative magnitudes was as predicted. The strictly bipo-
Because of variations in items pool and because of the role of lar format showed the strongest correlations (—.82 and —.79); the
measurement error, the results of Table 3 cannot provide a rigorous strictly unipolar format showed the weakest correlations (-.27 and
test of our bipolar model. For both reasons, we must expect the — .46). The correlations yielded by ambiguous formats typically
obtained correlations to be attenuated relative to the theoretic fell between these values (—.39 to —.57).
values given earlier. Nevertheless, the pattern of results was highly Figure 5 shows the most visually compelling summary of the
consistent with our bipolar model. The mean correlation of —.41 mood data in the form of bivariate frequency distributions. The
that was obtained with the most unipolar format was only slightly strictly bipolar format yielded the inverse relation that was antic-
closer to zero than the correlation predicted for Case 3 (—.467); ipated, whereas the strictly unipolar format yielded the L-shaped,
and the mean of — .75 that was obtained with the ambiguous-likely nonlinear relationship that was anticipated earlier in Figure 4B.
bipolar format showed a substantial inverse relation. Figure 5 also shows graphs for the two less strict formats. These
Carroll and Russell (1998) provided a more direct test of the latter results are more difficult to interpret, but they are consistent
influence of response format on the correlation. They compared with the notion that some respondents interpreted the formats as
different response formats that were used to gather judgments of unipolar but others interpreted them as bipolar. (That is, an
hot and cold (for verbally presented temperatures) as well as for L-shaped distribution plus a diagonal distribution coupled with
Table 3
Observed Correlation and Response Format, Momentary Affect
Response
Study format" N
Ambiguous format (likely unipolar)
Watson (1988, Study 1) 574 -.38
Watson (1988, Study 1) 574 -.40
Watson (1988, Study 1) 657 -.43
Watson (1988, Study 1) 657 -.42
Mean correlation = -.41 (95% confidence interval: -.34- -.47). ^(3) = 1.29. ns.
Ambiguous format
Diener & Iran-Nejad (1986, Study 1) 3 72 -.39
Diener & Iran-Nejad (1986, Study 1) 3 72 -.38

Diener & Iran-Nejad (1986, Study 2, Group 1) 3 472 -.64

Russell (1979) 5 150 -.66
Russell (1979) 6 150 -.66
Green, Goldman, & Salovey (1993, Study 1, Time 1) 4 139 -.54
Green, Goldman, & Salovey (1993, Study 2) 4 250 -.69
Green, Goldman, & Salovey (1993, Study 2) 9 250 -.75
Feldman Barrett & Russell (1998, Study 2) 3 225 -.66
Mean correlation = -.65 (95% confidence interval: -.57- -.72). x*(U) = 54.1, p < .01.
Ambiguous format (likely bipolar)

Russell (1979) 150 -.71
Green, Goldman, & Salovey (1993, Study 1, Time 1) 139 -.64
Green, Goldman, & Salovey (1993, Study 1, Time 2) 139 .67
Green, Goldman, & Salovey (1993, Study 2) 250 .66
Feldman Barrett & Russell (1998, Study 2) 225 .86
Feldman Barrett & Russell (1998, Study 2) 10 225 .79
Feldman Barrett & Russell (1998, Study 3) 10 316 .79
Mean correlation = -.75 (95% confidence interval: -.70- -.81). ^(7) = 54.4, p < .01.
Dichotomous
Russell (1979) 150 -.43
Green, Goldman, & Salovey (1993, Study 2) 250 -.40
Mean correlation = -.33.
Note. An overall analysis for data gathered with any ambiguous format (i.e., excluding dichotomous formats) yielded a mean correlation of -.60 (95%
confidence interval: -.52--.67), ^(26) = 412.0, p < .001. Although the samples are not always independent, we treated them as independent in the
meta-analyses. N = number of observations; rpn = correlation between positive and negative affect.
* Response format code is described in Table 1.
random and systematic error could yield the roughly triangular though there are surprisingly few such studies, we can take very
distributions seen.) seriously the magnitude of the correlation obtained. These results
In all, variations in response format account for at least some, and are summarized in Table 5.
possibly a fair amount, of the variation in the observed correlation Begin with studies that used an ambiguous-likely bipolar re-
between PA and NA. In evaluating the substantive hypothesis of sponse format. Early on, Russell (1979) found that both random
bipolarity, it is necessary to remove this method-induced variance. and systematic measurement error had influenced the correlation.
Further, when interpreted in this light, the results so far are inconsis- A disattenuated partial correlation estimated the latent correlation
tent with the claim that PA and NA are independent but are consistent between PA/MediumAct and NA/MediumAct to be -.88. All the
with the predictions of our bipolar model. remaining results of Table 5 used structural equation modeling to
Correlations corrected for measurement error. More telling control random and systematic error. Green et al. (1993) used their
data come from studies that considered measurement error. Al- proposed multiformat procedure, which mixes together various re-
Table 4 empirical correlations were uniformly closer to zero than the

Correlations Between Single Items With theoretic correlations. Our guess on the explanation for the last
Different Response Formats conclusion is that response format was not entirely bipolar, that
each scale contains some substantive components other than va-
Mood lence and activation, that systematic method variance is not en-
Temperature (N =
Response format" (N = 120) 195)
tirely eliminated by Green et al.'s method, and that violations of
other assumptions of the correlation coefficient (such as bivariate
Strictly unipolar (1) -.27. -.46. normal distributions on continuous dimensions) occurred.
Ambiguous-likely unipolar (2) -.39abc -•51* To summarize so far, when the response format is ambiguous-
Ambiguous (4) -.51C -•57b likely bipolar, and when measurement error is taken into account, the
Ambiguous-likely bipolar (8) -.34ab
Ambiguous-likely bipolar (9) -.45C correlation between scales called PA and NA varies with item selec-
Strictly bipolar (11) -.82d -.19. tion. For PA/MediumAct versus NA/MediumAct (i.e., clusters that
include hypothesized bipolar semantic opposites), the estimated latent
Note. Each respondent received a series of items each with a different correlation is between —.84 and —.92. For PA/HighAct versus NA/
response format. Within a column, correlations not sharing the same

subscript were significantly different from one another ( p < .01, two- HighAct (i.e., the dimensions underlying the PANAS scales), the
tailed). Data were taken from Carroll and Russell (1998). estimated latent correlation is between —.42 and —.58.
a
Response format code given in parentheses is described in Table 1. Finally, we arrive at one study that used an ambiguous-likely
unipolar response format. Tellegen et al. (in press) created two sets of
items for PA and NA and used the same response format for both.
sponse formats but with a result tantamount to an ambiguous-likely One set contained PA/MediumAct versus NA/MediumAct items such
bipolar format. As they expected, both random and systematic error as happy and sad, respectively. The other set consisted of only those
had attenuated the correlation between observed scores. Their esti- items used in the PANAS. Tellegen et al. calculated polychoric
mates of the correlation between the latent PA and NA scores ranged correlations and used a structural equation model to estimate the latent
from -.84 to —.92. These figures were based on items that Green et correlation between PA and NA separately for the two item sets. In a
al. called happy versus sad and that we would call a mix of PA/ first analysis, only random error was considered. For the happy-sad
HighAct-PA/MediumAct versus NA/MediumAct-NA/LowAct. In item set, r = —.73; for the PANAS set, r = —.28. In a second
their Study 3, they also included a set of items resembling (but not analysis, both random error and acquiescent response style were
identical to) the PANAS. With these latter items, the estimated cor- considered, although other systematic errors were not. For the happy-
relation between latent PA and NA was —.58. sad set, r = -.92; for the PANAS set, r = -.43.
In Green et al.'s (1993) third study, the time frame had been At first glance, Tellegen et al.'s (in press) results are highly con-
expanded to a month and thus does not fit within our criteria of sistent with the other results presented in Table 5. But recall that the
momentary affect. Still, their data have been replicated in other response format was ambiguous-likely unipolar, and recall that we
studies that were restricted to current mood. In a study that anticipated that correlations would be greatly attenuated with this
followed Green et al.'s procedure closely, Feldman Barrett and format. So, at second glance, Tellegen et al.'s correlations appear
Russell (1998) obtained correlations of -.92, -.93, -.93 (when much too substantial to be consistent with our analysis. But, finally,
the item pool was PA/MediumAct versus NA/MediumAct), and recall that these correlations are polychoric. A polychoric correlation
-.48 (when the items were similar to those of the PANAS). estimates the correlation in a normally distributed population from a
Finally, Carroll, Yik, Russell, and Feldman Barrett (in press) rean- data set that is skewed. (Of course, skew is precisely one of the
alyzed two additional data sets gathered with Green et al.'s multifor- features we anticipate to result when a unipolar response format is
mat procedure, with results close to those already described. More applied to bipolar concepts). As we discuss in Footnote 2, for mea-
important, Carroll et al. included all six clusters defined earlier in surement with strictly unipolar scales on our model, the theoretic
Figure 2. The six clusters were treated as scales, and two figures were polychoric correlation for items 180° apart is -1.00 and for items
calculated. First, the six scales were empirically placed within a 115° apart it is -.423.6
two-dimensional space through a procedure described by Fabrigar,
Visser, and Browne (1997). From this placement, the angle between
each pair of scales was estimated. Second, the correlation between 6
A question for further study is whether a polychoric correlation can
each pair of scales was estimated with a structural equation model that legitimately be used to test bipolarity. A polychoric correlation assumes a
considered both random and systematic error. bivariate normal distribution, and therefore the use of a polychoric corre-
The estimated correlations for all oppositely valenced pairs are lation requires a test of that assumption. Tellegen et al. (in press) provided
shown in Figure 6 as a function of the angle between them. Also no such test, and we do not know how such a test could be conducted. A
shown is a theoretical prediction based on the assumptions that all polychoric correlation assumes part of the population not seen in the
sample data and would thereby seem to assume that the response dimen-
variance due to errors of measurement had been removed, that the
sion itself extends beyond the neutral point into a region that is consistent
scales were perfectly valid, and that response format was strictly with a bipolar dimension (which extends in both directions) but not with a
bipolar. These data make three important points: First, the corre- unipolar dimension (which begins at the neutral point). Based on our
lation varied dramatically with item content. This massive varia- Figure 3 and on the assumption that their response format was strictly
tion occurred even though every pair consisted of one scale called unipolar, we guess that in Tellegen et al.'s (in press) study, the latent
positive affect and another scale called negative affect. Second, the product-moment correlation is - .467 for their happy-sad item set (assum-
estimated empirical correlations were monotonically related to the ing them to be 180° apart) and -.262 for their PANAS set (assuming them
angle between the scales, as predicted by our bipolar model. Third, to be 115° apart).
Strictly Bipolar Format Strictly Unipolar Format

3.5
SAD HAPPY SAD
Ambiguous/Likely Unipolar Format Ambiguous Format
O O
01 LU
scc o
111
or
SAD HAPPY SAD HAPPY
Figure 5. Bivariate frequency distributions for happy and sad assessed with four response formats (N = 195).
Summary. Tables 2, 3, 4, and 5 report correlations between Factor Analysis

PA and NA that range from —.12 to —.93. This huge range
accounts for the vexing nature of the debate surrounding bipolarity Many reports of the independence of PA and NA stem from
and independence. We believe that a coherent account of these factor analyses. Indeed, in an uncountable number of studies,
correlations is possible. Indeed, we find the results beautifully affect items were incidentally administered to the participants, and
consistent. The correlation varies systematically with errors of those items were then submitted to exploratory factor analysis with
measurement, item selection, and response format. varimax rotation. The result—one factor labeled positive affect
Correlations with the smallest magnitude result from the and another labeled negative affect—is so commonplace nowadays
PANAS items. When measurement errors and response format are as to warrant little more than passing mention of the mounting
taken into account, the latent correlation between PANAS—PA and evidence for the independence of PA and NA. We do not summa-
PANAS-NA is in the range of -.42 to -.58. Although closer to rize all this evidence here but instead argue that this method cannot
zero than the correlation obtained with other item pools, this be decisive.
correlation is still substantial in magnitude, which is surprising Problems that plague studies of the zero-order correlation—item
given the great effort to create the PANAS scales to make them selection, response format, and measurement error—reappear.
independent and given our analysis that predicts a correlation of Item pools that lack semantic opposites do not yield bipolar
about zero. Our guess is that the displeasure component of Watson factors. Because affect is multidimensional and because of method
et al.'s NA scale is weighted more heavily than the activation factors such as acquiescence, factor analysis can yield several
component, and thus the scales do not capture exactly the vectors independent factors. Independence of substantive factors can be
separated by 90° as they were intended. mistaken for evidence against bipolarity. Such problems should be
Bipolarity is tested with item pools that include hypothesized obvious by now.
opposites. When measurement error and response format are taken Perhaps less obvious is the impact of a unipolar response format.
into account, and when the item pools contrast the semantically The basic building blocks of factor analysis are the linear relation-
opposite pairs PA/MediumAct and NA/MediumAct, then the latent ships among the variables, typically assessed in the form of a
correlation is in the range of -.84 to —.93. correlation matrix. Therefore, the nonlinearity introduced by a
BIPOLARITY OF AFFECT 17
Table 5
Between-Subject Analysis of Momentary Affect When Errors of Measurement Are Controlled
PA/HighAct PA/MediumAct
and and
Study N NA/HighAct NA/MediumAct
Ambiguous-likely bipolar response format

3
Russell (1979, Meddis Format) 150 -.88
Green, Goldman, & Salovey (1993, Study 1, Time 2)b 139 -.85
Green, Goldman, & Salovey (1993, Study 2)b 250 -.91
Green, Goldman, & Salovey (1993, Study 3)b- c 304 -.58 -.86
Green, Goldman, & Salovey (1993, Study 1, Time l)b 139 -.84
Feldman Barrett & Russell (1998, Study l)b 129 -.92
Feldman Barrett & Russell (1998, Study 2)b 225 -.93
Feldman Barrett & Russell (1998, Study 3)b 316 -.48 -.93
Carroll, Yik, Russell, & Feldman Barrett (in press; Boston)b 198 -.39 -.91
Carroll, Yik, Russell, & Feldman Barrett (in press; Vancouver)b 217 -.20 -.90
M -.39 -.90
95% confidence interval -.49- -.29 -.92-- .87
Ambiguous-likely unipolar response format
Tellegen, Watson, & Clark (in press)"' d 284 -.43 -.92
Note. Separate meta-analyses were done for each column of correlations. For correlations between PA/
HighAct and NA/HighAct, ^(4) = 17.3, p < .01. For correlations between PA/MediumAct and NA/
MediumAct, ^(11) = 57.2, p < .001. Although the samples are not always independent, in the meta-analyses
we treated them as independent. All correlation coefficients shown have been corrected for random error.
PA/HighAct = positively valenced items that are high in activation; NA/HighAct = negatively valenced items
that are high in activation; PA/MediumAct = positively valenced items that are medium in activation;
NA/MediumAct = negatively valenced items that are medium in activation.
a
Identifies studies where acquiescence was controlled.
b
Identifies studies where systematic method error was controlled with Green, Goldman, & Salovey's (1993)
procedure.
c
Instructions asked about the last month.
d
The correlation coefficient calculated was polychoric.
unipolar response format can produce an artifact. Consider the case When PA and NA are defined by unipolar scales of semantic
of one completely bipolar dimension. We assess four variables, opposites, we argue that patterns of external correlates can provide
two items for positive affect (PI, P2) and two items for negative little or no support for or against a bipolar model. A practical problem
affect (Nl, N2), with a strictly unipolar response format. Suppose is that the predicted magnitudes of correlations with external variables
that measurement is free of error. Table 6 shows the intercorrela- are almost inevitably smaller than the predicted correlations between
tions and factor loadings. The result is an incorrect two-factor (semantically opposite versions of) PA and NA themselves. Conse-
solution, which, following varimax rotation, looks like two rela- quently, the examination of correlations with external variables pro-
tively independent unipolar factors. The reason for this artifact is vides a much less sensitive test of bipolarity than the examination of
simple: The correlation coefficient presupposes a linear relation- the correlation between PA and NA directly.
ship and is inappropriate in this case. But the deeper problem is that this method presupposes a linear
relationship between valence and the external variable. But per-
External Correlates haps the relationship is not linear. Suppose, for example, that PA
and NA fail to show equal but opposite correlations with temper-
Zevon and Tellegen (1982) argued that "further evidence in
ature. The explanation may be that people prefer intermediate
support of distinct dimensions of Positive and Negative Affect" (p.
temperatures over extreme hot or cold—a nonlinear relationship.
121) can be seen in the patterns of correlations that PA and NA
Or, suppose that PA and NA fail to show equal but opposite
bear to other (external) variables, which might be causes, conse-
quences, or correlates of affect. For example, whereas PA corre- correlations with Extraversion-Introversion. The explanation may
lates with Extraversion, NA correlates instead with Neuroticism be that people who score toward the middle of the personality scale
(Costa & McCrae, 1980; McFatter, 1994). Parkinson, Totterdell, (the ambiverts) are the happiest—again a nonlinear relationship.
Briner, and Reynolds (1996) considered such evidence to be the When unipolar formats force PA and NA to be defined as parts of
most persuasive case for the independence of PA and NA. the valence continuum, correlations with an external variable
We do not review such evidence here because we believe that would be highly sensitive to any such nonlinearity. Our point here
patterns of external correlations are not an appropriate test of is not that relations of affect to temperature and Extraversion-
bipolarity. When PA and NA are defined through item selection to Introversion are nonlinear but that when unipolar formats are used,
be independent (as with the PANAS scales), they would be ex- such relationships would have to be known to be linear to test
pected to have different external correlates. bipolarity by means of external correlations. They are not.
relations can all produce correlations far from those once

Vancouver Sample
thought invariably predicted by bipolarity. Indeed, item selec-
tion alone can reduce the correlation to zero; thus, with error-
free measurement and with strictly bipolar response formats,
Boston Sample two scales that assess PA/HighAct and NA/HighAct can corre-
late near zero. In other contexts, it is a combination of forces
that reduces the correlation to zero. Conversely, for a correla-
tion to be near —1.00 (as many researchers had incorrectly
defined bipolarity), all factors must simultaneously be right.
Finding a substantial negative correlation is an uphill struggle,
finding a weaker correlation is a downhill run. As a result, the
literature on affect consists of a bewildering range of
correlations.
In reviewing this evidence, we found no support for the inde-
pendence of what were traditionally thought of as opposites. The

counterintuitive quality, the surprise value, of the claim for inde-
pendence comes from the version that is incompatible with bipo-
larity. The evidence for independence comes from the version that
is compatible with bipolarity.
90 120 150 180 Does this same evidence establish bipolarity? No, but we are
Angle Between Clusters moving in that direction. The first step is to state what bipolarity
predicts and how to test it. One cannot examine bipolarity per se,
Figure 6, Estimated and predicted correlations between various positive but only a specific and clear statement of bipolarity. We therefore
affect and negative affect scales. Results were reported by Carroll, Yik, defined a simplified and idealized but thoroughly bipolar model of
Russell, and Feldman Barrett (in press). momentary affect, and we laid out the major factors that influence
the correlation between PA and NA: measurement error, item
selection, and response format. When we compared the available
Conclusion About Momentary Affect evidence with the predictions of our model, we could find no basis
At a given moment, is PA independent of, or is it the bipolar whatsoever for a rejection of bipolarity.
opposite of, NA? This question presupposes that independence and Further, the available evidence begins to support bipolarity. No
bipolarity are mutually exclusive possibilities, but not all versions one piece of evidence is definitive, the evidence was not gathered
of independence are. Indeed, the widespread claims of indepen- to test our specific analysis, and the ambiguity of the response
dence require various clarifications. First, such claims are rarely formats leaves all the evidence open to question. Still, the trend is
phrased at a specific level (happy and sad, elated and depressed, clear: The more that biases against bipolarity are removed, the
tense and relaxed) but at a more abstract level (PA and NA). closer the data conform to the bipolar model. When time was
Advocates of independence need to clarify the logical connection restricted to a relatively brief period, when items were at least
between these two levels. approximately the hypothesized opposites, when response format
Second, independence of PA and NA has come in two different did not severely restrict negative correlations, and when measure-
versions. Some writers (e.g., Bradburn, 1969; Costa & McCrae, ment errors were controlled to the extent currently possible, then
1980; Nowlis & Nowlis, 1956; Zautra et al., 1997) meant that what PA and NA emerged as substantially negatively correlated. In 11
were traditionally thought of as bipolar opposites were, in fact,
independent. On this version, genuine semantic opposites are
claimed to be independent. This version is as surprising as one plus Table 6
one is not two. Watson and Tellegen (1985) also claimed inde- Theoretic Correlation Matrix and Factor Pattern Matrix for
pendence, but of a PA and NA redefined from what these terms One Bipolar Dimension Assessed With a Strictly Unipolar
had meant earlier. On Watson and Tellegen's definitions, the two Response Format
independent dimensions are each bipolar. Their claim is equivalent
Factor loadings
to saying that affect involves two independent substantive dimen-
sions and is consistent with what has always been believed. Con- True correlations Unrelated Varimax
fusion has resulted from treating these two versions of indepen-
dence as if they were the same and from citing evidence gathered Item PI P2 Nl N2 Fl F2 Fl F2
under one definition as supporting independence defined the other _
PI -.86 .51 -.24 .97
way. P2 1 — -.86 .51 -.24 .97
The evidence that has been gathered to answer the question Nl -.47 -.47 — .86 .51 .97 -.24
has been equally confusing. This evidence has relied on the N2 -.47 -.47 1 — .86 .51 .97 -.24
correlation coefficient. Many different forces can shift that
correlation toward zero. Unipolar response formats, errors in- Note. The correlation matrix was specified a priori. PI, P2, Nl, and N2
herent in measurement, inclusion of items that are not the are items. Fl and F2 are factors from either common factor analysis or
hypothesized opposites, substantive confounds, and nonlinear principal components analysis.
data sets that met these criteria, the mean correlation was —.90. pants do not influence one another. Independence cannot be guar-
Bipolarity has not been proven, but it is a good bet—for momen- anteed, and, indeed, it is highly unlikely in a within-S study.
tary affect. Imagine that 1 participant is consistently depressed for 1 month of
a study of daily mood ratings. Those 30 ratings are in a sense 30
Affect Extended Over Time ratings of the same mood. The nominal N of, say, 90 days therefore
is an inflated estimate of the number of independent ratings. In
Diener and Emmons (1984) arrived at the conclusion that PA general, one may suppose that the nominal N in a within-S design
and NA are likely bipolar when examined at one time, but then exaggerates the number of independent observations. The result of
they found evidence that PA and NA are independent when ex- this exaggeration is not a bias, but the correlation may be less
amined over time. The topic of affect extended over time is an replicable upon retesting than the nominal N would suggest.
intrinsically interesting one. For example, it necessarily arises in Nonrandom error also appears in a within-S analysis. The major
research on a person's subjective well being, the happiness of his known source of a nonrandom error is acquiescence. As a differ-
or her life, temperament or characteristic mood, the cumulative ence between individuals, acquiescence contributes to the variance
effects of stress, and psychiatric problems of all sorts. When affect seen in a between-S analysis but is held constant in a within-S
is viewed over time, the issues of bipolarity and independence analysis. Acquiescence acts to shift a correlation in a positive
arise (e.g., Bradburn, 1969) but in a more complex and potentially direction; holding acquiescence constant should remove this one
confusing manner. bias. All else being equal, a between-S correlation can therefore be
We begin by distinguishing three methods that have sometimes expected to be somewhat more positive than the corresponding
been treated as equivalent but that are not. Each has very different within-S correlation. Of course, the condition of "all else being
implications. Indeed, the meaning of PA and NA changes from one equal" is hard to meet, but Watson and Clark (1997) came close by
to the other. The three are: examining the same data set in both between- and within-S anal-
1. Within-S analysis. As in a study of momentary affect, the yses. Their results were consistent with expectation. In seven of
research participant provides momentary affect ratings but, in this the eight cases, the mean between-S correlation was more positive
case, continues to do so over an extended period of time (e.g., a than the mean within-S correlation. If acquiescence does indeed
diary or beeper study in which each participant provides momen- account for this difference, then the difference does not show that
tary ratings once per day for 90 days). Each participant's data are a bipolar model is more supported with within-S data and an
analyzed separately. independence model is more supported with between-S data. Ac-
2. Aggregation by researcher. Once again, the participant pro- quiescence only makes it look that way.
vides momentary ratings and continues to do so over time. Now,
however, the researcher aggregates each participant's data in some
manner.
Available Evidence
3. Aggregation by participant. In this final case, the participants To our knowledge, no study has attempted to control random
are never asked to rate their affect at one moment. Instead, the and nonrandom measurement error in a within-S analysis. Table 7
participants are asked for a global rating of the affect of a large summarizes what results are available. The results for the PANAS
chunk of time.
item pool are separated from those from any other item pool. In
Within-S Analysis
Table 7
With repeated momentary affect ratings, the questions of bipo-
Mean Correlation Between Observed Scores of Positive and
larity and independence can be examined for each individual. Negative Affect for Within-Subject Data, Extended Affect
Separate scales of PA and NA can be created. The raw data are the
momentary ratings, and they are analyzed in an idiographic Response Mean
(within-S) fashion. For each participant, a correlation is calculated Study format" N Obs r
between PA ratings and NA ratings, with N equal to the number of
PANAS items (ambiguous format likely unipolar)
days. (After the idiographic analysis, some summary statistic can
be calculated, such as the mean correlation across participants. We Watson (1988, Study 1) 2 123 44.5 -.20
think of this last step as a meta-analysis.) Watson (1988, Study 1) 2 73 43.9 -.17
Watson (1988, Study 1) 2 80 44.4 -.31
The predictions of a bipolar model for this case parallel those for Median correlation -.20
the case of momentary affect. For momentary affect, we discussed
Other items (ambiguous format)
potential problems, including the effects of measurement error,
expected correlation with unipolar scales, and item selection. Most Diener & Emmons (1984, Study 3) 3 26 70.6 -.54
such issues are identical and need not be repeated. Measurement Diener & Emmons (1984, Study 4) 3 42 33.7 -.85
Diener & Emmons (1984, Study 4) 3 42 41.6 -.57
error requires some comment. Diener & Emmons (1984, Study 4) 3 42 84 -.31
Diener & Emmons (1984, Study 5) 3 34 30 -.45
Glicksohn et al. (1996) 3 2 68 -.67
Measurement Error Median correlation -.55
Random error produces the same effect in a within-S analysis as
Note. N = number of participants; Obs = mean number of observations
in a between-S analysis. One difference, of course, is that made by each participant; mean r = mean within-subject correlation across
between-S data are independent. Ideally, every participant in a participants; PANAS = Positive Affect and Negative Affect Schedule.
between-S study leads an independent life, and different partici- "Response format code is described in Table 1.
studies that used the PANAS, correlations ranged from —.17 to life. Individuals are likely to differ from one another in mean,
-.31. In studies that did not use the PAN AS, correlations ranged variance, skew, and other properties of their Affect Distributions.
from —.31 to —.85. These results are entirely consistent with the A psychological theory might also specify that there will be a
uncorrected correlations seen earlier for between-S analyses (see balance of PA and NA in one's lifetime (Parducci, 1995; Solomon,
Tables 2 and 3) and with our expectations. The differences that 1980). However, such possibilities are additional hypotheses to
occurred could be due to the effect of controlling acquiescence bipolarity per se, which demands none of these properties.
noted previously and, for the non-PANAS item pools, to differ- If the abscissa (valence) is assumed to be bipolar, what predic-
ences in item semantics and response format. In short, available tions does this specific assumption make about the Affect Distri-
results from within-S analyses reinforce our conclusions drawn bution? The answer depends crucially on response format. We now
from the study of momentary affect. consider how response format influences two of the measurement
procedures typically used: proportions and means.
Aggregation by Researcher
Proportions
We now consider another case in which each participant pro-
vides momentary ratings repeatedly over a period of time. In this On a bipolar continuum, there exists a neutral point, a threshold
case, however, the researcher aggregates each participant's data between PA and NA (or hot and cold or whatever). Suppose that
before the key correlation is calculated. For example, the re- the researcher calculates the proportion of cases (p) to the right of
searcher might average all the PA ratings to create an average the neutral point and the proportion to the left (q). If no cases fall
positive score and average all NA ratings to create an average on the neutral point, then p = 1 — q. If the same procedure is
negative score. Or the researcher might count the frequency of repeated for each individual's Affect Distribution, then a p score
happy days and the frequency of sad days for each participant. and q score result for each individual. Across individuals, p and q
These derived scores (averages or frequencies), rather than the correlate -1.00.
original momentary affect ratings, are then analyzed in some way, Suppose, however, that neutral is a region rather than a point; in
typically by calculating a single between-S correlation. this case, some cases are allowed to fall in this region. Instead of
This particular case has been the most puzzling of a puzzling lot. dichotomizing at the neutral point, two thresholds are used, result-
Diener, Larsen, Levine, and Emmons (1985) discussed the di- ing in a lower group of q scores, a middle group of m scores in the
lemma of finding evidence that bipolarity seems to disappear in neutral region, and an upper group of p scores. In this case,
studies of the sort reviewed here. We make what may be the most knowing the value of p does not specify the value of q. If this
surprising claim yet: When strictly unipolar scales are used to procedure is repeated for each individual's Affect Distribution,
measure semantically opposite versions of PA and NA and when then q, m, and p scores result for each individual. For any indi-
the ratings are then aggregated, any between-S correlation is vidual, q + m + p = 1. Even if all individuals use identical
consistent with bipolarity. thresholds, p and q could have any correlation whatsoever because
To understand research of this sort, a question must first be m is left to vary freely.
posed: What exactly are the predictions of a bipolar model? All this is clear in the abstract. In actual research, labels are
According to our bipolar model, when measured with antonyms, given to these variables. Suppose that q is called proportion of
PA and NA constitute a single bipolar dimension (valence). Think negative affect and p is called proportion of positive affect. When
of valence as the abscissa of a simple frequency diagram. The p + q = 1, as in Diener et al.'s (1985) study, their correlation is
bipolar model requires that a participant's valence for a given — 1.00. Of course, Diener et al. did not report this correlation,
moment can be properly represented as a single score somewhere because it was a mathematical necessity given the way in which p
along this continuum—that score constitutes one datum on the and q were defined. When a set of m neutral ratings is allowed,
diagram. Suppose that ratings are taken daily. Each day, a new however, as in Larson's (1987) study, then any correlation be-
datum is provided; at the end of the study, all of the data from 1 tween p and q could result. Larson's reported correlations ranged
participant are plotted. We call the resulting frequency distribution from —.26 to +.26. In neither case is the correlation coefficient an
the individual's Affect Distribution. interesting number to calculate.
All research of the type now being reviewed is really about
properties of the Affect Distribution and comparisons of the Affect Mean PA and Mean NA
Distributions of different individuals or of the same individual at
different times (odd numbered days vs. even numbered days or one More typically, the researcher calculates a mean PA and a mean
month vs. another). In deriving predictions from a bipolar model, NA score for each participant. A correlation between these two
it is essential to distinguish the bipolar dimension on the abscissa scores is then calculated across participants. This correlation is
from the frequency distribution above it. Only under some mea- then used as a test of bipolarity. Again, the question is this: What,
surement procedures does the bipolar abscissa put constraints on according to the bipolar model, are these two scores in terms of the
the nature of the frequency distribution above it. Bipolarity per se individual's Affect Distribution and what is their theoretic corre-
does not specify the mean, variance, shape, or any other property lation across individuals?
of the Affect Distribution. For example, bipolarity does not specify The answer depends on response format. Suppose that the
that Sally's Affect Distribution for one set of observations bears abscissa (valence) is measured in its entirety. That is, PA is defined
any relation to her Affect Distribution for any other set. To be sure, as the whole valence continuum and is assessed on a strictly
common sense says that the distribution will have variance and be bipolar rating scale going from sad through neutral to happy;
more or less bell shaped and that there is consistency in Sally's neutral is defined as zero. The resulting scores yield the entire
Affect Distribution for one individual. The mean on this distribu- deviation of a; see Appendix, Equation 14), the following is the
tion is taken as mean PA. NA is defined as the inverse and is case:
assessed on a second rating scale that is a mirror image of the first,
going from happy through neutral to sad. This second rating scale mean hot = (2-7r)~1/2 a = 0.4 a ;
also produces the entire Affect Distribution. The mean of this
mean cold = (2ir)~"2 a = 0.4 a,
distribution is taken as mean NA. If we set aside the effects of
random and nonrandom measurement error, the second Affect However, more generally, mean hot and mean cold also vary with
Distribution should be the mirror image of the first. Every score the mean on the overall distribution (see Appendix, Equations 5
from the second equals the corresponding score from the first, and 6).
multiplied by — 1. Mean PA (the mean of the first distribution) is According to the bipolar model, what is the correlation between
equal to the mean NA (the mean of the second distribution) mean hot and mean cold, calculated across cities? When strictly
multiplied by — 1. The theoretic correlation between mean PA and unipolar response scales are used, the bipolar model does not yield
mean NA across individuals would be —1.00 (in error-free data). a single expected correlation between mean hot and mean cold. It
Suppose, however, that strictly unipolar response scales are is difficult to prove a lack of prediction, but we can show that
used. PA is measured with a rating scale that concerns only cases bipolarity is consistent with correlations ranging from -1 to +1.
above the zero (neutral) point of the valence dimension. NA is First, consider two cities that differ in mean on the overall
measured with a rating scale that concerns only cases that fall Temperature Distribution but have the same variance. The result
below the zero point of the same valence dimension. (In this case, might look like what is shown in Figure 7. Oslo is cold. Few days
zero corresponds to the neutral point, and the custom is to assign are above the zero point (worldwide median), and many days are
positive numbers to increasing degrees of NA.) Now, what are below. So mean hot is small, and mean cold is large. Nairobi is hot.
mean PA and mean NA, and what is their theoretic correlation Most days are hot, and few are below the world median. Mean cold
across individuals? Because this is an especially important case, is far below mean hot. For these two cities, mean cold and mean
we dwell on it at length; but if your intuition is that the upper hot are correlated — 1.00.
portion of the Affect Distribution puts no constraints on the lower More generally, imagine a fictional world in which this study is
portion, you have our bottom line. A more formal treatment of this conducted. All cities have the same variance but differ in their
topic is given in the Appendix (where we also demonstrate the means. A city that is hot in the summer is warm in the winter. A
parallel between our analysis and that of Diener et al., 1985). The city that is cool in the summer is very cold in the winter. Some-
importance of this question led us to illustrate our analysis with thing like this fictional world could exist if we examine cities that
examples based on the bipolarity of temperature. Doing so helps vary in latitude: A city near the equator has a high mean; a city
bring out the nature of mean PA and mean NA when assessed with near one of the poles has a low mean. In this world, the observed
strictly unipolar scales; despite their names, we show that these are correlation between mean hot and mean cold would be negative.
largely measures of the variability of the Affect Distribution. (To translate: According to the bipolar model, if all human beings
Consider the case of temperature and, for the sake of argument, had the same variance on their Affect Distribution and differed
grant that hot and cold constitute a bipolar pair. Suppose that hot only in their mean level, then the larger the mean PA, the smaller
and cold are each measured on strictly unipolar response scales, the mean NA. Across individuals, the two would correlate
such as the following: negatively.)
1. How hot is it right now? The response is zero for tempera- Now consider two cities that differ in variance of temperatures
tures at or below the worldwide annual median and is the actual but have the same mean. Boston and Vancouver yield the same
temperature minus the annual median for temperatures above the overall mean; but in Boston, when it is hot, it is very hot, and when
annual median. it is cold, it is very cold. In Vancouver, in contrast, it is never very
2. How cold is it right now? The response is zero for temper- cold or very hot. Summers are warm; winters are cool. The results
atures at or above the worldwide annual median and is the annual might look like what is shown in Figure 8. For these two cities,
median minus the actual temperature for temperatures below the mean cold and mean hot are correlated +1.00.
annual median. Imagine a fictional world in which this study is conducted. All
Both scales result in positive numbers. Ratings are taken in cities have the same mean but differ in their variance. In this
various cities every day for a year. For each city, mean hot is the fictional world, the heat of the summer just balances the cold of the
mean across days on Scale 1, and mean cold is the mean across winter so that all cities have the same mean. This world would
days on Scale 2. For simplicity, suppose that all raters use the same yield an observed positive correlation between mean hot and mean
zero point for the division into hot and cold (the worldwide median cold. (To translate: Imagine a fictional world in which all people
temperature). Suppose further that temperature is normally distrib- have the same mean on their Affect Distribution but differ in their
uted within each city. Each city then has a Temperature Distribu- variance. Suppose further that the mean is zero. A person who
tion. All scores above the zero point come from one rating scale; experiences moments of great elation also experiences moments of
those below the zero point come from the other. severe misery. A person who is restricted to mild contentment even
The mean of ratings on the hot scale is a measure of the distance at the best of times experiences only mild unhappiness even at the
of that subset of scores from the zero point. As such, it is a worst of times. Brickman & Campbell, 1971, contemplated Hel-
monotonically increasing function of the standard deviation of the son's, 1964, adaptation-level theory and suggested that our world
overall Temperature Distribution. Indeed, under certain highly is such a world. In such a world, mean PA correlates positively
restrictive assumptions (such that the mean of the Temperature with mean NA.)
Distribution is zero and the distribution is normal with a standard Of course, in reality, cities (and people) vary simultaneously in
Oslo
Actual Temperature
Unipolar Cold Scale

+5 +4 +3 +2 +1 0 Unipolar Hot Scale
Mean Cold 0 +1 +2 +3 +4 +5
Oslo MeanHot
Mean Cold
Nairobi
Mean Hot
i
Nairobi
Oslo
Figure 7. Fictional frequency distributions of temperature for Oslo and Nairobi. Both rated hot and rated cold
are assigned positive numbers. In this case, the correlation between mean hot and mean cold is -1.00.
mean and variance. Thus, if we include all four cities of Figures 7 To summarize, we present a case in which bipolarity is assumed
and 8 in one study, the correlation between mean cold and mean to be true: As demanded by bipolarity, in any one place at any one
hot would fall between —1 and +1. These fictional cases thus time, when it is hot, it is,not cold, and when it is cold, it is not hot.
establish that the bipolarity of hot and cold is consistent with a Indeed, any specific temperature rating precludes any other. With
correlation between mean cold and mean hot of —1.00, +1.00, or this assumption, we showed that mean hot and mean cold (hence,
something in between. Although the numbers are fictional for mean PA and mean NA), assessed with strictly unipolar scales,
these cities, there is no reason to think that cities could not exist on could obtain any correlation whatsoever.
this (or some) planet with these climates.
The bipolarity of hot and cold helps show that these statistics Available Evidence
capture real phenomena: If heat were affect and cities were hu-
mans, Oslo would be frequently unhappy, suffering long winters of The available evidence from studies of this design is summa-
discontent. Nairobi would be frequently happy. Boston would be rized in Table 8. The results from the PANAS item pool are given
manic-depressive, with scorching summers of elation followed by separately. Results with other item pools suggest that mean PA and
severe winters of depression. Vancouver would be even-tem- mean NA are negligibly correlated; observed correlations range
pered—her PA would be a mild contentment, her NA would be a from — .23 to +.26. Because bipolarity is consistent with any
mild discomfort. Differences in variance are as important as dif- correlation obtained in a study of this sort, these figures say
ferences in mean in determining an overall correlation. Of course, nothing about bipolarity.
the analysis becomes more complicated in the real world, because What do these results mean? We might speculate that the
the fictional world of temperature ratings had truly unipolar scales, near-zero correlations seen in Table 8 result from a balancing of
error-free measurement, a normal distribution of the underlying forces. Differences among individuals in the mean on their Affect
temperatures, and the same temperature rating to divide hot from Distribution (a force for a negative correlation) are roughly equally
cold. balanced by differences among individuals in the variance of their
Vancouver 3 -r-
Boston
Boston
Actual Temperature (°K)
Unipolar Cold Scale
+5 +4 +3 + 2 + 1 0 Unipolar Hot Scale
Mean Cold
Boston
J 0 +1 +2 +3 +4 +5
Mean Hot
Boston
Mean Cold Mean Hot

Vancouver Vancouver
Figure 8. Fictional frequency distributions of temperature for Boston and Vancouver. Both rated hot and rated
cold are assigned positive numbers. In this case, the correlation between mean hot and mean cold is 1.00.
Affect Distribution (a force for a positive correlation). The diffi- their own Affect Distribution for a specified period of time and to
culty with this line of reasoning is that there are other factors report various facts about that distribution.
influencing the correlation coefficient. Some individuals may To test bipolarity with global ratings of this sort, the researcher
project bipolarity onto an ostensibly unipolar rating scale, thereby faces two requirements. The researcher must state the prediction of
pushing the correlation in a negative direction. On the other hand, an explicit bipolar model for the specific question asked and must
individuals may differ in acquiescence, thereby pushing the cor- demonstrate that humans are capable of answering that question in
relation in a positive direction. (For certain response formats, a a sufficiently valid manner to test the prediction.
mean of repeated measures from the same individual can become As to the first requirement, our bipolar model yields predictions
a highly reliable index of acquiescence.) Of course, random noise only in certain circumstances. Thus, one must assume that human
pulls the correlation toward zero. Thus, there are too many un- judges are exquisitely sensitive to the specific question asked. One
knowns to make much sense of the observed correlation. must know how participants conceive of the particular chunk of
time asked about. Consider four of the questions listed previously:
Aggregation by Participant 1. What was your average level of happiness over the last
In this final case, the participants are never asked about the month? Of sadness? If the response format is strictly unipolar,
moment. Instead, they are asked about large chunks of time. They then, as we have seen in the section on Aggregation by Researcher,
are asked about their feelings over the last few weeks, months, or any correlation between happiness and sadness is consistent with
years, or over their entire life, or about their feelings in general. bipolarity. If the response format is strictly bipolar, then bipolarity
They might be asked the following: What was your average level predicts a theoretic correlation of —1.00, but even this prediction
of happiness? How frequently did you experience happiness? Have is not entirely clear. If a month is not a natural unit for participants,
you ever been happy? What proportion of time were you happy? A then they might not be able to conceive of it as a whole. Instead,
standard between-S correlation is then calculated between the a question about happiness might elicit memories of occasions
global rating for PA and the global rating for NA. In a study of this different from those elicited by the question about sadness. For
sort, the participants are being asked to re-create from memory example, when asked "What was your average happiness?", the
Table 8
Between-Subject Correlations of Mean Positive Affect and Mean Negative Affect
Mean
Study Response format3 N Obs r
PANAS items (ambiguous format likely unipolar)

Watson (1988, Study 1) 2 123 44.5 .05
Watson (1988, Study 1) 2 73 43.9 -.01
Watson (1988, Study 1) 2 80 44.4 .10
Median correlation .05
Other items (ambiguous format likely unipolar)
Diener & Emmons (1984, Study 3) 3 26 70.6 .26
Diener & Emmons (1984, Study 4, Measure 1) 3 42 33.7 -.15
Diener & Emmons (1984, Study 4, Measure 2) 3 42 41.6 .19
Diener & Emmons (1984, Study 4, Measure 3) 3 42 84 .09

Diener & Emmons (1984, Study 5) 3 34 30 -.23

b
Diener, Smith, & Fujita (1995) =212 =52 .04
Median correlation .07
Note. N = number of participants; Obs = mean number of observations made by each participant; mean r = mean within-subject correlation across
participants; PANAS = Positive Affect and Negative Affect Schedule.
"Response format code is described in Table 1.
b
Diener, Smith, and Fujita (1995) asked participant to rate the frequency of positive and negative affect experienced each day using a response format with
the following anchors: 1 = never, 4 = about half the time, 1 = always.
participant might not conjure up the month as a whole but might 4. What proportion of time were you happy? Sad? This is probably
remember the cluster of happy times at the beginning of the month a clearer version of the frequency question. If the participant divides
and therefore report their average intensity. When next asked "What the bipolar continuum into two mutually exclusive parts, then the
was your average sadness?", the participant might remember a dif- bipolar model applies. But if the participant divides the continuum
ferent set of occasions, some sad times toward the end of the month, into three parts, with a neutral section dividing the two extremes, then
and then rate their average intensity. If so, bipolarity becomes mute no mathematical relation holds between any two.
about the possible correlation between happy and sad ratings. The second requirement was that global ratings be sufficiently
2. How frequently did you experience happiness? Sadness? One valid. Of course, validity is not an either-or matter. Humans can
key question is what each respondent takes to be the thresholds for answer the questions listed previously, and their answers undoubt-
happiness, for sadness, and for the neutral region in between. On edly possess more validity than would random guesses. By suffi-
our bipolar model, semantically opposite affect items form one cient validity we mean that the answers are accurate enough that
continuous dimension with a neutral point or region in the center any discrepancy from the predictions of a bipolar model could not
of that continuum. If all participants divide this continuum into two plausibly be attributed to the reconstructive nature of memory or to
mutually exclusive categories and take the neutral point to be just biases or errors of judgment. For example, Schwarz and Clore
a point that never actually occurs, then, roughly speaking, the (1983) found that questions about affect extended over time were
frequency of happiness should be inversely correlated with the influenced by current mood. Such a bias challenges any study
frequency of sadness. We say roughly because the division of about average levels of happiness over an extended period.
affect into separate events is not a natural division. Imagine a man Fredrickson and Kahneman (1993) described various studies in
who feels moderately lousy continuously, except for the odd which participants provided both global affect ratings and
pick-me-up. How is he to answer a question about frequency? moment-by-moment ratings. In general, the global ratings demon-
Strictly speaking, he might say that happiness is moderately fre- strated what Fredrickson and Kahneman called duration neglect:
quent. Sadness is not frequent, but continuous. Consider another The global ratings were insensitive to the proportion of time that
person. She takes the bipolar affective valence dimension to be was pleasant or unpleasant. This bias challenges any study that
implicitly divided into three roughly equal chunks: definitely un- asks about proportions of time. Until sufficient validity of global
pleasant (q), relatively neutral (m), and definitely pleasant ( p ) . ratings is demonstrated, any evidence gathered with this method
The frequency of all three should be related, but any two ( p and remains open to question.
q) need not be. Of the three methods distinguished here for the study of extended
3. Have you ever been happy? Sad? This question forces the affect, this third method is, to us, the least convincing. A review of
rater to break the month into separate parts—to search for a happy published evidence using global ratings would require too much
event and to search separately for a sad event. One bears no guesswork about just how the respondents interpreted the specific
relation to the other, and the bipolar model makes no predictions questions and conceived of the time period stated and would require
here and cannot be tested here. The analogy with temperature too much faith in their answers. Still, we would not discourage studies
holds. Over the last month, has there been a hot day? A cold one? about global ratings. People's answers to questions about extended
Nothing about the bipolarity of the hot-cold dimension pre- affect and the processes used to arrive at those answers are fascinating
cludes 2 hot days, 2 cold days, or 1 of each. and important topics in their own right. If used to study bipolarity,
such data would best be complemented by the method we called lost, bipolarity cannot be assessed. Bipolarity does not specify
aggregation by researcher. The most convincing evidence that an where on the abscissa you will be at some other point in time. It
individual's global ratings are sufficiently valid would be a good does not specify how many happy days or sad days you will have
equivalence of global ratings to the corresponding parameters of the and it does not specify just how happy are the happy days or how
individual's Affect Distribution. sad are the sad days—any more than the bipolarity of hot and cold
predicts the climate in your city. After all, how could it?
Conclusion About Extended Affect
Conclusion
The study of affect extended over time encounters issues of
bipolarity and independence. The findings in this area have been Is a human being a pendulum betwixt a smile and a tear?
seen as a challenge to traditional beliefs, indeed to common sense. Apparently so. Our simple but thoroughly bipolar model of affect
We disagree. provides a good fit to available data. Our review of the evidence
When measurements are taken in certain ways (a within-S turned up little or no substance to the psychometric challenge to
correlation or, for aggregated data, proportions or means from bipolarity. For theories about affective feelings, bipolarity is a
fully bipolar scales), then our bipolar model does provide predic- reasonable assumption. For the routine assessment of affective
tions. The within-S correlations obtained have been consistent with feelings, bipolar response formats are justified. (Of course, for
those predictions, but the other cases either seemed obvious or are tests of bipolarity, bipolar formats cannot be used.)
mathematical necessities, and researchers have not calculated the Like all scientific conclusions, ours is not final but is part of a
correlations in these cases. dialectic. Nothing could seem more obvious than that people do not
In many other cases, the data do not bear on bipolarity. For feel good and bad at the same time. But then it once seemed just as
instance, when strictly unipolar formats are used, a correlation obvious that rocks are solid, that continents stay in one place, and that
between mean PA and mean NA does not test bipolarity. Indeed, pandas are bears. The notion that PA and NA are bipolar opposites
because of the many influences on this correlation, its meaning is must be subjected to careful and continuing empirical scrutiny. Bipo-
difficult to determine and, under the circumstances we are familiar larity is a fundamental assumption in our everyday thinking about
with, the correlation probably should not be calculated. Rather, we affect and in many scientific accounts of affect. In science, all as-
propose what seems to be a much simpler way of looking at this sumptions must be subjected to empirical scrutiny.
area. For each individual, a frequency distribution of affect scores For bipolarity of affect, this scrutiny began when an unexpect-
is created. Then, the parameters of that frequency distribution can edly weak correlation between PA and NA was found in a variety
be examined. Each individual is thus characterized by statistics of research contexts. For over 40 years now, the scrutiny has
familiar to all: mean, variance, skew, and the like. (Larsen, 1992, continued, with much progress and much controversy. We now
discusses how such statistics and others might be put to good use.) think we know why previous conceptual and empirical analyses
It is said in this literature that common sense teaches that mean produced controversy. Further progress (with perhaps less contro-
PA and mean NA are highly negatively correlated. The finding of versy) requires work on two fronts. Basically, the study of affect
a low correlation between them was thus heralded as a counterin- needs better models and better data.
tuitive finding. No evidence has been offered on just what common By better models, we mean greater conceptual clarity, including
sense really says on this matter, and we have no such evidence explicit and precise models of independence, bipolarity, or any other
either. But with an N of 2, we have a guess. Most ordinary people alternative. Past controversy stemmed from the presentation of dif-
do not talk about means and correlations, but here are two ideas ferent versions of independence as if they were compatible or even
that they might endorse: (A) Some people are frequently happy; identical. Independence in one context meant independence of what
others are frequently unhappy. (B) Some people are intense, others were traditionally thought of as opposites, but in other contexts, it
are even-tempered. The intense people experience many moments meant independent components of affect. In yet another context, it
of intense happiness in life but also experience many moments of had to do with the variability in an individual's affect distribution.
intense unhappiness. The even-tempered people experience milder In the past, the bipolar view of affect seemed so obvious that it
happiness but also milder unhappiness. was not analyzed explicitly. And yet, our explicit bipolar model
Our guess is that common sense endorses both of these proposi- yielded surprising predictions about the correlation to be found in
tions. Proposition A notes differences in means among individuals (in various circumstances. As an initial working model, ours required
Diener et al.'s terms, differences in frequency of happiness). Propo- a number of simplifying assumptions and cannot be more than a
sition B notes differences in variance (differences in intensity). If A first approximation. Further conceptual development can be
and B are both true, as seems likely, then common sense is in achieved by stating more realistic bipolar models based, for ex-
harmony with the published evidence and with our analysis. This is ample, on a more complex analysis of the semantics of affect. Our
not to say that common sense is correct, but nothing so far challenges model explicitly concerned affective feelings, and part of the
common sense (as we conceive it) on this matter. controversy stemmed from confusion over the definition of affect.
Put differently, bipolarity says that when you are happy, you are We distinguished feelings from thoughts, and the study of thoughts
not sad and that when you are sad, you are not happy. (Just as might well yield different results. For example, nothing we have
when you are hot, you are not cold.) Indeed, strictly speaking, the said in this article contradicts the notion that one can recognize
claim is very strong: Being at one point on the abscissa of an both good and bad aspects of the same object or event.
Affect Distribution precludes being at any other point—at a given By better data, we mean that the field needs better methods to
moment. When ratings are aggregated across time (as in calculat- test the models developed. Empirical testing of bipolarity turned
ing a mean), this temporal linkage can be lost. When the link is out to be much more difficult than was imagined. This is not to say
that bipolarity is nonfalsifiable. Bipolarity is a strong empirical Bentler, P. M. (1969). Semantic space is (approximately) bipolar. Journal
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depression with short simple versus long and sophisticated scales. Jour-
memory. Tellegen et al.'s (1994, in press) alternative suggestion of

direct assessment of systematic error should be examined, as nal of Research in Personality, 18, 81-98.
Bush, L. E., II. (1973). Individual differences multidimensional scaling of
should their recommendation to use polychoric correlations.
adjectives denoting feelings. Journal of Personality and Social Psychol-
We were unable to predict the precise correlation between PA
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inability stems not from problems in the notion of bipolarity but and evaluative space: A critical review, with emphasis on the separa-
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data supporting bipolarity rely on an ambiguous response format. Carroll, J. M., & Russell, J. A. (1998). It is time to get strict with response
Provided that correct predictions are derived from an explicit format. Unpublished manuscript.
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glected but necessary test of bipolarity. An alternative research bipolarity. Manuscript submitted for publication.
agenda could focus on how respondents interpret ambiguous for- Carroll, J. M., Yik, M. S. M., Russell, J. A., & Feldman Barrett, L. (in
mats. A complementary agenda could focus on the process press). On the psychometric principles of affect. Review of General
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Carver, C. S. (1996). Some ways in which goals differ and some implica-
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cient. Our model provides predictions about cases when the rela- Harcourt Brace Jovanovich.
tion between NA and PA is not expected to be linear. For example, Clyde, D. J. (1963). Manual for the Clyde Mood Scale. Coral Gables, FL:
when strictly unipolar response formats are used (and other as- Biometric Laboratory, University of Miami.
sumptions are made), our model predicts that the bivariate fre- Costa, P. T., Jr., & McCrae, R. R. (1980). Influence of extraversion and
quency distribution will have a specific L shape. In addition, the neuroticism on subjective well-being: Happy and unhappy people. Jour-
marginal frequencies of both separate unipolar scales will have a nal of Personality and Social Psychology, 38, 668-678.
more positive skew than the corresponding bipolar distribution Cuthbert, B. N., Bradley, M. M., & Lang, P. J. (1996). Probing picture
(Carroll et al., 1997). Bipolarity should be examined through perception: Activation and emotion. Psychophysiology, 33, 103-111.
Davison, M. L., & Srichantra, N. (1988). Acquiescence in components
univariate and bivariate frequency distributions.
analysis and multidimensional scaling of self-rating items. Applied Psy-
The major challenge to bipolarity has been psychometric, and
chological Measurement, 12, 339-351.
our analysis was therefore psychometric. Perhaps other approaches Diener, E., & Emmons, R. A. (1984). The independence of positive and
will raise other challenges. For example, Cacioppo and Berntson negative affect. Journal of Personality and Social Psychology, 47,
(1994) suggested that separate neurological processes underlie PA 1105-1117.
and NA. If so, and even if PA and NA are typically bipolar, they Diener, E., & Iran-Nejad, A. (1986). The relationship in experience be-
might be separable in specific circumstances. That possibility tween various types of affect. Journal of Personality and Social Psy-
should be a high priority for empirical tests. For example, the chology, 50, 1031-1038.
evidence we have reviewed in this article came largely from asking Diener, E., Larsen, R. J., Levine, S., & Emmons, R. A. (1985). Intensity
respondents how they felt while sitting in a laboratory filling out a and frequency: Dimensions underlying positive and negative affect.
questionnaire. Perhaps different results would occur if different Journal of Personality and Social Psychology, 48, 1253-1265.
occasions were selected, such as moments of great emotion (but Diener, E., Smith, H., & Fujita, F. (1995). The personality structure of
see Diener & Emmons, 1984) or times of conflict or decision. affect. Journal of Personality and Social Psychology, 69, 130-141.
Eich, E. (1995). Searching for mood dependent memory. Psychological
Perhaps different results would occur if affect were made opera-
Science, 6, 67-75.
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Appendix
Statistics of Aggregated Scores From Strictly Unipolar Scales Formed From a Bipolar Continuum
According to our bipolar model, positive affect (PA) and negative zero and are equal to zero for values greater than or equal to zero.
affect (NA) constitute a single continuum, referred to here as valence. Therefore, for any single momentary rating,
Zero is the dividing point between positive and negative valence, with
scores to the left assigned negative numbers and scores to the right Xb = Xp-Xn. (Al)
assigned positive numbers. A person's affect at any moment (Xb) falls Similarly, for the means of a population of momentary ratings,
at a single point on the valence dimension. If an individual provides a
set of momentary affect ratings on this valence continuum (e.g., once a /xfo = [Lp — fj.n. (A2)
day for a year), then a frequency distribution of scores can be created.
The valence dimension is the abscissa; frequency is the ordinate. We In this Appendix, we first show how mean PA (/xp) and mean NA (
refer to the resulting frequency distribution as the individual's affect can be expressed as a function of the mean (fib) and standard deviation
distribution. (ub) of the affect distribution. Then, we show why the bipolar model of
affect is consistent with any reported correlation between mean PA and
Suppose, however, that positive affect (Xp) is measured with a strictly
mean NA over time. Finally, we explore the relationship between the
unipolar rating scale that concerns only cases above the zero (neutral) point of
treatment developed here and the model developed by Diener, Larsen,
the valence dimension (i.e., Xp = 0 for Xb £ 0). Negative affect (Xn) is
Levine, and Emmons (1985). In our treatment, we assume each individual
measured with a strictly unipolar rating scale that concerns only cases that fall
affect distribution is normally distributed with mean ph and standard
below the zero point of the same valence dimension (i.e., Xn = 0 for Xb a 0).
deviation ab. (Note: /xfc is not necessarily the point dividing positive from
In assessing Xn, zero corresponds to the neutral point on valence, and it is the negative on the valence dimension.)
custom to assign positive numbers to increasing degrees of NA. Now what is
mean PA (ftp) and mean NA (fin) when unipolar scales are used, and what is
Means on the Strictly Unipolar Scales
their expected correlation across individuals?
According to our bipolar model, scores on the strictly unipolar scale of Mean PA (up) and mean NA (/in) are each weighted means of the
PA (Xp) are identical to those of the valence dimension (Xb) for values appropriate sections of the affect distribution. Mean PA is the mean of
greater than zero and are equal to zero for values less than or equal to zero. scores on the affect distribution that fall on the positive side of the valence
Scores on the strictly unipolar scale of NA (Xn) are identical to the dimension, weighted by the proportion of cases falling therein. Mean NA
absolute value of scores on the valence dimension (Xb) for values less than is the absolute value of the mean of scores on the affect distribution that fall
on the negative side of the valence dimension, weighted by the proportion

of cases falling therein. P= (All)
The computational procedure requires three steps. First, we calculate the
mean z score of the part of the affect distribution that falls on the positive
side of the valence dimension (tipz*) and the mean z score of the part of Mean PA and mean NA can now be written as functions of the mean and
the affect distribution that falls on the negative side of the valence dimen- standard deviation of the affect distribution such that
sion (finz*). Following the general formula for obtaining the mean z score
for a given section of the standard normal curve,
Ub -
(fib) \ -^= I e-*'ndx 1 (A12)
»pz* = —(pT~ (A3)
J27r
',-^>
and
and
Ub -
(A4) » /(2 > (ah)
where Ub is the height of the normal curve corresponding to the z score of

>dx - (fib). (A13)
the affect distribution for the point that divides positive from negative on
the valence dimension, Ub<x> is the height of the normal curve correspond-
ing to the z score of the affect distribution for the point that equals the The formula for fin may appear different from that of Equation A6. This
largest possible score on the positive side of the valence dimension (this z is simply because we multiplied out the expression (fib)(\ - p).
score will always be equal to °° and the corresponding height on the normal
curve will always be equal to zero), and p is the proportion of cases from Mean PA and Mean NA When fj.b Equals Zero
the affect distribution that fall on the positive side of the valence dimension
(1 - p equals the proportion of cases that fall on the negative side of the Equations A12 and Al3 represent the general case, where the mean (fib)
valence dimension). and standard deviation (crb) of the affect distribution can equal any value.
Next, we convert the mean z scores (fnpz* and finz*) to mean raw For the special case where fib equals zero, the equations are very much
scores (ftp* and /u,n*) based on the mean (tib) and standard deviation simplified. If>i equals zero, e-«-<**'"*)<-c*/°*»'<2> equals l wd drops
(crb) of the affect distribution, thus from the equation; fib (p) and fib (I — p) both equal zero and drop from
the equation. In this case, tip and tin are equivalent, and the equations for
tip* = (tipz*) (crb) + fib (A5) tip and fin are simplified to the linear function of crb such that
and (A14)
fin* = (finz*) (crb) — (A6)
Mean PA and Mean NA When crb Equals Zero
Finally, to obtain the mean score on the unipolar PA scale (tip), we
weight (tip*) by (p). Similarly, to obtain the mean score on the unipolar If crb equals zero, then all scores fall on a single point of the valence
NA scale (fin), we weight (fin*) by (1 - p). If we replace fipz* and dimension. In this case, either tip or fin will equal tib, and the other will
finz* with the formulas shown in Equations A3 and A4, then equal zero. Because all scores fall on one point of the valence dimension,
(p) will equal I if fib is on the positive side of the valence dimension and
tip = (Ub)(crb) + (tub) (p) (A7) will equal 0 if fib is on the negative side of the valence dimension. When
the scores fall on the positive side of the valence dimension, tip equals fib
and
and jxn equals zero. When the scores fall on the negative side of the
tin = (Ub)(crb) + (fib) (p) - ph. (A8) valence dimension, fin equals — fib and tip equals zero.
We introduced Ub and p to compute fip and fin. Fortunately, both Ub Correlation Between Mean PA and Mean NA
and p can be computed from the mean (fib) and standard deviation (crb)
of the affect distribution. To compute Ub in terms of fib and crb, we note Each individual is characterized by an affect distribution with its own
that Ub is a simplified version of the function of the normal distribution, statistical properties including tib and crb. The question addressed here
concerns the correlation across individuals between fin and tip. We show
U(x) = (2-rrcr2)- (A9) that the bipolar model is consistent with a correlation as low as — I and as
high as +l. We turn to special cases to demonstrate our position. In the
where U(x) is the height of the normal curve above any given value for the
first case, fib is held constant across participants (i.e., fib is the same for
variable X, e is the base of the system of natural logarithms (i.e., e =
all participants), and the predicted correlation between mean PA and mean
2.71828 . . .), and fj, and a are the mean and standard deviation of the
NA is shown to be +l. In the second case, trb is held constant across
variable X.
participants (i.e., crb is the same for all participants), and the predicted
In our treatment we use z scores; X = —fib/crb = Zv (the z score of the
correlation between mean PA and mean NA is shown to range from — .467
affect distribution for the point that divides positive from negative on the
to — I, depending on the magnitude of crb.
valence dimension), /x = 0, and <j = 1. As a result of these simplifications,
Ub = (2-ir)-" 2 e (AlO) Holding fib Constant
The proportion of cases that fall on the positive side of the valence Rearranging Equation A2 shows that fip = fin + fib. If fib is a
dimension, p, can be computed from the cumulative distribution function constant, then adding or subtracting a constant does not effect a correlation.
of the normal curve, which can be expressed Thus, fip and fin will show a perfect positive relationship.
(Appendix continues)
Holding crb Constant (of PA) and intensity were proposed as two separate, indeed uncorrelated,
dimensions. In Diener et al.'s study of aggregated ratings, mean PA was
If we hold crb constant across participants, then the correlation between found to be weakly correlated with mean NA, but the same correlation
mean PA and mean NA will depend on the magnitude of crb. As crb became substantially negative when intensity was controlled through par-
approaches zero, the correlation between mean positive and mean negative tial correlation. This last result was presented as a restoration of consis-
approaches -.467. As crb approaches infinity, the correlation between tency with bipolarity found for momentary affect. In this section, we
mean positive and mean negative approaches —1.00. First, look at what analyze Diener et al.'s account in terms we have introduced already: the
happens when crb approaches zero. We have defined Zv as -^blcrb, proportion p and the mean and variance of each individual's affect distri-
where jxf> and crb are the mean and standard deviation of the affect bution. We assume that affect is measured with perfectly valid strictly
distribution. As crb approaches zero, Zv approaches plus or minus infinity unipolar scales consisting of exact antonyms.
depending on the valence of ph. Now return to Equations A10 and All. In Diener et al.'s (1985) analysis, an individual's mean PA is the mean
As Zv approaches plus infinity, both Ub and (p) approach zero. As Zv of the positive scale across days. Mean NA is the mean of the negative
approaches minus infinity, Ub approaches zero and (p) approaches 1. If scale across days. As we have seen, with truly unipolar scales, bipolarity is
jib is positive, substituting these values in Equations A7 and A8 gives consistent with any correlation between these two scores. Therefore Diener
et al.'s empirical result of a correlation near zero is already consistent with
(0) (A15)
bipolarity and not in need of reconciliation with results from momentary
and ratings; we return to this result shortly.

Diener et al. (1985) defined frequency (of positive affect) as the pro-
fin = (0)(0) + v-b (0) - \i.b. (A16) portion of days on which the PA rating is greater than the NA rating. Thus,
in our terms, frequency is the proportion p. On the assumption that each
If \Lb is negative, substituting these values in Equations A5 and A6 gives
individual's distribution is normal, frequency can be defined in terms of the
lip = (0)(0) + ,jib (1) (A17) mean and standard deviation of the individual's affect distribution (see
Equation All). Furthermore, when the standard deviation is held constant,
and frequency is a monotonically increasing (although not a linear) function of
the mean of that individual's affect distribution.
= (0)(0) + \Lb (1) - fib. (A18)
Diener et al. (1985) defined positive intensity as mean PA on those days
It follows from Equations A15-A18 that whenever mean PA is not equal to when the positive score was greater than the negative score. Negative
zero, mean NA equals zero and that whenever mean NA is not equal to zero, intensity is mean NA on those days when the positive score is less than the
mean PA equals zero. It also follows that mean PA and mean NA are always negative score. On the assumption that each individual's distribution is
nonnegative values. Now, if we assume \ib is normally distributed with mean normal, positive intensity and negative intensity can be defined in terms of
jj.^ and standard deviation cr^, then the scatter plot of mean PA and mean NA the mean and standard deviation of the individual's affect distribution (see
would be L-shaped like the one shown in Figure 4B. Half the values for mean Equations A5 and A6). So far in this discussion, we have assumed that the
PA form half a normal distribution, the other half of the values equal zero. The affect distribution is normally distributed and is therefore symmetric. In
same is the case for mean NA. In this case, the predicted correlation between fact, a person's affect distribution need not be symmetric, and the variance
mean PA and mean NA follows the derivation outlined in Footnote 2 (see to the left of the zero point need bear no relation to the variance to the right
Carroll, Russell, & Reynolds, 1997) and is equal to -.467. of the zero point. Therefore, it is an empirical finding, not a mathematical
Now, look at what happens when crb approaches infinity. We have defined necessity, when Diener et al. (1985) found that positive intensity correlated
Zv as — pii/oi, where nb and crb are the mean and standard deviation of the .70 (p < .01) with negative intensity.
affect distribution. So as crb approaches infinity, Zv approaches zero. Now Diener et al. (1985) defined overall intensity as the mean across all days
return to Equations AID and All. As Zv approaches zero, Ub approaches for the most intense score of each day, whether it was on the PA scale or
(2ir)~l/2 and (p) approaches .5. If we place these values into Equations A7 and the NA scale. They showed that when overall intensity is statistically
AS, mean PA and mean NA could be written like this: controlled through partial correlation, the correlation between mean PA
and mean NA became substantial and negative. This result can be dem-
ftp = (2Tf)-"2(crb) + n,b (.5) (A19) onstrated mathematically from the formula for the partial correlation be-
cause overall intensity is highly correlated with both mean PA and mean
and
NA. (If we assume affect is bipolar and that truly unipolar scales are used,
= (2iryu2(crb) - pb (.5). (A20) overall intensity is the sum of mean PA and mean NA.) The resulting shift
is a mathematical necessity and therefore neither supports nor refutes an
l2
Because (2ir) ' (crb) is a constant and adding or subtracting a con- empirical thesis of bipolarity.
stant does not effect a correlation, y.p and /xn in this case show a perfect In short, Diener et al.'s (1985) account is phrased in more substantive
negative relationship. terms, ours in more mathematical terms, but if we make certain assump-
To summarize, we have shown that mean PA and mean NA can be tions, the two converge. Because every psychologist is familiar with the
derived from the mean and standard deviation of the affect distribution. concepts of mean and standard deviation, we suggest that frequency and
Furthermore, we have demonstrated that a bipolar model of affect is intensity can be clarified through their translation into our terms and vice
consistent with correlations between mean PA and mean NA ranging from versa. This translation allows a straightforward way of investigating the
-1 to +1. statistical and substantive properties of both accounts.
Diener, Larsen, Levine, and Emmons (1985)

Received December 16, 1996
Diener et al. (1985) proposed an analysis of affect extended over time Revision received June 19, 1998
consistent with ours, although phrased more psychologically. Frequency Accepted June 23, 1998 •
MBAZC511
Module 1 Individual Behavior

Perception and Individual Decision Making
BITS Pilani Lecture- 4 and 5 Date : 06 and 12th Feb 2022
Pilani Campus Total Slides : 44 Dr. Shikha Sahai
BITS Pilani
Pilani Campus
Individual Behaviour
Perception and Individual Decision Making
Learning Objectives
– Define perception and explain the factors that influence it.

– Explain attribution theory and list the three determinants of
attribution.
– Identify the shortcuts individuals use in making judgments about
others.
– Explain the link between perception and decision making.
– Apply the rational model of decision making and contrast it with
bounded rationality and intuition.
– List and explain the common decision biases or errors.

What Is Perception?
• A process by which individuals organize and interpret

their sensory impressions in order to give meaning to
their environment.
• People’s behavior is based on their perception of what

reality is, not on reality itself.
4
Perception
5
Factors That Influence Perception

What can you tell about the lady in the picture
BITS PilaniPilani Campus

Who do you think would be a
more successful Doctor

Frequently Used Shortcuts in Judging Others
Selective Perception
People selectively interpret what they see on the basis of their interests,
background, experience, and attitudes
Halo Effect
Drawing a general impression about an individual on the basis of a single
characteristic
Contrast Effect
Evaluation of a person’s characteristics that are affected by comparisons with
other people recently encountered who rank higher or lower on the same
characteristics
Stereotyping
Judging someone on the basis of one’s perception of the group to which that
person belongs – a prevalent and often useful, if not always accurate,
generalization

Review
1. You are an HR manager, who is taking an interview. The

first person who enters for interview is brighter than
other candidates. And the immediate next person is an
average. But, due to what reason will he be considered
as a weaker candidate?
a) Halo effect
b) Stereotyping
c) Contrast effect
10
Specific Shortcut Applications in Organizations
• Employment Interview
– Perceptual biases of raters affect the accuracy of interviewers’
judgments of applicants
– Formed at a single glance: 1/10th of a second!
• Performance Expectations
– Self-fulfilling prophecy (Pygmalion effect): The lower or higher
performance of employees reflects preconceived leader
expectations about employee capabilities
• Performance Evaluations
– Appraisals are often the subjective (judgmental) perceptions of
appraisers of another employee’s job performance
– Critical impact on employees

Review
1. A teacher, who expects a student to be lazy, is likely to

treat that student in such a way that it draws out the
very same response he or she expects. This is Self
Fulfilling Prophecy.
1. True
2. False
12
Reflection Time
Think of a recent success, List the causes
Think of a recent failure, List the causes

Person Perception: Attribution Theory
Suggests that perceivers try to “attribute”

the observed behavior to a type of cause:
– Internal – behavior is believed to be under

the personal control of the individual
– External –the person is forced into the
behavior by outside events/causes

Attribution Errors
• Fundamental Attribution Error

The tendency to underestimate the influence of external
factors and overestimate that of internal factors.
• Self-Serving Bias
Occurs when individuals overestimate their own (internal)
influence on successes and overestimate the external
influences on their failures.

Determinants of Attribution
Distinctiveness – whether an individual

displays different behaviors in different
situations (the uniqueness of the act in
different situations)
Consensus – does everyone who faces a
similar situation respond in the same way
as the individual did
Consistency – does the person respond the
same way over time
Determination of Attribution

Determinants of Attribution
• Distinctiveness: Situation
• Consensus: People
• Consistency: Time
Mohit had a heated argument with a colleague and in anger

he hit hard on the table and the table broke. His manager
made a complaint to you that Mohit should be punished for
his actions. Use attribution theory to decide your course of
action.
Case Study
Shiva has been working with Redmi for four years now. He is a computer engineer from one
of the leading technical institutes and has always succeeded in different individual work
projects assigned to him. Pleased with his dedication and conscientiousness he was assigned
to work with a team on an important project - Athithi (A Mobile App for conducting
customer satisfaction for Railways) to be launched in April 2022. Shiva’s role in the project
was to conduct technical testing of the Mobile App. Other tasks to be done were to
understand the clients need, purchase of the software to prepare the App, design the App and
take clearance from client before launch. However, Shiva’s recent performance had become
a cause of worry for Mahendra (his new manger). Shiva had not met the deadline of
completing the product testing that was required in August. Mahendra was not happy with
his performance and comes to you for advice. He tells you how lousy has been Shiva’s
approach towards deadline and expresses his displeasure about the number of mistakes he
has made in program testing. You speak with Shiva to understand his side of the story and he
shares that the delay is because the desired software came late and was faulty. During review
meeting with other team members, you realize that others were also facing implementation
issues and the deadline of the entire team will not be met.

Perceptions and Individual Decision Making
Decision Making Process:

1.Identification of a Problem
2. Identifying Alternatives to Solve the Problem
3. Evaluating Alternatives
4.Choosing the most appropriate alternative
Perception influences:
All the steps of Decision Making
6-20

The Link Between Perception and Decision Making
Decision making occurs as a reaction to a

perceived problem.
• Perception influences:
– Awareness that a problem exists
– The interpretation and evaluation of information
– Analysis and conclusions

Rational Decision-Making Model
1. Define the problem.

2. Identify the decision criteria.
3. Allocate weights to the criteria.
4. Develop the alternatives.
5. Evaluate the alternatives.
6. Select the best alternative.
Seldom actually used: more of a goal than a practical
method

Assumptions of the Rationality Model
• Complete knowledge of the situation

• All relevant options are known in an
unbiased manner
• The decision-maker seeks the highest
utility

Bounded Rationality
The limited information-processing capability of
human beings makes it impossible to assimilate and
understand all the information necessary to
optimize
So people seek solutions that are satisfactory and
sufficient, rather than optimal (they “satisfice”)
Bounded rationality is constructing simplified
models that extract the essential features from
problems without capturing all their complexity

Decision Making in Bounded Rationality
Simpler than rational decision making,

composed of three steps:
1. Limited search for criteria and alternatives –

familiar criteria and easily found alternatives
2. Limited review of alternatives – focus
alternatives, similar to those already in effect
3. Satisficing – selecting the first alternative that
is “good enough”

Intuitive Decision Making
• A non-conscious process
created out of experience
• Increases with experience
• Can be a powerful
complement to rational
analysis in decision making
• Gut feeling

Common Biases and Errors
• Overconfidence Bias
Past success strengthens our tendencies to be influenced
by overconfidence
Examples:
- Companies like Nokia, Dalda, Vespa doomed because
they were overconfident of their product
Ways to overcome overconfidence bias: Collect
more information, question your strategy in the changed
environment, force yourself to develop alternatives

Anchoring Bias
A tendency to fixate on initial information and fail to adequately adjust
for subsequent information
When an anchor is externally set (that is, not set by the decision
maker), the anchor leads to a biased search for information
compatible with the anchor
For example, when you see a dress whose list price is dramatically
above its market value, the high anchor is likely to lead you to see
the positive features of the dress that are consistent with a high
valuation.
In contrast, when someone develops her own anchor, she will start with
that anchor and insufficiently adjust away from it.
For example Decision to let Titanic go on its Voyage!
Research supports for the presence of the anchoring effect among
practicing auditors of major accounting ﬁrms
• Randomness Bias (Superstitions)
Creating meaning in random events (not going to buy anything on
Saturday)
• Availability Bias
The tendency to base judgments on information that is readily
available. Readiness of examples (due to recency). Information
available on social media influences our perception of a given
situation.

• Escalation of Commitment
Staying with a decision even when there is clear evidence that it is wrong
- The need to be right
- It might have worked in the past
- Public image
- Emotional Attachment
• Hindsight Bias
The tendency to believe falsely that we could have accurately predicted
the outcome of an event after that outcome is already known

Pause and Ponder
Is it possible to take rational decision (overcoming all

perceptual errors and biases)
31
Reducing Biases and Error in Decision Making
1.Slow down your decision making process.
2. Focus on Goals (Look for Objective Information).
3. Use decision analysis tools.
4. Don’t try to create meaning out of randomness.
5. Increase your options.
6. Do critical & logical thinking (what reasons do I have to believe a

particular thing). Logic, reasons, statistics, 3 Whys.
7. Develop systems and practices that force you through above process
for eg. Set timelines, develop at least 3 alternatives,.
8. Take responsibility of your actions.

32
Organizational Constraints on Decision Making
• Performance Evaluation
– Managerial evaluation criteria influence actions
• Reward Systems
– Managers will make the decision with the greatest personal
payoff for them
• Formal Regulations
– Limit the alternative choices of decision makers
• System-Imposed Time Constraints
– Restrict ability to gather or evaluate information
• Historical Precedents
– Past decisions influence current decisions

Individual Differences in Decision Making
• Personality
– Conscientiousness may effect escalation of
commitment
– High achievers are likely to increase commitment
– Self-Esteem
• High self-esteem people are susceptible to self-
serving bias

Ethics in Decision Making
• Utilitarianism
• Rights View
• Justice View

Utilitarianism
Utilitarianism as an ethical system is
propounded by Jereme Bentham (1748-1832)
and John Stuart Mill (1806-1873). Utilitarianism
is based on the concept of utility. Utility means
usefulness.
Utilitarianism is concerned with consequences,

but the utilitarian seeks the greatest good for
the greatest number of people.

Utilitarinism
• Making decision solely on outcomes. It
suggests the option that can provide greatest
good to greatest number of people should be
chosen.
• Most dominant principle in business decisions.
• It is consistent with goals such as productivity,
profits, efficiency.
• Disadvantage: It can sideline rights of some
individual, especially minorities
3-37
Rights view
• Option that protects the rights and
privileges of people should be chosen
• Basic rights such as freed of speech, right
to privacy
– Protects whistleblowers
• It can create legal environment that can
hinder productivity and efficiency
3-38
Justice View
• Enforce and impose rules fairly and impartially
to ensure justice
• Three types of justice
– Distributive justice
– Procedural justice
– Interactionalist justice
• It can protect the minority, seniority and
average performance
• But it can create a sense of entitlement and
reduce productivity, innovation and risk taking
3-39
Final Thoughts
• Decision makers are comfortable with

utilitarian principle, it suits the interest of
organization and stakeholders
• Balance between utilitarism and Rights
and justice view is desired
• Universal Principal of ethics is “Do unto
others as other do unto you”.
3-40
Case Study
Joe is an MBA graduate. He had specialized in Marketing and Advertising. He has
just joined XYZ Ad Agency. Though Joe is a competent and innovative person with
outstanding credentials, yet he got this job with great difficulty due to recession in
the job market. He had somehow managed to find this job through a contact of
his uncle. The chairman of the company wanted him to somehow persuade a
well-known newspaper to avoid reporting on a controversial corruption charge
against him and instead write a favorable editorial. Joe was not convinced that his
chairman was clean in the case; on the other hand, the newspaper was willing to
accommodate the chairman, if the Ad Agency came out with a large size
advertisement. Recently, Joe’s father died, leaving behind, Joe, his mother and
three sisters. Joe badly needs the job to support himself and his family
• Analyze Joe’s position from various ethics principles.

• According to you what should Joe do?
3-41
Summary and Managerial Implications
• Perception:
– People act based on how they view their world
– What exists is not as important as what is believed
– Managers must also manage perception
• Individual Decision Making

– Most use bounded rationality: they satisfice
– Combine traditional methods with intuition and creativity for
better decisions
• Be aware of and minimize biases

Application of the concepts
Read newspaper, Facebook, Twitter etc. to look for

perceptual errors and decision making biases. Pick any two
incidents and dissect them based on the concepts
discussed in this session.
43
Thank you
BITS Pilani
Pilani Campus
MBAZG511

Personality and Values
BITS Pilani
Pilani Campus Date : 19/02/22 Total Slides : 59 Dr. Shikha Sahai
BITS Pilani
Pilani Campus
Personality and Values
Learning Objectives
– Define personality, describe how it is measured, and explain the

factors that determine an individual’s personality.
– Identify the key traits in the Big Five personality model.
– Demonstrate how the Big Five traits predict behavior at work.
– Describe the Myers-Briggs Type Indicator personality
framework and assess its strengths and weaknesses.
– Identify other personality traits relevant to OB.
– Define values, demonstrate their importance, and contrast
terminal and instrumental values.
– Compare generational differences in values, and identify the
dominant values in today’s workforce.
3
What Is Personality?
Definition
– The sum total of ways in which an individual reacts
and interacts with others.
– The measurable traits a person exhibits
• Measuring Personality
– Most common method: Self-reporting surveys
– Observer-ratings surveys provide an independent
assessment of personality – often better predictors
– Helpful in hiring decisions, development
4
Personality Determinants
• Heredity
– The “heredity approach” argues that genes are the source of
personality
– Physical stature, facial attractiveness, gender, temperament,
muscle composition and reflexes, energy level and bio-rhythms
• Environmental
– Personal experiences with family, school, other social institutions
have an impact on personality

5
Kluckhorn and Murray’s
1950 Model of Personality
• Universal : We are all alike in some ways
• Group :Everyone in my group is alike in some

ways--but different from non-group
• Individual :We are each unique in some ways

Personality Traits
• Personality Traits
– Enduring characteristics that describe an individual’s behavior
– The more consistent the characteristic and the more frequently it
occurs in diverse situations, the more important the trait.
• Two dominant frameworks used to describe personality:

– Big Five Model
– Myers-Briggs Type Indicator (MBTI®)
7
Take a Personality Test
• https://bigfive-test.com/test
8
What is the Big Five?
• Represents Five Personality Traits or
Personality Dimensions
• Each of the Big Five dimensions is like a
bucket that holds a set of traits that tend to
occur together.
• The definitions of the five super factors
represent an attempt to describe the common
element among the traits, or sub-factors,
within each "bucket." The most commonly
accepted buckets of traits are those
developed by Costa and McCrae (1992).
Big 5 Personality Trait
Neuroticism

Big Five Personality Traits
Negative affectivity – tendency to
experience negative emotions and
moods, feel distressed, and be critical of
oneself and others
The term Negative Affectivity was replaced
by Emotional Stability
Number and strength of stimuli required to
elicit negative emotions in a person
3-11
Extraversion – tendency to
experience positive emotions and
moods and feel good about oneself
and the rest of the world
3-12
Openness to Experience – tendency to be
original, have broad interests, be open to
a wide range of stimuli, be daring and
take risks
Termed Intellect / Imagination in the test
you undertook
3-13
Agreeableness –
tendency to get
along well with
others
3-14
Conscientiousness

Situation
• Cesar is a CEO of a highly successful construction company
conglomerate- Marque Contractors Private Limited.
• Shelly is president of one of the division of Marque Contractors. Due to
coronavirus outbreak, is division is not doing well in recent times.
Cesar continually picks on Shelly for failing to meet budgets and
deadlines, and Shelly in frustration responds that the division is
performing as well as the market can permit. Shelly does not feel
trusted by Cesar and Cesar is losing confidence in Shelly
• Cesar’s Personality: Low E, Low O, High C
• Shelly’s Personality: High E, High O, Moderately low C
• Analyze their relationship based on Big 5 Model
Situation
• Analysis:
• During down market, Shelly has no outlet for O, and
her low appetite for efficiency (moderate C) is
exposed.
• Cesar being low on extroversion (E), low on
Openness to experience (O) and high on efficiency
( High C) is finding faults in her but not able to
suggest new ways of doing things
• Cesar needs to find ways to communicate more
with Shelly. He needs to deal with Shelly’s
frustration (O). She can be involved in finding new
ways of facing the coronavirus crisis and finding
ways to improve the bottom line.
• Shelly needs to improve her conscientiousness
Situation: Multi Team (16 member team)
Neuroticism Resilience Responsive Reactive

3 9 4
Extroversion Introvert Ambivert Extrovert
2 1 13
Openness Preserver Moderate Explorer
3 4 9
Agreeableness Challenger Negotiator Adaptable
4 2 10
Consciousness Flexible Balance Focused

2 2 12
1. High Responsiveness indicates team will be emotionally balanced

2. Abundance of extraverts calls for strict norms on how to conduct meetings
3. Abundance of O calls for detailed minutes of the meeting with follow-up
4. High number of adaptive: Need to ensure that challengers get to be heard
5. High C can take time to bring perfection: Need to introduce timelines for
decisions
How Do the Big Five Traits Predict
Behavior?
• Research has shown this to be a better framework.

• Certain traits have been shown to strongly relate to higher
job performance:
– Highly conscientious people develop more job
knowledge, exert greater effort, and have better
performance.
– Other Big Five Traits also have implications for work.
• Emotional stability is related to job satisfaction.
• Extroverts tend to be happier in their jobs and have
good social skills.
• Open people are more creative and can be good
leaders.
• Agreeable people are good in social settings.
Activity
• Write your name on a piece of paper.
• Now write it again with your other hand.

Preferences - NOT Skill
• MBTI is about preferences, not about
concrete, specific types of personality.
• People have preferences for the various

types, but they have ability in all the types.
Preference Dichotomies
Extraversion ENERGY Introversion
Sensing INFORMATION Ntuition

I
Thinking DECISIONS Feeling
Judging LIFESTYLE Perceiving

The Myers-Briggs Type Indicator
• Participants are classified on four axes to determine one of 16

possible personality types, such as ENTJ.
Sociable and Assertive Extroverted Introverted Quiet and Shy

(E) (I)
Practical and Sensing (S) Intuitive Unconscious

Orderly (N) Processes
Thinking Uses Values &

Use Reason (T) Feeling (F)
Emotions
and Logic
Perceiving Flexible and
Want Order Judging (J) (P)
Spontaneous
& Structure

Extroversion-Introversion
• From where do you get your energy?
• Where and how we “charge our battery”

Extroversion
• Energy drawn from external environment,
– desires to act on the environment, affirm its
importance;
– awareness and reliance on environment for
stimulation and guidance;
– action oriented, impulsive, frank, sociable.
– Energized by what goes on in the outer world.
• Preference for people and things.
– Likes being with people and working on them
– Appears outgoing and socially at ease.
Introversion
• Energy drawn from inner world of ideas and concepts,
reliance on enduring concepts (not environmental
events)
– thoughtful contemplative detachment.
– enjoyment of solitude and privacy.
• Preference for ideas and concepts.

– Likes thinking about things, even more than doing them.
– May appear to be shy or sometimes withdrawn.
Information: Sensing-Intuition
• How do you acquire information?
• How do you attend to the world around you?

Sensing
• Immediate experience, present moment
– Work with what is “given” in a situation. Pays
attention to those things which can be seen,
heard, or touched.
• Prefers to think in concrete, realistic ways

rather than philosophically.
Intuition
• Unconscious perceptions based on third senses
– which leads to imagination, theoretical and future
orientation, creativity, abstractness.
– Big picture, grasps patterns.
– Pays attention to the meanings behind things, rather
than the things themselves.
• Prefers to think about things in philosophical or
poetic ways, rather than in concrete or realistic
ways.
Scenario
• You are the director of an HR department. The
company is struggling and you must lay off 15%
of your workforce.
• How do you decide who stays and who goes?

Decision: Thinking-Feeling
• How do you make decisions?
• It’s not about the outcome of the decision.
• It’s about the process you go through to

make the decision and what you consider
when making it.
Thinking
• Links ideas logically
• Impersonal cause-effect leads to

– objectivity, attention to justice and fairness.
– seeks order through logic.
– Weighs the evidence, even the unpleasant truth.
• Preference for decisions based on clear cut

principals, without regard for how the decisions
will affect others.
– Puts an emphasis on fairness, justice, and logic.
Feeling
• Weighs relative values and merits-
– more subjectively attuned to others’ values, group values,
human aspects of problems,
– leads to need for affiliation, desire for harmony, and warmth,
– seeks order according to harmony among subjective values.
– Looks at what is important to people involved, decides based on
how much investment you have in each alternative- leading to
tact and empathy.
• Prefers decisions based on values

– paying attention to how people will be affected by decisions.
– Puts an emphasis on feelings, on relationships, and on getting
along with others.
Scenario
• Think about the last time you went on a
vacation.
– When did you start packing?
– How did you pack?

Lifestyle- Judging-Perceiving
• How do you orient toward the outer world?

Judging
• Business before pleasure

• Prefer to organize events
• Prefer to get things done and
accomplished
• Prefer to stay organized
• Prefer to finish one project before
starting on the next one
Perceiving
• Prefer flexibility and spontaneity
• Adapt to events in life
• Prefers to have several projects going at
the same time.
– Finds it easy to leave one project to start on
another one, and is not necessarily bothered
if the first project never gets finished.
The Types and Their Uses
• Each of the sixteen possible combinations has a name,

for instance:
– Visionaries (INTJ): original, stubborn, and driven
– Organizers (ESTJ): realistic, logical, analytical, and
businesslike
– Conceptualizers (ENTP): entrepreneurial, innovative,
individualistic, and resourceful
• Research results on validity mixed

– MBTI® is a good tool for self-awareness and
counseling.
– Should not be used as a selection test for job
candidates.
Sonya
Sonya works as an editor for a publishing
company. She enjoys some aspects of her work
but has difficulties with some others.
On the MBTI she is coded ENFP.
How is knowing this information helpful in looking
at Sonya?
What might she enjoy and with what might she
struggle?
Are there ways to modify her work to play to her
strengths/preferences?
MBTI-Related Websites
• https://www.myersbriggs.org
• You Can take the test and know your personality type
• http://typelogic.com
• This is a fun site. It does a nice job of analyzing the 16
types and even provides examples of well-known people of
each type.
Reflection
1. How can knowing your type / Others type
help?
1. Modify your behavior
2. How can you approach others so that
they are likely to respond positively to
your request?
2. What behaviors on the other person’s part
would most likely get a negative response
from you?
3. In what ways do other people communicate
that really irritates you?
Review
John has gifts of charisma and confidence, and projects

authority in a way that draws crowds together behind a
common goal. He is characterized by an often ruthless
level of rationality, using his drive, determination and
sharp mind to achieve whatever end he wants. John
comes under which category of MBTI?
a) ENFP
b) ENFJ
c) ENTJ

Other Relevant Personality Traits
• Core Self-Evaluation
– The degree to which people like or dislike themselves
– Positive self-evaluation leads to higher job performance
• Type A Personality
– Aggressively involved in a chronic, incessant struggle to achieve more in
less time
• Impatient: always moving, walking, and eating rapidly
• Strive to think or do two or more things at once
• Cannot cope with leisure time
• Obsessed with achievement numbers
– Prized in today’s competitive times but quality of the work is low
– Type B people are the complete opposite of Type A’s
• Proactive Personality
– Identifies opportunities, shows initiative, takes action, and perseveres to
completion
– Creates positive change in the environment

Other Personality Traits
Internal Locus of Control
▪ Belief that you are responsible for your
own fate
▪ Own actions and behaviors are major
and decisive determinants of job
outcomes
External Locus of Control
▪ Believe that outside forces are
responsible for what happens to and
around them
▪ Do not think their own actions make
much of a difference
Self-Esteem
– The degree to which people feel good about
themselves and their abilities
• High self-esteem causes a person to feel
competent, deserving and capable.
• Persons with low self-esteem have poor
opinions of themselves and are unsure about
their capabilities.
Values, Attitudes, and Moods and Emotions
• Values
–Describe what managers try to achieve through
work and how they think they should behave
• Attitudes
–Capture managers’ thoughts and feelings
about their specific jobs and organizations.
• Moods and Emotions
–Encompass how managers actually feel when
they are managing
Values and Its importance
Basic convictions on how to conduct yourself or how to live a life that is

personally or socially preferable – “How To” live life properly.
• Attributes of Values:
– Content Attribute: that the mode of conduct or end-state is important
– Intensity Attribute: just how important that content is
• Value System
– A person’s values rank ordered by intensity
– Tends to be relatively constant and consistent
• Importance of Values
– Represent interpretations of “right” and “wrong”
– Provide understanding of attitudes, motivation, and behaviors
– Influence our perception of the world around us
– Imply that some behaviors or outcomes are preferred over others

Values
• Value System
– What a person is
striving to achieve
in life
– How do they prefer
to achieve
(behavior)
Classifying Values – Rokeach Value
Survey
• Terminal Values (What)
– A personal conviction about life-long goals
– Are “end result” values describing what you
want to get out of life.
• Instrumental Values (How)
– A personal conviction about desired modes
of conduct or ways of behaving
– Ways you seek to accomplish your terminal
values.
Terminal and
Instrumental
Values
Source: Rokeach,
The Nature of Human
Values (New York:
Free Press, 1973).
How each value matters to you?

S. No. Terminal Value Why this matters to me
What is it that you want most out of life
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16 3-53
17
S. No. Instrumental Value Why this matters to me
What is most important to you about the way you go about achieving your Terminal values?
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16 3-54
So What?
1. What difference does this exercise make?
2. Now that you know these things about yourself, what changes should you
consider making in key areas of your life?
3. What does this say about your employment?
4. What does this say about your hobbies or recreational activities?
5. What does this say about your relationships within your family? Your
marriage, children (etc)?
6. If you are currently experiencing conflict with someone, what role might
differing values play in the conflict?
7. How might you respond to this?
8. Are there ways you can respect the other person's values while
maintaining your own?
9. What additional insights has this exercise brought to your mind?
Why is this important?
1. People tend to try to accomplish similar results using similar means in a
variety of situations in their lives and relationships. Sometimes its helpful
to step back and see oneself through new eyes.
2. Second, not everyone sees things the same way as another person does.
Conflicts can arise when people hold different values and means of
accomplishing their values. Understanding (and more importantly,
accepting!) this may help you work more effectively with others who have
very different Terminal and Instrumental values.
Linking Personality and Values to
the Workplace
•Person–Job Fit:
– Key Points of the Model:
• There appear to be intrinsic differences in personality
between people
• There are different types of jobs
• People in jobs congruent with their personality should be
more satisfied and have lower turnover
57
Still Linking Personality to the
Workplace
In addition to matching the individual’s personality to the

job, managers are also concerned with:
•Person–Organization Fit:
– The employee’s personality must fit with the
organizational culture.
– People are attracted to organizations that match their
values.
– Those who match are most likely to be selected.
– Mismatches will result in turnover.
– Can use the Big Five personality types to match to the
organizational culture.
58
Thank you
BITS Pilani
Pilani Campus
MBAZG511
Motivation and its Application
BITS Pilani

BITS Pilani
Pilani Campus
Motivation & Its Application

Case Study 1: Travers Hospital
-Travers Ohio is small town
- Travers Hospital is the only hospital, with 530 employees, mostly
local employees
- Warner: Administrator, new to Travers. From bigger place. Employee
friendly
- Lyon is the personnel manager, he is also relatively new
- Nancy: Receptionist, typist, secretary to Lyon
- Very efficient, loves talking, relationships
- Nancy advices people on all kind of issues despite being told to
send them to Lyon
- Local Union contacted employees
- Management discusses the issue in management meeting
- Nancy is shocked to hear management’s view
- Nancy informs other employees
Case Study 1: Travers Hospital
- Warner notes changes in employee behaviour
- He is shocked when his secretary tells him that management wants
to fire those who want union and if required close the hospital
- Warner discusses with Lyon
- Lyon tells Warner what he overheard when Nancy was talking over
phone, she was giving all distorted information
- Lyon investigates to find Nancy’s involvement in situation
- Lyon enquires from Nancy
- Nancy accepts that she and argues about the negative approach of
management
- Lyon informed Nancy not to discuss yesterday’s management
meeting with union

Case Study: Travers Hospital
• What was Personality of Nancy and Lyon:
• MBTI
– Extrovert Vs. Introvert
– Sensing Vs. Intuitive
– Thinking Feeling
– Judging Vs. Perceiving
• Big 5 (Extroversion, Openness to experience,

agreeableness, Emotional Stability and
Conscientiousness)
• What perceptual errors can you identify
- Nancy
- Lyon

Motivation
Concepts
Course Name or Code Managing People and Organization 6

What Is Motivation?
Motivation
The processes that account for an individual’s intensity,
direction, and persistence of effort toward attaining a
goal
Key Elements
1. Intensity: How hard a person tries
2. Direction: Is it towards the beneficial goal
3. Persistence: How long a person tries

What Is Motivation?
Direction
Intensity Persistence

Some HR Practices
1. Google has wellness centers, indoor roller hockey rinks, slide into
cafeteria
2. Cadbury has maintained its worker village and R&D factories. The
village offers its staff and their families a comfortable environment to
work and live.
3. Kaizen is a key philosophy of Nissan that empowers the workforce to
continually improve the way the job is done.
4. At LinkedIn: The HR team hosts all-company parties, complete with live
music and a nightclub atmosphere to reward staff members for their
hard work and dedication to the company
5. Capgemini organized Bollywood dance lesson for 4000+ employees
6. HCL Technology: Ideapreneurship
7. Snapdeal: culture of meritocracy

Hierarchy of Needs Theory (Maslow)
Hierarchy of Needs Theory
There is a hierarchy of five needs:
physiological, safety, social, esteem,
and self-actualization; as each need
is substantially satisfied, the next
need becomes dominant.
Self-Actualization
The drive to become what one is capable of
becoming
Maslow’s Hierarchy of Needs
Lower-Order Needs Higher-Order Needs
Needs that are satisfied Needs that are satisfied
externally; physiological internally; social, esteem,
and safety needs Self and self-actualization
needs
Esteem
NANCY?
Social
Safety
Physiological

Assumptions of Maslow’s Hierarchy
Movement Up the Pyramid
Individuals cannot move to the next higher level until all
needs at the current (lower) level are satisfied.
Individuals therefore
must move up the Maslow Application
hierarchy in order.
A homeless person
will not be motivated to
meditate!

Application Maslow’s Hierarchy of Needs
Advertisements
Compensation Self
Reward & Recognition Esteem
Social
Safety
Physiological

Mc Gregor’s Theory X and Theory Y
Having Little Ambition
Theory X Disliking Work

Managers See Workers as…
Avoiding Responsibility
LYON??
Self-Directed
Theory Y
Enjoying Work
Managers See Workers as…
Accepting Responsibility
Application of Theory X and Y
- Identifying the Managerial Style

- Jack Welch of GE
- Indra Nooyi
- Mahatama Gandhi
- Mc. Gregor’s Style

- Evaluate Your Own Style
- Have you tried both style to know what really works?

Herzberg’s Two-Factor Theory
Bottom Line: Satisfaction and dissatisfaction are
not opposites of the same thing!
Hygiene
Factors Separate Motivators
•Salary Constructs •Achievement

– Hygiene Factors— •Responsibility
•Work Extrinsic and Related to
Conditions Dissatisfaction •Growth
•Company
– Motivation Factors—
Policies Intrinsic and Related to
Satisfaction

Comparison of Satisfiers and Dissatisfiers
Factors characterizing events

on the job that led to extreme Factors characterizing
job dissatisfaction events on the job that led
to extreme job
satisfaction
Source: Reprinted by permission of Harvard Business Review. An exhibit from One More Time:
How Do You Motivate Employees? by Frederick Herzberg, September–October 1987. Copyright
Course Name or Code MPO © 1987 by the President and Fellows of Harvard College: All rights reserved. 17
Contrasting Views of Satisfaction and Dissatisfaction

Check Your Progress
- Gift card for being the best QC team

- ESOP given to all employees at Infosys
- Air condition bus for office
- Family Picnic
- Employee of the Month

Application of two Factor Theory
- Do You have De-motivated Group of Employee at Your Workplace
- Do you have Low level of productivity, poor quality of production and/or
service, poor employee-employer relationships, strikes and industrial
disputes concerning pay and/or working condition complaints.
- The two-factor theory of motivation can be used to analyze any evidence of
de-motivated employees at work.
- Follow a thorough assessment on the hygiene factors available to the
group and the motivational factors concerning employees at work

Pause and Ponder
If needs can motivate and Satisfy Why Do We need to

Know more on Motivation???
Different Employees Have Different Needs: What Motivates

Nancy is Different from What Motivates Lyon

David McClelland’s Theory of Needs
Need for Achievement Need for Affiliation
The drive to excel, to The desire for friendly
achieve in relation to a set and close personal
of standards, to strive to relationships
succeed Lyon
NANCY
Need for Power Bottom Line

The need to make others Individuals have
behave in a way that they different levels of needs
would not have behaved in each of these areas,
otherwise and those levels will
Lyon/ Nancy drive their behavior.
Matching High Achievers and Jobs

PAUSE
As a Manager How Can you Use following Theory :
1. Maslow
2. McGregor 2 Factor Theory
3. Herzberg Two Factor Theory
4. McClelland Theory of Needs

Reinforcement Theory
Argues that behavior is a function of its consequences
Reinforcement will Guide Future Behavior
Assumptions:
• Behavior is environmentally caused (is external).
• Behavior can be modified (reinforced) by providing
(controlling) consequences.
• Reinforced behavior tends to be repeated.
• Reinforcement should be given immediately
What was the reinforcement guiding NANCY’s Behaviour???

Did Lyon Used Reinforcement to Shape Nancy’s Behaviour???
Argues that behavior is a function of its consequences
Reinforcement will Guide Future Behavior
Drawbacks:
• Individual needs, expectations, feelings and attitude
are not considered

• It Can Encourage Unethical Practices:
• High pressure of sales target might influence sales executive
to use unethical ways to meet targets
• To meet high production cost unethical practices of tampering
with the numbers, quality
• What Can Managers Do that Rewards don’t lead to unethical
practices
• Walk the Talk
• Keep a close Vigil
• Set challenging but achievable targets
• Reward Ethical Practices

Cognitive Evaluation Theory
Providing an extrinsic reward for a behavior that had been
previously only intrinsically rewarding tends to decrease the
overall level of motivation
Hint: For this theory,
think about how fun it
Job Itself Motivates
is to read in the
- Intrinsic Pleasure for Improvement summer, but once
- Intrinsic pleasure of Learning & Growth reading is assigned
to you for a grade,
you don’t want to do
it!
More and More we can engage people in jobs that give

them a sense of learning, growth, improvement, they
would intrinsically DRIVE Things and Make POSITIVE
CHANGES
Some of you might Argue that Extrinsic Rewards Do

Motivate, Self Deterministic Theory Explains Why?

Self DeterminationTheory
Proposes that people prefer to feel they have control over
their actions
1. People are driven by a need for autonomy
• Extrinsic reward like praise and feedback can increase
intrinsic motivation too provided people feel in control
• Even deadlines can motivate provided people feel in
control
2. People seek ways to achieve competence (development)
3. Positive connections to others

What Does it Mean?
1. For Individual
• Choose a Job for intrinsic reasons
2. For Managers
• Employees who feel that they have more control over
and free choice are more motivated and committed
• Identify ways so that employee feel in-control
• Provide recognition
• Support employee development and growth

Employee Engagement
Employee Engagement Survey Measure Variables like:
1. Autonomy (Intrinsic)
2. Feedback (Extrinsic)
3. Learning, Growth & Advancement (Intrinsic)
4. Gallup Q12 Survey

1. Do you know what is expected of you at work
2. Do you have the materials and equipment to do your work right?
3. At work, do you have the opportunity to do what you do best everyday
4. In the last seven days, have you received recognition or praise for doing good work
5. Does your supervisor, or someone at work, seem to care about you as a person
6. Is there someone at work who encourages your development
7. At work, do your opinions seem to count
8. Does the mission/ purpose of your company make you feel your job is important
9. Are your associates (fellow employees) committed to doing quality work
10. Do you have best friend at work
11. In the last six months, has someone at work talked to you about your progress
12. In the last year, Have you had the opportunities to learn and grow?

Maslow’s Theory
1. Do you know what is expected of you at work
2. Do you have the materials and equipment to do your work right?
3. At work, do you have the opportunity to do what you do best everyday
4. In the last seven days, have you received recognition or praise for doing good work
5. Does your supervisor, or someone at work, seem to care about you as a person
6. Is there someone at work who encourages your development
7. At work, do your opinions seem to count
8. Does the mission/ purpose of your company make you feel your job is important
9. Are your associates (fellow employees) committed to doing quality work
10. Do you have best friend at work
11. In the last six months, has someone at work talked to you about your progress
12. In the last year, Have you had the opportunities to learn and grow?

Travers Hospital
•Can you use any of the theories discussed so far

to modify Nancy’s behaviour

Self-Efficacy
•An individual’s feeling that s/he can complete a

task (e.g. “I know I can!”)
•Enhances probability that goals will be
achieved
Not to be confused with:
Self-esteem, which is:

Individuals’ degree of liking or disliking
themselves

Self-Efficacy Theory
Also called Social Cognitive Theory or Social Learning theory
• An individual’s belief that he or she is capable of performing a

task
• Higher the self-efficacy higher is the chance of
accomplishment
• Creates a Positive Spiral
• Individual with high self-efficacy respond to even negative
feedback with increased effort

Self-efficacy Theory
Four Ways of Increasing Self-efficacy (Bandura)

1. Enactive Mastery (Practice, Perform)
2. Vicarious Modeling
3. Verbal Persuasion/ Arousal/ Psyched up state of Mind/

Heightened Emotions
(Arousal is not advisable for jobs requiring steady, lower-
key perspective say, carefully editing a manuscript,
arousal may in fact hurt performance, Judiciary

Self-efficacy Theory
This is the Fundamental Theory behind

1. Training (Mastery)
2. Showing celebrities in advertisement, Vicarious Modeling
(ALL)
3. Motivational Speech (Verbal persuasion and Psyched-up
Arousal)
What Else can Increase Self-efficacy?
1. Big Five: Emotional Stability & Conscientiousness
Note: Self-efficacy is the basic premise of Pygmalion /Galatea Effects

Application
-Setting higher goals for high potential employees
- Providing Training (Mastery)
- Worker Trainer Programmes in TPM (Vicarious Modelling)
- Giving Feedback (Verbal Persuasion)

Pause and Ponder:
Elizabeth’s boss starts out the day each

morning saying, “Bet you wish you didn’t
have to be here, huh?” Knowing this, Can
self-efficacy theory explain why Elizabeth
may not be motivated at work?

Goal-Setting Theory (Edwin Locke)
Basic Premise: That specific and difficult goals, with

feedback, lead to higher performance.
But, the relationship between goals and performance

will depend on:
•Goal commitment (Acceptance from Employee)
–“I want to do it & I can do it”
•Task characteristics

Self-Efficacy and Goal Setting

Goal Setting in Action: MBO Programs
Management By Objectives Programs

• Company wide goals and objectives
• Goals aligned at all levels
• Based on Goal Setting Theory

What Is MBO?
Management by Objectives (MBO)
A program that encompasses specific goals,
participatively set, for an explicit time period, with
feedback on goal progress
Key Elements
1. Goal specificity
2. Participative decision making
3. An explicit time period
4. Performance feedback

Cascading of Objectives

Linking MBO and Goal-Setting Theory
MBO Goal-Setting Theory

Goal Specificity Yes Yes
Goal Difficulty Yes Yes
Feedback Yes Yes
Participation Yes No

Thank you
BITS Pilani
Pilani Campus

MBA ZG511

Motivation and its Application
BITS Pilani

BITS Pilani
Pilani Campus
Motivation & Its Application

Recap of Motivation Theories
• Maslow’s Need Hierachy Theory

• McClelland’s Theory of Needs
• Hertzberg’s Two Factor Theory
• McGregor’s Theory X and Theory Y
• Cognitive Evaluation Theory
• Self-efficacy theory
• Self Determination Theory
• Reinforcement Theory
• Goal Setting Theory

Situation
• If an employee works really hard and only gets a

rating of 3, but his colleague who barely contributed
gets a 5. How would the employee feel? What would
he/ she do?
• What if the situation was reverse, if an employee
has not contributed much but gets a rating of 5 and
his colleague who had really worked hard
throughout the year gets a rating of 3. How would
the employee feel? What would he/ she do?

Equity Theory
Equity Theory
Individuals compare their job inputs and outcomes with
those of others and then respond to eliminate any
inequities
Referent
Comparisons:
Self-input
Self-outcome
Other-input
Other-outcome

Equity Theory (cont’d)

Equity Theory (cont’d)
Choices for dealing with inequity:

1. Change inputs (slack off)
2. Change outcomes (increase output)
3. Distort/change perceptions of self
4. Distort/change perceptions of others
5. Choose a different referent person
6. Leave the field (quit the job)

Justice and Equity Theory

Three Types of Justice
Distributive Justice Procedural Justice
Perceived fairness of the Perceived fairness of the
outcome (the final distribution) process used to determine
the outcome (the final
“Who got what?”
distribution)
“How was who gets what
decided?”
Interactional Justice
The degree to which one is
treated with dignity and
respect.
“Was I treated well?”
Expectancy Theory
Ethical Values and

Behaviors of Leaders
Bottom Line
All three links between the boxes must be intact or motivation
will not occur. Thus,
• Individuals must feel that if they try, they can perform and
• If they perform, they will be rewarded and
• When they are rewarded, the reward will be something they
care about.
Pause and Ponder
Maslow
Will a man who knows he
Hertzberg 2 Factor
works hard and is
Self-determination
performing well, will be Theory
motivated by a gym Equity

Expectancy Theory
membership sponsored
by his organization only
for him for being a high
performer?

Putting It All Together

BITS Pilani
Pilani Campus
Motivation
Theory to Application
Motivation: From Concepts
to Application
Learning Objective:
1. Describe the way in which employees can be motivated

by changing their work environment.
2. Compare and contrast the three main ways jobs can be
redesigned.
3. Give examples of employee involvement measures and
how they can motivate employees.
4. Describe the four major strategic rewards decisions.
5. Demonstrate how the different types of variable-pay
programs can increase employee motivation.

Motivating by Changing the Work Environment: JCM
The Job Characteristics Model - jobs are

described in terms of five core dimensions:
– Skill variety
– Task identity
– Task significance
– Autonomy
– Feedback

The Job Characteristics Model

The Job Characteristics Model

JCM: Designing Motivational Jobs
• JCM-designed jobs give internal rewards
• Individual’s growth needs are moderating factors
• Motivating jobs must be:

– Autonomous
– Provide feedback, and
– Have at least one of the three meaningfulness factors
• Skill Variety
• Task Identity
• Task Significance

Fundamental Conclusion 1
• Challenging Job itself is the Biggest Motivator
– Maslow Higher Order Needs
– Hertzberg 2 Factor
– Mc Clleand
– Goal Setting
– Self-Determination
– Self efficacy
• What Can we do to Make the Job Motivating?

How Can Jobs be Redesigned?
Job Rotation
The periodic shifting of an employee from one task to
another
Job Enlargement
Increasing the number and variety of tasks
Job Enrichment
Increasing the degree to which the worker controls
the planning, execution and evaluation of the work

Alternate Work Arrangements
• Flextime
– Some discretion over when
worker starts and leaves
• Job Sharing
– Two or more individuals split a
traditional job
• Telecommuting
– Work remotely at least two days
per week

Guidelines for Enriching a Job Using JCM
Enrichment reduces turnover and absenteeism while it increases job

satisfaction.

• Jobs that have Task Mastery Built in

Motivates!
– Cognitive Evaluation Theory
– Self efficacy
– Self-determination theory

• Employee Involvement Motivates !

– Hertzberg 2 Factor
– Theory Y
– Expectancy
– Self efficacy
– Goal Setting
– Mc Cleand

Employee Involvement
A participative process that

uses the input of employees
to increase their commitment
to the organization’s success
Two types:
Participative Management
Representative Participation
Participative Management
• Subordinates share a significant degree

of decision-making power with superiors
• Required conditions:
– Issues must be relevant
– Employees must be competent and knowledgeable
– All parties must act in good faith

Participative Goal Setting
• Participative Key Result Areas (KRAs)
and Key Performance Indicator (KPIs)
• Stretched Targets
• Feedback
• Autonomy

Representative Participation
• Workers are represented by a small
group of employees who participate in
decisions affecting personnel
– Works Councils
– Board membership
• Desires to redistribute power within an
organization
• Does not appear to be very motivational

• Rewards Motivate !
– Equity
– Reinforcement
– Expectancy

Rewarding Employees
3 Major strategic rewards decisions:

1. What to pay employees
2. What benefits to offer
3. How to construct employee
recognition programs

1. What to Pay
• Need to establish a pay structure
– EXPECTANCY
– EQUITY
• Balance between:
– Internal equity – the worth of the job to the organization
– External equity – the external competitiveness of an
organization’s pay relative to pay elsewhere in its industry
– EQUITY
• A strategic decision with trade-offs
- Check if employees consider it worthy
- EXPECTANCY

2. What Benefit to Offer: Flexible Benefits
Each employee creates a benefit

package tailored to their own
needs and situation: CONTROL
– Modular plans – predesigned
packages to meet the needs of a
specific group
– Core-plus plans – core of
essential benefits and menu of
options to choose from
– Flexible spending plans – full
choice from menu of options
3. How to Recognize Them: Employee Recognition Programs
• In addition to pay there
are intrinsic rewards • Maslow’s
– Can be as simple • Hertzberg 2 Factor
as a spontaneous • Equity
comment
• Expectancy
– Can be formalized
• Reinforcement
in a program
• Self Deterministic
• Recognition is the
Theory
most powerful
workplace motivator –
and the least
expensive!
• Linked to Outstanding
Performance
• Given ASAP
Rewards Motivate
- Recognize Performance Immediately
- Link reward to Outstanding Performance
- Introduce Flexible Reward
- Check Reward system for Equity

Fundamental Conclusions
1. Challenging Job itself is a great motivator
a) Skill Variety
b) Task Identity
c) Task Significance (PURPOSE)
d) Autonomy
e) Feedback
2. Task Mastery Motivates

a. Challenging Assignment (creating room for growth and
advancement)
3. Employee Involvement Motivates

a) Self Deterministic Theory
4. Reward Motivate
a) Immediate
b) Linked to Performance
c) Flexible
Coursed) Equity
Name or Code 36
Summary
1. Described the way in which employees could be
motivated by changing their work environment.
2. Compared and contrasted the three main ways jobs
could be redesigned.
3. Gave examples of employee involvement measures
and how they could motivate employees.
4. Described the four major strategic rewards decisions.
5. Demonstrated how the different types of variable-pay
programs could increase employee motivation.

Questions

Thank you
BITS Pilani
Pilani Campus

Managing People and Organization Behaviour

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Managing People & Organization

– An Overview of Organizational Behavior

Managing People and Organization

• Management thinkers have realized the

Managing People and Organization BITS Pilani, Pilani Campus

• Social relationships at works

Managing People and Organization BITS Pilani, Pilani Campus

Managing People and Organization BITS Pilani, Pilani Campus

• Define goals, establish strategy and develop

• Determining the What, Where, Who, When and

• Motivating employees, resolving conflicts,

• Monitoring activities to ensure on time

BITS Pilani, Deemed to be University under Section 3 of UGC Act, 1956

BITS Pilani, Deemed to be University under Section 3 of UGC Act, 1956

• Virtual connections (onboarding to exit)

• Working from Anywhere

• Uncertainties & Sustainability

• Motivation & Performance

• Health & Well-being

Course Name or Code 10

BITS Pilani, Deemed to be University under Section 3 of UGC Act, 1956

– The mental ability to analyze and diagnose complex situations

– The ability to apply specialized knowledge or expertise

BITS Pilani, Deemed to be University under Section 3 of UGC Act, 1956

a) Yes. As technical skills are very critical for a company’s success..

b) No. As technical training can be imparted and communication skills are

BITS Pilani, Deemed to be University under Section 3 of UGC Act, 1956

• Four types of managerial activity:

BITS Pilani, Deemed to be University under Section 3 of UGC Act, 1956

1. Based on your experience which managerial activity do

BITS Pilani, Deemed to be University under Section 3 of UGC Act, 1956

BITS Pilani, Deemed to be University under Section 3 of UGC Act, 1956

• Observing and dealing with personal and

• Probably you are already proficient

• OB provides the tools to make these

Course Name or Code 16

BITS Pilani, Deemed to be University under Section 3 of UGC Act, 1956

Organizational Behavior is a field of study that

• Attitude • Decision Making

• Personality • Group Dynamics

• Perception • Organization Structure

• Heroic Deed at Taj Hotel

BITS Pilani, Pilani Campus

• You want to develop good working relationships with

Managing People and Organization BITS Pilani, Pilani Campus

• Systematic study improves ability to

• Human beings are complex and diverse

• Impossible to make simple and accurate

• OB concepts must reflect situational

Managing People and Organization

Managing People and Organization BITS Pilani, Pilani Campus

The major challenges and opportunities are:

BITS Pilani, Deemed to be University under Section 3 of UGC Act, 1956

• Creating a positive work environment can

Managing People and Organization

1. Do you think managers who focus on strengths rather

BITS Pilani, Deemed to be University under Section 3 of UGC Act, 1956

BITS Pilani, Pilani Campus

Managing People and Organization BITS Pilani, Pilani Campus

• Managers perform various activities to achieve organizational goals.

• Managers use multiple skills to perform these activities.

• Managers need to develop their interpersonal/ human skills to be effective.

• OB focuses on how to improve factors that make managers and