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 Table of Contents

List of contributors
Acknowledgements
How to use this book

PART 1
Introduction to psychology

CHAPTER 1: Finding out about people

Leslie Swartz

Introduction
Finding out about psychology
Psychological terminology
Subjects, respondents, participants or informants?
Patients, clients or consumers?
Ethics in psychology
Contemporary perspectives in psychology
The psychoanalytic perspective
The behavioural perspective
The humanist perspective
Positive psychology
 The biopsychological perspective
The cognitive perspective
The sociocultural perspective
The community psychology perspective
Psychology for Africa
The approach of this book
The organisation of this book
What is different about this book?

CHAPTER 2: Research methods in psychology

Loraine Townsend & Cheryl de la Rey

Introduction
Step 1: Planning
Selecting a research topic
Reviewing existing literature
Formulating the research problem and posing the research questions
Step 2: Research methods
Types of research studies
Types of research design
Using variables in the design of a quantitative research study
Units of analysis
Hypotheses
Questioning the relevance of variables, definitions and formal
hypotheses
Time frame
Sampling
Representative samples
The sampling frame
Probability sampling
 Non-probability sampling
How many is enough?
Step 3: Data collection
Levels of measurement
Nominal scales
Ordinal scales
Interval scales
Ratio scales
Methods for gathering data
Observation
Interviews
Questionnaires
Focus group interviews
Other methods of gathering data
Step 4: Analysis of data
Analysis of quantitative data
Entering data into a database
Descriptive data analysis
Measures of central tendency
Measures of variability
Analysis of qualitative data
Transcription of data
Thematic analysis, narrative analysis and discourse analysis
Verification of qualitative data
Step 5: Reporting findings
Finding errors
Finding bias
Interviewer bias
Participant bias
 Analyst bias
Researcher bias
The issue of objectivity and reflexivity
Research reports
The organisation of a research report
The introduction
The methodology section
The results section
The discussion section
The references
The abstract, executive summary and appendices
Step 6: Theory building
Conclusion

References for Part 1

PART 2
Developmental psychology

CHAPTER 3: Early and middle childhood

Loraine Townsend, Tokozile Mayekiso & Sibusiso Ntshangase

Introduction
Physical Development
Prenatal period
Stages of development
Factors influencing prenatal development
Neonatal period
Perceptual development
 Preschool period
Middle childhood
Cognitive development
Neonatal and preschool periods
Piaget’s stages of cognitive development
Language development
Middle childhood
Piaget’s stage of cognitive development in middle childhood
Vygotsky’s theory of cognitive development
Moral development
Social and emotional development
Neonatal period
Temperament
Bonding between infants and caregivers
Preschool period
Separation anxiety and attachment
Erikson’s psychosocial stages of development in the neonatal and
preschool periods
Development of the gender concept
Parenting styles
Play in the preschool years
Early childhood development (ECD) programmes
Promoting resilience in children
Middle childhood
Erikson’s psychosocial stage of development in middle childhood
Play in middle childhood
The development of self-concept and self-esteem
Environmental influences on the social development of girls
The importance of schools in social development
Conclusion

CHAPTER 4: Adolescence, adulthood and aging

Tamara Shefer, Norman Duncan & Ashley van Niekerk

Introduction
Physical development
Adolescence
Early adulthood
Health risks
Middle adulthood
Health risks
Late adulthood/old age
Health risks
Cognitive development
Adolescence
Piaget’s stage of cognitive development in adolescence
Early adulthood
Middle adulthood
Late adulthood
Social and emotional development
Adolescence
Erikson’s psychosocial stage of development in adolescence
Patterns of identity formation
Adolescents’ relationships with their community, family and peers
Gender and sexual identity
Risk-taking behaviours
Early adulthood
Marriage and partnerships
 Parenthood
Work
Middle adulthood
The life cycle squeeze
Late adulthood
Retirement and economic adjustments
Family and social roles
Death and dying
Conclusion

References for Part 2

PART 3
Personality

CHAPTER 5: Theories of personality

Pamela Naidoo, Loraine Townsend & Ronelle Carolissen

Introduction
The psychoanalytic approach
Freud’s view on personality development
Life instinct and death instinct
The conscious, the preconscious and the unconscious levels
The structure of personality: the id, the ego and the superego
The psychosexual stages of personality development
Evaluating Freud’s theory
The neopsychoanalytic approach
Jung’s view on personality development
The libido
 The structure of the psyche: the ego, the personal unconscious and
the collective unconscious
Archetypes
Psychological types
Evaluating Jung’s theory
The life span approach
Erikson’s view on personality development
The psychosocial stages of development
Evaluating Erikson’s theory
The behaviourist approach
Skinner’s view on personality development
Respondent behaviour
Operant behaviour
Evaluating Skinner’s theory
The trait approach
Cattell’s view on personality development
The five-factor model of personality
Evaluating trait theory
The humanistic approach
Maslow’s view on personality development
Hierarchy of needs
Evaluating Maslow’s theory
The cognitive approach
Kelly’s view on personality development
Personal constructs
Kelly’s fundamental postulate
Kelly’s corollaries
Evaluating Kelly’s theory
The social learning approach
 Bandura’s view on personality development
Modelling and observational learning
Reinforcement in observational learning
Self-evaluation
Evaluating Bandura’s theory
Personality psychology and its relevance in South Africa
Personality and culture
How does culture influence personality?
Culture and locus of control
African understandings of personality
Synoptic theory of the modern African self
Evaluating Nwoye’s theory
Culture and personality – a reflection
Conclusion

CHAPTER 6: Personality assessment

Ashraf Kagee & Loraine Townsend

Introduction
Ways to assess personality
The clinical interview
Unstructured interviews
Semi-structured interviews
Structured interviews
Objective personality assessment
Projective personality assessment
Criticisms of personality assessment
Tests are dehumanising
Tests invade privacy
Tests can be biased
 Tests may be culturally inappropriate
The reliability and validity of psychological measurement instruments
Reliability
Test-retest reliability
Parallel forms reliability
Split-half reliability
Internal consistency reliability
Validity
Content validity
Convergent and divergent validity
Criterion-related validity
Construct validity
Conclusion

References for Part 3

PART 4
Brain and behaviour

CHAPTER 7: Biological and neuropsychology

Loraine Townsend, Kirston Greenop & Mark Solms

Introduction
The nervous system
The central nervous system
The hindbrain, midbrain and forebrain
The left hemisphere and the right hemisphere of the brain
The peripheral nervous system
The somatic nervous system
 The autonomic nervous system
Neurons and neural transmission
The structure of neurons
The transmission of nerve impulses
Synaptic transmission
Types of neurotransmitters
The endocrine system
Neuropsychology
The early history of neuropsychology
The influence of cognitive psychology on neuropsychology
Research methods in neuropsychology
The qualitative and quantitative approaches to clinical neuropsychology
Neuropsychology in South Africa
Conclusion

CHAPTER 8: Sensation and perception

Loraine Townsend, Kirston Greenop & Oliver Turnbull

Introduction
Sensation and perception
Psychophysics
Thresholds
Signal detection theory
Discriminating between stimuli
Adaptation to stimuli
The sensory systems
Vision
Light
The structure of the eye
The pathway to the brain
 Visual acuity
Colour vision
Visual perception
Processing of visual signals in the brain
Primary visual areas
Secondary and tertiary visual areas
Hearing
Sound
The structure of the ear
The pathway to the brain
Theories of hearing
Locating sounds
Taste
Smell
Touch
The kinaesthetic sense
The vestibular sense
Conclusion

References for Part 4

PART 5
Cognitive psychology

CHAPTER 9: Learning and conditioning

Lynlee Howard-Payne & Jarrod Payne

Introduction
What is learning?
Classical conditioning
Factors affecting conditioning
Contiguity
Extinction and spontaneous recovery
Generalisation
Discrimination
Higher-order conditioning
Classical conditioning in everyday life
Phobias
Food aversions
Advertising
Vicarious conditioning
Operant conditioning
Learning an operant response
Shaping
Principles of reinforcement
Reinforcement schedules
Punishment
Social (observational) learning theory
Alternatives to traditional learning theory
Conclusion

CHAPTER 10: Motivation and emotion 226

Jaak Panksepp & Viv O’Neill

Introduction
Motivation
Homeostasis and brain mechanisms – hunger
Types of motive
Motivational conflicts – approach or avoid?
 Motivation based on human needs: a humanist approach
Game theory
The prisoner’s dilemma
Emotion: the other side of motivation
Types of emotions
The cognitive aspect of emotion
Theories of emotion
James-Lange theory
Cannon-Bard theory
Schachter-Singer’s cognitive theory
Theories of emotion – summary
Conclusion

CHAPTER 11: Thinking

Andrew Gilbert

Introduction
Representation and thinking
Categories
Concepts
Prototypes
Imagery
Schemas, scripts and models
Schemas
Scripts
Models
The constructivist approach to thinking
Piaget’s perspective on the development of thinking in childhood and
adolescence
Schaie’s perspective on the development of thinking in adulthood
 Challenges to the constructivist perspective
The information-processing approach
Comparing the thinking of experts and novices
Challenges for the information processing approach
The socio-historical approach
Everyday thinking
Challenges to the socio-historical approach
Conclusion

CHAPTER 12: Attention

Jonathan Ipser

Introduction
Mechanisms underlying selective attention
Broadbent’s filter theory of attention
The dichotic listening task
Shadowing
The sensory memory store
How many channels can penetrate the selective filter?
Gray and Wedderburn’s revised dichotic listening task
Treisman’s attenuation theory of attention
Treisman’s feature-integration theory
Duncan’s theory of selective visual attention
Issues of general importance to attention
Early-selection versus late-selection models of attention
Top–down versus bottom–up control of attention
One attention system versus multiple attention systems
Conclusion

CHAPTER 13: Memory

Clifford van Ommen

Introduction
The information-processing approach to understanding memory
Input, storage and output
Short-term and long-term memory
Working memory
Long-term memory
The primacy and recency effects
Forgetting
The expansion of understandings of memory
Meaning and memory
The accuracy of memory
The context of remembering
Society and culture as context
Living in a world of action: a critical approach to memory research
Conclusion

CHAPTER 14: Language

David Neves

Introduction
What is language?
Language and thought
Child development studies
Cross-cultural studies
The components of language
Sounds
Words
Sentences
 Pragmatic context
The process of language acquisition
Language acquisition between birth and the age of one year
Language acquisition between the ages of one year and three years
Language acquisition from the age of three onwards
Approaches to explaining language acquisition
Learning theory accounts of language acquisition
Nativist accounts of language acquisition
Current accounts of language acquisition
Language in South African society
Conclusion

CHAPTER 15: Intelligence

Tshepo Tlali

Introduction
A brief history of intelligence testing in Europe, the US and South Africa
The measurement of intelligence
Uses of intelligence tests
Theories of intelligence
Psychometric theories of intelligence
Cognitive theories of intelligence
Eclectic theories of intelligence
The learning potential theories of intelligence
Theories of emotional intelligence
The issues of race and culture in intelligence testing
Conclusion

References for Part 5

 PART 6
Social psychology

CHAPTER 16: Interpersonal attraction

Peace Kiguwa & Noleen Pillay

Introduction
Internal determinants of attraction
The role of basic needs in interpersonal attraction
Can our emotions and moods influence our attractions?
External determinants of attraction
Proximity
Similarity
Physical attractiveness
Reciprocity effect
Theories of interpersonal attraction
Social exchange theory
Equity theory
Evolutionary theory
Sociocultural theory
Romantic love
Types of romantic love
Attachment style combinations
Loneliness
Can technological advancement curb the spread of loneliness?
Conclusion

CHAPTER 17: Group concepts

Tanya Graham
Introduction
Reasons for group belonging
Group definitions
Types of social groups
In-groups and out-groups
Primary groups, secondary groups and reference groups
Characteristics of a small group
Purpose
Norms
Roles
Communication
Status
Cohesiveness
Stages of group formation
Dynamics within a small group
Social influence
Types of social influence
Conformity
Minority influence
Compliance
Obedience
Levels at which social influence can be analysed
Explaining intergroup relations by focusing on different levels of analysis
Individual-level explanations of intergroup relations
Situational-level explanations of intergroup relations
Positional-level explanations of intergroup relations
Ideological-level explanations of intergroup relations
Conclusion

CHAPTER 18: Poverty and ethnicity

Martin Terre Blanche & Garth Stevens

Introduction
The negative effects of poverty
The psychological experience of poverty
Hopelessness
Uncertainty about the future
Alienation from mainstream society
The other side of the coin
The future of poverty
Poverty and ethnicity
Ethnicity
Definitions of related psychological concepts
Ethnocentrism
Attitudes
Stereotypes
Prejudice
Discrimination
Ethnicity is both social and psychological
Ethnicity is contested
Ethnicity relies on sociocultural symbols
Ethnicity sustains social inequality in times of conflict
The relationship between the social and the psychological
Ideology and its functions
Ideology, ethnicity and psychology
The racialisation of ethnicity
Defining racism
The relationship between racism and ethnicity
The politicisation of ethnicity
Anti-Islamism and ethnicity
 Anti-Semitism and ethnicity
Nationalism and ethnicity
Conclusion

CHAPTER 19: Sex, gender and sexuality

Floretta Boonzaier & Cheryl de la Rey

Introduction
Psychology and gender
Theories that account for gender/sex differences
Biological accounts
Psychoanalytic theory
Social learning theory
Cognitive developmental approaches
Gender schema theory
Social constructionism
Gender in society
Violence against women
Feminism
A crisis in feminism
A new masculinity
Conclusion

CHAPTER 20: Violence, traumatic stress, peacemaking and

peacebuilding
Craig Higson-Smith & Shahnaaz Suffla

Introduction
What precisely is violence?
Types of violence
Domestic violence
 Violence for material gain
Sexual violence
State and collective violence
Self-directed violence
Theories of violence
Socio-biological explanations
Social learning explanations
Group explanations
The effects of violence at multiple levels
Fragmentation
Disempowerment
Traumatic stress as an effect of violence at an individual level
Re-experiencing symptoms
Avoidance symptoms
Arousal symptoms
Alterations in cognition and mood
Violence prevention and recovery
Individual-level interventions
Small-group-level interventions
Community-level interventions
Societal-level interventions
Peace psychology
Peacemaking
Conflict resolution
The cultural context of peacemaking
Reconciliation within the peace framework
Peacebuilding
Dominant themes in peacebuilding
Challenges to dominant cultural discourses
 The honouring of multiple voices and the co-construction of social
change
The adoption of an activist agenda
The sustainable satisfaction of basic human needs
Actions that psychologists can employ to promote peace
Conclusion

References for Part 6

PART 7
Psychology and health

CHAPTER 21: Risk behaviour and stress

Kay Govender & Inge Petersen; Basil Joseph Pillay

Introduction
An ecological-systems approach to understanding risk behaviour
The individual level
The health belief model
The stages of change (transtheoretical) model
The theory of reasoned action and the theory of planned behaviour
The interpersonal level
Social-cognitive model
The community level
Social capital
The societal level
Cultural perspectives
Structuralist perspectives
Stress
 Defining stress
Defining stress in terms of physiological reactions and cognitive
processes
Defining stress in terms of the interaction between the individual and
the environment
Defining stress in terms of a bio-psychosocial model of stress
Positive stress
The psychophysiology of stress
The autonomic nervous system
The endocrine system
The general adaptation syndrome
Types of stress
Stressors
Life changes or events
Daily hassles and uplifts
Three sources of internal and external stressors
Stress and illness
Coping and stress reduction
Social and cultural influences on an individual’s experience of stress
Conclusion

CHAPTER 22: Substance abuse and psychopharmacology

Bronwyn Myers & Arvin Bhana; Elias Mpofu

Introduction
Conceptual understandings of substance dependence
Drug dependence and tolerance
Understanding the causes of substance use disorders
The risk and resilience approach to substance use disorders among
adolescents
 Individual, interpersonal and environmental aetiological factors
Factors located at the level of the individual
Factors located at the level of interpersonal functioning
Factors located at the level of the environment
Implications of the risk factor approach for the prevention of substance
use disorders
Psychopharmacology
The mechanisms of action of psychoactive drugs
Drug potency, efficacy and dose
Classes, uses and effects of psychoactive drugs
Central nervous system depressants
Psychostimulants
Anti-depressants and mood stabilisers
Anti-psychotics
Conclusion

CHAPTER 23: Nutrition, HIV/AIDS, TB and parasites

Linda Richter & Shane Norris; Inge Petersen, Arvin Bhana, Jane Kvalsvig,
Sheldon Allen & Leslie Swartz

Introduction
Under- and over-nutrition
Nutrition across developmental stages
Nutrition during prenatal development
Nutrition during infancy and early childhood
Nutrition during the pubertal growth spurt and adolescence
Nutrition at older ages
HIV/AIDS, tuberculosis (TB) and parasites
The HIV/AIDS pandemic
The extent of the problem
 The transmission and course of HIV/AIDS
Bio-psychosocial influences that increase vulnerability to HIV/AIDS
Strategies for the prevention and management of HIV
Prevention of mother-to-child transmission (PMTCT)
Post-exposure prophylaxis (PEP)
Pre-exposure prophylaxis (PrEP)
Treatment as prevention (TasP)
Voluntary male medical circumcision (VMMC)
Needle and syringe programmes (NSPs)
The role of psychology in the prevention and control of HIV/AIDS
Voluntary counselling and testing
The impact of HIV/AIDS on mental health
Nutrition for people living with HIV/AIDS
The TB epidemic
The extent of the problem
The transmission and course of TB
Bio-psychosocial influences that increase vulnerability to TB
Contributions of psychology to the prevention and control of TB
The impact of TB on mental health
Parasites
The extent of the problem
The transmission and course of parasitic infections
Malaria
Bilharzia
Other common parasites
Bio-psychosocial influences that increase vulnerability to parasitic
infections
The role of psychology in the prevention and control of parasitic
infections
 The impact of parasites on mental health
Conclusion

References for Part 7

PART 8
Mental health

CHAPTER 24: Psychopathology

Duncan Cartwright

Introduction
Defining psychopathology
Statistical deviance
Maladaptiveness
Personal distress
A brief history of mental illness
The early era
The ancient era
The Renaissance era
The asylum era
The scientific era
Alternate understandings of psychopathology
Classification of mental illness
Current perspectives in psychopathology
The biomedical perspective
Genetic predisposition
Abnormal functioning of neurotransmitters
Structural abnormalities in the brain
 Psychodynamic perspective
The cognitive-behaviour perspective
The community psychology perspective
The importance of the political context
The importance of the social context
The importance of the cultural context
Integrated approaches to psychopathology
Common disorders in South Africa
Post-traumatic stress disorder
The aetiology of post-traumatic stress disorder
Schizophrenia
The aetiology of schizophrenia
Conclusion

CHAPTER 25: Psychotherapies

Adelene Africa

Introduction
Psychoanalytic psychotherapy
Key ideas
Therapeutic techniques and procedures
Free association
Interpretation
Dream analysis
Resistance
Transference
Cognitive-behavioural therapy
Key ideas
Cognitive distortions and the roots of psychological distress
Therapeutic techniques and procedures
Experiential and relationship-oriented therapies
Existential therapy
Relationship-oriented therapy
Key ideas
Therapeutic techniques and procedures
Systems and postmodern approaches
Social constructionist narrative therapy
Solution-focused brief therapy
Feminist therapies
Systemic therapeutic approaches
The effectiveness of psychotherapy
The role of indigenous therapies in an African context
Cross-cultural issues in therapy
Indigenous therapies
Conclusion

CHAPTER 26: Community mental health

Tony Naidoo, Sherine van Wyk & Ronelle Carolissen

Introduction
The biomedical approach
The bio-psychosocial approach
Defining mental health
Dimensions of mental health
The interdependence of the dimensions of mental health
Personal well-being
Relational well-being
Collective well-being
Protective factors and risk factors
Protective factors
 Risk factors
Mental health services in South Africa
The primary health care approach
Mental health structures within the public health service
Community mental health
A model of community intervention
Conclusion

References for Part 8

PART 9
Organisational psychology

CHAPTER 27: Organisational psychology

Dean Isaacs, Shaida Bobat & Jill Bradbury

Introduction
A history of work
The roots of industrialisation
The industrial revolution: transforming work and society
A modern industrial world
An emerging post-industrial world
A history of organisational psychology
The early years: scientific management
The professionalisation of organisational psychology
The emergence of alternatives to scientific management
The effect of World War II
Contemporary organisational psychology
The changing nature of the workforce
 The changing nature of work
The evolving roles of organisational psychologists
Psychological assessment
Counselling
Organisational transformation and corporate culture
Occupational health and ergonomics
Labour relations
Conclusion

References for Part 9

PART 10
African and Eastern psychologies

CHAPTER 28: African and Eastern psychologies

Suntosh R. Pillay & Nandisa Tushini

Introduction
Introduction to African psychology
The Afrocentric worldview
The interconnectedness and interdependence of all beings
The spiritual nature of human beings
The communal self
The validity of affective knowledge
The oneness of mind, body and spirit
The value of interpersonal relationships
A critical look at ubuntu
African psychology – reflection
Introduction to Eastern psychologies
 The Hindu worldview
Atman
Reincarnation
Karma
Maya
Yoga
Dharma
Moksha
The buddhist worldview
The human condition involves suffering
Suffering is caused by our desire and attachments
End all desires and attachments to stop suffering
Dependent origination
Eastern psychologies – reflection
Future directions
Indigenising psychology
Embracing psycho-spiritual approaches
Growing Afro-Eastern connections
Conclusion

References for Part 10

Answers
Index
 List of contributors

Chapter 1Prof. Leslie Swartz

Department of Psychology, University of Stellenbosch

Chapter 2Dr Loraine Townsend

Senior Specialist Scientist in the Health Systems Research Unit, Medical
Research Council
Prof. Cheryl de la Rey
Vice-Chancellor and Principal at the University of Pretoria

Chapter 3Dr Loraine Townsend

Senior Specialist Scientist in the Health Systems Research Unit, Medical
Research Council
Prof. Tokozile Mayekiso
Vice-Chancellor, University of Mpumalanga
Mr Sibusiso Ntshangase
School of Educational Studies, University of South Africa

Chapter 4Prof. Tamara Shefer

Senior Professor and Deputy Dean of Teaching and Learning,
Department of Psychology, University of the Western Cape
Prof. Norman Duncan
Vice-Principal and Academic, University of Pretoria
Dr Ashley van Niekerk
Senior Specialist Scientist in the Safety and Peace Promotion Research
Unit, Medical Research Council, and University of South Africa
Chapter 5Prof. Pamela Naidoo
Chief Research Specialist, HIV/AIDS, Sexually Transmitted Infections &
TB (HAST): Human Sciences Research Council (HSRC) and
extraordinary Professor at the University of the Western Cape
Dr Loraine Townsend
Senior Specialist Scientist in the Health Systems Research Unit at the
Medical Research Council
Dr Ronelle Carolissen
Department of Psychology, University of Stellenbosch

Chapter 6Prof. Ashraf Kagee

Department of Psychology, University of Stellenbosch
Dr Loraine Townsend
Senior Specialist Scientist in the Health Systems Research Unit, Medical
Research Council

Chapter 7Dr Loraine Townsend

Senior Specialist Scientist in the Health Systems Research Unit, Medical
Research Council
Dr Kirston Greenop
Formerly of the School of Human and Community Development,
University of the Witwatersrand
Prof. Mark Solms
Department of Psychology, University of Cape Town

Chapter 8Dr Loraine Townsend

Senior Specialist Scientist in the Health Systems Research Unit, Medical
Research Council
Dr Kirston Greenop
Formerly of the School of Human and Community Development,
University of the Witwatersrand
Dr Oliver Turnbull
Centre for Cognitive Neuroscience, School of Psychology, Bangor
University
Chapter 9Ms Lynlee Howard-Payne
Department of Psychology, University of the Witwatersrand
Mr Jarrod Payne
Department of Psychology, University of the Witwatersrand

Chapter 10Prof. Jaak Panksepp

Baily Endowed Chair of Animal Well-being Science, College of
Veterinary Medicine, Bowling Green State University
Ms Viv O’Neill
Formerly Department of Psychology, University of KwaZulu-Natal

Chapter 11The late Prof. Andrew Gilbert

Formerly Department of Psychology, University of Fort Hare

Chapter 12Dr Jonathan Ipser

Department of Psychiatry and Mental Health, University of Cape Town,
and Project Manager of the Brain Behaviour Initiative

Chapter 13Dr Clifford van Ommen

Director, Centre for Psychology, Massey University, New Zealand

Chapter 14Mr David Neves

Institute for Poverty, Land and Agrarian Studies, University of the
Western Cape

Chapter 15Mr Tshepo Tlali

Department of Psychology, University of Fort Hare

Chapter 16Dr Peace Kiguwa

Department of Psychology, University of the Witwatersrand
Ms Noleen Pillay
Department of Psychology, University of the Witwatersrand

Chapter 17Ms Tanya Graham

Department of Psychology, University of the Witwatersrand

Chapter 18Prof. Martin Terre Blanche

Department of Psychology, University of South Africa
Prof. Garth Stevens
Associate Professor, Department of Psychology, University of the
Witwatersrand

Chapter 19Dr Floretta Boonzaier

Department of Psychology, University of Cape Town
Prof. Cheryl de la Rey
Vice-Chancellor and Principal, University of Pretoria

Chapter 20Mr Craig Higson-Smith

Director of Research, Centre for Victims of Torture
Ms Shahnaaz Suffla
University of South Africa Safety and Peace Promotion Research Unit,
Medical Research Council

Chapter 21Dr Kay Govender

School of Psychology, University of KwaZulu-Natal
Prof. Inge Petersen
School of Psychology, University of KwaZulu-Natal
Prof. Basil Joseph Pillay
Department of Behavioural Medicine, Nelson R. Mandela School of
Medicine, University of KwaZulu-Natal

Chapter 22Prof. Bronwyn Myers

Alcohol and Drug Abuse Research Unit, Medical Research Council
Hon. Ass. Prof. Arvin Bhana
University of KwaZulu-Natal
Prof. Elias Mpofu
Faculty of Health Sciences, University of Sydney, Australia
Chapter 23Prof. Linda Richter
Distinguished Research Fellow, Human Sciences Research Council
Prof. Shane Norris
MRC Mineral Metabolism Research Unit, Department of Paediatrics,
University of the Witwatersrand
Prof. Inge Petersen
School of Psychology, University of KwaZulu-Natal
Hon. Ass. Prof. Arvin Bhana
University of KwaZulu-Natal
Dr Jane Kvalsvig
Affiliate School of Public Health, Harvard University; Community
Health, Medical School, University of KwaZulu-Natal
Mr Sheldon Allen
Formerly a consultant for the Health Systems Research Unit, Medical
Research Council
Prof. Leslie Swartz
Department of Psychology, University of Stellenbosch

Chapter 24Prof. Duncan Cartwright

School of Psychology, University of KwaZulu-Natal

Chapter 25Ms Adelene Africa

African Gender Institute

Chapter 26Prof. Tony Naidoo

Chair of the Department of Psychology, University of Stellenbosch
Ms Sherine van Wyk
Department of Psychology, University of Stellenbosch
Dr Ronelle Carolissen
Department of Psychology, University of Stellenbosch

Chapter 27Mr Dean Isaacs

School of Psychology, University of KwaZulu-Natal
Ms Shaida Bobat
School of Psychology, University of KwaZulu-Natal
Prof. Jill Bradbury
School of Psychology, University of the Witwatersrand

Chapter 28Mr Suntosh R. Pillay

KZN Department of Health; University of KwaZulu-Natal
Ms Nandisa Tushini
Formerly School of Psychology, University of KwaZulu-Natal
For vignettes in the first editionDr Kerry Gibson
Department of Psychology, University of Auckland, New Zealand
 Acknowledgement

Chapter 2, page 34, Table 2.1 Example of a semi-structured interview:

Pedroso R.S, Kessler F., Pechansky F. Treatment of female and male
inpatient crack users: A qualitative study. Trends Psychiatry and
Psychotherapy. 2013; 35(1):36–45.
Chapter 3, page 61, Box 3.3: Extract from Watson, J.B. (1925).
Behaviorism: New York: Norton, 82. © 1924, 1925 by the People’s
Institute Publishing Company, © 1930 by W.W. Norton & Company, Inc,
renewed 1952, 1953, © 1958 by John B. Watson. Reproduced by
permission of W.W. Norton & Company, Inc.
Chapter 3, page 70, Figure 3.10 Erikson’s eight stages of psychosocial
development: Erikson, E.H. Life cycle completed: Extended. ©1997 by
Joan M. Erikson. Reproduced by permission of W.W. Norton &
Company, Inc.
Chapter 4, page 87, Table 4.1: Onoya, D. et al. (2014). South African
National HIV Prevalence, Incidence and Behaviour Survey, 2012. Cape
Town: HSRC Press.
Chapter 4, page 95, Box 4.5: Quotes of young woman’s dialogue. ©
University of the Western Cape.
Chapter 5, page 128, Table 5.1 e five-factor model of personality:
Widiger, T.A. & Costa, T. (2013). Personality disorders and the five-factor
model of personality: 3–11. © American Psychological Association.
Adapted by permission of the American Psychological Association.
Chapter 5, page 134, Quote. Spencer-Oatey, H. (2008). Culturally
speaking: Culture, communication and politeness theory, 2nd ed. London:
Continuum:3. © Bloomsbury Continuum Publishing. Reproduced by
permission of Bloomsbury Publishing Plc.
 Chapter 8, page 185, Table 8.1 e energy signals to which the
various senses respond: Holt, N., Bremner, A., Sutherland, E., Vliek, M.,
Passer, M. & Smith, R. (2012). Psychology: e science of mind and
behavior, 2nd ed. London: McGraw-Hill.
Chapter 15, page 301, Table 15.1 e classification of IQ scores
according to the Wechsler Adult Intelligence Scale. Wechsler Adult
Intelligence Scale, 4th ed. (WAIS-IV). © 2008 NCS Pearson, Inc.
Reproduced by permission of NCS Pearson, Inc. All rights reserved.
Chapter 16, page 333, Table 16.1 Attachment styles in adult
relationships: Hazan, C. & Shaver, P. (1987). Romantic love
conceptualized as an attachment process. Journal of Personality and
Social Psychology, 52(3), 511–524.
Chapter 26, page 534, Quote. Reprinted from Women’s mental health:
An evidence-based review. Geneva, Switzerland: World Health
Organization:11. © World Health Organization 2000.
Chapter 27, page 568, Quote. Anderson, Susan. (2005). Labour laws
deny freedom of choice. Sunday Tribune, 2 October 2005. e views
expressed in the article are the author’s and are not necessarily shared
by the John Templeton Foundation or the Free Market Foundation.
Chapter 28, pages 580 and 584, Quote. Mzama, A. (2001). e
Afrocentric paradigm: Contours and definitions. Journal of Black
Studies, 31(4):388. Reproduced by permission of Sagepub.com.
Chapter 28, page 592, Quote. Nwoye, A. (2014). African psychology,
critical trends. In T. Teo (Ed.), Encyclopedia of critical psychology, Vol. 1.
New York: Springer Reference.
 How to use this book

Psychology: An introduction was written to meet the need for a

psychology textbook that South African lecturers and students can
identify with, and which addresses key psychological issues as they
occur not only in the world but also in South Africa.
ere are a number of features that will help the reader, whether a
student, tutor or lecturer.

Parts
is book is divided into ten parts. At the beginning of each part is an
introduction where the lead author for that part indicates how the
chapters in that part fit together and how they relate to the study of
psychology as a whole.

Learning objectives
At the beginning of each chapter, you will find a bulleted list of learning
objectives. ese will help you to focus your attention and, after
studying the chapter, you should be able to achieve each objective.

Narratives
e purpose of the short narrative section at the start of each chapter is
to place the content that follows it into a South African perspective.

Boxes
Interesting research facts, debates or case studies are included in text
boxes throughout the book.

Key concepts
Near the end of each chapter is a glossary of the important terms used
in that chapter. is could also serve as a revision tool.

Exercises
At the end of the chapter, there is a section that includes multiple choice
questions and short-answer questions. As a student, you can use these
questions to test your own knowledge of the chapter. As a tutor, you
might want to use these questions as a classroom or assignment
exercise.

References
At the end of each part is a list of the references used in that part. e
references include journal articles, books and websites. As a student
you can use the references to find more information about each of the
topics.

Answers
e answers to the multiple choice questions are provided in the
answer section at the back of the book. In the case of the short-answer
questions, there are page references supplied at the back of the book
that direct you to where the relevant information can be found.

Ancillary material
Oxford University Press SA will make ancillary material available to
those lecturers who confirm that they are prescribing this book for their
classes. e ancillary material, namely an instructor’s manual, a
question bank and PowerPoint® slides (ISBN 9780199077250). Please
contact the Higher Education Sales Administrator to receive this
ancillary material.

Further contact
Should you have any comments about the book, the publisher and
authors would be pleased to receive them. Contact the Commissioning
Editor, Higher Education Division, OUP SA by emailing
oxford.za@oup.com.
Leslie Swartz
Cheryl de la Rey
Norman Duncan
Loraine Townsend
 PART 1

Introduction to psychology
 Introduction
Viv O’Neill

In starting your study of psychology, you are embarking on what we hope

will be a fascinating journey of discovery. In studying psychology, you will be
learning about the many aspects that underlie human behaviour – our
neural structures, how we develop, what influences our personalities, our
social behaviour, psychopathology, and many more aspects of what makes
us human.
This first part of the book comprises two chapters and sets the scene for
your study in psychology. Chapter 1 introduces the idea that psychology is a
system of beliefs like many other such systems. It explains how you can train
to be a psychologist and how important it is to approach your studies from a
reflective and critical perspective. You will need to read and study widely to
get to grips with this subject. The chapter also describes the historical
development of the discipline of psychology and notes the importance of
ethical practice.
Chapter 2 covers the very important and fundamental area of research.
For psychology to be a science, it needs to base its statements and
conclusions on careful observation and recording of events. Research
involves investigating and examining all aspects of human and social
behaviour. In the past, most psychological research was quantitative in
nature, relying only on observable phenomena. More recently, there has
been an upsurge in qualitative research. Both of these approaches have
strengths and weaknesses. Chapter 2 also describes the steps a researcher
would follow to initiate, conduct and complete a research project.
 Finding out about
CHAPTER
people 1
Leslie Swartz

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• understand that psychology is a system of beliefs
• understand how theories develop and how to crucially evaluate evidence supporting them
• access and evaluate the quality of psychological information
• understand the use of terminology in psychology and its implications
• explain the importance of ethical practice in psychology and what comprises ethical behaviour
• describe the history of the discipline of psychology
• describe the main schools of thought in contemporary psychology
• understand that knowledge in psychology emerges from specific sociocultural contexts and
that a critical perspective and caution are needed in applying knowledge across diverse cultural
contexts.

Introduction
Young people today do not have the same values their parents had.
Stress is making life unbearable for most people.
e trouble with politicians is that they are all dishonest.
Like it or not, men are more logical than women.
South Africa is a traumatised society.
If you want your child to speak properly, don’t talk baby talk to her.
Only rich people can afford to become mentally ill.

We hear these sorts of statements all the time. ey are opinions about
people that are stated as though they were facts. You may agree with
some of these statements and disagree with others. But how do we decide
whether any of the statements are true? How can we gain more
confidence in our ideas about people? Can we become more specific in
our claims than the above generalisations suggest?
ere are many systems of belief about people, our behaviour and
what makes us who we are. Psychology is one of these belief systems, but
it is not the only one. Many people, for example, look to religion to
explain human behaviour. Others base their views on what older, more
experienced people in society say is true. Increasingly, perhaps, many of
us look to celebrities or famous people to give us lessons in life and
knowledge about people. Psychology differs from other systems of belief
about people in one crucial respect: psychologists are concerned not
only with what we know about people, but also about how we come to
know these things.
In many approaches to understanding people, approaches that differ
from psychology, it is important to know who is making claims about
people, their behaviour and what makes them human. For example, in
many systems of belief, the views of a recognised elder or expert are
thought to be the best insight we can have into people. In such systems of
belief, people will defend their views by saying that these views are
similar to those of an elder or recognised expert. However, in psychology,
while there are indeed experts, the way in which we weigh up whether a
belief about people is true is rather different.
Consider, for instance, the statement: ‘How people develop in later life
is related in some way to their early experiences.’ is statement is so
broad that all psychologists would probably agree with it. But a
psychologist who is influenced by the work of Sigmund Freud, the
founder of psychoanalysis, may agree with this statement on the basis of
having read Freud’s work. e psychologist may have been convinced
that Freud’s method of analysing adults and linking current behaviour to
early experience provides useful information on human development.
is psychologist would not agree with the statement simply because
Freud agrees with it, but would agree with it on the basis of being
convinced by Freud’s methods and approach to creating new knowledge
about people.
 1.1 USING PSYCHOLOGY IN YOUR FUTURE CAREER
Many people, when asked what psychologists do, believe that all psychologists are psychotherapists. In
addition, people expect psychologists to have better insights into themselves and others than other
people do (although there is also the contrasting image of the ‘crazy’ psychologist). These images of
psychologists are, of course, limited. Psychology is a very broad discipline and there are many aspects to
it.
The vast majority of people who begin studying psychology at undergraduate level will never
become psychotherapists. This is partly because places in professional training courses are limited, but
also because most people who study psychology do not choose to go in that direction.
Introductory psychology courses, such as the ones for which this book has been written, are not
generally designed as an introduction to psychotherapy. This book offers a very broad introduction to
basic knowledge that first-year students in psychology need to master before they go on to more
advanced training in psychology. This basic knowledge will help you open your mind to new ideas and
to new ways of collecting and analysing information about people. In time, you will be able to apply
these to a range of situations.
Learners from a wide range of disciplines take courses in psychology to learn ways of thinking about
people that are helpful in their chosen fields, which include health, education, business, management
and social development. Psychologists themselves work in a wide range of contexts – in schools
communities, hospitals, prisons, business, training of athletes, the police force and the military, to name
just a few.
At present in South Africa, to become a psychologist registered with the Health Professions Counci
of South Africa (HPCSA) you have to have a Master’s degree in psychology and you have to have
completed a recognised internship (which is like an apprenticeship in your particular branch of
psychology). In addition, candidates must write the National Professional Board examination before they
can register as a psychologist.
To be accepted into a Master’s programme in psychology, you need to have a first (Bachelor’s) degree
majoring in psychology and an Honours degree in psychology. However, many more people wish to
train as psychologists than there are places in the Master’s programmes. Students who have done
appropriate community or volunteer work, and who are able to speak a number of South African
languages, will generally have a better chance of being accepted into postgraduate programmes. The
fact is, though, that many people will not be accepted into such programmes, and every sensible
psychology undergraduate should consider professional training in psychology as only one of a possible
range of options. Some universities in South Africa now offer a Bachelor of Psychology (BPsych) degree
a four-year undergraduate programme leading to registration with the HPCSA as a registered counsellor
once again, places on these courses are limited.
As you study psychology, think about what interests you about the discipline and why, and think
about what alternatives there may be to being a psychologist that will allow you to pursue these
interests. Studying psychology provides an excellent background for a wide range of careers. Even from
your first year, you should plan how to use what you learn to develop a fulfilling career, in whatever
direction you choose.

By contrast, there are many psychologists who do not agree with Freud’s
approach. ese psychologists cannot simply say that they do not like
what Freud said. On the contrary, what they would need to do is to show
how, in their view, the ways in which Freud came to his conclusions are
lacking in logic or simply incorrect. ese psychologists would then make
their own arguments about how to find out about human development.
ey could say, for example, that the only way we can know for sure
whether early experiences affect later development is by observing
babies and seeing how these babies develop into adults. is method of
careful observation of people over a long period of time is different from
Freud’s approach, and could therefore result in different conclusions
about human behaviour.
In focusing on the methods of finding things out, psychology is similar
to many other scientific approaches to understanding the world. Human
sciences, which include psychology, sociology and anthropology, are
similar to other sciences, such as physics and zoology, in that they are all
concerned with collecting information in a particular way, using
particular methods (see Box 1.2). Students of all these sciences must not
only learn about what is true; they must also learn why things are true.
Let us look again at the statement about human development: ‘How
people develop in later life is related in some way to their early
experiences.’ If we assume for the moment that this statement is true,
why is it true? How do we explain that it is true? We may have a lot of
evidence that it is true, but this does not explain why it is true.
 1.2 THE SCIENTIFIC METHOD
Many people begin to feel anxious when they encounter a term like ‘the scientific method’. However, as
Kosso (2011) notes, we all practice such methods every day. You want to eat a snack and open a packet
of biscuits. But you notice they are soft and taste a bit stale, so you check the ‘best before’ date and see
that they expired some months ago. What has happened here is that you developed a hypothesis (‘the
biscuits are stale’), gathered consistent evidence from two sources (how they look and taste, and their
expiry date) and interpreted that evidence in the light of your knowledge about food. In scientific
studies, these methods are slowed down and undertaken more deliberately, but the process is basically
the same (Kosso, 2011).
A researcher using the scientific method would follow these steps (considered in more detail in
Chapter 2):
Ask a question (e.g. ‘Is there a difference in psychology marks between male and female students?’).
Do background research (what have other researchers found?).
Formulate a hypothesis (e.g. ‘Female students get higher marks’; this may be because they are more
mature when they reach university or they are more serious about their studies).
Collect data – this enables the hypothesis to be accepted or rejected (the researcher could look at all of
the undergraduate first-year psychology marks for the last 10 years).
Analyse the data (e.g. by averaging all of the male students’ marks and all of the female students’ marks,
the researcher will be able to say which gender gets higher marks).
Communicate the results (e.g. publish them in a journal).

Let us think about two possible reasons why it could be true. One
reason could be that we learn patterns of behaviour in childhood that we
continue to apply throughout life. Another could be that there is
something about the way that our brains and bodies work that
determines both our early experiences and our later behaviour. Each of
these two views represents the beginnings of a theory about how people
develop.
e way in which we decide between different theories of human
behaviour depends upon the methods that we use to test and develop
theories. For example, psychologists have conducted a great deal of
research on identical twins (exactly the same in their genetic make-up)
who have been raised in different homes and much evidence has been
found that identical twins raised apart will tend to develop in ways that
are strikingly similar. is evidence has been used by those who favour
genetic explanations for human behaviour (those who believe ‘nature’ is
very important) to bolster their theoretical approach. But things are not
necessarily so simple. Others, who are more convinced of environmental
influences (‘nurture’), have shown that even when twins are raised in
separate households and never meet each other, those households are
often quite similar to each other. And so the debates go on and on.

Figure 1.1 Sigmund Freud

 Figure 1.2 Psychologists have conducted a great deal of research on identical twins

SUMMARY

• Psychology is one of many systems of belief, however it differs in that it focuses on how we know
things about people.
• Psychological theories are based on evidence or arguments.
• Research on identical twins can show how some influences on the developing child are genetic
(nature) and others are environmental (nurture).
• Training in professional psychology requires a minimum of five years of university study and one
year of internship, followed by the National Professional Board exam.

Finding out about psychology

is book may well be your first formal introduction to psychology. You
will find many topics are covered, but because psychology is such a big
field, there are also many aspects that are not covered. A single book can
only introduce some of the key issues in psychology. To find out more,
you will need to read widely.
An enormous amount of information is available about every aspect of
psychology and this can be daunting. Because new ideas are emerging all
the time, a good way to keep up to date in the field is always to be on the
lookout for new, reputable books. In the field of psychology, however,
academic journals are possibly even more important than books.
Examples of South African psychological journals are the South African
Journal of Psychology, the Journal of Industrial Psychology, Psychology in
Society and Psychoanalytic Psychotherapy in South Africa.
ere are also many excellent international journals, and many
university libraries now offer online access to these through search
engines like PsychInfo and PsychArticles. Psychologists in academic
departments and research psychologists, as well as practitioners, will
generally publish their work in academic journals.
A big advantage of reading articles printed in good psychology
journals is that articles are assessed for quality before being accepted for
publication. In this standard process, any article sent to a journal is
reviewed by a number of experts in the field (this is called peer
reviewing). Articles which, according to the reviewers and the editor, are
not academically up to standard will not be accepted for publication.
Unfortunately, this does not mean that bad articles are never published!
e internet is a wonderful resource for gathering information easily,
but there are drawbacks. On the plus side, there are thousands of
websites which deal with every conceivable aspect of psychology. On the
minus side, a person who knows nothing at all about a subject can put
ideas on the internet as if these are fact – there is no quality control.
Because students often have difficulty in assessing the quality of what
they read, some university lecturers do not allow students to access
material from the internet. Nevertheless, there are many excellent
websites, online journals and discussion forums that use a peer-review
process like printed journals do. An added bonus is that sources can be
accessed and read as electronic files, rather than in print.
e key to using the internet (or any other knowledge source) is always
to assess critically the quality of what you are reading. You will not
automatically have this skill. Some old-fashioned educational
techniques, where learners are forced to memorise lists of facts or ideas
without questioning them, in fact discourage critical thinking. A key
purpose of training in psychology (and in other university subjects) is to
develop your critical thinking skills.
 When we read about psychology, how do we assess the quality of what
we read? First, we cannot judge the quality of an argument on the basis of
what it concludes about people, or on the basis of whether we agree with
the author’s beliefs about people or not. It is quite possible for two
excellent psychologists to differ strongly about an aspect of human
behaviour, while both providing convincing arguments and good
evidence for reaching their conclusions. As you read more widely in
psychology, you will find that there are many differences in opinion
among researchers. It can even be the case that two researchers conduct
what looks like the same experiment in two different settings, but get very
different results. is does not mean, necessarily, that either of the
researchers did bad work. On the contrary, different findings from
different contexts may give us important information.
A discipline such as psychology thrives on debate. People are complex
and different ways of studying people provide different sorts of
information. It is through engaging with the debates that we learn, and
the discipline of psychology can move forward. Students studying
psychology for the first time sometimes expect it to teach them the so-
called facts about people and assume that psychologists know everything
there is to know about the human condition. is is not the case. It is
certainly true that there are principles about understanding human
behaviour that are supported by good research evidence and strong
theories, and you will learn about some of these principles in this book.
But the discipline is developing all the time, and new evidence and
arguments make for new views about people.
In psychology, you have to be able to assess the research methods
used to support an argument before you can assess whether that
argument is well made. So you need to understand methods of research,
which are the processes whereby psychologists make systematic
observations of people and use these observations to develop theories.
is is why the second chapter of this book focuses on research methods.
But even before you are skilled in understanding the many sophisticated
methods psychologists use in their research, there are two basic
questions you can ask about anything you read in psychology:
1. Does the author provide evidence for what he/she claims to be true? In
psychology, we cannot just make claims because we believe things to
 be so. Good psychologists rarely generalise, and they show to what
extent there is sound evidence to support their views.
2. Does the author provide a clear and logical argument, linking what
he/she reports on having read and/or observed to what he/she
concludes? When you read a psychological text, assess how well the
author builds an argument. When you read closely, you may find that
the author leaves out steps in his or her argument, or jumps to
conclusions on the basis of insufficient or incorrect evidence.

Learning to read critically in psychology is not something that happens

overnight; it is not easy for some students to make the leap from reading
a text for supposed facts (as they may have done in some schools) to
reading in order to understand and evaluate what they read. But
becoming a critical reader is crucial to becoming a successful psychology
student – and it is also fun! As you develop your critical skills, you will
start to enter the world of scientific debate. You will no longer be
someone who just reads and accepts what you are told; you will become
a partner in creating your own knowledge.

Psychological terminology
When you learn a new discipline such as psychology, you learn many
new words. ese terms are sometimes referred to as the jargon of the
discipline. Some you may have heard before, but they may have a slightly
different meaning in the context of psychology. For example, many
people use the term ‘depression’ to refer to a wide range of emotions and
experiences. However, when psychologists refer to depression as a
syndrome, they generally refer to a specific set of symptoms and
behaviours.
In some cases, professional people such as psychologists use too
much jargon – or use fancy words when simple ones will do. In this book
we have tried to keep the amount of jargon to a minimum, but it is
important that you understand the terms that are used. ere is a
glossary of key concepts at the end of each chapter to help you, and you
can also consult dictionaries of psychology and the social sciences in
your university library.
 As in other disciplines, words in psychology change over time and are
used differently in different places. For example, the recent edition of the
Diagnostic and statistical manual of mental disorders (DSM-5) (American
Psychiatric Association, 2014) no longer uses the term ‘mental
retardation’ for impairments in mental abilities but rather ‘intellectual
disability’ (intellectual developmental disorder).
ough many of us would now disapprove of words such as imbecile,
moron, feeble-minded and even the comparatively recent term, mentally
defective, there have been times when each of those terms was quite
acceptable to professionals working in the field. It is part of our job when
using words in psychology to think of where these words come from, and
what they can be taken to mean in the context in which they are used
today.

Subjects, respondents, participants or informants?

When we do psychological research, we are usually interested in aspects
of human behaviour, thoughts or emotions. But what do we call the
people we are observing in order to study behaviour, thoughts and
emotions? irty years ago there was little debate about this –
psychological research was conducted on what were termed ‘subjects’.
More recently, however, there has been debate about the use of this term.
ere are two major objections to the term ‘subjects’. First, the term gives
the impression that research is being ‘done to them’, which implies
coercion or force and the use of power by psychologists. Second, the term
ends to make us think of the person being studied as a passive recipient
of research and not as a person actively living in and making sense of
their environment.
Many researchers now prefer to use the term ‘respondents’, as this
gives the sense that we are interested in people who are responding to
questions that psychologists pose or to situations in which psychologists
place them. Other researchers prefer the term ‘participants’, which
emphasises the active role people play when taking part in psychological
research. But some psychologists do not like this term as they think it also
applies to the psychologists who are conducting the research. Another
term that is used for the people being studied by psychologists is
‘informants’.
Nowadays many researchers avoid the subjects/
respondents/participants/informants debate by referring specifically to
the group being studied. For example, if we are studying cyclists’ reaction
times we can refer to the people we are studying as cyclists, and not use
any other term and the same would apply when studying adolescents,
musicians, accountants, and so on. ere is no hard and fast rule as to
what term to use, but there are different conventions that tend to be
adopted by users of different types of research methods (see Chapter 2).
ough it is possible to read too much into the ways in which researchers
refer to the people they are studying, it is an interesting exercise to think
about what may be implied by the use of different terms.

Figure 1.3 Subject, respondent, participant or cyclist?

Patients, clients or consumers?

Historically, clinical psychology has had strong ties to the practice of
medicine, and clinical psychology texts have referred to the people whom
clinical psychologists try to help as patients. is remains acceptable, but
many psychologists have objected to it on the grounds that it implies that
the people clinical psychologists work with are ill, when many would
argue that the difficulties they face are not diseases. ere are various
alternative terms to patient, and the word ‘client’ is probably the one
most commonly used in psychology as it emphasises that the
relationship between the clinical psychologist and the person whom the
psychologist is helping may be different from that between doctor and
patient, and more similar to that between a person offering services
(such as legal services) and that person’s clientele. Even within the health
field, though, there is some debate about the word ‘patient’, and we
sometimes see people who make use of health services referred to as
consumers, service users or even simply users.

Figure 1.4 Patient, client or consumer?

In counselling psychology, for some time the person doing the
counselling was referred to by some writers as the helper, and the person
receiving the counselling as the helpee. is illustrates the extent to
which psychologists have struggled to find appropriate terms to refer
respectfully and accurately to those with whom they work.
ere is no single correct way to use language in a discipline as
complex and diverse as psychology. In this book, we have not been
prescriptive about many terms, and we have deliberately not imposed a
uniform standard on the way all words are used. For this reason, for
example, the term ‘patients’ is used extensively in the chapter on
nutrition, HIV/AIDS, TB and parasites (Chapter 23), but the term ‘ client’
is used in the chapter on psychotherapies (Chapter 25). As an active
reader of this book (and other writings in psychology), you will have to
make up your own mind about what words are best used where. But
remember: always have a reason that supports your choice of words.
ere is one area in which we have been consistent about the use of
terminology though, and this is in the use of non-sexist language. Until
fairly recently, psychologists and others have happily used masculine
nouns and pronouns to refer to all people, male and female. However,
this kind of usage subtly implies that what is true for men is also true for
women, which may not always be so, and that the male gender is taken as
the standard for human behaviour. e use of sexist language has been
prohibited in most journals in which psychologists publish their articles,
and this book follows that tradition. Psychology students, similarly, are
expected to use non-sexist language in their writing.

Ethics in psychology
In Chapter 17, which is on group concepts, processes and dynamics, you
will learn about the classic studies in psychology conducted by Stanley
Milgram. Milgram wanted to understand how ordinary people come to
be perpetrators of oppression and violence. is is an important
question, and one which is as relevant today as it was in the early 1960s
when Milgram was doing his work. One method used by Milgram was to
deceive people into believing that they were giving electric shocks to
people who were failing at certain tasks. In fact, the people who were
apparently receiving shocks were not being shocked at all – they were
actors working with Milgram to deceive the research subjects. Milgram’s
findings as a result of this work were very important – Milgram was able
to show that his subjects would continue, as far as they were aware, to
administer electric shocks to the actors as part of a psychological
experiment. On the basis of these findings, Milgram was able to conclude
that we all have the potential to commit acts of extreme harm when we
are in situations in which we are obedient to others in authority. ese
findings imply that the difference between those who torture others and
those who do not may be situational rather than moral.
e importance of this for how we think about many contemporary
problems – including those of violence, oppression, terrorism and
genocide – cannot be overestimated. But let us think for a moment what
it must have been like to have been a subject in Milgram’s experiments.
Imagine having to live with the knowledge that you are, in fact, quite
capable of inflicting severe pain on others simply because somebody else
tells you to do so. Even if it were explained afterwards that you did not
really hurt any-one, you may have found out something about yourself
which you really did not wish to know.
ere have been many debates in psychology about whether Milgram
was ethically correct in deceiving people into believing they were hurting
others. Was Milgram unethical in what he did? Or does what he found
out, by conducting his work in this way, outweigh any concerns about
harm to those who participated in his studies? Debates like this in
psychology (and there is still debate about the ethics of Milgram’s work)
alert us to more subtle questions about the ethics of what we do.
In most, if not all, countries where psychology is organised as a
discipline, there are codes of ethics that govern psychologists’ behaviour
and protect the public from abuses by psychologists. Psychologists must
ensure in all their work that they in no way violate other people’s human
rights. Underlying most professional codes of conduct are principles that
emphasise the following (adapted from American Psychological
Association’s ‘Ethical Principles of Psychologists and Code of
Conduct’, 2010):
• beneficence, or acting in the best interests of the client
• competence, or conducting work only for which one is trained and
able to do
• non-maleficence, or not causing harm
• fidelity, or behaving in a trustworthy manner
• integrity, or a commitment to the truth
• respect for human rights and dignity.

ese principles apply to the work psychologists do with the people they
study, with the people they aim to help, with their students and with
colleagues. As you read the chapters in this book, think carefully about
every study mentioned and consider how ethical that study is. For
example, under what circumstances and to what degree is it acceptable
to lie to people about the purposes of a research study? How ethical is it
to assess a child for learning problems if, once having found that there
are such problems, you are not able to offer a way of remedying the
problems? If you are concerned about the spread of HIV/AIDS through
the sexual abuse of young children, what may be the ethical ramifications
of finding out about this abuse? What, if anything, should you, as a
researcher, do with the information that a child has been abused and that
the abuse may be continuing?
ere is scarcely a question in psychology that does not raise ethical
debates, and it is important to think about ethics at all times. e
question of ethics must be considered not only at the individual level.
Given that we know, for example, that poverty can have devastating
effects on human development (see Chapter 18), what is the
responsibility of psychologists to contribute to the eradication of poverty?
Should psychologists, as scientists, be politically neutral, or should we
take a stand on political issues in line with our professional ethics, and in
line with what we know about human behaviour?
If we, as psychologists, do align ourselves politically with certain
positions, does this compromise our ability to make as broad as possible
a contribution to society as experts in our field? An ethical dilemma,
which has confronted clinical psychologists in the aftermath of apartheid
in South Africa, has been whether support should be offered to those
who committed gross human rights abuses. Do such people deserve
psychological help? Who has the right to decide who deserves help and
who does not? Even if we feel we would rather not be helping
perpetrators of abuse, what are the social consequences of not giving this
help? Could psychological help prevent perpetrators of crimes such as
rape and child abuse from abusing again? How do we weigh up such
questions?
When psychologists choose to work in the public domain, ethical
questions are raised again. Psychologists are often called in by courts of
law as expert witnesses to help the courts decide on a range of matters.
For example, the court may need to decide whether a person who has
perpetrated a criminal act can be held legally responsible for his/her
actions. In the 2014 trial of Oscar Pistorius, a psychologist’s report was
read into evidence by the defence team, who were seeking to establish
Pistorius’s mental state and how this may have impacted on his actions.
Or a court may need to decide on custody arrangements for children
whose parents have decided to divorce and who disagree on what is best
for them. In the nature of the legal system, the courts often wish the
psychologist, as expert witness, to give an opinion that is based on
certainty. But psychologists are often not 100 per cent sure – it is in the
nature of our discipline to be critical and to see shades of grey in human
behaviour. In order to achieve an outcome that they believe best for
society, psychologists may be tempted to claim to be more certain than
they are of something. But is this ethical? Is it honest?
Should psychologists offer their services to lessen the harmful effects
of certain social practices? Imagine, for example, that you, as a
psychologist, are called in to offer assistance to people who are
participating in a reality television series in which they are regularly
humiliated. What should you do? If you offer help to these participants,
are you not subtly lending support and legitimacy to an unethical
television show? Will the fact that a psychologist has been involved be
used by the show’s producers to convince the public that they are
behaving ethically? What if you, as a psychologist, believe the show
should not be aired, but a valued colleague of yours feels differently, and
is quite happy to provide psychological assistance? Should you try to
discuss your differences in private, or should you have a public debate
with your colleague? What would such a public debate do to the image of
psychology as a profession?
 As you have no doubt gathered from the above examples, ethical
issues in psychology are not easy to address and resolve. What may
appear to be a clear answer to an ethical dilemma may raise other ethical
dilemmas that are far more complex. Psychologists can never claim to
have resolved all of the ethical issues associated with their work, but what
they can do is ensure that, in everything they do, they think carefully
about ethical issues, and about how what they do affects the welfare of
individuals, groups, communities and nations.

SUMMARY

• Psychological knowledge is developing constantly. It is important for students of psychology to

remain up to date.
• Peer-reviewed articles in academic journals are usually of greater accuracy and value than
information found on the internet.
• Students need to become critical readers. They should learn how to judge the quality of an article.
Academic quality depends on the standard of the evidence (and underlying research) and
arguments offered by authors.
• Psychology (like other disciplines) has a dedicated jargon. Students should think carefully about the
possible meanings and interpretations of terms.
• There has been much debate about the terms used for people who participate in research and
those who come to counselling or psychotherapy.
• All psychological practice (research or interventions) should be conducted in an ethical manner
and the profession is governed by an ethical code of conduct. However, many psychological issues
are extremely complex and choosing the most ethical action may not be easy.
1.3 BRIEF HISTORY OF PSYCHOLOGY
Source: Norman Duncan and Brett Bowman
Because psychological concepts are used so often in our everyday language, it is tempting to think that
the discipline of psychology has been a long-standing knowledge system. However, the discipline of
psychology as we know it today was only formalised relatively recently. Although the term ‘psychology
was already being used around 1520 by Marko Marulić to describe a field of study concerned with the
human mind and/or spirit, the scientific discipline of psychology was only formalised in 1879 when
Wilhelm Wundt established a laboratory dedicated to psychological research.
Wundt was interested in trying to break down sensory experiences into their smallest parts – a kind
of chemistry of experience – and his school of thought is referred to as structuralism. However, William
James (1842–1910) founded a different school of thought called functionalism. Functionalists disagreed
with Wundt’s ideas and were more interested in the purpose of consciousness. Functionalist thought
was strongly influenced by the evolutionary theory of Charles Darwin.
The varying historical pathways that led to Wundt’s laboratory in Leipzig are difficult to trace. Some
go back many thousands of years. Thus the history of psychology may be understood as a continuing
reflection on some enduring questions, such as: What is human nature? How are the mind and body
related? Are behaviours learnt or inherited? How do humans acquire knowledge? What is abnorma
human behaviour? How do we use psychological techniques to deal with apparently psychologica
problems? These sorts of questions have been tackled very differently at certain periods in history.

Ancient times
We can find evidence of formal thought on the mind and the human condition in Greece at around
5000 BC, in China at around 4000 BC and in Egypt at around 1550 BC. The texts left by these ancient
philosophers contain many of the themes that make up modern-day psychology. From them, historians
give special recognition to the Greek philosopher Plato, who distinguished between the rational psyche
and the irrational psyche; the Greek philosopher Aristotle, who wrote about human memory; and the
Chinese philosopher, Mencius, who contemplated the elements of the human mind (Leahey, 2004)
Other key forerunners of psychology included the Greek philosophers Democritus, who proposed a
material basis for mental states (Leahey, 2004), and Hippocrates, who argued that both mental and
physical pathologies are the result of natural causes (Hergenhahn & Henley, 2013).

Europe’s Middle Ages and its Renaissance

Europe’s Middle Ages lasted from the 5th century to the 16th century, and during this time concerns of
a psychological nature were heavily influenced by religious frameworks. However, there was a move to
link faith and reason, notably by St Anselm of Canterbury, who often used logic in his theologica
writings. During this period there was also a focus on the psychology of love and the examination of
those characteristics and feelings that seemed to make humans distinct from one another.
This tendency to highlight emotional states and human relationships continued into the
Renaissance, which was characterised by a deep respect for humanism and naturalism. Many historians
believe that naturalism’s fascination for uncovering the laws of nature paved the way for the period of
the Enlightenment that was to follow.

The European Enlightenment

In Europe, the beginning of the 18th century was marked by an urge to uncover the laws of the universe
and the place of human consciousness. Rejecting the taken-for-granted teachings of the church
Enlightenment philosophers and scientists were suspicious of any knowledge that was not acquired
from the senses or from rational argument. It was out of this era of scepticism that the scientific method
as a means to understanding the natural and social worlds was born.
During this period, the Frenchman René Descartes suggested that thought was the foundation of
knowledge. On the other hand, a group of British philosophers suggested that experience formed the
basis of all thinking and acting. These philosophers included Thomas Hobbes, John Locke and David
Hume, and, although they differed in their theorising of human psychology, each valued the use of a
strictly systematic method for investigating human behaviour. The use of this method and an insistence
on its utility for understanding human consciousness led to the emergence of a science of mental life in
the Leipzig laboratories of 1879.

Psychology in South Africa

While some psychological research took place in South Africa during the first two decades of the 20th
century (Foster & Louw, 1991), psychology as a formal discipline emerged in South Africa only in the
1920s with the establishment of the first psychology departments at the Universities of Pretoria, Rhodes,
Stellenbosch and the Witwatersrand (Bowman, Duncan & Swart, 2008; De la Rey, 2001; Cooper, Nicholas,
Seedat & Statman, 1990). Despite some significant advances made in the sub-discipline of socia
psychology in South Africa during the 1920s and 1930s, such as the seminal research on intergroup
relations and prejudice conducted by MacCrone (Bowman et al., 2008), the overall development of the
discipline appeared to be fairly slow.

Until the 1940s, therefore, South African psychology as an academic discipline remained relatively
small. Largely for this reason, it was strongly influenced by the psychology of the northern hemisphere
at least until the end of the 20th century.
As in many other parts of the world, the discipline of psychology in South Africa was first driven by an
interest in the development, adaptation and application of various intelligence tests. Also as elsewhere
in the world, but particularly in North America (Benjamin, 2008), these instruments were largely
employed to determine the differences in intelligence between various races (Bowman et al., 2008). This
type of research was later harnessed to give a so-called rational basis to various racist state policies and
practices in South Africa.
With the outbreak of World War II and a consequent demand for the services of psychologists to
develop aptitude tests and programmes for demobilised troops, the growth of the discipline appeared
to gain considerable momentum. This momentum was maintained after the war, with the growing
realisation of the value of psychology for the South African industrial sector (Bowman et al., 2008).
While South African psychology’s growth after World War II was significant, many people criticised it
for being unimaginative and too preoccupied with emulating European and North American
psychology, rather than developing greater responsiveness to the needs of all South Africans. Indeed, in
the past, many have argued that South African psychology’s links with, and sometimes overt support for
the apartheid order and the exploitative practices of South African industry compromised the
discipline’s integrity and legitimacy beyond repair. (See Duncan, Stevens & Bowman, 2004, and Terre
Blanche & Seedat, 2001, for critiques of South African psychology’s role in the maintenance of apartheid
and exploitative practices in South African industry, respectively.)
Figure 1.5 There is constant growth in output in psychology
Note: e drop in number for 1940–1949 is attributable to World War II. For the decade 1990–1999
there were about as many entries (over 600 000) as for all of the preceding decades of the 20th
century. e decade 2000–2009 is a projection and extrapolation.

However, a significant number of progressive psychologists supported the anti-apartheid movement

Their increasing support for the most marginalised in South African society, particularly during the
1980s, as well as their later involvement in various initiatives aimed at the transformation of South
African society (such as the prominence of psychologists in the Truth and Reconciliation Commission)
illustrates the constructive role that psychology has also played in the past and can continue to play in
contemporary South African society.

Psychology today
Internationally, psychology has undergone substantial change and has grown significantly since its
formal establishment as a field of study in 1879. Indeed, so phenomenal has the growth of the discipline
been that many authors divide it into various sub-disciplines when they attempt to write its history. By
way of illustration, we present the following descriptions for some of the categories of psychology in use
today (Coon & Mitterer, 2013):
Developmental psychology focuses on the study of cognitive, emotional and physical changes
throughout the human life span.
Social psychology involves studying the behaviour of people in groups as well as the influence of social
factors on human behaviour.
Health psychology focuses on how psychology can contribute to optimal health and health care
practices.
Cognitive psychology focuses on the mental processes involved in acquiring, processing, organising and
storing information.
Personality psychology focuses on the study of the human personality and its constituent parts.
Industrial/organisational psychology involves studying the effects of organisations on individuals and
individuals’ adjustment to the world of work.
Educational psychology focuses on the adjustment of the individual in institutions of learning as well as
effective educational practices.
Clinical psychology involves the study and treatment of non-normative behaviour.
Counselling psychology focuses on developing and implementing interventions aimed at people with
adjustment difficulties.
 Community psychology aims at developing and implementing large-scale interventions that will
enhance the wellbeing of communities.
Neuropsychology seeks to study the interface between the mind and the brain.

Although all of these are sub-disciplines of psychology, they have their own histories. Furthermore, all of
them have been more or less dominant at various points in the history of psychology. Fields and sub-
fields of psychology tend to grow in response to society’s demands. Currently, with society’s increasing
preoccupation with the HIV/AIDS pandemic, with the impact of violence and with social justice, there is
a significant growth in the sub-fields of health psychology, neuropsychology and community
psychology.
As should be clear from the above, while psychology has a relatively short history it is a richly diverse
field of study that will continue to grow and change.

e following section describes current perspectives in psychology, many

of which have grown from earlier developments.
 SUMMARY

• The discipline of psychology was only formally established in 1879 with Wundt’s laboratory in
Leipzig. Wundt was a structuralist who took a ‘chemical’ approach to the study of sensory
experience.
• William James opposed Wundt, focusing on the purpose of consciousness.
• The discipline of psychology emerged from thousands of years of reflection on humankind which
took place in Greece (Plato and Aristotle), China (Mencius) and Egypt.
• Greek philosophers (such as Democritus and Hippocrates) thought that pathology was the result of
natural causes.
• In the Middle Ages (5th to 16th century), religion strongly influenced psychological thought.
• Emotional states and human relationships were examined. This continued into the Renaissance
period.
• The Renaissance was characterised by a deep respect for humanism and naturalism.
• In the European Enlightenment, there was a focus on uncovering the laws of the universe; only
information from the senses was valued.
• Scepticism led to the emergence of the scientific method as a means of understanding the natural
and social worlds.
• There was debate among theorists about the primacy of thought and knowledge.
• South African psychology emerged in the 1920s. Until the 1940s, there was relatively little
development.
• South African psychology was strongly influenced by European and North American psychology.
• Early interest in intelligence testing was later applied to support apartheid policies. Psychometric
testing continued to be important for the growth of psychology after World War II.
• In the apartheid era, it was argued that South African psychology was compromised by links with
the apartheid state; however, progressive psychologists supported the anti-apartheid movement.
• There are now many sub-disciplines in psychology, each with their own history.
• As society changes, more sub-disciplines will develop.

Contemporary perspectives in psychology

In the previous section, you learned about how psychology became
established as a discipline from many different roots. Present-day
psychology is also very diverse, with many different (and sometimes
conflicting) ways of understanding human behaviour. e variety of
views can be very confusing for first-year students, but it is important for
you to recognise particular perspectives and to understand their roots. To
help with this, some of the chapters have applications of these
perspectives to the opening vignette.
 It is also important to understand that there is no single correct view in
psychology. In the end, it is up to you to decide which makes the most
sense to you, depending on the evidence and argument presented.
e major views differ in terms of their focus of study, with some more
interested in behaviour while others focus on unconscious processes.
ey also differ in terms of whether behaviour depends on inherited
characteristics or factors in the environment (Engler, 2009). Another very
important difference is the degree to which behaviour is determined by
internal or external forces, or whether people have freedom to choose
their own behaviour.

The psychoanalytic perspective

is is descended from one of the early schools of thought in psychology
which grew from the work of Sigmund Freud (1856–1939). Freud was the
first-born child in his family. He trained as a medical doctor and became
interested in patients with physical symptoms (e.g. paralysis, blindness,
loss of sensation) with no known physical cause. He thought there must
be psychological causes and began using hypnosis to treat these patients.
Later he used free association, in which patients lay on the couch in his
office and described whatever came into their minds. Often this related
to painful experiences from childhood. On the basis of this, Freud came
to believe that all behaviour is determined by innate sexual and
aggressive impulses. As these impulses are forbidden and punished in
society, they are pushed down (repressed) into the unconscious. But
these impulses do not disappear from the unconscious; they continue to
influence our thoughts, feelings and behaviour. As a result, we develop
and use defence mechanisms to try to manage the anxiety that these
unconscious impulses cause us.
Freud’s theory has been heavily criticised for a number of reasons.
Many feel he emphasised childhood sexuality too much (see Chapter 5);
it is also difficult to do empirical research on the theory. However, the
theory recognised the importance of early childhood experiences in our
personality development. A number of followers of Freud (neo-
Freudians) have developed his theories and taken them in new
directions, including Carl Jung (see Chapter 5) and Freud’s daughter,
Anna Freud.

The behavioural perspective

Like the psychoanalytic perspective, the behavioural perspective is
descended from an early school of psychology. However, it differs greatly
from Freud’s views. Behaviourists believe that our behaviour is shaped by
our environment. is includes aspects of our present environment as
well as past habits we have learned since birth. ey believe babies are
born as a tabula rasa or blank slate and that personality develops
depending on the child’s experiences, which are ‘written’ on the slate.
us, behaviourists feel that human nature is shaped by environment.
e underlying philosophy is empiricism.
Early work on how environment shapes behaviour was done by Ivan
Pavlov (1849–1936) (see Chapter 9). Pavlov was a Russian physiologist
whose work with dogs showed that animals (and people!) can learn by
associating different events. Pavlov rang a bell every time he fed the dogs
so that, over time, the dogs began to associate the sound of the bell with
their food. us they learned to salivate at the sound of the bell, even if
they were not given food each time. is is known as (respondent)
classical conditioning and it is based on reflexes that are already present
in an organism. People also learn from the consequences of their actions.
Edward orndike (1874–1949) developed the law of effect, which said
that if behaviour had satisfying consequences, it would most likely be
repeated (and behaviour with less satisfying consequences would be less
likely to recur).
John Watson (1878–1958) and B.F. Skinner (1904–1990) were the
leaders of the school of behaviourism. Watson was especially opposed to
the ideas of the structuralists, functionalists and Freud, saying that there
was no point in studying the mind and mental processes as these could
not be observed.
Figure 1.6 B.F. Skinner

Skinner was a radical behaviourist, who did a great deal of research

mostly using rats and pigeons. Like Watson, Skinner felt it was not helpful
to talk about unseen (and unknowable) mental structures and processes.
For example, rather than think about how angry a person was, he would
try to identify the circumstances that preceded the anger and the events
that followed it.
Skinner’s research identified how behaviour can be changed through
operant conditioning in which a behaviour leads to a response from the
environment and the nature of this response influences whether or not
the behaviour is repeated. us in operant conditioning,
the environment provides (or does not provide) reinforcement. For
example, when a teacher draws a happy face in a child’s school book,
he/she will probably be pleased and work hard to get another one. A
reinforcer is anything that increases the likelihood of the behaviour
occurring again.
A descendant of behaviourism is the social learning theory of Albert
Bandura. You can read more about Bandura in Chapter 5.

The humanist perspective

Humanist theories developed partly in response to the determinism in
the theories of Freud (behaviour determined by the unconscious) and
the behaviourists ( behaviour determined by the environment). As a
result, humanism has been called the third force in psychology. e
humanists take an optimistic view of human behaviour, saying that
people have free will and they naturally strive towards self-actualisation
or reaching their full potential.
Abraham Maslow (1908–1970) and Carl Rogers (1902– 1987) were the
founders of humanism. Maslow was especially interested in the factors
that lead to personal fulfilment and growth so he studied people who had
highly productive and happy lives. He found that these people had some
characteristics in common, including a sense of purpose in life, a
commitment to honesty and ethical behaviour, autonomy, an accurate
perception of reality, good relationships with others and a sense of
fellowship with all humankind.
Both Maslow and Rogers believed that psychology should focus on a
person’s unique, subjective perceptions of the world. us, the self is a
central concept of Rogers’ theory. e self consists of an organised set of
perceptions about oneself that develops over time in response to
feedback from others. Because of this process, the self-image (who we
think we are) may be different from our real self (who we truly are). In
addition, we may develop an ideal self (who we would like to be). For the
humanists, our goal in life is congruence between these different aspects
of self. If there is incongruence, we will experience tension and anxiety.
Much present-day counselling is based on humanist ideas of
providing emotional warmth, empathy and unconditional positive
regard. Humanism has contributed greatly to a respectful and positive
approach to people. However, some aspects are not well supported by
research and the approach may downplay the effort needed to effect real
change in one’s life.

Positive psychology
Positive psychology is a present-day descendant of humanism. e
movement was founded by Martin Seligman (b.1942) in 1997
(Csikszentmihalyi, 2003). Seligman argued that psychology as a
discipline has focused too much on the pathological and not enough on
the positive aspects of humankind (Seligman & Csikszentmihalyi, 2000).
Positive psychology aims to identify the conditions that allow people and
organisations to flourish (Gable & Haidt, 2005) by studying happy, well-
functioning communities or institutions to try to identify what features
contribute to this state.
Community psychology research identified specific character
strengths (e.g. hope, courage, wisdom, interpersonal skills, and so on)
that buffer people against mental illness.
Positive psychology has been criticised for a lack of research support
and for being simplistic. It has also been criticised for implying that
mainstream psychology is negative. However, supporters of positive
psychology are clear that psychology itself is not negative, but rather that
the focus has been on pathology (in order to better help people) at the
expense of furthering knowledge on human strengths and resilience
(Gable & Haidt, 2005).

The biopsychological perspective

Although Wundt was interested in physiological processes, biological
psychology has only resumed prominence in more recent decades,
primarily due to advances in brain imaging technology. Psychologists
working from this perspective see human behaviour as the result of
internal physical, chemical and biological processes; thus, they are
interested in the workings of the brain and hormonal system (see
Chapter 7). ey study the microbiological processes which underlie
thoughts, emotions and behaviour.
Donald Hebb (1904–1985) was a Canadian neuropsychologist who
was interested in the effects of trauma (including surgery) on brain
function. He noted that the brains of children were better able than adult
brains to recover from trauma. is suggests that the brain can learn new
pathways for functions but that this ability declines with age. Hebb also
noted the importance of external stimulation in brain development and
recovery. Other research has studied the functions of the different
structures of the brain (see Chapter 7 for more information).

The cognitive perspective

is perspective focuses on the mental processing of information. It is a
descendant of the early school of gestalt psychology. Gestalt is a German
word meaning form or shape. e gestalt school was interested in the
way the mind takes sensory stimuli and interprets them into a whole.
ink about when you hear a well-known song (e.g. Nkosi Sikelel’ iAfrika)
– you can recognise it regardless of whether it is played by a whole
orchestra or just a guitar. Your mind actively assembles the pattern of the
song from the individual notes you hear.
e Swiss psychologist Jean Piaget (1896–1980) developed a theory of
cognitive development (see Chapters 3 and 4) and the Russian
psychologist Lev Vygotsky (1886– 1934) studied how the development of
language and thought are related to the social and cultural environment
of the growing child (see Chapter 3).
Cognitive psychology grew especially during the computer era when
the mind was seen as acting rather like a computer. us, your senses
take in information and process it to allow you to make decisions,
respond verbally or solve problems, among others. In terms of
psychopathology, it seems that some people with depression have
systematically distorted thought processes.
ere is currently cutting-edge research being conducted in the field
of cognitive neuroscience. Another important cognitive perspective
studies the way people construct their own reality. is is known as
social constructionism and it is interested in how members of social
groups share similar ways of interpreting and understanding events. is
leads to a shared social reality among group members (an example of this
would be adolescence, which is constructed differently within different
cultural or national groups).

The sociocultural perspective

Over the last 30 to 40 years, there has been a growing realisation that
most psychological knowledge is based on research done in a Western
context. It has been assumed that this knowledge applies universally.
However, this is an example of cultural imperialism and the
sociocultural perspective works to redress this assumption. It also
considers factors like ethnicity and sexual orientation.
ere are a number of branches of the sociocultural perspective.
Cultural psychology studies the role of culture in shaping our experiences
and development, while cross-cultural psychology tries to assess whether
findings are applicable across different cultural groups. is perspective
taps into indigenous knowledge systems, recognising that people from
within a cultural group are experts on their own cultural systems and
practices.
e sociocultural perspective adopts an attitude of cultural relativity,
arguing that behaviour needs to be understood according to the culture
in which it commonly occurs. An important cultural difference in the
African context is the emphasis on collectivism, as opposed to the
individualism typical of Western cultures. In collectivist cultures, the
focus is on the well-being of the group and individual needs and goals
are subordinate to this. In contrast, in individualistic cultures, there is
emphasis on individual achievement and competition.
The community psychology perspective
e community psychology perspective aims to understand people as
they are embedded in their communities and wider society. Its goal is to
improve mental health and quality of life in individuals and communities
through the prevention of mental health problems and early intervention
in existing problems (see Chapter 26 for more information on this).
Prevention programmes may include developing better support systems
and access to resources in a community, while early intervention may
include the provision of crisis counselling after a natural disaster or other
traumatic event.
e community health approach fits well with the policy shift to a
primary health care focus taken by the South African government in
recent years. Community psychologists are involved in both curative and
preventive programmes. ey often work in public health settings and
may be involved in drafting mental health policy.
One aspect that communities have had to deal with is the discharge of
people with mental health problems into the community. is is known
as de-institutionalisation and it has happened partly because of
improvements in medication and partly because of increasingly limited
resources in the public health system. However, there is a risk that
individuals who lack family support may end up destitute. On the other
hand, where there is good community support, it seems this approach
may have significant benefits for patients (Lamb & Bachrach, 2001).
 SUMMARY

• Present-day psychology has many different ways of understanding human behaviour; however,
there is no single correct view in psychology. The major views differ in terms of their focus of study,
understanding of the influences of nature and nurture, and degree of determinism.
• The psychoanalytic perspective (Freud) argues that behaviour is determined by innate sexual and
aggressive impulses, which we repress because they are forbidden in society. But these impulses
continue to influence our thoughts, feelings and behaviour, resulting in defence mechanisms.
• The behavioural perspective believes that behaviour is shaped by the environment. We learn by
association (classical conditioning – Pavlov), response from the environment (operant conditioning
– Skinner; Watson) or social learning (Bandura).
• The humanist perspective (Maslow; Rogers) takes an optimistic view of human behaviour, saying
that we have free will and we naturally strive towards reaching our full potential. Maslow found that
people who lived happy and productive lives had some characteristics in common. For Rogers, a
person’s subjective perceptions of the world are most important; hence the self-image, real self and
ideal self should be as congruent as possible.
• Positive psychology (Seligman) argues that traditional psychology focuses too much on pathology;
in contrast, this approach aims to identify the conditions that allow people and organisations to
flourish.
• The biopsychological perspective (Hebb) sees human behaviour as the result of internal physical,
chemical and biological processes. This approach studies the microbiological processes which
underlie thoughts, emotions and behaviour.
• The cognitive perspective (Piaget; Vygotsky) focuses on the mental processing of information. Thus
the mind is seen as acting rather like a computer. A related perspective, social constructionism, is
interested in how members of social groups share similar ways of interpreting and understanding
events.
• The sociocultural perspective argues that traditional psychology has been based on a Western
understanding of people. It seeks to understand people from within their own cultural context. It
also seeks to use indigenous knowledge systems.
• The community psychology perspective aims to understand people as they are embedded in their
communities and wider society. It has a preventative goal in terms of mental health problems and
also promotes early intervention in existing problems.

Psychology for Africa

is book has been written by African authors, with many African
examples, and is designed to be used by learners mainly from Africa and
developing countries. But does it reflect an African psychology? What
does the idea of an African psychology mean? Does it make any sense to
speak about an African psychology? is is a much more complex
question than it may at first appear.
 As was the case during the 20th century, the discipline of psychology is
currently dominated by developments in North America. is does not
mean that there is not valuable research going on in psychology in Africa,
Asia, Australia and Europe, for example, but the sheer volume of work
and resources put into psychology in the US ensures that nobody
working in the field can ignore this influence.
Consider an example of how the dominance of European and North
American ideas influences what we come to know of the world. A rapidly
growing field within psychology is that of infant development (see
Chapter 3). Over 90 per cent of infants in the world are born in
developing parts of the world, but over 90 per cent of international
journal articles on infant mental health and development deal with
infants in the US, Canada, Europe and Australasia (Tomlinson & Swartz,
2003). is means that there is an enormous imbalance between the
context within which most babies live, and the knowledge that enters
psychology about babies and their development.
Does this matter? International research in psychology has shown that
certain basic principles of human behaviour apply everywhere, but there
are also differences in how people grow and develop in different parts of
the world. While it would be wrong, for example, to throw out all the
knowledge that comes from Europe and North America, it would also be
wrong to think this knowledge can be applied without more thought to
other contexts.
One of the difficulties with this issue is that researchers working in the
developed world may forget or even become blind to the importance of
context. Many researchers based at North American universities, for
example, conduct experiments using first-year psychology students. e
reasons for this are obvious: the students are around, easy to involve in
research and may themselves learn a lot about psychology by
participating in these experiments. ere is no problem at all with this.
However, students are by no means typical of the world’s population and
it cannot be assumed that this knowledge is applicable to people of all
ages and cultures. ese researchers need to find proof of universality by
looking at the issue in a variety of contexts.
When you read psychology texts, no matter where they are published
or where the research has been conducted, every time you see a
generalisation, try to make an assessment of the basis on which the
generalisation has been made. Where does the evidence come from, and
is the evidence enough to support the generalisation?
ere is also another sense in which we need to think about the
debates on African psychology. e spread of psychology from these
northern countries through the rest of the world has been associated with
their political, social and economic influence on the rest of the world. It is
not simply a coincidence, for example, that just as North American ideas
about psychology are known throughout the world, the McDonald’s logo
and the Coca-Cola sign are also known throughout the world. Psychology
has been spread throughout the world in the context of other social
processes, such as colonisation and globalisation.
is raises interesting questions, not only for social science disciplines
like psychology. For example, to what extent is our profession’s
knowledge about people a product of the views of others who, for a range
of reasons, have power? To what extent is our knowledge about people
without much power a product of how they are seen by more powerful
people? ese are complex questions which cannot be answered fully
here, but they are important to bear in mind.
In the context of a country like South Africa, we need to ask other
questions. Who, even within African countries, is producing
psychological knowledge about Africa? Currently, for obvious historical
reasons, most of the people who have written about psychology in South
Africa have been white. e dominance of white voices in the production
of knowledge about psychology is changing (and, indeed, the diversity of
the authors of this book is testimony to this), but the dominance is still
with us.
When we read what psychologists say about people we need to think
about the possible influences that the psychologists’ backgrounds may
have on the conclusions they draw about the people they study. ere
have been shameful examples in the history of psychology in South
Africa and elsewhere where psychologists have deliberately produced
supposed scientific knowledge in order to support repressive and racist
policies.
But we need to ask a more subtle kind of question. To what extent are
people who are outsiders to a group able to understand that group? How
should we interpret the many conclusions white South Africans have
drawn about black South Africans, for example? How do we factor into
our analyses that, in South Africa and many other countries,
psychologists try to understand people without even being able to
understand the languages these people speak? Once again, there are no
easy answers to these questions. Blanket generalisations claiming that
outsider psychologists have nothing useful to say or, on the other hand,
that outsider psychologists can say anything they wish without their
outsider status being a problem, are especially unhelpful. We need to
keep thinking about these questions, bearing in mind how complex they
are. In this regard, it is probably not very helpful, as is sometimes done, to
label all of psychology as Eurocentric, and to call for a more Afrocentric
psychology.
Although the authors of the various chapters of this book include
African psychologists, this book will not answer all the possible questions
about what an African psychology is, or could be. As you read this book,
and as you study psychology further, you will return to these questions
and debates, and your participation in these debates can help move the
field forward.

The approach of this book

Many people study psychology in order to find out as much as they can
about people, and in this book you will find no shortage of fascinating,
and sometimes surprising, information. However, as mentioned, our
knowledge changes all the time. is would be a serious problem if our
only concern were with telling you, the reader, what the latest knowledge
in the field is. In fact, we are far more concerned with giving you the basic
tools whereby you can decide whether new information that comes to
you is useful information or not. Ultimately, we hope you will be able to
participate in creating new psychological information yourself, using
good quality methods to extend our knowledge and to test our theories.
e authors of this book are all experts in their fields who have studied
psychology for a long time. All of them have made their own
contributions to psychological knowledge through their own research
and publications. But the impressive credentials of the authors are far
less important than the quality of what they say. It is up to you, as a
reader, to critically consider everything that is said in this book, and to
come to your own opinions, based on clear arguments. If you agree with
the authors (and we hope you often will), it is not enough to agree with
them just because you like their conclusions – you must be clear about
why their argument is convincing. How have they used evidence? What
methods have they used? How good and useful are their theories? If you
disagree with the authors (and we hope you will feel free to do this), it is
not enough to disagree with them just because you do not like their
conclusions. You have to be able to show why their arguments do not
hold up. Once you have worked through this book, you should be able to
apply your skills to new material that you read, and, ultimately, to
develop your own knowledge of people.

The organisation of this book

is book is a general introduction to key issues in psychology, especially
as they apply to our South African context as a developing country. Part 1
(which includes this chapter and the one that follows) focuses less on
content than on the ways in which psychologists collect and interpret
information. is first chapter, as you have seen, talks generally about
how psychologists look at the world and make sense of it. ere is also an
introduction to how psychologists use language, and to the question of
how psychologists think about ethics and ethical behaviour. Chapter 2
looks rather more formally at research methods and how they are used to
develop new knowledge about people. It is very important to understand
(and critically evaluate) the research processes that underpin our
knowledge in psychology. At first reading, you may find Chapter 2 rather
difficult. Do not worry about this – research methods are often hard to
grasp. You will probably find yourself returning to this chapter again and
again throughout your studies in psychology, as you try to evaluate new
things you learn. As you reread Chapter 2, you will become more
comfortable with its methodological concepts.
In Part 2 of this book, we focus on human development from before
birth into late adulthood. It is important not only to gain an
understanding of how people develop from being a collection of cells
into social, emotional and intellectual beings, but also to know
something about the kinds of influences there are on human
development from before birth until the moment of death. An
understanding of the basics of human development is essential for
anyone wishing to conduct research within any field of psychology. In
this edition, we have amalgamated the former five chapters into two in
order to make the part more streamlined.
Part 3 of this book focuses on different theories of personality and on
how psychologists see individuals operating in the world. In addition, it
examines how psychologists go about assessing personality, and the
methods they use to make their assessments as valid as they can be.
Part 4 of this book focuses on the brain and behaviour. Historically,
psychology has always had a connection with the study of the brain and
the nervous system. At some times in the history of psychology,
psychologists have tried to argue that we do not need to know much
about the brain in order to understand people. In the past few years,
however, it has become increasingly clear that an understanding of the
brain and how it works is essential to a full understanding of our
thinking, our emotions and what we do. e approach taken by the
authors contributing to Part 4 of this book shows that the traditional
divisions between psychological and biological understandings of
human behaviour have begun to break down, much to the benefit of
psychology and cognitive science more generally. is section has also
seen some changes – the four chapters from the previous edition have
been slimmed down to two more logically coherent chapters.
Part 5, dealing with cognitive psychology, examines what happens in
the mind – in learning, motivation, thinking, attention, memory,
language and intelligence. What is clear from this section, however, is
that what happens in the mind also happens in a social context, so to
understand cognitive psychology we also have to understand how
thinking and similar functions operate in the context of the world around
us.
is theme of the relationship between the internal world and the
world around us is developed further in Part 6. Human beings are social
animals, and social psychology focuses on how we change and are
changed by our context. In this section, as in other sections, we focus on
issues of particular relevance to South Africa and developing countries.
We explore, therefore, the social psychology of interpersonal attraction,
groups, ethnicity and racism, gender and sex, poverty, violence and
trauma, and peacemaking – all crucial issues for social and community
development in South Africa and similar countries.
Part 7 introduces the rapidly growing area of health psychology as
applied to our context. e chapters in this part focus on behavioural and
other influences on human health and development, including stress,
risk behaviours and nutritional issues. It also focuses on key health issues
facing the poorer countries of the world – HIV/AIDS, TB and parasites
(such as malaria and bilharzia) – and shows how psychology has an
important role to play in the prevention and containment of these
conditions, and in helping people adapt to their consequences.
Part 8 opens with an introduction to the vast field of psychopathology,
providing an outline of how psychology classifies mental disorders and
giving the theoretical approaches that psychologists have taken to
understanding mental health challenges. e rest of the section explores
ways in which psychology and connected disciplines attempt to make a
difference to people’s mental health, and relates this to the worlds in
which they live. e different chapters in this section show how these
interventions can be thought about at a range of levels.
In Part 9 we explore one of the ways psychology is applied:
organisational psychology. is part has only one chapter, but it is a
substantial one that examines how psychologists have contributed to
company efficiency, and whether this should be a role for psychologists.
ere is additional material on the companion website for Psychology an
introduction, including chapters on educational, career and sports
psychology.
Part 10 covers African and Eastern philosophies and reflects both the
diversity of the southern African population and theoretical
developments in the field of African psychology.

What is different about this book?

ere are many introductory textbooks in psychology, and many of them
are of excellent quality. Why, then, have we put together this one? is
book covers the same material as many introductory psychology
textbooks, but it has some key features that set it apart. First, we have a
very wide range of contributors, most of them from diverse southern
African backgrounds. Traditionally, psychology textbooks have been
written by authors based in the US, and to a lesser extent in Europe. We
believe that if psychology is to be an effective and applicable discipline in
South Africa and similar countries, it is important that people with
experiences of those societies are the ones writing about it.
is leads to the second way in which this book differs from others,
which is that we emphasise throughout the application of psychological
thinking to South Africa and similar contexts. Just about every section of
this book has African examples, and fields of psychology that are often
omitted or touched on only briefly in traditional introductory texts are
covered more fully here. For example, the section on social psychology
focuses on social issues that are especially pertinent to South Africa and
similar countries, such as poverty and ethnicity. e section on health
issues extensively discusses those which are particularly relevant to
southern Africa, such as HIV/AIDS, TB and parasites.
is edition also sees a brand new chapter covering African and
Eastern psychologies. is is an exciting development and one that
reflects both the diversity of the southern African population and
theoretical developments in the field of African psychology.
In addition to these features, we have included stories of South
Africans to help readers link the theory of psychology to lives typically
lived in our part of the world. In summary, we have tried to create a book
that will equip you as a student of psychology but will also relate to the
lives of South Africans.
Finally, at the beginning of certain chapters, we have included
narratives about four young South Africans: Nosipho, Yolisa, Melinda
and Xolani, who will help to contextualise the discussions that follow. At
the end of the relevant chapters, there is a feature that shows how the
different psychological perspectives can be applied to the opening
narrative.
Studying psychology is a great adventure and we hope you enjoy it as
much as we enjoyed writing this book.
KEY CONCEPTS
collectivism: the ideology that emphasises the importance of group
goals over individual goals, as well as social cohesion within groups
colonisation: when one or more groups populate an area, displacing
or dominating the former occupants
congruence: matching (in a humanist sense, matching between the
different aspects of the self )
cultural imperialism: when a more powerful culture dominates a
less powerful one
de-institutionalisation: process whereby long-term mental health
patients are discharged from mental health institutions and services
provided within the community
determinism: the notion that personality is determined by either
external or internal forces
free association: therapeutic technique where a person says
whatever comes into his/her mind
generalisations: when information is applied too broadly to people
or groups
gestalt: literally means a form or shape; in psychology refers to how
we recognise patterns in sensory inputs
globalisation: a process whereby people, companies and
governments interact and become integrated; the process is driven by
trade, investment and the development of information technology
indigenous knowledge systems: systems of local knowledge that are
unique to a particular culture or society
individualism: the ideology that emphasises the worth of the
individual
jargon: terms or speech that is only familiar to a group or profession
peer reviewing: an important method of ensuring quality in
published psychological information where articles and/or books are
read and evaluated by expert peers
self-actualisation: process of reaching one’s full human potential
social constructionism: the idea that people construct knowledge in
interaction with their social context
 tabula rasa: literally means a blank slate; taken to mean that infants
are not born with a personality but learn this from their environment
unconscious processes: aspects of human emotions and thinking
which occur outside of a person’s conscious awareness

EXERCISES

Multiple choice questions

1. To become a psychologist registered with the Health Professions

Council of South Africa, you have to have:
a) an Honours degree in psychology
b) a Master’s degree in psychology
c) a Master’s degree in psychology and must have completed a
recognised internship
d) an Honours degree in psychology and must have completed a
recognised internship.

2. Which of the following is a standard process for journal article

publication?
a) e article must be peer reviewed.
b) e article must be popular.
c) e journal must be accredited.
d) e author must be well known.

3. Evidence that identical twins raised in separate homes will tend to

develop in similar ways has been used to highlight the importance
of__________for human behaviour.
a) behavioural explanations
b) cognitive explanations
c) humanistic explanations
d) genetic explanations.

4. An objection to the use of the term ‘subjects’ in psychological

research is that:
 a) it implies that the people involved in research are passive
b) it implies that the people involved in research are not very
interesting
c) it implies some form of coercion by psychologists
d) a and c are correct.

5. e father of psychology and founder of the first psychological

laboratory was:
a) B.F. Skinner
b) Wilhelm Wundt
c) Sigmund Freud
d) John B. Watson.

6. During the Middle Ages, concerns of a psychological nature were

heavily influenced by:
a) biological understandings of human behaviour
b) religious frameworks
c) natural understandings of human behaviour
d) ideas of the unconscious.

7. Which of the following would be considered humanists?

a) Abraham Maslow and Carl Rogers
b) Wilhelm Wundt and E.B. Titchener
c) Max Wertheimer and William James
d) B.F. Skinner and John B. Watson.

8. In his research studies, Stanley Milgram wanted to understand:

a) how well the ‘teachers’ could teach the ‘learners’
b) how much pain the ‘learners’ could endure
c) how people make independent decisions
d) how ordinary people come to be perpetrators of oppression and
violence.

9. Which of the following is NOT part of a standard code of ethics to

which all psychologists must adhere?
 a) beneficence
b) competence
c) maleficence
d) fidelity.

10. Which of the following is considered a primary interest of cognitive

psychologists?
a) the content of a person’s dreams
b) the influences of positive and negative reinforcement on
behaviour
c) how an individual solves a very complex puzzle
d) how the environment shapes behaviour.

Short-answer questions
1. Describe how you would evaluate theories of human behaviour.
2. Explain why psychology information obtained from the internet may
be problematic.
3. Discuss the various implications of the terms used to study people.
4. Name and explain the ethical principles which underlie ethical codes
in psychology.
5. Describe the history of the discipline of psychology, ending with the
establishment of the first psychological laboratory.
6. Critically describe any ONE of the contemporary perspectives in
psychology.
 Research methods in
CHAPTER
psychology 2
Loraine Townsend & Cheryl de la Rey

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• describe what steps to take when planning a research project
• explain the methods employed in conducting research
• explain the ways in which information is gathered from research participants
• show a basic understanding of data analysis
• describe the ways in which research findings are reported
• understand the difference between quantitative and qualitative approaches to research
• demonstrate an understanding of ethical principles in psychology.

CASE STUDY

Nosipho liked the idea of research because it meant finding out something new, perhaps an
answer to an important question or information that would help to improve people’s lives in some
way. It seemed to her a bit like being a detective. It was particularly interesting to think about
discovering new things in a field like psychology when there was still so much mystery about why
people felt, thought and behaved the way they did. In some way, she supposed, she had always
been a kind of researcher. She had always observed the people around her very closely and, when
the opportunity arose, asked them questions about their lives and how they saw the world.
However, as Nosipho learned more about research at university, she realised that there were all
sorts of useful ways of getting more accurate information and a deeper understanding of how
things worked.

Introduction
Consult any thesaurus and you will find that synonyms for research
include: investigate, study, explore, look into and examine. Psychologists
do all these things in their quest to understand human behaviour and
social phenomena, and to generate new knowledge about these. In terms
of professional practice, there is also an increasing emphasis on (and
demand for) evidence-based practice.
In the past, most psychological research was concentrated on
observable, measurable behaviour and phenomena. To study these,
psychologists used quantitative research methods, which, broadly
speaking, produce numeric data for statistical analysis. en some
psychologists began to use qualitative research methods (which,
broadly speaking, produce word-based data in order to understand
phenomena from the perspective of the research participants). is led to
several years of polarised debate about the relative merits of quantitative
and qualitative research. However, most psychologists now accept that
both approaches are equally legitimate. In many instances, quantitative
and qualitative approaches provide complementary insights into human
behaviour and social phenomena. is chapter subscribes to this view
and, as we explore each of the steps in the research process, both
approaches will be described where relevant.
Figure 2.1 provides a useful depiction of the typical steps in the
research process. ese apply to both quantitative and qualitative
research. Each of the steps is dependent on the others. Obviously, one
would not analyse data (step 4) before having collected it (step 3).
However, variations in this cycle will occur depending on the nature of
the behaviour or phenomenon that is being researched. Depending on
the methodology employed, greater emphasis may be placed on some of
the steps while others might be ignored. We will now consider each step
in turn.
Figure 2.1 The research cycle

Step 1: Planning
Selecting a research topic
Selecting a research topic is obviously the first step in the research
process. Bless, Higson-Smith and Kagee (2006) suggest a number of
sources of research topics:
• observation of everyday life
• prior research – this often prompts further studies, particularly if
there have been vague, unclear or contradictory results, or if there
have been concerns about the methods that were used; repeating a
study (called replication) with a different group of people or in a
different context is often very useful
• verifying or refuting a theory
• specific concerns of a certain group of people
• personal interest in a topic.

Each one of these sources could lead to a research topic, but ideally
researchers would be motivated by a combination of them.

Reviewing existing literature

Once a topic area has been chosen, a researcher should consult previous
work done in the field in order to find out more information on this topic.
e researcher may need to understand the relationship between
existing facts, or he/she may need to understand people’s first-hand
experience of the problem. e researcher would need to identify, find
and review recently published research that is relevant to the topic area.
ere are many purposes of a literature review:
• It orients a researcher to what other researchers have found. e
researcher may discover, for instance, that the topic has been
extensively researched, both locally and internationally, and that
another study would not add anything new to the body of knowledge
about the topic.
• If the literature review does reveal gaps or weaknesses, the researcher
can direct his/her research in these directions.
• Knowledge of what research methods have been used in the past
(successfully or unsuccessfully) will help the researcher choose an
appropriate method for his/ her own study.
• An examination of the theoretical frameworks that have guided
previous research will help a researcher to choose an appropriate
theoretical framework for his/her own research.

e most common sources of relevant information are academic

journals, books, colleagues and the internet. All academic institutions
stock hard copies of a wide variety of academic journals and subscribe to
selected electronic journals and databases. is enables students and
staff to search for sources relating to specific topics using keywords and
to download articles from electronic sources. A number of journals are
now making their articles freely available online, while others allow the
online purchase of single articles. Books written or edited by experts in
particular fields are another valuable source of information. Searching a
library’s online catalogue by keyword, author and/or title will reveal
relevant literature. In addition to this, colleagues are an invaluable source
of information. Valuable intellectual and practical information can be
gained by talking to people who have researched, or simply have an
interest in, a particular area. Finally, the internet is increasingly used as a
source of information. Typing relevant keywords into search engines can
produce an overwhelming amount of information. e trick here is to be
able to distinguish authoritative sites from those that make questionable
claims to knowledge.

Formulating the research problem and posing

the research questions
After researchers have reviewed the relevant literature and decided that a
topic is indeed worthy of investigation, the next step is to formulate a
general research problem and to reduce it to one or more specific
research questions (see Box 2.1).
Once the researchers have phrased one or more research questions,
they must carefully consider whether these are answerable. ey must
think about whether there will be intellectual, practical, personal or
ethical problems that could prevent them from answering these
questions. For example, quantitative researchers would need to
determine whether the research question can be answered through the
observation of measurable facts. Qualitative researchers would need to
consider whether research participants would be willing to share their
experiences with the researcher. All researchers would need to consider
practical questions such as: ‘Is there enough time to conduct the study?’,
‘Are there enough resources available?’, and ‘Are there enough or too
many potential participants?’ Also, researchers should examine their
own motivation for undertaking the research. If researchers have a
genuine interest in a topic, their research on this topic is likely to be of
better quality than if this interest is lacking. Finally, any ethical issues
need to be carefully considered. An example of an ethical problem in
research can be found in Chapter 1 where Stanley Milgram’s classic study
in obedience is described.
 SUMMARY

Planning a research study takes several steps:

• A workable and useful topic must be selected.
• The existing literature should be studied to identify what gaps in knowledge exist.
• The general problem to be addressed by the research must be formulated and specific research
questions developed.

Step 2: Research methods

Researchers need to be clear about the type of research study they are
undertaking. e purpose of their research study will influence their
choice of research design.

Types of research studies

Researchers can undertake exploratory studies, descriptive studies or
explanatory studies. An exploratory study is when researchers
investigate a topic on which there is very little existing information. As
this name suggests, the researchers will explore the topic of interest and
provide tentative explanations from which new research questions and
hypotheses will arise. If researchers wish to simply describe a behaviour
or a phenomenon, they conduct a descriptive study. If researchers wish
to explain the relationship between two or more variables, they conduct
an explanatory study.

Types of research design

Durrheim (2006) suggests that a research design may vary along a
continuum from inflexible blueprints at the one extreme to pragmatic
guides for action at the other.
Quantitative researchers who believe that the variables of interest can
be identified, observed and measured will develop a research design that
is inflexible, specified in advance and technical in nature. ey will state
in detail how they will conduct the study and will seldom deviate from
this plan.

2.1 AN EXAMPLE OF HOW TO FORMULATE A RESEARCH

PROBLEM
Imagine that, as a postgraduate student in psychology, you have to conduct a research project as part of
your course work. You do not want to conduct research merely to be able to pass the course at the end
of the year. You feel strongly that your study should be about something in which you have an interest,
and that will also have some practical value.
You read a report in the local newspaper about the escalating incidence of date rape among female
adolescents in the area where you live. The report quotes findings from two studies that appear to be
contradictory: one found no change in the incidence of date rape among young women and the other
found a dramatic increase. The latter study questioned the methods used in the former study and
therefore disputed the findings. The report went on to describe one of the theories put forward by
researchers as to why there was a rise in date rape among young women. These researchers suggested
that recent empowerment of young women had led to men feeling disempowered, and that forcing
young women to have sex could be a way in which men were seeking to re-empower themselves. The
report concluded with an appeal by local community leaders for the community to take action to
prevent date rape among young women.
You have had a personal interest in sexual abuse since one of your friends was raped by her date
some years previously. Emotionally she has never recovered from her experience; she dropped out of
school before completing Grade 12 and she cut all ties with her old friends.
On the basis of your personal interest, your reading of the newspaper report and your awareness of
the significant threat that date rape poses to female members of your community, you realise that this is
a topic that you would like to research. You go to the university library and also search online to source a
variety of information about sexual abuse among young people. After reviewing the literature, and after
thinking about potential intellectual and practical problems, you formulate the research problem and
the specific research questions that will guide your research, which are shown below.
Research problem: What are the factors that contribute to date rape among young women in Gardenia*,
Cape Town?

Questions:
1. What is the incidence of date rape in Gardenia, Cape Town?
2. Does a young woman’s empowerment increase her risk of date rape?
3. What are the consequences of date rape?
* A fictitious name

On the other hand, qualitative researchers are likely to develop a more

flexible research design: one that is not specified in advance, and which
is open to change during the course of the study. Indeed, some
qualitative researchers suggest that one should not begin with a
predetermined research design; instead, research designs should only
develop during the research process.
However, most research falls somewhere along the continuum rather
than at an extreme. For example, a quantitative researcher may discover
that a certain measure (e.g. a personality test) is not available and will
need to amend his/her design accordingly, while a qualitative researcher
may specify in advance which type of data collection method will be
used.
Whether conceived by a quantitative or qualitative researcher, a
research design is a specification of the most appropriate actions to be
performed in order to answer the research questions successfully and/or
test the hypotheses. When writing their research design, researchers
should state what variables they will use, and what type of conclusions
they want to make based on their analysis. ey also need to state the
time frame in which they will collect their data, and from whom or what
they will collect this information.

Using variables in the design of a quantitative

research study
A variable is a property of an individual that could differ from one person
to the next. For example, if a researcher’s sample consisted of both men
and women, gender would be a variable. However, if a researcher’s
sample consisted only of young women, gender would not be a variable,
and would instead be referred to as a constant. Constants are aspects
that (within the sample under study) do not vary from one person to the
next. For example, if a researcher is studying first-year students,
academic year would be a constant. Common variables in psychology
research include age, IQ, level of education and academic results.
Much research in psychology is interested in understanding the
relationship between two or more variables. We refer to independent
variables and dependent variables. An independent variable (IV) is a
variable that has values which exert an influence on another variable (the
dependent variable). A dependent variable (DV) is a variable that has
values which change as a result of the influence of another variable (the
independent variable). For example, level of family income (IV) may
exert an influence on where the family lives (DV).
We can also draw a distinction between categorical and continuous
variables. Categorical variables can be divided into distinct categories
(e.g. class at school; graduates or non-graduates), while continuous
variables can exist at any point within a range or on a continuum
(e.g. time, height and weight). However, how we decide whether a
variable is categorical or continuous is open to some debate. For
example, time could be rounded off to the nearest minute, in which case
it would become a categorical variable (consisting of a set of consecutive
minutes).
When variation in an independent variable leads directly to variation
in a dependent variable, we say that there is a causal relationship
between these variables. However, sometimes two variables vary in a
related way, but we cannot determine whether a causal relationship
exists between them or whether they are both influenced by a third
variable. In such a case, we say that there is a correlation between these
two variables. If two variables vary in the same direction, we say that
there is a positive correlation between them; if two variables vary in
opposite directions, we say that there is a negative correlation.
When using variables in our research designs, we should clearly
describe the characteristics of each variable because a variable may
mean different things to different people. For example, consider the
variable of empowerment. In defining this variable, the researcher
should describe and justify each of the elements which make up
empowerment. To assist with this, the researcher would attempt to define
the variable operationally. An operational definition of a variable
includes all of ‘ specific procedures used to produce or measure it’ (Holt
et al., 2012, p. 39). For example, we talked above about ‘academic results’
as a variable, but what exactly do we mean by this? Before we begin our
study, we would have to define this operationally. It could be final exam
results or all results during a semester or only results obtained under
controlled condition (tests and exams). Measurement may be especially
difficult in psychological research as many aspects can only be measured
indirectly.
 In order to construct an operational definition of a variable, it is often
useful to draw a diagram similar to the one shown below. Each of the
elements of empowerment (self-efficacy, self-esteem, self-actualisation,
equity, self-concept and free will) should be described in the operational
definition as well as the theoretical discussion justifying their inclusion.
Because empowerment is described as being made up of (constructed
from) these elements, it is known as a construct.

Figure 2.2 Elements of empowerment informing an operational definition of the construct

Units of analysis
e people or objects from whom a researcher wants to collect
information are known as the units of analysis. ey may be individuals,
groups of people, organisations, periods of time and/or social artefacts.
e units of analysis will influence who or what a researcher selects to
participate in his/her study (the sample selection), how information will
be collected from participants (the data collection), and what
conclusions can be drawn from the results of the study (the
interpretation). It is therefore important for researchers to be clear about
what constitutes the units of analysis in their study, which will in turn
impact on the type of research design they will develop.
Hypotheses
A hypothesis is a specific statement related to the research question. It is
based on tentative explanations for the research question. A researcher
can propose a hypothesis as part of a research design. is hypothesis
would then need to be tested to assess whether it can be accepted or
must be rejected.

2.2 AN EXAMPLE OF USING VARIABLES IN A RESEARCH

DESIGN
Imagine that you were trying to answer the following three questions (which were formulated in Box
2.1):
1. What is the incidence of date rape in Gardenia, Cape Town?
2. Does a young woman’s empowerment increase her risk of date rape?
3. What are the consequences of date rape?

To answer the first question, it would be necessary to establish how many young women in your sample
have experienced date rape. The variable of having experienced date rape or not can be given the
numerical values 1 (having experienced date rape) and 2 (not having experienced date rape). You could
answer this question by counting the 1 answers and the 2 answers and extrapolating from your sample.
To answer the second question, you would look at whether the likelihood of a woman having
experienced date rape is influenced by the extent to which that woman feels empowered. In this case
you are proposing that having been date raped or not is the dependent variable, as you are trying to see
if it is influenced by another variable.
You are also proposing that the extent to which a young woman feels empowered is the
independent variable. This sense of empowerment may be quantified according to a scale that gives
each woman a score for empowerment, where a low score (1 or 2) indicates little empowerment, and a
high score (5 or 6) indicates a strong sense of empowerment.
You are working with the hypothesis that the more empowered a young woman is (indicated by
higher scores on the empowerment scale), the more likely this woman is to have experienced date rape
If you are able to exclude all other possible causes of date rape, you may then be able to show that a
causal relationship exists between a young woman’s empowerment and her likelihood of having
experienced date rape. If you cannot say with certainty that young women’s empowerment causes date
rape, the two variables may still be shown to be correlated.
(In the above example the nature of causality has been simplified. In reality, before a researcher can
say with certainty that a causal relationship exists between two variables, sophisticated methodologica
and analytical procedures need to be followed, but these are beyond the scope of this chapter.)

If a hypothesis were to be accepted, then the researcher could

consider the relevant research question as having been satisfactorily
answered. However, if a hypothesis were to be rejected, then that
particular research question would not have been satisfactorily
answered, and the researcher would need to reformulate the question
and test a new hypothesis. In this way, hypotheses help to direct
research.
An important part of this process is establishing the null hypothesis.
is is the hypothesis that the researcher is trying to disprove (or nullify).
is is the opposite of what the researcher is actually hypothesising, the
experimental hypothesis. For example, the researcher might state:
‘More than an hour a week of strenuous exercise improves mood’. In this
case, the null hypothesis would be: ‘More than an hour of strenuous
exercise per week does not improve mood’ (Davey, 2004). e null
hypothesis is important because we cannot always prove our original
hypothesis. If we can reject the null hypothesis with confidence, this
gives support for accepting the experimental hypothesis.
Consider the second question in Box 2.1. Just one hypothesis
generated from this question could be: In Gardenia, young women who
have experienced date rape have high self-esteem in comparison to those
young women who have not experienced date rape.
If a researcher then found that young women who had experienced
date rape scored considerably higher on some measure of self-esteem
than those who had not experienced date rape, the researcher would
claim that the hypothesis had been accepted. Conversely, if
the researcher found that young women who had experienced date rape
scored considerably lower on some measure of self-esteem than those
who had not experienced date rape, or if there were no difference
between the scores of these two groups of women, then the researcher
would state that the hypothesis had been rejected.

Questioning the relevance of variables,

definitions and formal hypotheses
e use of variables and formal hypotheses is characteristic of
quantitative research. However, the main aim of most qualitative studies
is to explain the ways that people come to understand and account for
issues, events and behaviours in their lives. e information gathered
covers the perceptions and interpretations of the participants. Because
qualitative (or interpretive) research comes from the belief that human
experiences and characteristics cannot be reduced to numbers,
qualitative researchers would not be interested in giving numerical
values to variables. Nor would they be interested in determining causal
or correlational relationships between variables. Rather, they would focus
on individuals’ subjective experiences of the phenomenon that forms the
basis of the study. To this end, operational definitions have little
relevance in qualitative research; researchers would be more interested
in the explanations that people give of themselves and their lives (Grbich,
2007). Similarly, qualitative researchers do not conduct research as a
means to accept or reject formal hypotheses. is is because qualitative
research is not so much about establishing facts as about exploring what
certain so-called facts mean to the individual research participants, and
how these participants experience them.
Let us look again at the third question in Box 2.1: ‘What are the
consequences of date rape?’ A qualitative researcher would try to answer
this question by talking to survivors of date rape and asking about how
the experience affected their functioning. e researcher would explore
what the young women themselves have to say about the effects of their
experience. Indeed, a qualitative researcher may not even ask the
participants directly about self-esteem, but would be more interested to
see whether they speak of self-esteem issues themselves, or whether
other issues are more significant to them. e interpretive approach
obviously has little use for operationally defined and measured variables,
nor formally stated hypotheses that need testing.

Time frame
If all the data are collected from the units of analysis at one particular
point in time, the research design is for a cross-sectional study. Box 2.2
refers to a single instance of collecting data on young women’s sense of
empowerment.
If the data will be collected from the units of analysis over a period of
time (e.g. every six months, or every year for three years), the research
design is for a longitudinal study. For an example of a longitudinal
study, see Box 3.10. is refers to Birth to Twenty (BT20), the largest and
longest-running research project in Africa which has studied the health
and development of 3 273 infants since their birth in 1990. One of the
problems with longitudinal research is the loss of participants over time.
BT20 has been quite successful in this regard, consistently collecting data
from 50–65 per cent of participants.

Sampling
A research design should clearly indicate what units of analysis will be
accessed to provide accurate information that is relevant to the research
topic. Suppose a quantitative researcher wishes to collect information
from women who have experienced date rape. If that researcher could
collect information from every single woman who had ever experienced
date rape (the entire potential population of relevance to the study),
he/she would be assured of the accuracy of the information gained
(provided the participants were truthful), and the accuracy of the
conclusions drawn from the information. However, accurate information
can also be gained from a smaller group (a subset) of all the women who
have experienced date rape; this subset is known as a sample. If that
sample of women is representative of the population, the researcher can
draw accurate conclusions from it. en, the researcher can generalise
these conclusions to apply to the entire group of women who have
experienced date rape. Sampling theory allows researchers to select
representative samples (see below) from populations of interest.

Representative samples
In order to make claims about a population on the basis of a sample from
that population, researchers need to select their sample so that the
people in it are representative of the population. is is called a
representative sample. A representative sample is a group of people,
selected by a researcher from a population, who are in all ways similar to
that population. As long as the researcher has ensured that the sample is
representative, he/she is able to generalise the results from the sample to
the population as a whole. e practice of generalising findings from a
sample to a population is called statistical inference.

The sampling frame

e first step to ensuring a representative sample is to use a complete
and accurate sampling frame. A sampling frame records all the units of
analysis from which data could be gathered. In essence, it is a complete
list of the population of interest. A sampling frame cannot exclude any
unit of analysis, and every unit in the sampling frame must have the same
or a specified probability of being selected into a sample.

Probability sampling
ere are two main types of sampling: probability sampling and non-
probability sampling.
When we know that every unit of analysis in a population has an equal
chance of being selected into a sample, and we know what the likelihood
of each unit being selected is, then we are using probability sampling.
Simple random sampling, interval sampling, stratified random sampling
and multi-stage sampling are all types of probability sampling.
In simple random sampling, a common procedure is for the
researcher to assign a number to every unit in the sampling frame, then
to write the numbers on identical pieces of paper and place them in a
container. After being thoroughly mixed, numbers are drawn from the
container and the corresponding unit of analysis is then included in the
sample. An example of this procedure would be a lucky draw following a
raffle. Computers can also be used to generate lists of random numbers,
or tables of random numbers can be consulted. Again, numbers are
assigned to every unit of analysis in the sampling frame, and units
corresponding to the generated or tabled numbers are selected for the
sample.
Interval sampling occurs in a similar way to simple random
sampling. Numbers are again assigned to each unit of analysis in the
sampling frame. e researcher then selects numbers at equal intervals,
starting at a randomly chosen number. e units of analysis
corresponding to the numbers thus selected are drawn into the sample.
For example, an educator may select every fifth learner to recite the
poem the class had to learn.
Simple random sampling and interval sampling are usually
appropriate for medium-sized populations, but unmanageable where
large populations are concerned. Instead for large populations stratified
random sampling can be used. Stratified random sampling entails first
dividing the population into different groups (strata) so that each unit of
the population belongs to only one group. en, simple random
sampling or interval sampling is employed for each group. For example, a
researcher may want to sample five learners from each class in a school.
It would be unwieldy to list all of the learners so this could be done class
by class (the strata).
e problem with all of the above sampling methods is that they rely
on the availability of a complete list of every unit of analysis in the
population of interest. But often this is impossible to obtain or create. In
the absence of such a list, researchers can use multi-stage sampling
(which is also called cluster sampling). In Box 2.3 this sampling method
is applied to the date-rape study that we have already discussed.

Non-probability sampling
When researchers are not concerned with the representativeness of a
sample, they do not need to use probability sampling. Qualitative
researchers often use non-probability sampling because they seldom
attempt to generalise their findings to a population. Convenience
sampling, purposive sampling and snowball sampling are all types of
non-probability sampling.
In convenience sampling, a researcher will merely choose the closest
people as participants. For example, a researcher may spend some time
at a rape crisis centre and ask those people accessing the service to
participate in his/ her study.
In purposive sampling, researchers use their own judgement about
which participants to choose, and they select only those who best meet
the purposes of their studies. A researcher who spends time at a rape
crisis centre will encounter many people of varying age and gender.
However, if that researcher believes that a typical date-rape survivor is
adolescent and female, that researcher will only ask young females to
participate in his/her study.
is same researcher could instead decide to approach only one
woman who comes to the rape crisis centre, and, if she agrees to
participate in the study, could then ask her to recruit others whom she
knows have had a similar experience. is is known as snowball
sampling.
When non-probability sampling methods have been used, the
findings should not be generalised to a population.

How many is enough?

For both quantitative and qualitative researchers, deciding how many
people should be selected into their sample is an important
consideration.
For quantitative researchers, the major criterion to use here is how
representative the sample is of the population. e larger the sample, the
greater the chance that it will be representative of the population from
which it comes. is is particularly true if the population is
heterogeneous (diverse). However, while large samples are more likely to
be representative of the population, they may be impractical to work with
and too expensive. Furthermore, having a large sample does not
necessarily guarantee representativeness. A large sample that is based on
an inadequate sampling frame or one that has not been selected using
random sampling methods will not provide a representative sample. A
small sample based on a complete sampling frame or a small sample that
has been selected using random sampling methods would be more
representative than a large sample based on a flawed methodology.
To determine the actual size of the sample required, researchers can use
predetermined tables or various statistical equations.
Qualitative researchers may begin data collection and then stop once
they have reached a point of saturation. By this we mean that new
information no longer challenges or adds to the interpretive account.
Decisions about sample size will also take into account whether there is
an existing body of well-developed theory about the research topic. If
there is, it is likely that fairly specific research questions will be generated
and a small sample size may be adequate. On the other hand, exploratory
research that is not informed by an established body of theory will
require a larger sample size. Furthermore, if a researcher expects to
collect lengthy and detailed accounts from participants, only a few
participants may be required. Conversely, if a researcher expects to
collect relatively brief accounts, more participants may be required. As a
general rule of thumb, Kelly (2006) suggests that when a homogenous
sample is used or when research protocols call for long sessions of
information gathering, then between six and eight participants may be
used. In explorative research or if collection methods are brief, then 10
to 20 participants should be used.
For qualitative researchers, issues around sample size may not be as
central as the characteristics of the people who comprise their sample.
For example, if the purpose of the study is for people to describe
phenomena or behaviours, it may in fact be more valuable to select
sample participants who are good communicators, who are open and not
defensive, who have an interest in the research, and who are likely to
understand the value of participating.
Clearly, for both qualitative and quantitative researchers, there is no
definitive answer to the question: ‘How big is big enough?’ Deciding on a
sample size will depend on the level of accuracy a researcher requires,
the degree of diversity within the population of interest, and the amount
and quality of data gathered. It will also depend on the researcher’s
resources as large studies tend to be expensive.
 2.3 SAMPLING FOR A REPRESENTATIVE SAMPLE
For practical reasons, you have refined your first research question to be: ‘How many Grade 12 female
learners in Cape Town have experienced date rape?’ The population from which you will now draw your
sample is Grade 12 female learners in Cape Town. Because you want your sample to be as representative
of the population as possible, you decide the best sampling strategy to use is multi-stage sampling. You
follow the following steps:
Step 1: You obtain a list of all the school districts in Cape Town, and, using simple random sampling,
you select five (a cluster).
Step 2: For each of the five school districts selected, you obtain a list of high schools. From the
resultant list of 200 schools, you use simple random sampling to select 10 schools (a cluster).
Step 3: For school #1 you obtain a list of every female learner in Grade 12 and employ simple random
sampling to select 20 learners (a cluster). You repeat this process for each of the other schools.

Thus, by following these steps (or stages), 200 female Grade 12 learners will comprise a representative
sample.

SUMMARY

In conducting a research study, the following aspects must be considered:

• What type of study will be conducted? Will it be exploratory, descriptive or explanatory?
• What research design will be most appropriate to answer the research questions? Should the
research be quantitative or qualitative?
• What variables will need to be defined and operationalised? What independent and
dependent variables will be used? Will a causal relationship between variables be established
or merely a correlation?
• Who or what will the study collect data from? What will the study’s units of analysis be?
• What specific hypotheses will be proposed based on the research questions? In qualitative
studies, hypotheses may not be appropriate.
• How long will the study run for? Will it be cross-sectional or longitudinal?
• How will the sample of units of analysis be chosen? Does the sample need to be representative
and, if so, how will this be achieved?

Step 3: Data collection

Before it comes to collecting data, researchers will have made some
critical decisions about their research topics. ey will have formulated
the research questions and, where applicable, specified which variables
will be measured, specified how concepts will be defined and generated
hypotheses. ey will have settled on an appropriate research design,
and performed appropriate sampling in order to select those people from
whom they wish to gather information. e next step in the research
process involves actually gathering information from their participants.
is process may involve issues around quantification of variables, levels
of measurement and the appropriate techniques for gathering
information.

Levels of measurement
We have already described how researchers assign numbers to their
variables of interest (see Box 2.2). When we quantify variables in this way,
we can choose between four levels or scales of measurement: nominal
scales, ordinal scales, interval scales and ratio scales. ese often
determine what types of analysis a researcher can carry out.

Nominal scales
When we use a nominal scale, we simply classify variables into mutually
exclusive categories and assign labels in the form of numbers to them.
Some examples of nominal scales applied to certain variables are: male
and female; young, middle-aged and old; happy and sad. Numbers
are assigned to these variables merely as a matter of practicality. For
example, 1 = male, 2 = female; 1 = young, 2 = middle-aged, 3 = old; 1 =
happy; 2 = sad.

Ordinal scales
When we use an ordinal scale, we go one step further. We assign labels
to variables in the form of numbers such that one variable can be placed
in relation to another in terms of the amount of the relevant attribute that
they possess. For example, we could assign numbers to examination
marks so that they are categorised as follows: fail (0–40%) = 0;
unsatisfactory (40–50%) = 1; satisfactory (50–60%) = 2; good (60–70%) = 3;
excellent (70%+) = 4. e numbers assigned are not only mutually
exclusive labels of examination attainment, but can also indicate that a
score of 1 is worse than a score of 2, or that a score of 4 is better than a
score of 3.

Interval scales
Building on the idea of an ordinal scale, an interval scale assigns
numbers in such a way that the size of the difference between any two
numbers corresponds to the size of the difference in the attribute being
measured. For example, the difference between an IQ score of 90 and 95
is the same as a difference between a score of 110 and 115. Most
measures in the behavioural sciences are interval measures.

Ratio scales
A ratio scale is similar to an interval scale except that a ratio scale has a
true zero value. An example of a ratio level of measurement would be
age. A person cannot be less than 0 years old, and a person who is 10
years old is twice as old as someone who is five years old.
IQ scores are not ratio levels of measurement because a person who
scores 0 does not necessarily have no intelligence, and one cannot say
that a person who scores 80 has half as much intelligence as someone
who scores 160.

Methods for gathering data

ere are a number of ways that researchers go about gathering
information. e most common method of gathering information is by
directly asking participants to answer questions or express their views.
However, information can also be obtained by merely observing people.

Observation
Non-participant observation involves a researcher observing people
without interacting with them. For example, a researcher may be
interested in bullying behaviours among primary school children. To
gain information about the incidence and nature of bullying among the
children, he/she may choose to sit alongside school playing fields during
break and observe children playing. A major drawback of this type of
observation is that people may behave differently to the way they
normally would because they know they are being watched.
To overcome this drawback, researchers may decide not to reveal their
intentions to the people they wish to observe. ey could do this by
becoming part of the group and covertly observing their behaviour. For
example, a researcher may be interested in drug use at local nightclubs.
He/she could attend selected nightclubs and party until the early hours
of the morning. However, unbeknown to the other people there, the
researcher would also be observing their behaviour. In this instance a
researcher would be conducting participant observation. is has
obvious ethical implications.
Table 2.1 Example of a semi-structured interview (Pedroso, Kessler & Pechansky, 2013)
Questions Objectives
1. What was your life trajectory like Aspects related to birth, schooling,
before you first used crack? work, family, and friendships.
2. At what age did you start using Age at the beginning of use of licit
drugs before crack? and illicit drugs.
3. How many times were you Trajectory of previous
hospitalised before? hospitalisations.
4. How many times did you try to Hospitalisation seeking trajectory:
be hospitalised? number of attempts.
5. In your opinion, which factors
have contributed to your relapse
after discharge or to Risk factors related to crack use.
abandonment of previous
hospitalisations?
6. Have you ever been involved
with crime, prostitution or under Legal aspects: crime or exchange of
arrest due to your crack sex for crack.
addiction?
7. Has your physical health been
Physical aspects: clinical conditions.
affected due to the use of crack?
8. Do you believe that faith, religion
Spiritual beliefs related to abstinence
and/or spirituality may help you
from crack use.
to abandon crack?

Another type of observation would involve observing people from

behind a one-way mirror in a laboratory-like setting. For example, a
researcher may be interested in the interaction between teenage mothers
and their infants. e researcher could then get such mothers to play
with their infants in a room and observe their interaction from behind a
one-way mirror.
Interviews
In simple terms, interviewing involves the researcher asking questions,
listening and analysing the responses. It is a process of gathering
information for research using verbal interaction. e process typically
begins with an approach being made to a potential participant. e
researcher usually begins by giving some brief information about
him-/herself, such as name and institutional affiliation, and by
describing the purpose of the study. Before the interview begins, the
participant’s consent must be obtained.
Interviews may differ in terms of their structure and this will depend
on what type of information a researcher wishes to gather. In a
structured interview, the interviewer follows a set list of questions in a
certain sequence. Researchers who use this format probably require
certain straightforward information. However, in an unstructured
interview (an open-ended interview), the researcher merely tries to
remain focused on an issue of study and uses few predetermined
questions, if any. Typically, the interviewer will begin by asking a general
or open-ended question on the issue of interest, but will allow the format
and flow to be shaped by the interviewee. is type of interview is
appropriate when the aim is to gain insight into the participant’s
interpretation of his/her experiences. In a semi-structured interview,
the researcher ensures that certain areas of questioning are covered, but
there is no fixed sequence or format of questions. Semi-structured
interviews are typically used for qualitative research and for focus groups.

Questionnaires
A questionnaire is a text that asks specific questions in a specific order.
Questionnaires also contain a relatively precise way in which answers
can be given, for example: yes, no or don’t know; agree or disagree;
always, sometime, or never. Questionnaires commonly use Likert-type
scales (see Figure 2.3). In each item (question), the person completing
the scale is given a number of choices (usually between three and 10). All
of the items together comprise the scale. is is the format used most
typically in personal inventories (see Chapter 6). Questionnaires are
ideally suited for quantitative studies where, for example, ‘yes’ can be
coded as 1, ‘no’ as 2, and ‘don’t know’ as 3, and so on.
Questionnaires can be used in structured interviews or they can be
used in situations where there is little or no direct contact between the
researcher and the study participant. e researcher may distribute the
questionnaires to the participants and collect them again once the
participants have completed them. Alternatively, the researcher may
send the questionnaire via the mail with the instruction to participants to
return it once they have completed it. Questionnaires can also be made
available to participants via a secure internet site. Once completed, the
participants return their questionnaires via the internet. Self-
administered questionnaires are those that are completed by
participants without the presence of the researcher.
For people who are illiterate or disabled, special administration
measures will need to be taken. For example, a questionnaire could be
read aloud and answers recorded by the interviewer. Attention also needs
to be paid to the interviewee’s home language so that unfamiliar terms
can be explained, if necessary.

Please fill in the number that represents how you feel about the computer
software you have been using
Figure 2.3 Example of a Likert-type scale

Focus group interviews

Interviews may be conducted in a one-to-one situation or using a group
setting. Focus group interviews, originally used in market research, are
now widely used in psychological research. Focus group interviews
basically entail a group discussion that explores a particular topic
selected by the researcher. A moderator facilitates the discussion among
the participants. An advantage of a focus group is that it offers a
researcher the opportunity to gather information in a situation where
participants are interacting with one another. In such interactive settings,
statements made by one participant may initiate a reaction and
additional comments from other participants, thus offering a wider
perspective on the topic under discussion. A focus group needs to be
large enough to generate rich discussion but not so large that some
members are left out; between six and 10 participants is ideal.
Participants are selected on the basis of their experience with the topic at
hand. For example, the sample semi-structured interview referred to in
Table 2.1 was used on a sample of in-patient crack users.
Table 2.2 Methods for gathering data
Method Features
Non-participant observation (the
researcher observes participants
without interacting with them)

Participant observation (the

Observation
researcher interacts with participants
while also observing them)

Observation through a one-way

mirror
The researcher asks questions of the
Interview participant, and records and analyses
the answers.
Interviews may be structured, semi-
structured or unstructured.
Asks a specific set of questions and
Questionnaire
usually has a structured format
Involves a group discussion
Focus group
exploring a particular topic
Documents (e.g. letters, diaries) and
Other
other media (e.g. TV programmes)
 2.4 METHODS FOR GATHERING DATA FOR THE DATE-
RAPE STUDY
Imagine that you were continuing to use most of the research questions from Box 2.2, but had
rephrased the first question as in Box 2.3:
1. How many Grade 12 female learners in Cape Town have experienced date rape?
2. Does a young woman’s empowerment increase her risk of date rape?
3. What are the consequences of date rape?

Having drawn your representative sample (in Box 2.3), you are now in a position to make decisions
about how you will collect information from your participants.
To help you to answer the first research question, you decide to construct a number of questions that
will enable you to categorise the participants according to those who have experienced date rape, and
those who have not.
Regarding the second question, you have been fortunate enough to be able to access established
questionnaires that assess levels of self-efficacy, self-esteem, self-actualisation, self-concept and beliefs
about equity and free will among similar populations. These are the elements that constitute your
construct, namely empowerment. Given the sensitivity of the topic, you decide that a self-report
questionnaire would provide your participants with a greater sense of anonymity, thus increasing the
possibility that they will answer the questions truthfully.
Because you have realised the limitations of merely gathering quantitative data, to help you to
answer the third question you plan to conduct individual, in-depth interviews with 10 participants. So
you end the questionnaire about empowerment with an explanation about your intention and a
request that, if the survivors of date rape are prepared to be interviewed, they provide their contact
details. You then set up a mutually convenient place and time to conduct interviews with the willing
participants. After consulting the literature, you decide to follow a narrative approach to the interviews.

Other methods of gathering data

Other methods of gathering data include the collection and study of
documents, letters and entries in personal diaries. Audio and visual
material may also be used for research purposes, although these are then
usually also transcribed into written texts.
 SUMMARY

Once the methodology of the study has been finalised, the researcher can proceed to gathering
the information he/she needs to answer the research questions. The following issues are relevant:
• In quantitative research, the researcher needs to decide how the variables will be quantified.
This is so that the data can be analysed statistically. There are four levels of scales: nominal,
ordinal, interval and ration scales.
• Data may be gathered in different ways; which one the researcher chooses depends on the
research design. Data may be gathered by observing participants, either ‘from the sidelines’ or
by becoming part of the group he/she wishes to observe. The researcher may conduct
structured or unstructured interviews or give participants a questionnaire. Lastly, the researcher
may conduct a focus group. Data may also be gathered from documents or other media.

Step 4: Analysis of data

Analysis of quantitative data
Researchers and statisticians employ a number of methods to analyse
quantitative data. Which method is used will depend on the nature of the
research question, the research design and the nature of the data itself.
As these methods are usually described in detail at a later stage in
undergraduate training, here we provide just a brief outline of data entry
into a database, descriptive data analysis, measures of central tendency
and variability, and the way in which the reliability and validity of data
are assessed.

Entering data into a database

Once a quantitative researcher has finished collecting data, he/she will
assign numbers to all the participants’ responses to the research
questions. ese numbers will then be entered into a computer database
so that they may be subjected to statistical analysis. But before a
researcher begins with any analysis, he/she will check the data for errors,
and, where necessary, go back to the original questionnaire or the
dataset in order to correct them. Errors in coding and in entering are
more likely when working with large datasets. Once a researcher has a
clean and accurate dataset, he/she will begin the analysis.

2.5 RELIABILITY AND VALIDITY

It is important for instruments that measure some psychological phenomenon, attribute or
characteristic to do so as effectively and accurately as possible. When a measurement instrument is
developed or an existing one is used with a different population or in a different context, researchers
should provide some indication of the instrument’s psychometric properties (in other words, its
reliability and validity).
Reliability refers to whether the measurement instrument produces accurate and consistent results
each time it is used. For example, a tape measure that measures a set distance, say 1 m, as 1.15 m on one
occasion and 0.98 m on another is not a reliable measuring instrument. In psychological properties
however (like personality traits or intelligence), it is much harder to be sure about the accuracy of
measurement. Because of this, most psychological tests have an error variance or ‘error of measurement
(EOM) value which sets out the range within which the so-called true score is to be found. For example
in IQ measurement, the EOM is 10 IQ points, meaning that we can say your IQ is somewhere within that
range (e.g. between 105 and 115).
Validity refers to the extent to which a measurement instrument measures what it set out to measure
For example, we would not use a measure of someone’s maths ability to tell us about his/her creative
ability.
See Chapter 6 for a more detailed discussion on reliability and validity.

Descriptive data analysis

A descriptive data analysis describes data by examining the distribution
of scores for each variable. is type of analysis gives the researcher an
initial picture of how people scored on each variable and how their
scores are related to the scores of others. Often a researcher will generate
a frequency distribution. For example, the frequency distribution of
empowerment of Grade 12 female learners who had experienced date
rape may be graphically depicted as shown in Figure 2.4.
is depiction provides the researcher with a visual idea of the level of
empowerment among women who had ex perienced date rape. Just by
looking at it, a researcher can see that their level of empowerment
appears to be quite high (they mostly score 4 and 5 on the scale).
However, in order to determine whether date-rape survivors’ levels of
empowerment are higher than those who had not experienced date rape,
the researcher would measure empowerment among a sample of women
who had dated but who had never experienced date rape. e researcher
would then combine the two sets of information, as depicted in Figure
2.5.

Figure 2.4 The frequency distribution of empowerment among Grade 12 female date-rape
survivors

Figure 2.5 A comparison of the frequency distribution of empowerment among Grade 12 female
date-rape survivors and those who had not experienced date rape

Just by looking at this second graph, a researcher can see that the level of
empowerment among date-rape survivors is indeed higher than among
women who had dated but not experienced date rape. However, a
researcher cannot come to any definitive conclusions based on this
information. e researcher would need to conduct statistical analyses
before being able to claim that the difference in empowerment among
these two groups of women is a statistically significant finding.

Measures of central tendency

A measure of central tendency (also referred to as a summary statistic)
provides a researcher with a single numerical value that represents all the
values of a particular variable in the dataset. ese indicate what is
typical or average of the dataset. e different types of measures of
central tendency are the mean, the mode and the median.
e mean is an average score. For example, a student received the
following grades on five tests during her first-year psychology course:
34%, 88%, 34%, 50% and 78%. She may want to know what her average
grade is because she needs to have scored above an average of 50% in
order to gain admission to the year-end examination. She would add up
the grades for the five tests (284) and divide this by the total number of
tests (5) to obtain her average mark (56.8%).
e mode is the score in a distribution which occurs most frequently.
In the above example, 34% would be the mode because it occurs twice,
whereas the other scores each only occur once.
e median is the middlemost score when the scores are ordered
from lowest to highest. Ordering the psychology assessment scores in the
above example, we would get: 34%, 34%, 50%, 67% and 88%. e median
here is 50% because it falls right in the middle of the scores, with two
scores on each side of it. Where there is an even number of values, the
median is found by adding the two middle scores and dividing them by
two (see Figure 2.6).
Figure 2.6 Illustration of a median

Measures of variability
Although measures of central tendency are extremely useful, we also
need to consider what measures contribute to a mean, mode or median.
For example, the mean of 30 plus 30 is 30; however, the mean of 60 plus 0
is also 30. us to fully understand a data set, we also need to consider
measures of variability. A measure of variability provides an indication
of how diverse or variable the spread of scores is. Measures of variability
include the range, the variance and the standard deviation. ese are the
most important descriptive statistics as they form the basis for most
advanced statistical procedures. However, the way in which these
measures are calculated, and how and why they are central to advanced
statistical procedures is beyond the scope of this chapter and will
undoubtedly form part of later psychological research courses.

Analysis of qualitative data

Information gathered via interviews and other qualitative data sources is
usually transcribed (see below). e analysis then involves sifting
through the transcripts in a systematic way so that conclusions may be
reached about the issue under investigation.
ere are several methods of analysing qualitative data, such as
thematic analysis, narrative analysis and discourse analysis, and all of
these revolve around the analysis of meaning. In these approaches,
words constitute the basic unit to be analysed.
 Qualitative research is fundamentally different from quantitative
research and therefore has its own verification processes.

Transcription of data
Interviews and focus group discussions are always audio-taped.
Researchers must then transcribe these sources of data into written
format. Audiotapes are best transcribed word for word into an electronic
document. e researcher should also insert comments (or symbols) that
denote hesitation, pauses and sometimes, particular reactions of
participants such as laughs or sighs.
A researcher must transcribe entire interviews rather than selecting
what he/she thinks is relevant. At the point of transcription, it is unusual
for a researcher to be fully aware of the importance and relevance of what
participants have said. It is only after the repeated reading of the
transcripts during analysis that researchers can be sure of the importance
and relevance of different pieces of information. However, as the
researcher transcribes the information, it is useful to make notes about
possible interpretations.
Once the transcription is complete, the researcher should check it by
reading through it while listening to the audiotape, or by getting a
colleague to do so.

Thematic analysis, narrative analysis and discourse

analysis
ematic analysis is the most commonly used method of qualitative
data analysis. According to this process, audiotaped transcriptions are
first broken down into units of meaning (e.g. self-esteem or self-
determination). e researcher then uses a technique to place the units
of meaning into categories. In this way, themes are systematically
identified. When collated, these themes give insight into the particular
issue being studied. In the past, there was no computerised assistance for
the researcher. However, recognising the increasingly important role of
qualitative research, some of the bigger statistical software companies
have developed tools to aid in this analysis.
Narrative analysis is a technique that approaches the transcript as if it
were a story following some type of sequence. Riessman (2008), a well-
known scholar of narrative, explains that a narrative always responds to
the question: ‘And then what happened?’ Narrative analysis is especially
useful for the study of changes over time. It may be used to explain how
participants in a study understand past events and actions and also how
they make sense of themselves and their own actions. Box 2.6 provides an
example of a study that used narrative analysis to investigate how women
make sense of abusive relationships.
Discourse analysis places a great deal of emphasis on the role of
language. It is a technique through which the researcher analyses the use
and structure of language to reveal representations of the world or sets of
meanings. e researcher typically tries to draw attention to dominant
meanings of particular phenomena as well as how these meanings may
be contradictory and ambivalent. For example, Verlien (2003) examined
how the staff members at a detention home for young women talked
about these women as if they were still children, denying them any sense
of sexuality.
In reality, many qualitative studies use a mix of data analysis
techniques, but when researchers do this they must be systematic in their
analyses.

Verification of qualitative data

ere are several debates about the rigour of qualitative research. ese
revolve around questions such as: ‘How can we trust the authenticity of
qualitative research?’, and ‘How can we be sure that such research is
reliable and valid?’
ere are many different perspectives on how to make sure that
qualitative data is trustworthy and rigorous. A frequently used technique
involves correspondence checks. ese checks may involve the use of
colleagues and other researchers to analyse the data independently.
ese analyses are then compared with that done by the primary
researcher to check for correspondence. Some researchers take the
analysed data back to the participants to find out what they think of the
analysis.
Another technique that may be used is to consider openly alternative
interpretations of the data and then report on these too. Whatever
technique is used, all researchers must show that their interpretation
relates to the overall goals, theory and method of the study. In the final
analysis, the researcher should provide enough information to allow
others to assess the merits and trustworthiness of the work (Reissman,
2008).

SUMMARY

• Once all of the data has been collected, it needs to be analysed. How this is done will depend
on whether the data is quantitative or qualitative.
• The method for analysing quantitative data will depend on the research questions. Data first
needs to be coded and entered into a database.
• Once the coded quantitative data has been checked, descriptive statistics will be produced.
These include measures of central tendency (mean, mode and median) and measures of
variability (range and standard deviation). Graphs help show the data visually. Issues of
reliability and validity must be considered.
• For qualitative data, recorded interviews and focus groups are first transcribed in full. The
transcripts are then read repeatedly.
• The most commonly used approaches in qualitative analysis are thematic analysis (identifying
specific units of meaning), narrative analysis (studying the stories participants tell of how they
understand past events and actions), and discourse analysis (interpreting language to reveal
representations of the participant’s world).
• Qualitative data must be verified through correspondence checks and by considering
alternative interpretations. The participants may also be asked to check the interpretation.
 2.6 QUALITATIVE RESEARCH IN ACTION: SOUTH AFRICAN
WOMEN’S NARRATIVES OF VIOLENCE
In South Africa, abuse of women is a pervasive problem affecting millions of families. Why do many
women remain in relationships with men who abuse them? Boonzaier and De la Rey (2003) reported on
a study in which 15 women living in Mitchell’s Plain in the Western Cape were interviewed. All the
women had been married for periods of 5 to 26 years, and they had each experienced long-term abuse
from their partners.
To gain a comprehensive picture of the women’s understanding of the violence, open-ended
interviews were conducted. The issues covered in the interviews included the specific woman’s
experience of the abuse, how she responded, her feelings towards her partner, and her reflections on
staying or leaving. Prior to the interviews, all the women were informed about the nature and procedure
of the research, and the voluntary nature of their participation was explained.
During the interviews, the women described traumatic and painful memories of abuse. The
interviewer took care to establish rapport, show empathy and convey sensitivity. At the end of each
interview, the interviewer, who was from Mitchell’s Plain herself, initiated a debriefing session in which
the women could discuss the interview and the research process.
All the interviews were recorded and then transcribed. The interview transcripts were read many
times, paying particular attention to the contents. These transcripts were then analysed to uncover the
similarities and differences across and within cases. In analysing the transcripts, the gender identity of
the role players as women or men was particularly evident. Narrative analysis was used to show how the
women’s understandings of romantic love played an important role in binding them to their partners.
Many of the women viewed their partners as having two sides: a good side, which they loved, and
then an abusive side. The women connected the appearance of the bad side to alcohol and drug abuse
Many of them described how their partners verbally abused them by calling them derogatory names
The researchers showed how these terms are examples of dominant cultural representations of women
as either virgins or whores.
All of the women interviewed had sought assistance from various sources such as family, religious
institutions and social agencies. The analysis revealed how these sources played contradictory roles
sometimes condemning the violent partner, but also encouraging the woman to be a good wife and
remain in the relationship. Overall, the study showed how women’s understanding of their experience of
abuse is linked to the particular context in which their experiences occurred. Economic hardships,
alcohol and drug abuse, and dominant perspectives of masculinity and femininity all interacted to
shape women’s responses and reactions.

Step 5: Reporting findings

Once the researcher has analysed the data, he/she needs to explain and
interpret the findings. e researcher must also critically reflect on the
entire research study to identify whether anything could have distorted
the findings. It is virtually impossible for research of any sort to be totally
free from errors or bias. It is therefore important for researchers to make
every effort to identify, reduce and/or compensate for these.

Finding errors
Measurement errors in quantitative data refer to data that is wrong or
inaccurate. If the errors influence all the data, they are called constant
errors. If the errors only occur occasionally and/or are due to particular
conditions, they are called random errors.
Errors can creep in at any stage of the research process, which means
that researchers should consider each step they have taken. For example,
the initial definitions might not have been formulated clearly, an
inadequate research design may have been developed, sampling errors
may have resulted in a sample that was not representative of the
population, and a badly constructed questionnaire could have led to
inconsistent or confusing responses.

Finding bias
Bias is any ‘deviation from the truth in data collection, data analysis,
interpretation and publication which can cause false conclusions’
(Šimundić, 2012, p. 12). Bias may occur when there are undetected
influences on any stage of the research process which may influence the
relationships between the variables. For example, a researcher may be
investigating the influence of having an alcoholic parent on self-esteem
in adolescents. If his interest in this area is because of his own
experiences with his father, he may be unable to detect how this might
bias his whole research process from hypothesis to analysis.
In order to explain the difference between errors and bias, we have
adapted an example from Bless et al. (2006, p. 165). Suppose a woman
reads a book in isiXhosa. While she has a fair understanding of isiXhosa,
she may struggle to understand the exact meaning of some of the words.
She can avoid errors in understanding by consulting a dictionary.
Alternatively, she may decide to read an English translation of the book
because English is her mother tongue. However, she will then be at the
mercy of the bias introduced by the translator who had his own
understanding of the original book.
ere are very many specific sources of bias, including funding bias
(direct or indirect influence from the research funders), hindsight bias
(the sense that the researcher ‘knew it all along’) and confirmation bias
(the tendency to interpret the data in a way that confirms the researcher’s
preconceived ideas). However, in this chapter we describe some of the
broader sources of bias in research. Understanding and being alert to the
various sources of potential bias, and understanding how bias may affect
the results, is the best way to minimise it in a research study (Pannucci &
Wilkens, 2010).

Interviewer bias
An interviewer can influence the answers a participant gives in a number
of ways. For instance, the interviewer may ask questions in an aggressive,
judgemental or disinterested way. He/she may also record participants’
answers incorrectly, or ask a question in such a way that may suggest to
the participant how to respond. (It has been known for interviewers to
indicate answers without even asking the relevant questions.)

Participant bias
Participants could be unresponsive or may give inconsistent answers to
questions. ey could also purposefully provide false answers. For
example, it is not uncommon for participants to under-report behaviours
that are not socially desirable and to over-report behaviours that are.
ey may also misunderstand some questions and so provide inaccurate
responses, or have difficulty expressing themselves.

Analyst bias
Analysts could code and enter data into a database in an inaccurate way.
ey could also incorrectly classify responses to open-ended questions
or choose an inappropriate statistical procedure for analysing data. All of
these examples would introduce analyst bias.

Researcher bias
At all points during the research process, a researcher’s personal views
influence the decisions he/she makes. As suggested above, the
researcher’s underlying assumptions about human experience may
shape his/her research topic, as well as who is chosen to participate in
the study, and what interpretations are given to the findings.

The issue of objectivity and reflexivity

Many researchers attempt to avoid bias by striving for objectivity in their
research and research practices. However, a central feature of qualitative
research is the rejection of the possibility of the researcher’s objectivity.
Researchers, like the rest of us, are always interpreting what they see,
hear and experience. When they ask a question or report on some
findings, the language they use never just reflects reality, but always also
conveys something about their interpretation of reality. So, instead of
trying to eliminate totally the influence of the researcher’s
understanding, qualitative methods have attempted to develop
techniques that take into account the researcher’s perspective and then
address this as a component of the knowledge-generation process.
Rather than objectivity, qualitative researchers use the concept of
reflexivity. In the research process, reflexivity incorporates self-reflection
on the part of both the researcher and the participants (Grbich, 2007). As
pointed out in Grbich (2007, p. 9), in the course of the research process,
‘interaction between you and those researched will serve to produce a
constructed reality’ with prominence being given to the voices of the
researched.
2.7 ETHICS IN RESEARCH
Source: Bless et al. (2006)
Before researchers contact their first participant, they must ensure that their research protocol has
passed ethical evaluation. The purpose of ethical evaluation is to ensure that participants in a research
study are treated humanely and sensitively, and that their right to privacy and protection from physica
or psychological harm is upheld. Most academic institutions have professional bodies that provide
ethical guidelines to which researchers must adhere. These guidelines are informed by a number of
fundamental principles, briefly defined as follows:
The principle of non-maleficence. Participants must not be harmed in any way, either physically or
psychologically, through their participation in a research project.
The principle of beneficence. Research should have the potential to benefit not only the research
participants but other people as well.
The principle of autonomy. People must voluntarily participate in the research project. No one should be
forced or coerced to participate.
The principle of justice. People must not be discriminated against on the basis of gender, race, income
level or any other characteristic.
The principle of fidelity. Research participants must be able to trust and have faith in the researchers. This
calls for researchers to honour all promises and agreements made between themselves and
participants.
Respect for participants’ rights and dignity. All human beings have legal and human rights that no
researcher may violate. The dignity and self-respect of participants must always be preserved.

Over and above these basic principles, researchers must adhere to the following ethical requirements:
Informed consent. Participants should be fully informed about the research project, how the project will
affect them, and the risks and benefits of participation. They must be informed of their right to decline
to participate.
Confidentiality. Information that participants provide must be protected and must be unavailable to
anyone other than the researchers themselves.
Anonymity. Information that participants provide must not be linked in any way to their names or any
other identifiers.
Referral. The psychological well-being of participants must be ensured at all times. Appropriate referral
to a relevant authority should be provided if participants become distressed through their participation
in a research project.
Discontinuance. Participants must be assured that they may discontinue with a research project at any
time without having to say why, and without having any repercussions.
Research with vulnerable populations. Vulnerable populations are those who may not fully understand
the implications and requirements of participation in a research project. Researchers must be attuned to
the special needs of such populations and must not be patronising or condescending.
Quality. Researchers have an ethical obligation to conduct research that is well designed and of high
quality.
Analysis and reporting. Researchers may not change or falsify their data or their observations.
Reporting and publication. Researchers should report back to their study participants in a way that is
easily understandable to them. In publishing the research results, researchers should ensure that
 participants’ anonymity is maintained. Credit must be given to all persons who assisted in the research
project.

See Chapter 1 for examples of ethical issues in psychology.

Research reports

The organisation of a research report

ere are no strict rules about how a research report should be
structured. e structure will depend on the audience for which it is
intended. For example, if a report is intended for research-funding
institutions, it will need to be a detailed and complete account of the
entire research process. A report written for an academic journal will
need to be less detailed, but nevertheless demonstrate a high level of
scientific quality. Some audiences may be less interested in the technical
aspects of the study, and prefer to be fully informed about the findings
and their implications. If a report were intended for readers of a
consumer magazine, or the local newspaper, it would probably describe
the research in a more general way and avoid scientific language. Some
institutions provide guidelines as to the format they require. All academic
journals have fairly specific instructions for authors. Whatever format is
appropriate, it is important that the report is sequentially and logically
structured. Generally, the sections of a report will follow the steps in the
research process closely.

The introduction
is section typically begins by identifying the research problem. e
researcher does this by stating what is already known about the broad
area in which the problem is situated, what is unclear or unknown, and
the relevance of further investigation into the area. A review of relevant
literature follows.
In this part of the introduction, the researcher should be careful to
remain focused on the research topic and evaluate the theoretical
underpinnings and other research findings directly relevant to the
research topic. It is often useful to provide subheadings that deal with
each of the variables of interest. Other background information should
also be provided. e introduction is then concluded with a more precise
description of the research problem, and a clear but concise statement
about the purpose of the study. Where relevant, this would include
formally stating the research hypotheses and providing a rationale for
their development. Again, if relevant, operational definitions of the
variables of interest should be provided.
e purpose of the introduction is to give the reader a clear idea about
what is known about the research topic, what is unclear or unknown, and
what and how the study will add to the relevant field.

The methodology section

is section of a report lays out in sequential detail how the study was
conducted. Again, many researchers use subheadings to structure this
material logically. In general, this section begins by describing the
research participants. It includes a description of the population, the
sampling procedures and the sample size. Relevant demographic
information is often included. e reader must have no doubt about who
participated in the study.
e next step is for the researcher to describe what was required of the
participants. For example, the researcher should say whether
participants had to complete a self-administered questionnaire,
participate in unstructured interviews or focus groups, or provide
biological specimens. Questionnaires, interview schedules and/or tasks
should be described. e researcher should explain the relationship
between the variables of interest and the tasks required of the
participants. e variables, which were mentioned in the introduction,
should now be discussed in more detail. For example, the researcher
should state which variables are being proposed as independent
variables and which are being proposed as dependent variables.
e next step is for the researcher to describe the procedures that were
followed when the data was collected. e researcher must say how
participants were recruited into the sample, what instructions were given
to them, how the setting was arranged, how long the activities took, and
how ethical issues such as informed consent were addressed. Finally, the
process whereby the data was analysed should be provided in detail.

The results section

In this section, the researcher first gives a description of the main results
from the data analysis. Tables, graphs and diagrams are useful ways to
depict quantitative findings, while excerpts from transcripts help to
illustrate qualitative findings. It is often useful to structure the results in
the same order in which the relevant research questions were initially
posed.

The discussion section

e discussion includes a summary and interpretation of the findings,
and states the conclusions that can be drawn from the findings. At this
point, if appropriate, findings can be generalised. Limitations of the study
should be addressed. Suggestions and recommendations for future
research can be proposed. Implications for policy and/or interventions
can be considered.

The references
All the literature mentioned in the report must be included at the end of
the report in the alphabetical list of authors. Referencing styles will vary
depending on the publication in which the report will appear. For
psychology publications, the conventions of the American Psychological
Association are usually followed.

The abstract, executive summary and appendices

An abstract or executive summary usually precedes the sections
described above. Typically an abstract is a summary of all the sections of
the report and is usually around 200 words in length. An executive
summary is typically longer and a little more detailed. e purpose of
these summaries is to provide the reader with a good idea of the contents
of the entire report.
Appendices may be added at the end of a report and may contain, for
example, detailed tables of research findings, and/or the questionnaire(s)
or measurement scale(s) used in the study.

Step 6: Theory building

In the chapters that follow you will encounter many psychological
theories and descriptions of research findings. ese two aspects of
psychology are integrally linked.
e findings from a research study will either confirm or refute the
theory that provided the explanatory framework for the research. If the
former is the case, the theory about the behaviour or phenomenon that
was examined is strengthened. Psychologists may even be able to make
predictions about the probability of future behaviours or phenomena
occurring under certain circumstances. Being able to predict with a great
degree of certainty whether a behaviour or phenomenon will occur
under certain circumstances would allow psychologists to intervene and
influence the course of events positively.
However, if a theory is refuted, the behaviour or phenomenon that was
explored needs to be refined or reformulated. Psychologists then return
to the theory and propose refinements in line with their findings. In all
likelihood, the refined theory would then be subjected to the research
process again (whether by those psychologists who refined the theory or
others).
In both instances, new knowledge is being created. Whether research
findings strengthen a theory or require a reformulation of a theory,
scientific knowledge is being advanced. As Bless et al. (2006, p. 13)
observe:
If theories were not advanced, deeper understandings of social phenomena would not be
achieved and knowledge would become stagnant. For the frontiers of knowledge to be
pushed, theories need to be continually refined and improved.
 SUMMARY

• Once the research data has been analysed, the results need to be explained, interpreted and
reported.
• At this stage, the researcher must critically reflect on the study, attempting to identify any errors
or bias.
• Errors may be constant or random.
• Bias may arise from a variety of sources: the interviewer, participants, the analyst or the
researcher him-/herself.
• Traditionally, researchers have tried to be as objective as possible; however, there is a growing
acceptance that, especially in qualitative research, that objectivity is not possible or even
appropriate. Instead, qualitative researchers use the concept of reflexivity.
• The research report will be structured depending on its intended audience. The traditional
report contains the following standard sections: abstract, introduction, methodology, results,
discussion, references and any appendices that may be necessary.
• Finally, the research study findings may be used in the process of theory building.

Conclusion
All researchers have an ethical duty to conduct the highest quality
research. is means that researchers must consistently conduct
studies following the correct procedures and to the best of their
abilities, they must be adequately trained and have the appropriate
expertise, and they must disseminate their findings with integrity.

KEY CONCEPTS
bias: undetected influences that can occur at any stage of the
research process that may alter or conceal the relationships between
variables
categorical variable: a variable that can be divided into distinct
categories
causal relationship: a relationship between variables whereby
variation in one variable leads directly to variation in another
constant: any property of an object or individual that does not vary
from object to object or individual to individual
constant errors: measurement errors in quantitative data that
influences all the data
construct: a psychological phenomenon that can be measured
continuous variable: a variable that can exist at any point within a
range or on a continuum
convenience sampling: a sampling procedure whereby a researcher
chooses the nearest people to participate in his/her study
correlation: when two variables vary in the same way and we cannot
determine whether a causal relationship exists between them, or
whether they are both influenced by a third variable (when two
variables vary in the same direction, they are said to be positively
correlated; when two variables vary in opposite directions, they are
said to be negatively correlated)
cross-sectional study: a research study where all information is
collected from participants at one point in time
dependent variable: a variable whose values change as a result of the
influence of one or more other variables
descriptive data analysis: an initial analysis of data that provides the
researcher with a picture of people’s scores on each of a study’s
variables, and how some people’s scores are related to the scores of
others
descriptive study: a research study conducted when a researcher
wishes to describe a phenomenon or behaviour
discourse analysis: a method of qualitative data analysis whereby a
great deal of emphasis is placed on the role of language
experimental hypothesis: the hypothesis that a researcher makes to
try to answer the research question
explanatory study: a research study conducted when a researcher
wishes to explain the relationship between variable(s), for example
whether it is correlational or causal
exploratory study: a research study conducted when very little is
known about a research topic
focus group: a method for gathering information from research
participants whereby a small group of research participants explore,
through discussion, a particular topic chosen by a researcher
generalise: in the context of research, the ability to draw conclusions
about a population on the basis of conclusions reached about a
sample from that population
hypothesis: a speculative statement about the expected relationship
between phenomena, which is then investigated empirically
independent variable: a variable whose values exert an influence on
another variable
interval sampling (systematic sampling): a sampling procedure
whereby units of analysis are selected into a sample by selecting units
at predetermined intervals, starting at a random number
interval scale: a level of measurement that assigns numbers in such a
way that the size of the difference between any two numbers
corresponds to the size of the difference in the attribute being
measured
longitudinal study: a research study where information is collected
from participants over a period of time (e.g. every six months or every
year for a fixed time period)
mean: a measure of central tendency that is an average score
measure of central tendency: a single numerical value that
represents all the values of a particular variable in a dataset (see
mean, mode and median)
measure of variability: an index of the spread of scores on measures
of variables
median: a measure of central tendency that is the middlemost score
when individual scores are ordered from lowest to highest
methodology: the means employed to study reality (e.g. a
quantitative researcher would employ an empirical method of
enquiry, and a qualitative researcher would employ an interpretive
method of enquiry)
mode: a measure of central tendency that is the most commonly
occurring score in a distribution of scores
multi-stage sampling (cluster sampling): a sampling procedure
whereby researchers progress through a number of stages, randomly
selecting clusters from the population at each stage until units of
analysis are randomly selected in the final stage of sampling
narrative analysis: a method of qualitative data analysis whereby
transcriptions from interviews or focus groups are approached as if
they are a story following some form of sequence
nominal scale: a level of measurement that classifies variables into
mutually exclusive groups that have numbers assigned to them
non-participant observation: a method for gathering information
from research participants whereby the researcher observes
participants without interacting with them
non-probability sampling: a sampling method where every unit of
analysis in a population does not have an equal chance of being
selected into a sample, and we do not know what the likelihood of
each unit being selected is
null hypothesis: the opposite of the experimental hypothesis; the
researcher tries to disprove the null hypothesis
objectivity: the belief that research and research findings are value
free, separate from ideology, culture and politics
operational definition: defines a variable in terms of what needs to
be done in order to observe and measure it
ordinal scale: a level of measurement that assigns labels to variables
in the form of numbers such that one variable can be placed in
relation to another in terms of the quantity of the attribute that each
possesses
participant observation: a method for gathering information from
research participants whereby the researcher observes and interacts
with participants
probability sampling: a sampling method where every unit of
analysis in a population has an equal chance of being selected into a
sample, and we know what the likelihood of each unit being selected
is
purposive sampling: a sampling procedure whereby participants are
selected into a sample on the basis of a researcher’s own judgements
about the participants
qualitative research methods: research methods that obtain data in
the form of descriptive narratives in order to understand a
phenomenon from the perspective of the research participant, and
gain an understanding of the meanings people give to their
experience
quantitative research methods: research methods that involve the
application of statistical analysis to data, and the development of
statistical approaches for measuring and explaining human
behaviour
questionnaire: a set of predetermined, specific questions with
explicit wording and sequence of presentation
random errors: measurement errors in quantitative data that occur
occasionally and/or are due to particular conditions
ratio scale: a level of measurement that assigns numbers in such a
way that the size of the difference between any two numbers
corresponds to the size of the difference in the attribute being
measured (ratio scales cannot have negative numbers)
reflexivity: the ability of both the researcher and the research
participants for self-reflection during the research process
reliability: the accuracy and consistency of a measurement
instrument (its ability to produce similar results over repeated
administrations)
replication: the process whereby researchers repeat a study with a
different group of people and/or in a different context
representative sample: a group of people, selected by a researcher
from a population, who are in all ways similar to that population
research design: a specification of the most satisfactory actions to be
performed in order to answer research questions successfully, and/or
test hypotheses
sample: a collection of people or objects from which a researcher will
collect information
sampling: a process employed by researchers whereby individuals or
objects are selected to participate in a research study
sampling frame: a record of all units of analysis from which
information could be gathered
self-administered questionnaire: questionnaire that is completed by
participants without the presence of a researcher
semi-structured interview: a method for gathering information from
research participants whereby the researcher ensures that certain
areas of questioning are covered, but there is no fixed sequence or
format of questions
simple random sampling: a sampling procedure whereby every unit
of analysis has an equal chance of being selected into a sample
snowball sampling: a sampling procedure whereby one or more
individuals are requested to recruit others to participate in a research
study
statistical inference: the practice of generalising information gained
from a sample to a population from which the sample is drawn
stratified random sampling: a sampling procedure whereby the
population of interest is first separated into different groups (strata)
so that each unit of the population belongs to one group only, and
then random or interval sampling is employed for each group
structured interview: a method for gathering information from
research participants whereby the researcher follows a set list and
sequence of questions
thematic analysis: a method of qualitative data analysis whereby
transcribed interviews or group discussions are broken down into
units of meaning or themes
transcripts: spoken interactions that have been written down word
for word
units of analysis: the objects from whom a researcher wants to collect
information (they may be individuals, groups of people,
organisations, periods of time and/ or social artefacts)
unstructured interview (open-ended interview): a method for
gathering information from research participants whereby the
researcher merely tries to remain focused on an issue of study
without any pre-set list of questions
 validity: the extent to which a measurement instrument actually
measures what it is meant to measure
variable: any property of an object or individual that can vary from
person to person or object to object

EXERCISES

Multiple choice questions

1. ere is a relationship between the time a learner spends studying

and exam performance. In this instance, exam performance is the:
a) dependent variable
b) sample
c) population
d) independent variable.

2. Which of the following statements relating to qualitative research is

false?
a) e researcher aims to interact with the research participants in a
reciprocal relationship.
b) A qualitative researcher should ensure objectivity in research.
c) Reflexivity, rather than objectivity, is central to the qualitative
research process.
d) Since our understandings of the world are always mediated, there
is always an interpretive component in research.

3. Which of the following is a technique not used in qualitative

research?
a) discourse analysis
b) interviewing
c) central tendency analysis
d) transcribing.

4. Discourse analysis involves:

a) grouping units of meaning into categories
 b) drawing attention to language usage
c) examining changes over time
d) tallying scores to frequencies.

5. What type of study would it be best to conduct when there is little

known about a particular behaviour or phenomenon?
a) a descriptive study
b) an exploratory study
c) an explanatory study
d) a correlational study.

6. A study that collects data just once from a sample is called a

__________________; a study in which there are repeated collections
of data is called a __________________.
a) correlational study; longitudinal study
b) longitudinal study; cross-sectional study
c) cross-sectional study; cross-sectional study
d) cross-sectional study; correlational study.

7. If you are unable to obtain a full list of all units of analysis for the
population you wish to study, which sampling method would you
use?
a) simple random sampling
b) interval sampling
c) multi-stage (cluster) sampling
d) all of the above.

8. Most measurement scales in the behavioural sciences are:

a) nominal scales
b) ratio scales
c) ordinal scales
d) interval scales.

9. In a distribution of measurement scores, the __________ is the

middlemost score when the scores are arranged from lowest to
 highest, the ________ is the average score, and the ________ is the
most commonly occurring score.
a) median; mean; mode
b) mode; median; mean
c) mean; mode; median
d) median; mode; mean.

10. What is the ethical principle that states that participants must not be
harmed in any way, either physically or psychologically, through their
participation in a research project?
a) the principle of fidelity
b) the principle of autonomy
c) the principle of non-maleficence
d) the principle of beneficence.

Short-answer questions

1. Explain the difference between dependent and independent

variables. Provide examples based on a study you may do.
2. Provide examples to describe the three measures of central tendency.
3. Outline the most commonly used types of analysis employed by
qualitative researchers.
4. How do researchers go about verifying qualitative data?
5. ‘It is impossible for research of any sort to be totally free from errors
or bias.’ Discuss this statement.

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Bowman, B., Duncan, N. & Swart, T. (2008). Social psychology in South
Africa: Towards a critical history. In C. van Ommen & D. Painter (Eds.),
Interiors: e history of South African psychology (pp. 319–312).
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Coon, D. & Mitterer, J. O. (2013). Gateways to psychology: An introduction
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 PART 2

Developmental psychology
 Introduction
Norman Duncan

Developmental psychology is a sub-discipline within psychology that

describes and explains the changes that people undergo over their whole
life span.
Many books on developmental psychology divide the human life span
into developmental periods or stages. The criteria for this subdivision are
normally chronological age and biological indicators of developmental
change, such as the growth spurt at the beginning of the adolescent years,
menarche and menopause. However, while dividing human development
into stages may help psychologists to describe and explain human
development, this approach has various shortcomings, three of which are
outlined below.
First, the stages of development are most frequently based on North
American models of human development; therefore, a narrow application of
this approach to contexts such as southern Africa may be inappropriate and
misleading. For example, it is accepted that the stages of adult development
are based partly on the rates of predicted life expectancy. According to the
World Health Organization (n.d.), in the US the proportion of the population
over the age of 60 was 19.7 per cent in 2013, while in South Africa the
proportion was 8.6 per cent. In 2013, South Africa also had a much larger
proportion of its population under the age of 15 years (29.5 per cent
compared to 19.5 per cent). Obviously, with such disparate age markers,
what is conceived of as ‘normal’ adult development within the US and
similar high-income contexts cannot simply be transposed to lower-income
contexts such as South Africa, as is frequently the case with the application
of the stages-of-development approach.
Second, the stages-of-development approach tends to gloss over the
differences in development within stages, and in the process negates the
uniqueness of individual development. Actual development is much more
complex than this approach would lead us to believe, because individuals
sometimes grow in stops and starts and at other times they grow constantly
(Bukatko & Daehler, 2011).
Third, the focus on the role of biology that is typical of the stages-of-
development approach frequently leads to the role of the environment
being underplayed. Yet, as will become abundantly clear as you read
through the chapters in this part of the book, environmental factors play a
pivotal role in human development.
There are a number of important themes underlying the study of
developmental psychology (Bukatko & Daehler, 2011) and reference to these
will be found throughout this part of the text. The most important of these
issues include the following:
• Nature/nurture. What roles do heredity and upbringing play in human
development? (See Box 3.3.)
• Sociocultural context. This considers the customs, values and beliefs that
influence a child’s upbringing. It includes the roles played by the parents’
economic status, educational level as well as health care and parenting
style.
• Continuous/discontinuous development. Does development occur
gradually or in distinct stages or steps?

Part 2 consists of two chapters, dividing the human life span into early and
middle childhood (Chapter 3) and adolescence, adulthood and aging
(Chapter 4). However, it should be stressed that within the context of this
volume, these stages should be seen as reflecting broad approximate
developmental trends, rather than as a template for all human development
in all contexts (Duncan, Van Niekerk & Mufamadi, 2003). Thus, in essence, this
part covers the entire human life span.
Each of the above-mentioned periods is also considered in terms of the
key areas of development:
• Physical development, which includes physiological changes and motor
development
• Cognitive development, which includes the development of language
and thought processes
• Psychosocial development, which includes emotional development and
the development of interpersonal relations (Hook, 2002).

While dividing development into these three domains allows for a

comprehensive and coherent description of development during the
various life stages, in reality people’s behaviour and development cannot be
divided into such neat categories (Duncan et al., 2003). People are whole
beings, and their development at any point in time involves a complex
interaction of these three domains (Bukatko & Daehler, 2011).
It should also be noted that, although there are several theories available,
Jean Piaget’s theory has been employed to describe various aspects of
cognitive development, and Erik Erikson’s psychosocial theory has been
used to discuss various facets of the individual’s psychosocial development.
In addition, both of these theories have been criticised, in part due to
concerns about their applicability in a non-Western context. The reason that
we focused on these theories was to ensure a measure of continuity.
While covering most of the key areas of development normally included
in standard developmental psychology texts, this part differs in terms of its
sharp focus on the contextual obstacles or challenges to optimal human
development confronting many South Africans. The HIV/AIDS pandemic
(which has swept a path of human destruction through southern Africa) is
one such contextual obstacle, and the chapters consider its impact on
human development in South Africa. Apart from attempting to illustrate
how this pandemic currently affects the lived reality of South Africans at
various points in the human life span, we also illustrate how the pandemic,
through the sheer extent of its destructive trajectory, will challenge and
profoundly alter our basic assumptions and understanding of human
development in years to come.
Another key issue is the notion of human resilience. All the authors
contributing to this part agree that, because of human resilience, people do
not necessarily succumb to the contextual obstacles confronting them.
However, they generally also agree that because these obstacles may render
people vulnerable to a range of risks and thereby undermine their optimal
development, these obstacles should be eliminated. In this sense, the
authors adopt what has been referred to as a critical social-scientific stance
and so reject the outmoded notions of scientific neutrality and detachment.
Instead, through their emphasis on some of the key contextual obstacles to
optimal human development in South Africa, these authors clearly support
an agenda of social change.
Consequently, it is hoped that the content of this part will not only
provide the reader with a broad understanding of development throughout
the human life span, but that it will also motivate the reader to consider the
ways in which the obstacles confronting many South Africans can be
addressed.
 Early and middle
childhood CHAPTER
Loraine Townsend, Tokozile Mayekiso &
Sibusiso Ntshangase
3

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• describe the stages of prenatal development
• describe the factors that can influence prenatal development
• understand risk and resilience in the prenatal, neonatal, preschool and middle childhood periods
• describe the development of parent/caregiver–infant attachment
• discuss physical development in the preschool and middle childhood periods development of
children during middle childhood.
• describe cognitive development in the preschool child and in middle childhood
• list the sequence of stages in preschool children’s language development
• explain the contribution of early childhood development programmes to preschool
development
• describe the psychosocial development of the preschool child, including the impact of parenting
styles
• explain the development of the preschooler’s gender identity
• describe the factors that influence the social and emotional

CASE STUDY

Nosipho obviously had no recollections about her birth and about being a newborn baby. She did,
however, remember listening to the stories her mom and her aunt told her about this time. Her
mom remembered that the family made sure she ate well and rested when she needed to.
Nosipho’s aunt told her of the neighbour’s daughter who drank lots of alcohol during her
pregnancy. The baby was very ill when it was born and then had learning problems. Nosipho had
often been told that she was a fat and contented baby. She would gaze into her mom’s face and
her mom believes that Nosipho recognised her voice from before she was actually born.
Nosipho had been looked after at home by her mother and her aunt before she started
preschool. Although she was fond of her aunt, Nosipho had definitely preferred being with her
mother and cried whenever she went out. Nosipho realised now, though, that she was very lucky to
 have two adults around to look after her. Her father had worked during the day, and although he
must have been around in the evenings, she couldn’t remember him much from this time.
Nosipho remembered how her mother had been patient with her and made her feel useful and
important. Nosipho realised now that this helped her feel confident and capable and that this self-
belief had helped her get to university and to manage her own life.
One of Nosipho’s clearest memories of being a young child was her first day at primary school.
She had felt quite nervous and uncomfortable, and her new shoes and dress had felt strange and
stiff. She thought about how much she must have had to learn back then and she remembered the
teachers she liked – and those she disliked! Some of her teachers had been helpful and
encouraging, but others had shouted. In particular, one unpleasant man had put her off maths
altogether. He seemed to think that only the boys needed to learn maths and told the girls that
they should rather concentrate on learning to cook for their husbands.
However, most of the things she remembered from primary school happened outside of the
classroom. She had had a best friend who, in Grade 4, had made friends with another girl and
Nosipho had found herself wandering around the playground on her own until she made a new
friend. It was funny the way that everyone talked about childhood being such a happy time. If you
thought about it, it was actually pretty difficult.

Introduction
e foundations of adult health are laid down in prenatal development
and childhood. As described in the introduction to this part, this chapter
considers development thematically – in terms of physical, cognitive and
socioemotional development. However, it is important to understand that
all development is interrelated and interactive. Within each of these
domains, development will be described from the prenatal period to
middle childhood. Topics that are covered include play and language
development during the preschool years. ere is also an overview of
early childhood education as well as how entering school allows
children’s environments to expand beyond their homes and care centres,
providing them with opportunities to interact with a wider range of
people in more places than when they were younger (United Nations
Environment Programme, 2002).

Physical Development
Prenatal period

Stages of development
The germinal stage
Each of us begins our life as a zygote, a single cell not much larger than
the full stop at the end of this sentence. is is when conception has
occurred, when the male’s sperm cell has fertilised the female’s ovum
(egg). e first two weeks after conception are referred to as the germinal
stage of prenatal development. During this stage, the zygote divides into a
number of identical cells by means of a process called mitosis. About four
days after conception, the cell mass, now comprising some 100 cells,
emerges from the fallopian tube and moves into the uterus. It is at
conception that our genetic heritage is determined, as the genes from the
sperm and those from the ovum merge to form a new and unique person.

The embryonic stage

e mass of cells now implanted in the uterus is called an embryo. e
embryonic stage lasts for the next six weeks, until the eighth week of
pregnancy. During this time, two critical ‘life support’ systems develop:
the placenta and the umbilical cord. e placenta is a complex organ
which allows nutrients to pass from the mother to the embryo through
the umbilical cord. e arteries in this cord carry oxygen and nutrients to
the embryo and the veins carry waste products (such as carbon dioxide
and urea) from the embryo, to be disposed of by the mother’s body.
During this stage, the cells of the embryo multiply rapidly and begin to
differentiate into the kinds of cells that will eventually become the
organism’s various body parts and organs. By the end of the embryonic
stage of development, the embryo is about two centimetres long. Yet the
embryo’s heart is beating and it is recognisable as a human being (with
facial features, hands, feet, fingers, toes, etc.), and the essential organ
systems and the nerve cells of the spine have formed. e embryo is
contained in a sac within the mother’s uterus and is surrounded by
amniotic fluid, which cushions and protects the embryo.
Figure 3.1 Prenatal development: from conception (when an ovum is released from an ovary) to
implantation (when the blastocyst implants itself into the uterine wall)

The foetal stage

During the foetal stage, which lasts from around eight weeks after
conception until birth, the structure and systems that developed during
the embryonic stage grow in size and efficiency. During the third and
fourth months, male or female sex organs develop. From the fourth
month of pregnancy, the mother starts to be able to feel movements of
the foetus.
At roughly the beginning of the fifth month, the foetus is able to
respond to sound and can orient him-/herself to the mother’s
movements. Towards the end of this month, the part of the brain that will
be responsible for complex, conscious thought – the cerebral cortex – is
completed. During the sixth month, the foetus’s eyelids open and the eyes
begin to move. e foetus is able to breathe and even cry. By the seventh
month, the foetus’s brain is able to control breathing, swallowing and
body temperature; he/she also has the nerve cell capacity to see, hear,
smell, taste and to vocalise. Many reflexes such as grasping and sucking,
which are important for the newborn’s survival, are now established.
By about 26 weeks, the foetus reaches the zone of viability; in other
words, the foetus would have a chance of survival should he/she be born
prematurely. However, premature birth carries risks of increased school
and behaviour problems, as well as psychiatric disorders in adulthood
(De Jong, Verhoeven & Van Baar, 2012). By the beginning of the ninth
month, the foetus, which once floated with ease in the amniotic fluid, is
so large that his/her movements inside the uterus become restricted. e
foetus now curls up into the classic foetal position and usually settles into
a head-down position in readiness for birth.

Factors influencing prenatal development

What has been described above is the progress of a normal pregnancy
with no complications. However, there are many factors that may place
the embryo or foetus at risk while it is in the mother’s uterus. Because the
mother’s body surrounds the embryo or foetus and is inextricably linked
to it via the placenta, the mother and her environment become its
prenatal environment. Many infections or other harmful environmental
agents may be transferred to the foetus across the placenta. ese agents,
called teratogens, can cause birth defects and even death.

Maternal conditions
e physical, social and psychological conditions of the mother, and her
behaviour, all affect the embryo or foetus, in a variety of ways. First, it is
essential that foetuses receive a variety of nutrients in order to develop
normally. ese are supplied directly from the mother via the placenta
and umbilical cord. Maternal malnutrition and/or under-nutrition before
and during pregnancy increase the risk of birth complications, low birth
weight and neurological deficits in newborn babies.
Figure 3.2 Foetal growth from 8 to 40 weeks
3.1 THE FOETUS’S ABILITY TO HEAR
Source: De Casper and Spence (1986)

Procedure
During the final month and a half of pregnancy, 16 pregnant mothers were asked to read aloud a
passage from a children’s rhyming story. By the time their babies were born, these babies had ‘heard’ the
passage many times. Two or three days after birth, the babies listened through headphones to either
their mother or a stranger reading the same passage.

Results
As these neonates listened to the recorded voices, they quickly learned to use different sucking patterns
on a specially designed dummy to hear their mother’s voice rather than the stranger’s.

Conclusion
Foetuses can hear sound, which they appear to remember and recognise soon after birth.

Figure 3.3 The foetus seems able to hear sound

Figure 3.4 Medical treatment can help premature babies survive
ere is a clear link between maternal under-nutrition and poverty. e
2013 General Household Survey (Statistics South Africa, 2014a) reported
that 23.1 per cent of South African households had inadequate or severely
inadequate access to food, while the percentage of individuals who
experienced hunger was 13.4 per cent. Poor maternal nutrition is strongly
associated with infant mortality in low-income countries (Black et al.,
2013). Apart from poverty, malnutrition may be the result of choosing the
wrong kinds of foods, for example fast foods.
Some other maternal factors that may affect the developing foetus are
maternal stress, the age of the mother (very young or over 40 years) and
whether or not the pregnancy was planned and wanted. e mother’s
physical health is also critical (see Box 3.2). Should a mother be infected
with HIV (the virus that causes AIDS), her unborn baby may also become
infected. Between 25 and 30 per cent of babies born to HIV- positive
mothers who have not received mother-to-child preventative services will
be infected with the virus (Dorrington, Johnson, Bradshaw & Daniel,
2006). Other sexually transmitted infections (STIs) such as gonorrhoea,
genital herpes and syphilis may also harm the foetus.
 3.2 HOW THE MOTHER’S PHYSICAL HEALTH AFFECTS HER
UNBORN BABY
Maternal diseases (other than HIV/STIs)
Malaria. Babies born to mothers with malaria may suffer from low birth weight (owing to premature
birth or stunted foetal growth), parasite exposure and infant mortality (Steketee & Nahlen, 2001).
Rubella (German measles). May cause heart defects, deafness, blindness and/or mental retardation in
babies born to mothers who contract the infection during the first 12 weeks of their pregnancy (De
Paschale et al., 2012).
Diabetes. Babies of diabetic mothers may be abnormally large at birth. There is also an increased risk of
stillbirth, or of the newborn dying shortly after birth.
Hypertension. High blood pressure in the mother can lead to the death of the baby, resulting in doctors
having to weigh carefully these risks against premature birth (Backes et al., 2011).

Chemical substances
Alcohol. Alcohol affects the foetus directly as it crosses the placenta. Pregnant women who consume
alcohol may risk their baby being born with foetal alcohol syndrome (FAS). Infants with FAS are short
relative to their weight. They have abnormally small heads and under-developed brains, and are often
mentally retarded, with delayed motor development. The seriousness of maternal alcohol consumption
and FAS in South Africa is suggested by evidence from a study conducted in a Western Cape community
where between 65 and 74 children per 1 000 were found to have FAS (Viljoen et al., 2005).
Tobacco (nicotine). Nicotine in tobacco smoke compromises the supply of nutrients and oxygen to the
foetus. Babies born to tobacco smokers therefore tend to be smaller and weigh less than those born to
non-smokers. Tobacco smoking is also related to increased rates of premature birth, miscarriage and
stillbirth (Hacksaw, Rodeck & Boniface, 2011).
Prescription drugs (medicines). Many medicines are not safe for use by pregnant mothers.
Recreational drugs. Marijuana has been associated with low birth weight and premature birth. Babies
born to mothers who had used Ecstasy and other drugs during pregnancy had poorer motor
development and delayed milestones (Singer et al., 2012).

Neonatal period
e neonatal period of development spans approximately the first two to
four weeks after birth. With birth, the infant moves from the relatively safe
environment of its mother’s uterus to an environment where it must now
breathe and feed on its own. It must begin to interact with its
environment and make sense of this often bright, noisy and airy world.
For many years it was thought that the newborn baby (known as a
neonate) was a helpless, reflexive organism with limited motor and
perceptual skills. However, developmental psychology research has been
able to demonstrate that the neonate is much more competent than was
previously thought.
A newborn infant displays more than 20 reflexes over which he/she
initially has no control; they are involuntary responses to specific stimuli
from the external environment. Many of these reflexes are important for
the newborn’s survival (e.g. rooting, sucking and swallowing reflexes
allow the newborn to feed). e absence of reflexes may be an early
indication of neurological problems.

Perceptual development
Normal, full-term babies enter the world with all their sensory capacities
functioning to a certain extent. But anyone observing a baby during their
first month will agree that it is difficult to assess exactly how well they are
seeing, hearing, tasting or smelling. However, ingenious research and
experiments have allowed developmental psychologists to explore the
sensory capacities of these neonates (see Box 3.1). ese psychologists
have discovered that neonates are quite able to take in information from
their environment via their senses.

Vision
Although anatomically the visual system is present at birth, certain parts
of the eye and visual cortex are not fully developed, nor is the ability to
coordinate the movement of the eyes. is means that newborn babies
cannot focus properly and much of what they see is blurred. However,
despite these shortcomings, they actively scan their surroundings
(Bronson, 1997), and their visual system does function well enough for
them to see objects about 21 cm away. ey also show a distinct
preference for looking at faces, patterned rather than plain stimuli, and
patterns with sharp contrasts (Bronson, 1997; Bushnell, 1998).

Hearing
Even in the first hours after birth, newborns can distinguish human
speech from other sounds and can even distinguish between human
speech sounds – demonstrating a preference for their mother’s voice (see
 Box 3.1). ey appear to be particularly fascinated by baby talk that is
directed towards them (Werker & Tees, 1999).

Taste and smell

Neonates have a well-developed sense of smell. Experiments by Engen,
Lipsitt and Kaye (1963) demonstrated that newly born infants were not
only sensitive to smells, but could also distinguish between different
smells. eir sense of taste is also well developed with a strong preference
for sweet as opposed to sour tastes.

SUMMARY

• At conception, a zygote is formed from the fusing of the ovum and the sperm. The germinal stage
is the first two weeks after conception. The zygote increases through mitosis and implants in the
uterus.
• The embryonic stage is from two to eight weeks of pregnancy. The placenta and umbilical cord
develop to provide oxygen and nutrients to the embryo. The embryo is surrounded by amniotic
fluid in a sac in the mother’s uterus.
• The foetal stage lasts from eight weeks to birth; the structure and systems that developed during
the embryonic stage grow in size and efficiency. Reflexes develop and once the foetus is viable
(about 26 weeks), it has a reasonable chance of survival if born.
• Infections or harmful environmental agents (teratogens) may be transferred to the foetus across the
placenta.
• The physical, social and psychological conditions of the mother, and her behaviour, all affect the
embryo or foetus in a variety of ways.
• In the neonatal period the infant moves out into the world and begins to interact with its
environment.
• A newborn infant has over 20 reflexes which are important for survival.
• The infant’s perceptual capacities are difficult to measure; some clever research has shown that
newborn babies:
» cannot focus properly as certain parts of the eye and visual cortex are not fully developed; they
prefer faces and patterns
» can distinguish human speech from other sounds and prefer their mother’s voice
» have a well-developed sense of smell and taste, and prefer sweet to sour tastes.

Preschool period
e preschool period is characterised by rapid growth during the first two
years of life, and by a slower pattern of growth between the ages of two
and six years. As with the prenatal period, the infant’s pattern of growth
follows the cephalocaudal developmental trend (from the head
downward) and the proximodistal developmental trend (from the
centre outward). e trunk grows fastest during the first year. Babies gain
control over muscles of the head and neck, then the arms and abdomen,
and finally the legs. By four to six months of age, the baby’s birth weight
has often doubled, and by the end of the first year the birth weight has
often tripled.
Body proportions also change during the preschool period. For
example, at the age of two years, the head is about one-fourth of the total
body size; by the age of five and a half years, it is one-sixth of the total
body size. But this does not mean the head and the brain stop growing.
e brain increases from being 25 per cent of its eventual adult weight at
birth to being about 50 per cent of its adult weight at the age of one year.
In addition to growth in size, the brain and nervous system also develop
increasingly dense neural networks.
As a result of the rapid growth of the brain and neural networks,
children’s ability to acquire new information increases. is aspect of
development is underpinned by the child’s genetic inheritance, but it can
be profoundly influenced by experience and early environmental
influences. ese can either enable or constrain the different aspects of
brain development (Nelson, 2000). For example, malnutrition may stunt
brain growth and cognitive development (Ampaabeng & Tan, 2012).
Preschoolers tend to be very physically active, engaging in a number of
activities such as running, walking, hopping, jumping, skipping and
climbing. Environments that facilitate the involvement of preschool
children in these kinds of activities are crucial for development. During
the preschool period, children improve both their gross motor skills and
their fine motor skills (Bukatko & Daehler, 2011). Gross motor skills are
capabilities involving large body movements such as walking, running,
hopping, etc. Fine motor skills are capabilities involving small body
movements such as handling a spoon and writing. Children develop and
refine both these motor skills through play activities, but gross motor
skills develop faster than fine motor skills during this period.
Preschoolers start to show a preference for using either their right or
their left hand at about two years of age. However, handedness, which
refers to which hand the child prefers to use, develops slowly and is only
established at about five to six years of age (Michel et al., 2013).
Although this period is usually marked by rapid physical development,
environmental factors, such as malnutrition, can stunt or delay normal
development. Sustained periods of malnutrition during the preschool
years are associated with stunted physical growth, reduced activity levels,
and delays in maturation and learning.

Figure 3.5 Play is essential for the physical development of the preschool child
Middle childhood
Middle childhood spans the period between about six years of age and
puberty. An important characteristic of this stage is the slower average
growth rate of children compared to the earlier preschool period and the
later period of adolescence. As a result of an increase in strength,
coordination and muscular control, a child’s gross motor and fine motor
skills improve during this period. For example, in middle childhood,
children develop the ability to walk in a straight line, run fast and stop
and turn, skip, balance on one foot and throw at targets.
e child’s improved fine motor skills are aided by an improvement in
motor-perceptual functioning (hand–eye coordination). Fine motor skills
include buttoning a shirt, tying shoelaces, holding a pen correctly, being
able to write and copying simple designs. ese are clearly essential for
school work.
According to Shaffer and Kipp (2007), three kinds of environmental
influences can have a major effect on physical growth and development
during middle childhood, namely the quality of care that children receive
(see Chapter 4), nutrition and illnesses.
Both under-nutrition and over-nutrition can play a significant role in
physical development during middle childhood (Richter, Griesel & Rose,
1999; Walker et al., 2011). e National Research Foundation Unit for
Research in Child Development in South Africa (2003) noted in its annual
report that malnutrition remained the most prevalent problem affecting
young children in South Africa, with more than a third of children
showing stunted growth. ere has also been research into specific
nutritional deficiencies (e.g. Pettifor, 2004).
In this stage, the brain also continues to grow in both structure and
function, although again at a far slower pace than in the previous stages.
Between the ages of five and seven years, the brain experiences a growth
spurt, particularly in the frontal lobes and their connections to other parts
of the brain. is frontal lobe development is important for planning and
for the sequential organisation of thoughts and actions.
 SUMMARY

• There is rapid growth during the first two years of life; this slows down between two and six years.
• As with the prenatal period, the infant’s pattern of growth follows the cephalocaudal and
proximodistal developmental trends.
• Body proportions also change during the preschool period.
• The brain increases to about 50 per cent of its adult weight at the age of one year and neural
networks become denser.
• Preschoolers are very physically active and improve both their gross and their fine motor skills in
this stage. Handedness is only established at about five to six years of age.
• Malnutrition may stunt brain growth and cause developmental delays.
• Physical growth slows during the middle childhood period.
• In middle childhood, there are developments in strength, coordination and muscular control, and
improved hand–eye coordination.
• Three environmental factors may affect physical development in middle childhood: quality of care
that children receive, level of nutrition and illnesses.
• At around six years, the brain experiences a growth spurt, particularly in the frontal lobes; this is
important for planning and for the sequential organisation of thoughts and actions.

Cognitive development
Cognitive development refers to the age-related changes that occur in
mental activities such as paying attention, perceiving, learning, thinking
and remembering.

Neonatal and preschool periods

Infants develop a basic understanding of the world around them during
the first two years of life. ey learn to recognise objects and people, to
search for objects that are not in their field of vision, to understand cause-
and-effect, and to appreciate the concept of space (Shaffer & Kipp, 2007).
As amazing as these abilities are, in the preschool period, children go on
to experience dramatic cognitive development. As the horizons of the
preschool child widen, they are increasingly exposed to new social
situations and activities that impact on their cognitive development.
 Although cognitive and language development occur in a predictable
sequence in almost all children, significant early nutritional and socio-
emotional deprivation can affect development. When deprivation is
severe and prolonged, intervention may be necessary (Walker et
al., 2011).

Piaget’s stages of cognitive development

e noted cognitive theorist, Jean Piaget, argued that children’s cognitive
development occurs in stages. He said that children are active in
constructing their own knowledge. ey do this by building schemas
through the processes of assimilation and accommodation.
Assimilation involves incorporating new experiences into existing
schemas and accommodation involves altering existing schemas to adapt
them to new information or experiences.
However, the adaptation of schemas to incorporate new experiences
does not occur instantly. Typically the action that facilitated the new
experience will be repeated a number of times. By continually
incorporating new experiences into their existing worlds, children create
more complex understandings of their world and move to new levels of
development.

The sensorimotor stage (birth to two years)

Piaget’s first two stages (sensorimotor and preoperational) take place in
the neonatal and preschool periods. During the sensorimotor stage,
infants gain knowledge about their environment through an increasing
ability to coordinate sensory input with their motor activity. Before about
six weeks of age, infants merely exercise reflex schemas. From six weeks
to four months of age, infants become increasingly aware of their actions
and realise that their actions produce interesting changes in the
environment; they also begin to repeat actions they find pleasurable.
Towards the end of the first year, the infant produces goal-directed
behaviour. From the age of about one year, infants deliberately vary their
actions through trial-and-error experimentation to see what the
consequences of their actions will be.
 At around one year, children begin to develop language. is involves
the ability to mentally represent or think about objects that are not in
their immediate environment. is ability is called symbolic
representation. Infants can now plan actions on the basis of imagined
realities; for example, they can go and find a hidden toy. During this time,
speech sounds and gestures are used to represent symbolically
something that is not present.
One of the most important achievements during the sensorimotor
stage is the development of object permanence. Infants are considered
to have attained an understanding of permanence when they realise that
objects and people continue to exist even when they are no longer visible.
e development of this ability is gradual; it appears between four and
eight months and is completely achieved between 18 to 24 months.

The preoperational stage (two to seven years)

In this stage, children increasingly use symbolic thought (expressed
through language, scribbles and gestures) and pretend play, but they
have not yet acquired the cognitive operations that are required for
logical thinking.
Children at this stage lack the capacity for conservation in their
thinking. Conservation involves the ability to understand that quantities
may remain the same regardless of changes in their appearance (Piaget &
Inhelder, 1969). For example, when children are presented with two balls
of dough of the same size, they will understand that the quantities of the
dough are the same. However, if one of the balls is changed into a sausage
in front of the child, the child no longer understands that the amounts of
dough in the ball and the sausage are the same.
Figure 3.6 During the preoperational stage, children pretend to do things such as driving a car

Preoperational thought is characterised by egocentrism, which is the

tendency to view the world from one’s own perspective and to have
difficulty recognising another person’s point of view. Although it appears
that preoperational children are selfish, they are simply unable to realise
that perspectives other than their own exist. In addition to this, children’s
thinking often displays animism. ey attribute human-like qualities to
inanimate objects.
Piaget’s tests of preoperational thinking have been criticised by
Donaldson (1978) and Siegal (1997). e critique has been led by
adherents of sociocultural theory; however, more recently some of these
critiques have been found to be in correct (Mays & Smith, 2001, in
Valsiner, 2012). ese critiques are beyond the scope of this introductory
text and the interested reader should access these important authors’
works themselves.

Language development
At birth, babies use undifferentiated crying to communicate their needs
to their caregivers. After the first month, caregivers can distinguish cries
of pain, hunger, discomfort, tiredness and boredom by listening to the
pitch of the cry. At the age of six to eight weeks, babies start making
cooing sounds.
 3.3 IS DEVELOPMENT THE RESULT OF THE ENVIRONMENT OR
HEREDITY?
Source: Shaffer and Kipp (2007)
Is a child’s development primarily the result of environmental or genetic forces? There are opposing
viewpoints on this issue:

Give me a dozen healthy children, well formed, and my own specified world to bring them up in,
and I will guarantee to take any of them at random and train them to become any type of
specialist I might select – doctors, lawyers, artists, merchants, chiefs, and yes, beggars or thieves,
regardless of talents, penchants, tendencies, abilities, vocations, and the race of their ancestors.
There is no such thing as inheritance of capability, talent, temperament, mental constitution, and
behavioural characteristics (Watson, 1925, p. 82). Heredity and not environment is the chief maker
of people. Nearly all of the misery and nearly all of the happiness in the world are not due to
environment. The differences among people are due to differences in germ cells with which they
were born (Wiggam, 1923, p. 45).

What is your position? How often do you hear parents saying they prefer certain schools because they
believe that their children will be better socialised in them? Do you think children exposed to violence
are more likely to be violent and to bully others at school?

3.4 DIFFICULT SOUNDS IN ISIXHOSA FOR PRESCHOOL

CHILDREN
Children aged between one and four years have difficulty articulating palatal sounds. Therefore,
preschoolers speaking isiXhosa opt for a related sound instead of using the palate. Thus, if a child is faced
with pronouncing a /ngq/ sound in a word such as /umngqusho/ (stamped mielies), he/she usually
articulates the word as either /umgusho/ or /incusho/.
There are also palatal sounds that are articulated through the side of the mouth. One of these sounds
is /hl/ as in /hleka/ (laugh). Articulating this sound is very complicated. Instead of going through this
entire process, the child uses an alternative alveolar sound, /s/. This /s/ sound is a very soft hissing one,
between /s/ and /sh/. So if the child wants to say /uyahleka/ (he/she is laughing), the child will say
/yaseka/ instead.
It is also difficult for a child to articulate sounds borrowed from other languages, such as /r/. The word
/irula/ (a ruler) is instead articulated as /ilula/.

Around the age of four months, babies utter consonant– vowel

combinations in long strings, such as ‘babababa’ or ‘mamamama’. ese
babbling sounds are universal and even deaf babies produce them.
However, human interaction is necessary for babbling to develop further.
Around the age of six to seven months, babbling starts to resemble the
child’s home language.
Most children utter their first word at about 12 months of age. ey
start by using one-word sentences ( holophrases) to convey the meaning
of a whole sentence. e child may say ‘baby’, meaning ‘Mommy, look at
the baby’. e child’s vocabulary increases to about 50 words by the age of
18 months.
At about 24 months of age, babies use telegraphic speech, which
contains only those words that are necessary to communicate meaning.
e language of toddlers progresses from two-word utterances to
threeword utterances. From the age of three years to six years, the child’s
vocabulary and sentence length increase such that by the age of six the
child uses all the parts of speech (De Witt, 2009). At this age, children are
capable of producing sentences that are efficient, complex and adult-like,
even if, at times, children’s difficulty with pronouncing certain sounds
may make their utterances hard to understand (see Box 3.4).
 SUMMARY

• Early cognitive development allows infants to develop a basic understanding of the world around
them; this development expands rapidly in the preschool period.
• Cognitive and language development occur in a predictable sequence; this can be disrupted by
early nutritional and socio-emotional deprivation.
• Jean Piaget argued that children’s cognitive development occurs in stages. Despite its usefulness,
his theory has been critiqued on several grounds.
• Children construct their own knowledge through building schemas using assimilation and
accommodation. This occurs over time and across repeated actions.
• In the sensorimotor stage (birth to two years):
» Infants begin to coordinate sensory input with motor activity; this progresses from reflex schemas
to more deliberate goal-directed and trial-and-error behaviour.
» Infants develop language and symbolic representation.
» Infants achieve object permanence.
• In the preoperational stage (two to seven years):
» Children increasingly use symbolic thought, but they cannot yet think logically.
» Children lack the capacity for conservation in thinking.
» Thought is characterised by egocentrism and animism.
• In terms of language development:
» Babies initially use undifferentiated crying to communicate their needs.
» At six to eight weeks, babies start making cooing sounds.
» At four months, babies utter consonant–vowel combinations in long strings.
» The first word comes at about 12 months; the child uses holophrases to convey fuller meanings.
» By 18 months, the child has about 50 words.
» At about 24 months, children use telegraphic speech (three-word ‘sentences’).
» Between three and six years, vocabulary and sentence length increase.

Middle childhood
During middle childhood, children begin to be able to think about
objects from more than one perspective. By the end of this stage, they can
hold an object in their minds while comparing it to another, and they can
coordinate their mental actions logically (Cole, Cole & Lightfoot, 2005).

Piaget’s stage of cognitive development in middle

childhood
e period of middle childhood coincides with what Piaget termed the
concrete operational stage of cognitive development. During this stage,
the earlier limitations in thinking are overcome, and thinking becomes
less egocentric and more logical.
According to Piaget’s theory, there are a number of specific features of
thinking in the concrete operational stage. ese are as follows:
• Conservation. Children understand the principle of conservation
when they recognise that properties of objects or substances do not
change because their form changes (e.g. children will know that when
water from a tall thin container is poured into a short wide one, the
amount of water stays the same). is knowledge requires the child to
understand the principles of reversibility and compensation.
• Reversibility. Children understand the principle of reversibility when
they realise that one operation (pouring the water from the tall thin
container into the short wide one) can be reversed by the effects of
another (pouring the water back into the tall thin container).
• Compensation. Children understand the principle of compensation
when they can mentally compare changes in two aspects of
something, and can say that the changes in one aspect compensate
for the changes in the other aspect (e.g. the water is higher in one
container compared to the other, because one container is tall and
thin, while the other is short and wide).
• Decentration. Children understand the principle of decentration
when, instead of focusing on just one aspect of an object or event,
they can simultaneously focus attention on several attributes of an
object or event and understand that those attributes can be separated
(e.g. the child realises that, although a balloon may be large, it can
also be light).
• Seriation. Children understand the principle of seriation when they
can arrange objects in order along quantitative dimensions such as
weight, length or size. During the concrete operational stage, a child
can arrange a series of dolls in order of height whereas a four-year-old
child, for instance, might alternate tall and short dolls, or arrange
them more randomly.
• Transitivity.Transitivity is the ability to recognise relations among a
number of ordered objects (e.g. recognising that if Nokuphila is taller
 than obeka, and obeka is taller than Anele, then Nokuphila must
also be taller than Anele).

e major limitation of concrete operational thinking is that it requires

real concrete objects. According to Piaget, children in this stage cannot
mentally manipulate abstract ideas or hypothetical events.
Piaget’s theory has had a strong impact on the education sector, where
it informs the discovery-based curriculum in primary schools. However,
it is important to note that some theorists with different views have
challenged it.

Vygotsky’s theory of cognitive development

One of the most important challenges to Piaget’s theory came from Lev
Vygotsky, a Russian psychologist. Vygotsky was born in the same year as
Piaget (1896), but his writings were not translated from Russian until the
1960s, and were thus not widely available until then.
Piaget does not adequately address the ways in which children’s
cognitive development is influenced by their cultural context and social
interactions. Vygotsky’s sociocultural theory focuses on how culture (the
beliefs, values, traditions and skills of a social group) is transmitted
between generations. Rather than depicting children as independent
explorers or scientists who make critical discoveries on their own (as
Piaget suggests), Vygotsky viewed cognitive growth as a socially
mediated activity, one in which children gradually acquire new ways of
thinking and behaving through cooperative dialogues with more
knowledgeable members of society.
Vygotsky noted that children are born into an existing world and that
they learn by internalising the ways they see members of society
interacting (Watts, Cockcroft & Duncan, 2009). Vygotsky believed that
children gradually acquire higher mental functions (like symbolic
thought and deliberate remembering) through guided instruction from
other, more competent people in their environment. ese functions exist
in the world external to the child and over the course of development and
interaction, the child internalises them.
Zone of proximal development
e zone of proximal development (ZPD) (see Figure 3.7) is the
hypothetical space within which the social (caregivers, teachers) and the
individual (the child) interact. It marks the boundaries between the
child’s actual level of development and their potential development
(Watts et al., 2009).

Figure 3.7 A schematic representation of Vygotsky’s zone of proximal development

e lower boundary of the ZPD marks the level of problem solving that a
child can perform on his/her own, while the upper boundary marks the
level of problem solving of which a child is capable, given the assistance
of a more competent instructor. Beyond the upper boundary are those
tasks that a child cannot yet perform, even with the help of a competent
instructor, because they are beyond the child’s cognitive ability. Within
the ZPD, the support given to the child is gradually decreased as the child
masters the task(s) at hand. When children reach the upper boundary of
their ZPD, this then becomes their lower boundary for other, more
cognitively demanding tasks.
An important technique for use in the ZPD is scaffolding. A scaffold
provides temporary support while a task is being completed (Bukatko &
Daehler, 2011) and an expert teacher or caregiver will provide specific
guidance to a child learning a new skill. is might include defining the
task in terms familiar to the child or breaking the task down into logical
parts. e teacher may also demonstrate parts of the task and actively
motivate learners.
Cultural tools
Vygotsky proposed that children learn through the use of cultural tools.
ese are mainly language based and include signs and symbols of
written language and number systems. Children acquire these tools
through interaction with others in their environment (i.e. through
interpersonal processes). ey then internalise these tools (i.e. adopt
them as their own), so that what was originally an interpersonal
behaviour pattern becomes an intrapersonal cognitive process. For
example, initially young children do not use language to think but,
gradually, language and thought merge, and thinking is expressed in
language.
As they develop, infants learn language in interpersonal processes with
their caregivers. During this social stage, between birth and the age of
three years, children use language to express simple thoughts and
feelings. During the egocentric stage, between the ages of three and
seven, children begin to use language to direct their own behaviour. ey
do this by talking aloud; we call these utterances external speech.
Vygotsky noticed that this external speech increases when children face
more difficult tasks.
From the age of about seven years, external speech gradually
decreases as the child becomes able to direct his/her behaviour silently,
through the use of inner (private) speech. us, this cultural tool of
language becomes internalised and the small child develops the capacity
to use language to think symbolically. In the course of this process,
children are integrated into their cultures and their way of thinking is
shaped by their use of cultural tools.

Vygotsky’s influence on outcomes-based education

Vygotsky’s theory is relevant in understanding cognitive development
during middle childhood because it highlights the potential role of the
schooling system as a social structure that transmits cultural values and
beliefs to children (De Witt, 2009). It is this theory that has mostly
informed the outcomes-based education (OBE) curriculum that has
until recently been used in South African schools. In essence, OBE is
based on the principles of cooperation, critical thinking and social
responsibility, and defines children as active participants in the
acquisition of knowledge.
However, OBE has widely been considered to be a failure in South
Africa (Jansen, 2010). Jansen (2010) notes a number of factors associated
with this expensive failure. ese include: first, a great deal of money was
invested in training and materials; second, the focus on OBE prevented
attention being paid to other approaches; third, the excitement at the
advent of democracy has faded and energy has been lost for further
change. Perhaps most importantly, ‘children already disadvantaged were
exposed to a curriculum that made a fragile learning environment worse.
Instead of learning those vital competencies of reading, writing and
calculating, they were exposed to high-brow constructivist theories that
kept many of them illiterate’ (Jansen, 2010).

Moral development
Another important aspect of development is how children learn to
distinguish right from wrong. Freud suggested that this happens through
the resolution of the Oedipus conflict (see Chapter 5). Today, the theories
of Lawrence Kohlberg and Carol Gilligan are the most influential Western
theories. Kohlberg studied moral development by presenting a moral
dilemma (see Box 3.5) and then analysing the reasoning underlying
people’s responses to the dilemma. On the basis of this, Kohlberg
suggested that there are three main levels of moral reasoning
(preconventional, conventional and postconventional) with two stages
within each level (see Table 3.1). e levels are aligned with Piaget’s
developmental stages.

3.5 A MORAL DILEMMA

Nosipho’s younger brother Siyanda is very ill and needs to get to hospital. Her older brother is
desperately worried about Siyanda but he has no money to pay for transport. He decides to steal some
money for transport out of his neighbour’s house. Should Nosipho’s brother have stolen the money?
Why or why not?

Table 3.1 Kohlberg’s stages of moral development (Kohlberg, 1984)

 Level Stage Primary
motivation
Level 1: Preconventional Stage 1: Obedience/punishment Avoid
morality orientation punishment
(motivated by
self-interest)
Stage 2: Instrumental Reward; serve
orientation own needs;
reciprocal
benefit
Level 2: Conventional Stage 3: Good boy/nice girl Gain
morality orientation approval/avoid
(motivated by disapproval
conformity to
social norms)
Stage 4: Authority-maintaining Uphold laws;
orientation avoid harm
Level 3: Postconventional Stage 5: Social contract Welfare of all;
morality orientation commitment
(motivated by to rational
abstract moral rules agreed to
principles) by all
Stage 6: Universal ethical Uphold
principle orientation personal
principles
(even if this
means
breaking the
rules)

In level 1 (up to about nine years of age), children are first concerned with
avoiding punishment (stage 1) and showing obedience to authority. In
stage 2, children develop a more relativistic view, where they are
concerned more with the potential returns for their behaviour. ese
might be in the form of rewards or reciprocal benefit. In level 2
(conventional), there is conformity to the expectations of the person’s
social group. us the motivation at stage 3 is to gain approval or avoid
disapproval and be an obedient child. In stage 4, the motivation shifts to
fulfilling a broader social duty (maintaining law and order) and avoiding
a sense of guilt. According to Kohlberg, level 2 occurs in late childhood
and early adolescence.
People who have reached Piaget’s formal operation stage of thinking
may be able to use level 3 moral reasoning. is involves using abstract
moral principles. In the first stage at this level (stage 5), people accept
that society’s laws exist for the good of all while in stage 6, people may
make decisions that go against their own self-interest because they
believe this is the right thing to do. One example of this is young white
men during the apartheid era, who refused to serve in the National
Defence Force and were consequently jailed. ey were known as
conscientious objectors and this term highlights the role of a person’s
well-developed conscience in taking such a stance. Another example
might be turning off lights in your house to save electricity in the country,
even though you are afraid of the dark. Kohlberg felt that few people
reach this level of moral reasoning.
Kohlberg’s theory has been widely criticised for a number of reasons.
Although children do develop through identifiable stages as the theory
suggests, it remains a theory of reasoning rather than action. us, one
may know an action is wrong yet still carry it out. e theory has also
been criticised as having a Western cultural bias as it focuses on the
individual reasoning underlying moral decisions. However, in many
African and Eastern cultures, moral decisions are based on community
values and needs, and on respect for the elders.
Carol Gilligan also criticised Kohlberg’s theory, saying that it reflects a
male gender bias towards a justice orientation. Gilligan argued that
women make moral decisions on the basis of their care for others and
their concern for maintaining relationships (Green, 2012). is is known
as an ethics-of-care orientation. e research support for Gilligan’s
approach has been mixed. In a study in Botswana, both male and female
adolescents used both justice and caring orientations in their moral
judgements (Maqsud, 1998). It seems likely that a combined approach is
most effective; Woods (2011, p. 56) argues that this approach is the most
appropriate for nurses in their ‘moral deliberations and actions’.
Moral development is closely linked with the passing on of cultural
values. us, there may be very diverse ideas about what is morally
acceptable behaviour. For example, Hindus would fiercely oppose the
slaughter of a cow as a sacrifice, whereas some African cultures view this
as an essential act for their family’s and society’s well-being.
 SUMMARY

• According to Piaget, middle childhood sees the concrete operational stage of cognitive
development; thinking becomes less egocentric and more logical.
• The features of thinking in the concrete operational stage include
» conservation (properties of objects or substances do not change because their form changes)
» reversibility (one operation can be reversed by another)
» compensation (ability to mentally compare changes in two aspects of something)
» decentration (ability to focus simultaneously on several attributes of an object or event and
understand that those attributes can be separated)
» seriation (ability to arrange objects in order along quantitative dimensions such as weight, length or
size)
» transitivity (ability to recognise relations among a number of ordered objects).
• In this stage, children need to manipulate physical objects; they cannot mentally manipulate
abstract ideas or hypothetical events.
• Lev Vygotsky challenged Piaget’s theory, saying it does not adequately address the influence of the
child’s cultural context and social interactions.
• Vygotsky felt that cognitive growth is a socially mediated activity in which children acquire higher
mental functions through internalising cooperative dialogues with more knowledgeable members
of society.
• The zone of proximal development (ZPD) marks the boundaries between the child’s actual level of
development and their potential development. Teachers/caregivers scaffold tasks to assist learning
new skills.
• Vygotsky proposed that children learn through the use of cultural tools (signs and symbols of
written language and number systems).
• For Vygotsky, infants learn language in interacting with their caregivers; this happens in stages:
» Birth to three years: social stage
» Three to seven years: egocentric stage, characterised by external speech
» After about seven years: thought processes become internalised as inner (private) speech.
• Vygotsky’s ideas were influential in the system of outcomes-based education.
• Another important aspect of development is how children learn to distinguish right from wrong, i.e.
moral development.
• Kohlberg takes a justice perspective, saying that children develop through three main levels of
moral reasoning (preconventional, conventional and postconventional).
• Kohlberg’s theory has been widely criticised for a number of reasons.
• Gilligan takes an ethics-of-care orientation; this was based on a feminist critique of Kohlberg’s work.
• It seems likely that most people use both approaches in their moral reasoning and actions.
• Moral development is closely linked with the passing on of cultural values.

Social and emotional development

Neonatal period
Clearly, neonates are not able to express their emotions in words. at
does not mean, however, that they do not feel emotions. ey can be
visibly distressed when hungry or needing a nappy change, and can show
contentment when they are fed and dry. In the first year of life, infants
develop the capacity to express a wider range of emotions and this
development continues into early childhood. At the same time, the young
child develops an increasing ability to regulate his/her emotions and to
recognise emotions in others.

Figure 3.8 Infant emotions

Temperament
Mothers often say that their children are different from each other and
that this difference was apparent even from birth. ese statements are
reflecting the infant’s temperament. Temperament refers to an
individual’s characteristic manner of responding to the environment
(Shaffer & Kipp, 2007; omas, Chess & Birch, 1970).
Research conducted by omas et al. (1970) identified three types of
temperaments, namely easy temperaments, difficult temperaments and
slow-to-warm-up temperaments. ese categories were based on the
differences in children’s activity levels, their approach–withdrawal
behaviour, the intensity of their reactions, their threshold of
responsiveness, the quality of their moods, their adaptability, their
rhythmicity, their distractibility and their attention spans.
 Children with easy temperaments are generally happy, adaptable,
regular and easy to soothe. Children with difficult temperaments adapt
slowly. ey are also easily distracted, inflexible, exhibit intense reactions
and frequently cry. Children with slow-to-warm-up temperaments take
some time to adjust to changes in their environment, but their reactions
are not as intense as children with difficult temperaments.

Bonding between infants and caregivers

e bonding between a mother and her infant is often described as a
natural process of the mother falling in love with her child after its birth.
Because human infants are entirely dependent on their caregivers for
their survival, the development of a close and loving bond between
mother or caregiver and infant is thought to be vital for the well-being of a
child. Bonding is therefore an essential part of the foundation on which
all future development builds (Cole et al., 2005).
Yet some mothers abuse, neglect, abandon or even murder their
newborns. is must surely lead us to question the popular notion that
bonding is a universal, natural and expected occurrence. A number of
factors that may form obstacles to early bonding are discussed below.
Figure 3.9 Positive mother-infant interaction

The importance of the infant’s appearance

Early explanations for bonding come from ethology – the study of animal
behaviour and its evolutionary basis. In 1943, Konrad Lorenz, a German
ethologist, noted the distinctive facial features that almost all newborns
have: heads seemingly too large for their bodies; prominent, rounded
foreheads; large eyes and round, full cheeks (Cole et al., 2005). He
proposed that this ‘babyness’ instinctively evoked strong caregiving
responses in adults. From this perspective, bonding is an unconscious,
instinctive behaviour, designed to ensure caregiving and therefore the
survival of the species. It is this perspective that may explain why mothers
of some species of animals kill their malformed offspring. Presumably,
these appearance-impaired offspring do not evoke positive caregiving
behaviours, but quite the opposite (Fanaroff & Fanaroff, 2013).

The relevance of the mother’s social and economic conditions

We also know that it is not only appearance-impaired infants who are
rejected by their parents. In conditions of high infant mortality and
female fertility, as is the case in parts of Brazil where Nancy Scheper-
Hughes did research, failure to bond with newborn infants is not
uncommon (Scheper-Hughes, 1992). Where a mother has a number of
children to care for, often in conditions of extreme poverty, she will only
invest her limited emotional and physical resources in a child who will
definitely survive. Often survival is only assured once the child is long
past infancy. In these instances, what appears to be abandonment and
neglect of newly born and young infants should not be seen as evidence
of a failure to bond, but as a survival strategy adopted by mothers in
adverse social and economic conditions (Scheper-Hughes, 1992). For
Scheper-Hughes, the common perception of bonding may well be
relevant to middle and upper classes, but is an unaffordable luxury for
many of the world’s poor mothers.

The debate over whether bonding must occur in a sensitive period

e notion of human parent–infant bonding grew from early research
with animals. For example, Klopfer, Adams and Klopfer (1964) showed
that contact with their newly-born goats immediately after birth was
essential for ensuring positive caregiving responses from the mother
goats. is led Klopfer and colleagues to propose that the period
immediately after birth was a sensitive period when mother and infant
would become imprinted on each other. is research was followed by
research with human mothers. Marshall Klaus and John Kendall found
that mothers who had not had the opportunity to bond with their
newborns were more likely to neglect or abuse their infants (Klaus &
Kendall, 1970). However, more recent research (Maestripieri, 2001, p. 94)
suggests that ‘the available evidence did not support the notion of a
critical or sensitive period for mother–infant bonding’. However, there is
evidence that close physical contact between mother and infant in the
neonatal period does promote bonding (Roller, 2005).

Preschool period

Separation anxiety and attachment

One of the major social and emotional milestones of preschool
development is the development of attachment or ties of affection
between children and their closest companions (see Box 3.6). e
development of strong, positive, mutually enjoyable relationships with
close caregivers is critical for social and emotional development during
the preschool period.
At the age of about seven to nine months, infants begin actively to seek
proximity to the primary caregiver and protest when separated from
him/her. is wary or fretful reaction that infants and toddlers display is
called separation anxiety. Separation anxiety peaks at 14 to 20 months
and gradually becomes less frequent and less intense throughout the
preschool period. Separation anxiety is linked to cognitive development
(discussed earlier in this chapter).
Infants also exhibit a wary reaction to strangers, called stranger
anxiety. Wary reactions to strangers peak at eight to ten months of age
and gradually decline in intensity over the second year (Sroufe, 1977).
3.6 HISTORY OF PARENT/CAREGIVER–INFANT ATTACHMENT
RESEARCH
Source: Mark Tomlinson
The central figure in the emergence of attachment theory was John Bowlby, a British theorist writing in
the second half of the 20th century. As a result of the large numbers of homeless children in post-war
Europe, Bowlby was commissioned by the World Health Organization to write a report on the menta
health of these children (Bretherton, 1995). The report’s major conclusion was that for a child to develop
optimally, a warm, intimate and continuous relationship with a mother (or permanent mother
substitute) was needed (Bowlby, 1969).

Biological foundations of attachment

Bowlby argued that as humans evolved, being close to a caregiver was vital for protection from
predation, and thus, for survival. In his observations, Bowlby noted that upon separation from a caregiver,
infants displayed fairly specific sequences of protest behaviour, such as crying and throwing temper
tantrums (Bowlby, 1969). If these attachment behaviours were unsuccessful in ensuring the return of
the caregiver, the infant would move into the second stage and become despondent. This despair
(which resulted in the infant becoming silent, and with slowed motor movements) served the dua
purpose of conserving energy and minimising injury, but, perhaps most importantly, ensured that
movement and sound did not attract predators (Bowlby, 1969). If separation from the caregiver persisted
the infant would then move into a final stage of detachment, and display behaviour suggesting
heightened coping and independence. However, in reality, the infant was clearing the way for the
development of other affectional bonds with another caregiver, a partial relinquishing of the old bond to
enable a new one to develop (Bowlby, 1969).

Reciprocal attachment behaviours

Human beings are not born with the physical ability (as many animals are) to seek proximity to their
caregiver by means of their own locomotion (movement). But the infant has a number of attachment
behaviours that have the predictable outcome of increasing the proximity of the infant to the caregiver
(Goldberg, 2000).
In order for attachment behaviours to be effective, caregivers must also be equipped with effective
responses that ensure caretaking of the infant (Van IJzendoorn et al., 2007). Parent/ caregiver–infant
interaction, caregiver sensitivity and mutual responsiveness are crucial aspects of the behaviour of
human beings, as they provide the foundation that ensures a prompt response to signals, particularly of
distress, from the infant (Van IJzendoorn et al., 2007). It is only in rare circumstances (e.g. in an
overcrowded and understaffed orphanage where infants’ attachment behaviours are not responded to
or under-responded to) that a child will fail to develop an attachment relationship. If there is somebody
to attach to, the infant will form an attachment.

Phases in the development of attachment

John Bowlby outlined four main phases in the development of the attachment system (Ainsworth,
1969). The first occurs from birth to about eight to 12 weeks of age and is characterised by orientation
and signalling by the infant, for example by crying, smiling or clinging. The second phase is a period of
discriminating sociability (Bowlby, 1969) and occurs between three and six months. In this phase, the
infant is able to distinguish his/her primary caregiver from others and is likely to respond differently to
him/her. The next phase (from six months to about three years) involves the proximity-seeking
characteristic of classic understandings of attachment (Bowlby, 1969). In this phase the infant actively
seeks to be close to the caregiver and uses the caregiver as a secure base from which to explore the
world.
In addition, the infant’s behaviour begins to become organised on a goal-corrected basis (Ainsworth,
1969). This means that behaviour is modified according to whether or not it helps the infant reach
his/her goals. The final stage entails the formation of a reciprocal relationship between the infant and
caregiver, and occurs between the third and fourth year of life. During this phase the child begins to
understand other people’s motives and feelings (Ainsworth, 1969; Bowlby, 1969).

Security of attachment
Mary Ainsworth developed the Strange Situation experimental procedure in an attempt to assess
children’s attachment, and provide a measure for Bowlby’s attachment ideas. The Strange Situation
procedure assesses infants’ responses to a stranger when with their caregivers, when left alone and
when reunited with their caregivers. The behaviour of the infants in this unfamiliar environment is then
analysed. Ainsworth, Blehar, Waters and Wall (1978) classified this behaviour into three attachment
patterns: secure, insecure-avoidant and insecure-resistant. These patterns are all seen as organised
strategies to deal with the environment and caregiving that the infant has received.
Infants exhibiting secure attachment are upset by the departure of their caregivers, but upon
reunion are soothed and fairly quickly resume exploratory play. Infants exhibiting insecure-avoidant
attachment appear unperturbed by the departure of their caregivers, and seem independent and self-
sufficient. Infants exhibiting insecure-resistant attachment appear upset by the departure of their
caregivers, but upon reunion display ambivalent behaviour alternating between seeking comfort and
then rejecting that comfort (e.g. by pushing toys away, hitting and angry kicking).
Main and Solomon (1986) subsequently developed a fourth category, namely disorganised
attachment, which is an attempt to account for those infants whose behaviour did not easily fit into the
three classic Ainsworth categories. Disorganised infants showed marked and pervasive fear in the
presence of their caregivers.
In a South African study, Tomlinson, Cooper and Murray (2005) assessed attachment in a sample of
147 infants at two months and 18 months in a study conducted in Khayelitsha (a peri-urban settlement
outside Cape Town). At 18 months, they found that 61.9 per cent of their sample was rated as secure
and 38.1 per cent as insecure. The level of secure attachments was relatively high for a population such
as Khayelitsha, which is characterised by high levels of poverty and socio-economic adversity.
Of the insecure infants, the largest group (25.8 per cent) were classified as disorganised. Insecure
attachment patterns could be related both to past and current situations, including materna
postpartum depression and lack of partner support for the mother when the infants were two months
old. In addition, insecure attachment was associated with mothers being intrusive or remote in face-to-
face interactions when infants were two months old and being insensitive in a structured play task when
infants were 18 months old.
Figure 3.10 Erikson’s eight stages of psychosocial development (adapted from Erikson, 1963, in
Hjelle & Ziegler, 1985)

Erikson’s psychosocial stages of development in

the neonatal and preschool periods
Erik Erikson (1902–1994) proposed eight stages of psychosocial theory
development that occur throughout an individual’s lifespan; the first
three of these occur in early childhood. Each age-graded stage includes a
particular crisis that the individual must successfully resolve in order to
move on to the next stage of development (see Figure 3.10).
During the first year of life, infants have to resolve the crisis of trust
versus mistrust. e primary caregiver plays an important role in the
resolution of this crisis. Infants need to be provided with consistent,
reliable and predictable caregiving in order to learn to trust others to care
for their basic needs. If caregivers reject the infant or are inconsistent in
their care, the infant may view the world as untrustworthy and may
become mistrustful.
e crisis that toddlers face during the second and third years of life is
that of autonomy versus shame and doubt. Toddlers start to show signs
of independence by increasingly demanding to determine their own
behaviour. is crisis is resolved favourably when caregivers provide their
children with appropriate guidance that is based on the children’s level of
maturity and development. e quest for independence requires that
young children try new skills. Children whose attempts at independence
are met with approval, tolerance and understanding by caregivers
develop a sense of autonomy. Toddlers who are constantly criticised and
made to feel incompetent may experience a sense of shame and doubt.
e crisis that faces young children from the age of three to six years is
initiative versus guilt, which relates to issues of mastery and
competence. Young children have an eagerness to tackle new tasks, and
to interact with peers, caregivers and other members of the family.
Children who are punished or criticised for expressing their desires and
plans may develop a sense of guilt, which leads to fear and a lack of
assertiveness (Papalia, Olds & Feldman, 2010).

Development of the gender concept

By age two-and-a-half to three years, preschoolers acquire a basic gender
identity. ey can label themselves as either boys or girls. At this age, they
also begin to acquire sex-role stereotypes which are usually reinforced by
the caregivers’ differential treatment of boys and girls.
Caregivers in many cultures encourage nurturing behaviour from girls
while expecting boys to play a more instrumental role. For example, in
many African contexts, girls are expected to assist with the upbringing of
younger siblings and to perform domestic chores. African boys, on the
other hand, are often expected to assist with looking after livestock
(Mwamwenda, 2004).
Although many three-year-olds have acquired a basic gender identity,
they do not understand that gender is constant. A three- to four-year-old
boy may make statements that suggest that he could be a mother when he
gets older. Children normally begin to understand that gender is constant
at the age of five to seven years, and that boys will grow into men and girls
will grow into women.

3.7 ASPECTS OF POSITIVE CHILD REARING

A secure and loving environment is necessary for children’s optimal growth and development. Children
need guidance, love and care in order to develop as stable, well-adjusted and sociable human beings.
Another important aspect of child rearing is the transmission of cultural beliefs. Caregivers impart to
children aspects of their culture and traditions that give children a sense of identity and a better
understanding of the world around them. For example, children often first acquire an understanding and
appreciation of the value of ubuntu (compassion) within the context of parent– child interactions.
Many children are exposed to violence at home, in schools, in their communities and on television
One of the important tasks of caregivers is to bring up children who are going to contribute towards
decreasing the levels of violence in their communities.
A positive caregiver–child relationship facilitates the development of an emotional tie that is the
building block of human cognitive capacity, the acquisition of language and empathic identification
with other human beings (Richter, 2000). Relationships in which love is shown and in which children are
provided with opportunities to learn are crucial for children’s development. A positive relationship
between a caregiver and a young child affirms the child’s sense of self, and therefore facilitates the
development of a positive sense of self.
Not all caregivers are able to establish positive relationships with their infants. Caregiver–child
relationships can become disturbed for a number of reasons, some of which are related to the child (e.g
prematurity, difficult temperament and mental or physical disability), and others related to the caregiver
(e.g. depression, stress, teen motherhood and a history of child abuse). The environment that children
are being brought up in also impacts on the caregiver–child relationship. Poverty is the most important
risk factor for very young children and, where poverty exists, it affects children’s development
throughout their critical years.
Figure 3.11 A father’s involvement can contribute greatly to his child’s development

Parenting styles
Baumrind (1967, 1971) identified three main styles of parenting used by
parents of preschool (and older) children:
1. Authoritarian. ese parents set absolute standards and rules for their
children. ere is very little communication between the parent and
the child regarding rules and regulations. ese parents rely on force
and punishment to enforce their standards. ey show very little
warmth towards their children. Children do not get involved in family
decision making, even in matters that involve them. Baumrind found
that preschoolers of authoritarian parents were generally anxious,
withdrawn and unhappy.
2. Authoritative. ese parents are warm and responsive to the needs of
their children. ey set limits for their children and explain the
 reasoning behind these limits. ese parents have open
communication with their children and involve them in family
decision making in an age-appropriate manner. ese parents listen
to the concerns of their children and are flexible when it is deemed
appropriate. Authoritative parents encourage autonomy based on the
child’s level of maturity. Baumrind found children of authoritative
parents to be self-reliant, self-controlled and soundly competent.
3. Permissive. Parents who use this style of child rearing are warm and
nurturing. Very few demands are made on the children and rules are
not enforced. Children are permitted to express their impulses and
parents do not monitor their children’s activities. Permissive parents
allow children to make many of their own decisions at an age when
they are not yet capable of doing so responsibly. Children of
permissive parents are often found to be generally immature and
impulsive.
3.8 THE RIGHTS OF YOUNG CHILDREN AND PRESCHOOL-
AGED CHILDREN
Source: UNICEF (2001)
Young children (0–3 years) have a right to:
protection from physical danger
adequate nutrition and health care
appropriate immunisations
an adult with whom to form an attachment relationship
an adult who understands and responds to their signals
things to look at, touch, hear, smell and taste
opportunities to explore their world
appropriate language stimulation
support in acquiring new motor, language and thinking skills
a chance to develop some independence
help in learning how to control their own behaviour
opportunities to begin to learn to care for themselves
daily opportunities to play with a variety of objects.

Preschool aged children have the right to:

all of the previously mentioned opportunities, and
opportunities to develop fine motor skills
encouragement of language through talking, being read to, and singing
activities that will develop a sense of mastery
experimentation with pre-writing and pre-reading skills
hands-on exploration for learning through action
opportunities for taking responsibility and making their own choices
encouragement to develop self-control, cooperation and persistence in completing projects
support for their sense of self-worth
opportunities for self-expression
encouragement of creativity.
 3.9 ARE THE NEEDS OF CHILDREN AFFECTED BY HIV/AIDS
BEING ADEQUATELY ADDRESSED?
When parents die from HIV/AIDS-related conditions, children are often deprived of love, support and
care. UNAIDS estimated that in 2013, about 2.4 million children in South Africa had been orphaned
owing to AIDS and 360 000 children between 0 and 14 years were living with HIV (UNAIDS, n.d.). The
plight of children affected by, and infected with, HIV/AIDS is a major crisis, despite the reduction in new
infections and improved treatment roll-out. There are major concerns about addressing the rights of the
large numbers of orphans and vulnerable children (Department of Social Development, n.d.).
The South African constitution states that a child’s best interests are of paramount importance in
every matter concerning the child. It is an assurance that has far-reaching implications. The matters that
concern children are extensive. They include education, housing, food, health, sanitation, water and
peace.
Although there have been a number of responses to the crises facing children, the rights of many
children are not adequately addressed, despite the fact that they are guaranteed in the constitution. A
number of preschool children, especially in rural areas, still have no access to early childhood
development programmes. Approximately 40 per cent of young children in South Africa grow up in
conditions of abject poverty and neglect.
All sectors of society, including government departments at national and provincial levels, loca
government, non-governmental organisations (NGOs), community-based organisations (CBOs), faith-
based organisations (FBOs) and international organisations, need to coordinate their efforts so that the
rights of children can be protected.

Play in the preschool years

In earlier times, it was thought that play was a meaningless activity.
However, we now know that the play of preschool children is essential for
their physical, social and emotional development. During the first year of
life, infants gradually develop more specific social interactions with their
caregivers and peers (Bukatko & Daehler, 2011). ese change from
general signals (looks, smiles, squeals) to crawling over to investigate
another baby. In the second year, toddlers begin to play more
interactively and begin to take turns with toys. ey also play simple
games like hide-and-seek or catch.
Mildred Parten (1932, in Bukatko & Daehler, 2011) described three
forms of play in young children:
1. In solitary play, children play by themselves, ignoring other children
who may be present.
2. In parallel play, children play alongside each other in the same area.
For example, two boys may be playing with blocks, one building a
tower while the other pretends his blocks are a train.
3. In cooperative play, the children interact actively with each other.
Research suggests that these types of play all occur in the preschool
period.

Play can also be categorised according to its purpose. For example,

symbolic (pretend) play peaks during the preschool period and is very
important for cognitive and other development. ere may also be
practice play in which new skills are repeated. is facilitates the
physical development needed for later motor tasks. Constructive play
involves creative activities like making up a story, doing artwork or
building structures. rough these processes, children learn about
materials and the relationships between objects and develop positive
self-esteem.

How beneficial is play?

In contrast to earlier views that childhood play activities are a frivolous
waste of time, studies done in the 1950s (e.g. Piaget, 1959) indicated that
play in fact allows children to practise and strengthen a range of
competencies. ese include physical, cognitive, social and emotional
skills.
Play provides a context for using language to communicate. It allows a
child to fantasise, plan strategies and solve problems. Indeed, children
often show more advanced skills during pretend play than when
performing other activities, suggesting that play fosters cognitive
development (Papalia et al., 2010).

Pretend play activities may also promote social development. To be

successful at social pretend play, children must adopt different roles,
coordinate their activities and resolve any disputes that may arise.
Children also learn about and prepare for adult roles by playing house or
playing school (Papalia et al., 2010). School children who participate in a
lot of social pretend play tend to be more socially mature and popular
with their peers compared to children who generally play alone.
 Play also fosters healthy emotional development by allowing children
to express feelings that bother them or to resolve emotional conflicts.
Children who are from socio-economically disadvantaged and deprived
environments, such as informal settlements, can often be found playing
happily – and noisily! One reason for their apparent happiness could be
that they often spend a lot of time playing together and thus have a
chance to act out their emotions.
An example of how emotional conflicts can be resolved through play is
when a little girl, who has been scolded at lunch for failing to eat her fruit,
may gain control of her feelings as she scolds her doll for picky eating or
persuades her doll to eat healthy food and consume the fruit.

Early childhood development (ECD) programmes

Learning during the preschool period occurs in the home, the
community and within formal and informal settings and structures. It
occurs mostly through the medium of play. ere is growing evidence
that learning experiences during the preschool period are critical for
brain development and therefore for scholastic performance during the
years of formal schooling.
Early childhood development (ECD) programmes capitalise on the
child’s rapid growth during the preschool stage to help facilitate school
readiness. Children who enter school with appropriate skills are less at
risk for repeating a grade or dropping out of school altogether. ey are
also more motivated and have better social skills (Van de Linde, 2006).
e long-term effects of early intervention are also positive, with reduced
criminal activity and better employment records (Van de Linde, 2006).
In Africa, where the majority of children grow up under conditions of
poverty and stress, it is particularly important that ECD programmes
focus on health, nutrition and psychological development. ECD
programmes play a critical role in supplementing learning experiences at
home and in the community, and are intended to promote the
development of children to reach their full cognitive, emotional, social
and physical potential (Mwamwenda, 2004).
ECD programmes allow teachers to assess children and intervene, if
necessary, to support their health, growth and psychological
development. A number of preschools in South Africa have introduced
life skills programmes for parents on HIV/AIDS, child abuse and neglect.
e preschool years are also an ideal phase for the transmission of core
values, such as the appreciation of diversity, and tolerance of and respect
for others, that are essential for a peaceful and democratic society.
ECD programmes can be provided in a variety of settings, including
community halls, schools and the home. ECD facilitators may be formally
trained, but programmes may also include training for parents or other
caregivers.

Promoting resilience in children

Many children in South Africa are growing up in conditions that
predispose them to future problems. However, studies on resilience in
the face of risk have shown that there are two very important factors that
seem to offer protection from the damaging effects of stressful life events
(Papalia et al., 2010):
1. Resilience can be fostered by a close relationship with at least one
caregiver who provides affection and assistance and introduces
stability and organisation into the child’s life. e caregiver could also
be a person outside the immediate family (such as a grandparent, a
member of the extended family or a neighbour) who has a special
relationship with the child.
2. e child’s own characteristics can mediate the impact of stressful
events. Children with calm, easy-going, adaptable, proactive and
sociable dispositions seem to adapt to change and elicit positive
responses from others.

In addition, ‘resilient children tend have high IQs or to be good problem

solvers’ (Papalia et al., 2010, p. 424). Children at risk can also benefit from
interventions, such as early childhood development programmes,
nutrition programmes and psychosocial interventions to improve health,
physical growth and psychological development.
 SUMMARY

• Neonates are not able to express their emotions in words; however, they can feel and do express
emotions.
• The capacity to express, recognise and regulate emotions continues to develop in the preschool
period.
• Temperament is an individual’s characteristic manner of responding to the environment.
• There are three types of temperaments: easy, difficult and slow-to-warm-up.
• Shortly after birth, the mother (or primary caregiver) and infant should bond. This facilitates
emotional closeness and care of the infant.
• Aspects that may interfere with bonding are
» infant’s appearance
» mother’s socio-economic circumstances
» disruptions to the so-called sensitive period for bonding.
• In the preschool period, stranger and separation anxiety may be problematic. Anxiety about
separation is based on the child’s attachment to their caregiver.
• Attachment involves the development of strong, positive, mutually enjoyable relationships with
close caregivers and it is critical for social and emotional development.
• Attachment was studied by John Bowlby after World War II. He noted that being close to a caregiver
was vital for survival.
• If attachment is disrupted, the infant goes through stages of response: protest, despair and
detachment.
• For attachment behaviours to be effective, caregivers must also be able to respond effectively.
• Bowlby outlined four main phases in the development of the attachment system: signalling,
discriminating sociability, proximity seeking and formation of a reciprocal relationship.
• Mary Ainsworth developed the Strange Situation to assess children’s attachment patterns.
• Ainsworth found three attachment patterns: secure, insecure-avoidant and insecure-resistant; later,
the disorganised attachment category was added.
• Erik Erikson proposed eight stages of psychosocial development that occur throughout an
individual’s life span, the first three of which occur in early childhood.
• Each age-graded stage includes a particular crisis that the individual must successfully resolve in
order to move on to the next stage of development:
» During the first year of life, infants have to resolve the crisis of trust versus mistrust; infants need
consistent, reliable and predictable caregiving (stage 1).
» During the second and third years of life, the crisis is that of autonomy versus shame and doubt;
caregivers need to give appropriate guidance, accept moves towards independence and avoid
criticism (stage 2).
» From three to six years, the crisis is initiative versus guilt; children should be supported in their
efforts to achieve mastery and competence and should not be punished for these (stage 3).
• By age two and a half to three years, preschoolers acquire a basic gender identity; they can label
themselves as boys or girls and begin to acquire sex-role stereotypes.
• Between five and seven years, children begin to understand that gender is constant.
• Diana Baumrind identified three main parenting styles: authoritarian, authoritative and permissive.
• The necessity of children’s play was not initially appreciated by theorists; however, the play of
preschool children is essential for their physical, social and emotional development.
• In the preschool period, the nature of play changes from solitary play to parallel play to cooperative
play.
• Play can also be categorised according to its purpose, which may include symbolic (pretend) play,
practice play and constructive play.
• Play allows children to practise and strengthen a range of competencies, including language skills,
fantasy, problem solving, social interaction, and emotional expression and regulation.
• Learning during the preschool period occurs in the home, the community and within formal and
informal settings and structures. The latter can be facilitated by early childhood development (ECD)
programmes.
• ECD programmes use the child’s rapid growth during the preschool stage to help facilitate school
readiness; they also allow for teachers to assess children and intervene.
• ECD programmes can help with transmission of values and can be offered in a variety of settings.
• Not all children grow up in ideal conditions; resilience may be developed through having a close
relationship with at least one caregiver who provides affection and assistance and introduces
stability and organisation into the child’s life. In addition, the child’s own characteristics (e.g.
temperament, intelligence) can mediate the impact of stressful events.

Middle childhood
Middle childhood is a period of increased emotional maturity. Children
are expected to be more independent and self-sufficient. ey have a
growing knowledge of themselves and hopefully develop a positive self-
concept (De Witt, 2009).
Compared to the limited emotional expression of babies, emotional
expression during middle childhood is more specific and more diverse.
However, the emotional development of this phase means that there is an
increase in the likelihood of childhood depression (De Witt, 2009). Peer
relationships are extremely important in this phase, and a lack of friends
may be both a cause and symptom of depression. Friendships allow
children to develop sharing and mutual respect and to learn how to cope
with rejection. Other potential emotional problems in this period are
separation issues and school phobia (De Witt, 2009).
Figure 3.12 Middle childhood is frequently referred to as the school years

Within various social environments there may be particular

expectations of children and they may be assigned particular roles based
on their age. For instance, children of school-going age might be expected
to do certain chores, which might not have been seen as suitable for them
when they were younger. is could include going to the shop,
performing certain basic cooking and house-cleaning tasks and looking
after their younger siblings. Whether some of the tasks allocated to
children are constructive or appropriate for their development is, of
course, debatable.

Erikson’s psychosocial stage of development in

middle childhood
Earlier in this chapter, we encountered the first three periods in Erikson’s
psychosocial theory of development. During middle childhood, the
fourth period of development occurs. e crisis that children now face is
that of industry versus inferiority. Erikson describes this stage as the
time when children must master important social and educational skills.
It is a period when the child compares him-/ herself with peers. As
children encounter the challenges of school, positive outcomes lead to a
valuing of personal accomplishments and a sense of competency or
industry. In this way, they acquire the social and academic skills to feel
self-assured. On the other hand, negative outcomes lead to a sense of
failure and feelings of inferiority. During this stage, teachers and peers
are significant environmental or social influences in the child’s life
(Shaffer & Kipp, 2007).

3.10 THE IMPORTANCE OF PHYSICAL ACTIVITY

Source: Birth to Twenty (2003)

Procedure
The Birth to Twenty study is a longitudinal research project studying child health and development in
Africa, following children from birth to the age of 20. Among other aspects, this study examines whether
South African children are physically active enough.

Results
More than 40 per cent of children (in Grades 4 and 5) do not regularly engage in vigorous physica
activity. Also, physical activity is less common among girls than boys, and among those in lower-income
families or among those who have less access to education.

Conclusion
South African children are not sufficiently physically active and would benefit from more physica
activities and participation in sports.

Play in middle childhood

Physical development during middle childhood plays an important role
because it enables children to participate in a range of activities. Research
has also indicated that play or physical activity substantially reduces the
risk of developing some illnesses. For instance, the Birth to Twenty (2003)
study indicated that regular physical activity could help to reduce
symptoms of anxiety and depression, and was associated with fewer
hospitalisations, fewer visits to the doctor and less medication (see Box
3.10).
Various perspectives hold that when there is little physical play during
middle childhood, this could be indicative of certain developmental
difficulties. For example, according to Erikson’s (1963) perspective, it
could be an indication of unresolved early crises involving feelings of
mistrust, doubt and guilt. Second, it could be an indication of a motor
skills disorder or learning disabilities.
Last, play is an important way in which children learn what is
appropriate in their cultural context. Children often play traditional
games that have been passed down across generations. ey may also
learn skills that are expected of them in their particular cultural setting.
Figure 3.13 Learning to ride a bicycle is one of the significant accomplishments of middle childhood

The development of self-concept and self-esteem

Self-concept refers to how we see or describe ourselves. e self-concept
is made up of self-perceptions, abilities, personality characteristics and
behaviours that are organised and generally consistent with one another
(Bukatko & Daehler, 2011). e social messages that children receive as
they interact with the environment play an important role in developing
their self-concept. According to De Witt (2009), middle childhood can be
regarded as a sensitive period for the development of the self-concept
because of the child’s level of cognitive development, as well as his/her
typical experiences during this period.
Children of school-going age begin to define themselves in
psychological terms. eir self-concept develops from their experiences
and represents how they see themselves. Apart from developing their self-
concept, children also develop a sense of how they would like to be (the
ideal self ). Freud suggests that the ideal self develops with the superego
(see Chapter 5 for an in-depth discussion of the superego). e ideal self
is based on children’s hopes and wishes and reflects how they would like
to see themselves. e content of children’s self-concepts may vary along
dimensions such as family circumstances (e.g. whether they are from
poor or wealthy families) and social positions (e.g. their gender, ethnicity
and social class) (Bukatko & Daehler, 2011).
As they start school, children also start developing clearer judgements
of their worth, which is referred to as self-esteem. According to Bukatko
and Daehler (2011), self-esteem can be defined as the evaluation of one’s
worth as a person, based on an assessment of the qualities that make up
the self-concept. Among children of school-going age, the development
of self-esteem is facilitated by the challenges they are confronted with in
the school system, such as the challenges generated by learning tasks and
their interaction with teachers and peers (De Witt, 2009).
Obviously, children’s self-esteem is also affected by their family
circumstances and experiences. For instance, research indicates that
stressful family circumstances, such as divorce, have a significant
influence on a child’s self-esteem (Bastaits, Ponnet & Mortelmans, 2012).
Environmental influences on the social
development of girls
Currently, school-going boys and girls in Africa are confronted with a
variety of social factors that could put them at risk. But girls, in particular,
are at risk, because of the limiting social expectations placed on them in
middle childhood. According to Van der Riet, Hough, Killian, O’Neill and
Ram (2006), girls experience significant gender-related barriers to
education. UNICEF (2003) notes that the traditional division of labour
disadvantages girls. In addition, if poverty means that a family can send
only some of the children to school, boys will usually be given
precedence.
In the face of the HIV/AIDS pandemic, girls of schoolgoing age are
more likely to have to care for sick family members, and to head up
households where both parents have died of HIV/AIDS.

The importance of schools in social development

Schools are a powerful agent of socialisation during middle childhood as
it is here that cultural norms and values are conveyed. One of the
purposes of schooling is to extend the socialisation process begun by the
family. At school, children are expected to relate to a new form of
authority, namely teachers, follow a new of set of rules, make new friends
and learn to get along with other children who are not their friends.
Children are also expected to become interested in acquiring knowledge
in a formal and structured manner. Ultimately, school provides the child
with the knowledge and skills necessary for adjustment in adulthood (De
Witt, 2009).
Although developmental psychologists agree that social factors such as
the home and school environment contribute substantially to the child’s
development, there has also been a long-standing debate regarding the
role of biology versus the role of the environment in determining
children’s capabilities (see Box 3.3).
Figure 3.14 School is where many friendships are formed
 SUMMARY

• Middle childhood is a period of increased emotional maturity and independence.

• Compared to earlier stages, emotional expression during middle childhood is more specific and
more diverse.
• Peer relationships are extremely important and a lack of friends may be both a cause and symptom
of depression.
• Other potential emotional problems are separation issues and school phobia.
• There are increased expectations placed on children (e.g. to do chores).
• For Erikson, the crisis for children between six and puberty is industry versus inferiority; children
must master important social and educational skills and teachers can support (or damage) this
process.
• In middle childhood, play has an important role in physical development; lack of physical activity
may have serious negative physical or mental health outcomes.
• Play also allows children to learn what behaviour is appropriate in their cultural context.
• Middle childhood also sees developments in self-concept and self-esteem; this happens through
messages that children receive as they interact with the environment.
• Children of school-going age begin to define themselves in psychological terms; they begin to
develop an ideal self.
• Self-concept and self-esteem are influenced by family circumstances (e.g. socio-economic status),
as well as social positions (e.g. gender, ethnicity and social class).
• Self-concept and self-esteem are also affected by school experiences.
• Girls are particularly at risk for developmental disruptions because of the limiting social
expectations placed on them in middle childhood.
• Schools are powerful agents of socialisation during middle childhood as the educational setting
provides the child with the knowledge and skills necessary for adjustment in adulthood.
Conclusion
is chapter has outlined the broad contours of prenatal and neonatal development, as well as the
development of preschool children and of middle childhood. Although the prenatal and the
neonatal period are fraught with dangers, human embryos, foetuses and babies can be aided by
their parents/caregivers to cope with these dangers.
Physical development in the prenatal and neonatal periods is extremely rapid, slowing down
somewhat in the preschool period before a further growth spurt in middle childhood. Gross motor
and fine motor skills improve during this period, as does hand-eye coordination. Both over- and
under-nutrition may have a major impact on development.
Piaget describes early cognitive development as occurring in stages. Language development is
key in the preschool period if the child is to cope at school. Vygotsky’s theory takes a different
approach to cognitive development, arguing that thought and language develop within a social
and cultural context. Cognitive development is strongly influenced by formal schooling where
mastery of a variety of tasks influences cognitive development, and where cognitive ability
influences the mastery of tasks. Moral development is also important in the preschool and middle
childhood periods. Kohlberg’s justice view has been challenged by Carol Gilligan who takes a
relational approach.
Social and emotional aspects are present even before birth. However the bonds between
infants and their parents/caregivers are formed, these bonds are important in the baby’s
development. Social development in the preschool period is extremely important for the later
functioning of the child, as it lays the foundation for key skills needed in adult relationships and
the world of work. In middle childhood, a child’s social development and emotional development
are both strongly in fluenced by the child’s increasing interactions with unfamiliar adults and
children, particularly in the school setting. Children are expected to become more and more self-
sufficient and independent. ey develop a self-concept, and their own and others’ evaluations of
their achievements during this period lay the foundations for self-esteem. e cultural context and
social situation are integral factors in shaping the course of middle childhood.

KEY CONCEPTS

accommodation: the process in cognitive development whereby

infants change and expand their previous schemas to include new
experiences
amniotic fluid: the fluid that fills the amniotic sac that contains the
developing embryo and foetus
animism: the thought process whereby human-like qualities are
attributed to inanimate objects
assimilation: the process in developmental change whereby new
experiences are incorporated into existing schemas, thus expanding
them
attachment: the third phase in the development of the attachment
system, where the infant actively seeks proximity to the primary
caregiver and uses this person as a secure base from which to explore
the world
attachment behaviours: particular behaviours exhibited by an infant
with the purpose of gaining proximity to the caregiver, thus ensuring
the infant’s survival
attachment system: the inborn, genetically preprogrammed
propensity of infants to display attachment behaviours
authoritarian: the style of parenting where parents set absolute
standards and show little warmth
authoritative: the style of parenting where parents are firm but warm
and open
autonomy versus shame and doubt: according to Erikson, the
psychosocial challenge for toddlers in the second and third years of
life
cephalocaudal developmental trend: the sequence of physical
growth that proceeds from the head and progresses downwards
cognitive development: the age-related changes that occur in mental
activities such as attending, perceiving, learning, thinking and
remembering
compensation: a feature of children’s thinking, when changes in one
aspect of a problem are mentally compared with, and compensated
for, by changes in another
conception: the moment at which the ovum and sperm merge
concrete operational stage: the third stage identified in Piaget’s
theory of cognitive development, when children are capable of logical
thought in relation to concrete events and phenomena
conservation: the principle that quantities remain the same despite
changes in their appearance
constructive play: creative activities like making up a story, doing
artwork and so on
cooperative dialogue: ways in which children interact with more
knowledgeable members of society
cooperative play: when children interact with each other at play
cultural tools: ways of functioning in response to the demands of the
culture in which a child is raised
decentration: a feature of children’s thinking, when they can consider
multiple aspects of a stimulus or situation
discriminating sociability: the second phase in the development of
the attachment system, where the infant becomes more
discriminating towards his/her primary caregiver
disorganised attachment: a fourth category of attachment behaviour
that describes infants who show a marked and pervasive fear in the
presence of the primary
egocentric stage: the stage of development in which, according to
Vygotsky, children between the ages of three and seven use external
speech to control their actions
egocentrism: the tendency of children to view everything from their
own perspective
embryo: the term given to the developing organism once it has
successfully implanted in the uterus
embryonic stage: the six weeks of prenatal development after the
germinal stage
ethics-of-care orientation: a feminist ethical approach that bases
moral decision making on relational and contextual aspects
external speech: the speech produced by a child talking aloud to
him-/herself which Vygotsky said is used by the child to direct his/her
behaviour
fallopian tubes: the narrow tubes where the ovum is fertilised and
along which the zygote travels to the uterus
fine motor skills: skills or capabilities involving small body
movements
foetal alcohol syndrome (FAS): a group of symptoms found in babies
whose mothers were heavy drinkers of alcohol during pregnancy
foetal stage: the stage of prenatal development from the third to the
ninth month of pregnancy
gender identity: a person’s subjective sense of their own gender
germinal stage: the first two weeks of prenatal development after
conception
gross motor skills: skills or capabilities involving large body
movements
higher mental functions: sophisticated cognitive abilities that
include internal, language-based mental tools
holophrases: single words used to convey the meaning of a whole
sentence
ideal self: an element of a child’s self-concept based on that child’s
hopes and wishes, and reflecting how he/she would like to see
him-/herself
industry: the sense of competency that children acquire by
encountering the challenges of school and dealing with them in a way
that produces positive outcomes
industry versus inferiority: according to Erikson, the psychosocial
crisis that must be resolved during middle childhood
inferiority: according to Erikson, the feeling that children develop if
they encounter the challenges of school and experience negative
outcomes that lead them to devalue their personal accomplishments
initiative versus guilt: according to Erikson, the psychosocial
challenge for children between the ages of three and six years
inner (private) speech: the language that is used by a child to talk
silently to him-/herself, which, according to Vygotsky, shows that the
child can shape and direct thinking
insecure-avoidant attachment: the attachment behaviour where
infants appear unperturbed by the departure of their primary
caregiver, and seem independent and self-sufficient
insecure-resistant attachment: the attachment behaviour where
infants seem upset by the departure of their primary caregiver, but
upon reunion display ambivalent behaviour, alternating between
seeking comfort and rejecting that comfort
mitosis: the process by which the zygote divides into identical cells
neonatal period: a period of development from birth to
approximately one month after birth
neonate: a newly born infant up to the age of around four weeks
object permanence: the realisation that an object or person
continues to exist even when no longer visible
outcomes-based education (OBE): a system of education that is
based on the principles that all learners can be successful, that
success at one level promotes success at the next level, and that
schools and teachers control the conditions for learners’ success
ovum: the female reproductive cell
parallel play: children play alongside each other in the same area
permissive: the style of parenting where parents are warm and allow
children an inappropriate amount of freedom
placenta: a complex organ made of tissue from the embryo and the
mother
practice play: new skills are repeated in play
preoperational stage: according to Piaget, the stage of development
that occurs between the ages of two and seven years, when children
use symbolic thought but not the cognitive operations necessary for
logical thought
proximodistal developmental trend: the sequence of physical
growth that proceeds from the centre of the body outward
psychosocial theory of development: Erikson’s theory of
development that postulates that people must deal with a series of
crises as they pass through various stages of development from birth
to death
reciprocal relationship: the final stage in the development of the
attachment system, where infants begin to understand other people’s
motives and feelings
reflexes: inborn actions over which the neonate and/ or young infant
has no control
resilience: the ability to adapt effectively in the face of adverse
circumstances
reversibility: a feature of children’s thinking that involves the ability
to mentally reverse actions or situations
scaffolding: temporary support while a task is being completed
schema: a pattern of thought or behaviour used to organise categories
of information and the relationships between them
secure attachment: the attachment behaviour where infants are
upset by the departure of their primary caregivers, but upon reunion
are soothed and fairly quickly resume exploratory play
self-concept: a belief about oneself that is made up of self-
perceptions, abilities, personality characteristics and behaviours that
are organised and generally consistent with one another
self-esteem: a person’s evaluation of his/her own worth as a person,
based on an assessment of the qualities that make up his/her self-
concept
sensorimotor stage: according to Piaget, the stage of development
that occurs from birth to two years of age, when infants gain
knowledge about their environments through an increasing ability to
coordinate their sensory input with motor activity
separation anxiety: an infant’s fear of being separated from his/her
primary caregiver
seriation: a feature of children’s thinking when children master the
ability to arrange objects in order along quantitative dimensions, such
as weight, length or size
signalling: behaviours, such as vocalising and/or crying, designed to
bring a caregiver to the infant
socially mediated activity: cognitive growth in which children
acquire new ways of thinking by interacting with knowledgeable
members of society
social stage: the stage of development between birth and the age of
three years when, according to Vygotsky, children use language to
express simple thoughts and feelings
solitary play: children playing by themselves
sperm: the male reproductive cell(s)
stranger anxiety: an infant’s fear of strangers
Strange Situation: an experimental procedure used by Ainsworth and
her colleagues in order to test and measure Bowlby’s attachment ideas
symbolic play: pretend play which peaks during the preschool period
symbolic representation: the fifth sub-stage in the sensorimotor
stage of development, where infants aged between one-and-a-half to
two years plan actions on the basis of imagined realities
telegraphic speech: only those words that are necessary to convey
meaning
 temperament: an individual’s characteristic manner of responding to
the environment
teratogens: harmful, environmental agents that interfere with normal
prenatal development
transitivity: a feature of children’s thinking that refers to the ability to
recognise relations among elements in a serial order
trust versus mistrust: according to Erikson, the psychosocial
challenge for infants in the first year of life
umbilical cord: the tube connecting the embryo to the placenta
zone of proximal development (ZPD): Vygotsky’s term for an area
that is bounded by the level of problem solving that a child can
perform on his/her own and the level of problem solving that a child
is capable of given the assistance of a competent instructor
zone of viability: the period during which a prematurely born foetus
may have a chance of survival
zygote: the single cell formed as a result of the merging of an ovum
with a sperm cell

EXERCISES

Multiple choice questions

1. e first two weeks after conception are referred to as the

____________ of prenatal development.
a) embryonic stage
b) germinal stage
c) prenatal stage
d) foetal stage.

2. Teratogens are:
a) elements of the internal environment that affect foetal growth and
development
b) the name given to the cell mass that provides the embryo with its
life-support systems
 c) the collection of symptoms displayed by babies and associated
with excessive exposure to alcohol
d) harmful external environmental agents that can affect foetal
growth and development.

3. Which one of the following is not an attachment behaviour?

a) crying
b) crawling
c) signalling
d) vocalising.

4. Walking, throwing, writing and tying shoe laces are capacities

collectively known as:
a) gross motor skills
b) fine motor skills
c) integrated motor skills
d) none of the above.

5. At about what age does handedness develop in a preschool child?

a) from birth
b) at about two years of age
c) between three and four years of age
d) at about five to six years of age.

6. According to Erikson, which three psychosocial stages of

development fall within the preschool period of development?
a) basic trust versus mistrust; initiative versus shame and doubt;
industry versus inferiority
b) autonomy versus shame and doubt; initiative versus guilt;
integrity versus despair
c) basic trust versus mistrust; autonomy versus shame and doubt;
initiative versus guilt
d) basic trust versus guilt; autonomy versus role confusion; initiative
versus inferiority.
 Which of the following is not one of Baumrind’s parenting styles used
7.
by parents of preschool children?
a) authoritarian
b) autocratic
c) authoritative
d) permissive.

8. When a child realises that although a balloon may be large, it can also
be light, he/she is demonstrating the ability called:
a) decentration
b) conservation
c) seriation
d) reversibility.

9. Transitivity is the ability to:

a) arrange objects in order along quantitative dimensions, such as
weight, length or size
b) recognise that properties of objects or substances do not change
because their form changes
c) recognise relations among a number of ordered objects
d) none of the above.

10. To which influential theorist can we attribute the theory focusing on

how culture is transmitted from one generation to the next?
a) L. Vygotsky
b) J. Piaget
c) S. Freud
d) E. Erikson.

Short-answer questions
1. How does maternal nutrition affect the development of the foetus?
2. Why is it important that pregnant mothers should not consume
alcohol?
3. Briefly describe the neonate’s early sensory capacities.
4. Briefly describe the course of language development during the
preschool period.
5. Discuss the different parenting styles, according to Baumrind.
6. Briefly outline the physical development of children during middle
childhood.
7. What did Erikson (1963) mean when he described the middle
childhood stage in terms of industry versus inferiority?
8. Childhood play activities are a frivolous waste of time. Provide a
convincing argument against this assertion.
 Adolescence, adulthood
and aging CHAPTER
Tamara Shefer, Norman Duncan & Ashley van
Niekerk
4

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• describe the physical changes that take place during adolescence and early, middle and late
adulthood
• identify the different health risks that apply over the periods of early, middle and late adulthood
• describe the cognitive changes that occur during adolescence and early, middle and late
adulthood
• discuss the influence of culture and social norms on cognitive development
• discuss identity development during adolescence
• describe the influence of the community, family and peers on adolescent development
• discuss the intersection of gender and sexuality during adolescence
• describe risk behaviours and their impact on adolescent development
• describe and discuss the main South African social, environmental and economic challenges
that impact upon and constrain adult development
• discuss the scope and impact of the epidemic of violence on South African men and women
• discuss the impact of the HIV/AIDS pandemic on the familial and economic roles of older South
African adults.

CASE STUDY

Yolisa was in a taxi on her way back from visiting her cousin, Vuyisa, who was in prison. She thought
he had looked so vulnerable and confused, and she couldn’t help thinking that at heart he was just
a young man, yet he looked like he had a world of trouble on his shoulders. She remembered
when he was a teenager and how he had to take responsibility for his whole family once his father
died and left his unemployed and sickly mother with five young children to care for. It was no
wonder that he had turned to crime, stealing food at first to help provide meals for the family. Petty
crime had led to bigger things, and eventually to jail.
Looking back on her own adolescent years, Yolisa realised that she had been very lucky to have
parents who had made it possible for her to experience the joy of youth. Her parents had been
very strict, and the typical adolescent dangers of drugs and sex had seemed far away. At the time
 she had resented this and imagined her friends to be having so much more fun than she was. But
now she was grateful that she had been protected in this way. She felt absolutely sure that this was
why she was where she was today: a first-year university student with a bright future ahead of her.
When Yolisa first heard that they would be discussing adulthood and ageing in class, she felt a
little disappointed. Perhaps this section would be less interesting and less relevant to her own life
than the material they had covered in the course so far. But after reading a little on the subject,
Yolisa found her thoughts turning to her grandmother who lived out in the rural areas with her
mother’s sister. She only saw her about once a year but ‘Gogo’ was still a very important figure in
her family’s life. Having respect for older people was something her mother had impressed on her
right from when she was a young child.
Yolisa tried to imagine herself being old, and she wondered what it might be like to know that
one was approaching the end of one’s life. She hoped that she would have lived a good and
interesting life by the time she got to that point. She also hoped she would have some people
around who loved her.

Introduction
Popular culture seems to suggest that the adolescent stage of
development is a troublesome one for the individual, their family and
society at large. Similarly, traditional developmental psychology has
reinforced the idea that, universally, this is an emotionally turbulent and
difficult stage of development. G. Stanley Hall (1844–1924), known as the
father of adolescent psychology, coined the term storm and stress to
describe what he saw as the natural moodiness of adolescents (Dacey,
Travers & Fiore, 2008). But is it really so for every culture? ere is a
growing argument in developmental psychology that adolescence is not
necessarily a traumatic process (Davey, 2004). It is now more widely
accepted that there may not be one universal experience of adolescence,
but rather that this stage may take on different forms across different
cultures, and even within different families and for different individuals.
In traditional developmental psychology, adolescence refers to that
stage of human development that follows middle childhood, and that
serves as the transition from childhood to adulthood (Richter, 2006). It is
generally viewed as beginning with the onset of the biological changes of
puberty and ending with the cultural identity of adulthood. While
adolescence may not necessarily be universally traumatic and in some
communities does not even constitute a clear-cut developmental stage, a
wide range of physical, emotional and social changes are associated with
this stage of development. In most cultures, the beginning of biological
puberty, and the social and cultural expectations and pressures that
come with this, tend to signify an important transition for the child (see
Box 4.1).
is chapter presents some of the central theories and documentation
of adolescence in traditional developmental psychology. It looks at this
development through the lenses of biology, psychology and society,
while recognising that these levels of experience are never separate in the
lived experiences of the human subject. In order to create a more
contextualised picture of the South African adolescent, this chapter
draws on the South African context, as well as on local literature and
research on adolescence. is chapter also highlights some of the key
challenges for adolescents in contemporary South Africa.
e chapter goes on to consider adulthood and the aging process. In
doing this, it is useful to bear in mind that what happens in these stages is
not merely the result of a biological blueprint for development. Rather,
these life stages are largely built on foundations laid earlier in life, and are
significantly influenced by people’s current life circumstances.
Obviously, the quality of these foundations and circumstances will
determine the quality of life during this last phase of human
development.
Lasting from about the age of 20 years to the end of life, the period of
adulthood is generally considered the longest stage in the human life
span. It is also viewed as the stage when individuals reach full biological
and psychosocial maturity. Although the nature and onset of adulthood
may vary considerably from one individual to the next and across
societies, most developmental psychology textbooks describe adulthood
as consisting of three distinct and consecutive phases, namely early
adulthood (20 to 39 years), middle adulthood (40 to 59 years) and late
adulthood (60 years and older) (Sadock & Sadock, 2011). is chapter
will broadly use this framework to describe and clarify development
during adulthood; however, these stages are not a pre-set template for all
adult development.
Figure 4.1 The aging process of a man

Physical development
Adolescence
Physical development in adolescence centres on the physical and
hormonal changes that take place in puberty. Puberty refers to the
period of rapid physical maturation involving hormonal and bodily
changes that occur primarily during early adolescence (Santrock, 2007).
Puberty begins with hormonal increases, which cause a range of bodily
changes that signify sexual maturation and gender differentiation. ese
changes result in primary sexual characteristics, which are directly
related to reproduction, and secondary sexual characteristics, which
distinguish the sexes without being related to production (e.g. facial
hair). ese changes include a growth spurt in height and weight, which
lasts about four and a half years (Papalia, Olds & Feldman, 2010), and
which peaks at eleven and a half years for girls and thirteen and a half
years for boys (Santrock, 2007).
 As shown in Box 4.2, there are many factors that impact on the onset of
puberty, such as nutrition, health, heredity and body mass (Santrock,
2007). is means that the onset of puberty may vary greatly from person
to person, and across different cultures.
Notable physical changes in puberty include the following:
• Girls’ ovaries enlarge, and all parts of the reproductive system
become more developed. Owing to these changes, the menstrual
cycle begins for young women (menarche).

4.1 RITES OF PASSAGE

Most cultures have rituals linked to the transition from childhood to
adulthood. In many indigenous South African cultures, a circumcision
ritual carried out in groups and in a remote area (in the bush) has been
traditional for late-adolescent males. Ramphele (2002, p. 57) details an
account of a Xhosa initiation ritual as experienced by one of the young
men she interviewed, highlighting the centrality of ‘discipline and
fortitude in the face of physical and emotional strain’.
ere are many other examples of puberty rites across the globe.
Robinson (2002) details some examples:
• Navajo young men make a solo journey into the mountains to attain
their manhood.
• Australian aboriginal adolescents are given tattoos in late puberty as
preparation for adulthood, and the transition is viewed through the
metaphor of the death of childhood and the rebirth of adulthood.
• Girls of the Arapesh tribe in New Guinea stay in menstrual huts in
early puberty for six days without food or water.
• Religious families in North America celebrate a teenager’s
Confirmation (in Christian families) or a Barmitzvah (in Jewish
families).

For further reading, consult Nelson Mandela’s Long Walk to Freedom

and/or Mamphela Ramphele’s Steering by the Stars.
• Boys’ testicles, penis, scrotum, prostate gland and seminal vessels are
further developed, along with the beginning of sperm production
 (spermarche).
• Body hair increases, primarily pubic and underarm hair, but also
facial and upper-torso hair, especially in boys.
• Girls develop breasts.
• Voices deepen.
• Skin textures change, which may result in skin infections such as
acne.

e body changes in adolescence clearly also have many psychological

consequences. Adolescents often become preoccupied with their bodies
(Santrock, 2007). is focus on the body differs according to gender, with
pressure on males to develop their bodies, while young women are
expected to conform to the widespread media image of slimness (see
Figure 4.3). It is not surprising, then, that the eating disorders anorexia
nervosa and bulimia nervosa most frequently begin in adolescence.
Much of the psychological literature on these disorders highlights the
significance of the social pressures on girls to achieve the slender ideal
image, as well as the socio-psychological meanings of developing into
adult women (see, for example, the seminal works of Bruch, 1974;
Orbach, 1978).
Although it has been argued that eating disorders are only present in
affluent societies or middle-class families, there is growing evidence that
South African youth, particularly adolescent girls, in all communities are
at risk (Jordaan, 2014). For example, a recent study found that the
prevalence of abnormal eating attitudes is equally common in South
African schoolgirls from different ethnic backgrounds (Mould, Grobler,
Odendaal & De Jager, 2011).
 SUMMARY

• Physical development in adolescence starts with the hormonal and bodily changes of puberty.
• Puberty leads to the development of primary and secondary sexual characteristics, and includes a
growth spurt.
• In many cultures, puberty is celebrated with rites of passage.
• The onset of puberty is affected by nutrition, health, heredity and body mass, as well as individual
differences.
• Physical changes in adolescence often have psychological consequences.
• The focus on the body may lead to eating disorders, primarily in girls.

Early adulthood
With regard to physical development, early adulthood is generally
considered to constitute the prime of life. For example, at approximately
25 to 30 years of age, physical growth as well as muscular strength and
manual dexterity reach a peak (Santrock, 2007). With regard to overall
health, the early years of adulthood are generally also considered to be
one of the more problem-free periods in the human life cycle.
However, this period also announces the first visible signs of aging. For
example, because of hormonal changes and a reduced flow of blood to
the skin, hair may already grow less abundantly from the late 20s
onwards. Additionally, as the skin begins to lose its elasticity, facial
wrinkles may start making their appearance at this stage (Staehelin,
2005).
 4.2 THE INTERPLAY OF CULTURE AND BIOLOGY IN PUBERTY
Puberty is usually presented as a biological and universal fact of change that heralds adolescence
However, biology is not something unrelated to culture. Rather, it is becoming more evident that the
social world has a complex impact on humans’ biological and physiological lives. Reports of the effect of
hormones used on animals in the production of meat represents one of the most frightening indicators
of the way in which biology and culture are interwoven in the experience of puberty. In Puerto Rica in
the 1980s, there were reports of girls as young as the age of four developing breasts, and beginning to
menstruate (Henriques, Holloway, Urwin, Venn & Walkerdine, 1984). The acceleration of sexual
maturation was believed to be the result of the use of oestrogen in the feed of chickens, and these
chickens formed part of the staple diet of this group of Puerto Ricans. Henriques et al. (1984, p. 21)
comment that the ‘effect of these biological changes is utter confusion of the children, their peers and
adults regarding appropriate behaviour and expectations’.
A further example of the way in which puberty is affected by environmental context is provided by
cross-cultural and historical differences in the onset age of puberty. Papalia et al. (2010) note that there
has been a significant drop in the average age of menarche in the last 100 years, primarily in first-world
countries.
See Ruth Ozeki’s My year of meat for a fictionalised account of the use of hormones in meat.

Health risks
Although globally early adulthood is generally considered the period
when the individual is least likely to experience health problems, in
South Africa, young adults are at risk both from violence and from
disease. In this age group, individuals are most at risk of death or injury
through almost all forms of violence, including violent assault and
suicide, and motor vehicle collisions (Donson, 2009). Donson (2009) also
reports that violence is the leading cause of non-natural death for 15- to
24-year-olds (44.8 per cent), 25- to 34-year-olds (41.5 per cent) and 35- to
44-year-olds (33.1 per cent). In Gauteng in 2011, violence peaked as a
cause of non-natural death in the 24- to 29-year-old group with the male–
female ratio being close to 6:1 (Medical Research Council, 2013).
According to Miedzian (in Berger, 1994), the gendered patterns of
injury and death due to violence are the result of a complex interaction
between a range of biosocial factors. ese factors include the higher
levels of testosterone and drug abuse found among males, as well as early
socialisation (Sell, Hone & Pound, 2012). is will be discussed in more
detail later in this chapter.
 HIV/AIDS and tuberculosis are other major health problems currently
facing young adults in South Africa. Tuberculosis is the current leading
cause of death in South Africa (Statistics South Africa, 2014a), being
responsible for 10.7 per cent of deaths in 2011. In terms of HIV, in South
Africa in 2012, there was a gender difference in prevalence with 9.9 per
cent of males infected and 14.4 per cent of females. is is partly because
of physiological factors and partly because of social dynamics, for
example the tendency for older men to be ‘sugar daddies’ to girls in their
teens (Wyrod et al., 2011).
Overall, HIV prevalence peaks between 30 and 39 years (about 30 per
cent), but in the 20- to 24-year-olds, prevalence for females is 17.4 per
cent compared to 5.1 per cent for males. As will become clearer later in
this chapter, the alarming spread of this pandemic has had a significant
impact on the manner in which many young South Africans embark on
two of the more crucial life tasks of early adulthood, namely establishing
an intimate relationship with a life-partner and parenting.

Middle adulthood
In terms of chronological age, middle adulthood is traditionally reported
to extend from roughly the age of 40 years to roughly the age of 60 years,
with a range of physical, biological and social cues or indicators generally
marking its onset. As noted in the introduction to this part, these age
ranges depend on the life expectancy of a country’s population. Some of
these indicators are considered below.
Middle adulthood is generally characterised by an increasingly
perceptible decline in physical attributes and functioning (Helson &
Soto, 2005). is includes a decrease in muscle size, the gradual
shrinkage and stiffening of the skeleton, an increase in body fat retention,
and a decline in dexterity, flexibility, and sensory and perceptual abilities
(Sadock & Sadock, 2011). For example, a decline in visual capacities is
prominent from about the age of 40, while taste, smell and sensitivity to
pain and temperature generally decline from about 45 years (Santrock,
2007).
Table 4.1 HIV prevalence by sex and age, South Africa 2012 Shisana et al., 2014, p. 38
Additionally, during this period there is also a decline in the functioning
of the digestive system, and a decrease in the flow of blood to the brain.
Women reach menopause (which refers to the end of menstruation, and,
consequently, the capacity to bear children) and males experience a
decline in sexual responsiveness (Staehelin, 2005).
e physical experience of middle (and late) adulthood generally
occurs earlier among lower income, unskilled workers than among
higher income professionals. is is largely a result of the fact that lower
income groups, compared to their higher income counterparts, are
generally more frequently exposed to health risks (such as working with
industrial chemicals, long hours of strenuous labour, inadequate health
facilities and stress) that hasten the aging process (Mathers, Sadana,
Salomon, Murray & Lopez, 2001).
While middle adulthood is the stage when the first signs of significant
physical decline appear, many developmental experts believe that
regular exercise and a good diet can slow the aging process substantially,
and allow the individual to continue to function with vitality and a sense
of well-being (Staehelin, 2005). However, in a country and a world where
the gap between the rich and the poor is getting bigger (World Bank,
2014), we may well ask how many people will be privileged enough to
enhance their quality of life in this way.

Health risks
During middle adulthood, the individual becomes increasingly
susceptible to the risk of various ailments, such as cardiovascular
diseases (which include cardiac disorders, arteriosclerosis and
hypertension), various forms of cancer, arthritis and respiratory diseases
(Staehelin, 2005). is increased susceptibility to illness and disease
during this stage of development is largely a result of the increasing
degeneration of the body.
Nonetheless, research evidence shows that people’s living conditions
and lifestyles have a significant influence on their health. For example,
heavy smoking and drinking have been implicated in various
cardiovascular diseases (Staehelin, 2005). Furthermore, it appears that
stress associated with certain lifestyles (such as hyper-competitiveness
and social isolation) and living conditions (such as unemployment, and
living in poverty-stricken and violent communities) contribute
significantly to the health problems of middle adulthood, particularly to
cardiovascular diseases and depression (Burney et al., 2013). However,
the way in which individuals perceive and respond to the stressful events
with which they are confronted also influences the impact on their
health. For example, individuals who perceive a potentially stressful
event as a challenge that they can deal with, are much less likely than
others to be adversely affected by it (Faure & Loxton, 2003).

Late adulthood/old age

Developmental psychologists have traditionally used the age of 60 years
as a marker for the onset of late adulthood. However, as populations
become increasingly long-lived, it is likely that this age range may move
upwards in future. e commencement of late adulthood coincides with
senescence – the increasing decline of all the body’s systems, including
the cardiovascular, respiratory, endocrine and immune systems (Sadock
& Sadock, 2011). However, the actual rate of aging may vary greatly
among individuals. Furthermore, the belief that old age is always
associated with profound intellectual and physical infirmity is a myth.
e majority of older people retain most of their physical and cognitive
abilities (Sadock & Sadock, 2011).
 e general increase of living standards and medical technology has
led to an increase in longevity in many societies and, therefore, a
significant number of older persons. In some countries like the UK, the
retirement age is steadily rising. is increasing number of older people
is a challenge for the economically active section of the population to
support. However, for many low-income countries, the situation is very
different. For example, while the average life span in the US is 79.56 years,
for South Africans it is 49.56 years (Central Intelligence Agency, n.d.).
According to Statistics South Africa (2014a), life expectancy in South
Africa for people born in 2014 is 59.1 years for males and 63.1 years for
females.
Of course, it is not just average life expectancy that differs between
societies; it is also the number of years of full health that the average
person enjoys. Health-adjusted life expectancy (HALE) is a measure
developed by the World Health Organization to determine the average
number of years that specific populations are expected to live in full
health. Coutsoukis (n.d.) reports that in 2014, the HALE for Americans
was 70.4 years, while for South Africans it was 39.8 years. ese
differences between the average life spans and the HALEs of the
populations of low-income and high-income countries are largely a
result of the differences in their standards of living.
With senescence, there is a decline in sensory and psychomotor
abilities, although with a great deal of individual variation (Sadock &
Sadock, 2011; Staehelin, 2005). e loss of vision and hearing are
common, and may have particularly serious psychological impacts since
they hinder a range of daily living and social activities, and therefore the
individual’s independence (Margrain & Bolton, 2005). ere may also be
a sharp drop in sensitivity to a range of flavours and smells, with older
people often complaining that food is less tasty and, consequently, eating
less.
Furthermore, older people experience a decline in strength, muscular
coordination and reaction times (Staehelin, 2005), resulting in higher
proportions of home and traffic accidents. With senescence, there is a
shortening of the spinal column, a consequent decrease in height, and an
increased vulnerability to osteoporosis, especially among women.
Generally, the organs, especially the heart, become less efficient. ere is
also an increasing decline in the immune system, with greater
susceptibility to infectious illnesses. For both men and women, there is
an increased decline in sexual function and responsiveness (Staehelin,
2005).

Health risks
Given the longer HALE in the US, most individuals in the period of late
adulthood are likely to enjoy reasonable health, despite the onset of
some physical decline. However, in South Africa, the experience of health
may vary widely, depending on socio-economic status, gender and
whether people live in an urban or rural location (World Health
Organization, n.d.). As suggested in the previous section, many South
Africans will not even reach late adulthood. ose who do may
experience a decline in their health owing to injuries and infections, and
an increase of non-communicable diseases like diabetes and
hypertension.
Generally, the increased susceptibility to illness during this stage of
development is largely a result of the progressive degeneration of the
body. In South Africa, however, many older people who have
experienced a lifetime of poor diet, arduous physical labour, multiple
pregnancies and inadequate reproductive health care have an even
greater susceptibility to ill health (Burney et al., 2013). In this age group,
major causes of illness, disability and death are strokes, tuberculosis
(TB), heart disease, diabetes and cancer (Bradshaw, Schneider,
Laubscher & Nojilana, 2002). About 90 per cent of older adults have
considerable annual medical expenses, with few having any medical
insurance. Many older adults rely upon the assistance of their family and
the state to meet rising medical expenses.
 SUMMARY

• Early adulthood is considered to be the prime of life, physically; however, visible aging does begin
in this period.
• Health risks in early adulthood include death or injury due to violence and car accidents; males are
at higher risk here than females. Other major health problems include HIV and tuberculosis.
• In middle adulthood, there is an increasingly perceptible decline in physical attributes and
functioning. Women reach menopause and males experience a decline in sexual responsiveness.
• Exposure to long hours of strenuous work and lack of access to adequate health facilities hasten
the aging process.
• Regular exercise and a good diet can slow the aging process and reduce health risks.
• Health risks include increased risk of cardiovascular disease, various forms of cancer, arthritis and
respiratory disease.
• Lifestyle stress can contribute to mental and physical ill health.
• The age range of late adulthood is changing as the global population lives longer.
• In late adulthood (senescence), there is an increasing decline of all the body’s systems, and in
sensory and psychomotor abilities.
• The increasing number of older people is a challenge for the economically active section of the
population to support.
• South Africans have a lower than average life expectancy and healthy life expectancy.
• The experience of health in old age may vary widely, depending on socio-economic status, gender
and where people live.
• Health risks in late adulthood include greater vulnerability to injuries and infections, and an
increase in non-communicable diseases like cancer, diabetes, strokes and hypertension. These are
made worse by a lifetime of poor diet, arduous physical labour, multiple pregnancies and
inadequate reproductive health care.

Cognitive development
Adolescence

Piaget’s stage of cognitive development in

adolescence
Within Piaget’s developmental framework, adolescence is characterised
by the development of formal operational thinking. is form of
cognition suggests an ability to think more abstractly, more
hypothetically and more logically. e abstract component of this
thinking is reflected in increased problem-solving abilities, such as the
ability to solve abstract mathematical equations. e logical component,
which Piaget called hypothetico-deductive thinking, is manifested in
the ability and desire to plan actively and problem-solve.
Formal operational thinking is also more idealistic and uses less
concrete conceptualisation (Santrock, 2007). e idealisation
component, which is linked to the dominance of abstract thinking, is
evident in the tendency of adolescents to construct ideal images of
themselves, others and the social world. Idealism emerges out of the
adolescent’s increased ability to apply reason, and manifests in an
attraction to political and humanitarian causes (Hughes, 2002).
e ability to think critically is another aspect of the development of
formal operational thought. Critical thinking allows the young person to
begin questioning aspects of his/her life that were previously assumed,
and is likely to facilitate creative thinking as well.
Piaget’s belief that formal operational thinking is achieved in
adolescence has been challenged (Hewstone, Fincham & Foster, 2005). It
seems adolescents do show cognitive development in several areas;
however, ‘only small proportions of adolescents perform sufficiently well
to meet the criteria for formal operational reasoning’ Hewstone et al.
(2005, p. 205).

Implications of cognitive changes in adolescents

Developmental psychologists have described a number of implications of
these cognitive changes in adolescents. Adolescent egocentrism, which
refers to the adolescent’s preoccupation with the self and related self-
consciousness, constitutes one of the primary results of these changes
(Elkind, 1967, 1976). eorists describe how the adolescent’s focus on
self-reflection extends to a preoccupation with thoughts about the self,
which may exacerbate their growing self-consciousness owing to
physical changes in their bodies (Santrock, 2007).
e effects of egocentrism in formal operational thinking have been
described using the concepts of personal myths, the invincibility fable
and the imaginary audience (Dacey et al., 2008). Personal myths refer to
adolescents’ fantasies about themselves as unique and special, while the
related invincibility fable involves unrealistic ideas about themselves as
invincible and untouchable. e latter is obviously particularly
dangerous in the current context of HIV/AIDS, as an adolescent may
believe, as many studies have shown, that ‘it can’t happen to me’ – which
may facilitate increased risk-taking behaviour (Dacey et al., 2008). e
imaginary audience refers to an adolescent’s self-consciousness and
self-centredness, which stems from the belief that the adolescent is
always the centre of focus in any situation.

The impact of culture and social norms

on cognitive development
As emphasised earlier, culture, gender, social norms and social
expectations also impact on cognitive development. Some theorists have
argued that culture may not only influence the rate of cognitive
development, but also the mode of thinking that develops (Rogoff in
Shaffer & Kipp, 2007). Others have shown that our ideas of mature
cognition may be sexist because they idealise what is considered positive
for mature men rather than what is expected of women. Mature cognitive
development is generally viewed as characterised by rationality,
independence and self-sufficiency, which are traditionally male
characteristics, as opposed to emotional sensitivity, sensitivity to
relationships and interdependence, which are traditionally seen as
feminine qualities.
 SUMMARY

• For Piaget, adolescence is characterised by the development of formal operational thinking; this
involves the ability to think more abstractly, more hypothetically and more logically.
• The logical component is called hypothetico-deductive thinking.
• Adolescents tend to construct ideal images of themselves, others and the social world.
• They also begin to think critically and more creatively.
• Some theorists argue that formal operational thinking is only uncommonly achieved in
adolescence.
• Adolescent cognitive changes lead to egocentrism and growing self-consciousness; adolescent
thinking also tends to use personal myths, the invincibility fable and an imaginary audience.
• Culture and social norms influence adolescent cognitive development, particularly in terms of
gender norms and expectations.

Early adulthood
As discussed above, according to Piaget (Cockcroft, 2002; Zimbardo,
Johnson & McCann, 2012), the peak of cognitive development is reached
when the individual becomes capable of formal operational thinking,
which occurs during adolescence. However, this position is contested by
several writers (see omas, 2001). During early adulthood, according to
these writers, cognitive development progresses beyond formal
operational thinking. Furthermore, thinking during early adulthood is
more complex, more global and more adaptive than the formal
operational thinking of adolescence generally allows for. ey argue that
during early adulthood, thinking is less absolute and abstract than during
adolescence, and therefore allows the individual to deal with
unpredictable challenges and the practical problems of life much more
effectively (omas, 2001).

Middle adulthood
Age-related changes in middle adulthood are highly variable and this
trend increases with age (omas, 2012). Episodic memory declines
steadily during adulthood, although some research has shown a steeper
drop in early middle adulthood (omas, 2012). However, for many
individuals, cognitive functioning does not show any dramatic decline
during middle adulthood. On the whole, during middle adulthood, the
individual’s cognitive abilities may be as good as during early adulthood.
Some research even shows that reasoning and verbal skills may actually
improve during this stage (Phillips, 2011). Furthermore, studies reveal
that for scholars and scientists, the period from 40 to 60 years is
characterised by fairly steady intellectual productivity or output, which is
generally well above the levels attained by their counterparts who are in
their twenties (Jones, Reedy & Weinberg, 2014). To a certain extent, this
trend can be explained by the idea of crystallised intelligence as it
represents an increasing fund of knowledge (Phillips, 2011; Sternberg &
Grigorenko, 2005) (see Box 4.3).

4.3 FLUID VERSUS CRYSTALLISED INTELLIGENCE

One theory suggests that there are two kinds of intelligence, namely fluid intelligence and
crystallised intelligence.
Fluid intelligence is said to influence speed of thinking, inductive reasoning and short-term memory,
and is thought to be based primarily on the speed and efficiency of neurological factors. Thus, this kind
of intelligence is thought to depend on the functioning of the nervous system. It is believed to increase
until late adolescence and then decline throughout adulthood, as the nervous system deteriorates
(Sternberg & Grigorenko, 2005).
On the other hand, crystallised intelligence refers to the individual’s acquired knowledge (e.g
vocabulary, general information about the world) and is based in the person’s experience. Unlike fluid
intelligence, crystallised intelligence is believed to increase throughout the life span, or for as long as
people are capable of absorbing information (Sternberg & Grigorenko, 2005).

Late adulthood
e cognitive abilities of older adults may decrease in late adulthood, in
particular the ability to rapidly and flexibly manipulate ideas and
symbols. Reasoning, mathematical ability, comprehension, novel
problem solving and working memory all decline over this period
(omas, 2012). However, memory for verbal knowledge, general
information and performance of skill are all retained into late adulthood
(omas, 2012), although there may be a decrease in the complexity of
thought (Sadock & Sadock, 2011).
Alzheimer’s disease is a dementia that may affect older people. It is a
degenerative brain disorder that results in a decline in intelligence,
 awareness and the ability to control bodily functions. Between 6 and 10
per cent cent of people over the age of 65 years, and between 20 to 50 per
cent of people over the age of 85 years, report a decline in cognitive
functioning solely as a result of Alzheimer’s disease. It is the most
prevalent and feared dementia that may affect older people. At present
there are various theories about what causes this disorder (Woods, 2005).

SUMMARY

• For Piaget, formal operational thinking has already developed in early adulthood. Several other
writers argue that cognitive development progresses beyond formal operational thinking.
• Thinking during early adulthood is more complex, more global and more adaptive than the formal
operational thinking of adolescence generally allows for.
• They argue that during early adulthood, thinking is less absolute and abstract than during
adolescence, and this allows the individual to deal with unpredictable challenges and problems of
life much more effectively.
• Age-related changes in middle adulthood are highly variable and this trend increases with age.
• Fluid intelligence declines steadily during adulthood; however, rapid decline in cognitive abilities is
unlikely.
• For some, this period is highly productive, as crystallised intelligence continues to expand.
• The cognitive abilities of older adults may decrease in late adulthood, especially in terms of fluid
intelligence; crystallised intelligence is retained into late adulthood.
• Some older adults may develop dementia; Alzheimer’s dementia is a degenerative brain disorder
that results in a decline in intelligence, awareness and the ability to control bodily functions.

Social and emotional development

Adolescence
As suggested earlier in the chapter, many people see adolescence as a
time of upheaval and difficulty; however, this experience is not universal.
In addition, how theorists see adolescence also differs. Matusi and
Hindin (2011, p. 500) note that social scientists often take a more positive
view of adolescence, whereas public health practitioners ‘tend to focus
more on mortality, morbidity and health-related behaviours’. Matusi and
Hindin (2011) also note that contemporary adolescents are approaching
adulthood in a world quite different from previous generations and one
that is moreover fraught with challenges. It is hoped, nevertheless, that
they are able to find some fun and pleasure in their lives!

Erikson’s psychosocial stage of development

in adolescence
Identity is the key issue highlighted in theories of adolescent personality
development. In Erikson’s theory, adolescence falls into the fifth of eight
stages, namely identity versus identity confusion (see Figure 3.10 for a
diagram of the eight stages). According to Erikson, each stage that we
pass through involves a crisis for the developing self. For the adolescent,
this crisis refers to struggling and experimenting with conflicting
identities as the individual moves from the security of childhood to
develop an autonomous adult identity. ose who do not adequately
resolve the conflict of this stage will suffer from identity confusion,
which may take a range of problematic forms, such as social isolation and
loss of identity in groups, among others. e successful resolution of the
identity crisis will mean the achievement of a settled, stable and mature
identity.
However, Erikson has been criticised for the rigid way in which he has
theorised identity, as well as the idea that identity formation is largely
established in adolescence. Newer theories of identity, including post-
modern notions of subjectivity, increasingly view identity as far more
flexible and fluid than previously thought. ese newer theories suggest
that identity may change across different contexts and throughout the
individual’s life span (see Box 4.4).
 4.4 IDENTITY VERSUS SUBJECTIVITY
Most traditional psychological theories assume a process whereby all human psyches develop into
stable, unitary and rational personalities (see Chapter 5). The idea of an inherent and unchanging
personality is evident in the wide range of psychological assessment tools that measure types of
personality (e.g. introvert versus extrovert), gender identity (e.g. an androgynous identity versus a
stereotypically male or female identity), among others. Many of these assessment tests will be carried
out at an early age and, based on the outcomes, the child will be categorised and channelled in
different ways. These instruments are believed to identify inherent (genetic, biological) traits and life-
long, enduring and unchanging characteristics of the personality. There is little space in this
construction of identity for change and multiplicity.
Following a broader philosophical shift in social theory, some psychologists are beginning to
question the rigid way in which we view identity. Social-constructionist psychologists, for example
highlight the way in which the self is constructed in culture and may shift and change in different socia
contexts. This explains why a child may appear to be introverted and shy in the school classroom, yet
noisy and confident in the home environment. Currently, psychological theories themselves are being
evaluated and shown to reflect broader ideologies that regulate and control human behaviour. For
example, it has been well illustrated how the entire field of IQ testing has served to legitimise racism and
reproduce social inequalities between different groups of people across the lines of colour, class and
gender.
In a challenge to traditional psychological theories, contemporary critical psychologists argue that
the self is not a stable, unchanging, rational, coherent and fixed identity. Instead, it is a ‘subject’ that is
constructed within different contexts and in relation to others and the social world, that shifts and
changes, that has many forms and is also partly unconscious and irrational. Based on this understanding
some contemporary psychologists prefer to use the term ‘subjectivity’ (as opposed to identity), to
highlight how we are all subjected to the social world and its power in constructing how we view
ourselves and others. The term ‘subjectivity’ also acknowledges that we are active agents who may resist
dominant meanings of who and what we are and, to some extent, reconstruct ourselves and our ways
of being in the world.
On the other hand, we all experience ourselves as a single ‘I’ and speak of ourselves as having a
central core of self. Think of how often we talk about our ‘true’, ‘real’ or ‘inner’ self. The idea of being fluid
multiple, shifting and irrational, without a central inner core, is frightening to those of us who have
grown up believing in these ideas. Social constructionists will argue that these ideas are so common
and ‘normal’ that we cannot think of a reality outside of them. What do you think?

Patterns of identity formation

Notwithstanding the recent questioning of identity, identity achievement
is still considered essential to normal adolescent development. Attempts
have been made to measure states of identity formation as well as
identities in the process of being formed. In 1966, James Marcia created
an assessment method that could describe the way identity is formed
during adolescence (in Shaffer & Kipp, 2007). He focused on two
processes identified by Erikson that were central to achieving a mature
identity: exploration and commitment. Exploration involves an active
exploration of future possibilities where choices that parents have made
are re-evaluated, and alternatives that are more personally satisfying are
considered. Commitment refers to the extent of a person’s involvement
in, and allegiance to, choices he/she makes. By considering
combinations of these two processes, Marcia identified four states of
adolescent identity formation: identity achievement, identity foreclosure,
identity moratorium and identity diffusion (see Figure 4.2).

Identity achievement
In this state, adolescents have gone through a period of decision making
and are actively pursuing their goals. When deciding on a career, an
adolescent may say: ‘I’ve considered all the possibilities and have
decided that becoming a psychologist is the career choice best suited to
me.’ As shown in Figure 4.2, the state of identity achievement shows
active exploration and commitment.

Identity foreclosure
In this state, adolescents are seen to be actively pursuing their goals.
However, their choices have not resulted from a re-examination of
parental choices; they merely assume the choices their parents have
made. Here an adolescent might say: ‘I’ve never really given career
choice much thought. My mom’s a psychologist, so that’s the career I’ll
choose.’ As shown in Figure 4.2, the state of identity foreclosure is
depicted by commitment with no exploration.

Commitment No commitment
Exploration Identity Identity
achievement moratorium
No exploration Identity Identity diffusion
foreclosure
Figure 4.2 Combining aspects of exploration and commitment, Marcia identified four stages of
adolescent formation (adapted from Cole & Cole, 2001)
Identity moratorium
In this state, adolescents remain undecided as to future goals or choices
and are in an identity crisis. An adolescent might say: ‘I can’t decide.
Being a psychologist or a physiotherapist both appeal to me. I’m not sure
which one is best for me.’ As shown in Figure 4.2, the state of identity
moratorium involves active exploration, but no commitment.

Identity diffusion
In this state, adolescents have explored alternative choices, but have not
been able to settle on any one. Asked about career choice, an adolescent
may say: ‘I don’t give career choice any thought any more. ere doesn’t
seem to be any career that particularly interests me.’ As shown in Figure
4.2, an adolescent in the state of identity diffusion displays no
continuing exploration and no commitment.

Adolescents’ relationships with their community,

family and peers
eorists highlight adolescence as a time when the developing child
strives for autonomy from the family and parents, ‘pulling away’ from
parents and investing more in the peer group. Parent–adolescent conflict
has received a lot of attention in the literature on adolescent
development. Santrock (2007) asserts that this conflict frequently
involves adolescents becoming disillusioned with their parents, and
parents attempting to hold onto their control and authority.
However, it has been argued that the conflict between parents and
adolescents has been overemphasised, and is not necessarily a universal
phenomenon. For example, a study in India found minimal parent–
adolescent conflict, and adolescents did not appear to go through the
phase, described in Western studies, of constantly challenging their
parents (Larson in Santrock, 2007). Moreover, it has been suggested that
these everyday conflicts serve an important function in the development
of the adolescent into an autonomous adult (Santrock, 2007). A study
conducted in Nigeria (Nwoke & Njoku, 2013) found that parents with a
higher level of education had more conflict with their adolescent
children than those with lower levels of education. ey suggested that
this was due to these parents taking a more principled stance and
therefore exerting more discipline. Nwoke and Njoku (2013) also found
that parent–adolescent conflict had both positive and negative effects on
adolescents, depending on how these were managed in the family.
While there has been little work in the South African context on the
relationship between adolescents and their parents, anecdotal evidence
suggests that there is frequently a lack of communication between the
two generations (Ramphele, 2002). On the other hand, it should be
remembered that many South African children have not grown up in a
stereotypical nuclear family, and have frequently been separated from
both their mother and father (Ramphele, 2002). It is expected that very
different dynamics may exist in South African families from those
described in the Western literature that dominates research on
adolescents.
Furthermore, the adolescent’s community has historically played a
significant role for many South African adolescents, both because of the
effect of bonding in the face of oppression, and because of the value
placed on community in indigenous cultures. Many young South
Africans grew up with a sense of struggle and community that may have
impacted to a significant degree on their identities and intra-familial
relations.
e role of peers in the adolescent’s life is central. Sullivan’s (1953)
work is still cited today to highlight the psychological significance of
friendships beginning in early adolescence. Sullivan’s argument that
friends play a large role in the well-being of the child, and that this role
increases in adolescence, is supported by contemporary research
(e.g. Rose & Rudolph, 2006). In addition, given the emphasis on sexuality
in the peer group, dating and romantic relationships become a primary
focus for many adolescents. It is not surprising, then, that sexuality
develops rapidly and becomes a primary emphasis for young
adolescents.
Figure 4.3 Peer group pressure can be very powerful in adolescence

Peer group pressure is seen as very powerful in adolescence, and the

adolescent has been shown to spend far more time with peers than
anyone else. Santrock (2007) argues that conforming to peers is not
necessarily negative, as peer groups may also inspire pro-social
behaviours. On the other hand, some of the areas of risk for adolescents,
such as teenage pregnancy, substance abuse and violence, are clearly
areas where peer pressure can play a negative role.

Gender and sexual identity

As discussed earlier in the chapter, the physical changes of adolescence
have multiple psychological correlates for young people and will differ
from one individual to another, depending on the responses from those
around them. Much of the literature points to the ways in which boys and
girls experience the onset of puberty differently (Hughes, 2002; Santrock,
2007). (Read Box 4.5 before progressing to the discussion that follows.)
 In the South African context, both historical and contemporary studies
point to young women having difficult experiences of puberty. Practices
such as the forced and immediate placement of girls on contraception
and warnings against boys and men are apparently common in many
South African communities (Lesch, 2000; Shefer, 1998). ese studies
show the way in which girls are seen as needing to be protected during
their development because they are ‘sexually vulnerable’ to ‘dangerous’
male sexuality. In this way, young girls are taught that they are passive
and vulnerable to men or boys, and that menstruation is a negative,
dangerous transition (Shefer, 1998, 1999).
Furthermore, young women face social pressure to maintain an image
of innocence, particularly with men, and having sexual knowledge is
interpreted as an indication of sexual activity. Consequently, it is very
difficult for women to protect themselves against sexually transmitted
infections (STIs) such as HIV/AIDS, since taking protective measures
would be interpreted as them having an active sex life.
Boys, on the other hand, appear to be socialised positively into their
‘manhood’, with puberty signifying a transition to active sexuality.
Nonetheless, manhood appears to be rigidly associated with
heterosexuality and the ability to be sexual with many women (Rhodes et
al., 2011). ose who do not conform, or who are not successful in this
area, may be punished or stigmatised.

Sexual relationships and health risks

It is now widely recognised that HIV/AIDS is one of the biggest
challenges facing South Africa. e sexual behaviour of young people,
especially adolescents, has increasingly come under the spotlight (Zuma
et al., 2010). According to Shisana et al. (2014), 25 per cent of younger
adults are infected with HIV, suggesting adults acquire it before the age of
25. Furthermore, Zuma et al. (2010) found that 39 per cent (44.6 per cent
males; 35.1 per cent females) had their sexual debut below the age of 16;
in addition; multiple partners were more common among those who had
an early sexual debut. It is not surprising that teenage pregnancy has long
been highlighted as extremely high in many South African communities.
Both STIs and unwanted pregnancies are related to the widespread
practice of unsafe sex among young people.
 Socio-economic factors aside, traditional gender roles clearly play a
significant role in the barriers to safe sexual practices. In South Africa, a
number of key studies have highlighted the way in which gender power
relations affect the sexual relationships between men and women
(e.g. Reddy & Dunne, 2007; Shefer, 1999). Studies show how women’s
lack of negotiation is strongly associated with socialised sexual practices,
which require women to be passive, submissive partners, while men
must initiate, be active and lead women in the realm of sexuality (Reddy
& Dunne, 2007; Shefer, 1999).

Risk-taking behaviours
Historically, adolescence has been viewed as a phase fraught with
problems and much of the literature and research seems to focus on the
‘problems’. One of these is the exceptionally high risk-taking behaviours
typical of adolescence (Chick & Reyna, 2012). As suggested in the
previous section, sexuality is clearly a key area of risk-taking behaviour,
especially in the context of the current HIV/AIDS pandemic, but also
with respect to STIs and unplanned pregnancies. Another two areas of
risk-taking behaviour that are particularly widespread in the South
African context are substance abuse and violence.
 4.5 MEANINGS OF PUBERTY IN SOUTH AFRICA
Source: Shefer (1999)
A study was conducted with the psychology students at the University of the Western Cape, based on
their autobiographical essays on their gender and sexual development. This provided insight into South
Africans’ experiences of puberty.
Puberty may be constructed as opening up a world of danger for young women.

Young woman: When my mother came to know about my menstruating, she sat me down and gave me a
talk about the facts of life. One thing that I clearly remember and that I know I will never forget is her telling me
that a woman is like a delicate, fragile piece of glass and that once the glass is broken, it can never be put back
together. That was her way of telling me that I was now a woman.

There is much pressure in adolescence to conform to stereotyped gender roles. However, this is not
always a positive experience for all young people.

Young woman: Frill dresses did not suit me. I could not put on socks and get my hair done. I was different. I
was always dirty. My mother tried to punish me for that behaviour. As I grew up, I found myself in a complex
situation. People no longer associated with me. They could not play with or around me. I was in darkness,
loneliness. At school it was the same situation. There was playing in groups of boys and girls. They would tease
you for playing with the wrong gender group. I would be a victim all the time. I felt inferior and neglected.

Menstruation is frequently constructed as a dangerous transition for girls, as they are viewed as
vulnerable to male sexuality and pregnancy. For many young women this has meant having to take
contraception at the onset of menstruation:

Young woman: My granny saw stains of blood on my dress. She told me that I was reaching adulthood. She
told me that I was menstruating. She told me that if I could use contraception I would not have a baby. She
asked me to go with her to the family planning clinic whereby I was comforted by the sister. The sister
discussed with me the importance of family planning and teenage pregnancies and also about sexually
transmitted diseases. Then the sister discussed with me [the] injection and advantages of it. But the feeling
was having didn’t change, the feeling of embarrassment and anger.

During puberty, there is a strong pressure on young men to take on a ‘macho’ masculinity, which means
learning to repress any display of emotion.

Young man: At primary school I was a very quiet boy. People said that I was a sissy. When I fail[ed] a subject I
would cry like a baby because in our family you must be ‘perfect’ like my brother. So I knew that my mother
would beat me when I arrived home. At that time I knew a little of gender. Always that men are superior to
females. Only females can cry. Men must be brave, and men must wear the pants in the house. From that day I
tried to change. Sometimes I get a bad mark or get beaten by the teacher, I will try not to cry and keep it in.

Substance abuse
e abuse of alcohol and drugs has been recognised as a major problem
among South African teenagers (Dada et al., 2014; Flisher, Ziervogel,
Chalton & Robertson, 1993). Substance abuse appears to be on the
increase in South Africa, as it is in other countries such as the US (Dada
in Dacey et al., 2014). is is particularly evident in that adolescents
make up about a quarter of all those currently abusing substances in the
country. Based on data reported in December 2013 by the South African
Community Epidemiology Network on Drug Use (SACENDU) project, it
was found that the average age of patients in treatment was 27 to 34 years,
while the proportion of patients below 20 years ranged, depending on
province, from 16 per cent in the Eastern Cape to 34 per cent in KwaZulu-
Natal (Dada et al., 2014).

4.6 OUR VOICES COUNT

Source: Steyn, Badenhorst and Kamper (2010)
Much of this chapter is focused on the challenges facing adolescents in South Africa (and worldwide)
Steyn et al. (2010) decided to find out from adolescents themselves how they viewed their future in
South Africa. They collected data from 1 326 Grade 11 learners (ranging in age from 15 to 19 years) from
diverse socio-economic contexts and found that ‘a general spirit of optimism exists, paired with a strong
desire to escape the trappings of poverty and to fulfil their career and social expectations’ (Steyn et al.,
2010, p. 169).

Adolescent substance abuse obviously holds multiple risks for young

people. It has been well illustrated that such abuse is strongly associated
with academic problems, both in achievement and attendance.
Furthermore, substance abuse is related to increased mental health
problems (including psychiatric disorders) and for some adolescents
culminates in suicidal thoughts and/or actions. Substance abuse is also
closely associated with sexual risk taking, further increasing adolescents’
vulnerability to HIV/AIDS and other STIs, as well as unwanted
pregnancies (Schantz, 2012).

Violence
South Africans have long been exposed to a violent society, and young
people in particular have paid the price for such violence (e.g. Ward,
Dawes & Matzopoulos, 2013). We are still recovering from the violence of
apartheid which the majority of South Africans, who are today adults,
grew up with as part of their day-to-day lives. Collins (2013) argues that
in contemporary South Africa, violence is still enmeshed in the fabric of
our society and that much of this violence is accepted. is is evident in
attitudes towards corporal punishment of children, violence in intimate
relationships and violence in entertainment, including sport and popular
TV programmes like wrestling. Two underlying factors which contribute
to the high levels of violence in South African society are ongoing social
fragmentation and socio-economic inequities (Ward et al., 2013), which
continue to exist and, indeed, deepen.
Some of the more insidious consequences of these high levels of
violence include the constraints imposed on the personal development
of individuals, the often irreparable damage to relationships, the
disruption of family and communal life, and the inappropriate allocation
of scarce community resources (Ward et al., 2013).

Gang violence
One of the areas where young people are drawn into violence, both
internationally (Dacey et al., 2008) and in South Africa, is through gang
cultures. For several decades there has been a growing focus on
gangsterism in South Africa (e.g. Pinnock, 1982, 1984), and more
recently, on the way in which gender power inequalities manifest in gang
cultures (Cooper & Ward, 2013; Salo, 2001). Lamb and Snodgrass (2013)
studied young South Africans and described how violence has become
normalised in some ‘at risk’ (poor and marginalised) communities. e
socio-psychological literature argues that gangs provide adolescents with
a structured life that they might not have at home, and fulfil a wide range
of functions, such as protection, status and a sense of belonging (Dacey
et al., 2008).

Interpersonal violence
Given the high rate of violence against women in all societies, and the
way in which men and women are socialised to accept traditional gender
roles in their relationships, adolescents of both genders are also at risk of
being victims or perpetrators of violence (Lamb & Snodgrass, 2013).
Gender violence includes coercive sexuality, rape, and physical and
 emotional abuse. Dartnall and Jewkes (2013) reported that estimates of
sexual abuse of women by their boyfriend or husband ranged between 6
and 59 per cent. In addition, two South African studies found,
respectively, that 28 and 37 per cent of men have committed rape
(Dartnall & Jewkes, 2013).
Some authors have highlighted the way in which violence is used to
maintain control over women, and how this control and power are
central to what it means to be a ‘real man’ in many communities (Wood
& Jewkes, 2001). e significance of being a successful ‘man’ in the
transition to adulthood may mean that male adolescents are vulnerable
to the use of violence if this is interwoven with hegemonic male identity.

SUMMARY

• Adolescence may or may not be a time of upheaval and difficulty; adolescents do, however, face
many challenges in the world today.
• For Erikson, the crisis of adolescence is between identity and identity confusion, i.e. an adolescent
must form his/her own independent identity or risk confusion.
• Newer theories suggest that identity may change across different contexts and throughout an
individual’s life span.
• Marcia focused on two processes identified by Erikson that are central to achieving a mature
identity: exploration and commitment. By combining these processes, Marcia proposed that there
are four states of adolescent identity formation: identity achievement, identity foreclosure, identity
moratorium and identity diffusion.
• As adolescents attempt to establish autonomy, there may be conflict between them and their
caregivers; adolescents becoming disillusioned with parents and parents wanting to retain control
and authority. However, there are wide variations between families and cultures in terms of this
kind of conflict.
• In South Africa, many adolescents have grown up with a sense of struggle and community that
may have impacted on their identity and intra-familial relations.
• The role of peers in the adolescent’s life is central and peer-group pressure may be very powerful,
with both positive and negative effects.
• In terms of gender and sexual identity, boys and girls typically experience the onset of puberty
differently; girls are often seen as needing to be protected, while boys are often socialised
positively into their ‘manhood’ and sexual activity.
• Sexual behaviour carries a number of risks (HIV and other STIs, pregnancy); different gender roles
seem to apply (passive female, active male).
• Adolescent risk taking may occur in a number of contexts: substance abuse, violence (at school, in
gangs, interpersonal/sexual). Many of these contexts intersect with alcohol abuse, for example,
which leads to increased risk of violence.
Early adulthood
Early adulthood is generally characterised by the assumption of many
critical social roles and responsibilities, including marriage and
partnerships, parenting and earning an income to sustain one’s self and
dependants. ese roles and responsibilities both influence and are
influenced by various aspects of psychosocial development during early
adult development. However, Zimbardo et al. (2012) note that there now
seems to be a transitional stage between adolescence and adulthood
where young people, having passed through adolescence, delay taking up
traditional adult responsibilities like marriage and parenthood. Studying
also delays the establishment of full self-sufficiency (Zimbardo et al.,
2012).

Marriage and partnerships

Erik Erikson (in Zimbardo et al., 2012) described the central psychosocial
challenge of early adulthood as the resolution of a tension between the
drive towards intimacy, on the one hand, and isolation, on the other. is
tension is referred to as intimacy versus isolation. As part of their quest
for intimacy, many young adults may marry in their mid-20s, although
this varies considerably across settings. For example, in many Western
societies, there is a growing tendency for young adults to opt for
cohabitation rather than marriage, and for marriages to take place later
in life (Zimbardo et al., 2012). In other societies (in parts of India, for
instance) marriages involving teenagers are not uncommon.
For many young people, marriage enhances their relationships with
their partners and also enhances their sense of identity and fulfilment.
Indeed, studies have shown that married people appear to be more
content and satisfied with life than single people (Grover & Helliwell,
2014). Grover and Helliwell (2014) found that marriage eased the mid-life
dip in life satisfaction everywhere except in sub-Saharan Africa.
Nonetheless, for many young adults marriage could also result in
relationship conflicts, disillusionment with partners, constraining
attachments (Sadock & Sadock, 2011) and even violence.
Figure 4.4 Many people get married in early adulthood

A recent study in Tanzania (Nyamhanga & Frumence, 2014) found that

just under half of their respondents (44.9 per cent) had experienced
physical violence from their intimate partners, while slightly more (47.5
per cent) had been forced to have sex (without a condom). Additionally,
female victims of intimate partner violence frequently face an indifferent
judicial and police system that routinely denies them assistance and
redress (Suffla, Seedat & Nascimento, 2001). Clearly, family violence will
influence a young adult’s development and expression of intimacy, as
well as his/her general psychosocial development.
Currently, violence is not the only potential threat to the expression
and development of intimacy during this stage. Given the
interconnectedness of intimacy and adult sexuality (Erikson in Zimbardo
et al., 2012), the high levels of HIV/AIDS infection in this country,
particularly among young people, may also have a profound impact on
the expression and development of intimate partnerships during early
adulthood (see Van Dyk & Van Dyk, 2003). More recently, Cooper, Moore
and Mantell (2013) studied Xhosa-speaking women living with HIV. ey
found that there were strong and complex links between gender
inequality, marriage and HIV, and that some of these women struggled to
achieve intimacy in their relationships. ey also found that marriage
was a low priority for these women who were more concerned with
educating their children.

Parenthood
e formalisation of partnerships in institutionalised arrangements, such
as marriage or cohabitation, is often followed by having children. e
rearing of these children is still perceived to be women’s work in many
societies, although this perception seems to be changing. For both
women and men, earning an income is widely recognised as a priority
activity. erefore, the opposing demands of working and child-rearing
may generate considerable frustration and anxiety for many women.
While some women may successfully negotiate and integrate these tasks
(which may result in a sense of independence and achievement for
many) (Malone, 2011), the ideal is a situation in which women and men
assume equal responsibility for the care of their children.
e task of parenting young children is normally associated with
young adulthood. However, the decimation of this age group as a result of
the HIV/AIDS pandemic is severely distorting this association. Already
South African society is confronted by large numbers of young children
who are currently parented by older siblings or grandparents because of
the death of their parents owing to AIDS-related diseases (Joubert &
Bradshaw, 2004; Mba, 2005). According to AVERT (2014), globally around
17.8 million children have been orphaned by AIDS. Sub-Saharan Africa is
home to 15.1 million of these children, with South Africa having the
largest number of children (2.5 million) who have lost one or both
parents to HIV/AIDS; this represents 63 per cent of all orphans in South
Africa.

Work
Work plays a crucial role in the development of the young adult. Not only
does it provide a source of income, and thereby allow for a measure of
self-sufficiency, but it can also provide an outlet for creative
accomplishment, and serve as the source of stimulating relationships
with colleagues and increased self-esteem (see Fromm, 1975). A range of
factors, including socio-economic status and gender, affect the choice
and timing of an individual’s work or occupation (Mhlongo & O’Neill,
2013).
Currently, in South Africa, the availability of employment plays a
critical role in an individual’s choice or lack of choice in relation to work
or occupation. It is worth noting that during the last decade of the 20th
century, South Africa had an average unemployment rate of 30.3 per
cent. In January 2014, the unemployment rate had dropped somewhat
but still remained high at 25.2 per cent (Statistics South Africa, 2014b).
Research has shown that the inability to find employment, or the loss
of employment and income, is extremely stressful and places individuals
at a high risk for alcohol dependence, violence, suicide and psychological
illness (Sadock & Sadock, 2011). In addition, the intense competition and
instability in the job market, largely as a result of globalisation, also
leaves many young adult South Africans vulnerable to exploitation,
which obviously has an impact on their well-being.
Middle adulthood
Adults in this age range typically have to juggle a range of interests,
including family, work, hobbies and self-care (Zimbardo et al., 2012).
According to Erikson (in Zimbardo et al., 2012), the primary psychosocial
challenge during middle adulthood is to strike a balance between
generativity and self-absorption or stagnation. e tension in this
challenge is referred to as generativity versus stagnation. Simply stated,
generativity refers to the urge and commitment to take care of the next
generation, and may be expressed in various ways, including nurturing,
teaching, guiding and mentoring children and young adults (Zimbardo et
al., 2012).
 4.7 ATTACHMENT IN ADULTHOOD AS ASSESSED BY THE
ADULT ATTACHMENT INTERVIEW
Source: Mark Tomlinson
On the premise that early attachment experiences exert an influence on the formation of later
relationships, particularly with one’s own infants and children, the Adult Attachment Interview (AAI)
was designed to access adults’ representations of their own attachment relationships during infancy
and childhood (George, Kaplan & Main, 1985). It is a semi-structured autobiographical narrative tool in
which adults are asked a series of questions about their childhood, such as losses experienced, what
growing up was like and how their relationships with their parents/caregivers changed over time
Adults’ presentation, discussion and evaluation of their own attachment-related experiences are
thought to be apparent in the coherence with which they relate their experiences to the interviewer
The interviewer then classifies the adults as autonomous, dismissing, preoccupied or
unresolved/disorganised.
Adults classified as autonomous are able to relate their early positive and negative attachment
experiences in a clear, relevant and concise manner (Cassibba, Granqvist, Costantini & Gatto, 2008). This
type of attachment representation promotes secure attachment in the children of these adults (Werner-
Wilson & Davenport, 2003).
Adults classified as dismissing discuss their parents in unsupported and contradictory ways. They
are unaware of the contradictions in their accounts (Cassibba et al., 2008). This type of attachment
representation encourages avoidant attachment in the children of these adults (Werner-Wilson &
Davenport, 2003).
Adults classified as preoccupied demonstrate a confused, angry or passive obsession with their
attachment figures. When relating their early attachment experiences they tend to become confused or
once they start, they cannot stop speaking (Van IJzendoorn, 1995). Children of these adults tend to
develop resistant or ambivalent attachment behaviours (Werner-Wilson & Davenport, 2003).
Unresolved/disorganised adults are classified as such with respect to previous traumatic
experiences only. Accounts of their attachment history show a lack of resolution of the trauma. Adults
are not classified as unresolved/disorganised only, but are given one of the other three classifications as
alternatives. For example, an adult may be classified as preoccupied and, if they have unresolved issues
related to early trauma, also as unresolved/disorganised (Cassibba et al., 2008). Children whose parents
incorporate unresolved/disorganised characteristics tend to be characterised as
disorganised/disoriented (Werner-Wilson & Davenport, 2003).
A crucial distinction between the AAI and the Strange Situation is that the adults assessed using the
AAI are not considered securely or insecurely attached, as is the case with infants in the Strange
Situation. Rather, they are seen as being in a secure or insecure state of mind as a result of their own
attachment histories (Hesse, 1999), which in turn tends to promote certain types of attachment in their
children.

Generativity is also expressed in attempts to contribute to and improve

society. According to Erikson’s theory, people in middle adulthood who
do not express a sense of generativity enter a state of stagnation
characterised by self-centred self-absorption typical of earlier stages of
development.
Clearly, the individual’s capacity to express their generative urges
could be compromised by factors such as poverty. For example, the
individual who is constantly battling to keep body and soul together will
not have sufficient personal resources and energy to invest in caring for
and mentoring others.

The life cycle squeeze

Many people in middle adulthood find themselves in a situation where
they do not only have to take responsibility for maturing children, but
also for their aging parents whose income cannot sustain them. is is
known as the life cycle squeeze or the ‘sandwich generation’ (DeRigne &
Ferrante, 2012). It has come about because of increased life expectancy,
delayed child bearing and smaller families (DeRigne & Ferrante, 2012). It
is generally assumed that, in this situation, the poorer the people are, the
greater the financial stress they are likely to experience. However, given
the disparities in life expectancy between the US and South Africa, one
may wonder whether the concept is widely applicable in this country.
Paradoxically, many poor communities in South Africa are currently
faced by a situation where entire families are dependent on aged family
members’ social grants (Khumalo, 2013).

Late adulthood
e older adult has to face and deal with declining independence,
retirement and often a reduction in financial resources, transitions in
relationships, and the task of constructing a meaningful understanding of
their life achievements. In addition to these normative developmental
challenges, many older adults in South Africa also have to deal with a
number of very difficult social problems, such as high levels of crime,
poverty and HIV/AIDS infection. Of all these problems, at the moment
the HIV/AIDS pandemic, and its staggering and pervasive impact on the
health and stability of households and familial relationships, appears to
be the most salient and daunting. Already it is clear that the
consequences of the HIV/AIDS pandemic are impacting profoundly on
the social and familial demands of the surviving older adults, particularly
in relation to caregiving responsibilities (see Box 4.8).

Retirement and economic adjustments

During this period, the older adult is likely to have retired from a full-time
occupation, which could result in a range of economic adjustments. e
physical decline brought on by aging reduces an individual’s ability to
contribute to inter-generational households, and to remain economically
self-sufficient. Older people, particularly those living in rural areas, are
often the poorest and most vulnerable group in developing countries
(Bradshaw, Johnson, Schneider, Bourne & Dorrington, 2002).
In South Africa, nearly three million people (about 5.5 per cent)
receive a government pension. But, as noted above, while a government
pension is meant to support one elderly person, it is often the case that
many other family members rely on that pension as well (Khumalo,
2013). Moreover, current estimates suggest that 40 per cent of households
are headed by an older person in the absence of parents in early or
middle adulthood, with this proportion rapidly increasing because of the
HIV/AIDS pandemic.
Figure 4.5 A granny-headed household

e old-age financial grant is arguably a lifeline to a substantial number

of households in South Africa. Unfortunately, this often leads to elderly
people being abused for access to this money. is abuse may take the
form of neglect, or physical or psychological abuse, especially of more
dependent older adults. Neglect may involve the withholding of food,
shelter, clothing or medical care. Abuse may involve psychological
torment such as a scolding, insults or threats of physical violence as well
as actual physical violence in the form of beatings, punching or burning
(Joubert & Bradshaw, 2004). While anecdotal information points to
widespread elder abuse in South Africa, very limited research-based data
and empirical data are available regarding the extent of this abuse.
 4.8 GRANNIES AND ORPHANS
Source: Wilhelm-Solomon (2003)
Magdalene Segomela lives in a tiny, one-roomed house in Alexandra, with her two grandchildren, Mpho
and Paul. Though old and sickly, Magdalene Segomela conveys an image of determined strength and a
sense that she has come to accept her life. She laughs a lot, even though her laughter tends to be
tinged with sadness.
Granny Segomela and her grandchildren moved into her little house in Alexandra after they were
forced out of their previous home by the malicious taunting of their neighbours. The taunting was a
result of the fact that her daughter was HIV-positive, and had died of AIDS-related illnesses in 1999. Her
granddaughter, Mpho, 10 years old, was born with the virus, and Granny Segomela does not possess the
wherewithal to obtain all the necessary medication for Mpho. The reality is that Segomela has to
support herself and her grandchildren on her small monthly pension.
Granny Segomela is also one of many grandmothers who are part of a support group, started and
organised by nursing sister Rose Letwaba of the Alex-Tara Children’s Clinic. Letwaba had seen that there
was a need to provide some form of support for grandmothers who had to look after their
grandchildren orphaned by AIDS. ‘Every time when the grannies were bringing the children, I could see
the sadness. So I thought maybe by bringing the grannies together and sharing their experience of loss
they could really comfort each other,’ Letwaba explained.

Family and social roles

As indicated earlier, for many people old age remains a period of
continued emotional and social growth (Sadock & Sadock, 2011). For
others, late adulthood often becomes a more inward-looking, cautious
and conforming time. Family roles seem more androgynous, with males
appearing more nurturing and females becoming more assertive. is
may be especially apparent in grandparenting roles (Sadock & Sadock,
2011).
As already observed, in South Africa, the psychological challenges for
many older people have changed profoundly with the HIV/AIDS
pandemic, with marked and more sustained reversal of care roles (see
the discussion on the life cycle squeeze). e HIV/AIDS pandemic has
put considerable pressure on the older and especially the poorer South
Africans, who will be more likely to have to care for their adult children
who suffer from AIDS as well as their orphaned grandchildren (Kuo &
Operario, 2011; see also Box 4.8).
 ere is also increasing pressure on aged grandparents to deal with
the psychological, social and income losses within their children’s
families. ese individuals are likely to be emotionally exhausted with
the care for and loss of their children, as well as the demands of the
altered family structure. In particular, the carers’ own physical and
mental needs may be neglected (Kuo & Operario, 2011). Instead of being
cared for themselves by their adult children or the social-security system,
they will be back in the role of caregiver (Kuo & Operario, 2011).
erefore there is a need for alternative models of community care to be
further developed, together with forms of state assistance in caring for
adult AIDS sufferers and, eventually, their orphaned children and
indigent parents (Kuo & Operario, 2011).

Death and dying

Death and dying are realities that humans face throughout their lives.
However, at no time in their lives are people as conscious of their own
mortality as during late adulthood, when they start losing a growing
number of their peers to death, and when they increasingly become
aware of the frailty of their own bodies, largely as a result of a growing
susceptibility to illness.
According to Erikson (Zimbardo et al., 2012), late adulthood is
typically characterised by a re-examination and integration of past events
and experiences. It is argued that older people need to confront a tension
around integrating their life experiences and stories, versus a despair
over the inability to relive their lives differently. is tension is referred to
as integrity versus despair. People who succeed in resolving this tension
are able to meaningfully integrate their past experiences, often into a
wisdom that Erikson & Erikson (1982, p. 67) described as an ‘informed
and detached concern with life itself in the face of death itself’. When
death is imminent, people generally wish to die with dignity, love,
affection and physical contact, and without pain, and may wish to be
comforted by their religious faith, their achievements, and the love of
their family and friends.
 SUMMARY

• Early adulthood sees the assumption of many critical social roles and responsibilities, including
marriage or partnerships, parenting and earning an income.
• There now seems to be a transitional stage between adolescence and adulthood.
• For Erikson, the crisis of early adulthood is between intimacy and isolation. Intimacy may be
achieved through marriage or cohabitation. If people fail to establish intimate relationships, they
risk being alone and lonely.
• Marriage may bring happiness and satisfaction or there may be violence and abuse.
• Intimate relationships are threatened by the risk of HIV infection.
• Parenthood is a feature of this period. Although it is often not the case, ideally women and men
should share responsibility for child care.
• The HIV pandemic has decimated this age group, leaving many children orphaned.
• Work plays a crucial role in the development of the young adult, allowing for self-sufficiency and
satisfaction; unemployment places people at physical and psychological risk.
• Adults in middle adulthood have to juggle a range of interests, including family, work, hobbies and
self-care.
• For Erikson, the crisis of middle adulthood is between generativity and stagnation; if people fail to
contribute to their community, they risk falling into self-centred self-absorption.
• People in this stage may find themselves squeezed between the needs of their children and their
parents.
• The older adult has to deal with declining independence, retirement and often a reduction in
financial resources; there are also transitions in relationships, and the task of constructing a
meaningful understanding of their life achievements.
• In South Africa, many older adults in South Africa also have to deal with a number of difficult social
problems; due to the HIV/AIDS pandemic, many older people find themselves responsible for child
care.
• For many, retirement brings about a range of economic adjustments. Many South African elderly
receive a social pension; however, elderly people may be abused or neglected for access to this
money.
• In late adulthood, people often become more inward looking, cautious and conforming. Family
roles may be reversed and the elderly may struggle to cope with the various losses their life now
entails.
• People in late adulthood become more conscious of their own mortality; they are more vulnerable
to certain illnesses.
• For Erikson, people in late adulthood need to attempt to integrate their life experiences. If they fail
to do this, they risk despair over the inability to relive their lives differently.
• When death comes, people wish to die with dignity, love, affection, and physical and spiritual
comfort.
4.9 ADJUSTING TO LATE ADULTHOOD
How do people typically relate to life and social functioning during late adulthood? Do they become
more withdrawn from life now that they are in retirement and no longer capable of the same levels of
activity as earlier in life, or do they become more spontaneous because they now no longer have the
responsibilities of caring for dependent children and working? In recent decades, the concept of
‘successful aging’ has emerged (Franklin & Tate, 2008), although there is no clear definition of this
concept. It does, however, seem to refer to retaining good physical and mental health for as long as
possible in late adulthood.
There are a number of theories that reflect the development in ideas about aging. The three most
significant are as follows (Franklin & Tate, 2008):
Disengagement theory. According to disengagement theory as proposed by Cumming and Henry in
1961 (Franklin & Tate, 2008), during late adulthood the aging individual progressively disengages from
society, and society in turn increasingly disengages from the individual. This disengagement is reflected
in the fact that people normally retire from work at this age and they become more passive, and their
social circles become more restricted. Disengagement theory is now viewed as ageist; it has, however,
sparked debate and controversy in the literature of the aged (Franklin & Tate, 2008).
Activity theory. Developed by Havighurst in 1963 in direct opposition to disengagement theory,
activity theory posits that the elderly want, and in fact need to remain active and that they consequently
substitute new roles and activities for those they are forced to relinquish, owing to retirement and
withdrawal from certain social functions (Franklin & Tate, 2008). One of the primary criticisms of this
theory is that heightened levels of social activity are not necessarily synonymous with psychosocial well-
being, as implied by this theory.
Continuity theory. Continuity theory is an extension of activity theory, proposed by Atchley in 1989
(Franklin & Tate, 2008). This theory proposes that older adults carry on much as they did before, in terms
of their behaviours and preferences. Their life satisfaction is closely related to how consistent they feel
their current lifestyle is with their past as well as their ability to adjust to the challenges of aging (Franklin
& Tate, 2008).

Clearly, these theories are most applicable to a first-world context where a relatively large proportion of
the population is in the over-60 category. Thus, proponents of these opposing theories may have
fundamentally different views on the new roles that many South African people in late adulthood have
to assume as a result of the HIV/AIDS pandemic.
Conclusion
Traditional research has depicted adolescence as a volatile, ‘stormy’ and ultimately problematic
stage of life, one in which the developing person is vulnerable to a wide range of risks. In many
ways, the adolescent is viewed in traditional literature as controlled by his/her developing body
and the physiological changes that take place during this time. is is a very rigid picture of
adolescence, which presents adolescence as biologically determined, ignores history, and may
also ignore cultural diversity.
While there are clearly risks related to growing up as a teenager in contemporary South Africa,
we also need to look critically at the assumptions we make about adolescence and adolescents.
is stage of life, like all stages, is one accompanied by numerous changes. ere are multiple
experiences of being an adolescent that differ across communities, families and individuals. In
addition, while we should be conscious of an adolescent’s vulnerabilities, we should also
acknowledge young people’s resilience and strength in the face of adversities.
e sections on adult development have outlined some of the key attributes of physical,
cognitive and psychosocial changes that are reported to mark adult development. Additionally,
the chapter has examined some of the key social threats that constrain optimal adult
development in contemporary South Africa, including the high levels of violence, unemployment,
poverty and HIV/AIDS infection characterising the South African social landscape. rough its
examination of these threats to development, the chapter has attempted to show how optimal
human development is systematically compromised, particularly for lower income groups,
women and the aged in South Africa – notwithstanding the resilience frequently shown by these
groups.
We hope that the content of this chapter will not only provide a greater understanding of the
development of adolescents and maturing adults in general, but that it will also serve as a
foundation for your study of adolescent and adult development in the South African context.

KEY CONCEPTS

activity theory: a theory that posits that the elderly want and need to
remain active, and that they consequently substitute new roles and
activities for those they are forced to relinquish due to retirement and
withdrawal from certain social functions
adolescence: the stage of human development that follows middle
childhood and serves as a transition from childhood to adulthood
Adult Attachment Interview (AAI): a semi-structured
autobiographical narrative tool designed to access adults’
representations of their own attachment relationships during infancy
and childhood
Alzheimer’s disease: a degenerative brain disorder that results in a
decline in intelligence, awareness and the ability to control bodily
functions
androgynous: a personality or social orientation that combines
positive characteristics that are typically viewed as ‘feminine’ with
positive characteristics that are generally viewed as ‘masculine’
anorexia nervosa: an eating disorder, where people refuse to eat
because they imagine themselves to be fat
autonomous: an adult’s state of mind that is assessed by the Adult
Attachment Interview and is found to be secure with respect to
attachment, where the adult can recall a range of positive and
negative feelings about his/her early attachment experiences
bulimia nervosa: an eating disorder where people eat but then
privately vomit up what they have eaten, because they imagine
themselves to be fat
cohabitation: a term used to refer to two unmarried people living
together as intimate partners
commitment: according to Erikson, a process during adolescent
identity formation that refers to the extent of a person’s involvement
in, and allegiance to, choices he/she makes
crystallised intelligence: an individual’s learned ability to process
information (including analysis and problem solving), as well as this
individual’s vocabulary and general knowledge
dementia: the deterioration of the intellect and personality
sometimes associated with the aging processes of late adulthood
disengagement theory: a theory that posits that during late
adulthood the aging individual progressively disengages from society
while society, in turn, increasingly disengages from the individual
dismissing: an adult’s state of mind that is assessed by the Adult
Attachment Interview and is found to be insecure with respect to
attachment, where the adult may minimise attachment behaviours
and feelings, and present a picture of being immune to hurt or even
being in need of emotional intimacy
early adulthood: the first stage of adulthood lasting from
approximately 20 to 39 years of age
egocentrism: a preoccupation with the self, and a person’s related
self-consciousness
exploration: a process proposed by Erikson whereby adolescents
actively explore future possibilities where choices that parents have
made are re-evaluated, and alternatives that are more personally
satisfying are considered
fluid intelligence: an intelligence based on neurological speed and
efficiency, which is said to increase until late adolescence and then to
decline throughout adulthood
formal operational thinking: within a Piagetian framework, the
cognitive thinking that develops during adolescence
generativity: an Eriksonian term that refers to the individual’s urge
and commitment to take care of the next generation
generativity versus stagnation: according to Erikson, the
psychosocial challenge for adults in the phase of middle adulthood,
when these adults choose to invest energy in the next generation or to
indulge themselves instead
hypothetico-deductive thinking: the ability and desire to actively
plan and problem-solve, which is characteristic of formal operational
thinking
identity: the positive resolution of the psychosocial crisis where
adolescents struggle and experiment with conflicting identities as
they move from the security of childhood to develop autonomous
adult identities
identity achievement: a state of adolescent identity formation
identified by Marcia, when adolescents have gone through a period of
decision making and are actively pursuing their goals
identity confusion: the unsuccessful resolution of the psychosocial
crisis when adolescents struggle to develop an autonomous adult
identity
identity diffusion: a state of adolescent identity formation identified
by Marcia, when adolescents have explored alternative choices, but
have not been able to settle on any one
identity foreclosure: a state of adolescent identity formation
identified by Marcia, when adolescents are seen to be actively
pursuing their goals, although their choices are based on what their
parents and others have chosen for them
identity moratorium: a state of adolescent identity formation
identified by Marcia, when adolescents remain undecided as to future
goals or choices, and are therefore in an identity crisis
imaginary audience: a term used to refer to the common adolescent
assumption that he/she is always the centre of attention
integrity versus despair: according to Erikson, the psychosocial
challenge for adults in the phase of late adulthood, when integrity is
achieved through a meaningful understanding of one’s life
achievements and despair involves looking back on one’s life with
regret and a sense of missed opportunities
intimacy versus isolation: according to Erikson, the psychosocial
challenge for adults in the phase of early adulthood, when these
adults either form intimate relationships or are left feeling socially
isolated
invincibility fable: adolescents’ unrealistic ideas about themselves as
invincible and untouchable
late adulthood: the final stage of adulthood lasting from
approximately 60 years of age until the end of life
menarche: the beginning of the menstrual cycle in young women
menopause: a time during middle adulthood when a woman stops
menstruating and is no longer able to bear children
middle adulthood: the second stage of adulthood lasting
approximately between 40 to 59 years of age
personal myths: adolescents’ fantasies about themselves as unique
and special
preoccupied: an adult’s state of mind that is assessed by the Adult
Attachment Interview and is found to be insecure with respect to
attachment, where the adult may struggle with managing anxiety,
exaggerate emotion, maintain negative beliefs about the self and
respond to loss with unusually intense anger and depression
primary sexual characteristics: bodily aspects following puberty
which are directly related to reproduction
 puberty: a period of rapid physical maturation involving hormonal
and bodily changes that occur primarily during early adolescence
secondary sexual characteristics: bodily aspects following puberty
which distinguish the sexes but which are not directly related to
reproduction
senescence: the increasing decline of all the body’s systems
(including the cardiovascular, respiratory, endocrine and immune
systems) during late adulthood
spermarche: the beginning of sperm production in young men
storm and stress: the way in which adolescence was described by the
‘father’ of adolescent psychology, G. Stanley Hall
unresolved/disorganised: an adult’s state of mind that is assessed by
the Adult Attachment Interview and is found to show a lack of
resolution regarding past traumatic experiences relating to
attachment

EXERCISES
Multiple choice questions

1. _________, known as the ‘father of adolescent psychology’, used the

term ‘__________’ to describe adolescence.
a) Sigmund Freud; ‘the phallic stage’
b) G. Stanley Hall; ‘storm and stress’
c) Erik Erikson; ‘identity versus identity confusion’
d) H.S. Sullivan; ‘the importance of friends’.

2. Puberty begins with:

a) hormonal increases which manifest in a range of internal and
external bodily changes
b) the knowledge that one is now a man or a woman
c) social rewards for being an adult
d) all of the above.
3. Recent South African research indicates that currently __________ are
most at risk of contracting HIV/AIDS:
a) women in the stage of young adulthood
b) men in the stage of young adulthood
c) women in the stage of middle adulthood
d) men in the stage of middle adulthood.

4. e physical experience of middle and late adulthood:

a) generally occurs earlier among lower income, unskilled workers
than among higher income professionals
b) generally occurs earlier among higher income professionals than
among lower income, unskilled workers
c) is determined exclusively by genetic factors
d) cannot be slowed by diet and exercise.

5. Senescence refers to:

a) the synthesis between feminine and masculine traits
b) the improved efficiency of neurological processes during middle
adulthood
c) the individual’s improved intellectual functioning during middle
adulthood
d) the decline in the body’s systems during late adulthood.

6. According to Piaget, the adolescent is capable of _______, which refers

to an ability to __________.
a) concrete operational thinking; carry out practical and material-
based thinking
b) systemic thinking; see things in context
c) formal operational thinking; think more abstractly, more
idealistically and more logically
d) imaginary thinking; visualise the future.

7. Fluid intelligence is said to:

a) remain stable throughout adulthood
b) increase throughout adulthood
 c) decline throughout adulthood
d) refer to the individual’s learned ability to analyse and solve
problems.

8. Personal myths refer to adolescents’:

a) unrealistic notions of invincibility and untouchability
b) fantasies about themselves as unique and special
c) obsession with their body image
d) belief that they are always the focus in any situation.

9. According to Erik Erikson, __________ is the key issue for the

adolescent who is in the __________ stage of development, in which
the crisis is one of __________.
a) peer pressure; 7th; individuality versus sociability
b) differentiation; 6th; dependence versus independence
c) identity; 5th; identity versus identity confusion
d) parental disengagement; 8th; self versus family.

10. According to Erik Erikson’s theory, the primary psychosocial

challenge during middle adulthood is:
a) to strike a balance between generativity and self-absorption or
stagnation
b) to strike a balance between intimacy and isolation
c) to confront the tension between identity achievement and identity
diffusion
d) to confront the tension between integrating life experiences and
the despair resulting from possible missed opportunities in life.

Short-answer questions
1. Reflect on your own adolescence and identify the areas of challenge
and change for you.
2. How is adolescence understood and experienced in your
community? How is it similar or different to the way in which
adolescence has been understood in the traditional, predominantly
Western psychological literature?
 How do you think HIV/AIDS impacts on the contemporary
3.
experience of adolescence?
4. e development of gender and sexual identity are a key part of
adolescence. Discuss this and draw on your own experiences of
becoming a man or woman in your community.
5. Describe the key features of physical development and decline over
early, middle and late adulthood.
6. Discuss the major health risks associated with poor health and
mortality in the early, middle- and late-adulthood periods of
development.
7. Outline the development of cognitive and intellectual attributes and
skills across adulthood.
8. e current HIV/AIDS pandemic will profoundly affect the social
roles and responsibilities of adults. Critically discuss this assertion.

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 PART 3

Personality
 Introduction
Ashraf Kagee

The study of personality forms an integral part of the work of psychologists.

The variety of approaches to this subject shows the richness and diversity of
ideas that may be found in psychological science. Accompanying these
varied approaches to understanding personality is the wide variation in the
method of inquiry. Thus, methodological diversity in many ways parallels the
diverse manner in which pioneers in the discipline have approached
personality studies.
The two chapters in this part provide an overview of the way in which
personality has been studied.
Chapter 5 provides an overview of major personality theories. Any serious
study of personality needs to pay homage to the major theorists such as
Freud, Erikson, Skinner and Bandura. Admittedly, these theorists developed
their ideas in Europe and North America, which are cultural and
geographical contexts that are at variance with those that developing
countries are currently experiencing. Yet, their contribution to the
understanding of the human being has a role to play in conceptualising
personality dynamics in all social contexts.
The modern world is no longer culturally monolithic, and divisions
between Western and non-Western cultures are porous and continually
shifting. The study of personality, which is related in complex ways to
culture, class and historical era, must consider how individuals are located
within their social contexts. Therefore Chapter 5 addresses the cultural,
political, economic and social factors that affect personality development.
The distinction between individualistic and communal cultures provides a
challenging backdrop within which the personality is considered. This
chapter sketches the problems and pitfalls inherent in the study of
personality in South Africa and other developing countries, while
highlighting the continued need for personality to be considered in the
study of psychology.
As a discipline and profession, psychology has always been concerned
with the measurement of mental and behavioural phenomena. The
measurement of personality is therefore an important concern to
personality theorists. Chapter 6 addresses the question of personality
assessment by examining objective and projective methods. Most research
conducted on personality assessment has emerged from industrially
developed countries. However, in many developing countries questions of
literacy, individuality and interdependence have alternative meanings and
different levels of importance, and this issue is examined in this chapter.
Chapter 6 concludes with an overview of the technical details of personality
assessment, including an introduction to psychometric theory.
The two chapters in this part provide the basic concepts used in studying
human personality, while also calling attention to the complexity of the
subject in the social context in which we live. Some of the perspectives,
models and theories described here are potentially contradictory, yet the
tensions between them indicate the richness of the debates regarding this
subject.
 Theories of personality CHAPTER
Pamela Naidoo, Loraine Townsend & Ronelle
Carolissen
5

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• state and compare the assumptions that underpin the eight approaches to understanding
personality described in this chapter
• understand how each personality theorist attempts to answer the question of individual
similarities and differences
• describe the theoretical concepts that are unique to Sigmund Freud, Carl Jung, Erik Erikson,
Raymond Cattell, Abraham Maslow, B.F. Skinner, George Kelly and Albert Bandura
• critique mainstream approaches to personality
• describe how culture influences personality
• describe Nwoye’s Synoptic Theory of the African Personality.

CASE STUDY

Yolisa felt that she could identify at least some of her own personality characteristics. She was quite
a perfectionist and rather hard working, and she was also loyal and kind. But most of what she
knew about herself had come from other people’s reactions to her. Over the years, various people
had told her how she came across and how they experienced her. Some of these insights were, at
the time, quite surprising to her. Yolisa particularly recalled one friend telling her angrily that she
was often distant and didn’t let others know how she felt. At first, Yolisa had just thought her friend
was being unfair, but later realised that she must have seen Yolisa’s shyness and misinterpreted it.
Perhaps it wasn’t so easy to understand what people’s personalities were like from the outside. But
then again, it was equally difficult to really get to know yourself.
Like many people, Yolisa had heard about Freud before she began to study psychology. What
she had heard, though, was not very promising. People often made jokes about Freud and sex and,
of course, his strange ideas about penis envy made it hard to take him seriously. But as she began
to learn more about psychoanalytic theories of development, Yolisa realised that to dismiss Freud’s
theories completely would mean missing out on some really interesting ideas about how people
came to be who they are. Perhaps the clues to understanding more about herself really were
hidden away in her childhood, and if she understood more about her past, she might be able to
make some sense of how she experienced things in her present life. However, when Yolisa began
studying personality theories, she realised that there were many other useful theories in addition to
Freud’s.
Introduction
While it is true that there are many similarities between people, it is often
the differences between them that are of interest to researchers and
practitioners in psychology. ere are various ways of defining
personality, although someone’s personality is usually described by
noting how different that person is from other people as well as what
patterns of behaviour are characteristic of that person. For the purpose of
this chapter, personality is defined as the ‘psychological qualities that
contribute to an individual’s enduring and distinctive patterns of feeling,
thinking and behaving’ (Cervone & Pervin, 2013, p. 8).
While many theorists have attempted to explain personality
development, in an introductory textbook such as this it is impossible to
describe them all. erefore, this chapter provides the dominant theory
in each of the eight mainstream approaches to personality (see Figure
5.1).

Figure 5.1 A timeline showing the life span of each of the theorists who are most clearly associated
with each of the eight dominant theoretical approaches to personality development

The psychoanalytic approach

e psychoanalytic approach to personality development assumes
that the structures of personality are largely unconscious, which suggests
that people are mostly unaware of why they behave in particular ways.
Furthermore, behaviour is assumed to be strongly influenced by the
ongoing conflict between instincts, unconscious motives, past
experiences and social norms. e main proponent of the psychoanalytic
theory of personality is Sigmund Freud (1856–1939).

Freud’s view on personality development

Life instinct and death instinct

According to Freud (1901), instincts are the basic motivational drives
that provide the basis for personality. ey are understood as mental
representations of internal stimuli that cause a person to take certain
actions. Let us take hunger as an example. A basic internal need such as
this initiates a physiological reaction. is bodily need then gets
translated into a mental representation of how we should behave in order
to fulfil that need (e.g. looking for food to satisfy our hunger).
Freud grouped instincts into two broad categories: life instincts and
death instincts. e life instincts (eros) serve the need for survival and
development (an example would be hunger), and ensure the
reproduction of the species (an example would be sexual desire) (Engler,
2013). e psychic energy manifested by life instincts is called libido. e
death instincts (thanatos) represent the destructive force of human
nature. Freud suggested that all people have an unconscious wish to die.
is wish to die is transformed into an aggressive drive which individuals
act out on others. is implies that we all have the potential to be
destructive.
Figure 5.2 The three structures of personality can be compared to the different sections of an
iceberg

The conscious, the preconscious and the

unconscious levels
According to Freud, the personality has three levels: the conscious, the
preconscious and the unconscious.
e term ‘conscious’ refers to the sensations and experiences that we
are aware of at any given moment in time. Freud thought that our
conscious was a limiting aspect of our personalities because it only
included a small portion of our thoughts, sensations and memories: the
tip of the iceberg (see Figure 5.2).
Figure 5.3 A child develops a superego in response to the guidance of significant others

e preconscious lies between the conscious and the unconscious. It

includes our thoughts, memories and the perceptions that we may be
able to recall by bringing them into the state of consciousness.
e unconscious contains memories, emotions and instincts that are
so threatening to the conscious mind that they remain buried in the
unconscious mind. Instincts such as sex or aggression operate from the
unconscious.

The structure of personality: the id, the ego and

the superego
e id is entirely unconscious and includes the instincts and libido. It is a
forceful component of the personality structure and provides the energy
for the other components. Because instincts are contained within the id,
the id is directly related to the satisfaction of bodily needs. Tension arises
in the quest to fulfil bodily needs, and the id is said to operate in a way to
reduce tension in order to maintain a homeostatic balance in the psyche.
It operates according to the pleasure principle – to increase pleasure
and to avoid pain. It seeks immediate gratification and is selfish and
inconsiderate of the needs of others. e id has no awareness of reality.
e only way the id can attempt to satisfy its needs is through reflex
action or wish-fulfilling fantasy experiences, which Freud categorised as
primary process thought.
While the id motivates very young children, these children soon learn
that they cannot always act on their immediate needs. ey must learn
how to interact with the outside world and to develop mental functions
such as perception, recognition, judgement and memory. ese rational
elements are contained in Freud’s second component of personality, the
ego and Freud categorised them as secondary process thought.
us we see that the ego guides behaviour by reason. It helps to
reduce the tensions that exist between the id and reality. rough the
ego’s consistent contact with reality, and through its following of the
reality principle, the ego allows the id’s impulses to be satisfied in
socially appropriate ways at the right time and place, using acceptable
objects.
While the ego makes no attempt to prevent the satisfaction of the id,
the ego does control the expression of the id’s needs. For example, the
ego can divert anger from aggressive behaviour into a socially acceptable
activity like exercise. is means there is frequently conflict between the
id and the ego. is is complicated by the fact that the id is the source of
energy for both the id and the ego; hence the ego must constantly pay
heed to the id’s demands.
e superego is the personality’s internal moral code; it contains the
notions of right and wrong that people learn during childhood. By the
age of five or six years, most children have learnt from significant others,
such as their family members, which behaviours are not acceptable. is
leads to the development of the conscience, which is one element of the
superego. e behaviours that have been praised and rewarded lead to
the development of the ego-ideal, which is another element of the
superego. Both these elements of the superego are largely unconscious.
 e process of internalising what is good and what is bad involves a
powerful unconscious recognition of parental influence. Once the
process of internalisation has happened, the rules of right and wrong are
self-administered. Self-control then replaces parental control.
Consequently, when we engage in behaviours that are contrary to our
conscience, we suffer guilt and shame.
Freud perceived the superego as being harshly insistent on moral
behaviour. Unlike the ego, the superego can obliterate certain id drives,
such as sex and aggression.
e ego is therefore pressured by the id, the superego and reality, and
serves as a go-between that tries to satisfy all these forces. When the ego
cannot cope with the demands of the id, the superego and reality, then
anxiety develops.

SUMMARY

• The psychoanalytic approach to personality development argues that the structures of personality
are largely unconscious so that people are unaware of the motivations for their behaviour.
• Behaviour is assumed to be strongly influenced by the ongoing conflict between instincts,
unconscious motives, past experiences and social norms.
• Freud argued that two basic instincts drive the personality: the life instinct and the death instinct.
Libido is the psychic energy derived from the life instinct.
• According to Freud, the personality has three levels: the conscious, the preconscious and the
unconscious.
• Freud said that the personality has three parts: id, ego and superego.
• The id is entirely unconscious and includes the instincts and libido. It operates according to the
pleasure principle and uses primary process thinking.
• The ego is more rational and is based on the demands of reality (the reality principles). It uses
secondary process thought.
• The superego contains the conscience (an internalised moral code) and the ego-ideal.
• The ego is pressured by the id, the superego and reality, and serves as a go-between that tries to
satisfy all these forces. When the ego cannot cope with these demands, then anxiety develops.

The psychosexual stages of personality

development
Freud described four stages of personality development. He referred to
these as psychosexual stages because he thought that the major factor
underlying human development was the sex instinct.
According to Freud, each stage of psychosexual development is
associated with an erogenous zone and each stage requires the
resolution of certain developmental tasks, or conflicts, before progression
to the next stage is possible. If an individual is unable to resolve the tasks
at a certain stage, he/ she will remain fixated at that stage. is means
that libidinal energy gets invested in that particular stage, leaving less
energy for the stages that follow. Freud believed that the roots of a
number of adult personality types can be traced to unsuccessfully
resolved stages of psychosexual development.
Freud’s first psychosexual stage is the oral stage and it spans the
period from birth to approximately 18 months. e erogenous zone
associated with this stage is the mouth as the activities of sucking, biting
and chewing are sources of erotic pleasure for the child. During this
period, the developmental task involves being weaned from the breast
and/or bottle. If a child is unable to resolve this conflict successfully,
he/she may become fixated. Adults fixated at the oral stage may be
excessively concerned about activities such as eating and drinking.
ere are two adult personality types associated with this stage: the
oral-passive type (also known as the oral-dependent type) and the oral-
aggressive type (also known as the oral-sadistic type). According to
Freud, if infants are excessively gratified they may become overly
optimistic and dependent. Such infants become oral-passive adults who
tend to be gullible and rely on others for gratification. ey continually
seek approval and expect mothering from all those around them.
According to Freud, the oral-aggressive personality type develops during
the frustrating period when a child is cutting their teeth. Adults fixated at
this stage tend to be excessively pessimistic, hostile and aggressive. ey
tend to make biting remarks, and may be manipulative and exploitative
towards others in order to dominate them.
Freud’s second psychosexual stage is the anal stage. Until this stage,
adults make few demands on children. But around the age of 18 months,
the need for toilet training arises, and most parents try to complete toilet
training by the time their children are three years of age. e erogenous
zone associated with this stage is the anus, and the retention and
expulsion of faeces gives children erotic pleasure. During toilet training
this source of pleasure is interfered with when parents begin to set rules
about when and where the child may defecate. Resolution of the conflict
that arises sees children learning self-control: they learn to differentiate
between the id’s need for immediate gratification, and social constraints.
If a child does not achieve this, there is likely to be conflict with the
parents, leading to the child reacting in one of two ways. One negative
path the child could take is to defecate at inappropriate times and in
inappropriate places, much to the disapproval of the parents. According
to Freud, if a child needs to employ this reactionary response frequently,
this may lead to the development of an anal-aggressive personality.
Adults exhibiting an anal-aggressive personality are impulsive,
disorderly, sadistic and hostile. e other negative path the child could
take is to retain faeces. is can give children a sense of control over their
parents, particularly if they have not defecated for a few days. According
to Freud, this may lead to the development of an anal-retentive
personality. As adults, these individuals are typically stubborn and stingy.
ey also tend to be rigid, compulsively neat and overly conscientious.
Freud’s third psychosexual stage is the phallic stage. is stage occurs
approximately between the ages of three and six years, when the focus of
development moves to the genital region. e developmental task
confronting children during this stage is the need to identify with the
same-sex parent. is requires resolution of what Freud termed the
Oedipus complex (in the case of boys) and the Electra complex (in the
case of girls).
e Oedipus complex refers to a boy’s unconscious desire to possess
the opposite-sex parent and at the same time to dispose of the same-sex
parent. From birth to this point, mothers have been the sole source of
gratification, and are seen as the initial love object. Boys have an
unconscious wish to possess their mother, which manifests as the boy’s
unconscious sexual attraction to his mother. Fathers, on the other hand,
are viewed as rivals for the mother’s affections and are unconsciously
perceived as the enemy. However, boys realise that their father is unlikely
to tolerate his son’s affections for the mother. Freud believed that this
results in boys fearing that their father may retaliate by cutting off their
penis. e resultant castration anxiety forces boys to renounce their
unconscious desire to have sex with their mother. Eventually, at around
five or six years of age, boys repress their sexual desire for their mother,
and begin to identify with their father.
For girls, the Electra complex needs to be overcome in order to be
able to identify with the same-sex parent. According to Freud, mothers
have been the sole source of gratification for girls and thus their initial
love object since birth, yet girls begin to realise that they lack a penis.
Girls then display penis envy and blame their mother for their lack of a
penis. ey become openly hostile towards their mother and wish to
possess their father. Freud was less able to explain how girls resolve this
conflict, other than to suggest that this state of affairs is slowly modified
as girls increasingly identify with their mother.
According to Freud, men fixated at the phallic stage are usually
boastful, vain and ambitious, while women fixated at this stage are
usually flirtatious, seductive and naïve.
Between six years of age and the onset of puberty, the libido is
sublimated (channelled into non-sexual activities). is period is
referred to as latency, and it does not qualify as a psychosexual stage as
no new erogenous zone is identified and sexual instincts are seen as
dormant.
Freud’s fourth psychosexual stage is the genital stage. is begins
with the onset of puberty when many hormonal changes occur. In this
stage, the genitals are the erogenous zone providing adolescents with
gratification. e genital stage is a time when sexual and aggressive
impulses resurface, with a corresponding increase in an individual’s
awareness of, and interest in, the opposite sex. Developmental tasks
requiring resolution during this stage revolve around establishing
intimate relationships, learning to work, learning to postpone
gratification and becoming responsible. e successful resolution of this
stage results in the ideal type of personality. Such a person will have
developed mature and responsible social-sexual relationships.

Evaluating Freud’s theory

e concept of the unconscious is considered to be Freud’s most
important and valuable contribution. e assumption that our conscious
thoughts and behaviour are directed by repressed thoughts
revolutionised theoretical formulations about human behaviour. Freud
also highlighted the influence of early childhood on later development.
e most controversial aspects of Freud’s theory centre on his
emphasis on the sexual drive as a primary motivating force for human
behaviour. is was largely the result of his historical context; he lived in
the Victorian era which was highly sexually repressed. His theory is thus
now seen as overly deterministic. In the African context, Freud’s
emphasis on sexuality is also problematic in that discussion around
sexuality is taboo in many African cultures. In addition, many children in
rural African families grow up in an extended family context, whereas
Freud’s theory is firmly based in a nuclear understanding of family. Van
IJzendoorn, Bakermans-Kranenburg, and Sagi-Schwartz (2005) note that
it is unwise to think that patterns of parent–child attachment are
universal.
His perception of women has also received criticism. Freud argued
that women are anatomically inferior because they do not have penises,
psychologically inferior because they do not experience the Oedipal
conflict or castration anxiety, morally inferior because they do not
develop as strong a superego as men do (owing to not having had the
aforementioned conflict) (Dumont, 2010).
Freudian theory has also been criticised for being limited because it
considers psychological development to be complete by puberty.
Humanists criticised Freudian theory for not acknowledging human
agency and choice. Lastly, Freud’s theory has been criticised because it
cannot be scientifically validated.
 SUMMARY

• Freud described four psychosexual stages of personality development; he felt that the sex instinct
was the major factor underlying human development.
• Each of Freud’s stages is associated with an erogenous zone and requires the resolution of certain
developmental tasks, or conflicts, before progression to the next stage is possible. Fixation at a
stage occurs if the individual is unable to resolve the task.
• The four stages are oral, anal, phallic and genital. A period of latency occurs between the phallic
and genital stages. Failure to resolve the oral stage may result in an oral-passive or an oral-
aggressive personality. Failure to resolve the anal stage may result in an anal-aggressive or an anal-
retentive personality.
• The phallic stage involves the Oedipus and the Electra complexes. Failure to resolve the phallic
stage results in men who are usually boastful, vain and ambitious, while women fixated at this
stage are usually flirtatious, seductive and naïve.
• Successful resolution of the genital stage results in an adult who has developed mature and
responsible social and sexual relationships.
• Freud’s theory has been respected for its contribution of the concept of the unconscious and the
role of early childhood on later development. It has been criticised for its emphasis on the sexual
drive as a primary motivating force for human behaviour, for being overly deterministic, for his
perception of women and the lack of life span developmental approach.

The neopsychoanalytic approach

e neopsychoanalytic approach to personality development uses the
psychoanalytic approach as a major frame of reference. ere are a
number of neopsychoanalysts including Carl Jung, Alfred Adler, Karen
Horney and Erick Fromm, but this section focuses on Jung’s ideas
regarding personality.

Jung’s view on personality development

Jung differed from Freud in one important way. He rejected the idea that
sexuality was a major determinant of behaviour; instead he believed that
behaviour is largely purpose driven. He also thought that people’s
personalities developed throughout their lives. Jung went on to develop
his own school of thought, known as analytical psychology, which was
also informed by Eastern religions, mythology and alchemy (Engler,
2013).

The libido
Jung viewed libido as a generalised life force, which he saw from two
different perspectives (Schultz & Schultz, 2001). e first perspective was
that libido is a general life energy that referred not only to sexuality, but
also to other human strivings and desires. e second perspective was
that libido is focused psychic energy that facilitated how the personality
functions.
Figure 5.4 Carl Jung

The structure of the psyche: the ego, the personal

unconscious and the collective unconscious
Jung placed a great deal of emphasis on the psyche. He believed that the
psyche is the centre of both the mind (our thoughts and emotions) and
the soul (our spirituality), and where all experience and meaning are
organised and combined in a uniquely human way. Jung thought the
psyche operates at three levels: the ego (or conscious), the personal
unconscious and the collective unconscious. (His use of the terms
‘conscious’ and ‘ unconscious’ shows how he was influenced by Freud.
However, Jung’s concept of the collective unconscious expanded upon an
aspect of personality that Freud largely ignored.)
According to Jung (Meyer, Moore & Viljoen, 2008), the ego is the level
of personality that contains all the experiences of which we are aware at
any particular time. It is from the combination of these experiences that
we gain our sense of stability in time and place: our sense of ‘I’. e ‘I’ is
therefore the centre of consciousness.
e personal unconscious is the level of the psyche where all our
forgotten or repressed experiences collect. Because our conscious can
only contain a few items at a time, the personal unconscious also
contains all those memories, feelings and perceptions that have been
momentarily set aside.
e collective unconscious is the inherited part of our psyche, which
is shared by all human beings. Jung conceived of this level in an attempt
to explain the remarkable similarities of human behaviour and
experiences we see across all cultures of the world.

Archetypes
According to Jung, archetypes or primordial images lie within the
collective unconscious. Archetypes are universal, shared forms of
thinking that predispose humans to behave in certain ways. ey
represent different possible ways in which people across cultures and
societies express their humanness (Engler, 2013). Jung believed there
were an infinite number of archetypes, some of the most common being
the persona, the shadow, the anima and the animus, and the self.
e persona refers to the social roles that people assume in society.
ese social roles are often assigned to people, and may be contrary to
those they may have chosen for themselves. e persona represents a
compromise between people’s true identity and their social identity. e
persona is the socially acceptable face or mask we present to the world. If
people neglect to develop their persona, they may become asocial. On
the other hand, an over-focus on persona can result in a neglect of one’s
true self, stifling the development of other parts of one’s personality
(Engler, 2013).

Figure 5.5 The persona is the socially acceptable face or mask we present to the world

e shadow refers to those thoughts, feelings and behaviours that people

possess, but which are unacceptable to society or to the individual.
Whereas the persona reflects the compromise between people’s ideal self
and social demands, the shadow reflects those social desires and
emotions that are incompatible with the persona. e shadow is
therefore the opposite side of the persona. Jung believed that the shadow
cannot be denied or avoided. He suggested that people need to get to
know their shadow and recognise their unacceptable impulses as this
adds breadth and integrity to personality.
 e animus and anima refer to the masculine and feminine parts of a
person’s personality. is is because, while each person is classified as
either male or female according to their biological sexual characteristics,
none of us is only male or only female. As a result of centuries of living
together and internalising aspects of the opposite sex, each of us has
some biological and psychological qualities of the opposite sex within us.
According to Jung, every man has a feminine part, an anima, and every
woman has a masculine part, an animus. Jung contended that it is
essential that a man express his feminine side and a woman her
masculine side, in order to reach optimal growth as a human being.
e self represents our attempt to unify all the aspects of our
personality. It controls the allocation of psychic energy so that different
parts of the personality are expressed appropriately. Depending on the
context and personal needs, the self can allow us to be socially
acceptable among our friends (using a persona), or it can let us to do
something we would never do under normal circumstances (releasing
our shadow), or it can allow us to behave in a way that is thought to be
typical of the opposite gender (revealing our anima/animus) (for a
discussion of the difference between sex and gender, see Chapter 19). In
developing our personalities, we are constantly trying to find the balance
between opposing forces to achieve a fully realised self. Jung believed
that the self only emerges once the other personality systems like the
persona and the shadow have developed. He considered the
development of the self as the ultimate life goal: one that is constantly
aspired to, but which is rarely achieved.

Psychological types
A major contribution that Jung made to the psychology of the conscious
psyche was his explanation and description of psychological types
(Engler, 2013). He contended that psychological types arise out of
combinations of two attitudes (extraversion and introversion), and four
functions (sensing, intuition, thinking and feeling).
According to Jung, extraversion is an attitude where the psyche is
oriented outwards towards the objective world. Introversion is an
attitude where the psyche is oriented inwards towards the subjective
world. Jung proposed that a person’s attitude was either predominantly
extraverted or introverted, and that in both cases, the other attitude was
also present, although underdeveloped or largely unconscious (Engler,
2013).
e four functions are grouped into two pairs of opposites. For
example, when gathering information from the environment, the sensor
uses all five senses, and tends to deal with logic and facts, whereas the
intuitor explores relationships and meanings from past or future events.
Similarly, when coming to conclusions or making judgements, the
thinker uses logic and impersonal examination, whereas the feeler tends
to focus on personal attributes, beliefs and attitudes. According to Jung,
one function of each pair tends to be dominant in each individual. e
function’s opposite is submerged but may surface, while the other
functions have a supplementary role.
e two attitudes and four functions combine to form eight
psychological types. ese types seldom exist in a pure form, and wide
variation within each type may be evident. As a person’s personal
unconscious and collective unconscious change during their lifespan, so
does the relative contribution of that person’s attitudes and functions.

Evaluating Jung’s theory

Jung’s approach to personality has influenced a number of disciplines,
such as psychiatry, history, sociology, economics, political science,
philosophy and religion (Schultz & Schultz, 2001), and of course Jung has
made some important contributions to psychology. e concepts of
introverted versus extraverted personalities are still used with some
conviction in psychology today.
However, critics of Jung note that the concept of the archetype is
metaphysical. ey say that there is neither proof that it exists (Glover,
1950), nor the possibility for it to be scientifically validated.
 SUMMARY

• The neopsychoanalytic approach grew out of Freud’s approach, but Jung rejected the idea that
sexuality was a major determinant of behaviour; he also thought that people’s personality
developed throughout their lives.
• Jung viewed libido as a generalised life force.
• For Jung, the psyche is central to both the mind and the soul. For him, there were three levels of
psyche: ego (conscious), personal unconscious and collective unconscious.
• The ego contains our personal reality and gives us our sense of stability in time and place. The
personal unconscious is where all our forgotten or repressed experiences collect. The collective
unconscious is the inherited part of our psyche, which is shared by all human beings.
• Archetypes are primordial images within the collective unconscious. They are universal, shared
forms of thinking. Jung believed there are an infinite number of archetypes, some of the most
common being the persona, the shadow, the anima and the animus, and the self.
• The persona refers to the social roles that people assume in society. The shadow refers to those
thoughts, feelings and behaviours that people possess, but which are unacceptable to society or to
the individual. Animus and anima are the masculine and feminine parts of a person’s personality.
Each biological sex contains aspects of the opposite sex. The self tries to unify all the aspects of our
personality – it works like a general manager. Jung considered the development of the self as the
ultimate life goal.
• Jung described several psychological types. The basic attitudes are extraversion and introversion. In
addition, there are four functions in pairs of opposites (sensing– intuition; thinking–feeling). Jung
believed that one function tends to be dominant in each individual. The two attitudes and four
functions combine to form eight psychological types.
• Jung’s approach has had a wide influence and his concepts of introverted versus extraverted
personalities are still used today. His theory has been criticised for lack of scientific proof.

The life span approach

A life span approach to personality development describes the
development of personality over an individual’s entire life span, from
birth until death.
Figure 5.6 Erik Erikson

Erikson’s view on personality development

e first major theory of personality to cover the entire life span was Erik
Erikson’s (1902–1994) theory of psychosocial development. As we read
previously in this book, Erikson proposed eight, age-graded stages of
psychosocial development that occur throughout an individual’s life
span. Within the time span of each stage, a developmental task or crisis
needs to be adequately resolved (see Chapters 3 and 4 for a detailed
description of each of the psychosocial stages and their respective
crises). ese crises arise from physiological development and the social
demands made upon the individual at particular stages. According to
Erikson, the way in which an individual resolves these crises determines
their personality (Erikson, 1950).

The psychosocial stages of development

e first stage of psychosocial development is trust versus mistrust, and
lasts from birth to 12 months. According to Erikson, if children have
consistently good and reliable care during the first 12 months of their
lives, they will successfully resolve the first crisis: trust versus mistrust. If
the primary caregiver adequately attends to the dependency needs of the
child, such as feeding and comforting, then a basic sense of trust
develops. e child then uses this pattern of interaction in his/her life to
develop relationships of trust with significant people (Erikson, 1950).
e second stage of psychosocial development is autonomy versus
shame and doubt, and this stage spans one to three years of age. During
this stage, children begin to explore their environments and develop
language. Children also learn a degree of independence while
simultaneously coming to terms with their limitations. If over-controlling
parents frustrate a child’s independence, feelings of self-doubt set in and
a feeling of shame develops when interacting with others. When a child is
allowed to express his/her free will but can also exercise self-restraint in
the face of society’s demands, then a healthy resolution of this stage has
occurred.
e third stage of psychosocial development is initiative versus guilt,
and this lasts from three to six years of age. During this stage, as children
become more adept at dealing with themselves and the outside world,
they initiate their own activities. But if a child is punished harshly for
taking the initiative, then that child develops a sense of guilt in self-
directed activities, which lasts throughout his/her life.
e fourth stage of psychosocial development is industry versus
inferiority, and this spans from six years to puberty. During this stage,
children often attend school where issues of competency arise. Children
also compare themselves to their peers. Children who feel inferior to
their peers develop a sense of inferiority. ose who achieve, and who
develop confidence about who they are and what they can accomplish,
develop a sense of industry.
e fifth stage of psychosocial development is identity versus role
confusion, and this spans the period from puberty to early adulthood.
According to Erikson, the most important life task during this stage of
development is to establish an identity. Teenagers are faced with having
to answer the question: ‘Who am I?’ is period is seen to be a
particularly difficult time because teenagers are faced with bodily
changes in keeping with the growth spurt they experience. is stage is
often marked by confusion. Young people may also have difficulty in
deciding what their life goals should be (e.g. they struggle to make
decisions about their future careers).
e sixth stage of psychosocial development is intimacy versus
isolation, and this occurs in early adulthood. During this stage,
individuals develop the capacity to form a close and intimate bond with
someone special in their lives. is requires intermittent ego loss in
intimate interactions because the individual must share space and
feelings (such as during sex or marriage).
e seventh psychosocial stage is generativity versus stagnation, and
this occurs in middle adulthood. By the time individuals reach the age of
40, they have accumulated many life experiences and are able to guide
and mentor young people. People who guide and nurture their children
and/or other young people and who contribute to the community in
other ways are said to be engaging in the process of generativity.
Stagnation, on the other hand, leads to a further decrease in creativity
and productivity, which ultimately involves or leads to self-indulgence.
e eighth psychosocial stage is ego integrity versus despair, and this
occurs in late adulthood. Ego integrity is achieved with the successful
resolution of the previous seven crises. It means that individuals have
little regret about the way they have lived their lives and are relatively
content. If they are consumed with regrets about what they should have
done or what they would have done differently, they experience despair
because they realise that they cannot turn back the clock.

Evaluating Erikson’s theory

Erikson’s most important contribution was his consideration of
development issues throughout a person’s life span. Psychologists widely
agree with Erikson’s proposal that people need to resolve successfully a
major developmental conflict within each important stage of growth in
order to achieve mature functioning.
Erikson’s developmental theory has, however, been criticised for its
male bias, and its demeaning account of female development (Hook,
2002) (e.g. see Box 5.1). e theory has also been criticised for describing
psychosocial development while neglecting to explain why this
development occurs. Furthermore, questions arise about whether
Erikson’s theory applies to people living in adverse financial conditions,
who may not be able to go through the stages in the way that Erikson
theorised (Slugoski & Ginsburg, 1989).
But, despite the criticisms, Erikson’s theory has a wide influence on
social and educational policies, and therapeutic approaches.
Figure 5.7 The stages of development over the life span can be seen in multigenerational families

5.1 ERIKSON’S FINDINGS ON GENDER DIFFERENCES IN PLAY

CONSTRUCTIONS
In the 1960s, Erikson used play therapy, which he called play constructions, to conduct research on
gender differences involved in his theory. Readers should note that references to the male or female sex
usually indicate the biological differences between males and females, whereas ‘gender’ indicates the
way males and females are assigned roles and expectations on the basis of their sex. In one study, 300
boys and girls of between 10 to 12 years of age were asked to create a scene from an imaginary movie
using dolls, toy animals, toy cars and wooden blocks. Girls tended to build scenes that did not reflect
movement, that were peaceful, and that contained low, enclosed structures. Intruders (males or anima
figures) tried to force their way into the interior of the construction. Boys, on the other hand, focused on
exteriors, action and height. Their constructions were action oriented, with tall towering structures, and
cars and people in motion.
Using a psychoanalytic approach, Erikson stated that the play constructions depicted the biological,
genital differences between boys and girls and that there may be major differences between boys and
girls in terms of their sense of space. However, Erikson has been criticised for how he interpreted the
findings of his study. Erikson was also criticised for believing that women could not find identity in work
(Engler, 2013).
 SUMMARY

• A life span approach to personality development describes the development of personality over an
individual’s entire life span, from birth until death.
• Erik Erikson provided the first major theory to cover the life span. He proposed eight age-related
stages of psychosocial development. Within each stage, a developmental task or crisis needs to be
adequately resolved. These crises arise from physiological development and the social demands
made upon the individual at particular stages. How individuals resolve these crises determines their
personality.
• The stages of development are: trust versus mistrust (birth to 12 months); autonomy versus shame
and doubt (one to three years); initiative versus guilt (three to six years); industry versus inferiority
(six years to puberty); identity versus role confusion (puberty to early adulthood); intimacy versus
isolation (early adulthood); generativity versus stagnation (middle adulthood); and ego integrity
versus despair (late adulthood).
• Erikson’s most important contribution was his consideration of development issues throughout a
person’s life span. The theory has been criticised for its male bias and for not taking into account
diverse financial circumstances of individuals.

The behaviourist approach

e basic premise of the behaviourist approach to personality
development is that newborn children are born without any semblance
of personality. Environmental experiences, from the moment of birth and
through the entire life span, are seen to have the strongest influence on
the development of personality. B.F. Skinner (see Figure 1.6) is the most
notable founder of this approach.

Skinner’s view on personality development

Skinner believed that the way in which people behave depends on
whether they have been rewarded or punished for a particular behaviour
in the past, and whether they expect reward or punishment for that
behaviour in the future. For Skinner, the study of personality therefore
required a systematic and rigorous examination of the distinctive
patterns of an individual’s behaviour and their reinforcing consequences.
Skinner distinguished between two types of behaviour: respondent and
operant.

Respondent behaviour
Respondent behaviour refers to a specific response to a known stimulus.
For example, shivering when it is cold, or salivating when smelling food.
Although these responses are spontaneous and automatic, at a higher
level, respondent behaviour may also be learned.
Ivan Pavlov, a Russian physiologist, was the first to explore how
respondent behaviour could be conditioned (also known as classical
conditioning). For a full explanation of respondent conditioning, see
Chapter 9. While Pavlov was the first theorist to demonstrate classical
conditioning, Skinner applied this phenomenon to personality
development.

Operant behaviour
Skinner believed that human behaviour involves much more than simple
physiological reflexes or conditioned responses. Human social behaviour
appears to be spontaneous, or freely emitted, and not really elicited in
response to a specific stimulus or set of stimuli. Such behaviour has a
two-way relationship with the environment, both eliciting certain
responses from the environment as well as influencing the environment.
For example, a child with a difficult temperament may elicit irritation
from her parents and her behaviour may also lead to marital difficulties
between the parents. Skinner called this operant behaviour because the
child is operating on her environment.
According to Skinner, operant behaviour is determined by the
consequences of the behaviour. e nature of the consequences of the
behaviour modifies a person’s tendency to repeat the behaviour in the
future. For example, riding a bicycle is a voluntary, learned response that
is not linked to any specific stimuli. For a child, a favourable
consequence to riding a bicycle may be praise from a parent. is
favourable consequence is likely to result in the child riding the bicycle
more often in the future. In this instance, the consequence (the praise) is
said to be a positive reinforcement because it increases the likelihood
that the behaviour will be repeated in the future, and the operant
response (riding the bicycle) has been conditioned.
On the other hand, an unfavourable consequence to riding a bicycle
may be that the parent scolds the child every time he/she rides the
bicycle in the street, which the parent considers unsafe. is
unfavourable consequence may mean that the child will ride the bicycle
less often in the future. In this instance, the consequence (the
disapproval) operates as a punishment because it decreases the
likelihood that the behaviour will be repeated in the future.
e essence of operant conditioning is reinforcement: reinforced
behaviour tends to be repeated and non-reinforced or punished
behaviour tends not to be repeated or is stopped altogether.
rough the complex process of operant conditioning, people learn to
behave in particular ways. Each individual has a unique learning history,
which accounts for why no two people behave in exactly the same way.
is is why Skinner thought that the study of personality should involve
the systematic examination of individuals’ unique learning histories.

Evaluating Skinner’s theory

e behavioural approach’s ability to change undesirable behaviour and
reinforce desired behaviour is seen as its main contribution to
understanding human behaviour. However, Skinner’s approach has been
criticised for viewing human behaviour as being strongly determined by
environmental stimuli, for its exclusive focus on observable behaviour at
the expense of other aspects of personality, and for its disregard of
human qualities based on internal self-control and conscious free will.
 5.2 BEHAVIOUR MODIFICATION: A CLASSIC REPORT
Source: Hawkins, Peterson, Schweid and Bijou (1966)
A woman with a four-year-old son sought treatment for him because she thought him to be unruly. Two
psychologists observed the mother and child in their home to establish the nature and frequency of the
child’s undesirable behaviours, when and where they occurred, and the reinforcers the child received for
the behaviour.
The psychologists’ observation revealed that there were nine undesirable behaviours, including
kicking and biting. It was also observed that the mother reinforced the child by giving him toys or food
when he behaved badly, which, instead of stopping him from displaying bad behaviour (which was the
mother’s intention), was reinforcing his behaviour.
A behaviour modification programme was designed for this mother that emphasised attention and
approval as reinforcers when the child behaved in positive ways and no rewards when the child
displayed any one of the nine undesirable behaviours.

SUMMARY

• The behaviourists believed that children are born without a personality and that personality
develops from their exposure to environmental experiences.
• Skinner believed that the way in which people behave depends on whether they have been
rewarded or punished for a particular behaviour in the past, and whether they expect reward or
punishment for that behaviour in the future.
• Respondent behaviour is a specific response to a stimulus (usually reflexive and physiological, but
responses can also be learned). Pavlov used respondent behaviour in developing classical
conditioning.
• In operant behaviour, the consequences of a behaviour influence a person’s tendency to repeat the
behaviour in the future. If the behaviour receives a positive reinforcement, it is likely to happen
again and the behaviour is said to be conditioned. Non-reinforced or punished behaviour tends
not to be repeated or may stop altogether.
• Each person’s history of reinforcement (or learning) is unique.
• The behavioural approach is still used today in various contexts; however, it has been criticised for
its environmental determinism, for its focus on observable behaviour, and for its disregard of
human qualities like free will.

The trait approach

Trait theories are the oldest theories in personality psychology (Engler,
2013). ese theories focus on people’s distinct and common
characteristics or dispositions. ink about how you might describe
someone: you might say Mduduzi is kind, intelligent and a caring son.
ese words are describing various human traits or human
characteristics. Traits are personal characteristics which people have to a
greater or lesser degree. Trait theorists believe that traits are consistent
and enduring basic dispositions which influence our behaviour in
response to the world. Gordon Allport (1897–1967) was an early trait
theorist and he identified nearly 18 000 English words used to describe
personal traits.

Cattell’s view on personality development

Raymond Cattell (1905–1998) built on Allport’s ideas. He was interested
in how we could use traits to predict a person’s behaviour in a given
situation (Engler, 2013). Cattell distinguished between surface traits and
source traits. Surface traits are the overt behaviours that people show
consistently. ese may be grouped together in clusters of related traits.
For example, a person who is quite shy is also likely to prefer being alone
and to avoid social activities. Similarly, a person who likes excitement is
likely to avoid staying quietly at home and may also engage in risky
behaviours.
Cattell used a statistical technique called factor analysis to identify
source traits. ese are considered to be the underlying source of a
person’s surface traits. In this way, Cattell identified 16 source traits and
the resulting 16 Personality Factor Questionnaire (16PF) is still in use
today.
us, this process of analysis identifies major dimensions of
behaviour; each dimension is a continuum and people may be placed at
any point along the continuum or scale. e example above describes
people who are at either end of the introversion–extraversion scale.

The five-factor model of personality

Further research into personality traits has led to the development of the
five-factor model of personality by Robert McCrae and Paul Costa, junior
(McCrae & Costa, 2003; McCrae & Costa, 2013). is model identifies five
higher-order factors which can be used to describe someone’s
personality. One can see this as the logical end point of reducing Allport’s
18 000 trait words into a system that is most useful. ese factors, known
as the Big Five, are openness to experience; conscientiousness;
extraversion; agreeableness and neuroticism (see Table 5.1). An easy way
to remember them is the acronym: OCEAN.
Trait theory says our behaviour should be stable across different
situations. However, personality traits can also change to some degree
over time. What does the research say about this? It shows that some
traits (e.g. extraversion/introversion) tend to be fairly stable across a
person’s life span. However, other traits may change as we go through
developmental changes and also experience significant life events like
bereavements or psychotherapy.
At the beginning of this section, we said that traits are consistent and
enduring. However, there are a number of factors that influence this:
• Consistency will depend on how central the trait is to our self-concept
(e.g. honesty).
• Personality traits interact with other traits (e.g. intelligence and
diligence), as well as the factors in a given situation.
• Some people are more sensitive to situational cues and will match
their behaviour to what they perceive the situation is calling for.
• Some research shows that people can be remarkably inconsistent in
their behaviour. For example, we may be honest in our relationships,
but lie on our tax returns.

Evaluating trait theory

One problem with trait theory is that, although it describes people very
well, it is not able to say how these traits develop or emerge in people.
e later versions of this approach (e.g. the five-factor model of
personality) have also been criticised for summarising descriptions of
people too much. If you think about the incredible complexity and
diversity of human behaviour, you will readily see how some important
information may be lost if only five scales are used. In response to this
 critique, the NEO Personality Inventory (see Chapter 6) was revised into
the NEO-PI-R. is test measures the five factors, but includes six
subcategories for each (e.g. warmth as a facet of extraversion; hostility as
a facet of neuroticism; trust as a facet of agreeableness, etc.), thus
providing a fuller description of a person.

SUMMARY

• Trait theories are the oldest theories in personality psychology. Traits are the characteristics which
people have to a greater or lesser degree and which influence their behaviour in response to the
world. In this way, we can use traits to predict a person’s behaviour in a given situation.
• Allport identified nearly 18 000 English words used to describe personal traits.
• Cattell built on Allport’s ideas. He distinguished between surface traits (overt characteristics) and
source traits. Cattell used factor analysis to identify source traits; these underlie a person’s surface
traits.
• Cattell identified 16 source traits leading to the 16 Personality Factor Questionnaire (16PF).
• McCrae and Costa developed the five-factor model; this identified five higher-order factors:
openness to experience; conscientiousness; extraversion; agreeableness and neuroticism (OCEAN).
• Trait theory says our behaviour should be stable through our life span and across different
situations. Research shows that some traits are quite stable over time while others may change.
• One problem with trait theory is that it does not explain how traits develop or emerge. The five-
factor model may also be summarising descriptions of people too much.

Table 5.1 The five-factor model of personality (Widiger & Costa, 2013)

The five-factor model of personality

O openness (curious; interested) vs closedness to
experience (avoids new experiences)
C conscientiousness (works hard; responsible) vs lack
of direction (lazy; disorganised)
E extraversion (outgoing; sociable) vs introversion
(withdrawn; a loner)
A agreeableness (warm; good-natured; cooperative) vs
antagonism (difficult; stubborn)
N neuroticism (moody; anxious; unreliable) vs
emotional stability (calm; even-tempered)
The humanistic approach
Humanistic psychology focuses on internal motivators of behaviour and
has an optimistic view of human nature, believing that all humans have a
positive nature. Humanists emphasise that people should be ‘free to
express themselves and be themselves’ (Cervone & Pervin, 2013, p. 207);
that is, they have self-determination and free will. e humanistic
approach to personality development stresses the importance of
people’s unique experiences and the role of their capacity for creativity,
generosity and joy (Cervone & Pervin, 2013).
Figure 5.8 Abraham Maslow

Maslow’s view on personality development

Maslow studied creative, high-functioning individuals, and then drew
conclusions about healthy personality development. He focused on
positive aspects of human nature such as joy, enthusiasm, love and well-
being. He did not go into any detail about negative aspects such as
conflict, shame, hostility and unhappiness (Maslow, 1968, 1970, 1987).

Hierarchy of needs
Human motivation, according to Maslow, rests on a hierarchy of five
innate needs. He differentiated between two types of needs: deficiency
needs (primary needs) and growth needs (secondary needs). Deficiency
needs are further divided into physiological needs, safety needs,
belongingness and love needs, and esteem needs. Growth needs entail
the need for self-actualisation. As depicted in Figure 5.9, these needs can
be arranged in levels, suggesting how lower needs, such as basic survival,
must to some extent be satisfied before higher needs can be considered.
However, it is the fulfilment of higher-level needs that provides the most
intense kinds of spiritual and psychic gratification. According to Maslow,
only one need will dominate our personality, and which need this is
depends on which of the other needs have been satisfied.
Let us consider how Maslow perceived these needs to operate
hierarchically. From birth, infants strive to satisfy their physiological
needs such as hunger and sleep. eir behaviour is predominantly
directed to satisfying these needs – they will cry loudly when hungry and
sleep peacefully when satisfied. Once this physiological need is satisfied
consistently, their behaviour will be directed towards satisfying their
need for safety and security. ey may cry when separated from their
caregiver and smile when securely held in their caregiver’s arms. Once
they are satisfied that they are safe and secure (even when their caregiver
is absent), their behaviour becomes directed towards satisfying their
social needs, such as their need for belonging and love. ey begin to
interact more meaningfully with people around them, thus developing
their feelings of self-worth and earning respect and recognition from
others. is is not to say that children who have satisfied their social
needs do not continue to have physiological and safety needs, merely
that they are no longer overwhelmed by these more basic needs. On the
other hand, children who are constantly hungry and/or insecure may not
be able to pay attention to satisfying their social needs.

Figure 5.9 Maslow’s hierarchy of needs

According to Maslow, the self-actualisation need is the highest level

of need. Self-actualisation refers to the complete development of the self
and becoming the best person one can be. Conditions necessary to
satisfy this need include not being distracted by lower-level needs, being
able to love and be loved, being free of self-imposed and societal
constraints, and being able to acknowledge one’s own strengths and
 weaknesses (Maslow, 1970, 1987). Maslow considered Albert Einstein,
among others, to be a self-actualiser.

Evaluating Maslow’s theory

Maslow has been acknowledged for highlighting the characteristics of a
healthy personality. He deserves credit for having initiated the
humanistic approach to human development, and for having provided
an alternative for those who were disillusioned with behaviourism and
psychoanalysis. However, his theory has been criticised on four main
counts:
1. It lacks scientific rigour.
2. It is vague about how the concept of self-actualisation is derived.
3. It has been challenged for its rigid structuring of higher-level needs.
Critics have pointed out that people tend to differ in the value they
place on some of the levels of need. For example, some people may
consider that developing a relationship (a love need) has priority over
high academic achievement (an esteem need).
4. In collectivist cultures, the notion of self-actualisation may make no
sense at all (Dumont, 2010).

SUMMARY

• The humanistic approach takes an optimistic view of human nature, seeing all humans in a positive
light. Humanists emphasise self-determination and free will, and say that all people have the
capacity for reaching their full potential.
• Maslow was interested in high-functioning individuals and the characteristics they had in common.
• Maslow believed that human motivation rests on a hierarchy of five innate needs. There are two
types of needs: deficiency needs (primary needs) and growth needs (secondary needs).
• Deficiency needs are further divided into physiological needs, safety needs, belongingness and
love needs, and esteem needs. Growth needs entail the need for self-actualisation.
• Lower order needs must be satisfied before higher-order needs. Maslow felt that only one need
would dominate a person’s personality, depending on which of the other needs have been
satisfied.
• Humanistic provides a positive alternative to behaviourism and psychoanalysis. However, it lacks
scientific rigour and it has been criticised for being unclear about the concept of self-actualisation
and for the rigid structuring of higher-level needs.
The cognitive approach
e cognitive approach to personality development represented a
major break from the dominant theoretical approaches to personality.
George Kelly, the most notable exponent of this approach, warned
readers of his work that they would not encounter ids, archetypes,
reinforcements or needs in his theory (Engler, 2013).

Kelly’s view on personality development

Kelly’s theory of personality emphasises that people are rational beings
who make sense of their world by means of personal constructs. He
believed that people are governed by internal, cognitive processes that
develop as a result of external, social relationships. Furthermore, he
believed that people have free will in the sense that they are able to
choose between the many alternative constructs or ideas that result from
their relations with others.

Personal constructs
For Kelly, certain cognitive structures are fundamental to personality.
ese structures, which he called personal constructs, are
representations of the world that allow people to make sense of their
world and allow them to anticipate the future. A construct is usually a
continuum; for example, people may be seen as being on a continuum
between happy and sad.
Kelly likened the way that people make sense of their world to the way
that scientists make sense of phenomena. In much the same way as
scientists construct hypotheses, people develop personal constructs that
act as hypotheses that help them to make sense of their worlds. For
example, when we meet someone new, we will place the person
somewhere on the happy–sad continuum, maybe depending on their
facial expression. We will then test this hypothesis from what we get to
know about the person.
 No single construct is a perfect or final view of the world, and there is
always an alternative construct that might provide a better view of the
world and a better way of behaving in that world. People continually
change and revise their personal constructs in order to understand their
worlds more accurately.

Kelly’s fundamental postulate

Kelly developed his theory on the basis of a fundamental assumption or
postulate. A postulate is a broad idea that acts as a starting point for a
theory. It is accepted as true, and is not tested directly. Kelly’s
fundamental postulate states that a person’s psychological processes
are routed through various pathways by the ways in which they anticipate
events (Cervone & Pervin, 2013). By psychological processes, Kelly meant
people’s experiences, thoughts, feelings and behaviours. Of importance
in Kelly’s postulate is the word ‘anticipate’ as it infers that people make
predictions about future events. For Kelly, the future, rather than the past,
holds the key to behaviour.

Kelly’s corollaries
Kelly (1955) proposed various corollaries that stem from and elaborate
on his fundamental postulate. In essence, these corollaries state that
people tend to expect things to happen in much the same way as these
things have happened in the past. So, when confronted with a situation,
people will construct what is happening in terms of what has happened
in past, similar situations and anticipate a similar outcome.
If a similar outcome is not forthcoming, people will alter their
personal constructs. In this way, the new experience alters their future
anticipations. However, people’s personal constructs can only be
changed to the degree to which new information can filter through to
them, and some constructs may be more open to change than others.
Because each person’s experiences of reality are different from
everyone else’s, each person’s constructs will be unique to that person.
However, despite this uniqueness, if people’s systems of personal
constructs are similar, they will have similar experiences, feelings and
behaviours.
According to Kelly, the same person will not always behave the same
way in similar situations. Because people sometimes employ different
personal constructs in similar situations, they can be inconsistent in their
actions.
Kelly observed that personal constructs do not exist in isolation. ey
can be used across a variety of situations and in combinations with other
constructs in order to anticipate alternative possibilities.
A person stores their experiences in a large number of personal
constructs, from which that person will choose the most useful construct
or combination of constructs in any situation. No construct can be useful
in every situation. For example, an age construct may be useful when
encountering other people, but would most probably not be useful when
encountering a spider.

Evaluating Kelly’s theory

Kelly has been described as a unique thinker who created a theory of
personality that was both fresh and novel. His theory has made
significant contributions to the fields of education, learning, artificial
intelligence and human– computer interaction (Engler, 2013). However,
he has been criticised for being too intellectual, and for concentrating too
exclusively on cognition and not enough on emotions or on personality
as a whole. Furthermore, some of Kelly’s ideas have not been verified by
research.
 SUMMARY

• The cognitive approach was very different from the dominant theoretical approaches to
personality.
• Kelly argued that people are rational beings who make sense of their world by means of a variety
of personal constructs. These constructs develop through internal, cognitive processes as a result
of external, social relationships. A construct is usually a continuum (e.g. happy … sad).
• Personal constructs are representations of the world that allow a person to make sense of his/her
world. There are always alternative constructs available.
• Kelly developed his theory on the basis of a fundamental assumption (his postulate): people make
predictions about future events on the basis of their constructs.
• Kelly’s corollaries expand on his fundamental postulate. For example, people tend to expect things
to happen in the same way as they did in the past. Constructs can be altered, depending on new
information.
• Each person’s constructs are unique. People choose a construct depending on the situation they
have encountered.
• Kelly brought new ideas to the study of personality; however, he has been criticised for being too
intellectual, and for concentrating too exclusively on cognition and not enough on emotions or on
personality as a whole.

The social learning approach

e social learning approach to personality development expands on
the concepts of learning theory by including cognition and social
behaviour. While recognising that many aspects of human behaviour are
a result of the stimulus–response formula proposed by Skinner, the social
learning approach also considers people’s internal interpretations
(cognitions) of the environment, and the influence of people’s social
interactions in the development of personality.

Bandura’s view on personality development

According to Bandura, human behaviour is best understood in terms of
continuous reciprocal interactions among personal factors (such as
cognition and biological variables), behaviour and external
environmental variables (Bandura, 1977). A key factor in Bandura’s
theory is self-efficacy. is refers to the beliefs a person has about their
ability to carry out the behaviours needed to reach their desired
outcomes. A sense of self-efficacy is critical to the way people regulate
their lives, as well as to their self-esteem.

Modelling and observational learning

e distinguishing feature of Bandura’s theory is the idea that most
behaviours are acquired through observing others and modelling our
own behaviours on theirs. Bandura terms this observational learning.
is is not to say that people will reproduce behaviours in exactly the
same way that they observed them. Rather, people will extract common
features from a number of behaviours they have observed, and formulate
their own rules of behaviour that allow them to go beyond merely
repeating what they have seen or heard.
Bandura (1977) proposed four processes that govern observational
learning:
1. Attentional processes (concentration). e person actively
concentrates on a model performing a particular behaviour, taking in
the relevant information and distinctive features of the model’s
behaviour that will be used in imitating the model (e.g. when a child
watches a favourite soccer player).
2. Retention processes (memorisation). e person remembers what
they have seen or heard in order to imitate the appropriate aspects of
the model’s behaviour when the model is no longer present. e
model’s behaviour must be transformed into either a visual or verbal
symbol and stored in the memory so that it can be recalled at a later
stage. In our example, the child remembers the specific moves made
by their hero.
3. Motor reproduction processes (action). e person reproduces a
model’s behaviour, transforming the symbolically coded information
into appropriate action. For example, the child tries to reproduce the
moves made by the model.
4. Motivational processes (choice). e person is choosing to
reproduce a particular behaviour; for example, the child chooses a
 particular move to practice. is requires sufficient incentives. A
positively reinforced behaviour (the child scores goals from
perfecting the moves) is more likely to be repeated.

Reinforcement in observational learning

While recognising the importance of direct positive reinforcements,
Bandura perceived two other types of reinforcement which play crucial
roles in observational learning:
1. Vicarious reinforcement. is involves observing others receiving
rewards, receiving punishments or being ignored for a particular
behaviour. In anticipation of receiving similar rewards or
punishments for a particular behaviour, people will attend to,
remember and perform (or not perform) that behaviour themselves.
2. Self-reinforcement. is involves a process where people improve or
maintain their behaviour by giving themselves self-devised rewards
whenever their behaviour falls within certain self-imposed standards.
Bandura believed that people’s behaviours are extensively self-
regulated through reinforcements that they create and apply
themselves.

In other words, people also regulate their behaviour according to

observed consequences, as well as those they create themselves.

Self-evaluation
In order to decide whether to reward or punish themselves for any
particular behaviour, people need to evaluate that behaviour. During the
process of self-evaluation, people measure their behaviour against an
internalised set of standards. If their behaviour meets those standards,
they are likely to evaluate themselves positively and reward themselves
(positive self-reinforcement). e rewards that people give themselves
may be tangible (e.g. going to a restaurant for dinner to celebrate getting
excellent marks in an examination) or intrinsic (e.g. feeling pride in their
achievement). If people’s behaviour falls short of the standards they have
set, they evaluate themselves negatively and may punish themselves (e.g.
cancelling a planned shopping spree or being critical of themselves).
According to Bandura, the processes of self-reinforcement and self-
evaluation provide people with self-direction. at is, they dictate which
behaviours people will maintain, which they will improve, and/or which
they will discontinue. ey also provide the basis for personal worth or
self-esteem. People who hold themselves in low self-esteem do so
because their behaviour has not lived up to the standards they have set
for themselves. Conversely, those who hold themselves in high self-
esteem do so because their behaviour has lived up to or exceeded the
standards they have set.

Evaluating Bandura’s theory

e social learning theory has many advantages, one of which is that its
concepts are amenable to laboratory investigation. Bandura’s approach,
in particular, has vast appeal and many of his concepts enjoy empirical
support.
Self-efficacy is the most researched of the self-regulatory mechanisms,
and there is much supporting evidence for this concept. In treating a
spider phobia, Bandura, Reese and Adams (1982) showed that there is a
direct relationship between self-efficacy and behavioural performance
after the treatment. Bandura, Barbaranelli, Caprara and Pastorelli (1996)
also demonstrated the relationship between high self-efficacy and high
academic achievement. ere is overwhelming research support for
Bandura’s social learning theory, and its applicability in many spheres of
life, such as crime and health. ere are no noteworthy explicit criticisms
of his theory.
 SUMMARY

• The social learning approach extends the concepts of learning theory by including cognition and
social behaviour.
• For Bandura, human behaviour derives from continuous reciprocal interactions between personal
factors, behaviour and external environmental variables. Self-efficacy is a key factor in Bandura’s
theory.
• Bandura showed that we acquire behaviours by observing others (observational learning) and
modelling our behaviour accordingly.
• Observational learning depends on four processes: attention, retention, motor reproduction and
motivation.
• In observational learning, reinforcement may be external (as for behavioural theory) but it may also
be vicarious or carried out by the person him-/herself.
• Self-reinforcement or self-punishment depends on a positive or negative self-evaluation.
• Social learning theory has been widely supported by research, which has especially focused on
self-efficacy.

5.3 ONE PROBLEM, MANY PERSPECTIVES

In considering the variety of mainstream theories of personality, it is clear that these personality
psychologists are or were committed to their particular theoretical approach in attempting to
understand human behaviour. This means, therefore, that there can be many possible explanations for
the same behavioural scenario.
Consider the following example. John is said to have his father’s personality. He is dominating
intelligent, arrogant and inconsiderate. He also happens to resemble his father physically. What
explanations can be offered for why John is the way he is, given the fact that he was raised in a nuclear
family with both his biological parents and two younger siblings?
Psychoanalysts would interpret John’s behaviour within the context of his developmental history
John’s early childhood influences would be seen to have impacted on his personality development. In
the process of resolving the Oedipus complex, John would have internalised his father’s behaviour to
obtain the emotional and physical bond he so desired with his mother.
Of course, behaviourists would totally reject such an explanation for John’s behaviour, because the
process of internalisation cannot be empirically validated. The behaviourists would say that John is the
way he is because he has observed and copied his father’s modelled behaviour, and certain
environmental conditions (including human interactions) helped to reinforce these behaviours.
A life span theorist who was concerned with personality development would argue that during the
crucial years of identity formation, John’s family influences, especially those from his father, were more
powerful than those of his peer group and other ideological and philosophical influences.
African and Asian social scientists might argue that none of the postulations put forward by the
various Western-based theories make any sense. John’s behaviour, they might suggest, is a reflection of
his sense of self, socially constructed from the various influences on his development, including familia
and other outside social agents.
Personality psychology and its
relevance in South Africa
e first part of this chapter has described a range of mainstream
theories of personality. We will now consider the question: ‘Can
mainstream personality theories and methods of assessment apply to
everyone?’ e final part of this chapter will examine this issue by
considering alternative approaches to personality (see also Chapter 28)
and the role of culture in personality.
Most of the debates relating to personality have revolved around the
fact that mainstream psychological theories have developed in particular
socio-historical contexts based on specific class groupings. Historically,
studies of personality have reflected the typical worldviews of European
or North-American, middle- to upper-middle-class societies. us, these
studies and their resulting theories may not be fully applicable to groups
that fall outside of these categories. Questions concerning the relevance
of the concept of personality for non-Western populations may include:
‘Can behaviour in 21st century Japan be understood in the same way that
psychologists understood behaviour in 20th century Europe?’ Or ‘Can
behaviour in a working-class community in Khayelitsha be sufficiently
explained by theoretical constructs developed in the context of middle-
class America?’
Alternative approaches are seldom included in Euro-American texts
on personality. Instead, mainstream approaches dominate these texts.
When considering the various influences on personality, Euro-American
psychology usually emphasises the centrality of the individual’s
intrapsychic processes and also features the influences of interpersonal
relationships and family structures. e impact of community and
societal norms and values is seldom regarded as central in influencing
personality.
Many theorists have questioned the relevance of this purely Euro-
American psychological theory in the South African context
(Anonymous, 1986; Berger & Lazarus, 1987; Dawes, 1986; Moll, 2002;
Vogelman, Perkel & Strebel, 1992), highlighting the neglect of societal
factors such as culture and community in the formation of personality.
5.4 THE EFFECTS OF APARTHEID AND BLACK
CONSCIOUSNESS ON PERSONALITY
During apartheid, the National Party divided the South African population into white, coloured, Indian
and African groupings. Most social and individual privileges were accorded to white people. Coloured
and Indian people were generally granted more privileges than African people in terms of access to
education, job preferences, area of residence and freedom of movement. The appearances, abilities and
experiences of black people were devalued in relation to those of whites.

Figure 5.10 Institutional racism was devaluing to black people in South Africa

This devaluation had a profound negative impact on black (African, coloured and Indian) self-definition
and self-perception, as personality traits such as assertiveness were discouraged and suppressed by
dominant social norms (Fanon, 1967). Generally, apartheid encouraged white self-belief and confidence
in their intrinsic abilities and masked the social engineering of personal success.
In this context, the Black Consciousness Movement, which originated in the 1970s as a politica
reaction to racial discrimination, served to raise awareness about black pride. This movement aimed to
counteract deep levels of shame and low self-esteem instilled in black people about themselves. For
example, the use of skin lighteners and hair straighteners among black people to resemble the ideal
white person was actively discouraged, and a historical emphasis was placed on the achievements of
black people (Fanon, 1967; Ngcobo, 1999). Political thrusts such as the Black Consciousness Movement
therefore created opportunities to reconstitute a fragmented collectivity and provided opportunities
both for the construction of a positive collective identity and positive self-evaluation.
In psychology, the work of authors such as Frantz Fanon, Marcus Garvey, Steve Biko and Robert
Sobukwe (among others) led to the development of a ‘psychology of oppression’ and the related field of
 ‘liberation psychology’. The psychology of oppression focuses on the subjective experiences of those
who, due to their membership of a specific group, have been stereotyped, discriminated against, and
thereby oppressed. These authors have provided insights into the way this oppression becomes
internalised such that the person turns against him-/herself. The approach requires the oppressed
person to be ‘conscientised’ (i.e. helped to become aware of the role of oppression in their psychologica
lives).

Personality and culture

e term ‘culture’ has many definitions, but for our purposes, it can be
defined as a
[f ]uzzy set of basic assumptions and values, orientations to life, beliefs, policies, procedures
and behavioural conventions that are shared by a group of people, and that influence (but
do not determine) each member’s behaviour and … interpretations of the ‘meaning’ of
other people’s behaviour (Spencer-Oatey, 2008, p. 3).

Based on this definition, culture is a central aspect of an individual’s

identity, personality and social experience, and involves rules shared by
members of a group. Cultural values and norms are internalised to
become part of the individual’s psychological make-up, and therefore
strongly influence his/her behaviour. Culture is an abstract concept, but
is enacted and made practical through behaviours that can change over
time. It is thus not static, as cultural rules change over time (Dumont,
2010; Swartz, 1998). For example, in most cultures it is the convention for
women to want to be married. Now, however, women from many
different cultures are delaying marriage or not intending to marry at all.
Table 5.2 Generalisations about regions, traits and cultures

Regions Traits Culture

North America, Europe Independent, self- Individualistic
driven individuals
Asia, Africa Interdependent, Collectivist
concrete definitions of
self
 5.5 INDIVIDUALISTIC–COLLECTIVIST APPROACHES
The view of Americans as individualistic and Asians and Africans as collectivist has been challenged over
the past few years (Oyserman & Lee, 2008). The debate essentially revolves around the fact that regions
are viewed as homogenous entities, and research therefore assumes that all people living within a
geographical boundary display either collectivist or individualistic tendencies. Oyserman and Lee (2008
p. 329) show that there is impressive research evidence for ‘differences in values as predicted by
individualism and collectivism’. There is also evidence from studies across different nations for
‘differences in how the self is defined’ which are consistent with these concepts. This research evidence
strongly supports the effect of culture on cognition.
However, what is not clear from the research is the extent to which these differences apply to al
members of a culture. For example, Vandello and Cohen (1999) showed that, within the US, the more
sparsely populated southern states of North America were more collectivist in nature than the northern
states. Realo and Allik (2002) expanded on this view by arguing that different cultural, gender and socio-
demographic groups also displayed different patterns of collectivism. Oyserman and Lee (2008)
concluded that there may even be differences in individual behaviour depending on what messages
concerning individualism and collectivism are salient in the individual’s context. An example of this
might be a young student from a rural area. At home, she may be exposed to values of collectivism (e.g
respect for elders) and be expected by her family to behave accordingly. However, in her university class
she may be exposed to values of individualism (competing for the highest marks, for example), and be
expected by her lecturers to study hard and compete with her fellow students.

How does culture influence personality?

Cultures are generally seen as being either more individualistic or more
collectivist (see Box 5.5). An individualistic culture encourages
individuals to think of themselves as independent, whereas in a
collectivist culture, individuals tend to see themselves as intricately
linked to and dependent upon others. ese differences can sometimes
be noted in the living arrangements (e.g. a nuclear or an extended family)
of people from different cultures (Hofstede, 2001). In addition, whether
one has an independent or interdependent understanding of oneself has
a major impact on cognition, emotion and motivation (Hofstede, 2001).
e concept of an individualistic culture refers to ‘the degree to which
a culture encourages, fosters, and facilitates the needs, wishes, desires,
and values of a unique self over those of a group’ (Matsumoto, 1996, p.
24). Dominant mainstream American culture tends to be highly
individualistic, and individuals are deemed to be successful when they
meet personal goals, are separate from others and are self-contained (see
Table 5.2). In this context, personal characteristics relating to personality,
individual ability and intelligence are highly prized.
In collectivist cultures, individual characteristics are less important.
Interdependence among individuals, empathy and a strong sense of
belonging to a supportive group are encouraged. is approach impacts
on the way individual characteristics such as personality are construed
(Markus & Kitayama, 2010; Ritts, 2001). Asian and African cultures have
generally been thought of as having a collectivist ethos. In South Africa,
black people value the concept of umuntu umuntu ngabantu which
means a person is only a person among other people (Higson-Smith &
Killian, 2002). is essentially means that someone has personhood only
because they are able to exist and function in a complex and
interconnected way with other people. Individual characteristics are less
prominent, and the social context of interaction is more highly valued.
It should be noted that the construction of behaviour through social
experience does not imply that individual characteristics such as
personality do not exist in collectivist cultures. However, there is no word
for the concept of personality in the Chinese tradition (Hofstede, 2001).
On the other hand, ‘not all Wester thinkers are happy with individualism
… and not all Eastern thinkers are satisfied with collectivism’ (Hofstede,
2001, p. 211). As stated above, some research (see Hofstede, 2001;
Matsumoto, 1996; Triandis, 2001) has conceptualised cultures as being
on a continuum between individualism and collectivism, rather than
seeing a culture as one or the other. Cultures or societies tend to
encourage values that place individuals along different points on the
continuum (see Figure 5.11). is allows for a more fluid view of the
influence of culture on personality.

Figure 5.11 According to the continuum concept of cultural influence on personality, culture
influences people’s personality traits, but does not determine them completely
 Lastly, people often hold stereotypes about members of certain
cultures, which suggests the existence of cultural traits, or specific traits
which are encouraged by a culture. However, some research has not
supported this (see Box 5.6), while other research has found some
support for this idea (see Box 5.7).

Culture and locus of control

One aspect of personality theory that is relevant to individualistic versus
collectivist cultures is the concept of locus of control (Dumont, 2010). A
person’s locus of control is thought to be internal or external (Rotter in
Matsumoto, 1996). If personality is determined by an internal locus of
control, people view the outcome of their behaviour as being controlled
by factors deemed to be intrinsic to themselves, such as intelligence or
motivation. For example, if a person excels in a sports competition, they
assume that this is because of their talent and that they have practised
extensively. An external locus of control assumes that the outcomes of
behaviour are dependent on forces outside of the individual and beyond
individual control. For example, if a person excels in a sports
competition, that person may believe it is because of luck or because
others assisted and supported them in preparation for the competition,
thus ensuring success.
Eurocentric cultures tend to have an internal locus of control, whereas
collectivist cultures tend to have an external locus of control (Matsumoto,
1996; Triandis, 2001). Ritts (2001) cites studies conducted by a variety of
researchers to support the existence of an internal locus of control
among Americans (who have an individualistic culture) as opposed to an
external locus of control among Chinese, Japanese, Zambians and
Zimbabweans (who all have collectivist cultures). Dumont (2010) notes
that the implicit assumption underlying much research in this area is that
it is disadvantageous in life to have an external locus of control. However,
this is clearly a Eurocentric view which is at odds with collectivist people
who see inner-directedness as inappropriate.

African understandings of personality

 y
Some work has also been done on conceptualisations of the structure of
personality within collectivist cultures. For example, Berry et al. (as cited
in Matsumoto, 1996) describe a three-tiered model of African personality
(see Figure 5.12). e first tier represents spirituality at the person’s core;
the second tier, psychological aspects; and the third tier represents
physiological aspects. e body provides a casing within which these
three core layers reside. Family, community and social factors affect core
aspects of personality on different levels.

Figure 5.12 Berry et al. describe a three-tiered model of African personality (in Matsumoto, 1996)
Ngcobo (1999) supports the concept of an African personality. While
Berry et al. and Ngcobo argue that the structure of personality is different
in African people, this kind of argument needs to be evaluated critically
in order to prevent a racially or culturally biased, and therefore limited,
understanding of personality. As discussed in Chapter 28, there has been
considerable progress in developing understanding of personality by
African theorists. e following section describes one such theory
developed by Nigerian academic Augustine Nwoye.

Synoptic theory of the modern African self

As suggested above, Western personality theories have been criticised for
being too individualistic and therefore ‘foreign to the African notion of
the individual/self’ (Nwoye, 2006, p. 119). It is essential that local
theories of personality take into account the spiritual essence of African
people and how spiritual, mental and physical dimensions interact to
determine African psychological functioning (see Chapters 1 and 28).
One such theory is Nwoye’s synoptic theory of the modern African self.
is theory acknowledges the multiple and complex relationships
between the African person and his/her community. From this
perspective, the self is seen as ‘extensive’ in that, rather than acting
individually in a disconnected way, it extends out towards the
community in which it is embedded – and the community extends into
the self. It is a synoptic theory in that it brings together a set of
dimensions which are characteristic of a ‘normal/full-fledged African
human being’ (Nwoye, 2006, p. 120). It is important to note that some of
these aspects are present in certain Western personality theories, but the
synoptic theory brings these together in a balanced and holistic way.
ere are eight complementary dimensions:
1. e embodied self. is includes all physical aspects of the person. It
also includes how the person believes he/she looks and it is open to
positive or negative comments from people, which may affect a
person’s emotional well-being. e embodied self has great
significance in terms of respect and marriage prospects, among
 others, and an ‘awkward embodiment’ may cause the individual
significant distress.
2. e generative self. is is the enterprising aspect of the self, which
has goals and ambitions. e aim of this self is to be able to provide
for others; hence this aspect of the self craves status and fears failure
(which means the person is unable to help others). Its goal is to
gather ‘distinctions of worth’ as valued in the community. at may
include being a successful farmer, or having a home and family. ese
distinctions of worth differ for men and women.
3. e communal self. is refers to the relational and inclusive part of
the African self. e self is a participant in the lives of others (and vice
versa). is aspect emphasises the mutual dependence of selves,
including the living and the dead (the ancestors); indeed, in one
Ugandan language, the word for poverty also means not having
relatives. is is a balanced relationship in which the self and the
community participate equally. e communal self has multiple
obligations and involves an ‘economy of affection’ in which a leader is
obliged to provide help and support to community members.
4. e melioristic self. is aspect can be seen as the African self’s
‘resident therapist’. It copes with daily challenges and strives to
maintain psychological serenity. is self is able to tolerate mystery
and deal with the contradictions of life. It is an important source of
‘natural hopefulness’.
5. e narratological self. rough this self, the person’s cultural
memory is enshrined in stories. It provides an important way of
transmitting cultural values and morals. It is through stories that
people learn the ‘correct’ ways to behave.
6. e structural self. is self contains the person’s thoughts, feelings
and will. It provides the psychological aspects to balance the
embodied self. It is located primarily in the head (hair, mouth, eyes,
etc.), the heart and the liver. Hence, a person with difficulties with
speech will be seen as having an affliction of the head. People who
are generous and kind have a ‘good heart’, while those who are
envious or dishonest show a ‘bad heart’. ese body parts symbolise
the person him-/herself and can be used to harm the person.
7. e liminal self. is refers to the idea of a person being ‘in transition
between’ certain states. Life consists of repeated cycles of crises and
transitions which are often marked by appropriate rituals (e.g.
baptism, graduation, funeral rites). In the African context, conditions
of liminality can include a newborn child (not yet named) and a
widow in mourning.
8. e spiritual self. is self acknowledges the exceptional religiosity of
the African self. is involves belief in a Supreme Being who is
actively involved in people’s daily lives and decisions. ere is also a
belief in other ‘spiritual agencies’ which have the power to influence
life to the good or bad. ese include the spiritual aspects underlying
the natural world, as well as ancestors and other deceased relatives.
ere is also an understanding that nothing happens by chance and
that every event has a meaning that can be divined. Lastly, there is a
belief that thoughts and words have the power to bring about the state
they entail – for good or for harm.

Evaluating Nwoye’s theory

e development and description of African theories of personality are
much needed as African and South African psychology seeks to become
more relevant in the local context. Nwoye’s theory contains a helpful
synthesis of uniquely African aspects of personality with some aspects
already present in various Western theories. One critique therefore may
be to consider how unique these aspects are to African people. For
example, many non-African people would consider themselves to be
exceptionally spiritual; similarly, liminality may be experienced in any
culture worldwide. Also, in a world of cultures in transition, it seems
likely that some aspects of the theory would not be found applicable to
all African people.

Culture and personality – a reflection

e second part of this chapter has noted that personality constructs
need to be understood from within a cultural context. Much research has
been done to attempt to evaluate the applicability of Western (i.e. the
mainstream) theories of personality to non-Western societies and
cultures. is approach has built a large database (Cheung, Van de Vijver
& Leong, 2011) and has shown good support for the stability of the five-
factor model across different cultures. However, Cheung et al. (2011) note
that this model was developed through the use of English personality
terms and that a different profile may have emerged if personality terms
meaningful in other cultures had been used.

5.6 ARE IDENTIFIABLE TRAITS WITHIN CULTURES A MYTH?

Intercultural research tries to identify sets of traits specific to certain cultures. McCrae (2001)
administered the NEO-PI (see Box 6.1 for information on this personality test) to 23 031 men and women
of college age across 26 different cultures. He found similar levels of the Big Five personality traits across
subsamples from each culture which suggests that national stereotypes based on traits are not accurate

A different way of studying personality cross-culturally is to examine

personality from within a specific cultural context (Cheung et al., 2011).
is approach has arisen from the inadequacy of Western models to
capture local personality constructs. According to Cheung et al. (2011),
this approach can be seen as ‘indigenisation’ of psychology and these
authors go on to note that indigenous psychologies are at different stages
of development. One problem with this approach, however, has been an
emphasis on cultural uniqueness at the expense of an appreciation of
universal aspects of personality (Cheung et al., 2011).
Cheung et al. (2011, p. 597) go on to argue that a combination of these
two approaches ‘may bridge the divide between mainstream and
indigenous psychology and provide a comprehensive framework in
which to understand universal and culturally variable personality
dimensions’. It seems likely that this ‘middle road’ will bear fruit in
bringing together diverse understanding of personality.
 SUMMARY

• Mainstream psychological theories have developed in particular socio-historical contexts based on

specific class groupings; therefore, we need to question how well they apply universally.
• These mainstream approaches emphasise the individual’s intrapsychic processes, as well as
interpersonal relationships and family structures. The impact of community and societal norms and
values are seldom regarded as central in influencing personality.
• Culture provides a set of guidelines or rules for individuals in terms of their behaviour and
relationships with others. As such, culture is a central aspect of an individual’s identity, personality
and social experience.
• Cultures can be seen as being either individualistic or collectivist. An individualistic culture
encourages individuals to think of themselves as unique and independent selves; in a collectivist
culture, interdependence among individuals, empathy and a strong sense of belonging to a
supportive group are encouraged.
• It is more helpful to think of cultures as being on a continuum between individualism and
collectivism.
• Commonly held stereotypes about members of certain cultures have found mixed research
support.
• The concept of locus of control is central within personality theory. People either have an internal
locus of control (they believe they are responsible for their outcomes) or an external locus of
control (they believe responsibility is external to themselves). People from Eurocentric cultures tend
to have an internal locus of control, whereas people from collectivist cultures tend to have an
external locus of control.
• Nwoye’s synoptic theory takes into account essential aspects of African psychological functioning.
The theory brings together eight complementary dimensions of the ‘African personality’: the
embodied self, the generative self, the communal self, the melioristic self, the narratological self, the
structural self, the liminal self and the spiritual self.
• Nwoye’s theory provides a helpful synthesis of aspects of the African personality; however, it
includes aspects that are more globally seen as part of personality. In addition, cultural transition
may mean it is not applicable to all African people.
• The second part of this chapter has noted that personality constructs need to be understood from
within a cultural context. This can either be done by testing Western concepts across different
cultural settings or examining personality from within a specific cultural context. There are
advantages and disadvantages with each approach; in the end, a combination may be most
helpful.
5.7 PERSONALITY IN THE NEW SOUTH AFRICA
A number of interesting studies involving personality have been done since South Africa’s transition to
democracy. These include: Peltzer and Thole’s (2000) study on gender and gambling; Heuchert, Parker,
Stumpf and Myburgh’s (2000) study using the NEO–PI; and Grobler’s (2014) study on the role of
language in personality assessment in South Africa.
The political changes that occurred in South Africa since 1994 were accompanied by an increase in
opportunities for gambling. Peltzer and Thole (2000) examined the relationship between attitudes to
gambling and personality traits such as conservatism and risk taking among a sample of African
university students. The results showed that men held more positive attitudes towards gambling than
women. A positive attitude towards gambling was related to personality attributes such as willingness
to take risks, liberalism and the course of study that students chose.
Heuchert et al. (2000) examined the five-factor personality model among a sample of white, black
Indian and coloured South African university students using the NEO-PI (see Box 6.1 for information on
this test). They found that the five-factor model was well reproduced for persons of all racia
backgrounds. They found significant differences between black and white students in terms of
openness to experience, with black students scoring low, white students scoring high, and Indian
students scoring in the intermediate range on this domain. Heuchert and colleagues speculated that
these differences were primarily due to social, economic and cultural differences between the racia
groups, rather than to race itself.
Grobler (2014) collected a sample of over 100 000 South Africans to investigate the role of language
in the Basic Traits Inventory. This South African scale is based on the five-factor model and was
developed by Taylor and De Bruin in 2006 (Grobler, 2014). Grobler showed that a person’s home
language and their proficiency in English influenced their responses to the scale. However, relatively few
items showed this bias and Grobler (2014: v) concluded ‘that this personality instrument can be used
with confidence to assess personality traits in persons speaking any of the eleven official South African
languages’.

Conclusion
While there is little doubt that there are striking similarities between individuals from various
cultures, there are also important differences. It is important, therefore, to contextualise and
situate knowledge. We must take into account social, cultural and political nuances in the
development of personality. e applicability or non-applicability of Western theoretical
assumptions must be critically considered for use outside of Western cultures. Perhaps the most
meaningful way to view personality would be to allow for both individual differences and cultural
influences to coexist.

KEY CONCEPTS

anal-aggressive: an adult personality type who is impulsive,

disorderly, sadistic and hostile (suggesting fixation at Freud’s anal
stage)
anal-retentive: an adult personality type who is stubborn, stingy,
rigid, compulsively neat and overly conscientious (suggesting fixation
at Freud’s anal stage)
anal stage: the second stage in psychosexual development that
occurs from approximately 18 months to two years of age
anima: the archetype that represents the feminine part of a man’s
personality
animus: the archetype that represents the masculine part of a
woman’s personality
archetypes: universal, shared forms of thinking in the collective
unconscious that predispose humans to behave in certain ways
attentional process: the process (one of four) within observational
learning whereby an individual needs to actively pay attention to a
model
behaviourist approach to personality development: an approach
where environmental experiences, from the moment of birth and
through the entire lifespan, are seen to have the strongest influence
on the development of personality
castration anxiety: an unconscious fear experienced by boys during
the phallic stage of psychosexual development, where a boy fears that
his father will cut off his penis as retaliation for his unconscious
desire to possess his mother
classical conditioning: learning in which stimulus-driven behaviours
come to be elicited by new stimuli; in Skinner’s description of
classical conditioning, a response to a conditioned stimulus
cognitive approach to personality development: an approach that
emphasises that people are rational beings who make sense of their
worlds by means of personal constructs, which allow them to
anticipate what will happen in future
collective unconscious: according to Jung, the inherited part of our
psyche, which is shared by all human beings
collectivist culture: culture characterised by interdependence
among individuals, empathy and a strong sense of belonging to a
supportive group
conscious: the level of personality which, according to Freud,
corresponds to the sensations and experiences that we are aware of at
any given moment in time
corollaries: assumptions that stem from and elaborate on a
fundamental postulate
death instincts: the destructive forces of human nature
deficiency needs: a category of needs distinguished by Maslow,
which includes physiological needs, safety needs, social needs and
esteem needs
ego: one of Freud’s structures of personality, and the one that guides
the energy of the id by using reason; one of Jung’s levels of the psyche,
and the one that contains all the experiences that we are aware of at
any one time
Electra complex: according to Freud, an unconscious desire of girls
to possess the opposite-sex parent and at the same time to dispose of
the same-sex parent
erogenous zone: a part of the body that experiences sexual pleasure,
such as the mouth, anus and sex organs
external locus of control: a central concept in personality that
assumes that the outcomes of behaviour are dependent on forces
outside of the individual and beyond individual control
extraversion: an attitude where the psyche is oriented outwards
towards the objective world
genital stage: the final stage in psychosexual development which
occurs from the onset of puberty
growth needs: a category of needs distinguished by Maslow, entailing
the need for self-actualisation
humanistic approach to personality development: an approach to
personality that focuses on internal motivators of behaviour, and
which has an optimistic view of human nature, believing that all
humans have a positive nature, self-determination and free will
id: one of Freud’s structures of personality; the id is entirely
unconscious and houses instincts and libido
individualistic culture: a culture that encourages, fosters and
facilitates the needs, wishes, desires and values of individuals over
those of a group
instincts: according to Freud, the basic motivational drives that
determine the basis for personality, which are conceptualised as
mental representations of the internal stimuli that drive a person to
take certain actions
internalisation: the process whereby rules of right and wrong
behaviour become self-administered
internal locus of control: a central concept in personality where
behaviour is assumed to be controlled by factors deemed to be
intrinsic to the individual, such as motivation
introversion: an attitude where the psyche is oriented inwards
towards the internal subjective world
latency: the period between the phallic and genital stages of
psychosexual development, during which sexual instincts are seen as
dormant
libido: according to Freud, the psychic energy manifested by life
instincts; according to Jung, the generalised life force that refers to
human strivings and desires, and a focused psychic energy that
facilitates personality dynamics
life instincts: instincts that serve people’s needs for survival, growth
and development
life span approach to personality development: an approach that
focuses on individuals’ entire life span, from birth until death
modelling: displaying behaviour that an individual may observe and
repeat; the action of repeating behaviour an individual has seen
someone else performing
motivational process: the process (one of four) within observational
learning whereby an individual is motivated to repeat an observed
behaviour
motor reproduction process: the process (one of four) within
observational learning whereby an individual transforms
symbolically represented behaviour into action
neopsychoanalytic approach to personality development: an
approach that uses the psychoanalytic approach as a major frame of
reference in the development of its own theories
observational learning: the process whereby individuals observe the
behaviour of others, and model their own behaviour on that which is
observed
Oedipus complex: according to Freud, an unconscious desire of boys
to possess the opposite-sex parent and at the same time to dispose of
the samesex parent
operant behaviour: according to a behaviourist approach to
personality, behaviour that acts on the environment, controlling the
environment and being controlled by it
operant conditioning: change in the frequency and form of
behaviour in response to the consequences the behaviour produces
oral-aggressive: an adult personality type who is excessively
pessimistic, hostile, aggressive, manipulative and exploitative
(suggesting fixation at Freud’s oral stage)
oral-passive: an adult personality type who is gullible, cheerful,
optimistic, continually seeking approval and expecting mothering
from all those around him/her (suggesting fixation at Freud’s oral
stage)
oral stage: the first stage in psychosexual development, which occurs
from birth to approximately 18 months of age
penis envy: according to Freud, the unconscious wish experienced
during the phallic stage of psychosexual development in which girls
wish they had a penis
persona: the archetype that refers to the social roles that people
assume in society
personal constructs: fundamental components of personality that
represent ways of construing or making sense of the world so that the
future can be anticipated
personality: according to Cervone and Pervin (2013, p. 8),
‘psychological qualities that contribute to an individual’s enduring
and distinctive patterns of feeling, thinking and behaving’
personal unconscious: according to Jung, the level of the psyche that
is the collection of all our forgotten or repressed experiences, or those
we are unaware of at any point in time
phallic stage: the third stage in psychosexual development that
occurs between the ages of approximately three and six years
pleasure principle: the way in which the id operates to increase
pleasure and avoid pain
positive reinforcement: a favourable consequence of behaviour that
serves to increase the likelihood of the behaviour being repeated
postulate: a broad idea that is accepted as true and is not tested
directly, and that acts as a starting point for a theory
preconscious: the level of personality that, according to Freud,
houses the thoughts, memories and perceptions that we may be able
to recall if we shift from the present state of consciousness to the
preconscious level
primary process thought: according to Freud, the way in which the
id attempts to satisfy its needs through reflex action and wish-
fulfilling fantasy experiences
psyche: according to Jung, the centre of both mind and soul where all
experience and meaning is combined in a uniquely human way
psychoanalytic approach to personality development: an approach
that considers the structures of personality as largely unconscious,
and that perceives behaviour as strongly influenced by the ongoing
conflict between instincts, unconscious motives, past experiences
and social norms
psychological processes: according to Kelly, people’s experiences,
thoughts, feelings and behaviours
psychological types: according to Jung, psychological types arise out
of combinations of two attitudes (extraversion and introversion), and
four functions (thinking and feeling, sensing and intuition)
punishment: when behaviour is followed by a negative or aversive
stimulus, the behaviour typically decreases in strength
reality principle: the process whereby the ego helps to satisfy id
impulses in socially appropriate ways
respondent behaviour: according to the behaviourist approach to
personality, a specific spontaneous response to a known stimulus
where the stimulus precedes the response in time
retention process: the process (one of four) within observational
learning whereby an individual remembers an observed behaviour
secondary process thought: Freud’s conception of mental functions
that develop from interaction with the outside world (such as
perception, recognition, judgement and memory)
self: the archetype that represents the striving towards unity among
all the aspects of the personality, and controls the allocation of
psychic energy so that different parts of the personality are expressed
appropriately
self-actualisation need: the highest-level need distinguished by
Maslow, which provides the most intense kinds of spiritual and
psychic gratification
self-efficacy: the belief that one has the ability to perform the
behaviours needed to achieve certain goals or to manage a situation
self-reinforcement: the process whereby individuals improve or
maintain their behaviour by giving themselves self-devised rewards
whenever their behaviour falls within certain self-imposed standards
shadow: the archetype that refers to those thoughts, feelings and
behaviours that people possess but do not accept
social learning approach to personality development: an approach
that recognises the influence of stimulus–response processes on
behaviour as well as people’s internal interpretations (cognitions) of
the environment, and people’s social interactions in the development
of personality
source traits: the underlying source of a person’s surface traits
superego: one of Freud’s structures of personality and the one that
contains the notions of right and wrong that we have learned during
our childhood
surface traits: the overt behaviours and characteristics that people
show consistently
traits: personal characteristics which people have to a greater or
lesser degree
unconscious: the level of personality which, according to Freud,
contains memories, emotions and instincts that are so threatening to
the conscious mind that they remain buried in the unconscious mind
 vicarious reinforcement: the process whereby an individual
observes others receiving rewards or punishments or being ignored
for a particular behaviour and then anticipates receiving similar
consequences for a similar behaviour, resulting in that individual
attending to, remembering and performing that behaviour
him-/herself, or not

EXERCISES

Multiple choice questions

1. Which theorist introduced the concept of the unconscious and

highlighted the relationship of consciousness to the unconscious?
a) Jung
b) Skinner
c) Bandura
d) Freud.

2. According to Freud, during the phallic stage of development, boys

experience ________, and girls experience __________.
a) Electra complex; penis envy
b) Oedipus complex; castration anxiety
c) castration anxiety; penis envy
d) Electra complex; Oedipus complex.

3. Freud hypothesised that an anal-aggressive personality would be

characterised by:
a) impulsivity and hostility
b) stubbornness and rigidity
c) vanity and naïvity
d) all of the above.

4. Which one of the following statements is correct?

a) Skinner is known to have formulated the psychosocial stages of
development.
 b) Erikson is known to have formulated the psychosocial stages of
development.
c) Maslow is known to have formulated the psychosocial stages of
development.
d) Bandura is known to have formulated the psychosocial stages of
development.

5. e five-factor model of personality was developed from the work of:

a) Albert Bandura
b) Abraham Maslow
c) Carl Rogers
d) Raymond Cattell.

6. It is a very hot day in summer and you are sweating a lot. According to
Skinner, your sweating is:
a) operant behaviour
b) respondent behaviour
c) punishment
d) negative reinforcement.

7. Which of the following statements correctly orders Maslow’s

hierarchy of needs from the basic needs to the higher-order needs?
a) safety, belongingness and love, self-esteem, self-actualisation and
physiological
b) physiological, safety, belongingness and love, self-esteem and
self-actualisation
c) self-esteem, self-actualisation, belongingness and love,
physiological and safety.
d) self-actualisation, belongingness and love, physiological, safety
and self-esteem.

8. Which of the following statements does not reflect the concept of self-
efficacy as described by Bandura?
a) It is a characteristic possessed by one or a few persons.
b) It is one of the most powerful self-regulatory processes.
 c) It is a belief that concerns one’s ability to perform behaviours
producing a desirable expected outcome.
d) It differs as a function of gender and age.

9. Individualistic cultures:
a) are American
b) value the self above the group
c) value the group above the self
d) none of the above.

10. Collectivist cultures:

a) are African
b) value the characteristics of the individual above the group
c) value the self above the group
d) view individuals as linked to each other and interdependent.

Short-answer questions
1. Freud described the structures of personality as the id, ego and
superego. Describe the id, ego and superego and explain how they are
interrelated.
2. Briefly outline Erikson’s theory of psychosocial development.
3. How does Skinner explain the difference between respondent
behaviour and operant behaviour?
4. Outline Maslow’s hierarchy of innate needs, and indicate how these
needs operate hierarchically.
5. Briefly describe the four processes that direct what Bandura called
observational learning.
6. Why do Laubscher and Klinger (1997) use the terms ‘personality’ and
‘the self’ interchangeably within the South African context?
 CHAPTER
Personality assessment 6
Ashraf Kagee & Loraine Townsend

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• understand the process of psychological assessment
• differentiate between a clinical interview, objective assessment and projective assessment
• discuss some of the controversies in personality assessment
• describe the types of validity and the types of reliability that a measurement instrument may
have.

CASE STUDY

Yolisa found that learning about personality assessment made her feel both interested and nervous
at the same time. It was exciting to think that it was possible to accurately identify, interpret and
measure her own personality traits. On the other hand, it was a bit scary to think that someone
could test her and discover what she was really like – maybe that they could even see things about
herself that she didn’t know.
Yolisa spoke to some friends after class about this whole idea of being able to establish a
person’s personality characteristics. They agreed that personality tests were not magical tools that
you could use to read people’s minds, but that they might be helpful in the complicated task of
trying to find out who somebody is and what they are capable of. Yolisa and her friends ended up
laughing about how personality tests might have come in useful in checking out some of their less
successful romantic partners. Afterwards, though, Yolisa thought more seriously about how she
might be able to make better choices about jobs, careers and courses – maybe even relationships –
if she understood a bit more about herself.

Introduction
As a discipline and profession, psychology has always been concerned
with the measurement of mental and behavioural phenomena. e
measurement of personality is therefore an important concern to
personality theorists.

Ways to assess personality

e three most popular ways of conducting an assessment of personality
are the clinical interview, objective personality assessment and
projective personality assessment.

The clinical interview

e most common method of assessing the nature of a patient’s
personality is the clinical interview. e purpose of an interview is to
evaluate the patient’s verbal and non-verbal behaviour in order to
understand what might be done to help the patient. An interview usually
involves at least two people: the interviewer and the patient. An
assessment interview is a conversation with the purpose of gaining an
understanding of the personality dynamics of the patient. e challenge
then is for the interviewer to have a clear goal in mind and to proceed
with the interview in a way that will achieve that goal.
Often people seek psychological help for serious personal problems,
frequently brought about because of certain personality traits. e
interviewer begins by asking the patient to describe the problem and
pays special attention to the way he/she understands and interprets the
problem. e interviewer may ask about the history of the problem, and
in this way gain insight into the circumstances surrounding the origin of
the problem, when the problem became worse, and situations in which
the patient is less bothered by the problem. is kind of information is
useful in deciding about treatment options to help alleviate the problem
or disorder that the patient is found to have. Information of this nature is
also likely to be informative about the personality of the patient and how
he/she engages with the world.
 Assessment interviews may be unstructured, semi-structured, or
highly structured.

Figure 6.1 An assessment interview is conducted to gain an understanding of the patient

Unstructured interviews
An unstructured interview often takes the form of a conversation in
which any issue that comes up is pursued. e interviewer is minimally
directive and considers most of what the patient says as important
information that will help to gain a better understanding of the patient.

Semi-structured interviews
A semi-structured interview involves the use of some questions to
provide structure to the interview and may help guide the patient’s
responses. e interviewer is interested in the patient’s general responses
to the questions and considers them to be a way to get the patient to talk
about him- or herself. Open-ended questions are typical in semi-
structured interviews. In other words, the interviewer often asks
questions to which the patient might respond in any way (e.g. ‘How do
you feel about school?’). is kind of conversation is helpful for the
interviewer to get to know the patient better.

Structured interviews
A structured interview is exactly that – a highly structured encounter in
which the interviewer asks only a specific set of questions, to which exact
answers are of interest. In many ways a structured interview is like a
questionnaire that is verbally administered. Questions are asked that will
elicit responses that can fit into pre-determined categories. erefore the
questions are closed (e.g. ‘Do you feel sad or depressed a lot of the
time?’). e answer to a question such as this may either be ‘yes’ or ‘no’,
or possibly ‘sometimes’.
Structured interviews usually provide the interviewer with the exact
words to use when asking questions as well as highly specific guidelines
about how to score or code the patient’s answers. A popular structured
interview that is used in both clinical and research settings is the
Structured Clinical Interview for the DSM (SCID), developed by Spitzer
and his colleagues. Versions of this, updated for the DSM-5, are now
available. Structured interviews of this nature are often used in research
or clinical settings to establish whether or not people have disorders.
us, the interview questions are designed to elicit responses from the
patient that would allow the interviewer to determine whether the
patient has the symptoms of a particular disorder. For this reason,
interviewers have to undergo specific training in psychology with a
particular emphasis on psychopathology (the psychological functioning
of disordered persons), as well as training in the administration of the
specific structured interview that is used.
 SUMMARY

• Personality is most commonly assessed through some combination of the clinical interview,
objective personality assessment and projective personality assessment.
• The clinical interview is used to evaluate the patient’s verbal and non-verbal behaviour in order to
understand the personality dynamics of the patient. The interviewer gathers information about all
aspects of the problem.
• Unstructured interviews are a free-flowing conversation with minimal direction from the
interviewer. A semi-structured interview uses some questions to structure the interview. Structured
interviews are like questionnaires that are verbally administered; they typically contain a series of
questions with a set of pre-determined answers.
6.1 EXAMPLES OF OBJECTIVE PERSONALITY TESTS
Minnesota Multiphasic Personality Inventory
The Minnesota Multiphasic Personality Inventory (MMPI) is a widely used paper-and-penci
personality test that has 566 statements which respondents have to endorse as ‘true’ or ‘false’ or
‘undecided’. The statements include topics like ‘I sleep badly at night’ and ‘I chew my food well’.
The MMPI is based on an empirical approach to test construction. The content of respondents
answers to individual test items is usually of little interest to the psychologist. Instead the developers
matched the patterns of people’s answers to the patterns of responses of criterion groups. These
criterion groups were people who had characteristics of special interest, for example a psychologica
diagnosis such as depression or schizophrenia. Thus, if an individual respondent showed a pattern of
responses similar to a criterion group of depressed individuals, this would constitute important data
suggesting that the respondent might be at risk for depression. The MMPI is therefore an example of
what is called a criterion-based approach to personality assessment. Items on the MMPI were not
selected on the basis of what their content seemed to mean, but on the basis of empirical findings
relating to the pattern of responses.
One of the innovative aspects of the MMPI is the inclusion of a validity scale designed to detect
suspicious response patterns such as misrepresentation, dishonesty, defensiveness and evasiveness. An
interpreter of an MMPI profile would first check the validity scale and determine whether the results are
valid before proceeding to interpret the rest of the profile.

Neuroticism-Extraversion-Openness Personality Inventory

The Neuroticism-Extraversion-Openness Personality Inventory Revised (NEO-PI-R, or just NEO for
short) was originally designed to assess personality characteristics in adult normal populations. The NEO
is based on the assumption that there are five basic dimensions underlying the traits that people use to
describe themselves and others (De Raad, 2000; McCrae & Costa, 1992) (also see Chapter 5). Some
available research suggests that these five basic dimensions may be found in cultures other than those
considered to be Western. The five dimensions of personality, or the Big Five (Costa & McCrae, 1992), are
as follows:
The extraversion dimension discerns between people who are gregarious, warm and positive versus
those who are quiet, reserved and shy.
The agreeableness dimension describes people who are straightforward, compliant and sympathetic
versus those who are quarrelsome, oppositional and unfeeling.
The conscientiousness dimension refers to achievement-oriented and self-disciplined people
compared to those who are frivolous and irresponsible.
The neuroticism dimension differentiates between people who are anxious and depressed, on the one
hand, and those who are calm, contented and self-assured, on the other.
Finally, the openness-to-experience dimension refers to those people who are creative, open-minded
and intellectual versus those who are unimaginative, disinterested and narrow-minded.
These dimensions are derived from the early trait theories of personality. The strength of the Big Five
model is that it is easy to understand because the five dimensions were developed from natura
language. The NEO-PI-R, which assesses the Big Five dimensions, has been tested with samples using
different languages and has been shown to have some validity in a variety of cultures (Cheung, Van de
Vijver & Leong, 2011). Like the MMPI, the NEO-PI-R consists of a set of statements which the testee must
rate on a five-point scale from ‘strongly agree’ to ‘strongly disagree’.
Objective personality assessment
Objective personality assessment instruments refer to psychological
tests that consist of questions, possible response options, scoring
procedures and methods of interpretation, all of which are highly
structured and standardised. For this reason they can be administered,
scored and even interpreted in a reliable and accurate manner by both
professionals and trained lay persons. Objective tests are used to assess
either people functioning within the normal range, such as job
applicants, or those considered to be psychologically disordered, such as
residents in a psychiatric hospital.

Figure 6.2 An example of a questionnaire

 6.2 USING THE HOPKINS SYMPTOM CHECKLIST
As part of an assessment procedure, a clinician could ask a patient to complete the Hopkins Symptom
Checklist (HSCL-25), which is another example of an objective personality assessment tool.
The HSCL is a paper-and-pencil test intended to provide health care providers with a means of
detecting symptoms of anxiety and depression in their patients. Possible scores on this measure range
from 25 to 100. Previous research suggests that most people in the normal range of functioning score
below 44 on the HSCL and therefore persons whose scores fall above 44 may require more intensive
attention from a mental health professional.
For example, a particular patient may score 55 on the HSCL, clearly higher than the cut score of 44
This would suggest that the patient may have an elevated level of distress and therefore be eligible for a
psychological diagnosis of anxiety or depression. In such a case, assessment using a structured interview
would be necessary to determine whether or not the person should be diagnosed with a particular
disorder.
A major benefit of objective tests is their efficiency. Whereas an interview must usually be
administered by a trained professional, an objective test does not need to be, and in many cases is self-
administered by the respondent. This makes objective tests much more cost effective than interviews
especially when large numbers of people need to be assessed in a short time.
A large variety of tests are available for use in clinical, research, educational and vocational settings
The Mental Measurements Yearbook (Buros Institute of Mental Measurements, 2014), now in its 19th
edition, is a catalogue of available tests and brief evaluations of their quality and usefulness. Each entry
includes descriptive information about the test, reviews by professional reviewers and a list of references
to literature that is pertinent to the test.
Tests that do not require an examiner for administration, and are therefore self-administered by the
test-taker, are called self-report inventories.

ere is considerable research data available for many objective tests.

ese data have been used to develop standardised rules to interpret test
scores in relation to previously established criteria, such as group norms.
An important benefit of objective tests is that they permit the comparison
of people on various personality dimensions. us an objective test that
has been standardised and normed may help an evaluator make
statements about whether an individual has more or less of the
characteristic in question. e use of cut scores is important here. e cut
score on a scale is the point below which most people would score. If a
person’s score falls above the established cut score, their performance
would be interpreted as lying outside the normal range.

Projective personality assessment

Projective personality assessment techniques use stimuli that can be
interpreted in different ways, and the patient is asked to offer any
response that comes to mind. e assumption with projective techniques
is that responses are likely to reflect aspects of the patient’s personality
(their characteristics and needs, values and beliefs) that are usually
concealed (Bain, Amod & Gericke, 2013). Psychologists who use
projective assessment methods find them useful because it is difficult for
patients to provide socially desirable responses. is is because the
content of the test is ambiguous, and it is therefore less apparent what the
psychologist wants to find out. e person might be shown a series of
stimuli (e.g. abstract patterns or incomplete pictures) and asked to
provide interpretations or responses to them. Responses to these stimuli
are said to be projections of the person’s inner feelings, personal motives
and conflicts. ese are derived from prior life experiences that are
considered to be unconscious and therefore unable to be assessed
directly.
One famous projective instrument is the Rorschach test, which uses
symmetrical inkblots as ambiguous stimuli to which the patient is asked
to respond. ese responses are then interpreted and statements are
generated regarding the person’s underlying personality traits. ere has
been a great deal of debate over the use of the Rorschach. On one side,
many clinicians find the test useful for clinical or forensic assessment
(Weiner, 2004). On the other side, there are several theorists who argue
that the reliability and validity of projective tests are much lower than
objective tests (Bain et al., 2013; Lilienfeld, Wood & Garb, 2000). is is
because there are no standardised norms. In addition, the interpretation
may be influenced by context and by cross-cultural factors. As a result,
these theorists believe the test should no longer be used or taught to
trainees. However, they continue to be used in some clinical settings.
In the South African context, these tests should be applied with
caution (Bain et al., 2013). In addition, from a social constructionist
perspective, some argue that examiners need to know and understand
‘the lived world of the examinee’ before assuming to interpret their test
results (Bain et al., 2013, p. 349). Bain et al. (2013) add that it is important
for examiners to be well trained in the projective technique; they should
establish rapport and be cautious and thoughtful if interpreters need to
be used.

Criticisms of personality assessment

Tests are dehumanising
Not all psychologists are in favour of personality assessment. Some
consider personality tests to be dehumanising in that they force
respondents to choose answers from a range of options that are imposed
by the person who constructed the test. us the criticism is that tests try
to pigeon-hole people into pre-existing categories.

Tests invade privacy

It is important to conduct an interview under conditions of
confidentiality. Self-report measures are easier in that a secretary or
assistant may administer these, a patient may complete them in a clinic’s
waiting room if necessary, and usually no words are exchanged so that
privacy becomes less of an issue. However, when a person responds to a
test, that person’s privacy is always to some extent compromised.

Tests can be biased

Tests can be biased in many ways. For example, tests that require the
ability to read are biased against non-literate persons. In societies in
which the literacy level is low, it may not be appropriate to use paper-
and-pencil personality tests. Instead, the interview-based method of
assessment may be more appropriate. However, interviews are more
resource intensive to administer than self-report measures, as they
require the interviewer to be trained and a specific meeting time to be
arranged. Interviews are also not necessarily free from bias.
 Tests may be culturally inappropriate
Personality assessment may also be culturally inappropriate in some
contexts. For example, in many highly industrialised societies, values
such as individual independence and autonomy are highly regarded.
However, in some less technologically developed countries, many people
value interdependence and communalism as the bases for the
functioning of their society. us a personality assessment procedure
developed in an industrialised country may place a great emphasis on
independence, and high scores on this measure may be regarded more
positively than low scores. When administered in a culturally different
context, respondents may score low on this measure and may be
considered to have personality problems such as difficulty individuating
or separating from their families of origin. e usefulness of various
assessment procedures should be considered from the perspective of
local traditions, customs, values and beliefs (see below for a more in-
depth discussion of this critique).

SUMMARY

• Objective personality assessment involves tests with highly structured and standardised questions,
possible response options, scoring procedures and methods of interpretation. This makes their
scoring and interpretation more reliable. They can be used with both normal and disordered
patients.
• Projective personality assessment uses tests with ambiguous stimuli. The patient is asked to
respond in any way that comes to mind. The assumption behind these tests is that patients will
project their inner feelings, personal motives and conflicts. There are issues with the reliability and
validity of projective tests.
• Personality assessments have been criticised from a number of perspectives. Some consider
personality tests to be dehumanising in that they try to force people into pre-existing categories.
They also involve some invasion of privacy. Tests and interviewers may also be biased in various
ways. Lastly, personality assessment inevitably occurs within a cultural context; tests developed in
that context may not be appropriate for people from a different culture.
The reliability and validity of
psychological measurement
instruments
It is important to consider the reliability and validity of any psychological
measurement instrument (of which personality assessment instruments
form but one category).

Reliability
e accuracy and consistency of a measurement instrument (its ability to
provide similar results over repeated administrations) is referred to as its
reliability. A good example is a bathroom scale. You expect the scale to
give a consistent measure each time you use it. Unfortunately, no
psychological measurement scale is perfect, and scores on even the best-
known scales are influenced by error to a greater or lesser degree. ese
shortcomings are summarised neatly in one of the most fundamental
equations of classical psychometric theory:

observed score = true score + error score

is equation makes an important distinction between observed scores

and true scores. e score a participant obtains on a measurement scale
is his/her observed score. If one person is evaluated with the same scale
on a number of different occasions, it can be expected that his/her scores
will not be exactly the same every time. However, he/she should be
similar. If it were possible to evaluate a person with the scale an infinite
number of times, the mean (or average) of these scores would represent
his/her true score. As it is impossible to test people an infinite number of
times, the true score is thought of as a hypothetical score.
ere are many reasons why respondents’ observed scores might
differ from their true scores. ese reasons are largely due to
measurement error, represented by the error score in the equation
above. e relative influence of error in a set of observed scores is
determined by means of a reliability coefficient.

6.3 CONTROVERSIES IN THE ASSESSMENT OF PERSONALITY

Can psychological experiences be measured in the same manner as physical objects? Many
psychologists believe that if a psychological phenomenon exists, it also exists in some amount and thus
one should be able to measure it. Therefore all personality attributes, if they exist at all, should be
observable in some way and therefore measurable. Other psychologists dismiss this notion and are
critical of the practice of reducing complex psychological experiences to a set of numbers. These
psychologists feel that the quantification of personality results in a loss of meaning and may even
dehumanise the person.

Using psychological tests for job applicants

Some companies administer a battery of psychological tests to job candidates and, on the basis of their
performance on these, invite some of them to be interviewed for the job. Those candidates whose
scores fall outside the desirable range will not be invited for an interview. Defenders of this practice say
that interviewing is a resource-intensive and time-consuming task, and therefore employers want to be
reasonably sure that interview candidates are within the acceptable range in terms of their personality
attributes. Opponents of this practice feel that one can only really get to know someone in a face-to-
face context, and that pre-testing with personality tests is reductionist and dehumanising. They feel that
the human personality exists in relation to other people, and that the interaction between the
interviewer and the candidate best represents how the candidate will perform in a work environment.

Making psychological tests for psychologists

In psychotherapy process research, the empathy of the therapist towards the client has been the focus
of measurement. Many psychologists have criticised this effort, saying that empathy is an intangible
phenomenon that cannot be reduced to a single number. Yet, it may be said that therapist A is
consistently more empathetic than therapist B. This kind of statement automatically assumes some form
of quantification, even if this is less precise than the measurement of length, weight or volume. Thus
those psychologists who are determined to measure as many constructs as possible, advocate the
development of psychometric instruments that assess phenomena such as empathy, love and trust.

Making psychological tests for other qualities that are difficult to measure
The questions of how to measure compatibility between romantic partners, trust between co-workers
or the bond between a parent and a child seem to defy quantification. Some psychometricians view
these situations as challenges for their field, while other psychologists think that it is futile to try and
measure these kinds of concepts. What do you think?

ere are four types of reliability: test-retest, parallel forms, split-half

and internal consistency.

Test-retest reliability
Test-retest reliability is the type of reliability that is related to the degree
to which individuals’ scores remain constant over repeated
administrations of a scale. As the name suggests, the same measurement
scale is completed by the same group of people on more than one
occasion. Usually, only two administrations are conducted, the second
one between five and 10 days after the first. If people’s scores are very
similar on both occasions, the measurement scale has high test-retest
reliability, and the reliability coefficient will be close to +1 (the
maximum). In this instance, measurement error has had little influence
on the scores. If the measurement scale has low test-retest reliability, the
reliability coefficient will be close to –1 (the minimum). Here,
measurement error will have had a great deal of influence on the scores.
ere are a number of problems with this method for testing the
reliability of a scale. First, people may remember their previous answers
and merely repeat them (known as reactivity). is will produce a high
test-retest reliability that may have nothing to do with the consistency
and thus the reliability of the scale. Second, people may have changed in
the period between administrations (called maturation), and may
provide different answers because of this change. is will produce a low
test-retest reliability that may have nothing to do with the reliability of the
scale.

Parallel forms reliability

Instead of administering the same measurement scale on one or more
occasions, in this instance a researcher would administer, on one
occasion only, two different scales that measure exactly the same thing. If
scores on one form of the scale were very similar to the scores on the
other form of the scale, the tests would have high parallel forms
reliability, and a reliability coefficient close to +1. is method addresses
the problem of reactivity found with test-retest methods as the items on
the two forms are likely to be completely different despite the fact that
they measure the same thing.

Split-half reliability
If all the items in a measurement scale measure exactly the same degree
of the relevant characteristic, researchers can find the scale’s split-half
reliability by splitting the scale in half and comparing the two halves. To
do this, researchers typically divide the items of the scale randomly into
two halves, and then calculate a reliability coefficient that compares the
scores from the one half with scores from the other half.
A high split-half reliability coefficient (one that is close to +1) indicates
that the two halves measure the same things. A low split-half reliability
coefficient (one that is close to –1) indicates that the two halves probably
measure different things.
is type of reliability overcomes the problems of reactivity and
maturation. However, it is not without shortcomings. e reliability of a
scale is often determined by the number of items it contains such that the
reliability of a scale increases as more items are added to it. e split-half
method effectively reduces the number of items in a scale by half, and the
reliability may be reduced because of the smaller number of items, rather
than an indication that the scale is unreliable. A statistical formula can be
applied to correct this.

Internal consistency reliability

Internal consistency reliability is the most commonly reported
measure of reliability. It is calculated by determining the degree to which
the score on each single item in a measurement scale is related to every
other one in the scale. Each item will then have a measure of its relation
to all the other items in the scale. e average of these measures of
relation is the reliability coefficient, which provides an indication of the
degree to which the items in a scale are all related to the same construct.
When the scores for the various items are closely related, the reliability
will be high (close to +1). In the field of personality measurement,
coefficients of 0.8 and higher are desirable. Questionnaire-type scales
with a coefficient greater than 0.7 are considered reliable (internally
consistent).

Validity
While reliability is an important characteristic of any psychological
measuring instrument, it does not guarantee the validity of the scores
obtained by that instrument. Validity is the extent to which the scale
measures what it is supposed to measure (one would not use a
personality test to measure intelligence, for example). In other words, if
an individual has less of a characteristic than another person, a scale that
measures that characteristic in a satisfactory manner will reflect this
difference.
ere are several types of validity, the main ones being content
validity, criterion-related validity, construct validity, and convergent and
divergent validity.

Content validity
e content validity of a measurement scale refers to the degree to
which it represents the domain of interest. How does one ensure content
validity? First, the person constructing the scale should have a thorough
theoretical knowledge of what is to be measured. Second, no important
aspects of the domain of interest should be left out, and no aspects
should be included that are not part of the domain of interest. e
content validity of a measurement scale is satisfactory only if the chosen
items adequately represent the domain of interest. Content validity
cannot be expressed numerically and can only be judged by experts in
the particular domain of interest.

Convergent and divergent validity

A measurement scale will have convergent validity if its scores are
strongly related to the scores on another scale that measures the same
behaviour or phenomenon. Similarly, a measurement scale will have
divergent validity if its scores are not related to scores on another scale
that measures a different behaviour or phenomenon.

Criterion-related validity
e criterion-related validity of a measurement scale is assessed by
comparing it to another measure that has already been shown to be valid.
is other measure is called a criterion measure. e more closely the
scores on the measure in question match the scores on the criterion
measure, the better the criterion validity of the measure in question.
We can distinguish between two types of criterion-related validity.
When the measure in question and the criterion measure are
administered at the same time, concurrent validity of the measure in
question will be assessed. When the criterion measure is administered
some time after the measure in question, and the scores on the two
measures match closely, we can say that the measure in question was
able to predict the scores on the criterion measure. In this instance, the
validity of the measure in question is called predictive validity.

Construct validity
e term ‘construct validity’ refers to the degree to which a
measurement scale succeeds in measuring what it intends to measure. To
ensure construct validity, a researcher should first identify all other
variables that have been shown (theoretically, empirically and logically)
to be strongly related to the variable in question. ey should then
measure all the variables and determine the relationships between them.
On the basis of the strength (or weakness) and number of these
relationships, they will be able to demonstrate the construct validity of
the variables measured by their measurement scale.
It is clear that construct validity employs some of the same methods
that are used to obtain criterion-related validity. e difference is based
on the reason for which the validity is sought. Criterion-related validity is
mostly used to assess the practical utility of the measurement scale,
whereas construct validity is used to assess the scientific utility of the
scale.
However, contemporary psychometricians view all types of validity as
different manifestations of construct validity. Hence, if a measurement
scale predicts a criterion in a theoretically meaningful way, and the
content validity of the scale is judged to be satisfactory, then this
evidence also supports the construct validity of the scale.
 Figure 6.3 Construct validity

SUMMARY

• The reliability and validity of any psychological measurement instrument must be evaluated.
• Reliability refers to the consistency of measurements produced by the test; that means its ability to
provide similar results over repeated administrations. No psychological scale is entirely reliable; the
observed score is made up from a true score and an error score.
• There are four types of reliabilities: test-retest reliability, parallel forms reliability, split-half reliability,
and internal consistency reliability.
• Validity refers to how well the scale measures what it is supposed to measure.
• The main types of validity are content validity, criterion-related validity, construct validity, and
convergent and divergent validity.

Conclusion
e assessment of personality can take several forms, such as interviews, standardised
psychometric tests and projective techniques. e interview is probably the most thorough
method of personality assessment, in that it permits the interviewer to take time to get to know
the person in a face-to-face encounter. An important limitation is that it is time consuming and
interviewers need to be trained professionals. For this reason, self-report psychometric measures
are often used for personality assessment. Two of the most popular instruments are the MMPI
and the NEO-PI-R. When using a psychometric instrument to assess personality it is important
that the measure has good reliability and validity, otherwise the assessment may yield inaccurate
results. In most cases, projective methods of assessment have limited utility because of
inadequate reliability and validity. Generally, persons who conduct personality assessments
should be trained in personality theory, psychopathology, psychometric theory and statistics.
KEY CONCEPTS

agreeableness: the dimension of personality that describes whether

people are straightforward, compliant and sympathetic, or
quarrelsome, oppositional and unfeeling
clinical interview: an interview between a psychologist and a patient
where the psychologist evaluates the patient’s verbal and non-verbal
behaviour in order to understand what might be done to help the
patient
concurrent validity: a type of criterion-related validity where a
criterion measure, and a measurement scale for which criterion-
related validity is being sought, are administered at the same time
conscientiousness: the dimension of personality that describes
whether people are achievement oriented and self-disciplined, or
frivolous and irresponsible
construct validity: the validity of a research instrument that refers to
the degree to which an instrument succeeds in measuring what it
purports to measure, and is supported by examining the pertinent
variables and the relationships between them
content validity: the validity of a research instrument that refers to
the degree to which it represents the domain of interest
convergent validity: the validity of a research instrument that refers
to how its scores are related to scores on another scale that measures
the same behaviour or phenomenon
criterion groups: groups of people who have characteristics of
special interest, such as a psychological diagnosis such as depression
or schizophrenia
criterion measure: a measurement scale or instrument that has
already been shown to be valid, against which another measurement
scale’s criterion-related validity is assessed
criterion-related validity: the validity of a research instrument that
refers to how it compares with another instrument that has already
been shown to be valid
cut score: the point on a scale that indicates the highest point of the
normal range
divergent validity: the validity of a research instrument that refers to
how its scores are not in any way related to scores on another scale
that measures a different behaviour or phenomenon
error score: the score on a measurement scale that represents the
difference between a hypothetical true score and an observed score
extraversion: the dimension of personality that describes whether
people are gregarious, warm and positive, or quiet, reserved and shy
Hopkins Symptom Checklist (HSCL-25): a paper-and-pencil test
that detects anxiety and depression
internal consistency reliability: the reliability of a research
instrument that refers to the degree to which the items in a
measurement scale are all related to the same construct
maturation: a problem that may occur when assessing the test-retest
validity of a measurement scale where people may change in the
period between the first and second administrations of a
measurement scale causing their answers to differ greatly from one
administration to the other
Minnesota Multiphasic Personality Inventory (MMPI): a widely
used paper-and-pencil personality test that has 566 statements that
respondents have to endorse as ‘true’ or ‘false’ or ‘undecided’
neuroticism: the dimension of personality that describes whether
people are anxious and depressed, or calm, contented and self-
assured
Neuroticism-Extraversion-Openness Personality Inventory
Revised (NEO-PI-R): an inventory used to assess personality
characteristics in adult normal populations, and which is based on
the assumption that there are five basic dimensions underlying
commonly described personality traits
objective personality assessment instruments: psychological tests
that consist of highly structured and standardised questions, possible
response options, scoring procedures and methods of interpretation
observed score: the score a participant obtains on a measurement
scale
openness to experience: the dimension of personality that describes
whether people are creative, open-minded and intellectual, or
unimaginative, disinterested and narrow-minded
parallel forms reliability: the reliability of two research instruments
that refer to each one’s ability to reflect the results of the other one,
which also tests for the same phenomenon or behaviour
predictive validity: a type of criterion-related validity where a
measurement scale for which criterion-related validity is being
sought, is administered some time after a criterion measure
projective personality assessment techniques: assessment
techniques where the patient is asked to respond to ambiguous
stimuli
psychometricians: psychologists who have undergone additional
training in the design, administration and interpretation of
measurement scales
reactivity: a problem that may occur when assessing the test-retest
validity of a measurement scale where people may remember their
answers on the first administration of the measurement scale, and
merely repeat them on the second administration of the scale causing
their answers to be almost identical on both administrations
reliability: the accuracy and consistency of a measurement
instrument (its ability to produce similar results over repeated
administrations)
Rorschach test: a projective assessment technique that uses
symmetrical inkblots as ambiguous stimuli to which the patient is
asked to respond, thus generating statements that can be interpreted
to discern the patient’s underlying personality traits
semi-structured interview: an interview in which some questions
are asked to provide structure to the interview, which may help guide
the patient’s responses
split-half reliability: the reliability of a research instrument that
refers to whether its randomly divided items are found to be related to
each other
structured interview: an interview in which questions are asked that
will elicit responses that can fit into pre-determined categories
test-retest reliability: the reliability of a research instrument that
refers to whether the same test produces similar results when
 completed by the same respondents on two separate occasions
true score: the hypothetical score that would be the average of the
infinite number of scores a person received after doing a particular
personality test an infinite number of times
unstructured interview: an interview in which any issue that comes
up is pursued in conversation
validity: the extent to which a measurement instrument actually
measures what it is meant to measure

EXERCISES

Multiple choice questions

1. Which of the following is incorrect?

a) A clinical interview is a popular way of assessing personality.
b) A projective test is a popular way of assessing personality.
c) An objective test is a popular way of assessing personality.
d) Free association is a popular way of assessing personality.
2. One famous projective test is the:
a) Minnesota Multiphasic Personality Inventory
b) NEO Personality Inventory
c) Hopkins Symptom Checklist
d) Rorschach inkblot test.
3. Which objective test of personality is based on the assumption that
there are five basic dimensions underlying the traits that people use
to describe themselves and others?
a) the Minnesota Multiphasic Personality Inventory
b) the Minnesota Extraversion-Openness Personality Inventory
c) the Neurotic Personality Inventory
d) the Neurotic-Extraversion-Openness Personality Inventory.
4. Which of the following describes why some psychologists are not in
favour of personality assessment?
a) Personality tests are dehumanising.
 b) Personality tests are biased against people who cannot read, or
have difficulty reading.
c) Personality assessment may be culturally inappropriate in some
contexts.
d) All of the above are correct.
5. Which of the following is not a form of reliability?
a) test-retest reliability
b) equivalent forms reliability
c) split-half reliability
d) convergent reliability.
6. e extent of correspondence between what a test measures and what
it is supposed to measure is called:
a) reliability
b) validity
c) test confidence
d) the correlation coefficient.
7. A type of criterion-related validity where a criterion measure and a
measurement scale for which criterion-related validity is being
sought are administered at the same time is called:
a) divergent validity
b) concurrent validity
c) predictive validity
d) internal consistency validity.
8. e most fundamental equation of classical psychometric theory
states that:
a) observed score = true score + error score
b) observed score – error score = true score
c) true score = observed score – error score
d) true score – error score = observed score.
9. e reliability of a measurement scale refers to:
a) the accuracy and consistency of the measurement instrument
b) the correspondence between what the scale measures and what it
is supposed to measure
c) its ability to produce similar results over repeated administrations
 d) both a and c are correct.

10. Although construct validity employs some of the same methods that
are used to obtain criterion-related validity, what is the basic
difference between the two?
a) Construct validity is mostly used to assess the practical utility of
the measurement scale, whereas criterion-related validity is
mostly used to assess the scientific utility of the scale.
b) Criterion-related validity is mostly used to assess the accuracy of
the measurement scale, whereas construct validity is mostly used
to assess the practical utility of the measurement scale.
c) Criterion-related validity is mostly used to assess the practical
utility of the measurement scale, whereas construct validity is
used to assess the scientific utility of the scale.
d) Construct validity is mostly used to assess the accuracy of the
measurement scale, whereas criterion-related validity is mostly
used to assess the scientific utility of the scale.

Short-answer questions
1. Differentiate between the three most popular methods of personality
assessment.
2. Name and describe two examples of objective personality
assessment.
3. Briefly describe any three types of reliability.
4. Briefly describe any three types of validity.

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 PART 4

Brain and behaviour

 Introduction
Mark Solms & Oliver Turnbull

How do we know that the brain is the part of the body that allows us to
think, feel and act? One of the tasks of neuropsychology is using science to
understand the part of the body that produces that thing we use for
thinking, the thing that we call the mind.
However, the brain and the mind are not exactly the same thing. To know
that the mind is produced by the brain is like saying that the power for
driving a car comes from its engine. This is basically right but it is lacking in
detail. It does not tell you the specifics of how your car manages this
remarkable process. How do the different parts of the engine work – what
does the distributor do, what role is played by the spark-plugs, what is a
compression cycle? Why does a car need petrol, oil and water? Why does it
emit exhaust fumes? Most people who drive cars have little idea of how an
engine functions – just as most people can use their minds without
knowing the first thing about how the organ of mind really operates.
If you are sufficiently interested in the mind to take a psychology course,
then you must surely be interested in knowing how mental experience is
produced. This is the topic of the next two chapters. Of course, trying to
explain how mental life is produced by the brain can never be fully
accomplished by an introductory text. The brain is a remarkably complex
organ, and, unlike the engine of a car, there is still a great deal more that we
have yet to understand about how it operates. Part of the task of
neuropsychology is trying to understand what the basic design principles of
the brain might be. However, though our understanding of brain function is
incomplete, there is quite a lot that we do know. Through the following
chapters we hope to provide enough detail to show you that
neuropsychology is not only inherently interesting, but also that a basic
working knowledge of the topic is absolutely essential for anyone who
hopes to be a psychologist.
 Chapter 7 on biological psychology and neuropsychology introduces the
concept of the nervous system, which is important for understanding the
brain. In addition, the chapter reviews the history and development of
neuropsychology – where there have been several landmark discoveries.
This chapter also gives some idea of the practical work that is carried out by
neuropsychologists in their day-to-day encounters with people who have
suffered some form of brain disease or brain damage.
Chapter 8, on sensation and perception, explains how our brains process
the stimuli that come in through our senses and how we make sense of
these stimuli. The chapter explores the various sensory systems, with a
particular focus on vision. This is because vision is the best investigated of
the senses.
For millennia, intelligent human beings have been able to understand a
great deal about the way the human mind operates – developing profound
insights into psychology. For this reason, we are able to experience a range
of universal truths of human nature in literatures from around the world. (An
example of this is found in Nelson Mandela’s Robben Island copy of
Shakespeare’s collected works. Mandela marked a section of Act II, Scene II of
Julius Caesar, a statement on the topic of courage and mortality that he
found relevant and inspirational – even though the words were written
almost 400 years earlier, across the breadth of two continents, and were read
by someone raised in an entirely different culture.) Without question,
Shakespeare understood a great deal of the operation of the human mind.
However, like the motorist who understands nothing of how the car’s
engine works, all Shakespeare’s insights into human experience lay
unconnected to a knowledge of how the mind was produced. We should
feel rightly privileged to live in an era when such knowledge is becoming
available.
Hopefully, the chapters in this part will make it clear that biological
psychology is a fascinating field, and one that is central to any well-rounded
understanding of human psychology.
 Biological and
neuropsychology CHAPTER
Loraine Townsend, Kirston Greenop & Mark
Solms
7

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• describe the organisation of the nervous system
• explain the structure and function of the different areas of the hindbrain, the midbrain and the
forebrain
• apply knowledge about the cerebrum when trying to understand brain damage
• explain what happens in a split-brain patient
• compare the processes of the sympathetic and parasympathetic divisions of the peripheral
nervous system
• describe the structure of neurons and synapses
• explain communication within neurons and between neurons
• describe the action and dysfunction of neurotransmitters
• explain why the hormones sent out by the endocrine system affect the body more slowly than
the nerve impulses sent out by the nervous system
• identify and describe the origins and basic assumptions of neuropsychology
• discuss the role of neuropsychology in South Africa
• identify and describe the various methods used in modern neuropsychology, and describe the
circumstances under which they are used.

CASE STUDY

Melinda became aware of the effects of brain damage when her granny had a stroke. Melinda’s
granny was 66 years old and had had problems with her high blood pressure medications. A
neighbour had found her granny unconscious on the floor at home and rushed her to hospital.
When Melinda asked her granny if she recalled what had happened, she could only remember
feeling dizzy while making tea.
Melinda often went to visit her granny in hospital, but noticed that her behaviour had changed.
Melinda’s granny would only notice her and talk to her if she was on the right-hand side of her bed
and ignored anyone standing on the left side of the bed. She also had trouble dressing and
 washing herself, as she seemed to ignore the left side of her body. She only washed the right side
of her face and dressed the right side of her body and the nurse had to do the rest. A CT scan (a
type of X-ray) revealed that her granny had had a stroke in the right occipital-parietal region at the
back of her brain. From her studies in neuropsychology, Melinda could understand why her granny
acted in this strange manner. The injury had resulted in what is known as unilateral neglect, where
patients generally do not pay attention to the left side of their bodies.
Being a neuropsychologist was not something that Melinda had ever contemplated as a career
choice. Like most people she hadn’t really known such a profession existed or what it was that
neuropsychologists might do. She knew that there were medical specialists called neurosurgeons
who operated on the brain, but she hadn’t really thought about how a psychologist might be
involved in working with people who had experienced some kind of neurological problem. But as
Melinda discovered how important the brain was for all our human experiences, she found herself
growing increasingly fascinated with this relatively new but rapidly growing area in psychology.
People often spoke about the centre of themselves being their heart, but Melinda began to
realise that it was more likely your brain that made you who you were. A brain injury could change
everything about you, who you felt you were and how you experienced the world.

Introduction
In the case study, Melinda witnessed the effects of an injury to the brain.
To understand what happened to Melinda’s granny we have to
understand the psychobiology of the brain, which is a part of the nervous
system. However, the brain is also affected by the rest of the nervous
system and by the endocrine system. erefore this chapter deals with
the brain, the way messages are communicated through the body via the
nervous system, and it also touches on the endocrine system.
Psychologists could be involved in diagnosing different kinds of
damage to the brain and helping people with the effects of these.
Understanding more about this amazing organ might make it possible
not only to help people who have suffered brain disease or injury, but
also to understand the complex processes that occur in the minds of
normal people. Understanding these better might help with all sorts of
psychological problems. e psychologists who specialise in this area are
called neuropsychologists.
Neuropsychology links knowledge from two disciplines: neurology
and psychology. A neurologist is a medical doctor who specialises in
brain and nervous system disorders, while a neuropsychologist looks for
the relationships between the mind and the brain. is has often been
called the mind–body or mind–brain problem and has been studied and
debated for centuries.
Neuropsychology can be divided into two major divisions: research
neuropsychology and clinical neuropsychology. e two overlap
considerably. However, in general, research neuropsychologists are
interested in how mental functions are organised in the brain, and what
the study of the brain (both when healthy and when diseased) can reveal
about the organisation of the mind. Clinical neuropsychologists, on the
other hand, are more concerned with the practical application of this
knowledge: the diagnosis and management of the mental aspects of
neurological disease. ese aspects will be described in more detail later
in the chapter.

The nervous system

e nervous system is made up of over 100 billion cells called neurons. In
a later section, we will describe the structure and functioning of neurons.
e nervous system is responsible for collecting information from the
environment, sending this information to the right places in the body and
then enabling the body to respond to this information. e nervous
system can be divided into the central nervous system and the peripheral
nervous system.

The central nervous system

e central nervous system is made up of the spinal cord and the brain.
e spinal cord is found in the spinal column that runs down the middle
of the back. It communicates with all the muscles and sense organs of the
body below the head. If you were to cut the spinal cord in half, you would
see that it has two parts. e inner part looks like an H and is grey in
colour. It is called grey matter. It is surrounded by lighter tissue, called
white matter (the second part). e neurons in the white matter are more
insulated than those in the grey matter. Pairs of spinal nerves are
attached to the spinal cord at 31 points on the spine. ese nerves pass
signals from the environment to the spinal cord and then transmit the
response from the spinal cord to the body. When the spinal cord is
damaged, there is no way for the body to communicate with these
nerves. At the top of the spinal cord a bulge starts to form which is the
start of the brain (the medulla oblongata).
e brain is about the size of a large grapefruit, looks like a wrinkly
walnut and has the consistency of porridge. Because of its important
functions and soft consistency, it is the most well-protected organ in the
body. Carlson (2005) notes that this protection takes the form of
cerebrospinal fluid, meninges and the skull. e brain floats in
cerebrospinal fluid, which both nourishes it and protects it from bumps
and knocks. e meninges are the membranes that surround the brain,
protecting it and storing the cerebrospinal fluid. Surrounding these is the
skull, which forms a solid box that protects the brain. e major
structures of the brain are shown in Figure 7.1.

Figure 7.1 The major structures of the brain (adapted from Kalat, 2001, p. 97)
We can take two approaches to describing the brain: (1) by looking at the
regions of the brain in the order in which they developed during
evolution, and (2) based on how it appears to be divided into two sides
called hemispheres. We shall start by discussing the former, which
divides the brain into the hindbrain, the midbrain and the forebrain (see
Figure 7.2).

Figure 7.2 The brain can be divided into the forebrain, midbrain and hindbrain

SUMMARY

• The central nervous system consists of the spinal cord and the brain.
• The spinal cord:
» is in the spinal column
» communicates with all the muscles and sense organs of the body below the head
» consists of grey matter surrounded by white matter (which provides insulation).
• Pairs of spinal nerves pass signals from the environment to the spinal cord and from the spinal cord
to the body.
• The medulla oblongata at the top of the spinal cord is the start of the brain.
• The brain:
» is protected by cerebrospinal fluid, the meninges, and the skull
» can be described in terms of regions or in terms of its hemispheres.
The hindbrain, midbrain and forebrain
We can describe the different parts of the brain by looking at the regions
of the brain in the order in which they developed during evolution. From
this point of view, you will see that the earliest parts of our brain to evolve
are the ones responsible for our most important survival functions. Only
later in evolution did humans develop the skills of complex thinking such
as planning and organising their worlds. e following categorisation of
the brain into the hindbrain, midbrain and forebrain refers to when the
regions of the brain evolved as well as to their location in the head. e
hindbrain is at the bottom near the back, the midbrain is near the centre
of the brain, and the forebrain is at the top and front of the brain.

7.1 THE CASE OF HM

Source: Wortman, Loftus and Weaver (1999) and Ogden and Corkin (1991)
HM was a young man who suffered from debilitating epilepsy, often suffering up to 10 seizures a day
His epilepsy became worse and the drugs used to treat it were not working. As a result, relationships
between the members of his family became strained. As surgery at that time was very popular and no
other treatments were working, his doctors suggested psychosurgery in 1953. The surgeons decided to
operate on HM’s brain and they used a silver straw to remove the parts of the brain (the amygdala and
hippocampus) that were causing the seizures. Although subsequent studies of the regions that were
removed did not locate the precise site of his epilepsy, HM’s seizures grew less and were not as intense
But the side effects of the surgery were extreme: HM could no longer remember things, his long-term
memory was impaired and he could no longer form new memories. He could remember things from
before the surgery, but nothing afterwards. He would complete the same crossword puzzle over and
over because he forgot that he had seen it before and he ‘met’ his doctors for the first time every day.

The hindbrain
e hindbrain is made up of the medulla oblongata, the pons, the
cerebellum and portions of the reticular formation (which is discussed as
part of the midbrain).
e medulla oblongata is the first structure in the transition from the
spinal cord to the brain. e medulla is responsible for breathing,
circulation, the functioning of the heart, and other involuntary
behaviours such as vomiting, coughing, sneezing, hiccupping and
blinking if something flies towards your eye. From this description you
can see that any damage to the medulla could result in death, as
breathing or the functioning of the heart would be affected (Holt et al.,
2012).
e pons (which means ‘bridge’ in Latin) is directly above the medulla
oblongata. e pons acts like a relay station, sending signals from the
spine to the brain and from the brain to the spine. Holt et al. (2012) note
that the pons also plays a role in sleeping and waking. Narcolepsy is a
disorder in which a person may fall asleep anywhere and at any time, and
people suffering from this have been shown to have unusual neural
activity in the pons.
e cerebellum (or small brain) is located at the back of the brain. It is
responsible for coordinated movement, balance and posture. is
structure is affected when you are drunk. When the police test people
who are drunk, they are determining the extent to which the cerebellum
has been affected by alcohol, thus indicating the amount of alcohol they
have had.
As an example, put your arm out sideways at shoulder height and face
forward; then bend your arm and, using your index finger, touch your
nose. People who are drunk cannot touch their noses and often miss or
do it very slowly because they have to concentrate very hard.

The midbrain
e reticular formation is a structure that begins in the hindbrain and
continues through to the midbrain. It is made up of many neurons that
connect to all the areas of the brain.
e reticular formation is responsible for arousal and sleep/wake
consciousness. Brain arousal is the state of readiness for activity and
varies in intensity. For example, you would want a heightened state of
arousal when you wrote an examination, but would need less arousal to
watch television. If the reticular formation is damaged, a permanent state
of sleep or coma (Holt et al., 2012) can result.

The forebrain
e forebrain was the last area of the brain to develop in the course of
evolution and is involved in complex cognitive functions, sensory
processes and emotions. e forebrain comprises the thalamus, the
hypothalamus, the limbic system, the basal ganglia and the cerebrum.
e cerebrum is part of the cortex or outer layer of the brain, but the
thalamus, hypothalamus and limbic system are all subcortical structures
as they are below the cortex.
e thalamus is the first structure to process incoming sensory
information before relaying it to the appropriate area of the brain for
further processing. is is similar to the information desk in a shopping
centre – when you walk into a new shopping centre, you could go to the
information desk to find out where you would find a specific shop. e
thalamus is also active in emphasising certain messages over others.
e hypothalamus is a very small structure that is found below the
thalamus. It is involved in many different activities. e hypothalamus
controls the pituitary gland, which is the main gland affecting all the
other glands in the body. is is the link between the nervous system and
the endocrine (gland and hormone) system. e hypothalamus is
involved in emotions, regulating body rhythms for sleep, sexual activity,
temperature regulation, hunger and thirst.
e limbic system is not a single structure, but is made up of a few
structures to create a system (see Figure 7.3). It is involved in emotion,
memory, learning and motivation. e most important parts are the
amygdala and the hippocampus. e amygdala is involved in
experiencing many emotions, learning and memory for emotional
events. Most importantly, the amygdala is responsible for recognising
fear in other people and feeling fear. e hippocampus is responsible for
certain kinds of memory (see Box 7.1).
Figure 7.3 The limbic system (adapted from Peterson, 1997)

e basal ganglia are involved in movement. When these structures are

damaged, changes in posture, muscle tone and normal movements can
occur (Chakravarty, Joseph & Bapi, 2010). When a person has Parkinson’s
disease, the dopamine neurons start to die. ese neurons are meant to
project out to the basal ganglia and, if they no longer exist, those areas in
the basal ganglia that received them also die. e basal ganglia have also
been implicated in mood and memory.
e cerebrum makes up the largest section of the forebrain and is the
most complex. It is covered by the cerebral cortex which consists of a
layer of grey matter a bit more than 0.5 cm thick. e cortex is wrinkled
like a crumpled piece of paper and so contains a relatively large surface
area (about the size of a pillowcase if it was smoothed out). e cerebral
cortex represents the furthest development in brain evolution. Fish do
not have a cerebral cortex, whereas in humans, it forms 80 per cent of
brain tissue.
e cerebrum comprises four lobes: the frontal, temporal, parietal and
occipital lobes (see Figure 7.4). In these lobes there are primary areas and
association areas. e primary areas are those areas of the cerebrum
that process primary or raw sensory information. Information is received
by the sensory receptors through the thalamus and is directed to the
primary areas. ese neurons are more specific (e.g. to vision or taste)
than ones in the association areas. e association areas are involved in
the more complex mental functions.

Figure 7.4 The frontal, parietal, temporal and occipital lobes

To illustrate the difference between the primary areas and the association
areas, imagine that you see a bicycle. e sensory information about
shape, lines, colour and movement would come from the eye, through
the thalamus, to the occipital lobe of the cerebrum. e neurons in the
primary areas in the occipital lobe are sensitive to noting specific lines,
colours and movement, and are therefore stimulated by this information.
e visual association area then receives this information and makes
meaning from it, determining that it is a ‘bicycle’. Knowing that those
lines, shapes and colours represent a bicycle is a result of learning what a
bicycle looks like.
e cerebrum’s frontal lobes are located in the front of the brain and
are responsible for many abilities ranging from movement to higher
cognitive functioning. e frontal lobes can also be divided into sub-
areas. e motor cortex is located at the back of the frontal lobes and is
responsible for movement. is area receives information from the spinal
cord, the cerebellum and the basal ganglia, and is involved in voluntary
movements such as walking, jumping, running and threading a needle.
e motor cortex has different areas dedicated to different parts of the
body. For example, one area is dedicated to the mouth and another to the
hands. However, each body part has a different-sized area dedicated to it.
Parts of the body that are sensitive, complex and used frequently, such as
the hands, have larger areas dedicated to them than parts that are not as
skillful, such as the thighs.
e association areas in the frontal lobes are involved in personality
and in higher-order thinking such as planning, organisation, abstract
thought, coordinating skilled movements and memory. If the frontal
lobes are damaged, a person may experience difficulties with these
aspects, for example losing the ability to think abstractly, to plan and
organise behaviour and activities, to adjust socially, or to behave
appropriately.
A specific area found in the left frontal lobes (in most people) is
involved with language. is is Broca’s area, named after the man who
isolated it. is area is responsible for the expression of speech or the
motor activities that comprise speech. People with Broca’s aphasia may
not be able to talk, but they can usually still understand speech (Davey,
2004).
e cerebrum’s temporal lobes are on the sides of the brain and are
mainly responsible for hearing and language. e primary areas receive
the frequency, amplitude and pitch of the sounds and the association
areas combine these into words that we recognise. Language is also
represented in this cortex and Wernicke’s area is located in the left
temporal lobe (in most people). is area is responsible for
understanding speech. If you had Wernicke’s aphasia, you would still be
able to speak, but you would not make any sense and you would not
understand what others were trying to say.
Although hearing and language are emphasised as the main functions
of the temporal lobes, they are also involved in visual association. After
information from the visual system has been processed in the primary
areas in the occipital lobes, the visual association areas in the temporal
lobes identify what an object is.
e cerebrum’s parietal lobes are located at the top of the brain and
contain the somatosensory cortex. is is a band of brain area that
mirrors the motor cortex and which receives sensory information from
the body. e parietal lobes are also responsible for locating the position
of objects, the sense of touch, detection of movement and spatial
orientation (how one’s body is located in space). Damage to this area
could result in the syndrome called unilateral neglect, where patients do
not pay attention to one side of their bodies.
e cerebrum’s occipital lobes are located at the back of the brain and
are responsible for vision. If someone hits you on the back of the head
and you see stars, this is because the primary visual areas in the occipital
lobes have been affected. Damage to the primary visual area can result in
partial or complete blindness. e association areas in the occipital lobes
extend to other areas of the cortex and are responsible for organising the
information from the primary areas into more complex pictures of the
features of objects.

7.2 CONSCIOUSNESS
A topic that has puzzled brain researchers for a long time is consciousness. What is consciousness? What
parts of the brain or brain activity are necessary for consciousness? Consciousness mainly means being
aware, alert and attentive, and also includes inner self-knowledge. From this definition you can see that
consciousness is a very subjective experience and measuring it has proven to be very difficult. In terms
of brain anatomy, researchers have not found one specific area of the brain related to consciousness
(not least because it is such a hard concept to define).
The main area of research into brain anatomy and consciousness is the problem of binding – that is,
the way in which the brain takes many different aspects of information from all over the brain and binds
them together to form a subjective experience. This implies that different brain regions are involved
depending on what part of consciousness you are studying.
One important area of research into consciousness involves the frontal lobes. In this research the
focus is on executive functioning in terms of self-reference and self-evaluation. But it is clear that
research on consciousness is determined by the definition of consciousness and the aspects of
consciousness being focused on. In general, every area in the brain has been shown to link to the study
of consciousness (Zillmer & Spiers, 2001).

The left hemisphere and the right hemisphere of

the brain
While the brain can be viewed as being made up of the hindbrain, the
midbrain and the forebrain, it can also be viewed as being formed by two
hemispheres, left and right. us, the hindbrain, midbrain and forebrain
each have two parts, one that falls in the left hemisphere and one that
falls in the right hemisphere. For example, you would have a left
forebrain and a right forebrain. ese hemispheres are linked to each
other by a thick band of tissue called the corpus callosum, which allows
communication between the two.
It seems that each hemisphere is responsible for, or dominant over,
some specific functions. is division of tasks between the hemispheres
is referred to as lateralisation because the functions differ depending on
the side of the brain where located. us, when some ability is lateralised,
it is understood to be located in either the left or the right hemisphere.
In many people, the left hemisphere has been implicated in speech
and language, and the right hemisphere has been implicated in spatial
functions (Holt at al., 2012). One source that supports the idea of
lateralisation is the records doctors have made regarding ‘split brain’
patients (Holt et al., 2012). Split-brain patients are people who have had
their corpus callosum severed by a surgeon to stop debilitating epileptic
seizures. In many cases these patients experience changes in their
behaviour and functioning following surgery.
Figure 7.5 The visual pathway in the brain (adapted from Holt et al., 2012)
 Figure 7.5 illustrates the normal visual pathway in the brain.
Information from the left visual field goes to the right hemisphere and
information from the right visual field goes to the left hemisphere. e
information crosses over at the optic chiasma. However, if the corpus
callosum were severed, the information would not be able to be
communicated between the hemispheres.
According to Figure 7.5, if you showed a split-brain patient an ice-
cream in their left visual field, this information would travel to the right
hemisphere, but the right hemisphere could not tell the left hemisphere
what it saw because language is controlled in the left hemisphere. e
patient would therefore not be able to tell you what he/she saw.
However, if you showed the same patient a flower in the right visual
field, which was then transmitted to the left hemisphere, he/she would
be able to tell you what was seen because language is controlled in the
left hemisphere.
 SUMMARY

• The brain can be categorised into hindbrain, midbrain and forebrain; in evolutionary terms, the
hindbrain developed earliest.
• The hindbrain is made up of the medulla oblongata, the pons, the cerebellum, and portions of the
reticular formation:
» The medulla is responsible for breathing, circulation, the functioning of the heart and other
involuntary behaviours.
» The pons acts like a relay station, sending signals from the spine to the brain and from the brain to
the spine.
» The cerebellum is responsible for coordinated movement, balance and posture.
• The midbrain consists of the reticular formation; this is responsible for arousal and sleep/wake
consciousness.
• The forebrain consists of the thalamus, the hypothalamus, the limbic system, the basal ganglia and
the cerebrum:
» The thalamus processes incoming sensory information before relaying it to other areas of the brain
for further processing.
» The hypothalamus is involved in many different activities; it controls the pituitary gland and links
with the endocrine system.
» The limbic system is made up of several parts (most importantly, the amygdala and hippocampus);
it is involved in emotion, memory, learning and motivation.
» The basal ganglia are involved in movement, mood and memory.
» The cerebrum makes up the largest section of the forebrain and is the most complex. The
cerebrum is covered by the cerebral cortex and comprises four lobes (frontal, temporal, parietal
and occipital lobes); in these lobes there are primary areas (for processing sensory information) and
association areas (for more complex mental functions):
» The frontal lobes contain the motor cortex which is responsible for movement.
» Broca’s area in the left frontal lobes is involved with language.
» The temporal lobes are on the sides of the brain and are mainly responsible for hearing and
language; Wernicke’s area in the left temporal lobe is responsible for understanding speech.
» The parietal lobes are located at the top of the brain; they contain the somatosensory cortex which
receives sensory information from the body.
» The occipital lobes are located at the back of the brain and are responsible for vision.
• The brain can also be viewed as having a left hemisphere and a right hemisphere. Thus, the
hindbrain, midbrain and forebrain each have two parts, one in the left hemisphere and one in the
right hemisphere.
• The hemispheres are joined by a thick band of tissue, the corpus callosum.
• Certain functions are dominant in one or other hemisphere; this is called lateralisation. Generally,
the left hemisphere is associated with speech and language, and the right hemisphere with spatial
functions.
• In terms of the visual pathway, information from the visual fields crosses over to the opposite
hemisphere at the optic chiasma.
The peripheral nervous system
e peripheral nervous system consists of all the nerve structures that lie
outside the brain and spinal cord. It constantly communicates with the
central nervous system through two sets of nerve pathways. e first
receives information from the environment through the sensory
receptors and sends this information to the central nervous system. e
second takes information from the central nervous system to the muscles
and glands, giving them directions on how and when to act or move. e
peripheral nervous system has two main parts: the somatic and
autonomic nervous systems.

Figure 7.6 The organisation of the nervous system (Holt et al., 2012)

The somatic nervous system

e somatic nervous system carries messages from the sensory
receptors to the brain and spinal cord and also carries messages from
these central nervous system structures to all of the muscles attached to
bones in the body. ese muscles control voluntary movement and they
allow you, for instance, to jump, walk, bend – or scratch your head.
The autonomic nervous system
e autonomic nervous system controls all the other muscles, which are
attached to your internal organs and glands in the body. e muscles
attached to the autonomic division control mainly involuntary actions,
such as the secretion of hormones or the beating of the heart. However,
this latter process is not completely involuntary, as people can often
affect their heartbeat by using relaxation techniques.
e autonomic nervous system is divided into the sympathetic and
parasympathetic nervous systems. ese two systems are involved in the
body’s reaction to stress: the fight-or-flight response. e two systems
work together to maintain homeostasis (a balanced internal state). e
sympathetic nervous system is used to get the body ready for action
(whether this is fighting or preparing for an injury). is involves:
• dilating or widening the pupils to take in as much light as possible to
see the stressor
• relaxing the bronchi in the lungs, allowing large amounts of air to
come into the lungs
• increasing the heart rate so that more oxygen is pumped around the
body
• closing down the digestive system slightly to make energy available to
other areas of the body
• constricting the blood vessels so that blood pressure is increased.

Once the body has reacted to the stress by either fighting or running
away, the parasympathetic system inhibits the action and relaxes the
body. is is done by:
• contracting the pupils to normal size
• contracting the bronchi
• slowing the heart rate so that you do not constantly have a racing
heart
• reactivating the digestive system
• dilating the blood vessels once again.
 SUMMARY

• The peripheral nervous system consists of all the nerve structures that lie outside the brain and
spinal cord.
• The PNS constantly communicates with the CNS, sending information from the sensory receptors
to the CNS and from the CNS to the muscles and glands.
• The PNS has two main parts, namely the somatic and autonomic nervous systems.
• The somatic nervous system controls voluntary movement.
• The autonomic nervous system (ANS) controls all the other muscles attached to internal organs
and glands in the body, thereby controlling mainly involuntary actions. The ANS contains two
systems (sympathetic and parasympathetic) which work together to keep a balanced internal state:
» The sympathetic nervous system gets the body ready for action (fight or flight).
» Once the stress is past, the parasympathetic system relaxes the body.

Neurons and neural transmission

e nervous system is made up of billions of interconnected cells that are
constantly communicating with one another. A neuron is a type of cell
found in both the central and peripheral nervous systems; it is
specialised to receive and transmit electrochemical signals in the body.
ese signals use both electricity and chemicals to make sure that their
message is transmitted.

The structure of neurons

Neurons can vary widely in shape and size, and many different types of
neurons have already been identified (Davey, 2004). Figure 7.7 shows the
structure of a typical neuron. Each neuron has three main parts: the
soma (or cell body), the dendrites, which emerge from the cell body, and
the axon, which carries electrical impulses to other neurons, or muscles
and glands.
e electric impulse or message travels down the neuron and passes
across to the next neuron. e message starts at the dendrites which
receive the message from other neurons. Because the dendrites have so
many branches, they can receive messages from 1 000 or more adjacent
neurons (Davey, 2004). is message then travels through the cell body of
the neuron (the soma), where the messages from the dendrites are
processed. e message then travels down the axon of the neuron, which
transmits the message to other neurons. e message arrives at the axon
terminals (the end of the neuron) from where it is passed on to other
neurons.
e neuron axon may be covered with a myelin sheath, which serves
to insulate the axon and make the message stronger and travel faster.
Similarly, myelinated axons transmit messages faster and more
efficiently than non-myelinated axons. e myelin sheath develops in the
early stages of human development. Multiple sclerosis is a disease that
breaks down the myelin sheath and uncovers parts of the axon. is
affects the transmission of messages that travel from the brain to the
muscles, causing an interruption in the message and an effect on
movement, for example (Feldman, 2014).

Figure 7.7 The components of a neuron

Some substances travel in the opposite direction, from the axon

terminal buttons to the cell body, so that food and nourishment reach the
cell body. Certain diseases (e.g. Lou Gehrig’s disease or amyotrophic
lateral sclerosis) affect this reverse movement so that the neuron
eventually dies from starvation. Other diseases, such as rabies, travel in a
reverse direction up the neuron (Feldman, 2014).
The transmission of nerve impulses
Neurons are cells that have an electrical charge inside them. e
electrical charge inside the neuron is maintained at about −70 millivolts
(one thousandth of a volt). e message that travels down the neuron
does so as a wave of electrical activity. But how does this actually work?
Atoms are the basic unit of matter. When an atom has all the electrons
it is meant to have, it does not have an electrical charge. But when it has
lost one or more electrons, or gained one or more electrons, it does have
an electrical charge, and it is then called an ion. An atom that has lost one
or more electrons is a positively charged ion, and an atom that gained
one or more electrons is a negatively charged ion. e neuron’s cell
membrane is like a sieve, allowing some ions to pass through ion
channels but stopping or limiting others.
Figure 7.8 The action potential in the neuron (sodium ions travel into the cell and a small number
of potassium ions travel out) (Coon & Mitterer, 2013, p. 42)

A neuron contains ion-filled fluid with protein molecules (negatively

charged ‘anions’) and potassium ions (positively charged). e neuron is
surrounded by a slightly different ion-filled fluid containing chloride ions
(with a negative charge) and sodium ions (with a positive charge). When
the neuron is in a resting state, the inside of the neuron is mainly
negatively charged and the outside is mainly positively charged. is
state of tension between the ions is called the resting potential. When in
this resting state, we say the neuron is polarised.
As with all things with electrical charges, like charges repel each other
and opposite charges attract each other. As the inside of the neuron is
negatively charged, chloride, which is also negatively charged, is repelled
by the neuron and therefore stays outside the neuron. As the outside of
the neuron is positively charged, potassium, which is also positively
charged, is repelled by the outside fluid and therefore stays inside the
neuron.
Sodium is also positively charged, and is therefore attracted to the
inside of the cell, which is predominantly negative, and repelled by the
outside of the cell, which is predominantly positive. Overall, the neuron’s
semi-permeable membrane is not very permeable to sodium. is means
that even though sodium is attracted to the inside of the cell, it cannot
cross the membrane.
When a nerve impulse comes along, the interior voltage in the neuron
changes from −70 mv to +40 mv. is takes about one millisecond and is
called the action potential. e action potential is an electrochemical
process as the neural message is electrical and the ions in the
surrounding fluid are chemical (see Figure 7.8).
e graph in Figure 7.9 illustrates the different stages of an action
potential. e straight line at −70 mv is the cell in the resting potential.
According to Carlson (2005), when an action potential is realised, certain
stages occur.

1. When the threshold of excitation is reached, the permeability of the

cell membrane changes, causing sodium ions to rush into the cell.
is stage is called depolarisation. e cell becomes positively
charged (up to +40 mv).
2. As the cell becomes more positively charged, the potassium channels
open and the potassium ions start to leave the cell. e sodium
channels are now closed and no more sodium ions can flow into the
cell. is is known as the refractory period (the cell cannot pass
another message in this recovery state).
Figure 7.9 The process of an action potential (Holt et al., 2012, p. 102)

3. As the cell returns to its resting potential (−70 mv), the potassium
channels close. e cell returns to its normal state and waits for the
next depolarisation incident.
4. is sequence is repeated along the axon as the message is passed
down the cell.

e electrical impulse that travels down the neuron follows an all-or-

none law. is law states that the electrical impulse will either be passed
down the cell or not. Feldman (2014) compares this to a gun: you either
pull the trigger and the gun fires, or you do not pull the trigger and the
gun does not fire – there is no in-between.
Some neurons fire at different rates to others. For example, some can
fire at 200 times per second while others can fire far fewer times in the
same period. e intensity of the stimulus (e.g. a loud noise versus a
whisper) determines the rate of firing. Researchers can also measure the
rate of firing to determine how intense our reactions are to various
stimuli (Feldman, 2014).

Synaptic transmission
When the electrical impulse reaches the end of the neuron it needs to
pass the message onto another neuron. e difficulty is that the terminal
buttons from the first neuron and the dendrites of the second neuron do
not actually meet. Between the two neurons is a space called the
synaptic gap. e electrical impulse has to pass over this gap to make
sure that the message continues in the next neuron. e process of
synaptic transmission is a chemical process, and is illustrated in Figure
7.10.

Figure 7.10 The synaptic gap (a) and the process of transmission (b) (adapted from Peterson, 1997)

The structure and action of a synapse

A synapse is the region where two neurons meet. e terminal buttons of
the first neuron sit close to the dendrites of the second neuron. e gap
in between the terminals and the dendrites is the synaptic gap. ere are
small sacs called vesicles in the first neuron that contain
neurotransmitters. When a nerve impulse reaches the terminal buttons,
it stimulates the vesicles to release the neurotransmitters into the
synaptic gap. e receptor sites on the second neuron then pick up the
neurotransmitters. However, receptor sites are specialised and will only
receive the neurotransmitters for which they were designed. For
example, in Figure 7.10 you can see that the circular receptor sites can
only receive circular neurotransmitters and not triangular ones. is is
similar to a lock-and-key mechanism: only one key can fit a lock and
open it.
Once the receptor site has accepted the neurotransmitter, it starts or
inhibits an action potential in the second neuron, depending on the
function of the neurotransmitter. Excitatory neurotransmitters start an
action potential in the following neuron while inhibitory
neurotransmitters stop the next action potential.
Once the neurotransmitters have been released into the synaptic gap
and all receptor sites have received neurotransmitters, there are likely to
be extra neurotransmitters left in the gap. ese extra neurotransmitters
are either broken down by enzymes or taken back up into the first
neuron’s terminal buttons.
Chapter 24 on psychopharmacology outlines the neurotransmitter
process and explains how drugs can affect neurotransmitters and their
action. Box 7.3 illustrates how Ecstasy, an illegal drug, affects
neurotransmitters and their action.
 7.3 THE EFFECTS OF ECSTASY
Source: Burgess, O’Donohoe and Gill (2000)
Ecstasy, often called E, is an illegal drug that many people consider to be a safe party drug. Its chemica
name is MDMA (3, 4-methyl-enedioxymethamphetamine) and it is usually taken in pill form and has
effects lasting two to six hours. The immediate effects include feelings of euphoria, empathy towards
others and a heightened sense of touch. Negative effects can include jaw clenching, jumpiness, mental
problems such as confusion, anxiety, sleep disruption and poor judgement, headaches and nausea, as
well as increased heart rate and blood pressure. After a few days, people report feeling sad, despondent
and irritable. Prolonged use of Ecstasy results in the degradation of terminal buttons that secrete
serotonin (a mood neurotransmitter). When these buttons are affected, people may develop depression
anxiety and sleep problems.
The way that Ecstasy works is that when extra neurotransmitters are taken back into the first cell,
Ecstasy replaces serotonin, dopamine and norepinephrine. Since serotonin, dopamine and
norepinephrine stay in the synaptic gap, they continue to stimulate the receptor sites. However
because the serotonin axons are then overstimulated they die off. Once this happens, they cannot be
replaced.

Types of neurotransmitters
Over 50 different neurotransmitters have been identified. is section
will concentrate on a few of the most well-known and well-researched
neurotransmitters.

Dopamine
Dopamine is found in the brain, especially in the limbic system, the
cerebellum and the basal ganglia. It is involved in thought disorders such
as schizophrenia (too much dopamine) and movement disorders such as
Parkinson’s disease (too little dopamine). Parkinson’s disease is a
disorder of movement and causes people to have problems coordinating
movement and to experience tremors when at rest. e drug L-Dopa
provides temporary relief as it mimics or pretends to be dopamine. Drugs
used to block dopamine may alleviate schizophrenia; however, one must
be careful with these drugs because they may cause Parkinson’s-like
symptoms when they are taken in large doses.

Norepinephrine
Norepinephrine is derived from epinephrine (adrenaline). It is involved
with mood, sleep, eating and arousal. When their levels of
norepinephrine are too low, people experience depression (Holt et al.,
2012). Antidepressants, the drugs used to treat depression, work by either
pretending to be a neurotransmitter involved in mood, or by blocking the
uptake of neurotransmitters so that the mood neurotransmitters have a
better chance to work at the synaptic gap.

Serotonin
Serotonin is one of the most well-known neurotransmitters and is
involved in mood, sleep, eating and arousal. Low levels of serotonin
result in depression. e drug Prozac is a selective serotonin re-uptake
inhibitor (SSRI). is means that it stops serotonin from being taken back
up into the first neuron, causing it to stay in the synaptic gap and
stimulate the next neuron for longer.

Acetylcholine
Acetylcholine or ACh is involved at the level of muscle movement as well
as learning and memory. An absence of ACh is associated with paralysis
while on oversupply may lead to severe muscle contractions and
convulsions (Holt et al., 2012). People with Alzheimer’s disease have
lower levels of ACh than others. Alzheimer’s disease involves a gradual
degeneration in terms of memory and cognition.

Gamma amino butyric acid (GABA)

Gamma amino butyric acid (GABA) is an inhibitory neurotransmitter
and is involved in emotion, anxiety, arousal and sleep. Parrott, Morinan,
Moss and Scholey (2004) note that many benzodiazepines (such as
Valium, Xanax and Librium) act by increasing the effect of GABA. As
GABA is inhibitory, increasing its effects will lower anxiety.
 SUMMARY

• The nervous system is made up of billions of interconnected cells.

• Neurons are cells found in both the CNS and the PNS.
• Neurons receive and transmit signals in the body using both electricity and chemicals.
• Neurons vary widely in shape and size; they consist of a soma, dendrites and an axon.
• Messages travel from the dendrites to the soma and on to the axon and axon terminals.
• Some axons are insulated by a myelin sheath which speeds the message; damage to the myelin
sheath can disrupt messages, as can disease in which the direction of message travel is reversed.
• Neurons have an electrical charge inside them; the message that travels down the neuron does so
as a wave of electrical activity – ions (either positively or negatively charged electrons) move in or
out of the cell.
• When the neuron is in a resting state (polarised), there is a state of tension between the inside and
the outside of the cell.
• Chloride (negative), sodium (positive) and potassium (positive) ions are involved in the
transmission of messages; like charges repel each other, and opposite charges attract each other.
• When a nerve impulse comes along, the interior voltage in the neuron changes from −70 mv to
+40 mv. This takes about one millisecond and is called the action potential.
• The action potential is an electrochemical process (the neural message is electrical and the ions are
chemical).
• The stages of transmission include depolarisation, action potential and the refractory period.
• The electrical impulse will either be passed down the cell or not.
• Some neurons fire at different rates to others.
• The electrical impulse needs to pass from one neuron to the next, but there is a gap (the synaptic
gap) between the terminal buttons from the first neuron and the dendrites of the second neuron.
• Small vesicles in the first neuron contain neurotransmitters; the nerve impulse stimulates the
vesicles to release the neurotransmitters into the synaptic gap. The receptor sites on the second
neuron then pick up the neurotransmitters.
• Receptor sites are specialised and will only receive the neurotransmitters for which they were
designed.
• Once the receptor site has accepted the neurotransmitter, it starts (excitatory) or inhibits
(inhibitory) an action potential in the second neuron.
• Leftover neurotransmitters are either broken down by enzymes or taken back up into the first
neuron’s terminal buttons.
• There are more than 50 types of neurotransmitters.

The endocrine system

is chapter has dealt primarily with the nervous system, but there are
other biological systems that have an effect on our psychology. One such
system is the endocrine system, to which we referred in the discussion
about the hypothalamus. e endocrine system is the system of
hormones and glands in the body (see Figure 7.11). Hormones are
chemicals that are secreted by the glands. ey travel through the
bloodstream (making them a lot slower than nerve impulses and also
longer lasting) and they influence the organ to which they were sent.
e pituitary gland is known as the master gland as it regulates and
controls all the other glands in the body. It is close to, and connects with,
the hypothalamus in the brain. is link between the nervous system and
the endocrine system allows the two to work in harmony. e pituitary
gland is also responsible for growth and regulates salt and water
metabolism.
e thyroid gland in the throat is responsible for the body’s
metabolism. If one has an under-active thyroid gland, one is likely to be
apathetic and sluggish, to put on weight, and to feel very despondent. As
a result of this, doctors often first check a patient’s thyroid gland
functioning before making a diagnosis of depression. An overactive
thyroid gland leads to a person being very active and thin.
Figure 7.11 The endocrine system is made up of the glands in your body (Holt et al., 2012)

e adrenal glands are situated on top of the kidneys. ey produce

many different hormones. ey are made up of the adrenal cortex and
the adrenal medulla. e adrenal cortex regulates salt and carbohydrate
metabolism, while the adrenal medulla prepares the body for the fight-
or-flight reaction to stress. You will find more information about the
endocrine system in the chapter on stress (Chapter 21).
e pancreas is situated in the abdomen and regulates levels of
insulin and blood sugar. It is also involved in digestion. When the
pancreas does not secrete enough insulin, the person will be diagnosed
with diabetes (high blood sugar levels).
Lastly, a female’s ovaries and a male’s testes are also glands, and they
are responsible for sexual behaviour, the development of the
reproductive hormones, and general physical growth.
SUMMARY
• e endocrine system (hormones and glands) also has an effect on
our psychology; the nervous system and the endocrine system work
in harmony.
• e pituitary gland is the master gland; it works closely with the
hypothalamus, and regulates and controls all the other glands in the
body.
• e thyroid gland is responsible for the body’s metabolism.
• e adrenal glands consist of the adrenal cortex and the adrenal
medulla; they produce many different hormones.
• e pancreas regulates levels of insulin and blood sugar.
• A female’s ovaries and a male’s testes are responsible for sexual
behaviour, the reproductive hormones, and general physical growth.

Neuropsychology
ere is a special relationship between the brain and the mind. e
functions and dysfunctions of the brain have immediate and direct
effects on the mind – so much so that people often say that the brain is
the organ of the mind. is means that everything that we deal with in
psychology has an aspect of neurology to it. As mentioned earlier in the
chapter, neuropsychology is the branch of psychology that tries to
understand how brain structure and function relate to psychological
processes and behaviour. Ultimately, the connection between brain and
mind is not far removed from the connection between body and soul,
and so continues to raise philosophical and theological debate. is
section of the chapter will consider the roles of psychiatrists and
neuropsychologists in understanding brain function.
 Students may well wonder how psychiatry fits into this
interdisciplinary picture. Traditionally a psychiatrist is a medical doctor
who specialises in the diagnosis and treatment of mental illness and
emotional disorders. It is becoming more and more common for
neurology and psychiatry to deal with the same issues and problems.
Historically, however, the two disciplines dealt with apparently different
medical problems. In the 19th century (when this distinction first arose),
doctors classified mental disorders that were caused by a structural
change in the brain as neurological – they could see these changes when
they did an autopsy on the brain. Mental disorders that could not be
seen in brain changes were classified as psychiatric and were considered
to be disorders of brain function.
is was the start of the trend where brain structures were viewed
separately from brain functions. However, these days psychiatrists point
out that many of the functional disorders (such as bipolar disorder and
schizophrenia) are due to micro-level changes (such as over-activity or
under-activity in a particular neurotransmitter system), and so they treat
them with medicines that act on these neurotransmitter pathways. Many
neurological disorders (such as epilepsy and Parkinson’s disease) have a
similar basis and approach to treatment. is shows that the difference
between structure and function is no longer clear-cut. ese days some
psychiatrists specialise in what they call neuropsychiatry; in other
words, they specialise in the psychiatric or functional aspects of
‘structural’ neurological disease.
In general, neuropsychology is still concerned primarily with
neurological (as opposed to psychiatric) disorders, as it attempts to
describe the mental changes that result from structural changes in the
brain. In this respect, the difference between neuropsychology and
neuropsychiatry corresponds roughly with the difference between
cognition and affect (emotion). Clinical neuropsychology focuses mainly
(but by no means exclusively) on cognitive rather than emotional
disorders. e same does not apply to research neuropsychology,
however. is chapter focuses mainly on clinical neuropsychology. is
emphasis also reflects the fact that neuropsychology in South Africa is
very much a clinical discipline. (For an introduction to neuropsychology,
see Kalat, 2009; Martin, 2006; Solms & Turnbull, 2002.)
The early history of neuropsychology
In the 1860s, Pierre Paul Broca discovered that damage to a particular
part of the left hemisphere of the human brain results in loss of language.
is part of the brain is now known as Broca’s area (see Figure 7.4 earlier
in this chapter). Broca’s discovery caused considerable excitement in the
European scientific circles at the time because language is a mental
function (and, more specifically, a human mental function). erefore, a
part of the brain had been identified where language production was
located. is discovery led to an increase in research into the brain, but
mainly focused on trying to localise mental functions. is included the
work of Carl Wernicke who localised the ability to understand speech to
the temporal lobes (see Figure 7.4 earlier in this chapter), and this area is
now called Wernicke’s area.
ese classical localisations were made by inferring a relationship
between the mental function that was lost, and the damaged part of the
brain seen when an autopsy was done. is research led to a school of
thought that argued that all mental functions could be located in
particular places in the brain.
Localisation was not completely accepted, however. In 1891, Sigmund
Freud criticised the authoritative works of Broca, Wernicke and Ludwig
Lichtheim, which argued that the various components of language –
spontaneous speech, comprehension, repetition, reading and writing –
were localised in a patchwork of centres on (and just below) the surface
of the left hemisphere. Other authorities also criticised the diagram
makers for reducing the dynamic complexities of the mind to simple
models of nervous centres and their connections. Other theorists
proposed that the brain functioned as an integrated unit and that mental
functions were holistic things that depended on the concerted
functioning of the brain as a whole.
Aleksandr Romanovich Luria argued that both these views were right
to a degree. Luria said that although a whole mental capacity cannot be
reduced to the activities of a limited zone of the cerebral cortex, it was
also true that different cortical zones performed different functions. His
compromise position put forward the idea that there were groups of
cortical zones that worked together to produce each complex mental
ability (like speech). Luria argued that mental abilities were
combinations of many low-level or basic functions, and that only the
low-level elements could be narrowly localised (like sound production or
awareness of sounds). e abilities themselves were made up of dynamic
interactions between the components. While this meant that the abilities
as a whole could not be narrowly localised, Luria argued that the task of
neuropsychology was to identify the localisable components of each
complex ability. (For a good indication of Luria’s approach, see Luria,
1973a, 1973b, 1979.)
Luria’s idea that complex mental functions are produced by dynamic
neural networks as opposed to static centres gained rapid support and is
still the standard way of thinking in neuropsychology today.

The influence of cognitive psychology on

neuropsychology
Cognitive psychology has been hugely influential in modern
neuropsychology because it provided a way to divide our cognitive
capacities into smaller and smaller processing units, which became
closer and closer to describing the individual processing units of cortical
tissues. Computer-based approaches have thus gained popularity as a
means of simulating the way neural connections work in the brain.
However, such models have not been useful in the study of areas such
as emotion, motivation, the structure of personality and intersubjective
experiences such as empathy, free will and the self. Computer-based
models do not seem able to describe the physiological processes that
govern the instinctual and subjective poles of the mind. For these aspects
of neuropsychology, molecular-biological, ethological and perhaps even
psychoanalytical theories might offer more appropriate conceptual and
observational tools for the neuropsychology of the future.

Research methods in neuropsychology

For more than a century, clinico-anatomical correlation provided the
methodological backbone for all neuropsychological research. is relied
on autopsy studies. However, with the increase in the number of head
injuries in World Wars I and II, it became possible to infer the site of a
patient’s brain damage during life by tracking the entry and exit points of
bullet or shrapnel wounds. e developing use of X-rays for visualising
the location of bullets, shrapnel and skull fragments embedded in the
brain provided further localising information.
ese methods were basic research methods in neuropsychology,
which took a major leap forward with the development of brain imaging
(see Figures 7.12−7.15). is allowed the soft tissue inside the skull to be
visualised while the person was still alive. Researchers no longer required
autopsy results to support their hypotheses. Clinical observations of
behaviour could be related to the images of brain pathology that were
displayed by the technology. However, these imaging techniques are very
expensive.
Computerised tomographic (CT) scanning became widely available
in the 1970s. By the 1980s, CT scanning had been widely replaced by a
second generation of imaging technology known as magnetic resonance
imaging (MRI). MRIs had better resolution, which meant that pathology
and changes to the brain could be viewed with greater accuracy and
precision.
Figure 7.12 An image from a CT scan
Figure 7.13 An image from an MRI scan
Figure 7.14 An image from a PET scan
Figure 7.15 An image from an fMRI scan

e latest advance is functional brain imaging which involves obtaining

images of the brain while the person is performing a certain function or is
exposed to a stimulus. ere are two major forms: positron emission
tomography (PET) and functional MRI (fMRI). In different ways, both
of these technologies measure differences in the rate of metabolic activity
in the brain. Looking at an image from a PET or fMRI scan, one is able to
see how active certain parts of the brain are when a person is actually
performing a task. us one can infer which parts of the brain are used
for particular cognitive functions.
 is research seems logical, but it is important not to misinterpret the
results. Some reports write about a particular brain region as though it is
the only one that performs a task. We must remember that mental
functions are produced not by circumscribed cortical locations, but
rather by dynamic constellations of cortical and sub-cortical zones
working together.

The qualitative and quantitative approaches to

clinical neuropsychology
e specialist neuropsychologist takes an integrated (quantitative and
qualitative) approach in assessment. He or she starts with a particular
clinical question and then proceeds flexibly, selecting the appropriate
assessment tools as the clinical picture unfolds. (is was Luria’s
approach.) e aim is to identify a particular pattern of cognitive
symptoms and signs that makes clinic-anatomical sense, thereby
integrating the observable clinical picture, via its causal mechanism, with
the underlying neuropathology.
 7.4 THE CASE OF THE GIRL WHO NEARLY DROWNED
An eight-year-old girl slipped while playing next to her parents’ swimming pool, banged her head, and
fell into the water. It is unclear how long she was submerged in the water before she was found by her
mother. However, she was unconscious and blue in the face. The mother administered mouth-to-mouth
resuscitation, and after this the child vomited violently and resumed breathing. She was taken to
casualty, semi-conscious, and was admitted for a period of observation. The laceration over her right
forehead required six stitches. Although she passed through a period of confusion and drowsiness, she
appeared to have recovered completely by the following day. An MRI scan of her brain showed no
abnormality. She was therefore discharged home on the following day and, a few days later, she
returned to school. However, her teachers noticed a change in her. She was no longer her bright and
cheerful self. She seemed far less confident both academically and socially, and at the end of term she
performed poorly in her examinations. Both parents and teachers attributed the change to the near-
drowning incident. However, the question remained: ‘Was the change attributable to neurological or
emotional factors?’
If this girl was referred to a clinical psychologist trained only in standard psychometric assessment
techniques, the psychologist would carry out a battery of standardised intelligence tests (as discussed in
Chapter 15), projective tests or behavioural inventories. If the results were – as they would be in this case
– low average scores on the standardised intelligence tests, and evidence of anxiety and insecurity on
the projective tests, how would that help a psychologist say whether the change in the girl was
attributable to neurological or emotional factors?
The psychologist could also use tests that are known to be resistant to the effects of brain injury. The
psychologist could then compare the child’s scores on tests that are sensitive to the effects of injury to
her scores on tests that are resistant to the effects of injury. However, this would still only provide us with
an idea of how the girl’s present performance is different from her past performance, and not whether
the girl was struggling at school because of neurological or emotional factors.

Table 7.1 Differential diagnosis possibilities for the girl discussed in Box 7.4
Differential diagnosis Secondary
Tests
possibilities possibilities
1. Brain damage a) Closed-head injury Cognitive tests known to
correspond to
anatomical regions
associated with the injury
b) Anoxia (lack of Cognitive tests known to
oxygen) correspond to
anatomical regions
associated with the injury
2. Emotional trauma Lack of syndromes of
above two possibilities
Clinical interview and
projective tests
3. Both brain damage Both of the above Features of all of the
and emotional above
trauma

In a purely quantitative approach, by contrast, a general clinical

psychologist or psychometrician typically uses a standardised battery of
tests, which measure the patient’s performance across a range of mental
functions. ey then compare this measure to an established population
norm. is approach is quantitative as it calculates the degree of
abnormality in the functions assessed, but it may not answer the clinical
questions that the patient was referred for in the first place. Consider the
case that was referred for a neuropsychological assessment in Box 7.4.
In order to answer the question about whether the change was
attributable to neurological or emotional factors, the specialist
neuropsychologist would begin by considering the possible differential
diagnoses. Table 7.1 sets out these possibilities for this case.
To assess for brain damage, the neuropsychologist would test for the
cognitive symptoms that are typically seen in a patient with a closed-
head injury or a patient with anoxia. If there is an absence of these
symptoms, then it is reasonable to conclude that the girl is unlikely to
have suffered brain damage. en, by exclusion, the neuropsychologist
would infer that the girl’s difficulties in school were due to emotional
(functional) causes, rather than organic (structural) causes. is
diagnosis would be more secure if positive features of an emotional
trauma (such as post-traumatic stress disorder) were demonstrated.
While the quantitative and qualitative approaches have been
contrasted here, in practice the two approaches overlap. e main
difference is that in neuropsychological assessment, measurement and
standardisation are servants of the assessment process, not its masters,
while in general psychometric assessment the structure of the
assessment is determined by the fixed requirements of the tests rather
than the flexible, unfolding clinical picture in relation to the referral
question.
is section has described the process of using neuropsychological
assessment in a specific case. is kind of assessment may also be used
in a variety of situations where cognitive performance has been impaired
(Harvey, 2012). Overall, neuropsychological assessment may be needed
for diagnosis (e.g. dementias, stroke, traumatic brain injury), differential
diagnosis (e.g. distinguishing between different kinds of dementias),
predicting a person’s potential (e.g. following a brain injury or the onset
of dementia), evaluating response to treatment (e.g. cognitive
remediation following a stroke) and matching clinical findings to imaging
results (e.g. vascular lesions that indicate a risk of stroke) (Harvey, 2012).
Neuropsychological assessments may also be required for workers who
are applying to be ‘boarded’ (granted early retirement on full benefits
due to ill health) and for assessments of a person’s competence to
manage their financial affairs.
 7.5 THE PROFESSIONAL ROLES OF THE CLINICAL
NEUROPSYCHOLOGIST
Neuropsychologists usually work in hospitals and private practices. In hospitals, neuropsychologists are
often based in neurology, neurosurgery and psychiatry departments. In neurology departments, they
play a role in diagnosing neurological disease. In neurosurgery, they often assess a patient’s current
cognitive status and the cognitive functions of particular brain areas during surgery.
In psychiatric departments, they help to differentiate between neurological disorders on the one
hand and functional, psychotic or mood disorders on the other. This often means working with children
as complex combinations of neurological and psychiatric problems are particularly common in
paediatric cases.
In private practice, neuropsychologists may assess individuals for medico-legal reasons, as well as
offering therapy and counselling. Neuropsychologists also work within educational, industrial and
primary health settings.

Neuropsychology in South Africa

Because neuropsychology is still developing, the impact of individual
practitioners in the field is more strongly felt than in other branches of
psychology. Michael Saling – a research psychologist formerly from the
University of the Witwatersrand – played a pioneering role in
neuropsychology in South Africa, and his qualitative, Luria-based
approach to neuropsychological assessment continues to be practised
and propagated by his erstwhile students today.
However, different countries have different assessment practices for
neuropsychology. In South Africa, where the population is diverse in
terms of language, culture, literacy and socio-economic status, Luria’s
approach is a suitable one, while the use of standardised psychometric
tests has limited value. But in the UK, for example, the use of
standardised assessments has more value as this population is more
homogenous.
Because neuropsychology is still a young science, and because its
official professional status is still evolving in relation to the other, more
established psychological categories, whether a person is able to register
as a neuropsychologist depends in part on his/her country of residence.
In South Africa, the Professional Board for Psychology of the Health
Professions Council has established a professional category for
neuropsychology, and the training requirements for registration in this
new category are now being finalised. In addition, aspirant
neuropsychologists may undergo a certification process run by the South
African Clinical Neuropsychological Association (SACNA), which is
currently the only body that credentials neuropsychologists in South
Africa.

SUMMARY

• There is a special relationship between the brain and the mind.

• Neuropsychology is the branch of psychology that tries to understand how brain structure
and function relate to psychological processes and behaviour.
• Psychiatry is a medical speciality in the diagnosis and treatment of mental illness and
emotional disorders.
• Historically, brain structures (neurological) were viewed separately from brain functions
(psychiatric). Neuropsychiatrists specialise in the psychiatric or functional aspects of
‘structural’ neurological disease.
• Neuropsychology attempts to describe the mental changes that result from structural
changes in the brain. Clinical neuropsychology focuses on cognitive rather than emotional
disorders.
• In the 1860s, Broca identified a part of the brain where language production was located.
• Further research focused on trying to localise other mental functions; Wernicke localised
the ability to understand speech to the temporal lobes.
• This research led to the idea that all mental functions could be located in particular places
in the brain; however, other theorists proposed that the brain functioned as an integrated
holistic unit.
• Luria argued that both these views were partially right; he argued that mental abilities
were combinations of many low-level or basic functions.
• Cognitive psychology provided a way to divide cognitive capacities into smaller
processing units, analogous to computer-based operations.
• However, computer-based models have not been useful for the instinctual and subjective
aspects of mind; molecular-biological, ethological and psychoanalytical theories might be
more appropriate here.
• For more than a century, neuropsychological research was based on clinico-anatomical
correlation.
• After the world wars, X-rays were used for visualising the location of foreign bodies and
skull fragments embedded in the brain.
• Brain imaging techniques have developed rapidly, allowing the soft tissue inside the skull
to be visualised while the person is still alive. Techniques include computerised
tomographic (CT) scanning, magnetic resonance imaging (MRI) and functional brain
imaging (positron emission tomography (PET) and functional MRI (fMRI)).
• Looking at an image from a PET or fMRI scan, one is able to see how active certain parts of
the brain are when a person is performing a task.
 • The specialist neuropsychologist takes an integrated (quantitative and qualitative)
approach in assessment.
• The aim is to identify a particular pattern of cognitive symptoms and signs that makes
clinico-anatomical sense, thereby integrating the observable clinical picture, via its causal
mechanism, with the underlying neuropathology.
• In a quantitative approach, a standardised battery of tests is used to measure the patient’s
performance across a range of mental functions; these are compared to an established
population norm.
• In practice, the quantitative and qualitative approaches overlap.
• Neuropsychology is still a developing discipline in South Africa.
• Michael Saling has developed a qualitative, Luria-based approach to neuropsychological
assessment.
• Because of South Africa’s diverse population, Luria’s approach is more suitable.
• The Professional Board for Psychology of the HPCSA has established a professional
category for neuropsychology.
• Certification is conducted by the South African Clinical Neuropsychological Association
(SACNA).

Conclusion
Both the nervous system and the endocrine system affect our feelings, thoughts and behaviour,
but the brain, in particular, has a pivotal role to play. Apart from describing these systems, this
chapter has briefly outlined the history of neuropsychology and the main debates in this area. It
has described neuropsychological research methods, analysed both the qualitative and
quantitative approaches in clinical neuropsychology, and explained the area of neuropsychology in
South Africa. These days no-one can afford to overlook the role of neuropsychology in the field of
psychology, as each day researchers are linking what we know about people to certain areas of
brain functioning. Because there is a huge demand for neuropsychological expertise in this
country, it is hoped that some psychology students will devote their psychological skills and
energies to this absolutely fascinating profession.

KEY CONCEPTS

acetylcholine (ACh): a neurotransmitter that is involved with muscle

movement, as well as learning and memory
action potential: the state of a neuron when something causes the
permeability of its cell membrane to change, allowing sodium ions to
rush into the cell, which results in the generally negative charge of the
cell becoming more positive
adrenal cortex: an adrenal gland that regulates salt and carbohydrate
metabolism
adrenal glands: glands that are made up of the adrenal medulla and
the adrenal cortex
adrenal medulla: an adrenal gland that prepares the body for the
fight-or-flight reaction to stress
amygdala: a part of the limbic system that is involved in learning,
experiencing emotion, remembering emotional events and
recognising fear in other people
association areas: areas of the cerebrum that are involved in the
more complex mental functions
autonomic nervous system: a division of the peripheral nervous
system that controls the muscles involved in mainly involuntary
actions, such as heartbeat
autopsy: a detailed dissection and examination of a body, or parts of
a body, after death
axon: that part of a neuron that transmits the electrical impulse or
message to other neurons
axon terminal: the part of a neuron where an electrical impulse or
message passes to another neuron
basal ganglia: parts of the limbic system that are involved in
movement
brain: the ‘centre’ of the central nervous system, which is responsible
for higher nervous functions
brain imaging: imaging techniques where images of the soft tissue
within the skull (the brain) are obtained
brain pathology: the study of the causes and nature of brain diseases
and dysfunctions
Broca’s area: a particular part of the frontal lobes in the left
hemisphere which, in most people, results in a loss of language if
damaged
cerebellum: a part of the hindbrain that is responsible for
coordinated movement, balance and posture, as well as being
involved in some kinds of learning
cerebral cortex: the outermost layer of the cerebrum
cerebrospinal fluid: the fluid in which the brain floats, which
nourishes the brain and protects it from bumps and knocks
cerebrum: the most complex section of the forebrain, comprising the
frontal, temporal, parietal and occipital lobes
clinical neuropsychology: a discipline within neuropsychology that
focuses on cognitive disorders and is mainly concerned with
diagnosing and managing the mental aspects of neurological disease
clinico-anatomical correlation: a method used to detect
localisations in the brain, whereby inferences of a relationship
between a mental function that was lost and a damaged part of the
brain when an autopsy was done are made
computerised tomographic (CT) scanning: an imaging technique
where X-rayed images of cross-sections of the brain are combined
into a three-dimensional image of its structure
corpus callosum: a thick band of tissue that connects the two
hemispheres of the brain and allows communication between them
dendrites: those parts of a neuron that receive messages from other
neurons
depolarisation: a process that occurs when the threshold of
excitation in a neuron is reached and the permeability of the cell
changes, causing sodium ions to rush into the cell
dopamine: a neurotransmitter found especially in the limbic system,
the cerebellum and the basal ganglia of the brain, which is involved in
thought disorders such as schizophrenia and movement disorders
such as Parkinson’s disease
dynamic localisation: an argument put forward by Luria that
complex mental functions are produced by dynamic ‘neural
networks’ made up of components in the brain as opposed to static
‘centres’
endocrine system: the system of hormones and glands in the body
excitatory neurotransmitters: neurotransmitters that start the action
potential in a neuron
forebrain: a part of the brain that is made up of the thalamus, the
hypothalamus, the limbic system, the basal ganglia and the
cerebrum, and which is involved in many of the activities that we
consider to be human activities, such as complex cognitive functions,
emotions and sensory processes
functional brain imaging: an imaging technique where images of the
soft tissue within the skull are obtained while a person is performing
certain functions or being exposed to certain stimuli
functional magnetic resonance imaging (fMRI): an imaging
technique using magnetism where cross-sectional images of the brain
are combined into three-dimensional images of its structure while a
person is performing certain functions or being exposed to certain
stimuli
gamma amino butyric acid (GABA): an inhibitory neurotransmitter
that is implicated in emotion, anxiety, arousal and sleep
hindbrain: a part of the brain that is made up of the medulla
oblongata, the pons, the cerebellum and portions of the reticular
formation
hippocampus: a part of the limbic system that is responsible for
certain kinds of memory
hypothalamus: a part of the forebrain that controls the pituitary
gland and is involved in emotions, regulating body rhythms for sleep,
sexual activity, temperature regulation, hunger and thirst
inhibitory neurotransmitters: neurotransmitters that stop the action
potential in a neuron
lateralisation: the specific functions for which each hemisphere of
the brain is responsible or dominant
limbic system: a number of structures in the forebrain that are
involved in emotion, memory, learning and motivation
localisation: the idea that mental functions could be located in
particular places in the brain
magnetic resonance imaging (MRI): an imaging technique using
magnetism where cross-sectional images of the brain are combined
into a three-dimensional image of its structure
medulla oblongata: a part of the hindbrain that is responsible for
breathing, circulation, heart functioning and other involuntary
behaviours such as vomiting, coughing, sneezing, hiccupping and
blinking if something flies towards the eye
meninges: membranes that surround the brain, which serve to
protect the brain and store the cerebrospinal fluid
motor cortex: the primary area in the frontal lobes that is responsible
for movement, which receives information from the spinal cord, the
cerebellum and the basal ganglia, and is involved in voluntary
movements such as walking, jumping, running and threading a
needle
multiple sclerosis: a disease that breaks down neurons’ myelin
sheaths and uncovers parts of their axons, which affects the
transmission of messages that travel from the brain to the muscles
myelin sheath: a coating around an axon that serves to insulate the
axon and make the message stronger and faster
neurologist: a medical doctor who specialises in the disorders of the
nervous system
neurology: the branch of medicine that deals with disorders of the
nervous system
neuropsychiatry: the field of medicine that specialises in the
structure and function of the brain, and how they relate to
psychological processes and overt human behaviour
neuropsychologist: a non-medical specialist who deals with the
structure and function of the brain, and how they relate to
psychological processes and overt human behaviour
neuropsychology: the branch of psychology that combines with
neurology to investigate how the structure and function of the brain
relates to psychological processes and overt human behaviour
norepinephrine: a neurotransmitter that is derived from epinephrine
(adrenaline), and which is involved with arousal, mood, eating and
sleeping
occipital lobes: parts of the cerebrum that are located at the back of
the brain and are responsible for vision
pancreas: organ in the abdomen that produces hormones (as part of
the endocrine system) and digestive enzymes (as part of the digestive
system)
parasympathetic system: a division of the autonomic nervous
system that, once the body has reacted to a stressor by either fighting
or running away, inhibits the action and relaxes the body
parietal lobes: parts of the cerebrum that are responsible for the
sense of touch, the detection of movement, the ability to locate where
something is in space, and the ability to perceive how one’s body is
located in space
pituitary gland: the master gland that regulates all the other glands in
the body, and which is also responsible for growth, and the regulation
of the salt and water metabolism
pons: a part of the hindbrain that acts like a relay station, sending
signals from the spine to the brain and from the brain to the spine
positron emission tomography (PET): a nuclear medicine
technique where, as a result of injecting small quantities of
radioisotopes into a person that find their way to the brain, early
warning signs of diseases of the brain can be detected
primary areas: areas of the cerebrum that process raw sensory
information
psychiatrist: a medical doctor who specialises in the prevention,
assessment, diagnosis and treatment of mental illness and emotional
disorders
psychiatry: the medical speciality that deals with the prevention,
assessment, diagnosis and treatment of mental illness and emotional
disorders
psychologist: a person who has undergone extensive training in
order to study and assess the mental processes and behaviour of
humans and animals
psychology: the study of the mental processes and behaviour of
humans and animals
refractory period: the period when the membrane potential of a
neuron returns to the state in which it was initially, waiting for the
next depolarisation incident
research neuropsychology: a discipline within neuropsychology that
is interested in how mental functions are organised in the brain, and
what the study of the brain can reveal about the organisation of the
mind
resting potential: a neuron’s resting state when it is mainly negatively
charged, with its surrounding fluid being mainly positively charged
reticular formation: a structure in the hindbrain and midbrain that
connects to all the areas of the brain and is responsible for arousal
and sleep/wake consciousness
serotonin: a neurotransmitter that is involved in mood, sleep, eating
and arousal
soma: the body of a neuron
somatic nervous system: a division of the peripheral nervous system
that controls voluntary movement by controlling all the muscles
attached to your bones
somatosensory cortex: an area in the parietal lobes that receives
sensory information from the body
spinal cord: the part of the central nervous system that is responsible
for sending and receiving messages from the muscles and the sensory
organs of the body
sympathetic nervous system: a division of the autonomic nervous
system that is used to get the body ready for action (whether this is
fighting or running away)
synapse: the region where two neurons meet
synaptic gap: the space between the terminal buttons of one neuron
and the dendrites of a second neuron
temporal lobes: parts of the cerebrum that are on the sides of the
brain and are mainly responsible for hearing and language, but are
also involved in visual association
thalamus: the first structure in the forebrain to process incoming
sensory information before relaying it to the appropriate area of the
brain for further processing
thyroid gland: a gland that is responsible for metabolism
vesicles: small sacs in neurons that contain neurotransmitters
Wernicke’s area: an area in the temporal lobes of the left cerebral
hemisphere that is involved in the interpretation of speech
X-rays: images that are obtained by projecting electromagnetic rays
into body tissues to varying degrees
EXERCISES
Multiple choice questions

1. Neurons receive information from other neurons through their:

a) axons
b) terminal buttons
c) dendrites
d) myelin sheath.

2. e purpose of the myelin sheath is to:

a) insulate the axon against cold
b) insulate the axon so that the neural messages remain strong and
fast
c) store fat
d) route the neural impulse.

3. Vinesh is walking down the street one evening and sees someone
following him. He starts feeling scared, his pupils widen, his heart
rate speeds up, and he feels slightly sick in his stomach. What part of
the nervous system is at work in this example?
a) the central nervous system
b) the nervous system
c) the parasympathetic nervous system
d) the sympathetic nervous system.

4. e period when a neuron cannot fire is called:

a) the refractory period
b) the all-or-none law
c) the action potential
d) depolarisation.

5. andi was in an accident, during which a pipe entered her brain.

Doctors find that some of her subcortical structures were damaged.
When she awakes she has no fear of danger and does not recognise
 fear in other people’s faces. What area of the brain is likely to have
been damaged?
a) the amygdala
b) the thalamus
c) the hippocampus
d) the hypothalamus.

6. Which of the following psychological abilities is usually disrupted

after damage to Broca’s area?
a) spatial ability
b) numerical skills
c) vision
d) speech.

7. e attempt to identify the ‘seat’ of each mental function in a

particular part of the brain is known as:
a) localisationism
b) equipotentialism
c) mind−body dualism
d) second-order phrenology.

8. Which of the following methods has been in longest use in

neuropsychology?
a) magnetic resonance imaging (MRI)
b) parallel distributed processing (PDP) models
c) X-rays
d) clinico-anatomical correlation.

9. Wernicke’s area is located in the __________________, and is involved

in ______________
a) left hemisphere of the brain; language production
b) right hemisphere of the brain; the interpretation of speech
c) left hemisphere of the brain; the interpretation of speech
d) right hemisphere of the brain; language production.
10. Computerised tomographic (CT) scanning is:
a) an imaging technique where X-rayed images of cross-sections of
the brain are combined into a three-dimensional image of its
structure
b) an imaging technique where magnetic images of cross-sections of
the brain are combined into a three-dimensional image of its
structure while people are awake
c) an imaging technique where small quantities of radio-isotopes are
injected into the brain
d) an imaging technique where X-rayed images of cross-sections of
the brain are combined into a three-dimensional image of its
structure while people are asleep.

Short-answer questions
1. Which neurotransmitters are involved in mood and how do they
work?
2. Explain the function of the limbic system and describe what would
happen if this area was damaged.
3. Design a table that allows you to list the areas of the cerebrum and to
state the structures, functions and dysfunctions of each of these areas.
Fill this table in.
4. What happens to a patient whose corpus callosum has been severed?
What behaviour are you likely to see?
5. Why do the hormones sent out by the endocrine system affect the
body more slowly than the nerve impulses sent out by the nervous
system?
6. Describe the sorts of methods that are used in modern
neuropsychology.
7. Discuss the localisationism versus equipotentialism debate.
 Sensation and
perception CHAPTER
Loraine Townsend, Kirston Greenop & Oliver
Turnbull
8

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• define the terms sensation and perception
• explain what is studied in the field of psychophysics
• understand the role of thresholds in the process of sensation and perception
• describe the structure of the eye, ear, tongue and nose, and their respective sensory pathways to
the brain
• contrast theories of colour vision
• explain the forms of visual perception
• discuss the theoretical assumptions about the organisation of vision
• identify and describe the principal categories of neuropsychological disorders of vision that are
observed after a brain lesion has occurred
• explain the role of sound waves in hearing
• compare the theories of hearing
• compare the chemical senses of taste and smell
• explain why people experience pain differently
• outline the kinaesthetic sense and the vestibular sense.

CASE STUDY

Melinda was sitting outside on the grass in the middle of summer. She could feel the warm sun on
her skin; she could smell the flowers that were growing nearby. Melinda could also feel the soft
grass tickling her. She started to feel drowsy and so decided to gently stretch her legs and lie down.
As she looked up she saw her friend coming towards her through the dark green trees with the
bright yellow flowers. She heard the birds twittering softly and then heard her friend calling to her.
Melinda sat up and watched her friend approach. Her friend had brought some ice-cold juice,
which Melinda drank fast, although the cold fresh sensation that it left lingered on her tongue.
Melinda found it fascinating to think of all the complicated brain processes that allowed her to
be able to perform the simple task of seeing. She was lucky enough to have no problems with
 vision, and using her sight felt completely natural to her. It was hard to imagine what it must feel
like not to be able to see these things, to see them in confusing ways or, perhaps worst of all, to see
them but not be able to make sense of them. As she learned about how many neurological
problems could affect vision, her ability to see felt even more amazing. ‘Imagine being able to see
faces, but not recognise them!’ she thought to herself. Melinda imagined that this must be a very
disturbing experience. It was quite frightening to think about how much could go wrong with the
complex workings of the brain, but learning about these helped her to understand and appreciate
the remarkable things her brain was able to do.
Melinda knew that she often took her senses for granted, but when she did think about them
she was amazed at how they allowed her to make meaning of the world around her.

Introduction
As we discussed in Chapter 7, neurons are nerve cells, and different
neurons have different roles to play in our nervous systems. For nearly all
people, when a flower is in front of their eyes, their neurons responsible
for sight will fire and they will see a flower. Similarly, when an oven door
opens while bread is baking, most people’s neurons for smell will fire and
they will smell baking bread.
However, for a very small number of people, the sensations they
receive may be processed as an overlapping experience. So, for example,
they may see smells or taste sounds. is is called synesthesia, where
one experience overlaps with another (Simner, 2012). A person may hear
a particular music note but perceive it as a sugary taste, or a person may
experience someone else’s voice as the taste of chocolate and coffee.
Cases of synesthesia are very rare, but they illustrate the need to study the
different senses and how people make meaning of sensation. ey can
also help to demonstrate how sensation and perception may affect a
person’s psychology: imagine having an overlapping sense while
everyone else’s senses remain separate. Also imagine what happens to
one’s thoughts, feelings and behaviour when drugs, brain damage or
emotion affect perception. Understanding sensation and perception is
fundamental to understanding how people think, behave and feel, and
plays an important role in the field of psychology.
is chapter describes each sense (with a particular focus on vision)
and explains what happens as the sensory receptors pick up signals from
the environment and send them to the brain. is chapter also explains
the usual pathways that these experiences take in the brain, as well as
what happens when the pathways are disrupted or damaged in a way that
affects the sensation or perception experience. However, before each
sense is explained in detail, both sensation and perception must be
defined, and the field of psychophysics must be introduced.

Figure 8.1 What kind of object is this?

Sensation and perception

Sensation is a passive process during which the sensory receptors and
the brain receive information from the environment. Perception, on the
other hand, is a process that entails actively choosing information from
sensation, organising it and interpreting it to make meaning of the world.
 Imagine you are looking at an object. Sensation occurs when the
signals reach the eye, move to the brain and register as different lines,
colours and shapes. Perception occurs when you make meaning of all
those different lines, colours and shapes, and in so doing see the object
as, for example, a flower. e process of seeing an object and recognising
it as a flower would, therefore, involve the following steps:
Step 1: Energy signals in the environment reach the specialised
receptor cells in the eyes.
Step 2: ese specialised receptor cells turn the energy signal into an
electrochemical impulse as part of a process called
transduction.
Step 3: e impulse is then sent to the relevant brain region(s), and
sensation occurs.
Step 4: e brain makes meaning of the message, and perception
occurs.

e specialised receptor cells in the sensory organs are only activated

when energy in the correct form hits them. For example, the receptor
cells in the eye will only fire when light waves hit them, not when sound
waves hit them. e energy signals to which each sense responds are set
out in Table 8.1.
While sensation involves picking up the bits of signals from the
environment, perception involves making meaning of this information.
Making sense of many small pieces of information depends on what you
already know, what you have learnt as well as the social and cultural
context in which you live. For example, suppose you are at a party where
you are surrounded by many people in conversation. If you listen to
someone talking to another person quite a distance away from you, you
may not hear the whole conversation. e pieces of the conversation you
do hear are like the pieces of sensation you pick up from the
environment.
Table 8.1 The energy signals to which the various senses respond
Sense Energy signal
Vision Light waves
Hearing Sound waves
Taste Chemicals
Smell Chemicals
Touch Temperature and pressure signals
Kinaesthetic sense Pressure signals
Vestibular sense Motion signals

Making sense of the pieces of conversation is similar to perception.

However, your perception may be incorrect. You may hear ‘dinner … tired
… struggle … murder’. If the person whom you overheard is a small,
dainty lady with lots of make-up and jewellery talking to a similar lady,
you may perceive the conversation to be about her having to make dinner
when she was so tired and that it was murder in a figurative sense,
meaning that it was unpleasant. If the two people in conversation are
very large, muscular men, you may think they are talking about an actual
murder. You heard the same pieces of information (similar to the bits of
sensation signals we receive) and, in making meaning of them, you took
into account the sociocultural context as well as the appearances of the
people (perception).
is example illustrates that perception is always subjective as it
depends on the person who is interpreting the sensations in order to
make meaning from them. is is a personal process based on past
experience, learning and the environment in which the person lives.
erefore, while we all make meaning of our sensations, this meaning
depends on who we are, where we live, and what our past experiences
are. You have probably experienced this when you heard the same event
described by different people: they all seem to tell a slightly different
story, focusing on different aspects.
 8.1 PSYCHOPHYSICS APPLIED
It is not only the medical world that uses psychophysics – manufacturers use it all the time to avoid
creating unpleasant experiences for consumers.
For example, imagine you wanted to buy a piece of fish. You walk into a shop and have to wait a few
moments for your eyes to adjust to the light so that you can find the fish counter. You look around but
cannot see any fish, so you decide to ask an assistant. However, the music is playing so loudly that the
assistant thinks you are looking for a dish. This frustrating experience would probably make you leave
the shop without buying any fish.
People who design the interiors of shops use psychophysics to determine what level of light is
needed for consumers to see the products yet not be overwhelmed by brightness. The level of
background music is also studied so that the consumers can experience it as pleasant but still be able to
hear someone talking to them.

Psychophysics
Psychophysics is a special field in psychology that studies sensations,
their limits and how they are perceived. Sternberg (2004) explains
psychophysics as the study of the physical energy stimulation of the
sensory organs which results in meaningful psychological experience.
is field of study will ask questions such as: ‘How loud must a sound be
in order for a person to hear it?’ or ‘How bright must a light be in order
for a person to see it?’
Sternberg (2004) observes how psychophysics is used every day by
health care workers, who are constantly evaluating how great a specific
stimulus needs to be in order for us to perceive it. e implication is that
if the level of stimulus that is required for a person to detect it is too high
or too low, there may be something wrong with that person. For example,
suppose a man had his hand crushed in an accident. In measuring
whether he can feel pin pricks on his hand, the doctor or nurse can
determine his levels of feeling in that hand as well as whether or not his
nerves have been damaged. When we go for routine medical checks, the
health care worker asks questions such as: ‘Can you feel this?’, ‘Can you
see this?’ or ‘Can you hear this?’ e answers to these help the health
care worker determine the body’s level of functioning.
 Besides these levels of stimuli, psychophysics also studies the
thresholds needed to detect stimuli, the ability to discriminate between
stimuli, the errors we make in detection and how we become used to all
the stimuli around us.

Thresholds
A threshold is the level of energy that a stimulus must have in order for
an organism to perceive it. ink of this as the threshold you cross when
you walk through a door. When you are outside the door (below the
threshold), you cannot detect who is in the room, but as soon as you
cross the threshold, you can see that there are, for example, 10 people
there. You used energy to cross the threshold and can now perceive the
stimuli of 10 people. Similarly, a stimulus must have energy in order to
cross the threshold and be noticed.
e absolute threshold is the minimum amount of energy required
for an organism to detect a stimulus. For example, how much energy
needs to be detected before you know a mosquito is sitting on your leg?
An example from the real world occurred in the realm of safety
precautions. Ole-Herman (2004) investigated the absolute threshold of
sounds presented over loudspeakers and emergency transmission
systems so that the voices that were transmitted would definitely be
heard. e voices needed to pass the absolute threshold of hearing so
that people could hear them.

Signal detection theory

According to signal detection theory, people do not always detect a
signal at the same time or in the same way, and sometimes they even get
it wrong. Being able to detect the presence of a stimulus depends on
many factors, including the individual, fatigue, expectations and past
events (Holt et al., 2012).
In a test situation, if someone were asked to say whether they saw a
flash of light that person might say ‘yes’ when it appeared. is would be
called a hit. However, if that person said ‘no’ when the light was present,
this would be called a miss. If the person said ‘yes’ even when the light
did not flash, this would be called a false alarm. e last possibility, if the
person said ‘no’ when the light did not flash, would be called a correct
rejection. ese four options are set out in Table 8.2.
Table 8.2 Possible outcomes of signal detection (adapted from Sternberg, 2004)

In tests, people also differ in the way they decide whether or not they
have sensed a certain stimulus. Some people may guess ‘yes’ even when
they are unsure, while others may guess ‘no’. is is called a response
bias.
Bourne and Russo (1998) provide the example of a soldier on patrol.
e soldier may notice certain sounds when out on normal patrol
(probably more sounds than he would if he was relaxing at home). He
would probably notice even more sounds if a comrade had recently been
shot. is example shows that even in the realm of sensation, people are
not objective; their past experience has an impact. When studying signal
detection, we must take into account subjects’ individual differences as
well as the context in which the study is being performed.

Discriminating between stimuli

Psychophysics not only studies how we detect stimuli, but also how we
detect differences between stimuli. In many situations it is important to
notice the differences between stimuli. Holt et al. (2012) provide the
example of a piano tuner who needs to be able to detect the slightest
change in sounds or pitch so that the piano, once tuned, sounds perfect.
People also need to be able to detect changes in the taste of food, for
example, so that they can tell when the food is going off.
e difference threshold can explain these changes. is threshold is
‘the line one has to cross’ in order to tell when stimulus A is different to
stimulus B. However, people may make mistakes in their decision about
the difference between two stimuli. e just noticeable difference (JND)
is the level at which people will notice a difference between two stimuli
50 per cent of the time, and this is the minimum level of difference
required for a sense to know the stimuli has changed or become
different. e JND therefore defines differences.
e German physiologist Weber found that, in order for the JND to be
reached, a stimulus need not change by the same amount all the time. If
you increase the volume of the radio by one level when your
environment is quiet, you will notice the change; however, if you increase
it by one level when your environment is noisy, you are likely to not
notice the change. If you increase the volume of the radio by one level
when it is playing very softly, you will notice the change; however, if you
increase it by one level when you are already playing it very loudly, you
are unlikely to notice the change. Weber’s law, the First Law of
Psychophysics (Holt et al., 2012), states that noticing a change depends
on the proportion by which the stimulus has changed. For example, if
food has a very low level of salt (e.g. a level of 1) you would need to
change this by 20 per cent (to an overall level of 1.20) to notice a
difference. If you wanted to notice a change in very salty food (e.g. with a
level of 15), you would also need to increase this by 20 per cent (to an
overall level of 18). While 20 per cent of 1 is 0.2, 20 per cent of 15 is 3,
which shows that the change is not equal, but proportional.
If you look at Table 8.3, you will notice that it does not take much
difference for the average person to notice a change in visual stimuli (1.6
per cent). However, a 20 per cent difference is required for the average
person to notice a change in a salty taste, or a 10.4 per cent difference in
smell. is is as a result of the reliance humans have on vision. (ese
JND levels would not apply to animals. ey would notice changes in
odour much faster than humans as they rely more on this sense.)
Table 8.3 Percentages by which a stimulus has to change before one can notice the difference
(Teghtsoonian, 1971 in Holt et al., 2012)

Difference threshold (Weber

Sensory dimension
fractions)
Pitch (audition) 1/333
Brightness (vision) 1/60
Lifted weight (kinaesthetics) 1/50
Loudness (audition) 1/20
Pressure on skin (touch) 1/7
Smell 1/4
Taste 1/3

Adaptation to stimuli
If we responded to everything that we noticed in our environment, we
would not be able to cope. So we adapt to our environment by tuning out
some stimuli. Adaptation occurs when we are constantly surrounded by
a particular stimulus and so start to block it out. For example, if you walk
into a room and smell a horrible stench, the smell will seem less strong
the longer you stay in the room.
Our eyes go through this process of adaptation all the time as they
adapt to bright or dark light. Adaptation occurs at the same rate
regardless of how recently we adapted to the stimuli and it is a process
over which we have little conscious control (Sternberg, 2004). For
example, if you get into a hot bath the water will feel very hot initially, but
as you gradually adapt to the temperature it will feel colder, and you may
even add more hot water after a while. If you get out of the water at that
point, the outside temperature will seem very cold, but you will adjust to
that as well. If you then get back into the bath, it will seem hot again even
if you only stepped out for a short time to fetch a bar of soap.
 SUMMARY

• Sensation and perception depend on neurons firing when physical energy reaches them. Some
people have synesthesia, in which sensation experiences overlap.
• To understand sensation and perception, we have to know the pathways that these sensory
experiences take in the brain, and how the brain uses these signals to perceive an experience.
• Sensation is a passive process during which the receptors in the sensory organs are activated
by energy stimuli from the environment.
• Perception is a process that entails actively choosing information from sensation, organising it
and interpreting it to make meaning of the world.
• Psychophysics is the special field in psychology that studies sensations, their limits and how
they are perceived. It is interested in the thresholds needed to detect stimuli, the ability to
discriminate between stimuli, the errors we make in detection and how we become used to all
the stimuli around us.
• A threshold refers to the level of energy that a stimulus must have in order for an organism to
perceive it. The absolute threshold is the minimum amount of energy required for an organism
to detect a stimulus.
• Signal detection theory argues that different people detect signals at different times and in
different ways. This depends on individual differences, fatigue, context and personal
experience.
• People can detect changes in the levels of stimuli. The just noticeable difference (JND) is the
level at which people will notice a difference between two stimuli 50 per cent of the time; this
is the minimum level of difference required for a sense to know the stimuli has changed or
become different.
• Adaptation refers to our ability to tune out some stimuli so that we are not overwhelmed by
them.

The sensory systems

Each sensory system has certain unique characteristics. ese are
discussed below, together with what may happen when certain systems
are disrupted.

Vision
In brief, visual sensation and visual perception involve an energy signal
hitting the receptors in the eye, this signal being sent to the brain, and
some meaning being made out of the signal in the brain. However in this
section the mechanisms underlying vision are discussed in more detail.
Once you understand these mechanisms, you will be able to track the
visual system’s pathways and apply the disorders of visual processing to
them.

8.2 THE CASE OF MR S

Source: Shenker (2005)
Mr S, a 75-year-old man, went to his doctor because he was afraid he was losing his sight. He said that
his vision had become blurry and he thought that he should perhaps get stronger glasses. He was quite
worried however, because he experienced problems with his vision only when he was reading. When
asked to read, he said that he could see the words but that they did not seem real. He could catch a ball
walk around without bumping into the furniture and identify colours. When his vision was tested, he
could see everything in his left visual field but nothing in his right visual field. He couldn’t read any
words but he could write them. When he wrote the words, however, he would then say, ‘What does it
say?’ He couldn’t read what he had written. When an MRI was done on his brain, doctors found that he
had had a stroke in his left occipital lobe that had also affected some of the fibres of the back part of his
corpus callosum.
Mr S was diagnosed as having a condition known as alexia (the inability to read) without agraphia
(the inability to write), and without having lost the abilities to detect stimuli or to detect changes in
stimuli.
In order to explain the disturbance to Mr S’s vision, we would have to evaluate all the components of
his visual system. To do this we would first try to establish whether the energy from his environment was
being received at the appropriate level. We would then investigate whether the structure of his eye was
normal and working correctly in order to receive this signal.

Light
e energy signal that the human eye receives is light. Light is a form of
electromagnetic radiation (Holt et al., 2012), which is in the form of
wavelengths. Humans can only detect wavelengths ranging between 350
and 750 nanometres (or billionths of a metre). is is a small range of the
electromagnetic spectrum (Sternberg, 2004). Bees, for example, can see
the ultraviolet and infrared spectrums, which we cannot see (Sternberg,
2004). Figure 8.2 illustrates the electromagnetic spectrum, and shows
that humans can only see a very limited number of all the wavelengths
that exist.
The structure of the eye
Specialist cells in the eye pick up light in the form of wavelengths.
However, before this light energy reaches these cells, it first has to travel
through the eye itself. Figure 8.3 illustrates the structure of the eye and
the path of light through the eye. e route that light travels to reach the
photoreceptor cells at the back of the eye can be outlined in four steps:

Figure 8.2 The portion of the electromagnetic spectrum that humans can see (adapted from Coon,
2004)

Figure 8.3 The structure of the eye and the path light travels to reach the photoreceptor cells

1. e light hits the cornea of the eye. is is the curved covering on the
outside of the eye, which protects the eye and keeps its shape.
 Light passes through the pupil. e pupil appears as the black centre
2. in the eye, but it is in fact an opening. e pupil can increase or
decrease in size depending on how bright or dark the light is at which
you are looking. If a person is looking at an object in bright light, the
pupil will be small because the person does not need a lot of light in
order to see the object. However, if a person is looking at an object in
the dark or low light, the pupil will be big so that more light can enter
the eye to enable the person to see the object more clearly. e iris is
the coloured part of the eye that surrounds the pupil. Sternberg
(2004) explains that the iris is a circular band of muscles that make
the iris bigger or smaller. (e reason why a person’s eye is blue, green
or brown is because this muscle reflects specific types of light beams
away from the eye. We then perceive this as a specific colour.)
3. e light passes through the lens. is is like the lens on a pair of
glasses. e lens has a bulging shape (just like glasses), but is flexible
and can change the extent of this bulge. e lens focuses light onto
the back of the eye and, in order for the object we are seeing to be in
focus, that light needs to be bent at a particular angle – therefore the
lens adapts constantly. If the lens does not focus the light correctly,
we need glasses to correct this. e lens in glasses helps the lens of
the eye to work correctly. In this instance, light will be bent going
through the lens of the glasses and then again through the lens of the
eye. Another interesting feature of the lens is that it turns the image
we are seeing backwards and upside down, although the brain
corrects this for us later.
Figure 8.4 If the lenses of our eyes do not focus light correctly, we can use the lenses in a pair of
glasses to rectify the problem

4. e bent light that is focused onto the back of the eye hits the retina.
e retina is very thin; in fact, it is as thin as this page (Sternberg,
2004). However, it contains all the cells that pick up light. ese
specialised neurons cover the whole of the back of the eye except one
area, which is called the blind spot. e retina’s specialised neurons
include cells called photoreceptor cells, which change the
electromagnetic energy of light into electrochemical energy (the
neural impulse), which can be relayed to the brain.

ere are two kinds of photoreceptors: rods and cones, thus named
because of their distinctive shape (see Figure 8.3). ere are about 120
million rods and six million cones in the eye (Holt et al., 2012). Davey
(2004) explains that rods and cones each have their own specific type of
photopigment that is affected by a specific wavelength of light. e rods
enable us to see in low light as they are sensitive to picking up black and
white but not colours. e cones, on the other hand, pick up colours and
function best in bright light. Rods are found all over the retina, while
cones are found mainly in the fovea with their numbers reducing
dramatically outside of the fovea. e fovea is the area where the best
visual acuity or best vision occurs.
All the axons of the photoreceptor cells bundle together and exit the
eye at the optic nerve. (Refer to Chapter 7 for more information about
the process of electrochemical transmission.) Because the optic nerve is
made up of the axons of the neurons in the eye and not the actual
photoreceptor cells of the neurons, this forms the blind spot. e blind
spot leaves a gap in our vision, but we do not notice it because the brain
fills it in.
Returning to the case study about Mr S, and having explained the
structure and functioning of the eye, it would seem that Mr S does not
have a difficulty at this level. If a person were to have a problem with the
structure of the eye or the cells at the back of the eye, this would result in
diminished overall vision or blindness. Mr S can still see nearly
everything and has difficulty with words only.
erefore, to explain Mr S’s difficulty, we need to investigate the
message travelling from the eye to the brain.

The pathway to the brain

e electrochemical signals follow a route from the optic nerve through
to the occipital lobe in the back of the brain. From the occipital lobe, the
message may then be sent to other areas of the brain for further
processing. is route is illustrated in Figure 8.5.
As the picture illustrates, everything you see in your right visual field is
transmitted to the left hemisphere, and everything you see in your left
visual field is transmitted to the right hemisphere. Notice that each eye
picks up images from the right and the left visual field. e optic chiasma
splits the two pathways and, at that point, each crosses over to the
opposite hemisphere. e messages are then sent to the occipital lobes,
which are responsible for the sensation input and the initial processing of
the information into visual perception. Depending on the type of
information, this is then sent for further processing to the temporal lobes
(which tell you what things are) and parietal lobes (which tell you where
things are).

Figure 8.5 Visual pathways in the brain (adapted from Sternberg, 2004, p. 127)

Returning to the case study about Mr S, it now seems likely that Mr S has
no problems with the general sensations of vision as he can see quite
well, but he cannot make meaning of written words, suggesting that he
cannot form a perception of words. is is clearly a difficulty in Mr S’s
processing abilities. However, before coming to this conclusion, we
should also evaluate the specific aspects of Mr S’s vision. He indicated
that he sometimes sees a fuzzy image of the words. In order to assess this,
we need to evaluate the quality of his vision (his visual acuity) and his
colour vision.

Visual acuity
Visual acuity refers to how well a person can see objects and distinguish
between objects in the environment. If you have poor visual acuity, then
you may not be able to see objects at a distance or the fine detail of an
object. Generally, the better your acuity, the better your vision. Cones
affect acuity as they are concentrated in one area of the eye (the fovea).
Cones are also responsible for seeing in bright light.
We can still see in low light, however. is is called dark adaptation
and occurs when the rods become activated in low light. Cones operate
in bright light and are not of much use in the dark. e rods, however,
function in the dark although they cannot detect colour. When you enter
a dark room, you probably won’t see anything. As your eyes become used
to the dark in the first five to ten minutes, you will start detecting shapes
and intensity in objects. e rods continue to become sensitive over a
period of half an hour (Holt et al., 2012).
Returning to our case study, Mr S does not seem to have difficulties
with visual acuity as his vision is normal for most objects. His colour
vision is also normal as he did not report any difficulty in picking out
different colours.

Colour vision
Seeing colour involves a combination of three factors (Coon & Mitterer,
2013). e three properties of colour are as follows:
1. Hue. is is determined by the wavelength of light. Sternberg (2004)
states that we see the shortest wavelength as violet and the longest as
red.
2. Saturation. is is determined by how pure the colour appears or
how much it has been combined with white.
3. Brightness. is is determined by the amplitude of the light wave,
which is the amount of light we see coming from the wavelengths.

e various theories of colour vision all attempt to explain how we can

see so many different colours at different brightness levels and saturation
levels. ese theories are currently still being debated and we will
highlight the main two theories only.
e trichromatic theory, proposed by omas Young and later
modified by Hermann von Helmholtz (1852, in Sternberg, 2004), focuses
on the primary colours of red, blue and green. Young and Helmholtz
argued that as these three primary colours form the basis of every
possible colour we can think of, it seems logical that the photoreceptors
in the eye are specialised to pick up these primary colours. It is,
furthermore, impossible to have receptors for all the colours that exist.
erefore, these researchers said that we have three kinds of cone, each
sensitive to green or blue or red. To achieve the many different colours
we can see, these photoreceptors are activated to different degrees
(Sternberg, 2004). is would be similar to mixing paint. If you want
violet, you would mix a lot of blue with a little red. When we see violet,
therefore, our blue photoreceptor is highly activated and our red one less
so.
e reason Young and Helmholtz thought their theory was correct was
because some people who are colour blind are only blind for one colour,
either blue (exceptionally rare) or green or red.
e other main theory of colour vision takes a different view. e
opponent-process theory states that we have neurons in our retina that
are able to process pairs of colours. ese pairs are red-green, yellow-
blue, and black-white. When stimulated, these neurons react to one side
of the pair more than the other, resulting in your seeing more red than
green, for example. e pairs are therefore called opponents because
they work against each other. is theory can account for the experience
of after-images. Find a coloured picture of the South African flag. Stare at
the middle of the flag for 30 seconds, then look at a white piece of paper.
You will see the flag, but in different colours – this is an after-image.
Sternberg (2004) notes that we seem to need both theories to account
for colour vision. Trichromatic theory is correct when it states that we
have three kinds of cones, but the opponent-process theory is also
correct at a higher level of the neuron. e opponent-process theory can
also explain after-images, which the trichromatic theory cannot.
 SUMMARY

• Visual sensation and visual perception involve an energy signal hitting the receptors in the eye.
• This energy signal is light; light is a form of electromagnetic radiation which travels in the form
of wavelengths. Humans can only detect a limited range of wavelengths.
• The light coming into the eye first reaches the cornea, then passes through the pupil. The pupil
is surrounded by the iris, the coloured part of the eye.
• Behind the pupil is the lens which focuses light onto the back of the eye. The lens also turns the
image backwards and upside down.
• The focused light waves hit the retina at the back of the eye. The retina contains the
photoreceptor cells that pick up light. These cells change the electromagnetic energy of light
into electrochemical energy which can be relayed to the brain.
• There are two kinds of photoreceptors: rods and cones. Rods enable us to see in low light while
cones pick up colours and function best in bright light.
• Rods are found all over the retina, while cones are found mainly in the fovea. The fovea is the
area where the best vision occurs.
• All the axons of the photoreceptor cells bundle together and exit the eye at the optic nerve.
This area forms the blind spot.
• The electrochemical signals follow a route from the optic nerve through to the occipital lobe in
the back of the brain. All the signals from your right visual field are transmitted to the left
hemisphere, and everything you see in your left visual field is transmitted to the right
hemisphere. This crossing over occurs at the optic chiasma.
• Visual acuity refers to how sharp a person’s vision is. Cones are most responsible for good
acuity. Rods are activated in low light and adapt to allow us to see in the dark.
• Humans can see in colour. There are three aspects of colour vision: hue, saturation and
brightness. The two theories of colour vision mentioned in this chapter are trichromatic theory
(Young; Helmholtz) and opponent-process theory.

8.3 IS COLOUR BLINDNESS GENETIC?

According to Montgomery (2005), there are about 10 million men in America who are colour blind. This
is seven per cent of the male population compared to only 0.4 per cent of the female population. This
indicates that there is a genetic basis to colour blindness, which is supported by what we know of
human chromosomes. This disorder is carried on the X chromosome, and men only have one of these
However, women have two X chromosomes, so they are protected to a certain extent as if one is
disordered the other one can compensate for it.

Visual perception
In the case of Mr S, it was found that his sensation was not affected, as his
abilities to pick up light waves and to see colours were all intact. It was
suggested that Mr S probably had a problem with his perception of visual
elements. In order to make the visual world meaningful, the process of
perception relies on the elements of sensation that enter the brain, as
well as memory, past experience and the culture in which one lives.

Processing of visual signals in the brain

Visual signals are processed at different levels in the brain. Some regions
deal with lower-level tasks and other regions with higher-level tasks. In
addition, some regions deal with specialised tasks. e brain regions that
are responsible for lower-level or more elementary tasks are called the
primary visual areas, while the regions that are responsible for higher-
level or more psychologically sophisticated tasks are called the secondary
visual areas and the tertiary visual areas. A highly simplified diagram of
the arrangement of this system is shown in Figure 8.6.

Primary visual areas

e primary visual areas are lower-level or less psychologically complex
areas that lie towards the top of the occipital lobes (see Figure 8.6). is
area is often referred to as the primary visual cortex.
e primary visual cortex is the input end of the brain’s visual system;
it is the place where the more elementary aspects of processing occur
(such as perception of light intensity and edge detection). Damage to the
primary visual area causes a condition referred to as cortical blindness,
where visual experience stops because key aspects of the input end of the
visual system are disrupted. People experience this damage as blindness.
Figure 8.6 The regions of the brain that are responsible for the hierarchically ordered tasks of vision

Secondary and tertiary visual areas

In front of and below the primary visual cortex lies a more
psychologically sophisticated system, which is composed of the
secondary visual areas (see Figure 8.6). ese are dedicated to a range
of specialised visual processing tasks, such as the recognition of objects,
and colour and motion processing.
Damage to the secondary visual areas causes more complex disorders
of visual processing. Patients with damage to these areas lose, for
example, the ability to recognise specific objects, or the ability to perceive
colour or movement.
At the highest level of the visual system are the tertiary visual areas
(see Figure 8.6). ese operate the most abstract and psychologically
sophisticated aspects of visual processing. ese areas depend on other
sensory modalities, such as hearing and touch. ey are involved in
important parts of arithmetic, writing, constructional operations and
spatial attention, and in some respects represent the output end of the
normal perceptual system.
Damage to the tertiary visual areas does not exactly affect visual
perception, but rather causes more abstract disorders that go beyond
concrete perception. Possible effects of damage to these areas are an
inability to calculate, to write or to construct complex forms.
Top–down and bottom–up processing
Coon and Mitterer (2013) and Holt et al. (2012) distinguish between
bottom–up and top–down processing in visual perception.
Feature-detection theory is an example of bottom–up processing.
According to this theory, the neurons in the retina send information
using the optic nerve to the brain via the thalamus. Of the many parts of
the brain to which information is sent, the primary visual cortex is the
main one. e primary visual cortex is located in the occipital lobe at the
back of the brain. Holt et al. (2012) note that research has shown that
specific neurons in the retina make contact with specific regions of the
primary visual cortex. ere is an almost one-to-one mapping. Some of
these neurons in the primary visual cortex only respond to certain visual
stimuli. For example, some may only fire for horizontal lines, others for
vertical lines. ese are called feature detectors as they look out for
certain features or characteristics. We seem to have feature detectors for
many visual elements such as colour, shape and motion. When we see
something in front of us, these many feature detectors fire together (or in
parallel) and we integrate the information to form an image. is is a
bottom–up process in that it takes all the elements of a visual array and
combines it into something bigger or more meaningful.
Top–down processing works the other way round. Bourne and Russo
(1998) use the following example. What is the middle image in Figure 8.7?
e letter B? Or the number 13?
Figure 8.7 Top–down processing uses the context to understand an object

If you read the numbers in Figure 8.7, you would expect the object in the
middle to be 13 as it comes after 12, but if you read from top to bottom,
you would read the object as B as it comes after A. Deciding what you see
in this instance is dependent on past experience as well as learning – so
too is top–down processing.
Rather than being competing ideas, top–down and bottom–up
processing are both used in visual perception. We form our perceptions
based on what we sense as well as what already exists in our brains (Holt
et al., 2012).
Returning to our case study, it appears as if Mr S can process
information in a bottom–up fashion as visual information activates
features in his primary visual cortex. However, Mr S does not seem to be
able to utilise top–down processing in order to utilise his past experience
and knowledge of words and letters to identify and read the words.
Form perception
In the 1920s, gestalt psychologists identified and explained a set of
principles that we use in order to perceive our world visually. ese
principles state that we take the elements that make up an object and
form a meaningful whole from them. According to the gestalt
psychologists, ‘the whole is greater than the sum of its parts’. e gestalt
laws of organisation include the following (Feldman, 2014):
• Proximity. ose objects closest together are perceived as belonging
together. Have a look at the row of dots in Figure 8.8(a). Instead of
seeing a row of single dots, you see a row consisting of pairs of two
dots. Another example is when you see a friend sitting on a bench
next to a person who looks a little like your friend, but much older.
When you walk over to your friend you may say ‘hello’ to the other
person thinking it is her mother, whereas in reality they do not know
each other at all. You placed them together as a meaningful unit as a
result of proximity.

Figure 8.8 Diagram of gestalt laws of organisation

• Similarity. ings that look the same are grouped together. Have a
look at the blocks and crosses in Figure 8.8(b). You form a cross with
the blocks because they are similar in form.
• Closure. People close or ignore the gaps in objects to form a
meaningful whole. Have a look at the triangle in Figure 8.8(c). Even
though there are holes in the triangle, you complete them to form a
meaningful whole.
Perceptual constancy
Holt et al. (2012) suggest that we see the world in quite a stable and
constant way – if we did not, we would have to rediscover the shapes and
other visual aspects of objects each time we encountered them. Much
like the way in which the gestalt psychologists said we make sense of our
world, the principles of perceptual constancy show that we use cues in
the environment to keep our world predictable and stable. is stability
exists in spite of the fact that the sensations we receive from the world are
constantly changing. ere are various kinds of constancy:
• Colour constancy. is is when the perception of a colour stays the
same, although the image of it may change. For example, whether a
friend sees you standing in bright sunlight, under a shady tree or in a
dimly lit room, he/she still perceives your T-shirt as red. e
perception of the colour stays the same (i.e. constant), even though
the retinal image changes in different settings owing to varying levels
of lighting.
• Size constancy. is refers to the fact that, even though an object gets
smaller on the retina as you get further away from it, you know its size
remains the same. For example, as a friend who is your height walks
away from you, her size will decrease on your retina, but you know
that she is not shrinking.
• Shape constancy. is is when the shape of something changes on
the retina, but you know its shape remains the same. For example,
when you look at a closed door, it is rectangular in shape. When it
starts to open, the shape changes to a more trapezoid shape, but you
know it is still a rectangle.
Figure 8.9 A door appearing to change shape as it opens

If we were relying on bottom–up processing only, we would think that

our friend’s red jersey was fading, that our other friend was shrinking,
and that the door was changing shape right in front of our eyes. Top–
down processing allows us to maintain perceptual constancy; we have
learned things about our world through experience and this learning
enables us to make sense of changing stimuli.
Depth perception
Depth perception is the ability to perceive the three-dimensional quality
of our world. is is amazing, considering the fact that the retina is like a
flat piece of paper and is therefore two-dimensional. We use both
monocular and binocular cues from the environment to tell us about
depth.
Monocular depth cues depend on one eye only. ese cues are the
ones most artists use in their artworks and include the following:
• Linear perspective. Parallel lines, such as the rails of a railway track,
look as though they move closer together the further away they are.
• Patterns of light and shadow. ese have been used by artists like
Escher to create perception of depth.
• Relative size. If we see things that we know are similar in size, then
we will know that the one that appears smaller is further away.
• Motion parallax. ings that are far away from you look as though
they are moving more slowly than things that are closer to you (Holt
et al., 2012).

Binocular depth cues depend on both eyes. ey include the following:
• Convergence. Hold your finger in front of your face at arm’s length.
Look at your finger as you slowly move it towards your face. Can you
feel the muscles in your eyes start to tighten the closer the finger gets
to your face? is information from the muscles goes to the brain to
provide information about distance. e further away something is,
the less tension is placed on the eye muscles.
• Retinal disparity. Hold your finger in front of your face again, about
20 cm away. Look at the finger with one eye open, then with the other
 eye open. Do you notice how your finger seems to jump from one side
to the other as you focus on it with each eye? is is due to retinal
disparity, as each eye is picking up a different picture of the finger.
When the images from both eyes are put together, depth perception
occurs.
Visual illusions
Santrock (2003) notes that our perception is most often correct. However,
when we pick up signals from the environment and come to an incorrect
perception, this is called an illusion. See Box 8.4 for some examples of
illusions.
Bi-stable images are not illusions, but they do illustrate how our visual
perception can change spontaneously to alter what we perceive. A bi-
stable image is a two-dimensional image which can be perceived to yield
two different images (though never at the same time – our perception
switches from one to the other). Figure 8.10 gives two examples of bi-
stable images.
Figure 8.10 An example of a bi-stable image: a wine goblet versus two facing profiles
8.4 ILLUSIONS
The following are two examples of illusions:
The Müller-Lyer illusion: Look at Figure 8.11 (a) and (b). If asked to judge which line is longer, most
people say the one with the inverted arrows on the end. However, both lines are the same length.
The Ponzo illusion: Which line in Figure 8.11 (c) is longer, the one at the top or the bottom of the
converging lines? Because we think of converging lines as representing distance, we see the furthest
line as longer, but they are both the same length.

Figure 8.11 The Müller-Lyer illusion (a) and (b), and the Ponzo illusion (c)
 8.5 VISUAL PERCEPTUAL DISORDERS – A CASE STUDY
Although a variety of spatial disorders can result from damage to the brain, an interesting specific case
was recorded by Luria (1972); this referred to a patient called Zazetsky.
Zazetsky was injured in the left parietal region by a bullet during World War II and after this, suffered
from many deficits in his spatial ability. Luria recorded Zazetsky’s personal descriptions of them.
One area of Zazetsky’s difficulties was with the verbal labels left and right. Zazetsky was examined by a
doctor to test his vision, and was asked to tell in which direction a semicircle was facing – a question
that he should have easily been able to answer. As he described this experience, he simply could not
begin to think of an answer, and merely looked at her, so that she became annoyed with him: ‘Why
don’t you answer? Which direction is the semicircle pointing – to the right or the left?’ It was only then
that he understood what she was asking:

I looked at the semicircle but couldn’t judge since I didn’t know what left or right meant … I could
see [the semicircle] … it was so clear you couldn’t miss it. But I didn’t understand the doctor’s
question … I just sat and stared at the figure but wasn’t able to answer her since I didn’t know
what the words meant (Luria, 1972, p. 54).

Zazetsky also seemed to have forgotten the shapes (letters) that we normally use to represent particular
sounds. He was quite familiar with the sound ‘b’, could say it and knew that it was the sound that starts
the word ‘boat’. However, he had great difficulty remembering the shape that we normally make on a
page to represent the sound ‘b’ – the ability to recall that it consists of one vertical line and a curved line
b. He recalled, ‘Even after I thought I knew the letters, I couldn’t remember how they were formed. Each
time I wanted to think of a particular letter I’d have to run through the alphabet until I found it’ (Luria
1972, p. 72). It seems that Zazetsky had suffered a disturbance of the ability to generate and recognise
even individual letter shapes.

Perceptual deficits of vision

Any deficit of perception is called an agnosia. Visual-object agnosia
occurs when people fail to recognise all types of visual objects. Recent
work suggests that recognition problems might also be restricted to
categories such as animate or inanimate objects, scenes, body parts and
even particular types of emotional expression, such as fear. e case of
Mr S illustrates what happens when there is a deficit in perception and a
visual agnosia results. Even though Mr S’s sensory processing abilities
were intact, his ability to process information into a meaningful whole,
such as words, was disordered.
Another agnosia is prosopagnosia, where people cannot recognise
faces (Sternberg, 2004). e patient cannot map the new perceptual
experience of seeing someone’s face (such as their mother) onto the
memory they have for that person’s face. Like other forms of agnosia, the
 basic perceptual abilities are normal, or near normal. ey can still judge
where objects are, as well as their size and shape. In fact, patients with
prosopagnosia generally have such good visual abilities that they can tell
that they are looking at a face, and can usually point to the various parts
of the face (the eyes, the mouth, etc.), but cannot say who they are
looking at. is failure to recognise familiar people can include the faces
of famous persons, friends, members of their own family, and sometimes
even their own face viewed in a mirror.
However, patients with prosopagnosia do not struggle to name people,
because they use other information to recognise and then name a
person. For example, while they may not recognise their brother by sight,
they may hear his voice and recognise him from that.
Patients with prosopagnosia may still recognise other kinds of objects
and can still read, and this finding supports the theory that
prosopagnosia is a specific visual disorder. is has led to the suggestion
that faces may be a special category requiring a special brain region.

SUMMARY

• Visual signals are processed at different levels in the brain; lower-level tasks are processed in the
primary visual areas, while higher-level tasks are processed in the secondary and tertiary visual
areas. Damage to the primary visual cortex results in cortical blindness.
• The secondary visual areas allow us to see objects, colour and movement, while the tertiary visual
areas work with other senses to allow us to write and do arithmetic, among others.
• Two theories of visual perception refer to top–down and bottom–up processing.
• In bottom–up processing, we use feature detectors to take the elements of a visual stimulus and
integrate the information to form an image. In top–down processing, we use our past experience
and learning to perceive the image.
• According to the gestalt school, we use a set of principles to perceive forms; these principles
include proximity, similarity and closure.
• We also have the ability to perceive the world in a stable manner even when the visual input
changes. Kinds of visual constancy include colour, size and shape constancy.
• Depth perception allows us to perceive the three-dimensional quality of our world. This process
uses both monocular and binocular depth cues.
• Visual illusions occur when we pick up signals from the environment and come to an incorrect
perception.
• People can suffer from various perceptual deficits, called agnosias. These include visual object
agnosia (failure to recognise objects) and prosopagnosia (failure to recognise faces).
• Visual perception may also be affected by disorders of spatial ability. Perceptual disorders are
commonly caused by brain lesions in specific areas.
Hearing
After vision, hearing is probably the sense on which we rely the most. e
energy signals that come from the environment to our ears are in the
form of sound waves.

Sound
Sound waves are pressure waves. ink about a very large speaker: when
someone increases the volume of a speaker to a very loud level, objects in
front of the speaker move as the air moves (Holt et al., 2012).
Sound has three characteristics (see Figure 8.12):
• Amplitude. is relates to the size of the sound waves, i.e. how big or
how small they are. e size of the wave determines loudness and is
measured in decibels (db). For example, the sound waves produced
by a man shouting would be much larger than those produced by a
child whispering.
• Frequency. is is the number of waves that occur per second. is is
measured as cycles per second or hertz (Hz). When you increase the
number of cycles per second, the pitch of the sound increases (Holt et
al., 2012). e sound produced by a high-pitched whistle would have
more cycles per second than the sound produced by a big bass drum.
• Timbre. is relates to the quality of the sound. For example, the
notes on a piano would have a different quality to an explosion
(Sternberg, 2004).
Figure 8.12 Illustration of amplitude and frequency waves (adapted from Sternberg, 2004, p. 150)

The structure of the ear

Figure 8.13 shows the structure of the ear. e ear is divided into the
outer, middle and inner ear. e route that sound waves take through the
ear can be explained in a step-by-step process, given on the next page.
The outer ear
Step 1: e sound waves are collected by the pinna or the outer parts of
the ear, i.e. the parts that you can see.
Step 2: e sound waves then move down the auditory canal to the
eardrum.
Step 3: e sound waves make the eardrum vibrate. Higher frequencies
lead to faster vibrations.
The middle ear
Step 4: e middle ear has three bones that collect the vibrations.
Step 5: ese bones (the malleus, incus and stapes) increase the
vibrations and send them to the inner ear or the cochlea.
The inner ear
Step 6: e vibrations reach the oval window, which is the start of the
cochlea.
Step 7: e cochlea is made up of three channels separated by
membranes. One of the membranes is the basilar membrane
and has small hairs on it. ese hairs float in the fluid of the
cochlea and are our auditory receptors. e vibration moves
parts of these hairs.
Step 8: e movement of the hairs starts the electrochemical message
(neural transmission) that is then sent to the brain.

The pathway to the brain

Information from the cochlea starts the electrochemical message that is
sent via the auditory nerve to the brain. Sternberg (2004) notes that the
path of the auditory nerve goes to the medulla oblongata, then to the
midbrain, through the thalamus, and finally to the auditory cortex (in the
temporal lobes).

Theories of hearing
The theory explaining how we hear loudness
Holt et al. (2012) explain that loudness is transmitted to the auditory
nerve in two ways:
1. Loud sounds have a high amplitude. is high-amplitude sound
wave makes the hair cells on the basilar membrane bend more,
causing the neurons to fire at a higher rate, thus registering that it is a
loud sound.
2. Specific neurons have a higher threshold for firing. If the
amplitude is high and the sound wave is high, this will cross the
threshold and make these specific neurons fire. If these neurons fire,
it sends a message that the sound is loud.

Figure 8.13 The structure of the ear

Theories explaining how we hear pitch

According to Holt et al. (2012), place theory states that we hear pitch
because the vibrations caused by each frequency make a specific place
on the basilar membrane vibrate. For example, high-frequency waves
cause the area close to the oval window in the cochlea to vibrate, while
low-frequency sounds cause the basilar membrane at the end of the
cochlea to vibrate.
 However, because the vibration starts at the oval window and moves
down the cochlea (implying the vibration exists throughout the cochlea),
this is not very specific; thus this theory does not explain well how we
hear low-frequency sounds. Other influences need to be considered.
Frequency theory attempts to address the shortcomings of place
theory. According to frequency theory, our ability to distinguish different
pitches is related to the number of times the auditory nerve fires. e
nerve will fire more often for higher sounds than for lower ones (Holt et
al., 2012). is theory is useful in that it can explain low-frequency
sounds quite well.
However, while our neurons can only fire at 1 000 times per second,
we can hear pitches at 20 000 Hz. is is not explained by frequency
theory.
According to Sternberg (2004), researchers have proposed the volley
principle to explain how we can hear these very high sounds. ey argue
that neurons work together when they are stimulated by high-frequency
sounds. When the frequency vibration of this high sound enters the
cochlea, the neurons act in a cooperative group, alternating the firing.
erefore, while one neuron is resting, the other neuron fires. In this way,
a rate of rapid firing is possible. You can think of it as a row of men filling
a hole with sand using spades. If one man was doing it, the process would
be very slow. However, if they all stand in a line, one man may be
throwing sand into the hole while another man may be lifting more soil;
in that way, when the first man turns to get more soil, the second man
can throw his soil into the hole, and so on.
It appears that some combination of place theory and frequency
theory is necessary to explain pitch.

Locating sounds
Animals are much better than humans at identifying the direction of
sounds. A dog’s ears, for example, are shaped so that they form a tunnel
for the sounds to travel down. e ears trap the sound and the dog can
move its ears only, instead of his whole head, to find best where the
sound is coming from.
 Human ears cannot move around in this way. Humans rely on
something called a sound shadow to locate a sound. To understand this
concept, imagine you are in a house for the first time and a phone is
ringing. You want to answer it, but you do not know where the phone is.
You will need to locate the phone by sound. e sound of the ringing
phone will reach the ear closest to the sound faster than the other ear.
e ear closest to the noise will therefore hear the ringing first (and at a
slightly higher intensity) and your head will block the sound waves
travelling to your other ear to a certain degree, causing a shadow and a
lowering of the intensity of the sound. is shadow results in a very small
delay in the sound reaching the furthest ear and a slight drop in sound
intensity. is is because the sound has to travel an extra distance to
reach the furthest ear. Our brain can use these two pieces of information
to locate the direction of the sound.
It is more complicated if the sound reaches both ears at the same time
because there is no shadow to tell us where the sound is. When this
happens, people tend to move their heads one way or the other to create
a sound shadow deliberately.

SUMMARY

• After vision, hearing is probably the sense we depend on the most. The energy signals that
come from the environment to our ears are in the form of sound waves, which are pressure
waves.
• Sound has three characteristics: amplitude, frequency and timbre.
• The structure of the ear is quite complex. The outer ear consists of the pinna and the eardrum.
The middle ear contains the small bones (malleus, incus and stapes). The inner ear consists of
the cochlea which starts at the oval window and is made up of three channels separated by
membranes. The basilar membrane carries small hairs which are our auditory receptors.
• Sound waves are collected by the pinna and make the eardrum vibrate. The vibrations are
passed to the small bones which amplify them and pass them to the oval window. The
vibrations cause the hairs on the basilar membrane to move and this starts the electrochemical
message that is then sent to the brain.
• The message is sent via the auditory nerve along a complicated route to the auditory cortex in
the temporal lobes.
• Loud sounds have a higher amplitude that triggers specific neurons to fire.
• Pitch theories include place and frequency theory.
• Humans locate sounds using the sound shadow. This refers to the time difference between
when a signal reaches our two ears.
Taste
Taste is called a chemical sense because a substance must be dissolved in
something in order for neural transmission to occur. In other words, in
order for us to taste something, some of its molecules need to dissolve in
our saliva. en we are able to taste sweetness, bitterness, saltiness
and/or sourness. An additional taste of umami – caused by glutamate
and ribonucleotides - is sometimes also added to this list. It is a pleasant
savoury taste.
Sternberg (2004) notes that while our threshold for taste is low, the just
noticeable difference (JND) is often very high. Imagine sitting
blindfolded while someone places different things in your mouth to taste.
People often identify the taste incorrectly or cannot detect when the taste
has changed slightly.
e tongue has thousands of taste buds (see Figure 8.14) that only last
about ten days as more taste buds are created continuously. Each taste
bud has a finger-like extension at the top that is sensitive to the chemicals
surrounding it. When this protrusion detects a chemical, it sends a
message to the brain by making the neuron fire. e message travels from
the neurons to the thalamus and then to the somatosensory cortex. Some
of the information also goes to the hypothalamus and the limbic system
(two areas of the brain involved in emotion).
Our sense of taste is not very sophisticated or sensitive. When we get a
cold and our noses become blocked, our sense of taste seems almost to
disappear. is is because much of what we taste depends on being able
to smell it. is relationship is part of perceiving flavour, which is a blend
of taste and smell; in addition, touch and heat/ cold contribute to our
experiences of eating. For example, some food is soft or slimy; other food
is hard or crunchy. Some food (like chocolate) melts in the warmth of the
mouth, contributing to the pleasant experience of eating it.

Smell
Like taste, smell is a chemical sense. We smell something when
molecules in the air are dissolved in the mucus in the nose (see Figure
8.15). Molecules in the air enter the nose through the nostrils when we
inhale them. Here they are transferred to the olfactory epithelium,
which is the membrane of the nose that secretes mucus. is area is just
below and behind the eyes. On the olfactory epithelium, the molecules
activate the olfactory receptor cells. ese cells last four to eight weeks
only.

Figure 8.14 The structure of the tongue and the pathway to the brain

Figure 8.15 The structure of the nose and pathway to the brain
When the receptor cells are activated, the specialised neurons fire. e
information from the neurons then comes together in the olfactory
nerve, which leaves the nose and enters the brain through the skull. e
olfactory nerve goes straight to the olfactory bulb, which is in the
temporal lobes. is direct route from a sensory organ to the specific part
of the brain responsible for processing the sensation is unique.
Information from the other senses must travel from the sense organs to
the thalamus, which is like a conductor telling the information where to
go, and then to the area in the brain responsible for processing.
Some information also goes to the hypothalamus and the limbic
system, which is possibly why smells often elicit memories and emotions.
We need our sense of smell to be able to taste a full range of food.
Anosmia occurs when a person loses their sense of smell, which is a rare
phenomenon that can occur after a head injury. People with anosmia
often report a lack of interest in food as their ability to smell and taste it
has reduced. Our sense of smell also declines with age.
Our sense of smell is not very good in relation to other animals.

Touch
We feel pressure and temperature largely through the skin, which is our
primary organ of touch. ere are specialised receptor cells in the skin.
Some parts of our bodies have more receptors than others and thus are
more sensitive. For example, there are many more receptors in your
fingers compared to your back (Holt et al., 2012).
We call intense negative pressure or temperature pain. e ability to
feel pain serves an important survival function. Imagine you could not
tell when you were feeling pain. You might touch a hot stove plate and
only realise it when you smelt something burning. Pain is our body’s way
of telling us that we are in danger. Yet there are a few extremely rare cases
of people who cannot perceive a painful stimulus, and of people who can
perceive the painful stimulus, but are unable to react to it. is condition
is known as congenital analgia. People with this condition, particularly
when they are young, are extremely vulnerable to serious injury.
However, the vast majority of people experience pain, and it is
exceptionally distressing to them.
e perception of pain may be influenced by cultural or situational
factors. For example, soldiers have reported not feeling very severe
injuries on the battle grounds, yet the same type of injuries received in a
surgical procedure have been perceived at a higher pain level (Beecher,
1959, in Holt at al., 2012).
is can be explained by the gate control theory of pain (Melzack &
Wall, 1965; Wall & Melzack, 1989). According to this theory, receptors in
the skin send a message to the brain when they are activated, causing one
to feel pain. is message opens the gate to the brain. However, we have
other receptors that can close the gate and so reduce the pain. is can
be done in two ways:
1. Create impulses that take over the pain pathway. (is happens when
you hurt yourself and then rub the site; the rubbing overwhelms the
pain pathway and alleviates the pain. Based on this approach to pain
relief, midwives recommend hot baths and back rubs for women in
labour.)
2. Shut the gate through thinking it shut or using psychological factors.
(is is what happened to the soldiers to whom we referred earlier.
e soldiers’ perception of pain may have been influenced by the fact
that they were relieved to be alive; as a result they did not notice the
pain.)

The kinaesthetic sense

Sternberg (2004) describes kinaesthesia as the sense that monitors the
body’s position by noting the skeleton’s position and movement. e
body is able to do this because it has receptors in the joints, muscles,
tendons and skin that monitor movements of the skeleton. e neural
impulses created from this movement go to the brain. Specifically,
information travels to the somatosensory cortex and the cerebellum,
which are responsible for coordinated movement. We need our
kinaesthetic sense in order to move well and to maintain our balance.
 is, together with the vestibular sense, is used, for example, by a person
doing a handstand.

The vestibular sense

e vestibular sense is responsible for our sense of balance and resides
in the inner ear. Our ears have semi-circular canals which are three fluid-
filled tubes in the inner ear (Holt et al., 2012). You can think of these as
three bottles of water that lie on their side. As you walk, the fluid moves
from side to side as the head changes angle or rotates. ere are small
crystals in the semi-circular canals that are called otoliths. ese are
responsible for sensing the movement of our bodies when we move
forwards or backwards, fast or slow, and up or down.

SUMMARY

• Taste is a chemical sense as a substance must be dissolved in saliva or other mucus for neural
transmission to occur. We are able to taste sweetness, bitterness, saltiness and sourness, as well as
umami.
• People often struggle to distinguish between tastes; this refers to the just noticeable difference.
• The tongue has thousands of taste buds that only last about 10 days. When the protrusion on the
taste bud detects a chemical, the neuron sends a message to the thalamus and then to the
somatosensory cortex, and also to the hypothalamus and the limbic system.
• The senses of taste and smell are closely related as smell is also a chemical sense.
• Molecules in the air reach the olfactory epithelium’s receptor cells. These cells last four to eight
weeks only.
• The information goes to the olfactory nerve which goes through the skull to the olfactory bulb in
the temporal lobes. This differs from other sense messages which go through the thalamus. As with
taste, some of the information also goes to the hypothalamus and the limbic system.
• Anosmia occurs when a person loses their sense of smell.
• The sense of touch involves feeling pressure and temperature, largely through the skin. Pain is
intense negative pressure or temperature. Perception and context play a major role in the
experience of pain. Gate control theory says that people can disrupt the pain pathway and/ or can
alter their perception of pain through psychological means.
• The kinaesthetic sense monitors the body’s position in space through receptors in the joints,
muscles, tendons and skin. It works with the vestibular sense, which depends on small crystals
(otoliths) located in the semi-circular canals in the inner ear. These senses help us maintain our
balance and to move in a coordinated way.
Conclusion
is chapter has shown the importance of sensation and perception to
our psychological functioning. As Sternberg (2004, p. 165) states, ‘when
[our senses] are damaged or lacking, life as we know it is radically
different’.
Psychophysics is the study of how physical energy stimulates the
sensory organs resulting in meaningful psychological experience. In
terms of vision, in the last few decades researchers have demonstrated
that there is a great deal of specificity in the way the visual system
seems to be designed, which is most notable in the specialisation of
individual brain regions. e chapter has also discussed how visual
perception works, including form perception, perceptual constancy,
depth perception and visual illusions, as well as noting the various
disorders of visual perception. After vision, hearing is the most
important of the senses for humans. A number of theories have
attempted to explain how we hear loudness and pitch. e last part of
the chapter gave an overview of the remaining senses – taste, smell and
touch, as well as the kinaesthetic and vestibular senses.

KEY CONCEPTS

absolute threshold: the minimum amount of energy required for an

organism to detect a stimulus
adaptation: adaptation occurs when we are constantly surrounded
by a particular stimulus and so start to block it out
after-image: an image that remains even when the stimulus is no
longer presented
agnosia: deficit of perception
agraphia: the condition whereby a person cannot write
alexia: the condition whereby a person cannot read
amplitude: the size of sound or light waves
anosmia: the condition when a person has lost the sense of smell
auditory nerve: the nerve that takes signals from the ear to the brain
auditory receptors: hairs in the inner ear that receive the amplified
vibrations and send a neural impulse to the brain
binocular depth cues: the signs that we sense through two eyes and
use to perceive depth
blind spot: the place where the optic nerve leaves the eye, meaning
that no photoreceptors can occupy this space
brightness: a property of colour that is determined by the amplitude
of the light wave, which is the amount of light we see coming from the
wavelengths
bottom–up processing: processing that starts with the smallest,
individual elements of a stimuli and proceeds to more complex
elements
congenital analgia: the condition whereby people are unable to
perceive pain or unable to react to the pain they perceive
chromosomes: units of genetic information on which the design of a
person’s body is based
closure: a gestalt law of organisation whereby people ‘close’ or ignore
the gaps in objects to form a meaningful whole
colour constancy: a feature of perceptual constancy whereby the
perception of a colour stays the same or constant even though the
image on the retina is not as bright owing to different levels of lighting
cones: cone-shaped photoreceptors that are sensitive to colour
cornea: the transparent curved covering on the outside of the eye
cortical blindness: when the first line of processing of visual input is
disrupted and people experience this as ‘blindness’
depth perception: the ability to perceive the three-dimensional
quality of our world
difference threshold: a threshold that is ‘the line one has to cross’ in
order to tell when stimulus A is different to stimulus B
eardrum: the membrane inside the outer ear that sound waves cause
to vibrate
feature detectors: neurons in the primary visual cortex that only
respond to certain visual stimuli, such as horizontal lines
feature-detection theory: a theory of visual perception that states
that the neurons in the retina send information using the optic nerve
to the brain via the thalamus
First Law of Psychophysics: whether a change in a stimulus is
noticed depends on the proportion by which the stimulus has
changed
fovea: the area of the retina where the best visual acuity or best vision
occurs
frequency: a characteristic of sound that refers to the number of
waves that occur per second
frequency theory: a theory that states that our ability to distinguish
different pitches is related to the number of times the auditory nerve
fires
gate control theory: a theory that states that our experience of pain
can be reduced if receptors carrying different messages block the
path of the pain to the brain
hue: a property of colour that is determined by the wavelength of light
illusion: an incorrect visual perception
iris: the coloured band of circular muscles that surrounds the pupil
just noticeable difference (JND): the level at which people will
notice a difference in stimuli 50 per cent of the time
kinaesthesia (the kinaesthetic sense): the sense that monitors the
body’s position by noting the skeleton’s position and movement
lens: a transparent layer over the front of the retina that is used to
focus light onto the back of the retina
lesion: damage to an area of the brain
monocular depth cues: the signs that we sense through one eye and
use to perceive depth
olfactory epithelium: the membrane of the nose that secretes mucus
opponent-process theory: a theory of colour vision that states that
we have neurons in our retina that are able to process three pairs of
colours, namely: red-green, yellow-blue and black-white
optic nerve: the nerve that carries signals from the eye to the brain
otoliths: small crystals in the semi-circular canals of the ears
responsible for sensing the movement of our bodies when we move
forwards or backwards, fast or slow, and up or down
pain: an intensive negative pressure or temperature
perception: a process that entails actively choosing information from
sensation, organising it and interpreting it to make meaning of our
world
photoreceptor cells: the rod-shaped cells and the cone-shaped cells
in the retina that change the electromagnetic energy of light into
electrochemical energy (the neural impulse) that can be relayed to
the brain
place theory: a theory that states that we hear pitch because the
vibrations caused by each frequency make a specific place on the
basilar membrane vibrate
primary visual areas (primary visual cortex): the area of the brain
to which information travels almost directly from the retina
prosopagnosia: a condition where people cannot recognise faces
proximity: a gestalt law of organisation where those objects closest
together are perceived as belonging together
psychophysics: a field in psychology that studies sensations, their
limits and how they are perceived
pupil: the opening in the eye that controls the amount of light that is
let through
retina: a very thin part of the eye that contains all the cells that pick
up light
rods: rod-shaped photoreceptors that are sensitive to black and white
saturation: a property of colour that is determined by how pure the
colour appears or how much it has been combined with white
secondary visual areas: a more psychologically sophisticated system
than the primary visual areas, dedicated to a range of specialised
visual-processing tasks
sensation: a passive process during which the sensory receptors and
the brain receive information from the environment
sensory modalities: our sensory abilities, such as hearing, seeing,
feeling, smelling and tasting
shape constancy: the feature of perceptual constancy that refers to
when the shape of something changes on the retina, but we perceive
the shape of the real object as remaining stable
signal detection theory: a theory of stimuli detection that says that
noticing a signal depends on many factors besides their physical
intensity
similarity: a gestalt law of organisation where things that look the
same are grouped together
size constancy: a feature of perceptual constancy where, even though
an object gets smaller on the retina as it becomes further away, the
person looking at it knows its size remains the same
sound shadow: a feature of hearing where the ear closest to a noise
will hear the sound first (and at a slightly higher intensity), and a
person’s head will block the sound waves travelling to the other ear to
a certain degree, causing a ‘shadow’ and a lowering of the intensity of
the sound
spatial ability: the ability to be aware of where something is
synesthesia: the condition where different sense experiences overlap
tertiary visual areas: the highest level of the visual system that
operates the most abstract and psychologically sophisticated aspects
of visual processing
threshold: the level of energy that a stimulus must have in order for
you to perceive it
timbre: a characteristic of sound that relates to the quality of the
sound
top–down processing: processing that starts with the highest level or
‘whole’ of a stimulus and moves to the more basic elements
transduction: a process whereby energy signals turn into an
electrochemical impulse
trichromatic theory: a theory of colour vision that proposes that red,
blue and green light form the basis of every possible colour of light we
can think of, and that the photoreceptors in the eye are specialised to
pick up these primary colours of light
vestibular sense: our sense of balance that resides in the inner ear
vision: the ability to sense and make meaning from the light waves
from the environment that enter the eye and are sent to the brain
visual acuity: a person’s ability to see the fine detail of objects, to see
objects at different distances and to distinguish between objects in
 the environment
visual-object agnosia: a condition that occurs when people can
sense the visual field, but cannot identify or put a name to an object

EXERCISES

Multiple choice questions

1. Which one of the following statements about sensation and

perception is false (wrong)?
a) Overall sensation is a passive process and perception is an active
process.
b) Perception is always an objective process of stimulus input and
processing.
c) Sensation occurs when specific energy signals hit specific sensory
cells.
d) We make meaning of our world through perception.

2. e minimum amount of energy required for you to detect a stimulus

is called:
a) the threshold
b) the best threshold
c) the difference threshold
d) the absolute threshold.

3. Melinda is taking part in a psychology experiment. She has been

asked to tell the experimenter when she sees a light on the screen in
front of her. If she says ‘yes’ when no light appears, this is called a:
a) false alarm
b) hit
c) miss
d) correct rejection.

4. Imagine that you live in the middle of a big city for most of the year,
but for one week of the year you leave the city to visit family in a rural
 area with only a few houses. When you return to the city, you notice a
strong smell of car fumes. You comment to your friend that the city
smells very bad all of a sudden, but she does not know what you are
talking about. is experience can be explained by:
a) adaptation
b) the just noticeable difference
c) response bias
d) sensation.

5. In the retina, rods are responsible for __________, while cones are
responsible for __________.
a) subjective experience; objective experience
b) colour vision; black-and-white vision
c) day vision; colour vision
d) dim-light vision; bright-light vision.

6. You see a friend walking towards you. As he gets closer, the image on
your retina gets bigger and bigger, but you do not get a fright and
think that your friend is turning into a giant. is is because of:
a) size constancy
b) form perception
c) similarity
d) colour constancy.

7. Place theory of hearing states that:

a) we hear pitch depending on the number of times the auditory
nerve fires
b) the volley principle is important
c) pitch depends on where the basilar membrane vibrates
d) the sound shadow helps us to locate sounds.

8. e sense of smell is unique because the olfactory pathway to the

brain:
a) goes through the limbic system
b) goes through the thalamus
 c) goes straight to the olfactory bulb in the brain
d) does not enter the brain.

9. Taste and smell are different to hearing and vision because:

a) taste and smell are less important
b) taste and smell are chemical senses
c) taste and smell are connected to survival
d) taste and smell have no JND.

10. You are feeling very sick with flu. You have a blocked nose and feel
light-headed. e doctor says you may have an ear infection that
causes you to feel lightheaded because:
a) the vestibular sense resides in the inner ear
b) no blood is getting to your brain
c) you cannot see properly because your eyes are watering
d) the vestibular sense is connected to the nose.

Short-answer questions
1. Explain to a friend why he has to turn the volume knob of the radio up
more to hear a difference in the sound when it is already loud. In your
answer explain the JND theory.
2. Compare and contrast the trichromatic and opponent-process
theories of colour vision.
3. In hearing, is place theory more correct than frequency theory?
Explain your answer.
4. Your friends are arguing about whether men or women experience
more pain. What would you tell them about the sensation and
perception of pain?

REFERENCES FOR PART 4

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mind and behavior (13th ed.). Independence, KY:
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 PART 5

Cognitive psychology
 Introduction
Andrew Gilbert

Cognitive psychology is a term used to describe that field of psychology that

studies what goes on in the mind. Cognition concerns the mental processes
or capacities that exist when people are engaged in activities such as
learning, thinking, remembering, being creative, planning, analysing,
reasoning and solving problems.
At different times in the history of psychology, different aspects of
cognition have received particular attention. As a result, there are a number
of specific areas of focus within the broad field of cognitive psychology.
Among these are the following:
• Learning and conditioning, which explains how animals and humans
learn behaviour
• Motivation, which describes the basic urges of our bodies and the
highest desires of our minds
• Thinking, which has a more general focus on how people reason, solve
problems and think in their everyday lives
• Attention, which describes how and what information people select to
attend to from the vast array of information with which they are
confronted
• Language, which focuses on the relationship between thought and
language
• Memory, which is concerned with how and why people remember or
forget things
• Intelligence, which is concerned with the measurement of individual
differences in the capacity for intellectual activities
In this part, each of these areas is dealt with in a separate chapter.
However, there are a number of issues that are present in all these
different areas. You will find them constantly reappearing, sometimes in
disguised ways, as you work your way through the next seven chapters. To
help you see some of the common threads, three particular issues are
highlighted here.
First, all seven chapters work with the assumption that thinking is a
mental process. Mental processes are generally understood as internal
processes going on in the mind. The study of such processes creates a huge
challenge because it is difficult to examine something that cannot be
directly observed. One of the ways psychologists address this problem is to
develop theories that make assumptions regarding what these internal
processes might be like. As you read these chapters, you will notice some
very different assumptions about these internal processes. Some
psychologists use the computer as a metaphor for looking at mental
processes, others consider thinking to be a mental process linked to the
individual’s adaptation to the environment, and still others see mental
processes as being the internalisation of cultural ways of doing things.
Second, while historically the focus in cognitive psychology has been on
internal mental processes, a growing number of psychologists recognise
that this focus is based on an artificial separation of the personal internal
world from the outside social or cultural world. This inside–outside tension is
one of the dualisms we grapple with in contemporary psychology. You will
find, as you read these chapters, that some theories focus mainly on the
internal while others seek to break down the internal–external distinction.
Third, linked to the above two themes is another tension to be found
across the chapters between whether it is important to seek universal or
local understandings of cognition. Some psychologists try to establish
concepts, laws and principles of cognition that are true for everyone
everywhere, while others are more interested in how cognition is influenced
by specific social settings.
As you read the next seven chapters, keep these issues in mind and seek
other common threads. Doing so will bring out a deeper understanding of
the promise and prospects of cognitive psychology.
 Learning and
CHAPTER
conditioning 9
Lynlee Howard-Payne & Jarrod Payne

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• use Pavlov’s experiment to outline classical conditioning (including concepts such as
acquisition, extinction and spontaneous recovery)
• identify the unconditioned stimulus, unconditioned response, neutral stimulus, conditioned
stimulus and conditioned responses in real world applications
• use Skinner’s theory to outline operant conditioning, explaining how reinforcement and
punishment can shape behaviour
• contrast elements of classical and operant conditioning
• discuss the nature and importance of social learning theory in learning behaviour through
observing a model
• critique traditional learning theories by considering the role of cognition in learning.

CASE STUDY

Melinda had two pet guinea pigs, which she fed every morning before she left for university, giving
them fresh pre-packed lettuce leaves, clean water and dry pellets. Her guinea pigs were chatty and
sociable pets, purring when she tickled them and making high-pitched shrieks when she put the
lettuce (their favourite food) into their cage. After some time, Melinda realised that the guinea pigs
started to shriek with excitement at the mere sound of her opening the plastic packet in which the
lettuce was packed. One day, she decided to test what else her guinea pigs responded to. She
started by crumpling up plastic rubbish bags and, to her surprise, the guinea pigs shrieked with
delight, even though there was no lettuce in those packets. Melinda was intrigued by this and
started to wonder whether she could train her guinea pigs to behave in other interesting ways. She
comes to you, as a first-year psychology student, and asks for your help. What would you suggest
that she do?
 Figure 9.1 Pets can be classically conditioned by using food as the unconditioned stimulus

Introduction
How do we learn? Do we learn in the same way that animals learn? What
are our limitations in learning? e case study above highlights one way
that animals (including humans) can learn, i.e. through conditioned
responses to stimuli. is is learning through association. But humans
have higher-order mental processes like thinking and anticipating. Can
these cognitive processes also be used in human learning?
ese questions about learning have interested psychologists and the
general public alike. To answer these questions, this chapter will describe
the classic experiments that generated a psychological interest in how
animals and humans learn their behaviours. Almost all human behaviour
is learned. ink for a moment what it would be like if you suddenly lost
the behaviours you had learned through your life.
 Learning theory is rooted in the work of Ivan Pavlov and B. F. Skinner,
both renowned scientists, who discovered and documented the
principles governing how animals (humans included) learn. Pavlov’s
classical conditioning theory is based on physical reflexes which become
associated with repeated neutral events (as happened with Melinda’s
guinea pigs). In Skinner’s operant conditioning theory, learning happens
as a result of the responses that people obtain to their actions (e.g.
rewards or punishment). Each of these approaches to understanding
learned behaviour will be addressed in this chapter. In addition, the
social learning approach of Albert Bandura will be described. is
approach considers the role of social modelling in learning and may be
seen as a cognitive approach.

What is learning?
Learning can be considered to be a more or less permanent change in
behaviour or knowledge that is due to experience (or conditioning). Four
factors are involved in the definition of learning (Field, 2000):
• Learning is inferred from a change in behaviour.
• It involves the initiation of an inferred change in memory.
• It is the result of experience.
• It is relatively permanent.

It is the combination of these factors that constitutes our definition of

learning; this essentially means that, primarily from a behavioural
perspective, we learn how to respond to the world around us through
either direct or indirect experiences that we accumulate over a lifetime.
In associative learning, the person learns to associate experiences with
each other. For example, say you try some new and unusual food and
later that night you are violently ill, it is likely you will associate the food
with your nausea. Likewise, you may practise your forehand on the tennis
court and associate this with winning more points. In this situation,
reinforcement helps make the association. In order to understand the
dynamics of associative learning, you need to note what comes before
the behaviour (the antecedents) and what follows it (the consequences).
Classical conditioning deals with what happens before the behaviour
(i.e. the response) and usually includes physiological reflexes like
sweating, blinking or salivating. For example, you walk past a fast-food
outlet and the smell immediately makes you salivate. At the same time,
you see the sign on the shop. You learn to associate the sign with the
delicious smell and, over time, you may start to salivate just when you see
the sign, even if you cannot smell the food at that time. is means
learning has occurred. In operant conditioning, learning is based on the
consequences of the behaviour. If Kgomotso is praised for tidying up her
toys, she is likely to do it again. Her tidy behaviour has been reinforced.
In classical conditioning, a stimulus that does not produce a response is paired with a stimulus that
does elicit a response. After many such pairings, the stimulus that previously had no effect begins to
produce a response. In the example shown, a hooter precedes a puff of air to the eye. Eventually, the
hooter alone will produce an eye blink. In operant conditioning, a response that is followed by a
reinforcing consequence becomes more likely to occur on future occasions. In the example shown,
a dog learns to sit up when it hears a whistle.

Figure 9.2 Classical and operant conditioning (Coon & Mitterer, 2013: p. 194)

Classical conditioning
Ivan Pavlov (1849–1936) is best known for his offering of classical
conditioning to understand and predict human and animal behaviour.
He did extensive research in physiology (including the role of reflexes in
guiding behaviour) and digestion, and won the 1904 Nobel Prize in
physiology. Pavlov was studying the digestive processes of dogs and
noted that, over time, they would begin to salivate even before their food
was presented to them. Pavlov knew that salivation is a reflexive response
to food that aids chewing and digestion. Dogs were not supposed to
salivate before they were given food. Pavlov realised that some kind of
learning had occurred in the dogs and he went on to do a series of classic
experiments to demonstrate what he called ‘conditioning’ in the dogs.
Classical conditioning can therefore be defined as a type of learning
where a stimulus (S) acquires the capacity to evoke a reflexive response
(R). In Pavlov’s experiment, the food is a stimulus, which evokes the
natural reflexive response of the dog salivating. In this situation, because
salivating when food is present is a natural reaction (or reflex), we say
that both the stimulus and response are unconditioned. Some typical
unconditioned S → R bonds are: hearing a sad story and crying, being
told a funny joke and laughing, and eating contaminated food and
vomiting.
A person can condition a behaviour when he or she repeatedly
presents another (unrelated) stimulus at the same time as the
unconditioned stimulus (UCS). is stimulus (that is not initially related
to the unconditioned stimulus) is referred to as the neutral stimulus. In
Pavlov’s experiment, he paired the presentation of the food with the
ringing of a bell. e dogs’ reaction was to continue to salivate (the
unconditioned response – UCR) because the food was presented; only
now a bell was rung as the food was presented. e bell was the neutral
stimulus, because hearing a bell ring would not normally make a dog
salivate (Pavlov, 1927).
With repeated associations of the food and the ringing bell, the dogs
eventually salivated when the bell was rung even though food was not
presented. us, at this stage, the neutral stimulus (the ringing bell) took
on the characteristics of the unconditioned stimulus, in that it elicited a
conditioned response (CR). e CR was the salivating at just the sound
of the bell (with no food). e bell now became the conditioned
stimulus (CS). is process is called acquisition, as the dog has learned
or acquired a new S → R pairing (Pavlov, 1927). To help you be able to
identify the unconditioned or conditioned stimulus or response in any
given scenario, be sure to study the definitions included in the glossary at
the end of this chapter.

Factors affecting conditioning

Contiguity
Pavlov believed that contiguity, which is the closeness in time between
the pairing of conditioned stimulus and unconditioned stimulus, is very
important for learning. e closer in time two events occur, the more
likely they are to become associated. Conversely, as more time passes
between the events, the less likely it is that an association will be formed
(Pavlov, 1927). For example, with Pavlov’s dogs, if the bell had been rung
half an hour before or after the food was presented, it would have been
unlikely that the bell would have been associated with the food and
become the conditioned stimulus.

Extinction and spontaneous recovery

Pavlov discovered that there is a gradual weakening and eventual
disappearance of the conditioned response tendency in the absence of
the unconditioned stimulus. In essence, if the person or animal
continues to have the conditioned stimulus presented but without the
unconditioned stimulus, the conditioned stimulus loses its power to
evoke the conditioned response. is is referred to as extinction. For
example, after a certain period of time, Pavlov’s dogs stopped salivating
when only the bell (the conditioned stimulus) was rung without any food
(unconditioned stimulus) being brought to them. At times, however, the
conditioned response can reappear some time after the period of
extinction. is spontaneous recovery, as it is called, can occur after a
period of non-exposure to the conditioned stimulus. However, it is
generally not as strong or carried out to the same degree as with the
initial conditioning process (Pavlov, 1927).

Figure 9.3 A dog was classically conditioned to salivate at the sound of a ringing bell even when no
food was presented
 9.1 LITTLE ALBERT
Behaviourist John Watson used repeated exposure to condition an infant aged 11 months called Little
Albert to become fearful of a white rat. He did this by showing Little Albert the rat, and then clashing
two metal pipes together behind the infant’s head. The natural reaction to a sudden, booming noise is
to react with fright, and this would naturally make Albert cry with fear. While Albert would happily play
with the rat prior to Watson’s conditioning, the baby would now scream with fear at the mere sight of
the rat. This was not a surprising result as the experiment confirmed the findings of Pavlov’s classica
conditioning experiments. What was surprising to Watson was that Albert would become terrified and
cry in the presence of a dog, a rabbit and even when Watson approached the child wearing a fake
beard. It was at this stage that Watson realised that the fear (conditioned response) that was evoked by
the white, furry rat (conditioned stimulus) had now been generalised to other stimuli that were white
and furry. Discuss the ethics of this experiment with your fellow students.

Generalisation
In his experiments, Pavlov found that, sometimes, there is a tendency for
a new unconditioned stimulus (similar to the original stimulus) to elicit a
response that is similar to the conditioned response (Pavlov, 1927). is is
known as generalisation. Box 9.1 illustrates this phenomenon through a
famous psychological experiment performed by John Watson. is
aspect of classical conditioning helps make human behaviour highly
adaptable.

Discrimination
In contrast to generalisation, stimulus discrimination occurs when one
is conditioned to respond to one stimulus and not another. is refers to
being conditioned to have a specific response to specific stimuli only. For
example, children may initially respond by obeying the commands or
requests of all adults (or people socially considered to be authority
figures), but over time, they can learn to respond only to their parents.

Higher-order conditioning
Classical conditioning seems a relatively straightforward process;
however, in the real world, it is never as simple as having one
unconditioned stimulus paired with one neutral stimulus to create one
conditioned stimulus that yields one conditioned response. Higher-order
conditioning occurs when a well-learned conditioned stimulus is used to
generate a response to another neutral stimulus. In the Pavlovian
experiment, the first order of conditioning occurred when food (the
unconditioned stimulus) produced the unconditioned response of
salivation. en the food (unconditioned stimulus) was paired with a
ringing bell (neutral stimulus) to yield (with repeated pairings) salivation
to the bell (in the absence of food) as the conditioned response (Pavlov,
1927). Second-order conditioning would occur if the scientist were to
pair a flashing light (a neutral stimulus) with the ringing bell (the
conditioned stimulus), to generate the conditioned response of
salivation. Eventually, in theory, the dog would respond to the flashing
light as it did to the ringing bell (even in its absence) by salivating as
though the dog was anticipating the delivery of food.

Classical conditioning in everyday life

One of the fascinating things about classical conditioning is that it can be
observed all around us in common, everyday situations. Here are some
examples of classical conditioning that you may see.

Phobias
When one has an irrational fear of an object, event or situation, which
warrants no logical fear, then one may be said to have a phobia of this
stimulus. is is known as a conditioned emotional response. A basic
classical conditioning model that could generate a phobia is similar to
the example of Watson and Little Albert. Take some time to consider a
particular phobia that you, a friend or a family member may have and try
to isolate and label the unconditioned stimulus–unconditioned response
bond. Note that the unconditioned response with regard to phobias is
always a fear response to the unconditioned stimulus, which is
something that does not usually reflexively generate fear. Neutral stimuli
often associated with phobias include heights, insects, animals, etc. e
association of the neutral stimulus with the unconditioned stimulus –
 once, if particularly traumatic (e.g. seeing someone fall off a cliff ), or a
repeated number of times, generates a conditioned phobic response of
fear to the conditioned stimulus (the previously neutral stimulus that
becomes the phobia, in this case, a fear of heights).

SUMMARY

• Almost all human behaviour is learned. Humans learn through association and/or cognitive
processes.
• Learning is the more or less permanent change in behaviour or knowledge that is due to
experience (or conditioning).
• In associative learning, it is useful to note the antecedents and consequences of the behaviour.
Classical conditioning is based on the antecedents while operant conditioning is based on the
consequences of the behaviour.
• Pavlov developed the theory of classical conditioning to understand and predict human and
animal behaviour. Classical conditioning is a type of learning where a stimulus acquires the
capacity to evoke a reflexive response. A neutral stimulus is paired with an unconditioned stimulus
(a reflex that occurs naturally) and with repeated associations becomes a conditioned stimulus
which evokes a conditioned response.
• More effective learning occurs when the pairing of conditioned stimulus and unconditioned
stimulus occur close together in time.
• Extinction of the conditioned response eventually occurs in the absence of the unconditioned
stimulus. However, the conditioned response can reappear after a period of extinction.
• Generalisation occurs when a new unconditioned stimulus (similar to the original stimulus) elicits a
response that is similar to the conditioned response.
• Stimulus discrimination is when one is conditioned to respond to one stimulus and not another.
• Higher-order conditioning occurs when a conditioned stimulus is used to generate a response to
another neutral stimulus.

Research suggests that some phobias can be more easily conditioned

than others, based on the notion of preparedness. is idea suggests
that, as an evolutionary benefit for survival, we are biologically
programmed to learn to fear objects or events that have inherent danger
for us (Mineka & Öhman, 2002). is may explain why fears of closed
spaces, snakes or water are fairly common phobias, as these can indeed
be life threatening under certain circumstances (like drowning in a fast-
flowing river). e fear is pathological, however, when one is faced with
these stimuli in non-threatening situations (like taking a shower or a bath
in shallow water) and one’s phobic reaction may lead to life-impairing
strategies in order to avoid having to deal with the stimulus. A
psychotherapist may address this issue by encouraging the patient to
undergo exposure therapy. is is a form of cognitive-behavioural
therapy in which a patient is prepared, through relaxation and cognitive
techniques, for exposure to the stimuli that elicit phobic responses, in
order to weaken their strength.

Food aversions
Many of us have found ourselves in situations when, after having a lovely
meal, we discover that something we ate has given us food poisoning.
is may result in severe vomiting, nausea, diarrhoea and a fever as our
bodies attempt to process the tainted food. We might hear a friend
saying, ‘Oh no, I will NEVER have sushi again. e last time I had it, I was
sick for days. Now, I feel ill even at the thought of raw fish.’ Foods that
make us sick may lead to avoidance of that food, perhaps for a lifetime.
is is because we can develop a conditioned response of feeling
physically ill in response to the conditioned stimulus of the food that
made us sick (See Box 9.2).

Advertising
We are bombarded with messages from the media about what to wear,
drive and eat. You will recall the section on Watson’s use of conditioning
to elicit an emotional response to a stimulus, the Little Albert
experiment. Advertising depends very much on this principle as it relies
on linking a naturally attractive unconditioned stimulus (like an
attractive man or woman) to a neutral stimulus, like the product being
sold, to make the product become the conditioned stimulus, which will
elicit the conditioned response of a pleasant emotional state. is results
in the consumer feeling more positively toward the product (just like they
do with the unconditioned stimulus of the attractive person).
 9.2 THE GARCIA EFFECT AND FOOD AVERSIONS
Garcia’s experiment involving induced food aversion in rats showed that other stimuli associated with a
food that results in a food aversion, would not result in an aversion to the related stimuli (Garcia, Hankins
& Rusiniak, 1974). Thus, Garcia found that, if eating a hot dog served to you on a green plate makes you
sick, you will not develop a conditioned response to the sight of a green plate, but rather have a limited
conditioned response to the taste of hot dogs only. This is in opposition to the Pavlovian view that any
stimulus can be conditioned to produce aversive behaviour, but this research does support the
Pavlovian concept of stimulus discrimination.

Vicarious conditioning
Vicarious conditioning is learning that occurs indirectly. For example, if
a mother who learned to fear the dentist as a child now takes her own
children to the dentist, the children will be aware of their mother’s
anxiety and, through this association, develop their own conditioned
emotional response to visiting the dentist. Vicarious conditioning can
also lead to trauma counsellors experiencing traumatic reactions
themselves.

9.3 THE SUPERSTITIOUS PIGEON

While there are numerous classic experiments conducted by Skinner to display the power of these
techniques, one in particular is valuable for explaining superstition (Skinner, 1962). In this experiment
pigeons were placed in a cage with a food chute. Food was released into the chute (at random intervals)
without any action needing to be taken by the pigeons. The pigeons thus received a positive
reinforcement, but not one which was tied to any particular action. What Skinner found was that the
birds began to repeat various actions that they had happened to be performing when the food arrived
It seemed they began to see a causal link between their behaviour and the presentation of food. The
actions performed by the birds included turning in circles and lifting invisible weights, and moving their
heads in a pendulum pattern. Skinner used this experiment as evidence to show that superstition in
humans is the result of random positive reinforcement of certain behaviours which come to be seen as
causal in nature but which in reality are nothing of the sort. Think about whether it was appropriate for
Skinner to generalise the behaviours of the pigeons to humans.
 SUMMARY

• There are many examples of classical conditioning in everyday situations.

• Phobias involve a conditioned emotional response to something that would not ordinarily cause
fear in a person. In phobias, the unconditioned response is always a fear response to the
unconditioned stimulus. Humans may be biologically programmed to learn to fear objects or
events that have inherent danger for them.
• Food aversions may result if we develop a conditioned response of feeling physically ill in response
to the conditioned stimulus of some food that made us sick.
• Advertising also uses classical conditioning by linking a naturally attractive unconditioned stimulus
(like an attractive person) to a neutral stimulus (the product being sold); this makes the product
become the conditioned stimulus, which will elicit the conditioned response of a pleasant
emotional state.
• Vicarious conditioning is learning that occurs through a person experiencing the associative
learning of others.

Operant conditioning
B.F. Skinner (1904–1990) is most renowned for his contribution to
understanding and shaping behaviour through operant conditioning and
schedules of reinforcement (and punishment). He is one of the founders
of behaviourism and contributed tremendously to experimental
psychology. He also invented the Skinner box, used in his experiments
where a rat or pigeon learned to press a lever in order to obtain a reward
(like food). In 1972, he won the prestigious Human of the Year award, and
in the year that he died, he obtained a citation for Outstanding Lifetime
Contribution to Psychology. Skinner’s theory of operant conditioning
grew out of the work of Edward orndike (see Box 9.4) who developed
the law of effect. is essentially said that actions that are reinforced are
repeated.
Operant conditioning is a form of associative learning which explains
much of our day-to-day behaviour. It is very widely used in a variety of
contexts (e.g. parenting, schools, mental hospital and prisons). Operant
conditioning can be considered to be a type of learning in which
voluntary (controllable, non-reflexive) behaviour is strengthened
through reinforcement but weakened when that behaviour is punished.
A reinforcer is anything which increases the likelihood of the behaviour
being repeated. Operant conditioning differs from classical conditioning
in that the behaviours studied in the latter are reflexive (e.g. salivating),
whereas the behaviours studied and governed by the principles of
operant conditioning are non-reflexive (e.g. disciplining children,
gambling or dog training).
Operant conditioning, therefore, endeavours to understand non-
reflexive, more complex behaviours, and to establish the conditions
under which these behaviours are likely to be repeated. It is called
operant conditioning because the person actively ‘operates’ on the
environment. Learning is achieved when the person continues to behave
in ways that are reinforced (e.g. by a reward like money or food) or avoids
such behaviours that bring about punishment (e.g. being scolded or
paying a fine). Unlike for classical conditioning, people have greater
control, in that their preferences affect what is experienced as
reinforcement or punishment (Skinner, 1935).
is is illustrated by a child who will not do his/her homework, much
to the frustration of his/her parent. It is important to remember that
people are unique and each person will find different things reinforcing.
To get the child to change the ‘non-homework’ behaviour to the desired
behaviour (doing homework every day), the parent may have to try a
number of rewards (reinforcers) or punishment techniques to discover to
which the child responds. e parent may think that promising a sweet (a
positive reinforcement) after the child finishes the homework will get the
child to do the homework, but the child may only respond to words of
praise. Once the parent discovers what type of reinforcement the child
responds to, the parent will have to use it consistently for shaping the
child’s behaviour (i.e. until the child’s preference changes as he/she
matures into adolescence). Some parents might think about punishing
the child in some way; Skinner was, however, clear that reinforcement
was more effective than punishment for achieving required behaviours
(see later in this chapter).
An additional difference between classical and operant conditioning is
the fact that, in classical conditioning, the stimulus leading to
conditioning comes before the behaviour, but in operant conditioning,
the stimulus comes after the behaviour. Essentially, this means that
behaviour can only be repeated or avoided after reinforcement or
punishment has been delivered to the participant. In effect, then, the
reinforcement or punishment is the stimulus to further behaviour.
Reread the section on Pavlov’s experiment to compare how the stimulus
(the dog food) was delivered before the behaviour (salivation).

9.4 THORNDIKE’S LAW OF EFFECT (1911)

American psychologist Edward L. Thorndike’s (1874 –1949) research on animal intelligence had a major
effect on the way that animal and human learning was studied, laying the foundation for the
experimental analysis of behaviour (Chance, 1999). Thorndike placed emphasis on the power of
consequences in order for learning to occur, and stated that when behaviours are followed by
favourable consequences they become more likely to occur, whereas behaviours that are followed by
unfavourable consequences become less likely to occur. He called this the law of effect and it was to
become an influential idea in the work of noted behaviourist B.F. Skinner.

Learning an operant response

As mentioned above, Skinner was the leading researcher in the field of
operant conditioning. He designed the Skinner box: an empty cage with a
light, and chutes for food and water. It also contains a lever which when
pressed releases food pellets down the chute. A hungry rat is placed in
the box and eventually presses the lever. A pellet is released. e rat
scurries over to the chute and eats the pellet. After grooming for a bit, the
rat resumes its exploration of the cage and again presses the lever.
Another pellet is released and the rat goes to eat. After this happens a few
times, the rat learns that pressing the lever releases the food. Note that it
has not learned a new skill (it could already press the lever), but it has
learned to apply the skill in a specific way or with a different frequency.
Over repeated experiments, Skinner realised that it is important for
the reinforcement to happen very soon after the behaviour is performed,
otherwise the association is not made. For example, if you are in the
process of house training a new puppy and discover a puddle of urine on
the floor, reprimanding him would serve no purpose as he would not
associate the punishment with the reason for it. However, if you find the
puppy while he is urinating in the house and scold him then and there, it
is more likely that he will learn that urinating in the house leads to
punishment, and so he will avoid the behaviour in future.

Shaping
What happens when a brand new behaviour needs to be learned? For
example, a show dog may need to be taught to perform a complicated
behaviour for a competition. Operant conditioning relies on a method
called shaping to generate an entirely new behaviour using a reward
system. e process starts by establishing the participant’s preferred
reward (as was done in the homework example above). e participant is
then rewarded for each small advance that is made in the direction of the
desired behaviour. Once an advance has been made, the participant will
not be rewarded for simply repeating that behaviour, but only for
advancing to the next milestone. Finally, the participant is only rewarded
for performing the utterly new behaviour in its entirety.
In the empty Skinner box, it could take a while for the rat to ‘find’ the
lever and then press it. So Skinner and his associates found that they
could teach a rat to approach the lever by giving the rat a reward for each
behaviour it performed that brought it closer to pressing the lever
(Skinner, 1948). When the rat was placed in the box, it was rewarded by
the researcher first for facing the lever, then for each step that it took
towards the lever. When the rat stopped or stepped backwards, it was not
rewarded. By the time the rat reached the lever, it was only rewarded for
more complex behaviour, like standing in front of or pressing the lever.
Eventually, the rat would reliably walk towards the lever and press it to
get its reward.
ere are a number of studies that challenge the notion of shaping as
their results show evidence contradictory to the idea that completely
foreign behaviours can be taught to humans and animals alike.
Behaviourist researchers, Breland and Breland (1961), in trying to teach a
chicken to play baseball, showed that some behaviours could not to be
taught to animals and that animals would persist with certain instinctual
behaviours despite punishment or lack of reinforcement of those
behaviours. is phenomenon is referred to as instinctive drift. While
Skinner assumes that any animal or person is a blank slate, a tabula rasa,
 and can be taught to do anything he/she is physically capable of doing,
instinctive drift provides evidence to the contrary.

SUMMARY

• Skinner’s theory of operant conditioning explains much of our day-to-day behaviour. Operant
conditioning can be considered to be a type of learning in which voluntary (controllable, non-
reflexive) behaviour is strengthened through reinforcement but weakened when that behaviour is
punished.
• Operant conditioning studies non-reflexive behaviours (unlike classical conditioning); also the
stimulus comes after the behaviour (whereas in classical conditioning, it comes before.
• Reinforcers are anything that increases the likelihood of the behaviour being repeated. In operant
learning, it is necessary to identify what reinforcers are effective for the participant. Reinforcers also
need to be presented very soon after the behaviour occurs.
• In shaping, a new behaviour is learned through rewarding each small advance that is made in the
direction of the desired behaviour. However, not all behaviours can be taught by shaping as an
animal’s instinctive drift will lead it to persist with certain instinctual behaviours despite
punishment or lack of reinforcement of those behaviours.

Principles of reinforcement
Skinner proposed that there are two types of reinforcement, both of
which encourage the repetition of the desired behaviour, as they result in
the participant experiencing a beneficial outcome. Positive
reinforcement is when something pleasant (like a reward) is delivered to
the participant, while negative reinforcement is when something
unpleasant is removed from the participant (e.g. when taking a painkiller
helps your headache, you are likely to take one again next time you have
a headache). In either case, the point of reinforcement is to increase the
frequency or probability of a desired response occurring again (Skinner,
1935). A basic example of this is if the desired behaviour is for a rat to
press a lever, positive reinforcement would reward the rat (with food) if it
did so, while negative reinforcement would remove an unpleasant
stimulus (e.g. experiencing an electric shock).
Students should pay particular attention to the correct usage of the
term ‘negative reinforcement’. It does not refer to punishment, nor does it
imply that negative or bad behaviour is encouraged. Reinforcement
always seeks to increase the frequency or probability of the behaviour,
and this can be achieved through negative reinforcement when the
organism experiences the benefit of having something disagreeable
removed from its environment.
Skinner also identified two types of reinforcers: primary reinforcers
and secondary reinforcers. e former is a stimulus that naturally
strengthens any response that precedes it without the need for any
learning on the part of the organism. ese reinforcers tend to be
biologically based, such as the satisfaction that comes from receiving
food, water and sex. e latter, secondary reinforcers, are previously
neutral stimuli that acquire the ability to strengthen responses because
the stimuli have been paired with a primary reinforcer (Skinner, 1958).
Note the similarity to the processes of classical conditioning, with the key
differences being that the organism still has control over its voluntary
behaviour and that the behaviour must occur before the delivery of the
reinforcement. Typical secondary reinforcers are money, approval and
exam marks. ese can often be exchanged for something of practical
value (e.g. money can buy a necessary or desired item, and good exam
marks might lead to a monetary reward).
Figure 9.4 Praise as an example of positive reinforcement

Reinforcement schedules
In his experiments with rats, Skinner found that learning occurred at a
quicker rate when the behaviour was reinforced at each point of correct
response. In this regard, Skinner was beginning to experiment with
different schedules of reinforcement. is term refers to when and how
often a response is reinforced and these variations can have quite an
important impact on behaviour. ere are two types of reinforcement
schedules: continuous and intermittent. In a continuous schedule, each
instance of behaviour is reinforced, but in intermittent schedules,
behaviour is only reinforced after a certain amount of time or a certain
number of responses.
Skinner’s initial experiment used a continuous reinforcement
schedule. However, once the behaviour has been learned, the most
effective way of maintaining this behaviour is through an intermittent
reinforcement schedule, where (as indicated above) reinforcement does
not follow every response. ere are two basic types of intermittent
reinforcement schedule, namely ratio and interval; each of these can be
either fixed (predictable) or variable (unpredictable) (Ferster, 2002;
Skinner, 1958) (see Figure 9.5):
• Fixed ratio reinforcement scheduling relies on the reinforcement
being given after every Nth response; in other words, a certain
number of responses have to occur before getting reinforcement. An
example of this sort of reinforcement schedule would be casual
employees who are paid R20 per hour that they work, or a sales
representative who earns a R1 000 bonus for every 10th item of
product that she sells.
• Variable ratio reinforcement scheduling is similar to fixed ratio
scheduling except that the ratio of responses to the reinforcement
varies. In this case, reinforcement is given after every Nth response,
but N is an average. Slot machines in casinos operate on this system
of variable ratio reinforcement, despite some superstitious gamblers
believing that they have developed a method or system that promises
them a winning. e slots function on a programme that offers
winnings for every average Nth response, for example to give
winnings on every 45th pull on average. is could mean that the
gambler could win on the first, then on the 80th pull, and then on the
135th pull and so on, provided that it averages out to give a winning,
on average, every 45th pull.
• Fixed interval reinforcement schedules dictate that a selected
period of time must pass, and then a certain response or behaviour
must be performed in order for the participant to receive
reinforcement. e reliable schedule of a commuter train, arriving at
a particular stop every 30 minutes, is a good example. If you miss the
train that has just left, you will have to wait the allocated 30 minutes
 before the next train will arrive to collect you. Another example is
receiving a monthly pay cheque.
• Variable interval reinforcement schedules have the same principles
as fixed interval, but now the time interval varies. For example, you
receive a call from your friend every day when you get home after
university. It tends to be just after you have had dinner, but it can vary
from between the time you arrive home until just before you go to
bed.

Punishment
Skinner proposed an alternative (but not opposite) method of changing
behaviour. Whereas reinforcement increases the probability of a
response occurring again, punishment operates on the notion that the
delivery of an unpleasant stimulus will decrease the frequency or
probability of a response being repeated. However, through his research,
Skinner found that punishment was not as powerful as reinforcement in
bringing about behaviour change. Skinner offers us two types of
punishment, both carried out with the aim of reducing or stopping a
particular behaviour:
• Positive punishment is carried out when an aversive (unpleasant)
stimulus is administered so as to reduce the likelihood of certain
behaviours being repeated. An example of this is when a driver has to
pay a hefty fine for speeding on the highway.
• Negative punishment is the removal of a pleasant stimulus, again
reducing the probability that the behaviour will be repeated, as when
a child has their favourite toy taken away when they have a tantrum,
or when a teenager is grounded for bad behaviour.
 Figure 9.5 Schedules of reinforcement

SUMMARY

• According to Skinner, there are two types of reinforcement: positive reinforcement and negative
reinforcement. Both increase the likelihood of a behaviour being repeated.
• In positive reinforcement, something pleasant is delivered to the participant; in negative
reinforcement, something unpleasant is removed from the participant.
• There are two types of reinforcers: primary and secondary. Primary reinforcers are based on
biological needs and are not learned; secondary reinforcers are learned and are associated with a
primary reinforcer.
• Reinforcement may be continuous or intermittent. There are four intermittent schedules of
reinforcement: fixed ratio, variable ratio, fixed interval and variable interval.
• Punishment is an alternative method for changing behaviour. Punishment is intended to decrease
the frequency or probability of a response being repeated. However, punishment is not as effective
as reinforcement in bringing about behaviour change.
• There are two types of punishment: positive (the presentation of something aversive) and negative
(the removal of something pleasant).
 9.5 APPLICATIONS OF OPERANT CONDITIONING
A number of examples have been offered throughout this section to illustrate how operant
conditioning can be applied in everyday life. If you would like to witness some dramatic applications of
Skinner’s work regarding the rehabilitation of criminals, watch Stanley Kubrick’s 1971 movie, A
Clockwork Orange, as you may find it interesting as a remarkable fictional example of conditioning in
action. Current reality shows like The Dog Whisperer and Super Nanny apply the same sort of
techniques mentioned in this section to train and discipline unruly dogs and children, respectively.

Table 9.1 A summary of operant conditioning factors

Operant conditioning factors

Reinforcement Always increases the probability that
a response will be repeated, and is
associated with the participant
having a pleasant outcome
Punishment Always decreases the probability that
a response will be repeated as the
participant seeks to avoid something
unpleasant
Positive reinforcement/punishment A stimulus is delivered to the
participant
Negative reinforcement/punishment A stimulus is withdrawn or removed
from the participant

Social (observational) learning theory

Social learning theory is an example of the cognitive learning that was
mentioned at the beginning of this chapter. Cognitive learning takes into
account the way humans have the capacity to know, remember,
understand and anticipate outcomes. For example, you probably have a
cognitive map of your campus that you use to find your way to different
lecture theatres or the library. A cognitive map is a mental representation
or image of a geographical area.
Social or observational learning theory was developed by Albert
Bandura (1925 –), who is also renowned for his offering of the theory of
self-efficacy (see Chapter 5). In addition, Bandura served as president of
the American Psychological Association in 1974 and is an emeritus
professor at Stanford University.
Bandura’s social learning theory states that learning occurs when
one’s behaviour changes after viewing the behaviour of a model (see Box
9.6). While he respects many of the fundamental concepts of Pavlov’s and
Skinner’s approaches to traditional learning theory, Bandura proposes
that direct reinforcement or punishment cannot account for all types of
learning. His theory includes a social element, arguing that people can
learn new information and behaviours by watching other people. is
can happen directly or indirectly. For example, a young soccer player
may watch his hero in a Premier Soccer League match and try to play like
him. Alternatively, the learning may happen indirectly. For example, a
child may learn not to tell a lie when he/she observes a sibling being
punished for doing so. is is known as vicarious learning, which may
occur through observing the outcomes of the actions of other people or
even through the media (Bandura, 1965). Bandura (2001) notes the way
in which the availability of electronic media has expanded the role of
vicarious learning and indeed transformed how social systems operate.
 9.6 IMITATION OF FILM-MEDIATED AGGRESSIVE MODELS
Arguably, Bandura’s most influential and renowned experiments were the series known as the Bobo dol
studies (Bandura, Ross & Ross, 1961). Bandura was attempting to show that children can learn behaviour
by observing others performing that behaviour. In his 1963 study, Bandura was interested in whether
watching adults perform violent actions on television would lead to children imitating that violent
behaviour. In order to test the idea of observational learning, Bandura designed the experiment to
include a Bobo doll (a five-foot-high inflatable toy that, when hit, bounces back into its original upright
position). The sample of children was divided into four groups. The first group watched the Bobo dol
being hit in real life (by the experimenter). The second group watched this same situation being shown
on a television screen. The third group watched the situation being carried out by a cartoon character
The final group (as a control group) did not witness any violence towards the Bobo doll. All three
experimental groups showed the same sorts of aggressive behaviour when they were asked to play
with the Bobo doll, while the control group was less aggressive in their play. Interestingly, the group that
watched the aggressive behaviour on television showed greater overall aggression than either the real-
life or cartoon groups. Furthermore, boys were more likely than girls to display more aggression of both
imitative and non-imitative forms (Bandura et al., 1963).
Bandura has used the above experiment as evidence to show that children learn through observing
the behaviour of others, and this has been particularly influential in the field of parenting research. The
experiment is, however, not without critique. Primarily, there are concerns about the validity of the
sample (the children were all from the Stanford University nursery school and were all white and middle
to upper class). Second, the validity of the laboratory setting can be questioned as it was not the rea
world and, by showing violent media in this experimental setting, the experimenter is seemingly stating
that violence is okay in that setting). Lastly, Bobo dolls are designed to be hit and thus violence towards
them may not generalise to other violent behaviour (Felson, 1996; Freedman, 1994; Hart & Kritsonis
2006).

9.7 SOCIAL LEARNING AND THE SOUTH AFRICAN CONTEXT

If we think about South African society, we can see ways in which Bandura’s theory might be applicable
For example, if you see someone driving through a red traffic light or a stop street without any
punishment, it is likely that you may do the same next time you are faced with an amber light. What
other instances can you think of in the South African context?

Bandura (1965) suggests that for observational learning to occur, the

following four processes need to take place:
1. Attention. For learning to occur, you must pay attention to the
behaviour being modelled. is may depend on your own
characteristics (e.g. capacity to pay attention) and on the
characteristics of the model. If the model is of high status or seen as
 an authority or particularly skilled, or similar to you, it is more likely
that you will pay attention to him/her.
2. Retention. e ability to store and recall the information is the next
important part of the learning process.
3. Reproduction. Once you have retained the information obtained from
watching a model perform a particular behaviour, you need to
perform the behaviour for yourself. Repetition and practice will result
in mastery of the skill needed to perform that behaviour. If the
model’s behaviour is successful or brings a reward, the observer is
more likely to try to imitate the behaviour.
4. Motivation. Without motivation, there would be no desire to imitate a
given behaviour. is is where Bandura agrees with concepts from
Skinner, as reinforcement and punishment play an important role in
one’s motivation to imitate a modelled behaviour. is reinforcement
or punishment can be experienced directly, or by watching the model
receive the punishment or reward for behaving in a certain manner.

Figure 9.6 Children learn how to feed their younger siblings by watching their parents do it
Alternatives to traditional learning theory
Although this chapter has presented three primary learning theories,
there are a number of varieties of behaviourism. Strict behaviourism,
which ignores the value of cognitive (mental) processes in shaping
behaviour, would hold that the same principles or conditioning
techniques that would be used to train a dog would be successful in
training (or educating) humans. Many people would completely reject
this old-fashioned position towards human learning processes. However,
strict behavioural approaches have been useful in offering a guiding
philosophy to educating autistic and intellectually disabled individuals.
Recently, cognitive-behaviourists have engaged with a more popular
and effective approach to understanding and predicting human
behaviour. Cognitive-behaviourism holds that mental events (including
thoughts, feelings and internal dialogue) guide learned behaviour. A
therapist who supports this approach would assist people in developing
new ways of thinking about themselves in relation to the reality of the
world. Cognitive-behavioural therapy would thus help clients overcome
problems (like depression and anxiety) caused by dysfunctional and
destructive thinking. Studies have shown that this type of therapy is
usually brief (short-term) and can successfully resolve psychological
distress of this nature in as little as four sessions (depending on the
therapist, the client and the severity of the psychological issue) (Lipsitz &
Marshall, 2001).
 SUMMARY

• Social learning theory is an example of cognitive learning; this takes into account the way humans
have the capacity to know, remember, understand and anticipate. People may use cognitive maps
to help them choose alternative routes.
• Bandura’s social learning theory states that learning occurs when one’s behaviour changes after
viewing the behaviour of a model. People can also learn vicariously by watching the responses to
the behaviour of others.
• Observational learning depends on four processes: attention, retention, reproduction and
motivation.
• Strict behaviourism ignores the usefulness of cognitive processes as they cannot be observed.
However, cognitive-behaviourists acknowledge the way that mental events (including thoughts,
feelings and internal dialogue) guide learned behaviour. Cognitive-behavioural therapy helps
clients with problems caused by dysfunctional and destructive thinking.

Conclusion
e primary insight from this chapter on learning theory is to appreciate that for animals and
human beings alike, most behaviour is learned behaviour. If behaviour can be learned, it can also
be unlearned, with the correct reinforcements or punishments being applied. Research on
learning has led to the development of a relatively precise learning theory, which can be used to
understand and predict how (and under what conditions) most individuals will learn to respond
to certain events.

KEY CONCEPTS

acquisition: the phase in a learning experiment in which behaviour is

first learnt
cognitive map: mental representations or images of a geographical
area
conditioned emotional response: an emotional response to a
previously neutral stimulus, as a result of classical conditioning
conditioned response (CR): the response that is elicited by the
conditioned stimulus after classical conditioning has taken place
conditioned stimulus (CS): an initially neutral stimulus (like a bell,
light or tone) that begins to elicit a conditioned response after it has
been paired with an unconditional stimulus
continuous reinforcement: reinforcement schedule where
reinforcement is given for every instance of the desired behaviour
extinction: the end result of the process whereby there is a reduction
in the strength or probability of a learned behaviour that occurs when
the conditioned stimulus is presented without the unconditioned
stimulus (in classical conditioning) or when the behaviour is no
longer reinforced (in operant conditioning)
fixed interval reinforcement: reinforcement schedule where a
specified period of time must pass, and then a certain response or
behaviour must be performed in order for the participant to receive
reinforcement
fixed ratio reinforcement: reinforcement schedule where a certain
number of responses have to occur before getting reinforcement
generalisation: the transfer of a learned response from one stimulus
to a similar stimulus
instinctive drift: the tendency of a non-human subject to revert to
unconditioned behaviours despite a lack of reinforcement for those
behaviours in the experimental setting
negative reinforcement: a situation in which an operant behaviour is
strengthened (reinforced) because it removes or prevents a negative
(aversive) stimulus
neutral stimulus: a stimulus which produces no response in the
subject at the start of the experiment, but, after being paired with the
unconditioned stimulus, becomes the conditioned stimulus
positive reinforcement: an operant conditioning procedure in which
a behaviour is followed by a positive stimulus or reinforcer which
typically increases the strength of the behaviour
preparedness: the extent to which an organism’s evolutionary history
makes it easy for the organism to learn a particular association or
response
primary reinforcers: reinforcers that are not learned and which often
satisfy biological needs (e.g. food)
punishment: an operant conditioning procedure in which the
behaviour is followed by a negative or aversive stimulus typically
causing the behaviour to decrease in strength
 reinforcer: anything which increases the likelihood of a behaviour
being repeated
secondary reinforcers: a learned reinforcer (like money) that
acquires the ability to strengthen responses because it has been
paired with a primary reinforcer
shaping: a procedure for training a new operant behaviour by
reinforcing behaviours that are closer and closer to the final
behaviour that is desired
spontaneous recovery: the reappearance, after the passage of time,
of a response that had previously undergone extinction
stimulus discrimination: stimulus discrimination involves a subject
being able to distinguish (discriminate) between similar stimuli
unconditioned response (UCR): in classical conditioning, an innate
response that is elicited by a stimulus in the absence of conditioning
unconditioned stimulus (UCS): in classical conditioning, the
stimulus that elicits the response before conditioning occurs
variable interval reinforcement: reinforcement schedule where
reinforcement is given after a variable time interval
variable ratio reinforcement: reinforcement schedule where
reinforcement is given after every Nth response where N is an average
vicarious conditioning: learning that occurs indirectly
vicarious learning: learning of a behaviour by observing the
behaviour being performed by others and then modelling (acting out)
that behaviour

EXERCISES

Multiple choice questions

1. Learning involves changes in behaviour as a result of:
a) motivation
b) chance
c) maturation
d) experience.
 Yolisa loves to go dancing at a local night club. One night she sees a
2. bouncer beat up one of the patrons. After that, she feels uneasy and
anxious whenever she goes to the club, especially when she sees the
bouncers. A behaviourist might say that in that situation, the club
serves as a(n):
a) unconditioned stimulus
b) conditioned stimulus
c) unconditioned response
d) conditioned response.

3. In his classic studies, when Pavlov presented the bell (conditioned

stimulus) continuously without the presentation of the food
(unconditioned stimulus), the dog’s salivation decreased due to a
process called:
a) spontaneous recovery
b) stimulus generalisation
c) extinction
d) reinforcement.

4. In operant conditioning, the reinforcer occurs _____________ the

response; in classical conditioning, it occurs _____________.
a) before; after
b) after; before
c) after; after
d) before; before.

5. According to Skinner, when a child gets all her spelling right and her
teacher gives her a star, this is _____________, while in
_______________, the teacher
says she no longer has to stay in at break.
a) positive reinforcement; negative reinforcement
b) negative reinforcement; positive reinforcement
c) positive punishment; negative punishment
d) negative punishment; positive punishment.
6. Factory workers are paid for the number of garments they produce in
a given time. is type of reinforcement schedule, in which
reinforcement is given after an average number of operant responses
have occurred, is called a _______________ schedule.
a) fixed ratio
b) fixed interval
c) variable ratio
d) variable interval.

7. A phobia can be seen as a/an:

a) attempt to act frightened to gain attention
b) fear based on realistic dangers
c) behaviour that only children display
d) conditioned emotional response.

8. Siphesihle watches his older brother polish his shoes before school.
Later, he attempts to polish his own shoes. Siphesihle’s older brother
has acted as:
a) non-contingent reinforcer
b) a negative reinforcer
c) a positive reinforcer
d) a model.

9. Social Learning theory was developed by which of the following

theorists?
a) B. F. Skinner
b) I. Pavlov
c) A. Bandura
d) none of the above.

10. In Bandura’s studies of learned aggression using the Bobo doll, which
of the following is NOT true?
a) e control group were less aggressive in their play than the
experimental groups.
b) Girls displayed more aggression than boys.
 c) e group that watched the aggressive behaviour on television
showed the most aggression.
d) All of the above are true.

Short-answer questions
1. Nosipho’s parents always leave her with the same babysitter, Emily,
when they go out. Within minutes of Emily’s arrival, Nosipho’s
parents leave. Emily arrives at Nosipho’s birthday party; as soon as
Nosipho sees her she begins to cry. Using the principles of classical
conditioning, explain why Nosipho cries when she sees Emily.
2. Discuss the nature and importance of observational learning and
discuss Bandura’s view on whether reinforcement affects learning or
performance.
3. For each of the following scenarios, identify the unconditioned
response, unconditioned stimulus, conditioned stimulus and
conditioned response (where appropriate):
a) Your dog comes running every time she hears the tin opener.
b) You do your assignments sitting on your bed; at the end of
semester you find you feel tense when sitting on your bed.
c) Your friend wears a rubber band on his wrist and snaps it every
time he swears (he is trying to stop swearing).
d) On your way home from campus, there is one garden with several
dogs that always bark at you; you change your route home to one
with no dogs.
e) When you watch a sad movie, you always have a large bowl of
chips; later you find that eating chips makes you weepy.
 CHAPTER
Motivation and emotion 10
Jaak Panksepp & Viv O’Neill

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• explain the concept of motivation
• explain how homeostasis operates in the motive of hunger
• describe the different types of motive
• explain intrinsic and extrinsic motivation
• describe the opposing mechanisms involved in approach– avoidance conflicts
• explain Maslow’s humanist theory of motivation
• explain game theory
• describe the aspects of emotions
• describe the research on types of emotions
• explain how cognitions are related to emotions
• describe the James-Lange, Cannon-Bard and Schachter-Singer theories of emotion.

CASE STUDY

Melinda, when thinking about the driving forces in her life, immediately identified things like her
desire to do well at university, to please her parents and, in her more unselfish moments, her wish
to do ‘something useful for her community’. She generally thought about herself as someone who
made considered and rational choices about what to do. Melinda also prided herself on the way
she tried to stick to her principles about what was right, letting these principles guide her actions.
As Melinda started to learn more about motivation, she initially felt quite reluctant to accept
that she could be motivated by such basic needs as hunger or pleasure. It made human beings
sound no different from animals. It was also difficult to admit to herself that emotions like fear,
anger or love could overrule her more rational self. But as Melinda learned more about
homeostasis, she could see how these basic needs were innate and necessary for survival. How
could human beings continue to exist if they didn’t eat, drink, procreate, look after their babies and
protect themselves?
Melinda was interested to discover that learned motives were also very important to human
existence. She realised that her desire to do well academically had been learned while she was still
at school. She had also experienced a motive to enjoy new experiences and have fun with exciting
activities like rock climbing. Melinda also knew from her own experience how some motives could
conflict with others!
 Melinda had not really connected motivation with her emotions, though when she thought
about it, she realised that she did have strong feelings associated with doing well or having
exciting experiences. She found it fascinating to break her feelings down into their parts and to
identify the physiological aspects of emotions. It made sense to her that how an experience was
labelled had an impact on how an emotion was felt.
Melinda also found it interesting to learn how many theories of emotion had been put forward
by scholars going back to the 1800s. She noted how each theory had developed out of critique of
previous theories and saw how this process provided a very good example of theory building in
psychology.

Introduction
What makes you do those things you do? What are your goals in life? At
university? What satisfies you and makes you happy? ese are questions
about motivation. ey are also questions about emotions because our
emotions are inevitably connected to what we are motivated to do and
how. e study of motivation aims to describe and explain the basic
urges of our bodies, as well as the highest aspirations of our minds.
However, it is an area that is difficult to define and study as theorists
approach it in diverse ways.
While cognitive psychology has taught us that people receive,
integrate, store, access and compare information, it has a hard time
explaining how we choose which information to pay attention to, and
why we choose certain information to process in our minds. ese
situations can be explained by looking at motivational urgency, which as
suggested above, is affected by our ever-changing emotions.
Motivation is a complex concept with many levels. It is called an
umbrella term because it includes many different mind–brain processes
rather than one single construct. Briefly, motivation can be described as
the processes involved in initiating, sustaining, directing and terminating
behaviour. For example, you have just finished studying and now you are
hungry. Your hunger initiates your move towards the fridge, where you
find nothing exciting to eat. Your ongoing hunger sustains and directs a
further search of the cupboards, where you find a packet of biscuits.
Eating several biscuits satisfies your hunger and your food-seeking
behaviour is terminated.
 Motivation has many conscious and unconscious parts. e conscious
components are easier to talk about and to study than the unconscious
parts. But although we know less about the unconscious parts, we do
know that they underlie everything we do and think about. We act and
behave in a certain way, using our unconscious side, before we think
about what we are doing, using our conscious side (Wegner, 2002).
Different schools of thought regarding motivation have focused on
biological aspects like homeostasis and drives, and on psychological
aspects like cognition and personality.

Motivation
Homeostasis and brain mechanisms – hunger
In the past, researchers defined motivations as processes that help us
take care of our bodily needs, while emotions were referred to as
processes that help us take care of our mental needs and challenges.
More recently, there has been a better understanding that this separation
is artificial and that motivations and emotions are inextricably linked.
Bodily needs are based on the need for organisms to maintain
homeostasis or internal equilibrium. is operates like a thermostat or
an air conditioner – you can set it to a certain temperature and the
machine will cycle to maintain that temperature. Similarly, the body has
certain set levels for its own temperature, blood pressure and so on, and
it will create internal tension to push a person to act to help maintain the
homeostasis.
In terms of a person’s behaviour, going back to our example above, the
state of internal tension (low blood sugar) will push the organism into
action (getting food) with the goal of reducing the tension. Incentives
also come into play here. Incentives provide a ‘pull’ value to a goal. You
have bought a beautiful dress for a special date, but it is a bit tight for you;
this may provide a stronger incentive to limit your food intake than the
advice of your mother to ‘lose weight’.
 How do these hunger mechanisms work in the body? You might think
it is just your stomach feeling empty. A.L. Washburn studied this nearly
100 years ago and said that hunger was no more than one’s stomach
contracting (Cannon & Washburn, 2012). However, more recent research
has demonstrated the roles of various brain mechanisms. e most
important part of the brain for regulating motives like hunger is the
hypothalamus. e hypothalamus receives messages about blood sugar
level, as well as messages from the stomach and liver (Woods et al., 2000).

Figure 10.1 Cross-section of the brain showing the hypothalamus

Different parts of the hypothalamus control our experience of hunger.

e lateral hypothalamus (the side) acts as an ‘on switch’. If this part is
stimulated, you start eating even if your stomach is full. On the other
hand, the ventromedial hypothalamus (the bottom-middle part) acts as
an ‘off switch’. If this part is damaged in some way, the organism will
continue eating to extreme obesity. A number of chemicals in the body
affect the action of the hypothalamus, including a chemical in marijuana
(dagga) (Di Marzo et al., 2001).
Types of motive
ere are several types of motive and these operate in different ways.
Motives may be biological, personal and/ or social. e first type involves
biological motives and these are based on a person’s survival needs. In
the previous section, we discussed hunger, which is an important
biological motive; other biological motives include the need for food,
sleep, water, sex and so on. e need for sex here is referring to the need
to procreate and pass our genes into the next generation. However, most
sex acts are not intended for procreation (Holt et al., 2012) and people
desire to have sex for a variety of reasons that relate to other motives that
include pleasure, intimacy, submission to peer pressure or as a ‘duty’
(Holt et al., 2012).
A second type of motive includes stimulus motives. ese are
personal motives which reflect an individual’s need for stimulation and
information. ey are seen in our curiosity and activities, and can vary
widely from person to person; for example, people may be interested in
nature walks or finding out how mechanical things work. Stimulus
motives are not absolutely necessary for survival, but they do reflect a
very important aspect of human (and animal) behaviour. People with a
high need for stimulation are known as sensation seekers (Zuckerman,
2007).
A third type of motive is learned motives. ese may be personal or
social in nature and include things like motives for achievement, power,
affiliation, and so on. As the name suggests, these are not innate, but are
learned through processes like reinforcement. e relative strength of
learned motives is likely to be affected by one’s cultural context. For
example, while in many Western societies, a strong personal motive for
individual success and achievement is taught to children, in traditional
African societies, a motive for interdependence and cooperation may be
more strongly instilled in children.
An important social motive is the need for affiliation. is refers to our
needs for human closeness and contact. Hill (1987, in Holt et al., 2012)
suggests that people affiliate for four basic reasons: to get positive
stimulation, to gain social support, to gain attention and to enable social
comparison. Social comparison is important in that it helps us know
what is expected of us or how to behave in a specific situation.
Motives may also be extrinsic or intrinsic. ink about why you are
studying at university. You may be doing it because you find your course
fascinating and you are enjoying stretching yourself, or because you hope
to be able to earn a good income someday. You might be studying for
both of those reasons. According to Ryan and Deci (2000), you are using
intrinsic motivation when you freely choose to do something that you
find interesting or enjoyable. Intrinsic motivation leads to ‘high-quality
learning and creativity’, so it is of special interest to parents and educators
(Ryan & Deci, 2000, p. 54).
Figure 10.2 Bungee jumping
 Extrinsic motivation occurs when there are external outcomes (Ryan
& Deci, 2000). An obvious example is your salary at the end of the month,
but things like prizes, rewards and approval can all operate as extrinsic
motivations. Ryan and Deci (2000) draw a distinction between extrinsic
motivation that the person responds to with disinterest or resistance, and
that which the person accepts and perhaps even endorses. is situation
occurs when the person can see the ultimate value of their action, even if
they are not doing it freely or for enjoyment.
Both extrinsic and intrinsic rewards can ultimately lose their power to
reward. For some people, if they receive more and more prizes or
monetary rewards, these can lose their value as a motivation. Similarly,
the power of intrinsic motivation can be undermined by social or
environmental factors. For example, if learners are over-controlled by
parents or teachers, they may lose their intrinsic enjoyment of a task and
their desire to master it, whereas parents who support autonomy are
likely to have children with greater intrinsic motivation (Ryan & Deci,
2000).

10.1 A BRIEF HISTORY OF STUDIES IN MOTIVATION

The intrinsic–extrinsic division of motivational structures has been one that psychologists have
discussed for well over a century, with one pole or the other gaining favour at different times. The
following paragraphs briefly summarise the historical path that psychologists have followed in trying to
explain human behaviour.
During the early years when psychology was emerging as a scientific discipline, instinct theories of
motivation prevailed. Many human instincts, from aggression to shyness, were quickly put forward
(McDougall, 1908). However, researchers soon realised that the instincts they were naming could not be
defined neuropsychologically, and they also realised how little they explained complex human beings
(Beach, 1955). Therefore, in reaction to the instinct theories, researchers started to look for extrinsic and
learned causes of behaviour, including motivation. This heralded the behaviouristic era, which said that
one could not study internal processes, as one could not directly observe them.
Then, as a reaction against the constraints of behaviourist theories, the cognitive era emerged and
focused on human cognition as an explanation for why people behaved the way they did. However, this
was followed by some dissatisfaction with a cognitive psychology that did not want to study deeper
inner causes of behaviour. This has led to another backlash, called the affect revolution, which brought
basic motivational and emotional concepts back to the foreground of psychological thinking.

Motivational conflicts – approach or avoid?

As we discussed earlier in this chapter, motivational forces propel us into
action. at action can either be towards something or away from it. e
literature has long noted that humans seek to maximise pleasure and
avoid pain (Higgins, 2000). Jeffrey Gray (Gable, Reis & Elliot, 2000)
showed that these opposite reactions are based on two separate neural
systems: the behavioural activation system (BAS) and the behavioural
inhibition system (BIS). e BAS responds to signals that offer potential
reward (we smell fried chicken or see a good special advertised) and gets
us moving towards goals or pleasure that we would like to achieve. e
BAS makes us feel hopeful and happy. e BIS, on the other hand,
responds to feelings of fear or anticipation of pain and leads us to
avoidance or escape behaviour.
ere are three different types of conflict:
1. Avoidance–approach conflict. is happens when one option is
appealing and the other is not. For example, a good friend invites you
to a dinner party, but you have an important test the following day
that you should study for (you would much rather spend the evening
socialising than in front of your books).
2. Approach–approach conflict. is happens when both options are
equally appealing. For example, you are given a choice of chocolate
mousse or strawberry cheesecake for dessert and you cannot decide
because you like them both.
3. Avoidance–avoidance conflict. is happens when both options are
undesirable or painful. For example, you have to study for a test, but
you also need to visit the dentist. Neither of these is something you
enjoy doing.
 10.2 MOTIVATION AND MEMORIES
It is hard to discuss higher human motivations without considering memory and learning. Indeed,
motivation has often disrupted research in memory and learning. Practically every apparent deficit in
memory, especially in animal models, could be interpreted as a deficit in motivation. How can we know
whether an animal has forgotten something as opposed to having lost the motivation to perform a
behaviour?
Organisms will not perform what they have learned if they are not motivated to exhibit what they
know. For instance, when learned responses are extinguished, it does not mean that either animals or
humans have forgotten previously acquired associations. Often they are no longer motivated to exhibit
unrewarding, unrewarded or under-appreciated behaviours, often because of negative emotions.

ese processes are also influenced by our personality. For example,

people high in neuroticism tend to respond more strongly to stressors in
their lives (Gable et al., 2000). e same applies to people who tend to be
anxious (Van Eck et al., 1998, in Gable et al., 2000). is research has
tended to focus on personality traits that are relevant to negative events;
however, people high on agreeableness ‘reported more positive moods
when they engaged in behaviours consistent with their traits’ (Gable et
al., 2000, p. 1136).
 SUMMARY

• In the past, motivations were related to bodily needs, while emotions were related to mental
needs; more recently, it has been acknowledged that this separation is artificial.
• Bodily needs are based on the need for organisms to maintain homeostasis; the body works to
maintain set levels for temperature, blood pressure, etc.
• Both ‘push’ and ‘pull’ (incentives) aspects operate to maintain equilibrium.
• Hunger and other motives are regulated by the hypothalamus; the lateral hypothalamus acts as an
‘on switch’, while the ventromedial hypothalamus acts as an ‘off switch’.
• Motives may be biological, personal and/or social.
• Biological motives are based on the person’s survival needs; they include the need for food, sleep,
water, sex, etc.
• Stimulus motives are personal motives which reflect an individual’s needs for stimulation and
information; they vary widely from person to person.
• Learned motives may be personal or social in nature and include motives for achievement, power,
affiliation, etc.; the relative strength of these motives is influenced by one’s cultural context.
• Motives may also be extrinsic (with external outcomes) or intrinsic (for their own sake); both
motivations may be undermined by social or environmental factors.
• Humans seek to maximise pleasure and avoid pain; these opposite reactions are based on two
separate neural systems: (1) the behavioural activation system (BAS), which responds to signals that
offer potential reward and gets us moving towards goals or pleasure, and (2) the behavioural
inhibition system (BIS), which responds to feelings of fear or anticipation of pain, and leads us to
avoidance or escape behaviour.
• There are many everyday examples of when we experience conflicting goals or motivations; these
conflicts may be for any combination of approach and avoidance motives.

Motivation based on human needs: a humanist

approach
Abraham Maslow (1970) proposed that human motivation rests on a
hierarchy of needs (see Chapter 5). He believed that when humans have
fulfilled basic needs, they can then go on to fulfil more complex desires.
Maslow’s five-tiered model includes:
• physiological (bodily) needs
• safety needs
• love and belongingness needs, and
• self-esteem needs, all of which permit us to try to fulfil our self-
actualisation needs (our aspirations to achieve our highest potential).
Maslow thought that these needs had a hereditary component, but he
focused more on the higher levels of his model and the gratification that
humans derived when fulfilling these higher needs. (See Chapter 5 for
more about Maslow’s hierarchy of needs.)
Although Maslow’s theory is widely used today, especially in
management studies (Dye, Mills & Weatherbee, 2005), it has also been
quite extensively critiqued. Early critiques included concerns about the
apparent rigid ordering of the levels. Many critiques have argued that the
theory is not testable, is ‘pseudo-scientific’ and lacking in empirical
support (Dye et al., 2005). Yet other criticisms have been that it is a male-
dominated Western theory which may have limited application on other
contexts (Dye et al., 2005). For example, poverty and other barriers may
hinder the achievement of self-actualisation, while people from some
cultures may not even wish to achieve it (Dumont, 2010). Maslow himself
was aware that culture needed to be considered in the application of his
theory (Dye et al., 2005). As Dumont (2010) notes, for many collectivist
cultures, placing self-actualisation at the pinnacle of achievement is
inappropriate and simply wrong.
10.3 EVOLUTIONARY PSYCHOLOGY’S PROPOSALS
REGARDING MODULES FOR SPECIFIC MOTIVATIONS
Somewhere between several million and several hundred thousand years ago, a huge cortical thinking
cap mushroomed in the human brain. In general, evolutionary psychology concentrates on this
region and on understanding the roles it plays in human cognitive processes.
During the past few decades, the evolutionary psychology movement has tried to explain certain
motivated behaviour. However, because this movement emerged from social psychology (Barkow
Cosmides & Tooby, 1992), it has to some extent been dissociated from the neuroscientific and biologica
understanding of basic emotions and motivations.
Evolutionary psychology has proposed three specialisations or ‘modules’ regarding motivation; these
are discussed below. However, the evidence on which these proposals are based could also be used to
support a multi-tiered model of the human brain, and therefore the challenges to the logic of these
proposals are also discussed.

The proposal of a cheater detection module

This idea emerged from research on how people detect when others are trying to cheat them in some
way. The context for this research is that of reciprocal altruism (you scratch my back, I’ll scratch yours)
in which some people do not reciprocate, i.e. they ‘cheat’ (Buller, 2005). That means that they reap the
benefits of cooperation without paying the costs (Doebeli & Hauert, 2005). Barkow et al. (1992)
proposed that people have a cheater detection module. This was based on experiments that showed
that people find it difficult to correctly make certain logical inferences when these are expressed as a
bare-bones logical problem. However, when these are re-cast in real-life terms involving people
attempting to fool other people, these are easy to solve. These experiments also produced evidence
that suggested that people solve problems easily when they have something to lose as opposed to
when they have not. This was used to support the proposal that our cognitive apparatus has specialised
abilities to identify those people who are attempting to fool us. However, Barkow et al.’s (1992) idea that
this is a separate cognitive module has been criticised by Buller (2005), who argued that their results
could indicate reasoning according to general logical principles.

The proposal of a mate selection module

Males tend to focus on the desirability of youth and beauty (as markers of reproductive fitness), while
females tend to focus on the desirability of having a wealthy mate who is willing to share his riches (as
markers of capacity and willingness to invest in rearing a family) (Buss, 1999). It has been proposed that
males and females therefore have evolutionarily determined cognitive modules for these choices.
However, in the absence of evidence, it is just as easy to postulate that these behaviours are a result
of learned cognitive strategies. For example, as male sexual feelings are rapidly aroused, they tend to
focus simply on signs of sexual attractiveness, while females, who become aroused more slowly, may
deliberate more over other relevant issues, such as whether the male is interested in a long-term
relationship and child-rearing.

The proposal of a kin selection module

Parents are much more likely to exhibit aggressive behaviours (child abuse) toward step-children than
towards their own biological offspring (Tooley, Karakis, Stokes & Ozanne-Smith, 2006). This leads to the
 possibility that people have evolutionarily pre-disposed cognitive mechanisms to reduce harm to their
close genetic relatives, but not to those with whom they do not share as much genetic material.
While the basic data on which this argument is premised is substantial, there are obvious alternative
explanations. Robust social attachments, as would occur when parents have nurtured a child from birth
produce stronger anti-aggressive neurochemical responses than would be possible for an adult who
was joining an established parent–child unit. It is well established that brain chemicals such as opioids
and oxytocin are strong inhibitors of aggression, and it is possible that such primitive emotiona
influences strongly limit the amount of aggression that parents exhibit when caring for their own
biological children. A new adult entering an established family structure would not have the same
neurochemically based social-bonding safeguards against the aggression that may emerge from
irritability.

Interpreting the evidence used in the above three proposals

The above examples highlight some important motivational findings from evolutionary psychology, and
the results of these research studies are not in dispute. However, as always in science, these results can
have more than one interpretation.
Generally scientists believe that a more simple explanation (one that is parsimonious) is better than a
more complex one. Thus, when a variety of relevant emotional findings have been established in lower
animals, it is not necessary to seek more complex interpretations for human behaviour, such as the
evolution of specialised cognitive modules. This does not mean that the more complex interpretation
such as the emergence of a specialised cognitive module, is necessarily wrong; it means that it is the
responsibility of the researchers who advance such ideas to provide an extra measure of evidence that
such complex genetically controlled brain mechanisms do exist and that the findings cannot be
explained in simpler ways. They have yet to do that.

Game theory
How do people make decisions about their behaviours when they are
interacting with others? Are they rational? Do they seek to maximise their
own outcomes? Game theory has provided a useful framework for
understanding some of these aspects of human motivation. According to
Turocy and Von Stengel (2001, p. 4), game theory ‘is the formal study of
conflict and cooperation’; it has its foundations in mathematics and
economics. Game theory has wide application across the behavioural
sciences, including psychology, sociology, political science and
anthropology (Gintis, 2009). Gintis (2009) warns, however, that game
theory does not explain everything about human behaviour, as some
game theorists claim.
According to Colman (1995), ‘game theory’ is an unfortunate name,
which suggests it is about recreation and fun; for Colman (1995), a better
name would have been ‘the theory of interdependent decision making’.
Game theory tries to predict what strategies people will follow to pursue
rational decisions that are in their own best interests. Gintis (2009) points
out that humans can reason according to their knowledge of the minds of
others; thus humans are not merely ‘rational’, but make rational decisions
within a context of social interaction and understanding.
Colman (1995) provides some useful everyday examples of how game
theory may operate. For example, imagine you are walking down the
passage in the psychology department and you meet a group of people
coming the other way. ere is only space for one person to pass. You
have three choices: move left, move right or keep going straight on
(which obviously risks a collision). But the people coming the other way
have the same choices and if they move left and you move right, you will
also collide. Note that the outcome of the ‘game’ depends on the actions
of both parties, whose interests are identical (you both want to keep
moving – and avoid a collision).

The prisoner’s dilemma

e ‘prisoner’s dilemma’ is a famous metaphor used to study
cooperation. e game was framed in this way by Albert Tucker. Imagine
that two gang members (S and R) have been arrested, are in custody and
are being held apart from each other (with no means of communication).
e prosecutors do not have enough evidence to convict the men on the
main charge, so they offer each of them a deal. In the deal, each prisoner
has the choice between betraying his partner by testifying against him, or
cooperating with his partner and keeping silent. is is the deal:
• If S and R each betray the other, they will each serve two years in jail.
• If S betrays R (but R remains silent), S will be freed, but R will serve
three years in jail (and vice versa).
• If both S and R remain silent, they will both serve one year in jail (on a
lesser charge) (Turocy & Von Stengel, 2001).

e dilemma assumes that there will be no future consequences to each

prisoner for their betrayal (e.g. damage to their reputation). Clearly, the
most rational choice is to betray the partner (because that maximises the
individual’s benefits – in their absence of knowledge of what the other
will do); in this instance, betrayal is better than cooperation. In practice,
humans seem to make more cooperative choices than pure ‘rationality’
would predict. In this specific instance, as we know, betrayal of a fellow
gang member may have very real, negative consequences for the
betrayer. Given that, the choice of silence may be a better option, even if
it potentially costs the prisoner more prison time (if his partner betrays
them).
e prisoner’s dilemma has been further studied to see if one can set
up conditions to promote cooperation. In these studies, there are several
rounds of the game, known as the iterated prisoner’s dilemma (Doebeli &
Hauert, 2005). is allows for reciprocal altruism to come into play (see
Box 10.3). us, across repeated rounds, the player may fear a future
negative outcome as retaliation for betrayal or defection in the current
round. In this instance, cooperation in the current round may be more
beneficial in the longer term (as reciprocal altruism predicts).
One of the most successful strategies is ‘tit-for-tat’ (Doebeli & Hauert,
2005). In this strategy, the player cooperates in the first round and then
repeats what the opponent does in each successive round. e success of
this strategy is ‘attributed to the fact that [player 1] never defects first,
retaliates when the opponent defects, but forgives when the opponent
reverts to cooperation’ (Doebeli & Hauert, 2005, p. 750). Players who
adopt this strategy tend to maintain cooperation; however, in a ‘noisy
world’, the strategy tends to work less well, leading to low-paying
retaliation. In this case, it is better to implement a simple rule: win–stay;
lose–shift. at means that if your move has a positive outcome, it should
be repeated; if it does not, you should shift to the opposite behaviour.
 SUMMARY

• Abraham Maslow said that human motivation rests on a hierarchy of needs: physiological, safety,
love and belongingness, self-esteem and self-actualisation.
• Maslow’s theory is widely used, although it has been quite extensively critiqued: the apparent rigid
ordering of the levels; the theory is not testable; it is a male-dominated Western theory and it lacks
relevance in many collectivist cultures.
• Game theory provides a useful framework for understanding what strategies people use to make
decisions in competitive or conflict situations.
• Humans can reason according to their knowledge of the minds of others.
• One of the typical games used to study these kinds of decision making is the prisoner’s dilemma.
Prisoners can choose between betraying a partner (in return for freedom) or keeping silent (for a
reduced sentence); if the partner betrays him, he would receive a longer sentence.
• People seem to make more cooperative choices than pure ‘rationality’ would predict.
• In the iterated prisoner’s dilemma, the game is played over several rounds, which allows the
anticipation of future consequences to affect current behaviour.
• A ‘tit-for-tat’ strategy has shown considerable success in maintaining cooperation.

Emotion: the other side of motivation

How do you feel today? Perhaps you are irritated at having to work when
it is beautiful day outside. Perhaps you are in love and feel like you are
floating on a cloud. Or perhaps you are disappointed at your marks on
the test that has just been returned to you. is last example illustrates
how closely motivations and emotions are related (Lazarus, 2001, in Holt
et al., 2012). When a long-term goal is achieved (or we experience
failure), we tend to experience strong emotional responses. is link
between motivation and emotion is also seen when we say we are
‘moved’ by something (music, a poem or the loss of someone close).
It seems we cannot choose our emotions, although we can choose
how we respond to or manage them. Emotions can help us in many ways
but they can also hinder us. Feelings like fear increase our chances of
survival; they are considered to be adaptive. On the other hand, chronic
anxiety may seriously limit a person’s life. Some positive emotions, like
interest, caring, and love, are also helpful and adaptive as they help us
form relationships and to care for our offspring (Holt et al., 2012).
 Emotions are typically considered to have three aspects: they involve
some degree of physiological arousal, changes in body posture or facial
expression, and subjective feeling states. e physiological aspect
includes experiences like sweaty palms and a dry mouth, and these are
caused by activity in the sympathetic nervous system (see Chapter 7).
Examples of outward signs of emotion could be a smile or a grimace, and
shaking hands or tensed muscles. Subjective feeling states are our
personal experiences of something (or someone). Emotions usually
follow some kind of evaluation or appraisal of events as they relate to our
goals and aspirations; they are different from moods, which are longer
lived, less intense feeling states.

Types of emotions
Early theorists in emotion research suggested that there is a set of basic
emotions which are innate. Ekman (1992) argued for six or seven, while
others (e.g. Izard, 1992) suggested there may be as many as 10. More
recently, Power and Dalgleish (2008, in Eysenck and Keane, 2010)
claimed just five basic emotions common across all cultures (sadness,
anger, fear, disgust and happiness). Robert Plutchik (1994) said there are
eight primary emotions which vary in intensity. By combining these
primary emotions, mixed emotions may be identified. For example, your
girlfriend flirts with another man at a party. You love her but you are
angry about her behaviour and you fear your relationship may be over.
More recent research suggests that each of these emotions is mediated by
separate neural structures and patterns of autonomic responses
(Colibazzi et al., 2010)
Figure 10.3 Examples of human emotions

e fact that there are wide differences between what the theorists say
shows that there is no close agreement on the existence of basic
emotions. One problem with emotion research is that it often depends on
studying facial expressions; however, the same facial expression can
accompany different emotions (Colibazzi et al., 2010). For example, a
smile may indicate happiness, but it can also signal anger or discomfort.
An alternative view is provided by the dimensional theory of emotion
(Colibazzi et al., 2010). is theory sees all emotions as reflecting two
basic dimensions:
• Valence (how the emotion feels, positive or negative)
• Arousal (how aroused or relaxed a person feels).

On the basis of these dimensions, a circumplex model can be developed

with a pleasant–unpleasant continuum as the horizontal axis and an
activation–deactivation continuum as the vertical axis (see Figure 10.4).
In an experimental study with 10 participants, Colibazzi et al. (2010)
showed that there seem to be distinct neural networks supporting the
valence and arousal aspects of emotions. Some of the neural systems that
have been identified include the following:
• Rage system (causing the mammal to become angry if it cannot get
access to resources)
• Fear system (causing the mammal to become scared when its bodily
well-being is threatened)
• Lust system (causing the mammal to have sexual desires, which are
somewhat different in males and females)
• Panic system (causing the mammal to feel distressed when it loses
contact with loved ones)
• Play system (causing the mammal to engage in joyful rough-and-
tumble behaviour)
• Care system (causing the mammal to lovingly attend to its offspring)
(see Box 10.4).
Figure 10.4 A pleasant–unpleasant / activation–deactivation continuum

As suggested earlier, each basic emotional state is manifested through

typical action patterns (behaviours), brain characteristics and
psychological dimensions. ey can also all be provoked by electrically
stimulating specific circuits in subcortical regions of the animal brain,
which highlights their intrinsic nature.
Modern research, based on evolutionary principles, recognises that
the basic emotional states of animals and humans are very similar, but
humans can regulate the motivational dictates of these systems with their
higher mental processes, while most other animals cannot.
 Take anger for example. It is commonly aroused by frustration and the
inability to behave freely. If adults do not get what they want, they get
angry, but they can adjust their anger in ways that children and animals
cannot. In this way, higher cortico-cognitive systems can inhibit, regulate
and guide subcortical emotional systems.

The cognitive aspect of emotion

Eysenck and Keane (2010) note that cognitive psychology is still
somewhat dominated by the information-processing approach. e
underlying computer analogy makes it difficult to think about the links
between cognition and emotion, but cognitions (thoughts, memories,
beliefs) are a fundamental aspect of almost all emotion. ey are part of
how we understand and respond to emotions, and mental images can
themselves evoke emotions (an image in your mind of your home might
make you feel intensely homesick when away).
10.4 CARE CIRCUITS FOR PARENTAL BEHAVIOURS
Certain hormones are released several days before a woman is about to give birth, which prepare the
mother to exhibit maternal behaviour. Many women will actively clean the house, repacking cupboards
and tidying drawers. Similarly, mother rats begin to build nests and become substantially more eager to
interact with baby rats. This heightened maternal desire corresponds to three characteristic hormone
changes: oestrogen levels, which have remained modest throughout pregnancy, are rapidly increasing
progesterone levels, which have been high, are dropping drastically; and prolactin is rising to encourage
breast tissues to manufacture milk.
If we inject this hormone pattern into virgin female rats, they start displaying the same materna
urges. This is partly because the oxytocin systems of the brain are strengthened. (Conversely, if the
brain’s oxytocin systems are blocked at the onset of the first birth, maternal behaviour, at least in rats, is
weak and inconsistent.) If all the conditions are right, oxytocin administered right into the brain is quite
effective in evoking maternal behaviour in virgin females, but it is certainly not the only necessary
ingredient. For instance, administration of prolactin (a hormone which instigates the manufacture of
milk within breast tissue, as mentioned above) into the brain also facilitates maternal tendencies. This is
because certain brain circuits exist in these brain regions that use prolactin to instigate specific kinds of
emotions.
It must be emphasised that well-established maternal behaviour no longer requires oxytocin, even in
rats. Once the mother rat has had several days of maternal experience, blocking this neurochemica
system no longer impairs the desire to act maternally. This shows that learning has taken place from the
activity of an intrinsic brain-operating system, and becomes partly independent of the system that
initially started the process. Of course, humans are smart enough to initiate caregiving behaviours
completely cognitively and instrumentally, but it is unlikely those behaviours will be accompanied by
emotional gratifications of the kind that the ancient caregiving systems of the brain help to create.
Lazarus (1991) suggests that, when we experience a stimulus, the first thing we do is appraise
whether it is relevant to us and whether it is good, bad or threatening. How we appraise the stimulus
affects how we respond to it. For example, if someone in the supermarket pushes his trolley into your
heel, you might appraise the action as intentional and feel anger. On the other hand, if you appraise it as
a genuine error, you may be forgiving, even if your heel is very sore. Cognitive appraisals are thus the
interpretations we use to attach meaning to sensory stimuli (Holt et al., 2012). Scherer (in Holt et al.
2012) suggests that appraisal enables us to respond appropriately to a stimulus.
Cognitive appraisals sometimes happen so rapidly, they almost seem automatic. Indeed, they are
often based on unconscious aspects of our experience and can form the basis for prejudice and
discrimination. Faulty appraisals can also be the basis for anxiety and depression. Eysenck and Keane
(2010) note that these disorders often co-occur, making it difficult to separate the emotional and
cognitive aspects involved in each. However, research has shown that depression is usually associated
with past losses, while anxiety relates to future events (Eysenck and Keane, 2010). It is important to study
these connections between cognition and emotion because depression, in particular, is associated with
certain cognitive biases (see Chapter 24 for more on this).
 SUMMARY

• Motivations and emotions are closely related.

• We cannot choose our emotions, but we can choose how we respond to them.
• Emotions can help us in many ways, but they can also hinder us.
• Emotions are typically considered to have three aspects: physiological arousal, facial
expression/body posture and subjective feeling states.
• Emotions usually follow some kind of evaluation or appraisal of events; they are different from
moods, which are longer lived, less intense feeling states.
• Many theorists in emotion research have suggested that there is a set of basic emotions (between
five and 10) which are innate; it seems that each of these emotions is mediated by separate neural
structures.
• Emotion research is often based on facial expressions, but this can be problematic.
• An alternative view is provided by the dimensional theory of emotion which sees all emotions as
reflecting two basic dimensions: valence and arousal.
• Each basic emotional state is manifested through typical action patterns (behaviours), brain
characteristics and psychological dimensions.
• Animals and humans have similar basic emotional states; however, humans have the capacity to
regulate the motivational dictates of their emotions.
• In an information-processing approach, the links between cognition and emotion may not be
obvious; however, they are closely intertwined.
• Stimuli are appraised for quality and threat; this affects how we respond. These cognitive appraisals
enable us to respond appropriately to stimuli.
• Cognitive appraisals can happen rapidly; because of this, they can sometimes be faulty.
• Faulty appraisals can also be the basis for anxiety and depression.

Theories of emotion
We have already considered a dimensional theory of emotion. However,
there has been a long history of theory development in the study of
emotion. Current theories have been strongly influenced by some of the
classic theories, all of which have some elements of truth in them. ey
are discussed further below.

James-Lange theory
In the later part of the 19th century, William James disputed the common
sense view of emotion. Common sense suggests that when someone
insults us, we feel angry and react. But James suggested that we would
feel angry because of the physiological reaction we had to the insult. In
the same period, Carl Lange put forward a similar theory and the two
have thus given their names to the James-Lange theory of emotion.
According to this theory, the physiological experiences we have in
response to a stimulus cause us to feel a feeling. us, when we are
insulted, our hands start shaking, our hearts beat faster and our
awareness of these sensations makes up the feeling of anger. It was
difficult to gather empirical evidence for this theory at the time due to
technological limitations; however, the recent evidence for this theory is
mixed (Holt et al., 2012). It does still have some impact in more recent
theories such as the somatic theory of emotion (Papanicolaou, 1989, in
Holt et al., 2012).

Cannon-Bard theory
Some 30 years after the James-Lange theory, Walter Cannon said that the
physiological response to a stimulus is not instant; it may take several
seconds for this to be felt. But emotions are usually felt immediately.
Cannon and other researchers conducted a number of studies to
investigate this relationship between the physiological systems and the
perception of emotions. Some of the evidence Cannon gathered showed
that there are similar visceral changes, regardless of the intensity of the
emotion (Cannon, 1987). Conversely, when a person is given an
adrenalin injection, they do not experience more intense emotions. Also,
visceral changes are non-specific and insensitive (Cannon, 1987). us
Cannon (and his colleague, L. L. Bard) argued that the physiological
response does not cause the subjective experience of emotion; rather,
they happen simultaneously. When an arousing stimulus is experienced,
the message is sent to the thalamus which simultaneously sends it on to
the internal organs and to the cerebral cortex. is results in
simultaneous autonomic arousal, subjective feeling and action
(behaviour). e weight of Cannon’s research supports this as a stronger
theory of emotion than that of James and Lange.
Schachter-Singer’s cognitive theory
We have already mentioned the cognitive aspects of emotions. Where
Stanley Schachter and Jerome Singer’s two-factor theory differs from the
previous theories is in the role that they saw for cognitions, although the
physiological aspects of James-Lange are still included (Schachter &
Singer, 1962). us, for the Schachter-Singer approach, ‘the intensity of
the arousal tells us how strongly we are feeling something’ (Holt et al.,
2012, p. 437). However, Schachter and Singer also said that it is not the
arousal (alone) that causes the emotion; rather, we label the arousal we
are experiencing and then we feel the subjective emotion and act on the
basis of that label. As in our example in the supermarket, the pain of the
trolley hitting your heel leads to a state of arousal. If you attribute this
arousal to a hostile attack by a fellow shopper, you are likely to feel anger
and hostility in return. However, it is possible that this is a misattribution.
ere have been some classic studies on the misattribution of arousal
which demonstrate support for the Schachter-Singer theory (see Box
10.5).
e two-factor theory has been criticised for relying too heavily on a
general excitation of the physiological systems (rather than specific
excitation for distinct emotions). It also focuses on the autonomic
nervous system and does not consider the role of the central nervous
system. Some of this critique has led to further theories of emotion such
as the facial feedback hypothesis (see Box 10.6).

10.5 MISATTRIBUTION OF AROUSAL

Dutton and Aron (1974) conducted a fascinating study to investigate how people made attributions
about their arousal. They used an attractive female interviewer to ask males to complete a questionnaire
including a projective personality test (see Chapter 6). The men were interviewed either on a low stable
bridge or on a high suspension bridge. It was found that those men who were interviewed on the high,
swaying bridge had more sexual content in their responses. Dutton and Aron (1974) said this was
because the men were experiencing autonomic arousal due to the precarious bridge they were on, but
they attributed this to sexual attraction to the interviewer. When the men were interviewed by a male,
there was no difference in sexual content of responses between the two groups of men.

Theories of emotion – summary

 y
It seems like all of the theories that we’ve discussed have some elements
of truth in them. It is correct, as James and Lange argued, that
physiological arousal adds to our experience of emotion. Cannon and
Bard were also correct that the physiological response and the subjective
experience of the emotion happen at the same time. Likewise, the
cognitive theorists (Schachter and Lazarus) are correct that how we
appraise an emotion has a strong impact on how we experience it (and
on what emotion we experience). ese theories continue to feature in
research on a wide range of topics including virtual environments (see
Magnenat-almann, Kim, Egges & Garchery, 2005), social engineering
on social networking sites (see Algarni, Xu, Chan, Tian, 2013) and robot
engineering (see VirČíková & SinČák, 2012).

10.6 FACIAL FEEDBACK HYPOTHESIS

The James-Lange theory of emotion argues that we feel emotion as a result of feedback from our
physiological experience. The facial feedback hypothesis suggests that the facial muscles are also
important in this feedback and that they affect the nature and intensity of what we feel (Holt et al.,
2012). The theory has a ‘strong’ and a ‘weak’ form. In the strong form, it is thought that the facia
expression actually causes the emotion, whereas in the weak form, it is suggested that the expression
intensifies the emotional reaction (Soussignan, 2004).
Some interesting research has been done on this hypothesis. In one study (Strack et al., 1988, in
Soussignan, 2004), participants were told that the study was investigating disability. They were asked to
hold a pencil in their teeth or between their lips. In the former situation, the facial muscles are arranged
as if the person was smiling, whereas in the latter, the smile muscles are inhibited (Soussignan, 2004)
Participants had to rate cartoons while holding the pencils in their mouths and those holding the penci
in their teeth rated the cartoons as funnier than the second group. This provides support for the
hypothesis, suggesting that, even if you are feeling unhappy, if you arrange your face in a smile, you may
actually begin to feel happier!
 SUMMARY

• Common sense suggests that when someone insults you, you feel angry and react; James
disagreed with this. He suggested that you feel angry because of the physiological reaction you had
to the insult; Lange proposed a similar theory. Recent evidence for the James-Lange theory is
mixed, but its descendants are still in current use.
• Cannon noted that the physiological response to a stimulus is not instant, but emotions are usually
felt immediately.
• Based on their research, Cannon and Bard argued that the physiological response does not cause
the subjective experience of emotion; rather, they happen simultaneously.
• Cannon’s research shows that this is a stronger theory of emotion than the James-Lange theory.
• Schachter and Singer argued for a more important role of cognition in emotion, although the
physiological aspects of James-Lange are still included.
• Schachter and Singer also said that it is not the arousal (alone) that causes the emotion; rather, we
label the arousal we are experiencing and then we feel the subjective emotion and act on the basis
of that label.
• We may mislabel the arousal, leading to a misattribution of the arousal.
• This theory has good research support although it has also been criticised for relying too heavily on
general physiological arousal and a focus on the autonomic nervous system.
• All of the theories have some elements of truth in them and continue to feature in ongoing
research on a wide range of topics.

Conclusion
is chapter has considered the highly complex processes around motivation. Motivation is
concerned with the way behaviour is started, sustained, directed and ended. We looked at
different types of motivation and noted that some motives are essential for survival, while others
seem to reflect parts of us that seem essentially human. We also looked at how motivations may
be in conflict with one another. Humans seek to maximise pleasure and avoid pain; these
opposing reactions are based on separate neural systems.
It would make no sense to discuss motivation without noting how motives are always
accompanied by emotions. e theory building discussed in this chapter provides a rich example
of how theory has developed in the history of Western psychological thought. e various theories
have dealt with the three basic components of emotions (physiological arousal, changes in body
posture or facial expression, and subjective feeling states) in different ways and any contemporary
theory of emotion needs to integrate these earlier theories to reach a comprehensive
understanding of human emotion.

KEY CONCEPTS
 behavioural activation system (BAS): a system that promotes action
towards potential rewards or satisfaction of needs
behavioural inhibition system (BIS): a system that inhibits action
when faced with stimuli that indicate pain or punishment
biological motives: motives based on biological needs that are
necessary for survival
emotion: according to Smith and Kosslyn (2009, p. 328), an emotion
is ‘mental and physical processes that include aspects of subjective
experience, evaluation and appraisal, motivation, and bodily
responses such as arousal and facial expression’
evolutionary psychology: a school of thought that studies the
evolutionary foundations of human behaviour, claiming that many of
our ways of responding, thinking and feeling are a result of the way
our brains were designed during the long course of evolution
extrinsic motivation: motivations that are external to the organism
and that have separate outcomes
homeostasis: maintaining the body’s equilibrium in a steady state
hypothalamus: a small structure at the base of the brain that plays a
central role in regulating motivation and emotion
intrinsic motivation: motivations that come from within and are
based on personal enjoyment or satisfaction
learned motives: motives based on learned needs or goals; often
social in nature
motivation: that which initiates or directs behaviour
reciprocal altruism: a term from evolutionary psychology; a person
acts in a way that helps another, but incurs a cost for them in
anticipation that the other will act in the same way at a future time
stimulus motives: motives which reflect a person’s need for
stimulation and information

EXERCISES

Multiple choice questions

1. Various bodily systems need to maintain an internal balance known
as:
a) hypothalamus
b) homeostasis
c) incentive
d) valence.

2. You have a psychology test tomorrow and you also need to clean your
room. What kind of conflict are you experiencing?
a) approach–avoidance
b) avoidance–avoidance
c) avoidance–approach
d) approach–approach.

3. Your friend, abo, is a real ‘adrenalin junkie’. He loves to go skydiving

and bungee jumping and takes up whatever other exciting
opportunity presents itself. What kind of motivation makes abo
want to do these activities?
a) learned
b) affiliative
c) biological
d) stimulus.

4. e view that our everyday motivations remain linked to ancestral

mechanisms that we still share with many other animals of the world
is part of which school of thought?
a) cognitive psychology
b) vitalism
c) evolutionary psychology
d) psychoanalysis.

5. Which of the following is not one of the levels of need in Maslow’s

hierarchy of needs?
a) stimulus seeking
b) belonging and love
 c) self-esteem
d) self-actualisation.

6. In the prisoner’s dilemma, which option is the most ‘rational’ choice

for the individual prisoner?
a) both prisoners keep silent
b) both prisoners betray their partner
c) one prisoner betrays his partner, the other keeps silent
d) none of the above.

7. Which of the following is not one of the aspects of an emotion?

a) subjective feeling states
b) objective feeling states
c) physiological arousal
d) facial expression or body posture.

8. Which of the following is not one of the five basic emotions identified
by Power and Dalgleish (2008)?
a) anger
b) disgust
c) fear
d) surprise.

9. Which theory of emotion says we become aware of our physiological

arousal and then feel the feeling?
a) Cannon-Bard
b) Schachter-Singer
c) James-Lange
d) Eysenck-Keane.

10. Which theory of emotion says we become aware of our physiological

arousal and feel the feeling simultaneously?
a) Schachter-Singer
b) Cannon-Bard
c) James-Lange
 d) Izard-Plotchik.

Short-answer questions
1. Explain motivation.
2. Describe the brain mechanisms involved in hunger.
3. Describe the different types of motive.
4. Explain the different aspects of emotions. Illustrate your answer with
an example from your own experience.
5. Compare and contrast the following theories of emotion: James-
Lange; Cannon-Bard and Schachter-Singer.
 CHAPTER
Thinking 11
Andrew Gilbert

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• demonstrate an understanding of representation and describe the different building blocks of
thinking
• identify and describe three different approaches to thinking and outline their different
underlying assumptions
• discuss what cognitive psychology has contributed to our understanding of problem solving,
reasoning and everyday cognition
• demonstrate an understanding of the tension that exists between seeing thinking as an internal
mental process, as opposed to seeing it as a social process embedded in activities.

CASE STUDY

Melinda was always thinking about something, but it wasn’t always what she should be thinking
about. As she tried to pay attention to her lecturer that morning, she was actually wondering
whether her boyfriend was really committed to their relationship. He had been cold and critical
recently. She had initially imagined that it was just exam stress, but then the exams had finished
and his behaviour had not changed. With a guilty start, Melinda turned her attention back to what
her lecturer was talking about, which was thinking. As she listened, she became absorbed in his
discussion of the way that what we think about has to be represented in our minds. Melinda was
not surprised to hear that there have been a number of different theories about thinking because
she had already discovered that psychology has lots of theories! But she was very happy to learn a
bit more about her everyday thinking.

Introduction
inking is not one but many kinds of activities. For example, the terms
‘paying attention’, ‘wondering’, ‘imagining’, ‘visualising’, ‘being aware’,
‘deciding’ and ‘concentrating’ all refer to some form of thinking.
 Given its many forms, defining thinking is problematic. e above
words, however, do have some things in common. ey are all verbs and
suggest an activity or process. ey all suggest that this process occurs at
an internal, mental level. ey suggest that the outcome of the process
leads to insight, understanding or the manipulation of ideas or
knowledge. In general terms, then, thinking is the mental processes or
capacities that enable people to solve problems, to reason, to make sense
of things or to use their knowledge to understand situations, events, other
people or even themselves.
As we go further we will see that the idea that thinking is only about
mental processes is challenged by some psychologists, but this is an
adequate working definition from which to start. As this chapter explores
how psychologists have come to understand thinking, three themes are
followed:
1. e problem of representation is examined. (If thinking happens at
an internal level, then it is important to understand how objects and
ideas are represented mentally.)
2. e constructivist, the information-processing and the socio-
historical approaches to the study of thinking are discussed. (Each of
these approaches opens very different windows onto thinking.)
3. ree different types of thinking are described: reasoning, problem
solving and everyday thinking. (ese types of thinking are discussed
alongside the approaches to the study of thinking.)

Representation and thinking

Look at Figure 11.1. What do you see? A square and two different
triangles? Would it surprise you if you were told that in a study conducted
by Gilbert (1987) in rural KwaZulu-Natal, a number of respondents saw
the square as a wall of a house, the equilateral triangle as a roof or poles
for a house and the right-angled triangle as a saw needed to cut the
poles? Figure 11.1 is nothing more than lines and shading on white paper,
but mentally these come to represent different things for different people.
When something stands in for or refers to the thing we are thinking
about, this is called representation. How do humans represent things?

Figure 11.1 What are these?

Categories
One powerful way of representing the world is to place things that have
similar characteristics or properties into categories. Shape, colour and
form, for example, are three ways in which we classify objects.
e symbols in Figure 11.2 have the properties of shape, size and
shading. How many different combinations of these images can you
create using just three categories? If we were to group these symbols in
terms of the category ‘shape’, we would have three triangles, three circles
and three squares. Do the same with the categories ‘shading’ and ‘size’.
Afterwards you will find that in each case you grouped the symbols
together in terms of their similar, pre-selected properties.

Concepts
People use the term ‘concept’ to refer to a mental category that classifies
objects, events, processes or abstract ideas. Democracy, for example, is a
concept used to describe a particular abstract quality of social and
political life. For a number of reasons, concepts are important building
blocks for thinking:
• ey lead us into sets of linked knowledge. Using the concept of
democracy to describe South Africa, for example, evokes the ideas of
 free speech, the rule of law and the right to free association.
• Concepts promote cognitive economy (Quinlan & Dyson, 2008;
Rosch, 1978). Concepts on their own can be used for thinking instead
of having to use all the separate ideas to which they are linked. Having
a sense of all that the concept democracy means enables us to use the
term ‘democracy’ as the basis for the further development of ideas.
• Categories combine with other categories to form hierarchies, which
then provide complex pictures of phenomena (see Figure 11.3).

Figure 11.2 Consider how complex categorisation can become, even with three simple categories

Botany is an excellent example of this. Linnaeus (1707– 1778) started

classifying plants in terms of the structure of flowers and seeds. On this
simple criterion, all known plants have now been incorporated into a
hierarchical taxonomy. For example, a species of lily – the arum lily
(Zantedeschia aethiopica) – is classified under the genus Zantedeschia
within the family Araceae, within the division Alismatales, and the
kingdom Plantae, which refers to all plants in the living world.
is taxonomy is now a powerful resource. A South African botanist,
for instance, can visit the jungles of Panama and discover a new plant
which, given its flower structure, may be categorised as being closely
related to a rose. Once this is done, without any further information, a
whole set of generalisations about the new species can be made,
including: ‘Beware of the thorns!’

Figure 11.3 Classification taxonomy

However, while categorisation is important in making assumptions about

people, events and places, rigid and unfounded categorisations can be
the source of racism, sexism and other forms of unfair discrimination.
Figure 11.4 Arum lilies

Prototypes
Concepts are not formed from a set of similar features, but from a
representative example of the concept, whether it be an object, event,
process or abstract idea. is representative example is called a
prototype and exhibits the typical features of a particular category.
Prototypes serve as reference points by which we categorise things. For
example, you may find it difficult to define what a fruit is, but you would
find it easy to think of an example of a fruit (and this would be a
prototype).

Imagery
In what ways are an elephant and a giraffe similar and different?
Considering this, are you visualising these animals? Visual imagery (i.e.
seeing the images of objects represented in your mind’s eye) is an
important form of representation.
 ere has been considerable debate about whether mental
representation is an actual picture of the image or the scene (Pylyshyn,
2002, in Quinlan & Dyson, 2008) or is more symbolic, like the well-known
symbols for female and male ( ). e symbols (like the letters of the
alphabet, as another example) are arbitrary, but people have agreed
about what they represent. Interestingly, while there is strong evidence to
support the symbols theory, there are nevertheless supporters of both
ideas among cognitive theorists today (Quinlan & Dyson, 2008).
One common and fairly durable form of imagery is a cognitive map.
is is an internal representation of the spatial arrangements of an
environment (Quinlan & Dyson, 2008). If someone asks you for
directions to a lecture venue on campus, you are likely to hold some
image of the route in your head while giving directions. You would be
using your cognitive map of the campus. Box 11.1 identifies some
systematic distortions that appear to lie behind cognitive maps.

Schemas, scripts and models

Schemas
Schemas refer to the over-arching ‘packets’ of knowledge that are central
in our thinking and that are stored in our semantic memory (Eysenck &
Keane, 2010). For example, our schemas lead us to expect that a
classroom will have desks and chairs for students and the teacher, and
some form of chalkboard. Scripts and models refer to the more practical
aspects of schemas as they deal with knowledge about specific contexts
(Eysenck & Keane, 2010; Shore, 1996).
ink about the following example: Nomabaso entered the computer
room at the university and sat down in front of a computer. She
rummaged in her bag for her student card. ‘Oh no,’ she said, ‘I left my
student card in the library.’ Can you understand why Nomabaso was
looking for her student card? If you are familiar with working on a
university computer and having to input your student number when you
log on, then the above description will make complete sense to you.
Nomabaso needs her student card because she has forgotten her student
number and without it cannot use the computer. You have made sense of
the scenario by using a script of working on a university computer.

11.1 COGNITIVE MAP DISTORTIONS

Using your own internal cognitive map of South Africa, do the following tasks:
In your head, draw a line directly south from Johannesburg until it crosses the coastline. Which coastal
city is nearest to this line and about how far away is it?
In your head, draw a line between Cape Town and Port Elizabeth. Draw another line between Port
Elizabeth and Durban. How much of an angle is there between these lines when they meet at Port
Elizabeth?
Get a map out and check your own cognitive map. Does it surprise you that neither Cape Town, Port
Elizabeth nor Durban are close to being south of Johannesburg? East London is directly south of
Johannesburg. Does it also surprise you that Port Elizabeth is almost as far south as Cape Town, so that a
line drawn between the two is a horizontal one, whilst Durban is northeast of Port Elizabeth?
Tversky (2005) argues that while cognitive maps are reasonably accurate, they reflect systematic
errors. We use heuristics, or rules of thumb, to estimate things, and these are biased to make things
more orderly.
The rotation heuristic bias occurs when figures that are slightly tilted (such as the map of the
coastline between Cape Town and Durban) are ‘seen’ as more vertical or more horizontal than they
really are. If you thought Cape Town, Port Elizabeth and Durban were on a straight line running
northeast, this would be evidence of a rotation bias to the vertical.
A second bias is the alignment heuristic bias. In this bias there is a tendency to line up two objects
in a straight line close to the lines of latitude or longitude. Pulling Cape Town or Durban closer to a
southern line from Johannesburg than they actually are would be an example.

Scripts
A script is an information set that provides guiding principles about what
we would normally expect in a specific situation (Eysenck & Keane,
2010). A script is one kind of schema or network of knowledge about
procedures, sequences of events or processes. For example, when we go
to a restaurant, we expect to be welcomed and shown to a table, and then
given a menu.

Models
Models can be divided into two types:
 • Task models provide a schedule for getting practical things done
(Shore, 1996). For example, when cooking a meal, we peel and start
cooking the potatoes before grilling the meat.
• Diagnostic models enable us to extract information from important
phenomena. For example, meteorologists have models of cloud
formations, which enable them to predict whether or not it is likely to
rain.

Both scripts and models enable us to make assumptions about what will
happen in particular situations. ey can create problems, however,
when they are used in the wrong context or are applied rigidly when a
situation rapidly changes. For example, Nomabaso would have difficulty
trying to log on to a computer at an internet café using her student card
because this is a different setting and the university rules do not apply
here.

SUMMARY

• Thinking is involved in many mental activities. It can be defined as the mental processes or
capacities that enable people to solve problems, to reason, to make sense of things or to use their
knowledge to understand situations, events and people.
• Thinking is only possible because humans can make mental representations of things. These
representations can be placed in categories which have similar characteristics or properties.
• A concept is a mental category that classifies objects, events, processes or abstract ideas. Concepts
are important building blocks for thinking. Concepts and categories can be arranged hierarchically.
• A prototype is a representative example of a concept.
• Visual imagery (e.g. a cognitive map) provides an important form of representation.
• Schemas are over-arching bodies of knowledge used in thinking. Scripts are sets of information
that provide guiding principles about what we would normally expect in a specific situation; scripts
and models refer to the more practical aspects of schemas used in particular contexts. Both scripts
and models enable us to make assumptions about what will happen in particular situations.

The constructivist approach to

thinking
Piaget’s perspective on the development of
thinking in childhood and adolescence
Jean Piaget (1896–1980), a Swiss scientist, is the central theorist in the
constructivist approach to thinking. He started his scientific life as a
zoologist, and was interested in how organisms transform in response to
the demands of the environment. He used this idea of adaptation to
explain how logical abstract thinking develops in humans.
Figure 11.5 Jean Piaget, one of the greatest thinkers of the 20th century

His metaphor for thinking is that it is internalised action. He argued that

we are not born with the structure of our thought already in place;
thinking is not innate (or inherited). We construct our ability to think as
we interact with the world. For this reason, his approach is known as
constructivism.
Piaget’s theory of developmental change concerned adaptation,
which involves two related processes that change our thinking in
opposite directions: assimilation and accommodation. Assimilation is
‘the integration of external elements into evolving or completed
structures’ (Piaget, 1970, p. 7). Coming across a new object and
incorporating it into an existing category would be assimilation, for
example discovering a new flower in Panama and classifying it in the
genus Rosa. Sometimes, however, action requires the ‘modification of a
structure by the elements it assimilates’ (Piaget, 1970, p. 8). is is
accommodation. In this process, new information transforms cognitive
structures. Discovering a new flower that does not fit into any existing
genus and requires a revision of plant taxonomy would be an example of
accommodation.
rough these dual processes, Piaget argued, thinking is constantly
transformed. At first, thinking involves thinking by doing, i.e. putting
together simple patterns of action while manipulating objects (the
sensorimotor stage). Out of this comes mental schemas – mental
operations that are sequences of actions that have come to be
represented mentally. Once such schemas are in place, the quality of
thinking changes. Now a problem can be solved by thinking about the
action rather than having to physically take the action. is is the
concrete operational stage. Adding 104 and 250 in your head by
imagining yourself doing it on paper, is an example of the concrete
internalisation of action. Do the task outlined in Box 11.2 before going
further.
Piaget goes one step further in arguing how thought is internalised
action. Interacting with more complex phenomena (e.g. volume rather
than area) requires the construction of new forms of thinking. Instead of
thinking about action, thinking now involves manipulating the mental
schemas that are in place. is requires thinking in terms of abstract,
logical principles, making deductions and formulating hypotheses. Such
thought is formal operational thinking – thinking based on abstract
schemas and now free from the immediate physical context. (For more
on Piaget’s ideas, refer back to the chapters in Part 2, where Piaget’s stage
theory of development is discussed in more detail.)

Figure 11.6 Piaget’s theory of adaptation

 11.2 PIAGETIAN THINKING
Cut a piece of string so that you have a piece that is 60 cm long. Tie the two ends together. Place the
loop on a table. Using the thumb and forefinger of both hands, make a square. Now reduce the space
between your thumb and forefingers while moving your hands apart so that the square becomes a
rectangle (see Figure 11.7). Do you think that, for the two shapes you created, the surface area enclosed
by the string is approximately the same? Will the area always be roughly the same no matter what
rectangle you create? Explain your answer.

Figure 11.7 Move your fingers to form a square and a rectangle with the string

If you said, ‘Yes, the area is approximately the same because the length of string is always the same’, or
‘because the area within the rectangles looks similar’, then you are making an error.
Let us work this out logically. A square made by string 60 cm long would have sides 15 cm by 15 cm
(assuming that tying the knot does not shorten the string). The area of this square is 15 cm × 15 cm =
225 cm2. If you close up your fingers a little to make a rectangle 18 cm by 12 cm, then the area will be 18
cm × 12 cm = 216 cm2. This is still roughly the same area. If, however, you make a rectangle with sides
25 cm by 5 cm then the area is 25 cm × 5 cm = 125 cm2.
This task captures the Piagetian idea that as tasks become more complex, thinking has to become
more distant from actual manipulations (as it is in the concrete operation stage – see Chapter 3) and
must instead become more logical (as it is in the formal operational stage – see Chapter 4).

A number of methodological critiques have been aimed at Piaget’s

theory (Hopkins, 2011). For example, he rarely described in detail how he
selected his samples, nor indicated the size of the sample. In one
instance, his sample was just three – his own children (Hopkins, 2011). In
addition, apart from the ages of his participants, he did not conduct any
statistical analysis. Despite this, Piaget’s method of in-depth interviews
with children about their thinking ‘has yielded enormously influential
results’ (Hopkins, 2011).
Schaie’s perspective on the development of
thinking in adulthood
e Piagetian approach was criticised for not considering how thinking
develops beyond adolescence. In response, Schaie (1994) extended
Piaget’s theory by maintaining that adult thinking develops in different
progressive stages:
• Achieving stage. During young adulthood, individuals use their
intellectual competencies in the areas of problem solving and
decision making. For example, they choose a partner and/or decide
on a career.
• Responsibility stage. Individuals are now required to be
independent thinkers. ey must use their own solutions, not only for
personal and career decisions but also for problem solving and
decision making that involves, for example their families and the
broader community.
• Executive stage. Individuals in middle adulthood learn to apply their
problem-solving and decision-making skills to management
situations, such as in their families, careers and the broader
community.
• Reintegration stage. Individuals in late adulthood now use their
accumulated intellectual skills to assess life and to give meaning to
their past.

Challenges to the constructivist perspective

e constructivist approach is concerned with establishing universal
principles that lie behind thinking. It assumes that all humans of normal
intellect are faced, at a general level, with the same forms of adaptation
and will therefore move in the direction of more and more abstract
thought. As the following sections reveal, not all psychologists share this
view.
 Furthermore, while Piaget perceived logical reasoning to be the pinnacle
of human thinking, D’Andrade’s (1995) experiment revealed that the
picture may be more complex than this (see Box 11.3). When required to
think abstractly we often fail to do so, but given a culturally appropriate
context for such thinking, our ability to think in logical ways is revealed.

SUMMARY

• Piaget is the central theorist in the constructivist approach to thinking. He saw thinking as
internalised action.
• Piaget said developmental change includes assimilation (integration of new elements into existing
structures) and accommodation (in which a mental structure is modified by the elements it
incorporates).
• As children grow, they develop from thinking by doing (physically manipulating objects) to
thinking about manipulating objects, to more abstract thinking which allows the person to make
deductions and formulate hypotheses.
• Schaie criticised the Piagetian approach for not considering how thinking develops beyond
adolescence. Schaie argued that adult thinking develops in different progressive stages: the
achieving stage, the stage of responsibility, the executive stage and the reintegration stage.
• The constructivist approach attempted to establish universal principles that lie behind thinking.
However, other theorists disagreed with this. It seems people do not always reason logically,
although we are better at it in culturally appropriate contexts.
11.3 REASONING
Piaget’s focus on abstract, logical thinking came out of his interest in the nature of scientific thinking
Reasoning, which is systematically drawing conclusions from statements or facts, is a characteristic of
thinking in science. The study of this form of thinking has a history that goes back to the early Greek
philosophers who developed the formal rules of logic. Modern philosophers and psychologists continue
to see reasoning as thinking that works according to the principles of logic. Two kinds of reasoning have
received considerable attention: deduction and induction.

Deductive reasoning
Deduction involves working from general statements to draw particular conclusions that are true in
relation to these statements. A syllogism is a particular form of deductive reasoning that has two
premises (propositions) that are followed by a conclusion. The following sequence of reasoning would
be deductive:
Proposition 1: All humans die before they are thirty.
Proposition 2: I am a human.
Conclusion: I will die before I am thirty.

Logically, this conclusion is true, even though Proposition 1, from which it is derived, is obviously false. In
deductive reasoning, the conclusion is certain to be true as long as the two propositions are true and as
long as the conclusion is logically built on these propositions.
Tasks A and B are examples of a deductive reasoning task. They are adapted from a study conducted
by D’Andrade (1995) and also appear in Gilbert (1997):
Task A: Imagine you work at a label factory. Labels have either an X or a Y printed on the front and a 1 or
2 printed on the back. Unfortunately the printer has malfunctioned and some of the labels have been
incorrectly printed. You have the job of checking to ensure that if a label had a Y on the front then a 1 is
printed on the back. You have the following labels in front of you. Which labels would you turn over to
be sure that every label with a Y on the front has a 1 on the back?

Task B: Imagine you are employed by your local supermarket. You have to check receipts made out by
sales staff. If any sale involves an amount of R100 or more, it has to be approved by the sales manager.
The amount of the sale should be written on the front of the receipt and the manager’s approval on the
back. You have the following receipts in front of you. Which would you turn over to be sure that the
sales clerk has followed the rule?
In Task A, which of the labels did you decide you needed to turn over? Logically, the answer is labels i
and iv. (You need to turn over label iv to see if it has a 1 on the other side. You need to turn over label i
to check that it does not have a Y on the other side. You do not need to turn over labels i and iii because
label i has an X on it and therefore will not have a Y on it at all, and label iii has a 1 on it, therefore it
would be satisfactory both if it had a Y on it or an X on it.)
D’Andrade (1995), from whose study this task is taken, found that about 80 per cent of the graduates
in his study got it wrong, so do not worry if you did as well!
What answer did you give to Task B? If you said iii and iv you would be correct. In contrast to Task A
D’Andrade (1995) found that more than 70 per cent of his students got the answer correct on this task.
Tasks A and B are identical in terms of logic, so why is there this discrepancy in responses? D’Andrade
argues that while people can reason deductively, whether or not they use this form of thinking
accurately will depend on the cultural schemas that they have available to them. The difference
between the two tasks is that the second is a more familiar one and makes more sense because cultura
schemas for this kind of task are present.

Inductive reasoning
Induction is reasoning that draws conclusions from particular cases. It is the process whereby people
project information from a known case or cases to an unknown case or cases (Heit, 2000). For example
every day you observe that the sun rises from the sea. Inductively you might, therefore, conclude that
the sun will always rise from the sea. Similarly, your home is broken into one night; even though you
previously felt safe, you now think that your house will be broken into again the next night or some
night in the near future (example from Heit, 2000).
It is important to understand that conclusions from inductive reasoning are probabilities rather than
certainties as is the case in deductive reasoning. The level of probability or certainty depends on a
number of factors. For example, the similarity between the known case and the unknown case is
important. Think of the sunrise example above – despite differences due to weather and season, the sun
is the same and the sunrise is a similar event each day. On the other hand, when you think about the
probability of a break-in, you may see some similarity between the known case (your home on the night
of the break-in) and future cases (your home on future nights), you also need to consider all of the
nights when your home was not broken into and whether or not there have been other break-ins
nearby (Heit, 2000). Other factors that influence the probability are the number of observations made
and the diversity of the observations. This is very similar to the research process where the more
observations (and the more observations from different sources) are collected, the more reliable are
your results.
Inductive reasoning produces hypotheses, which are tentative conclusions, which can then be
scientifically tested. This is the process that is followed in much psychology research (see Chapter 2). As
in research, the process of induction may be open to biases like the confirmation bias discussed in
Chapter 2. Both inductive reasoning and deductive reasoning are central to science.
The information-processing approach
In the 1960s, developments in the fields of computer science and
information science began to revolutionise the world. Computers
became highly efficient and effective processors of information.
Unsurprisingly, psychologists then thought the computer might be a
useful metaphor for understanding how humans process information.
is produced the information-processing (IP) approach, which is the
major perspective in cognitive psychology (see Chapter 15). But before
you go further with this section try and solve the problem given in Box
11.4.

11.4 HOW FAR DID THE FLY FLY?

Try and solve this problem (which is an adapted form of a problem proposed by Bransford & Stein
1984).
Car A and Car B are travelling in a straight line towards each other at 50 km/h. When the cars are
100 km apart a fly takes off from Car A in the direction of Car B at the speed of 80 km/h. When it meets
Car B it turns around and flies back to Car A, and then turns and flies back to Car B. It continues doing
this between the two cars until they meet. How far does the fly travel? (Assume the cars and the fly
travel at a constant speed and never have to slow down.)

In the IP approach, the challenge is to produce process models that

describe the step-by-step ways that humans process information. Newell
and Simon’s (1972) view of problem solving provides an example of this
approach to thinking. ey see problem solving as searching through a
problem space, i.e. processing information to achieve a goal. is
problem space is defined by a starting state and an end state (the goal of
the task). Steps have to be taken (sub-goals achieved) to reach the end
state. How these steps are sequenced forms the strategy that is used to
solve the problem. erefore, in the IP approach, a state–action analysis
(a description of the states, steps and strategies taken within a problem
space) would be a description of the thinking that has taken place.
A state action–analysis of the problem ‘How far did the fly fly?’ is
demonstrated in Box 11.5.
Comparing the thinking of experts and novices
e comparison of the thinking of experts and novices has been a useful
source of information for the IP approach. Experts are people who
perform well on a particular task. Novices are new to the task. Research
has shown novices and experts across a wide range of domains of
knowledge represent problems differently. Experts spend more time
trying to understand the nature of the problem and often use their prior
knowledge in solving problems (Brand- Gruwel, Wopereis & Vermetten,
2005). Experts also monitor themselves more during problem-solving
tasks. In terms of mathematical problems, both experts and novices use
visual representations; however, experts use visual representations for a
wider variety of problems (Stylianou & Silver, 2009). In addition, experts
use their visual representations more dynamically, using them to develop
a better understanding of the problem. Brand-Gruwel et al. (2005) found
that there was little difference in the way novices and experts searched
the internet.
Figure 11.8 An expert–novice interaction?
 11.5 A STATE–ACTION ANALYSIS
Let us use the problem of ‘How far did the fly fly?’ from Box 11.4 as an example of how the IP approach
would construct a state– action analysis to understand your thinking.
You were required to calculate the distance the fly travels. This is the end state. The starting state is
the information given in the problem: the speed of the cars and the fly, and the distance the cars are
apart. The gap between these states creates the problem space. To solve the problem requires
transforming the starting information into a form that provides an answer to the question: How far does
the fly fly? There are a number of possible steps that can be taken. Here is one strategy:
Step 1: The starting state tells us the fly travelled at 80 km/h. So if we knew the amount of time the fly
flew we would know the distance it travelled.
Step 2: From the starting state, we know the fly and the cars travelled for the same length of time. So
if we know how long the cars travelled for, we will know how long the fly travelled for.
Step 3: From the starting state, we also know the speed of the cars. If we can calculate the distance
the cars travelled then we can work out how long they travelled for.
Step 4: We know that the cars travelled in a straight line towards each other at 50 km/h and that they
were 100 km apart. We can, therefore, calculate the distance the cars travelled. The cars must
have met after 50 km.
Step 5: With this information, return to step 3. The cars travel at 50 km/h for 50 km. Therefore they
travel for one hour.
Step 6: With this information, return to step 2. If the cars travel for one hour, the fly must have
travelled for one hour.
Step 7: With this information return to step 1. We know that the fly travelled at a speed of 80 km/h.
Therefore in an hour it must have travelled 80 km.

Problem solved! Does this description capture the way you thought?

Challenges for the information processing

approach
Many of the insights from the IP approach have come from studies of
problem solving. e reason for this is that it is possible to manipulate
systematically the elements of problems in experiments. ere are,
however, at least two kinds of problems: well-defined and ill-defined
problems. In a well-defined problem, the elements of the problem (the
original state, the end state and the rules) are clearly defined. (e fly
problem is a good example.) In an ill-defined problem, one or more of
these elements is/are unclear. In everyday life, many problems are ill-
defined because there are no clear solutions. Sometimes we do not even
know what the starting point is or what kinds of questions we should be
asking ourselves. is raises the question: ‘How applicable are the
findings of the IP approach for understanding the thinking behind the
everyday problems of human life?’
11.6 PROBLEM SOLVING
A number of important insights into problem solving have come from the IP approach.

Problem-solving strategies
When presented with a problem that needs to be solved, often the most difficult task is knowing where
to start. However, once a problem is clearly stated, finding a solution may be more easily accomplished
(Goldstein, 2005). People use a number of strategies in problem solving. These include algorithms,
heuristics, analogies, working backwards and means–end analysis. Algorithms have been found to assist
problem solving. An algorithm is a step-by-step process that will always provide the solution. The
formula for calculating the average of a set of scores by adding up all the scores, and dividing by the
number of scores in the set, is an algorithm. The seven steps for solving the fly problem in Box 11.5
constitute an algorithm. Applying known algorithms to problems helps to solve them.
When a problem space is large (i.e. when the number of possible solutions to a problem is large),
then applying an algorithm may be too time consuming. In such instances, people may decide to be
more selective in the possible solutions they consider; they may use heuristics. A heuristic is a short-cut
method, a rule of thumb that reduces the problem space. Unlike algorithms, heuristics do not guarantee
success, although they can be very useful.
Analogies are heuristic devices that involve seeing a similarity between a current problem and one
that has been encountered in the past. When using an analogy, a person must locate the previous
problem, compare the two problems, adapt the procedures used to solve the previous problem to the
current one, and develop a schema that can then be applied to a whole class of problems of which the
current one and the previous one are examples (Quinlan & Dyson, 2008).
Another useful heuristic device involves working backwards from the end state to the starting
state. An example taken from Cox (2001) explains this. Let us try to solve the problem of how magicians
pull a rabbit out of a hat. If you start with the idea of an empty hat, this will be a difficult problem to
solve. However, if you start at the end – from the rabbit being pulled out of the hat – the solution
becomes clear. First, the rabbit must have been put in the hat either before or during the performance
Second, as this is difficult to manage during the performance, you realise the rabbit must have been put
in the hat before the performance. Therefore, there must be a compartment where the rabbit has been
hidden. (Did you apply this strategy when solving the fly problem?)
Means–end analysis is a heuristic strategy that involves breaking down a problem into a series of
sub-problems. Each sub-problem is solved until a final solution to the original problem is arrived at
For example, suppose your psychology textbook is stolen. The solution to your problem could be to
follow these steps: visit the psychology course coordinator, make a list of all students who did the
course previously, contact them, arrange to buy one of their textbooks.

Barriers to problem solving

Problem solving would not be a problem if we were always able to choose the best strategy for the
problem at hand. Unfortunately, previously used problem-solving ideas may persist and inhibit the
development of new, more appropriate problem-solving ideas.
A mental set occurs when problem-solvers continue to use the same solution they have used with
previous problems, even though there may be more efficient ways of solving a particular problem
Similarly, functional fixedness occurs when problem-solvers focus on a particular characteristic of an
object, and fail to see alternative characteristics of the object that would assist in solving the problem at
hand.
 SUMMARY

• The 1960s saw revolutionary developments in the fields of computer and information science. The
information-processing approach emerged; this saw the computer as a useful metaphor for
understanding how humans process information.
• The IP approach worked to produce models to describe the step-by-step ways that humans solve
problems.
• Problem solving involves searching through a problem space, which is defined by a starting state
and the steps to be taken to reach the end state (the goal). A state–action analysis provides a
description of the states, steps and strategies taken within a problem space.
• The IP approach has gained useful information by comparing the thinking of experts and novices.
Experts use more abstract ideas and interpret what they see in terms of rules and principles.
Experts also spend more time trying to understand the nature of the problem before starting to
solve it and are more aware of errors.
• The IP approach has been helpful for understanding how people solve well-defined problems;
however, in everyday life many problems are ill-defined.

The socio-historical approach

One of the major criticisms of Piaget’s approach was that it did not take
into consideration the developing child’s social context (Holt et al., 2012).
In contrast to the constructivist and IP approaches, the socio-historical
approach suggests that thinking is a social process, which is linked to the
interaction between the individual and the setting in which the thinking
occurs (Davey, 2004). However, it does not deny the existence of internal
mental processes. is view is also known as the situated-cognition
approach. Lev Vygotsky (1896–1934), a Russian psychologist, is often
regarded as the founder of this approach. He argued that thinking has its
origins in the social world within which people live (Vygotsky, 1978). His
idea can be captured in the phrase ‘thinking is internalised culture’. In
describing the cognitive development of children, Vygotsky said that any
function appears twice: ‘first, on the social level, and later, on the
individual level; first between people (inter-psychologically) and then
inside the child (intra-psychologically). All the higher functions [of
thinking] originate as actual relations between human beings’ (Vygotsky,
1978, p. 57).
Two important ideas are contained in this statement. First, that
thinking has its origins in interaction with others. Second, that what is
learned in interaction with others is taken over by the individual and
used as the base for their own thought. In other words, the symbols,
schemas and scripts for thinking that are internalised become the tools
for our own thinking. (For more on Vygotsky, see Chapter 3.)
is view suggests that thinking cannot be separated from the social
context in which it is used. e social setting often provides the structure
and resources for thinking. Complete the task in Box 11.7.

Everyday thinking
Box 11.8 contains an example of everyday thinking. Such thinking does
not happen in experiments or laboratories, but occurs in the everyday
settings of daily life, so it needs to be studied in these settings.
Studies of everyday thinking have revealed that it differs from the kind
of thinking that is studied in more formal settings. Everyday thinking
incorporates aspects of the task environment into problem solving.
Scribner (1986) reports, for example, that dairy workers in the US
required to fulfil an order for 31 bottles of chocolate milk, restructured
the problem in relation to the way the milk was packaged. Working with
crates that contained 32 bottles, they saw the problem as one crate minus
one bottle. In other words, the way they calculated arithmetic problems
in the work situation was not based on standard mathematical
algorithms, but on the way the items were packaged. Similar findings of
everyday thinking were found among child street vendors in Brazil, as
demonstrated in Box 11.8.
Figure 11.9 Dairy workers calculated arithmetic problems in the work situation based not on
standard mathematical algorithms, but on the way the items were packaged

11.7 A WEIGHT-WATCHER’S DILEMMA

Imagine you want to lose weight. You use a Weight Watcher’s recipe to make a meal, which includes
cottage cheese as an ingredient. The recipe says that you should use two-thirds of a cup. You go to the
fridge and fill a cup two-thirds full with cottage cheese. Just before you are about to use it you
remember that your diet table says that today you are allowed only three-quarters of what the recipe
says. How would you go about working out threequarters of two-thirds of a cup of cottage cheese
(example taken from Lave, 1988)?
How did you arrive at an answer? Seen as a mathematical problem, the solution is simple. Three-
quarters of two-thirds of a cup can be represented arithmetically as ¾ × 2/3 = ½ cup!
It is that easy. Perhaps, however, you were like the weight watcher reported by Lave (1988), who
solved the problem as follows. He filled the measuring cup two-thirds full with cottage cheese then
turned up the cup onto a chopping board. He then patted it into a circle, marked a cross on it and
scooped away one of the quarters. The remaining portion was his allocation. What is interesting about
this person’s action was that Lave reports that the man had sophisticated mathematical skills but did not
think about using them. Such behaviour is not uncommon. In this case, the setting provided a structure
for his thinking, in which his standard mathematical skills were not called upon. It also provided
resources for resolving the problem in novel ways – the board and the utensils. These formed part of his
thinking.
 11.8 CHILD STREET VENDORS IN BRAZIL
Carraher, Carraher and Schliemann (1985) have done interesting research on everyday thinking. They
studied the way child vendors in Brazil solved the day-to-day problems of marketing their products –
sweets and fruit. They found numerous examples of how the manner in which items were structured in
their environment was used as a resource for solving problems. Thus, for example, coconuts, which were
priced at 35 cruzeiros, were normally sold in lots of three. When a customer (the researcher) asked for
the price of 10 coconuts, the child vendor would use this knowledge as the base for their thinking. Their
calculation, therefore, took the following line of reasoning: ‘Three coconuts are 105 cruzeiros, three more
will be 210, three more will be 315 and then one more to make ten will be 350’. As with the weight
watcher, the vendors used the way the items were naturally structured in their environment, rather than
alternate algorithms, such as ten times 35, to solve the problem.

What the study of everyday thinking suggests is that thinking is not just a
mental activity; it is spread across the context in which the thinking takes
place and cannot be separated from it. e term ‘distributed cognition’
describes this idea.

Challenges to the socio-historical approach

In contrast to the constructivist approach, which argues for a domain-
general approach to thinking, the socio-historical approach argues that
thinking will change across contexts and will be affected by the resources
for thinking that are available in that context. is kind of thinking is
regarded as domain-specific thought – thinking that is tied to a particular
sphere of life or context. e term ‘local knowledge’ is often used for this
kind of thinking (Corburn, 2003).
e socio-historical approach raises the question: ‘If thinking is tied to
context, does this mean people from different contexts will think
differently?’ is issue is the cultural relativism debate, which is
examined in the chapter on language (Chapter 14). While the socio-
historical approach argues that thinking is tied to context, it also suggests
that thinking is flexible, for as we change contexts so does our thinking.
From this position, the socio-historical approach provides a positive view
of human thought, since it suggests that given opportunities to
understand what is required in new situations and access to new tools for
thinking, people can overcome the limitations to thinking that they may
 have. Corburn (2003) used this approach to study the role that local
knowledge can play in improving environmental and health-risk
planning in affected communities. In these communities, people from
within the community use their first-hand knowledge to engage with and
challenge input from planners and scientists.

SUMMARY

• The socio-historical approach argues that thinking is a social process, and is linked to the
interaction between the individual and the setting in which the thinking occurs. Vygotsky is
regarded as the founder of this approach.
• This approach argues that as thinking develops in children, any function appears twice: first, on the
social level, and later, on the individual level. Thus, the symbols, schemas and scripts for thinking
that are internalised from social interactions become the tools for our own thinking.
• Thinking cannot be separated from the social context in which it is used.
• Studies of everyday thinking show that it differs from the kind of thinking that is studied in more
formal settings. In everyday thinking, people incorporate aspects of the task environment into their
problem solving.
• The socio-historical approach argues that thinking is domain specific; i.e. thought will change
across contexts and will be affected by the resources for thinking that are available in that context.
This raises the cultural relativism debate; it also suggests that thinking is flexible and that local
knowledge should be accessed.

Conclusion
inking is not only one kind of activity and does not have only one form. ere are many kinds of
thinking, and the structure and nature of thought changes depending on the context within which
it occurs. It is inevitable, then, that psychologists will approach thinking from different
perspectives and each approach will tend to investigate the type or form of thinking that relates to
that approach.
As a result, there is no simple answer to the question: what is thinking? is chapter has tried to
capture some of the fascinating and insightful ways psychologists answer this question. ey all
add up to a rich picture of the complex and changing nature of the human cognition.

KEY CONCEPTS

accommodation: a process in which new information transforms

existing cognitive structures
achieving stage: a stage in adult thinking that occurs during young
adulthood where individuals use their intellectual competencies in
the areas of problem solving and decision making
adaptation: the process whereby thinking is changed by means of
assimilation, where new information is integrated into previous
information, and/or accommodation, where new information
changes previous information
algorithm: a step-by-step process that will always provide the
solution to a problem
alignment heuristic bias: a tendency to line up two objects in a
straight line close to the lines of latitude or longitude
analogy: a heuristic device that involves seeing a similarity between a
current problem and one that has been encountered in the past
assimilation: the incorporation of a new object into an existing
category
cognitive map: an internal representation of the spatial
arrangements of the environment
concept: a mental category by which people classify objects, events,
processes or abstract ideas
deduction: a form of reasoning that involves working from general
statements to draw particular conclusions that are true in relation to
these statements
diagnostic models: over-arching bodies of knowledge that are central
to thinking and that enable the evaluation of important phenomena
everyday thinking: the kind of thinking that occurs as we deal with
the mundane, practical things of life
executive stage: a stage in adult thinking where, through increasing
knowledge, individuals in middle adulthood learn to apply their
problem-solving and decision-making skills to management
situations, such as in their families, careers and the broader
community
functional fixedness: a barrier to problem solving that occurs when
problem-solvers focus on a particular characteristic of an object, and
fail to see alternative characteristics of the object that would assist in
solving the problem at hand
heuristic: a short-cut method to problem solving that reduces the
problem space and often, but not always, works
induction: a form of reasoning that draws conclusions from
particular cases, and is based on relationships between real events
information-processing (IP) approach: a major perspective in
cognitive psychology where the computer is thought to be a useful
metaphor for understanding how humans process information
means–end analysis: an heuristic strategy that involves breaking
down a problem into a series of sub-problems
mental set: a barrier to problem solving that occurs when problem-
solvers continue to use the same solution they have used with
previous problems, even though there may be more efficient ways of
solving a particular problem
problem space: the starting state and the end state of a problem
prototype: a representative example of an object, event, abstract idea
or process
reasoning: systematically drawing conclusions from statements or
facts
reintegration stage: a stage in adult thinking during old age where
individuals use their accumulated intellectual skills to assess life and
to give meaning to their pasts
representation: when something stands in for or refers to the thing a
person is thinking about
responsibility stage: a stage in adult thinking where individuals use
their own solutions, not only for personal and career decisions, but
also for problem solving and decision making that involves, for
example, their families and the broader community
rotation heuristic bias: when figures that are slightly tilted are ‘seen’
as more vertical or more horizontal than they really are
schemas: the more over-arching networks of knowledge that are
central in our thinking
script: one kind of schema or network of knowledge about
procedures, sequences of events or processes
socio-historical approach: an approach to thinking that suggests
that thinking is a social process and linked to the interaction between
 the individual and the setting in which the thinking occurs
state–action analysis: a description of the states, steps and strategies
taken within a problem space
syllogism: a particular form of deductive reasoning that has two
premises (propositions) that are followed by a conclusion
task models: over-arching bodies of knowledge that are central to
thinking and comprise schedules for getting practical things done
thinking: the mental processes or capacities that enable people to
solve problems, to reason, to make sense of things or to use their
knowledge to understand situations, events, other people or
themselves
working backwards: a heuristic device that involves working
backwards from the end state of a problem to the starting state

EXERCISES

Multiple choice questions

1. Representing objects by classifying them into categories:
a) assists in the creation of complex hierarchies
b) connects the object or idea to a body of related knowledge
c) places an object into a taxonomy.
d) all of the above are correct.

2. Sitting in a lecture and having a fairly accurate idea of the sequence of

events that will happen during the lecture period would be evidence
of:
a) a script
b) a state–action analysis
c) an algorithm
d) a heuristic.

3. Which one of the following is a characteristic of the way novices think

in comparison to experts?
a) Novices use more abstract ideas.
 Novices spend more time trying to think about a problem before
b)
starting to solve it.
c) Novices are more aware of making an error.
d) Novices group problems on the basis of the similarity of the
information available rather than the underlying principles.

4. Which one of the following is associated with the socio-historical

approach to thinking?
a) Piaget
b) Vygotsky
c) Linnaeus
d) Newell.

5. Seeing a new object and including it in an existing classification

system is an example of:
a) assimilation
b) visual imagery
c) concrete operational thinking
d) none of the above is correct.

6. Which approach in cognitive psychology would support the view that

thinking and knowing are linked to relations between people and the
activity they are engaged in?
a) the information-processing approach
b) the constructivist approach
c) the behaviourist approach
d) the socio-historical approach.

7. Which one of the following is the term used for a step-by-step process
that will ensure the achievement of a goal?
a) heuristic
b) schema
c) mental set
d) algorithm.
8. Persistent use of an inappropriate heuristic is known as:
a) a rotation heuristic bias
b) an alignment bias
c) a mental set
d) schema repetition.

9. A model that identifies the states, steps and strategies used in solving
a problem would be characteristic of which one of the following
approaches to thinking?
a) the constructivist approach
b) the information-processing approach
c) the behaviourist approach
d) the socio-historical approach.

10. You observe that every morning the sun rises in the east, from the sea.
If you hypothesise, therefore, that the sun will rise tomorrow from the
sea, this would be an example of what kind of thinking?
a) inductive thinking
b) everyday thinking
c) deductive thinking
d) sensorimotor thinking.

Short-answer questions
1. Give three reasons why representing the world in terms of concepts
can be regarded as the building block for thinking, and give an
example for each reason.
2. Experts and novices differ in the way they think. What does this tell us
about how humans process information?
3. Briefly give an example of ‘everyday thinking’ in your life. Why is it
important to study such thinking in comparison to the study of formal
reasoning?
4. What is the difference between an algorithm and a heuristic? Give an
example of when you would use each one of these when solving a
problem.
5. Using an example, explain how Piaget argues that thinking is
constantly transformed by the processes of assimilation and
accommodation.
 CHAPTER
Attention 12
Jonathan Ipser

CHAPTER OBJECTIVES
After studying this chapter you should be able to :
• explain Broadbent’s filter theory of attention
• explain Treisman’s attenuation theory of attention
• explain Treisman’s feature-integration theory
• explain Duncan’s theory of selective visual attention
• compare early-selection models of attention with late-selection models of attention
• contrast top–down control of attention with bottom–up control of attention
• discuss what evidence there is for multiple attention systems
• understand which parts of the brain are involved in attention.

CASE STUDY

Melinda had recently received her driver’s licence, and as a reward her parents bought her a small
car. The car was supposed to be one of the safest on the road, and included a hands-free cellphone
kit. Melinda could hardly wait to take it for a drive and show it off to her friends. In fact, she was so
excited that she decided to phone her best friend while still on the road. She had just had time to
tell her friend that she was on her way when a 4×4 came out of nowhere, swerved and drove into
the front of her car. It turned out that Melinda had driven straight through an intersection without
even noticing the stop sign.
She was later told by the police that if the owner of the 4×4 had not been as quick to react by
swerving at the last minute, the accident would have been a lot worse. On reflection, Melinda
realised just how dangerous the situation had been. Not only was she an inexperienced driver, but
she was not at all familiar with driving the car she had been given. She was not able to pay
attention to driving the car, watching the road and talking to her friend all at the same time. She
decided that in future she would wait until she stopped driving before using her cellphone.

Introduction
How many times in the past have you been told to pay attention? Every
day, you are exposed to thousands of sounds, sights and smells, and yet
you are frequently expected to be able to select a few for attention while
ignoring the others. A simple exercise will reveal how important this
ability is. Try focusing on one sound in your immediate environment,
such as the ticking of a nearby clock or the singing of a bird. Now, at the
same time, try to listen to a second sound. And then a third, and a fourth.
Not easy, is it? Now imagine that you are expected to do this for both
what you can hear and what you can see, at the same time, and you
should begin to appreciate how important the ability to attend selectively
to certain stimuli over others is. Finally, imagine trying to do the same
exercise while crossing a busy road.
Attention is intimately involved with many aspects of our mental life,
including perception, memory and ultimately, consciousness. It is
impossible to imagine a world without it. In the words of William James,
one of the most influential of the early theorists of attention: ‘[M]y
experience is what I agree to attend to – without selective interest,
experience is an utter chaos’ (1890, p. 402).
Given the broad scope of research into attention, this chapter can only
provide a general outline of some of the major theories of attention, and
the findings that have motivated changes to these theories. It is divided
into two general sections. e first section offers the different theories
that have been proposed regarding the mechanisms underlying
attention. e second section explores issues that cut across these
different theories.

Mechanisms underlying selective

attention
Selective attention refers to those processes involved in the orientation
towards, and the selection of, certain stimuli over others. It is often
described as involving a bottleneck. A bottleneck is a useful metaphor, as
it captures the idea that people are only able to attend to a small
proportion of the information available to them. Only some of the
information gets through the bottleneck for subsequent processing.
eories of attention that are based on this idea are known as
information-processing models of attention (or limited-capacity
models of attention). e following section will review the major
information-processing theories.

Figure 12.1 Schematic diagram of Broadbent’s filter theory of attention

Broadbent’s filter theory of attention

Philosophers have speculated for centuries on the nature of attention,
but it was only in the latter half of the 20th century that formal models of
attention were proposed. One of the most influential of these was
introduced in 1958 by Donald Broadbent, one of the pioneers of attention
research (Eysenck & Keane, 2010). He argued that attention consists of
two separate stages. In the first stage, different sources of information or
channels are automatically distinguished from one another by their
perceptual characteristics, such as tone and volume. In the second stage,
a selective filter uses these characteristics to allow one of the channels
through for the processing of its meaning, while restricting access to the
other channels. is model became known as the filter theory of
attention.

The dichotic listening task

Broadbent went on to support his case by making use of a method known
as the dichotic listening task (dichotic means ‘two ears’). In the
traditional dichotic listening task, people are played different recorded
messages in each ear. After the task, they are asked to repeat what they
heard (Eysenck & Keane, 2010).
Two sets of three numbers were played into each ear at the same time,
for example 4-7-2 in one ear and 9-5-1 in the other. People were then
asked to repeat all six numbers either ear by ear or pair by pair. In the first
instance, people would repeat 4-7-2 then 9-5-1. In the pair-by-pair task,
people would repeat 4-9 7-5 2-1.
Broadbent found that people found it was easier to report all of the
numbers from one ear and then the other (the ear-by-ear instruction),
rather than reciting each number as they were presented to the different
ears (the pair-by-pair instruction). He interpreted this as evidence that
there is a cost involved in switching from one channel to another, with
only one channel being attended to at a time. Listening to all the
numbers presented to one ear before switching to the other ear reduces
the number of times such switching has to take place, and hence
increases the ease with which people can perform the task.

Shadowing
e influence of attention in selecting information for additional
processing was further illustrated by adapting the dichotic listening tasks.
People were instructed to repeat what was said in one of their ears (the
attended message), while ignoring what was said in the other (the
distracter message or unattended message). Known as shadowing, this
was meant to ensure that people did not pay attention to the unattended
ear. e results of these studies were generally consistent with the
predictions of Broadbent’s theory. Participants demonstrated very little
awareness of what was played in the unattended ear. Although they were
frequently aware of differences in the pitch or volume of the voices,
allowing them to identify the gender of the speaker, they were not able to
describe what was said in the distracter channel, and even failed to
notice when the messages played to the different ears were in different
languages. However, participants who were practised at the task did
much better, detecting 67 per cent of digits on the non-shadowed
message, compared to 8 per cent detected by new participants (Eysenck
& Keane, 2010).
Figure 12.2 The first part of Broadbent’s dichotic listening procedure: repeating the numbers ear by
ear

Figure 12.3 The second part of Broadbent’s dichotic listening procedure: repeating the numbers
pair by pair according to when they were heard

The sensory memory store

If Broadbent’s model of attention is correct, and people can only attend
to one channel of information at a time, then how does one explain the
finding that people are sometimes able, in the absence of shadowing, to
repeat short sentences as well as lists of numbers even when they are
presented simultaneously in different ears? Broadbent explained this by
arguing that stimuli are temporarily kept in a sensory memory store, so
that a person can retrieve information played back to both ears, as long
as not too much time has elapsed and the information has not begun
degrading. e auditory sensory memory store is known as echoic
memory and the visual sensory memory store is known as iconic
memory.

How many channels can penetrate the selective

filter?
Perhaps you remember an occasion when you were listening to a friend,
only to be distracted by what someone else in the same room said in
another conversation? is phenomenon is so well known that it has
even been given a name: the cocktail party effect (Cherry, 1953). is
effect could not happen if you were unable to be aware of what was said
outside your focus of attention, so it calls into question Broadbent’s idea
of a selective filter that allows only one channel through for processing.
Other studies have also demonstrated that information regarded by
Broadbent as unattended can seep through the selective filter. For
instance, Lackner and Garrett (1972) found that when people were asked
to paraphrase sentences, which could be interpreted in one of two ways,
they were more likely to do so in a way that was consistent with the
meaning of a word in the distracter channel. Corteen and Wood (1972)
demonstrated that people who were taught to associate the names of
cities with a mild electric shock would sweat more heavily when the city
names were later presented to the unattended ear than when neutral
words were presented. is physical response was observed despite
people having no conscious recollection of the words in the unattended
channel. Even more interestingly, this response manifested itself even
when city names that were not part of the original training set were
presented, suggesting that the words were processed for meaning.

Gray and Wedderburn’s revised dichotic listening

task
It has been argued that the dichotic listening task used by Broadbent was
not well suited to test his theory. e presentation of number sequences
is not a very sensitive measure of the extent to which people process
distracter items for meaning. Instead of relying solely on number lists,
Gray and Wedderburn (1960) devised a task where people were
presented with either numbers or words in each of their ears. ey were
then asked to repeat what they had heard ear-by-ear or category-by-
category (in other words, either by grouping the numbers together or by
grouping the words together). Gray and Wedderburn found that people
were able to categorise items presented to both ears as either numbers or
words. In fact, this task was as easy for them as reporting each stimulus
ear by ear. Because categorisation requires some analysis of the meaning
of the items, this calls into question Broadbent’s theory that we select
stimuli for attention based on physical characteristics rather than
meaning.

Figure 12.4 Cherry (1953) showed that people in conversation with someone can be distracted by
another conversation in the room
Figure 12.5 The first part of Gray and Wedderburn’s dichotic listening procedure: repeating the
items ear by ear
Figure 12.6 The second part of Gray and Wedderburn’s dichotic listening procedure: repeating the
items category by category

More recent research (Lachter, Forster & Ruthruff, 2004) has led to
renewed interest in Broadbent’s approach. Lachter et al. (2004) looked at
how the unattended message gets processed, arguing that people shift
their attention to the temporary store.
 SUMMARY

• Every day, people are exposed to thousands of sounds, sights and smells; the capacity to select a
few for attention while ignoring the others (selective attention) is essential to human functioning.
Attention is involved with many cognitive aspects, including perception, memory and
consciousness.
• Selective attention is like a bottleneck. Only some of the information gets through the bottleneck
for subsequent processing. Theories of attention that are based on this idea are known as
information-processing models of attention.
• Broadbent’s filter theory of attention argues that attention consists of two separate stages. In the
first stage, different channels of information are distinguished from one another based on their
characteristics; in the second stage, a selective filter uses these characteristics to allow one of the
channels through for the processing of meaning.
• Broadbent used evidence from the dichotic listening task to show that there is a cost involved in
switching from one channel to another, with only one channel being attended to at a time.
• The dichotic listening task was adapted to demonstrate shadowing. People were asked to attend to
the message in one ear only; this showed that they had very little awareness of what was played in
the unattended ear.
• However, Broadbent argued that people have a brief sensory memory store which can retain
information for a short period of time. The auditory sensory memory store is known as echoic
memory and the visual sensory memory store is known as iconic memory.
• The cocktail party effect calls into question Broadbent’s idea of a selective filter; further research has
shown that people can process information for meaning, even if it is unattended.
• Gray and Wedderburn revised Broadbent’s dichotic listening task and found that people were able
to categorise items presented to both ears as either numbers or words, thus disputing Broadbent’s
theory.

Treisman’s attenuation theory of attention

Despite the weaknesses that have been identified in Broadbent’s original
formulation of the filter theory, many subsequent models of attention are
based on the same idea that attention consists of an automatic phase
followed by a slower selection phase. In the automatic phase, multiple
sources of information are processed almost instantaneously (parallel
processing). In the slower selection phase, stimuli are processed one at a
time (serial processing).
Anne Treisman (1960), for instance, argued in her attenuation theory
of attention that perceptual or sensory information from unattended
channels makes it through for further processing, but in a much
weakened, or attenuated form (Quinlan & Dyson, 2008). Although people
may not be conscious of information they have not been focusing on, this
information can still rise to awareness in certain circumstances. Whether
this will occur depends on the intensity of the information relative to a
certain threshold, with a lower threshold set for situationally relevant or
familiar information (such as hearing your own name).
Treisman conducted a series of experiments to demonstrate that
attenuated information is available for further processing when required.
In one such study, sentences in a dichotic listening task were swapped in
midpoint from one ear to the other. Some people would shadow an entire
sentence, suggesting that they had swapped attention to the opposing ear
in time with the sentence. For instance, the words ‘the ship will leave
first/for his headache’ might be played in the shadowed ear and ‘he took
an aspirin/thing in the morning’ in the unattended ear. Although the
words in the first half of the sentence played to the unattended ear would
have been attenuated, the word aspirin would have lowered the
threshold for the word headache, thus facilitating the crossover from the
attended ear to the unattended ear.

Treisman’s feature-integration theory

Since the pioneering work of Broadbent, researchers have increasingly
moved from auditory to visual mechanisms of attention. One of the most
influential theories in vision research is Treisman’s feature-integration
theory (Treisman & Gelade, 1980). Many of the findings of this theory are
based on the visual search task. An example of such a task is provided in
Figure 12.7. Try and see how long it takes you to detect the odd items in
each of the rectangles. Which of these seemed to take the longest time?
Figure 12.7 Can you find the odd one out in (a), (b) and (c)?

In exercises similar to those presented in Figure 12.7 (a)–(c), Treisman

instructed participants to identify the stimuli that were different from the
others (the distracters). She discovered that people were slower in
detecting these target stimuli in exercises similar to (c), than those in (a)
and (b).
Treismen reported that when the target stimulus and the distracters
differ on only one dimension, such as shape in (a) or colour in (b), then
the target stimulus seems to leap out immediately, with little effort on the
part of the participant. Known as the pop-out effect, this happens
irrespective of how many distracter stimuli there are. But when targets
and distracters differ on a combination of features, for example, shape
and colour, as in (c), the task of identifying the target stimulus takes more
time. With every additional distracter that is added, people take longer to
identify the target stimulus.
Treisman interpreted the pop-out effect as evidence that perceptual
features (such as shape or colour) are processed automatically and in
parallel, with little conscious input from the participant. Combining the
features is regarded as more resource intensive. According to the feature-
integration theory, separate features of a stimulus are associated with its
position through the use of a location map. It is only once these features
have been combined at the spatial address specified by the location map
that a person can be regarded as having identified the stimulus. e
binding of features to a target can only take place one item at a time
(serially), which helps to explain the sensitivity of the task to additional
distracters.
Feature-integration theory has been criticised for not accounting for
all of the findings made using the visual search tasks, such as evidence
that the distinctiveness of the target and distracters can affect processing
time. For example, try and see how long it takes you to identify the L
amongst the T in the three rectangles in Figure 12.8. Duncan and
Humphreys (1989) found that the L popped out more quickly when the T-
shaped distracters were upright or on their sides, as in (a) and (b), but
not when they were oriented in both directions, as in (c). is
demonstrates that the quality of the distracters as well as the target need
to be considered in attention tasks.

Figure 12.8 Try to find the L in (a), (b) and (c)

Duncan’s theory of selective visual attention

An alternative to the feature-integration theory of visual attention was
proposed by Duncan (1984). According to his theory of selective visual
attention, the basic units of analysis in attention are objects, and not
features of objects. is theory can explain how people who have been
presented with two overlapping shapes are able to selectively attend to a
single shape and ignore the other, despite the fact that they occupy the
same location in space.
 SUMMARY

• Despite the criticism of Broadbent’s theory, later models used the same idea of two phases of
processing (a rapid, automatic, parallel processing phase and a slower selection phase).
• Treisman’s attenuation theory of attention argued that sensory information from unattended
channels makes it through for further processing, but in a much-weakened form. Awareness will
depend on a threshold, which will be lower for situationally relevant or familiar information.
• Following Broadbent’s work, researchers increasingly studied auditory rather than visual
mechanisms of attention. One of the most influential of such theories is Treisman’s feature-
integration theory.
• Feature-integration theory demonstrated the pop-out effect. When a target stimulus and
distracters differ on only one dimension, then participants are easily able identify the target
stimulus. But when targets and distracters differ on a combination of features, identifying the target
stimulus takes more time. With every additional distracter that is added, people take longer to
identify the target stimulus. This is because these features need to be processed serially (rather
than simultaneously).
• Feature-integration theory has been criticised for not accounting for all of the findings made using
the visual search tasks.
• Duncan’s theory of selective visual attention argued that the basic units of analysis in attention are
objects, rather than features of objects. This object-oriented attention theory explains how people
presented with two overlapping shapes are able to attend selectively to a single shape and ignore
the other, despite the fact that they occupy the same location in space.
12.1 THE RAPID SERIAL VISUAL PRESENTATION (RSVP) TASK
The effect of cognitive load on attention has been demonstrated using the Rapid Serial Visual
Presentation (RSVP) task. In this task, people are presented with a series of items (e.g. 20) that
typically follow each other by approximately 100 milliseconds. They are asked to report whether they are
able to detect two targets they are shown before the task (e.g. a white X and a black X) among the other
items (e.g. the letter O). While people generally report seeing the first target (T1), the second target (T2)
is only detected if presented very soon after the first (< 100 ms) or after a longer delay of over half a
second. This gap in which nothing is detected is known as the attentional blink (AB).

Figure 12.9 Detecting two targets shown before the task (a white X and a black X) among the other
items (the letter O)

One of the major interpretations of the existence of the attentional blink is that it represents the initia
rapid processing of sensory features of T1 for identification, followed by a prolonged secondary phase of
processing in which the sensory characteristics of an object are consolidated with its semantic
characteristics. This secondary phase, which is necessary for the reporting of the target, has a limited
capacity. As a result, T2 has to remain in the first phase of processing if it is presented while T1 is stil
undergoing consolidation, and will decay if it has to wait longer than the storage limit for visua
memory. This late-selectionist interpretation of the attentional blink is supported by the finding that it
does not occur if the interval between T1 and the next item in the sequence is increased. In these
circumstances, the processing of T1 is less likely to be delayed, leaving sufficient time for the processing
of T2. Interestingly, there is some evidence from a study using a variant of RSVP that pop-out effects are
also delayed when substituted for the second target, which suggests that processes regarded as
automatic are also affected by cognitive load (Joseph, Chun & Nakayama, 1997).
eorists of object-oriented attention argue that in the initial stages of
processing, perceptual stimuli are automatically grouped into objects
according to certain organisational principles. ese include the
grouping of objects on the basis of their similarity and how close they are
to one another, as well as whether grouping separate items as a single
object results in a pattern that is simpler, more continuous and has
greater closure. e same grouping principles have been used to explain
how people can increase their search speed in visual search tasks by only
searching for a target in a smaller subset of items.

Issues of general importance to

attention
Although the theories of attention described so far are often stated in all-
or-nothing terms, there is reason to suspect that each contains an
element of truth regarding the nature of attentional processes. is will
become evident in the following section, in which issues that cut across
different theoretical approaches are discussed.

Early-selection versus late-selection models of

attention
e filter theory of attention, the attenuation theory of attention, the
feature-integration theory and the theory of selective visual attention are
all examples of models that propose that we select what to attend to early
on in the process of paying attention. According to these early-selection
models, channels are selected on the basis of perceptual features prior to
semantic analysis. However, late-selection models propose that all
channels undergo semantic analysis for meaning, but only one is
selected for retrieval. Late-selection theorists, such as Deutch and
Deutsch (1963), argue that all stimuli are processed on a perceptual level,
but only selected information is then stored in memory or used in
response selection (Eysenck & Keane, 2010).
Much of the evidence presented so far could support either an early
perceptual bottleneck or a later semantic bottleneck, so how would you
choose between them? In fact, this may not be necessary. Perhaps the
participants in studies inspired by Broadbent appear to attend to a single
channel while ignoring others because the difficulty of the task means
that they are forced to allocate all of their attention to a selected channel.
In other words, unfamiliar tasks place a high cognitive load on the
participant, with cognitive load defined as the amount of information
that is processed relative to processing capacity. In these circumstances,
it is no surprise that people have difficulty processing multiple channels
for meaning. is was the point that was shown in Lachter et al.’s (2004)
research. is also fits with findings that a higher cognitive load seems to
result in earlier selection on the basis of perceptual features, while a
lower cognitive load shifts selection to a later post-perceptual stage. Such
flexible selection models of attention have been proposed by Vogel,
Woodman and Luck (2005) and Lavie (1995).

Top–down versus bottom–up control of attention

Imagine that you are attending a lecture on statistics. Suddenly the sound
of a car backfiring outside causes you to look out of the window. You then
quickly turn your attention back to what the lecturer is saying, as you are
determined to do well in this course.
In this scenario, you have demonstrated two forms of attention. When
a sensory stimulus attracts your attention (such as in the case of the car
backfiring), you are displaying what is known as exogenous or bottom–
up control of attention. is is an automatic response to a stimulus that
might be important for you to know about. On the other hand, when you
decide to listen to what the lecturer is saying, you have shown
endogenous, or top–down control of attention. is is a form of
attention over which you have strategic control and it is based on your
past experience and expectations (Eysenck & Keane, 2010).
12.2 DIVIDED ATTENTION
Divided attention is concerned with the question of whether people can simultaneously pay
attention to multiple sources of information. People who are asked to perform two tasks generally find it
easier the greater the difference between the inputs used, and between the types of responses
required.
For example, in a classic study by Spelke and colleagues (1976), two students, John and Dianne, were
each asked to read a short story while writing down words dictated to them by the experimenter. As
these tasks both involved language skills, they tended to interfere with one another, with the result that
their reading speed and comprehension both suffered. Nevertheless, after six weeks of practising this
dual task for five hours a week, their reading performance in the dual task condition was just as good as
when they performed the reading task on its own. With additional practice, they were also able to
detect relations between words and categorise them, all while maintaining reading speed and
comprehension. But, despite evidence that practice improves performance in dual tasks, there does
appear to be an upper limit on how much difference practice will make. One interesting example of a
job requiring extremely divided attention is that of an air traffic controller, who is required to watch and
coordinate the movements of multiple aircraft arriving and departing on a computer screen while at the
same time listening and responding to their radio calls. Fortunately, with practice and experience, some
aspects of these kinds of tasks can become more automatic, relieving some of the demands on
attention (Smith & Kosslyn, 2009).
This aspect of attention has major implications for the present day as more and more people think
they can drive quite competently while using their cellphones. However, in the US it was found that
cellphone users were four times more likely to be involved in a collision (Smith & Kosslyn, 2009). In
addition, teenagers who used cellphones while driving were more likely to be involved in rear-end
collisions (Neyens & Boyle, 2007). Many people do not realise that this impairment in driving
performance is observed irrespective of whether a hand-held or hands-free phone kit is used. Levy et al
(2006, in Quinlan & Dyson, 2008) assessed driving performance in a simulator. Participants were told to
follow a car and to apply brakes when it did. In the experiment, the speed of the lead car was varied
Levy et al. (2006, in Quinlan & Dyson, 2008) found that performance on a concurrent task seriously
impaired driving, regardless of whether it was verbal or manual (Quinlan & Dyson, 2008).
 12.3 ATTENTION TO FEAR-PROVOKING STIMULI
Researchers are increasingly using an evolutionary framework in the study of cognition, which leads
them to assess the importance of stimuli with regard to people’s survival and well-being. Researchers in
this area have often modified traditional information-processing tasks to include fear-provoking content,
on the understanding that stimuli that provoke fear are likely to be important to our survival. For
instance, in the emotional Stroop task, different coloured images of fearful or angry faces are displayed
instead of words. People are instructed to name the colour of the images. Research using this task
consistently discovered an inclination to attend to the fear-provoking images (the fearful faces). This bias
is even greater in studies of people who already possess a heightened sense of fear. This is the case in
individuals who have been exposed to traumatic events, such as torture, rape and natural disasters, and
who subsequently have been diagnosed with post-traumatic stress disorder (PTSD). A bias in attention
occurs in PTSD patients even when the images are displayed for such a brief period that people are not
aware of having seen them.

Whether your attention is eventually allocated to a stimulus depends

on both the external characteristics of the stimulus (e.g. the shape and
colour of an object) as well as your goals at a particular time. You can
override these stimuli if you are motivated to do so. is was the case in
the previous example, in which you ignored the sound of traffic so that
you could attend to what the lecturer was saying. is was demonstrated
in an even more extreme form in a classic experiment by Simons and
Chabris (1999), in which people were asked to watch a video of a
basketball game, and instructed to count the number of times members
of one of the teams passed the ball to each other. While they were doing
so, a person dressed in a gorilla suit walked from one side of the screen to
the other. Only 42 per cent of the people who participated in this study
detected the person in the gorilla suit, although he was visible for a
number of seconds. e failure to detect changes in a scene is referred to
as change blindness, and is an example of extreme top–down control of
attention.
ere is also evidence that attention can be overridden by bottom–up
processes. Victims of crime who have been held up at gunpoint are often
better able to give a good description of the gun than the person holding
it, despite the fact that the latter information is likely to be more useful
when trying to identify the perpetrator at a later time. e cocktail party
effect is an example of bottom–up control of attention, where the
characteristics of the stimuli are more likely to attract your attention if
they are relevant to you.

One attention system versus multiple attention

systems
Most of the theories described in this chapter have treated attention as
one system. However, there is a substantial body of evidence suggesting
that it might be more accurate to consider attention as consisting of
multiple independent subsystems. Posner and Boies (1971) identified
three components of attention:
• An alerting system (which includes alertness for a forthcoming
stimulus and sustained attention)
• An orienting system (which includes overt and covert orientation
towards specific stimuli, and the selection of specific stimuli)
• An executive system (which includes top–down control and conflict
resolution).

Evidence that these are separate systems comes from three sources:
• ere is little relationship between people’s performance on the
different sections of the attentional network test (ANT), which was
specifically designed to independently assess each of these
subsystems.
• e activation of independent brain circuits when these subtasks are
carried out.
• Genetic differences underlying performance in the individual
subsystems.
 SUMMARY

• The filter theory of attention, the attenuation theory of attention, the feature-integration theory
and the theory of selective visual attention are all examples of early-selection models of attention.
Late-selection models propose that all channels undergo semantic analysis for meaning but only
one is selected for retrieval. However, attention may depend on the cognitive load of difficult tasks.
• In top–down (endogenous) control of attention, people use strategic control to direct their
attention; in bottom–up (exogenous) control of attention, a sensory stimulus demands their
attention in an automatic response because the stimulus might be important to know about.
• Most of the theories in this chapter treat attention as one system; however, there is evidence to
suggest that attention consists of multiple independent subsystems. Posner and Boies identified
three components of attention: an alerting system, an orienting system and an executive system.
12.4 STUDYING THE BRAIN TO UNDERSTAND ATTENTION
(ALSO SEE CHAPTER 7)
By assessing the performance of people who have damaged particular regions of their brains
psychologists have for a long time tried to identify the parts of the brain necessary for certain cognitive
abilities. One region that has been consistently associated with attention using this method is the
parietal cortex. Treisman (1998) demonstrated that RM, a patient with damage to this part of the brain,
was not able to link colours reliably to words.
In addition to this, unilateral neglect, which is an inability to attend to one field of vision, has been
linked to damage to either one of the parietal lobes. Patients with this condition act as if they are not
able to see anything in the field of vision on the opposite side to their lesions (the left field of view for
right parietal damage, and vice versa). They will only eat the food from the right side of their plates, and
when asked to draw or copy pictures of a clock, will only draw the digits on the one half of the clock
face. There is also evidence that people with this disorder have deficits in their ability to attend to
objects. When asked to draw a landscape scene of a house and outlying buildings, patients with
unilateral neglect only draw the left or right half of all of the objects in the scene. This is consistent with
the object-oriented account of visual attention. Findings from brain lesion studies can now be
supplemented by relatively new brain-imaging techniques. Changes in brain activity can now be
measured by technologies such as positron emission tomography (PET), which detects changes in
blood flow, and functional magnetic resonance imaging (fMRI), which measures the oxygenation
of blood in the brain. These allow researchers to study which parts of the brain are activated when
people pay attention to certain classes of stimuli. (Interestingly, objects that are not the central focus of
attention still activate the sensory regions of the brain, but to a lesser degree than those that are the
central focus – a finding that provides some support for early-selection theories of attention.)
Figure 12.10 Unilateral neglect: patients draw only one half of a figure

When people have purposefully directed their attention to particular items, activity in the prefronta
regions of the brain has been detected. The top–down control of attention required for these tasks is
consistent with the involvement of the prefrontal cortex in planning actions and sequences of
behaviours. Feedback loops from the prefrontal cortex (associated with strategic stimuli) and the
amygdala (associated with emotional stimuli) to the visual regions of the brain are regarded as
underlying enhancements of particularly salient stimuli for further processing.
The timing of different components of attention can also be examined by means of
electroencephalography (EEG). In EEG, recordings are made of electrical activity in the brain. EEG
research has discovered that brain waves that are evoked by sensory stimuli, known as event-related
potentials (ERPs), are weaker for unattended than attended stimuli, but are still present. (Therefore
these ERP findings also support early-selection models of attention.)

Conclusion
is chapter has attempted to provide a brief summary of the major theoretical models of
attention. In tracing the development of these different theories, it has become clear that they
serve to highlight complementary aspects of attention, rather than any single model providing an
all-encompassing description of it. But that this is the case is hardly surprising, given the highly
complex nature of this vital cognitive ability.

12.5 MULTITASKING
Christine Rosen (2008, p. 105) rather wistfully quotes Lord Chesterfield’s comment in the 1740s that
‘attention to one object is a sure mark of a superior genius’ . But, in the 2000s, it seems that the pressure
of life has led to many seeing multitasking as a necessity. People have always had the capacity to pay
attention to several things at the same time (Wallis, 2006); but, as technology has developed at lightning
speed, multitasking using multiple electronic gadgets has become the norm, especially for the young
people of Generation M (Wallis, 2006). At first, multitasking was widely admired and media and various
experts tried to teach people how to do it better (Rosen, 2008). However, multitasking has some nasty
side-effects, ranging from fatal car crashes due to texting to the loss of human connection in families
and society as a whole. Wallis (2006) reports on work by UCLA anthropologist Elinor Ochs, which
highlights the things that are not happening in families due to absorption with multiple media: children
do not greet their parent(s) when they return from work, families do not eat together, and important
conversations do not happen. Rosen (2008) notes that multitasking is really about paying attention and
that William James believed that paying attention required discipline and will. Nowadays, ‘our collective
will to pay attention seems fairly weak’ (Rosen, 2008, p. 110) and this has potentially weighty and severe
consequences. As Rosen (2008, p. 110) concludes, ‘this state of constant intentional self-distraction
could well be of profound detriment to individual and cultural well-being’.

KEY CONCEPTS
alerting system: the proposed component of attention that relates to
alertness and sustained attention
amygdala: an area of the forebrain that is associated with emotional
stimuli
attended message: a message that a person is paying attention to
attentional blink (AB): the ‘gap’ in attention, lasting from
approximately 100 ms to 500 ms, that manifests after a person has
detected a target presented in the RSVP task
attenuation theory of attention: the theory that information from
both attended and unattended channels is processed, but from
unattended channels is processed to a lesser extent
automatic phase: according to Treisman, the phase when multiple
sources of information are processed almost instantaneously
bottom–up (exogenous) control of attention: the automatic
attraction of a person’s attention by a sensory stimulus
change blindness: the failure to detect changes in a scene
channels: different sources of information that, according to
Broadbent, are automatically distinguished from one another by their
perceptual characteristics
cognitive load: the amount of information that is processed relative
to processing capacity
dichotic listening task: a method used in attention research where
people are played different recorded messages in each ear and
afterwards asked to repeat what they heard
distracter: either something not intentionally attended to or the part
of a task that serves as a contrast to a target only
divided attention: the state when people can simultaneously pay
attention to multiple sources of information
echoic memory: a form of short-term auditory memory
electroencephalography (EEG): a brain-imaging technique that
shows the electrical activity in the brain
event-related potentials (ERPs): brain waves that are evoked by
sensory stimuli
executive system: the proposed component of attention that relates
to top–down control and the resolution of conflicting demands
feature-integration theory: the theory that perceptual
characteristics or features of stimuli are processed automatically, but
that selective attention is required for the combination of these
features in identifying objects
filter theory of attention: the model of information processing that
proposes that a person distinguishes between different channels and
selects one for semantic processing while restricting others
functional magnetic resonance imaging (fMRI): a brain-imaging
technique that measures the oxygenation of blood in the brain
iconic memory: a very short-term form of visual memory
information-processing models of attention: (limited-capacity
models of attention): theories of attention that are based on the idea
that people are only able to attend to a small proportion of the
information available to them
object-oriented attention: the concept that attention is directed at
objects rather than features
orienting system: the proposed component of attention that relates
to the orientation towards, and the selection of, specific stimuli
parietal cortex: region of the brain situated between the frontal and
occipital lobes that serves to integrate sensorimotor information, and
which has been consistently associated with attention
pop-out effect: when the target of an attention task differs according
to only one dimension, and therefore is identified with little effort by
the participant
positron emission tomography (PET): a brain-imaging technique
that detects changes in blood flow in the brain
prefrontal cortex: an area at the front of the brain that is primarily
involved in executive functioning and planning
Rapid Serial Visual Presentation (RSVP) task: a task where people
are first presented with a series of items in quick succession, and then
are asked to report which of these items they detected
selection phase: according to Treisman, the phase when sources of
information are processed one at a time
selective attention: those processes involved in the orientation
towards, and the selection of, certain stimuli over others
 selective filter: the cognitive mechanism that, according to
Broadbent, selects a channel for processing based on characteristics
of its stimuli, while restricting access to the other channels
semantic analysis: analysing a sensory input to determine its
meaning
sensory memory store: the cognitive mechanism that briefly keeps
sensory information for possible retrieval and processing
shadowing: the process whereby people are instructed to repeat an
attended message while ignoring an unattended message
theory of selective visual attention: the theory of attention that
proposes that the basic units of analysis are objects
top–down (endogenous) control of attention: the consciously
directed and strategic control of attention
unattended (distracter) message: a message in attention tasks to
which a person has been instructed not to pay attention
unilateral neglect: a disorder that can result from damage to the left
or right parietal lobe, where affected patients act as if they are not
able to see anything in the field of vision on the opposite side to their
lesions

EXERCISES

Multiple choice questions

1. Which of the following models of attention acknowledge that people

are only able to attend to a small proportion of the information
available to them?
a) information-processing models of attention
b) top–down models of attention
c) object-oriented models of attention
d) all of the above.

2. In Broadbent’s model of attention, what function does a selective

filter have?
 a) It initially allows all sources of information through for processing
of meaning.
b) It distinguishes sources of information on the basis of their
perceptual characteristics.
c) It allows only some sources of information through for semantic
processing.
d) Both b and c are correct.

3. In a traditional listening task, people find it easier to report all of the

numbers heard by one ear and then all the numbers heard by the
other ear, rather than reciting each number in the order in which it
was presented to the ears. Broadbent argued that this was evidence
that:
a) each ear is programmed to perceive different types of information
b) a selective filter operates on one ear and not the other
c) switching from one ear to the other decreases people’s efficiency
in a listening task.
d) Both a and b are correct.

4. Which of the following effects were produced by shadowing in an

adaptation of the dichotic listening task?
a) People were able to identify the gender of the person speaking the
distracter message.
b) People were able to identify what language the person speaking
the distracter message used.
c) People were able to repeat the distracter message, after repeating
the attended message.
d) Both a and b are correct.

5. e attenuation theory of attention was proposed by:

a) Broadbent
b) Cherry
c) Duncan
d) Treisman.
 Which one of the following is regarded as the most influential theory
6.
in vision research?
a) attenuation theory
b) feature-integration theory
c) filter theory
d) object-oriented theory.

7. Early-selection models of attention propose that:

a) all channels are analysed for meaning, but only one is selected for
retrieval
b) some channels are processed for meaning, others are processed
on the basis of perceptual characteristics
c) before channels are analysed for meaning, they are selected on
the basis of perceptual characteristics
d) before channels are analysed for meaning, they are all attended to
simultaneously.

8. In an experiment by Simons and Chabris (1999), 42 per cent of people

concentrating on a certain aspect of a video did not notice a person
dressed in a gorilla suit who walked from one side of the screen to the
other. e failure to see the gorilla is an example of:
a) change blindness
b) the attentional blink
c) top–down control of attention.
d) Both a and c are correct.

9. Victims of crime who have been held up at gunpoint are often better
able to give a better description of the gun than the person holding it.
is phenomenon is evidence of:
a) top–down control of attention
b) bottom–up control of attention
c) change blindness
d) the pop-up effect.
10. Posner and Boies (1971) identified three components of attention.
ese are:
a) an alerting system, a filter system and an executive system
b) an alerting system, an orienting system and an executive system
c) a filter system, an orienting system and an executive system
d) an alerting system, an orienting system and a processing system.

Short-answer questions
1. Briefly outline the basic tenets of Broadbent’s filter theory of
attention.
2. Describe what is meant by divided attention.
3. Compare early-selection models of attention with late-selection
models of attention.
4. Contrast top–down control of attention with bottom– up control of
attention.
 CHAPTER
Memory 13
Clifford van Ommen

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• demonstrate that there are a variety of approaches to studying memory
• understand the basis of the information-processing (IP) approach
• explain the IP concepts of acquisition, storage and retrieval
• describe the concepts used in, and the differences between, the two-store, multi-store and
working memory models of memory
• define forgetting and some of the concepts developed in investigating this process
• describe the basis of the ecological approach to studying memory
• outline the importance of context and culture in the process of remembering
• describe some of the criticisms of laboratory-based research as well as memory research more
generally.

CASE STUDY

Nosipho, when reaching this section of the course, started thinking about her own memory and
how she used to struggle to memorise her work for tests and exams while she was at school. She
hadn’t seemed to be able to keep information in her head. Often she would think she had learned
properly for a test, only to find the answers disappearing the moment she tried to put them down
on paper. Early on at university, she had decided to take the problem in hand and had gone to the
learning centre to ask for some help. There she had been taught various tricks and strategies for
being able to remember more effectively. She knew now that it wasn’t enough just to read over her
notes when she learned as she had done at school. Instead, if she was going to be able to
remember something, she needed to be more actively involved in repeating back the information
to herself while she was learning as well as sometimes even writing things down and testing
herself. This active kind of remembering seemed to work much better. She also learned ways of
triggering her memory during tests and exams. She found that if she took the first letters of a list of
ideas and made them into a word it was much easier to recall the whole list. Sometimes she drew a
funny picture of the material she was trying to learn and in the exam she would find herself smiling
as she visualised it. It not only cheered her up during exams, she also found that remembering the
picture jogged her memory for the information she needed.
Now that Nosipho was feeling more relaxed about her ability to remember information for
exams, she recognised how amazing people’s memories, including her own, actually were. She
 could remember things that had happened to her right back to when she was about five years old.
She could remember several poems she had learned in primary school and all the children she had
been friends with. She could remember the names of all sorts of products on the supermarket
shelves, movie actors and actresses, different makes of car, and directions for how to get around in
the city. ‘It really is incredible when you think about how much complicated information each
person remembers in a lifetime,’ she thought to herself.

Introduction
Take a moment and jot down what you understand by the term ‘memory’.
It is a word in common use in contemporary society, so you should
already have some idea to what it may refer.
Now let us also consider three dictionary definitions of memory. e
Compact Oxford English dictionary of current English (2005) defines it as
‘the faculty by which the mind stores and remembers information’, the
Cambridge dictionary of American English (1999) defines it as the ‘ ability
to remember’, and the online One Look Dictionary Search (n.d.) describes
it as ‘the power of retaining and recalling past experience’. All of these
definitions refer to some capacity to bring something mental from the
past into the present. Would you define memory in a similar way?
Modern psychology has always been concerned with the study of
memory. Consequently, a vast field of memory research has developed.
is chapter will introduce a variety of core terms, briefly present some
contemporary research, and also demonstrate how various psychologists
have developed our understanding of what memory is.
 13.1 MEMORY QUESTIONS AND TASKS
Take a few minutes to tackle the following questions and tasks (which will be referred to throughout the
chapter):
1. What primary school did you attend?
2. What is your current telephone number?
3. What is the capital of Zimbabwe?
4. Try and picture, in as much detail as possible, what your bedroom looks like.
5. Read the following set of numbers once, cover them up, and write them down on a piece of paper
without looking at them again: 219391945.
6. In one minute, try and write as many words as you can that begin with the letter T. Proper nouns
sentences and numbers are not allowed.
7. Open up a phonebook, look down the list of names, and keep count of the number of names you
associate with someone you know or have known.
8. Get up and pretend that you are kicking a soccer ball or swinging a golf club.
9. Writing no more than a few lines, summarise a story you were recently told or which you recently
read.

The information-processing approach

to understanding memory
e information-processing (IP) approach to memory is very
influential (see also other chapters in this section). In this approach there
is a focus on memory as something that takes place in our heads.
Memory is mostly studied as an internal process of the brain (a mental
process), which is regarded as consisting of distinct and interconnected
stages (Holt et al., 2012).
ere have, however, been numerous debates regarding some of the
concepts that have been developed within this approach. ese have led
to different trends emerging, both within and outside the IP school. e
main trend has been away from the idea of memory as a purely mental
process. Instead researchers have shifted their focus to include the
contexts in which memorising and remembering take place. With this
shift has come a decreasing emphasis on the accuracy and inaccuracy of
memory and a greater acknowledgement of the practical nature of what
we remember, and when.
Input, storage and output
In the context of computers, the word ‘memory’ typically refers to the
computer’s storage capacity, which is the amount of information it can
retain without it being lost when it is switched off. Generally, since
extremes of size seem to impress people, the larger the memory, the
better the computer. In the same way, the quicker and greater the
amount of detail a person can remember, the more impressed we are.
Computers have been used as a powerful analogy to help explain
memory. In the IP approach, the memory process consists of three
aspects:
• an input stage (acquisition stage), such as when we type words on a
keyboard
• a storage stage, such as when we save a file on a computer’s hard
drive to use again later
• an output stage (retrieval stage), such as when we call up a file from
the hard drive and view it on the screen (Groome, 1999).

So, in a similar fashion to a computer, the brain is regarded as a complex

information processor, of which memory is a very important part.
Consider the following example. One morning a friend invites you to a
party that same evening. e IP approach would describe the basic
memory process that accompanies and follows the invitation in the
following way: when your friend invites you to the party, you sense,
perceive and understand your friend’s words. Input has thus occurred,
and the information your friend has given you is said to have been
encoded. You retain this information during the day while you attend
lectures and work in the library. at night, on the way home, you
remember the invitation, retrieving the information from storage. is
recollection is the output of the process. (e fifth item in Box 13.1 gives
you another illustration of an input, storage and retrieval sequence.)
You can assist with the retrieval of particular information. To continue
with the above example imagine that, just after being invited to the party,
you jot down ‘party’ in your diary. at night you notice the word you
have written down and recall the memory about the invitation. Your
diary note has acted as a cue, a trigger for you to remember a specific
piece of information (the seventh item in Box 13.1 is another example of
cueing).

Short-term and long-term memory

Early IP theorists conceptualised memory as consisting of two types of
memory store: short-term memory and longterm memory. is became
known as the two-store model of memory (Baddeley, 2007). According
to Groome (1999), short-term memory (STM) refers to information that
is currently in our awareness, while longterm memory (LTM) refers to
the information of which we are not currently conscious but which is
being kept in storage. Let us refer to the fourth item in Box 13.1. When
you are picturing your bedroom in your imagination, that information is
in your STM, because you are currently aware of this information. You
have retrieved this information from storage, so prior to being cued with
this task, the image you evoked in your STM was in your LTM.
Information has thus passed from your LTM to your STM.
According to Lezak, Howieson, Bigler and Tranel (2012), the STM only
retains information for a few seconds, unless it is rehearsed, i.e. unless
you continuously repeat the information to yourself. You are probably
most aware of this process when trying to remember a phone number
without having a pen and paper at hand to write it down. e STM is also
often regarded as a route through which information can be stored in the
LTM. If rehearsed enough, information could be stored in the LTM,
where it could be retained for a long time, from hours to even decades.
(e second item in Box 13.1 is an example of LTM information.)
Atkinson and Shiffrin (1968) extended the two-store model of memory
by adding a third component called the sensory register. is structure
was understood as receiving the initial input (e.g. a visual, tactile or
acoustic stimulus) from the environment prior to it being recognised.
Quinlan and Dyson (2008) report that the sensory store lasts for only
fractions of a second. Once the stimulus is recognised and open to
rehearsal, it is regarded as being in the STM. Because Atkinson and
Shiffrin’s (1968) model included several memory stores, it became
known as a multi-store model of memory (see Figure 13.2); it is also
known as the modal model. e sensory register could be regarded as
part of perceptual processing (see Chapter 8) and includes iconic
(visual) memory, echoic (acoustic) memory as well as other sensory
systems (Baddeley, 2007).
 Figure 13.1 Seeing the fire dancer’s light patterns shows how a visual stimulus is received by the
sensory register

Figure 13.2 Atkinson and Shiffrin’s (1968) multi-store model of memory (simplified)

SUMMARY

• Memory involves the ability to process, store, retain and recall information.
• The information-processing (IP) approach understands memory as an internal mental process.
However, more recent approaches have focused on the contexts of memorising and remembering.
• Memory (much like a computer) can be thought of as having three aspects: an input stage
(encoding), a storage stage and an output stage (remembering).
• Retrieval of information can be facilitated by cues.
• Early IP models saw memory as having two types of stores: short-term memory (STM) and long-
term memory (LTM).
• STM only retains information for a few seconds, unless it is rehearsed; information stored in LTM can
be retained for a long time (hours to decades).
• Atkinson and Shiffrin extended the two-store model of memory by adding the sensory register.
This model became known as a multi-store model of memory.
 13.2 TYPES OF LONG-TERM MEMORY
The following terms are used to describe different types of long-term memory:
Explicit memory (declarative memory) refers to the conscious recollection of facts or experiences that
have been encountered in the past. Three kinds are described here:
Episodic memory is a type of explicit memory that stores personal experiences that have happened at
a particular time and place in the past. For example, episodic memory would store your experience of
your 15th birthday party, or the occasion when you won your first tennis match. (Flashback memory is a
particular type of episodic memory that is triggered by an event that has emotional significance, for
example being able to recall exactly what you were doing when you heard that someone famous had
died.)
Semantic memory is a type of explicit memory that stores facts or general information encountered in
the past. For example, semantic memory would store your bank PIN code or your best friend’s
telephone number.
Gist memory is a type of explicit memory where the main points or salient features of an event or story
are recalled.
Implicit memory (procedural memory) refers to memories that exert an influence on current
behaviour, but are not consciously recalled at the time. For example, when driving your car, you would
not necessarily recall your driving lessons of some years previously, but the various actions necessary for
driving would be stored in your implicit memory (see Box 13.3).

Working memory
Despite its initial popularity, the store-type model has gradually been
replaced by the working memory model (Baddeley, 2007). Part of the
reason for this was the growing experimental evidence that indicated the
shortcomings of the store model. For example, it was found that simply
rehearsing material (called maintenance rehearsal) did not necessarily
increase a person’s ability to recall material; rather it seemed that recall
was related to the level at which the material was being processed. Craik
and Lockhart (in Baddeley, 2007) demonstrated that the more detailed
the analysis when rehearsing material (called elaborative rehearsal), the
more likely a person was to recall it.
For example, refer back to the list of words you generated for the sixth
item in Box 13.1. If you take the list of words you wrote down and merely
repeat them to yourself, you will probably recall fewer of them now than
if you try to remember the sequence in which you first generated the
words, or what you were thinking of at that time. Perhaps you could have
noted which of the words sounded similar or had similar meanings to
make remembering them easier. By analysing the words in a variety of
ways, you are engaging in an elaborative form of rehearsal that should
maximise later recall.
By the late 1970s, the concept of working memory had become
popular (Quinlan & Dyson, 2008). Working memory can be thought of as
replacing the short-term memory of the three-stage model. It was
proposed that the working memory stores information temporarily and is
limited in capacity (which is similar to the concept of the STM). However
(unlike the concept of the STM), the working memory was also proposed
as a cognitive workspace, a place where information could be
manipulated and transformed (Baddeley, 2007). By calling it a ‘working’
memory, Baddeley and Hitch were also emphasising its functional role
rather than simply its storage capacity (Baddeley, 2007).
For example, read the fifth item in Box 13.1 once, and try and keep the
list of digits in mind (no peeping at the page!) so that you can reverse its
sequence. Write down your reversed list. Keep doing this exercise until
you manage to perform it accurately. What you will then have managed is
to both store and transform (in this case, reverse) information. Working
memory refers to this active and dual process.
Elaborating on this, Baddeley and Hitch (in Baddeley, 2007) argued
that working memory consists of three components:
• a central executive (where manipulations occur and which directs
the overall memory activity)
• a phonological loop (which enables the temporary storage of words
through rehearsal)
• a visuo-spatial sketchpad (which enables the temporary storage of
mental images).
Figure 13.3 The multi-component model of working memory (Baddeley, 2000)

is model of working memory was essentially an elaboration of the STM

component of the multi-store model, which retained the LTM concept
from the multi-store model.
More recently, Baddeley (2000) added a fourth component to the
working memory model, called the episodic buffer (see Figure 13.3). e
episodic buffer is a temporary storage system that is able to integrate
information from a variety of sources. In this way, the episodic buffer
addresses the shortcomings of the earlier model as it provides an
explanation of how visual, spatial and verbal information is linked, which
the earlier model did not. Furthermore, the episodic buffer is much like
episodic memory in that it holds episodes whereby information is
combined across space and time. It also plays an important role in
retrieving from, and feeding information to, the long-term episodic
memory.
 ere are individual differences in working memory and these have an
important impact in various areas. is is perhaps most significant in
intellectual functioning (see Chapter 15). For example, working memory
capacity influences children’s developing ability to solve maths problems
(Raghubar, Barnes & Hecht, 2010). An interesting study linked working
memory with people’s capacity to regulate their behaviour. Hofman,
Gschwender, Friese, Wiers and Schmitt (2008) noted how much people
differ in their impulsiveness, for example in their ability to refuse a
tempting treat or to become annoyed quickly. Hofman et al. (2008) noted
that automatic behaviour (e.g. as a result of the personality trait of
angriness) was more powerful in people with a lower working memory
capacity, whereas people with a higher working memory capacity were
better able to ‘manage’ such automatic behaviour. us, Hofman et al.’s
(2008, p. 974) study found that ‘self-regulatory goals, such as the goal to
forego sweets or the goal to control one’s anger, guide behaviour more
effectively in high WMC [working memory capacity] individuals’.

Long-term memory
Long-term memory is the library of all the information and experiences
you have encountered in your life. ere may have been times (when you
were studying for matric, perhaps) that you felt you could not stuff a
further piece of information into your memory. However, the capacity of
long-term memory is effectively unlimited (Holt et al., 2012); it is also the
part of memory that is most resistant to deterioration with age.
Recent cognitive theorists ‘believe that there are … different types of
information stored in long-term memory’ (Lutz & Huitt, 2003). ese
types are based on different structures which serve distinct purposes.
(See Box 13.2 for a description of the different types of long-term
memory.)
 13.3 IMPLICIT MEMORY: THE FORGOTTEN MEMORY
In general, memory research has focused on explicit memory (declarative memory), in particular on
visual memory and auditory memory. These abilities involve a conscious process. However, recently
there has been more research on those memories that we are less aware of having (Holt et al., 2012)
These are grouped under the term ’implicit memory’ (or ’procedural memory’).
The eighth item in Box 13.1 draws on implicit memory. You probably think of complex movements
such as kicking a ball, swinging a golf club or even shuffling a deck of cards, as a skill that you have to
practise to perfect. But if you consider that this involves a process of acquisition, rehearsal, storage and
recall, you will realise that skills (and habits for that matter) are all forms of memory.
Research has shown that implicit memories are usually acquired by doing the relevant activity and
that they are not easy to forget (Shuttleworth-Jordan, 1997). For example, even though you might not
have ridden a bicycle for years, you would probably be able to cycle without much trouble if you were
asked to do so today. A fascinating example of implicit memory comes from over a century ago. Edward
Claparède (1911, in Holt et al. 2012) pricked the hand of an amnesia patient during a handshake
Although the patient was unable to recall the pinprick, her implicit memory of it was demonstrated
when she withdrew her hand when Claparède offered to shake her hand again.

Several authors (Holt et al., 2012; Quinlan & Dyson, 2008) raise a
question about the distinction between shortterm and long-term
memory systems. A fascinating demonstration of this distinction comes
from the study of primacy and recency effects, which are discussed in the
next section.

The primacy and recency effects

A common test used to assess memory in people who have sustained
brain damage is the Rey Auditory Verbal Learning Test (Lezak et al.,
2012). In this test a list of 15 words is repeatedly read to a person who
then, after each reading, has to try and recall as many of the words as
possible, a process known as free recall. Some interesting things are
usually noted when considering which words a person tends to recall.
Usually the words that are read out first and last tend to be recalled more
often than the words in the middle of the list. ese phenomena have
been referred to as the primacy effect (the tendency to recall words
heard first) and the recency effect (the tendency to recall words heard
last) (Quinlan & Dyson, 2008). How do we explain these effects?
 Research has shown that people are limited in terms of the number of
discrete bits of information they can hold in their awareness at any one
time. is is sometimes referred to as a person’s immediate memory
span or simple span (Groome, 1999). A test used to assess this is the Digit
Span Forward test of the Wechsler Memory Scale (Martin et al., 2006). An
approximate example of an item from this test would be item five in Box
13.1 – the list of numbers. A general finding is that people have a span for
between five to nine bits of information, with seven being a common
average (Miller in Groome, 1999). Fifteen items, then, would probably be
beyond the immediate-memory span of most people.
How can these effects be explained? First, according to the three-stage
model, as we hear the first words on the list, we can rehearse them so that
they pass into LTM (Holt et al., 2012). is explains the primacy effect
(the early words on the list have been repeated several times and have
been transferred to LTM). However, as the list goes on, there are too
many words to hold and repeat in working memory or STM. For the
recency effect, the words towards the end of the list are still in the
working memory. us, by utilising a combination of storage devices, a
person can recall more than seven items on the list. However, the words
in the middle of the list tend to fall between these two systems and are
forgotten. e recency effect can be eliminated by presenting a distractor
task (e.g. asking the person to count from 1 to 10 before recalling the
words).

Forgetting
While learning may be defined as the storage of material in the LTM,
forgetting involves the loss of information after it was stored in the LTM.
Hermann Ebbinghaus (1850–1909) was one of the first researchers
known to have scientifically studied memory (Groome, 1999; Holt et al.,
2012; Shuttleworth-Jordan, 1997). He was the first to observe and
graphically plot the forgetting curve, a typical pattern of forgetting where
some material that has just been learned is rapidly forgotten at first, and
the balance is then forgotten at a more gradual pace afterwards (Groome,
1999).
Figure 13.4 The Ebbinghaus forgetting curve

Two explanations for this pattern were considered: spontaneous decay,

where material is lost due to not being used over time, and interference,
where some other input disrupts these memories (Holt et al., 2012). e
interference explanation has proved more popular, primarily owing to
the argument that time alone is an inadequate explanation of forgetting,
and that it is the things that happen across time that are responsible for
this process (Holt et al., 2012). Two forms of interference have been
distinguished:
• Proactive interference, which is where previously learned material
interferes with the learning of new material (Holt et al., 2012). For
example, at a party you are introduced to a Hungarian man with an
unusual name. After some effort, you manage to recall the name at
will. A while later you are introduced to his wife, who has an equally
difficult name. You find that it is an immense struggle to memorise
the second name because the first name seems to interfere. Prior
learning has impeded your current rate of learning.
• Retroactive interference, which is where new material disrupts older
information (Holt et al., 2012). For example, you are introduced to
two people at a party, the one early in the evening and the other an
 hour later. e next day you find that whenever you try to recall the
name of the first person, the name of the second keeps coming to
mind.

SUMMARY

• Owing to shortcomings of the store model, it has gradually been replaced by the working memory
model. Research found that elaborative rehearsal was more effective than maintenance rehearsal,
thus suggesting that active processing of information is needed for better remembering.
• Working memory can be thought of as replacing the shortterm memory of the three-stage model.
• Working memory stores information temporarily and is limited in capacity (like STM); however,
working memory was also proposed as a cognitive workspace where active processing of
information occurred.
• Baddeley and Hitch argued that working memory consists of three components: a central
executive, a phonological loop and a visuo-spatial sketchpad. A fourth component, the episodic
buffer, was added later. The working memory model retained the LTM concept from the multi-store
model.
• To assess memory, researchers commonly read lists of 15 words to people. In free recall, the person
is asked to say which words they recall. People tend to remember the words they hear first
(primacy effect) and last (recency effect).
• People’s immediate memory span extends to five to nine pieces of information (average of seven).
The primacy effect is either due to material being temporarily rehearsed in working memory, or
being stored in LTM and later recalled; the recency effect is thought to be a function of the
immediate-memory span in working memory.
• Forgetting involves the loss of information after it has been stored in the LTM. This may happen
through spontaneous decay or through interference. There are two forms of interference: proactive
(previously learned material interferes with the learning of new material) and retroactive (new
material disrupts older information).

The expansion of understandings of

memory
In this section we will be discussing some of the responses to the basic IP
model.

Meaning and memory

Without looking back, try and recall the nine digits that you learned from
Box 13.1. Chances are that, if you used rote (parrot) learning, you will be
unable to do so. Now look back at the numbers and use the following
sentence, ‘World War II started in 1939 and ended in 1945’ to help you to
memorise the sequence. Chances are that you will still remember the
numbers (219391945) by the end of the chapter. is is impressive since,
at nine numbers, this is at the upper limit of the immediate memory
span. How is this possible?
Two things have happened here. First, the information has been
chunked. Chunking refers to combining individual items into a larger
unit of memory, in this case, dates. In addition, the digits have been
made meaningful; they have been linked to other information that
enables the sequence to be retained in a more enduring form (Groome,
1999). It is difficult to retain these nine numbers when they are
meaningless, but when linked to historical facts, recalling these numbers
becomes less demanding. us, in understanding memory, we need to
understand the role of meaning and past learning.
e work of Frederic Bartlett (1886–1979) becomes significant here,
since he argued that our long-term memory is organised according to
meaning frameworks, known as schemas (Shuttleworth-Jordan, 1997)
(see Chapter 12). Our past experiences (past learning) act as frameworks
that structure the learning of new information (Groome, 1999).
Let us use the 2010 Soccer World Cup as an example. Imagine you
watched all the South Africa matches with two friends, one who knew
little about soccer and the other who had an in-depth knowledge of the
game’s rules, strategies and players. If you discussed the event with these
two friends now, you would probably find that the second friend would
be able to recall much more about each match than your less-informed
friend. According to Bartlett’s theory, the reason for this is that your
friend who is an avid fan has a more detailed and developed schema that
assists him in encoding and retaining cricket information.
 13.4 AN INCREDIBLE PHOTOGRAPHIC MEMORY
Source: Kolb and Whishaw (1996)

We have all met or heard of someone who has an exceptional ability to remember. Perhaps you yourself
are quite proud of your capacity to recall details. Such people are often said to have photographic
memories; that is, they can recollect often very difficult material with incredible accuracy. The Russian
neuropsychologist, Luria, studied an exceptional example of such a person, S. S. was discovered when it
was found that he, originally working as a newspaper reporter, never kept notes of briefings since he
recalled everything that was said verbatim. He had a phenomenal capacity to remember, which Luria
detailed in his book The mind of the mnemonist. A mnemonist is a person who exhibits their
extraordinary memory abilities to audiences.
For example, S. could study, for only two to three minutes, a list of more than 40 numbers arranged in
four columns, and then recall these numbers. He could recall them not only by column and row, but
also diagonally, in reverse, and as sums. Not only this, but S. was able to recall the list accurately more
than 16 years later! He used three processes to remember material: visualising the original stimuli,
remembering them through numerous sensory modalities (as sounds, shapes and colours, or even as
odours and tastes), and associating the new material with a standard set of older material. As far as
could be seen, S. had no limit to his ability to encode new material and, furthermore, could not forget. In
fact he devised several strategies to forget, all of which were unsuccessful.
However, this incredible capacity did seem to come at a price: Luria described how S. was quite dull
and superficial, and unable to appreciate metaphors. He would interpret everything literally and was
thus unable to appreciate poetry, for example.

The accuracy of memory

e schema concept has profound consequences for our understanding
of memory. If what we remember depends on our previous learning, then
the type of detail that each person recalls will vary, since no two people
share the same learning history. e memories you recall during
discussions or while quietly reminiscing are thus constructed; they are
the product of a meeting of your schemas with the event you are
remembering.
erefore, to think of memory as a video recording of events in your
life, which you then replay in your mind’s eye when remembering, is
inaccurate. Instead, remembering is a reconstructive exercise using
information retained within the frameworks of relevant schemas
(Neisser, 1984). is means that memories are not accurate depictions of
events, and they are prone to distortions.
 One example of how inaccurate human memory can be comes from
eye-witness testimony. As Eysenck and Keane (2010) suggest, many
innocent people have been imprisoned on the basis of inaccurate
testimony from witnesses to crimes. One of the factors that impact on this
is confirmation bias – if you believe an immigrant is more likely to
commit criminal actions, you are more likely to perceive a perpetrator to
be an immigrant. Memory can also be distorted by exposure to violence
and the accompanying anxiety. In addition, if the perpetrator has a
weapon, a victim is more likely to focus on the weapon than the details of
the perpetrator (Eysenck & Keane, 2010). Elizabeth Loftus and colleagues
have done a great deal of fascinating research in this area, highlighting
the impact of the way witnesses are questioned after an event. For
example, witnesses were asked to estimate a car’s speed when it
‘smashed’ into another car, or when it ‘hit’ another car. When the first
wording was used, they estimated the car’s speed to be about 11 kph
faster was used (Loftus & Palmer, 1974, in Eysenck & Keane, 2010).

The context of remembering

e idea that memories are inherently inaccurate or constructed has led
to a significant shift in memory research. Some researchers have retained
a focus on the inaccuracy of our recollections and have tried to identify
factors that maximise the accuracy of schema-based memories. Most of
this research has been experimental and conducted in a laboratory.
Others have argued that this is too limited and research needs to move
into everyday life. is is a departure from the basic IP model with its
emphasis on the internal processes of memory; the research net has now
been thrown more widely to include the haphazardness of daily
existence, which is the very thing that experimental psychologists tried to
exclude by conducting research in laboratories.
is shift in focus in memory research has been called the ecological
approach and is closely associated with the work of Ulric Neisser
(Neisser, 1982). Neisser argued that rather than being concerned with the
inaccuracy of remembering, we should be intrigued by its functionality,
i.e. how it is accurate enough to allow us to manage our daily lives
successfully. For example, Neisser refers to gist memory, the ability to
recall the main points or central themes of an event or story (Neisser,
1982), which is a skill often called on in daily life. (e ninth item in Box
13.1 calls on this ability.) Neisser argues for a shift away from the
computer analogy to a focus on the person in context. Memory thus
becomes a social rather than an exclusively mental process.
However, the significance of the role of context in remembering is not
something new and unique to the ecological approach. We all know that
some contexts will evoke strong recollections for us (Schwabe, Böhringer
& Wolfe, 2009). Let us work with the bedroom exercise (the fourth item
from Box 13.1) to demonstrate this. Imagining your bedroom may result
in your recalling various events that took place there; a discussion with
your mom the previous day, a song you listened to a week before, or even
a fight with your brother several years before – and if you go and stand in
your bedroom, many more memories may come flooding back.
Research has shown that remembering is context dependent. An
example of this is a study by Greenspoon and Reynert (in Groome, 1999),
who found that children who were asked to recall what they had learned
in the same room in which they had originally learned it tended to recall
more information than children who had to recall the same information
in a different room. One explanation for this is that there are various
features in the learning context that serve as triggers for remembering. In
this experiment, such triggers would have been absent in the room where
learning had not taken place. Schwabe et al. (2009) took this research one
step further and demonstrated how stress can disrupt context-dependent
memory. In this study, adult participants were exposed to stress before a
learning task in a vanilla-scented room. Compared to the control group,
whose memory was enhanced by the vanilla scent, the group which was
exposed to stress showed no memory enhancement. In the previous
section, we also saw how emotion can disrupt memory in eye-witness
situations.

Society and culture as context

It is important to realise that context refers to more than our physical
surroundings but extends to the sociocultural background of the person
doing the remembering. Mistry and Rogoff (1994) argue that the
inaccuracy and distortion that is evident in people’s remembering may
be better understood as a product of their context than as an indication
of the functioning of some internal process. ey argue that people learn
particular remembering skills within their specific cultural context. For
example, in formal Western schooling we are taught strategies for
remembering unrelated bits of information (as in the fifth item in Box
13.1). ese strategies may be absent in other contexts where such skills
are not in demand.
is idea places the IP approach in an interesting position. Since it has
been very concerned with the remembering of discrete, meaningless bits
of information, the IP approach thus locates itself within the concerns of
Western culture. It then becomes possible to ask: ‘To what extent are the
findings of this approach relevant to those in positions outside of this
dominant culture?’
Let us consider the following: Frederic Bartlett found that Swazi
herdsmen were very good at remembering details of the cattle under
their care, but did less well at remembering a 25-word message (Mistry &
Rogoff, 1994). Using the above idea, it can be argued that the herdsmen
had well-developed skills for remembering cattle, which are very
significant animals in the Swazi culture, but were less skilled in carrying
messages, which would probably be more valued in a Westernised
culture.
Figure 13.5 Cultural context plays a role in determining what type of memory skills we develop

Another example from Mistry and Rogoff (1994) refers to work done with
Mayan children who were asked to remember a culturally relevant story
and then retell it to an adult. e researchers found that the Mayan
children did far worse than a group of American children. However,
rather than assuming that some cultures have poorer memories, the
cultural context should be taken into consideration. Outspokenness is a
skill valued in middle-class US culture (Kitayama, 2000; Markus &
Kitayama, 1991), but speaking freely to an adult is considered
inappropriate for Mayan children, since one should not claim greater
knowledge than an adult. It is thus not surprising to note a poorer
performance among such children.
Wang and Brockmeier (2002) used this approach in studying
autobiographical memory. is is the memory we have of our own lives.
Wang and Brockmeier (2002) note that, in Western contexts, it is assumed
that such memory relates to our selves or our identity. However, these
authors consider autobiographical memory to emerge from dialogues
between a person, his/her immediate social environment (family, peers,
etc.) and his/her larger cultural context. For Wang and Brockmeier (2002,
p. 47), therefore, ‘autobiographical remembering is a cultural practice’.

Living in a world of action: a critical approach to

memory research
Although Neisser is interested in studying memory in its natural context,
his ecological approach still shares the IP concern for determining the
accuracy of people’s recollections. However, Edwards and Potter (1995)
do not, and they have criticised aspects of Neisser’s ecological approach.
ey agree with Neisser that laboratory studies provide limited insight
into the process of remembering because such research is so removed
from the context of the everyday world. Where they differ from Neisser is
that his, and all previous memory research, is built on the assumption
that an accurate and indisputable record of the original events exists, and
can be used to judge the accuracy of a person’s recollections. But, say
Edwards and Potter (1995, p. 32), ‘there can be no neutral, interpretation-
free record against which to check claims’. Consider again the example of
the student who was involved in a car accident with the Dean of
Humanities (see Box 13.5), which demonstrates how the memory of an
event varies according to the context: to whom, where and when the
story is told.
13.5 CONTEXT-BASED ACCOUNTS OF DENTING THE DEAN’S
CAR
A student is involved in a car accident with the Dean of Humanities. The following stories are given by
this student in different contexts.

Student to father: I was driving behind the dean when he suddenly hit the brakes. I couldn’t stop in time
and ran into the back of him. I wasn’t driving up his rear but it was just so sudden! I just couldn’t stop
quickly enough.

Student to friends: I was really tired after working through the night to complete the psych essay. I didn’t
even know it was the dean in front of me. If I had, I would have stayed a mile away. Next thing all I see
are red lights, and bang into the back of him! I shat myself! There I am, moeg [tired], just trying to get
home and then boom! It really made my day.

Student to police: I was driving in my car behind the other car. We were both driving down Church Street
towards the Magistrate’s Court. The other car came to a sudden stop. My car collided with the back of it.

Consider, is there one final true version of what happened?

 Figure 13.6 A story told to friends may be quite different from the story told to a policeman or a
parent because no version of the same event is ever separate from context and interpretation

Edwards and Potter (1995) state that each time a story is told the
speaker aims at achieving different effects. is does not mean that the
student from Box 13.5 is lying (the same facts may be reported each
time), or that the student is conscious of any variations. What Edwards
and Potter (1995) would say is that the student is creating each version to
meet the demands of each situation.
Since we are always recollecting in a context, we can never tell the one
final true version of what happened.
However, Edwards and Potter (1995) do not condemn Neisser’s work.
ey see his research as making a valuable contribution, but they argue
for the importance of studying how people construct their versions of
events and how they manage to achieve particular effects through such
versions.

13.6 IS EXCEPTIONAL MEMORY AN INNATE TALENT OR CAN IT

BE DEVELOPED?
Source: Woollett, Spiers and Maguire (2009)
Woollett et al. (2009) investigated people with average IQs but with extraordinary memory talent or
expertise – London taxi drivers. These drivers have to learn the layout of London, including 25 000
streets, as well as the locations of many places of interest. Woollett et al. (2009) used neuropsychologica
assessment and functional MRI (fMRI) scans to investigate whether adults could achieve high levels of
expertise. Navigating around streets depends on the hippocampus and the study showed that tax
drivers had larger volumes of grey matter in their posterior hippocampi compared to other drivers. In
addition, this volume was greater in those who had been taxi drivers for longer. A study on a driver with
bilateral hippocampus damage due to encephalitis showed that he had been able to adapt by using
main roads, but that when he had to move away from these, he became lost. Woollett et al. (2009) also
investigated how the taxi drivers acquired the great volume of information they needed to have to do
their jobs. They found that the drivers made extensive use of mnemonics, much as did other ‘memory
champions’. Finally, Woollet et al. (2009) investigated whether this highly developed expertise came with
some cognitive costs. They found that the taxi drivers had deficiencies in acquiring and retaining certain
types of new information. In addition, their anterior hippocampi were smaller than average. It seems
that exceptional learned expertise may come with both cognitive and brain structure costs.
 SUMMARY

• Memory can be improved through techniques like chunking and through the information being
made meaningful. The latter depends on our past learning and the schemas (frameworks) that
have been established. Our past experiences act as frameworks that structure the learning of new
information.
• If what we remember depends on our individual schemas, then any two people will remember
things differently. Memory is not like a video recording; it is a reconstructive exercise using relevant
schemas. Therefore, memory is prone to distortion.
• This notion of memory as inherently inaccurate or constructed has resulted in a significant shift in
memory research. Led by Neisser, this ecological approach is interested in aspects like gist memory.
This is the ability to recall the main themes of an event, and helps us manage daily life. The focus of
this theory is on the person in context.
• Research has long shown that remembering is context dependent. This may relate to the presence
of certain triggers for remembering which are available in the context during the recall process.
• Contexts relevant to remembering include the person’s sociocultural context. Different
sociocultural contexts facilitate different kinds of memory skills. This suggests that the IP approach
may not be relevant to those outside of dominant Western culture.
• Both the IP approach and Neisser’s approach are concerned with establishing the accuracy of
people’s memories. However, Edwards and Potter argue that it is impossible to determine the
accuracy of a person’s recollections. This is because no accurate and indisputable record of the
original events exists.

Conclusion
In this chapter we have traced the development of psychology’s investigation of our ability to
remember. In this process you have been introduced to a large number of terms and ideas that
has probably shifted the understanding of memory that you articulated at the beginning of this
chapter. Our journey started with the information-processing approach, with its strong internal
focus and emphasis on computer terms. Over a number of steps we then saw how the
understanding of memory has shifted from that of a passive and internal store to a more dynamic
and skilled phenomenon that is intimately tied up with both meaning and context. Finally, we
completed our journey by showing how in recollecting, we can never arrive at a final true version
of an event. us, the concept of memory lies distributed among these understandings. Memory
is a field of study that is still as alive with debate and investigation as it was when psychology first
became intrigued by it more than a century ago.

KEY CONCEPTS

auditory memory: the ability to acquire and recall what has been
heard
central executive: a component of working memory where sensory
and recollected input is manipulated
chunking: combining individual items into a larger unit of memory
cue: a trigger for a person to remember a specific piece of information
ecological approach: the study of memory as something that a
person does in a social or everyday context
elaborative rehearsal: the detailed analysis of information when a
person is trying to remember it
episodic buffer: the concept of a temporary storage system that is
able to integrate information from a variety of sources
episodic memory: a type of explicit memory that stores personal
experiences that have happened at a particular time and place in the
past
explicit memory (declarative memory): the conscious recollection
of facts or experiences that have been encountered in the past
forgetting: the loss of information after it has been stored in the LTM
free recall: a process during which a list of words are repeatedly read
to a person who, after each reading, has to try to recall as many words
as possible without the assistance of external cues
gist memory: a type of explicit memory where the main points or
salient features of an event or story are recalled
immediate memory span: the number of discrete bits of information
that a person can hold in awareness at any one time
implicit memory (procedural memory): unconscious recollections
that exert an influence on current behaviour
information processing (IP) approach: an approach to memory
where memory is thought of as an internal cognitive process
consisting of distinct and interconnected stages
input stage: the first stage of the process of remembering, according
to the IP approach
interference: the concept that material is lost from the LTM owing to
disruption of it by other inputs into the LTM
long-term memory (LTM): a component of Atkinson and Shiffrin’s
model of memory that refers to information of which we are not
currently conscious but which is being kept in storage and can be
recalled at a later time
maintenance rehearsal: simply going over material with the
intention to memorise it
memory: the ability to process, store, retain and recall information
mnemonist: a person who exhibits his/her extraordinary memory
abilities to audiences
multi-store model of memory: Atkinson and Shiffrin’s (1968) model
of memory, which is composed of the sensory register, the short-term
memory and the long-term memory
output stage: the third stage of the process of remembering,
according to the IP approach
phonological loop: a component of working memory that enables
the temporary storage of verbal material
primacy effect: during free recall, the tendency to recall words that
were heard first
proactive interference: a process whereby previously learned
material interferes with the learning of new material
recency effect: during free recall, the tendency to recall words heard
last
retroactive interference: a process whereby information is lost from
the LTM because new material disrupts older information
Rey Auditory Verbal Learning Test: a common test used to assess
verbal memory in people who have sustained brain damage
schemas: meaning frameworks into which the LTM is organised
semantic memory: a type of explicit memory that stores facts, or
general information encountered in the past
sensory register: a component of Atkinson and Shiffrin’s model of
memory that receives the initial sensory input from the environment
before recognising this
short-term memory (STM): a component of Atkinson and Shiffrin’s
model of memory that refers to information that is currently in our
awareness
spontaneous decay: the concept that material is lost from the LTM
owing to it not being used over time
 storage stage: the second stage in the process of remembering,
according to the IP approach
two-store model of memory: an early IP model of memory, made up
of the STM and the LTM
visual memory: the ability to acquire and recall what has been seen
visuo-spatial sketchpad: a component of working memory that
enables the temporary storage of images
working memory: a limited-capacity memory store that temporarily
holds information and manipulates and transforms it

EXERCISES

Multiple choice questions

1. According to the information-processing (IP) approach, memory

consists of three aspects. Which one of the following is not one of
those aspects?
a) retrieval
b) storage
c) input
d) throughput.

2. Which one of the following statements is false?

a) e sensory register is part of Atkinson and Shiffrin’s store model
of memory.
b) e sensory register receives initial acoustic sensory input.
c) e sensory store recognises a stimulus and then passes it on to
the short-term memory.
d) e sensory store receives input from all sensory modalities.

3. Working memory refers to:

a) the memory process that becomes possible once energy flow has
been initiated through brain circuits
b) a replacement of the passive store model of memory, where
memory is understood as a more dynamic process
 c) that part of the memory store that remains intact after brain
damage
d) a model understood as consisting of three basic components: the
sensory register, the short-term memory and the long-term
memory.

4. At a party, you are introduced to someone who looks a lot like Oprah
Winfrey. Later, when trying to recall this person’s name, all you can
recall is Oprah’s name. is experience is referred to as:
a) retroactive interference
b) proactive interference
c) schema interruption
d) rapid forgetting.

5. e more detailed and developed a schema is:

a) the greater the chance of proactive interference
b) the easier the process of encoding and retaining information
related to that schema
c) the more difficult and slower the process of encoding and
retaining information related to that schema
d) the more you have a plan that takes into consideration all possible
contingencies.

6. According to Neisser (1984):

a) memory is best thought of as an ongoing record of events similar
to a videotape recording
b) memory can best be understood by studying it within natural
contexts
c) memory encoding is a highly accurate process where distortions
are always indications of brain damage
d) memory encoding is a highly accurate process where distortions
are always indications of poor education.

7. Some argue that many memory assessment tests are:

a) based on Western conceptualisations of memory
 prejudiced against people from non-Western cultural
b)
backgrounds
c) biased towards particular types of memory skills
d) all of the above are correct.

8. Edwards and Potter (1995) argue that:

a) Neisser makes an important contribution to improving the
accuracy of laboratory-based memory research.
b) Neisser’s ecological approach to memory is removed from the
context of the real world.
c) Although possible, it is very difficult to attain a neutral and
interpretation-free account of an event against which eye-witness
accounts can be checked.
d) A memory cannot be separated from the social context in which it
occurs.

9. Why is it that a story told to friends may be quite different when told
to parents, or when told to a policeman?
a) People are more truthful when they tell a story to their friends
compared to when they describe the same event to authority
figures.
b) People create each version of the story to meet the demands of
each situation.
c) Neither a nor b is correct.
d) Both a and b are correct.

10. Retroactive interference refers to the phenomenon where:

a) new information disrupts older information
b) previously learned information is forgotten
c) previously learned information interferes with the learning of new
material
d) both a and c are correct.

Short-answer questions
1. In what ways does working memory differ from shortterm memory?
 If you were asked to remember the following series of numbers:
2.
200419942010, what schemas would you use to remember them?
 CHAPTER
Language 14
David Neves

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• define what language is and describe its most important characteristics
• demonstrate an understanding of the relationship between language and thought
• describe the process of language acquisition
• identify the various components of language and be able to illustrate these with appropriate
examples
• demonstrate an understanding of the debates surrounding the origins of language
• appreciate southern Africa’s rich linguistic diversity.

CASE STUDY

Nosipho found the subject of language a particularly interesting one. She had grown up speaking
isiXhosa at home, but had spoken English when she started preschool. She didn’t remember
having to learn English, but had just seemed to pick it up from hearing it spoken around her. It was
amazing how much easier it had been to learn a language as a young child than it was now.
Nosipho had taken an introductory course in French when she started university and had found it
surprisingly difficult to learn. Her adult mind seemed to struggle much more to learn new words
and grammar.
Nosipho still spoke both isiXhosa and English fluently, but used them in different situations. She
tended to speak isiXhosa at home with her family and English at university. She and her friends
often spoke a mixture of both languages, moving between them depending on what they were
talking about. Because her textbooks and lectures were in English, Nosipho found herself thinking
about psychology in English. But when she was telling her parents about something she had
learned in a lecture, she would sometimes struggle to find the equivalent isiXhosa word to
describe it. Often there didn’t seem to be a word that meant exactly the same as the concept she
was trying to explain and she simply had to slot in the English word. There were also times she
struggled to find the English equivalent of an experience she could describe so easily in isiXhosa.
This was particularly frustrating when she was trying to describe a strong feeling, for example.
Speaking two languages seemed to have made Nosipho especially aware of the way that
language could affect the way a person saw and described the world.
Introduction
Reflect for a minute on the phenomenal power of language. At the
moment you are scanning patterns of squiggles which someone in
another time and place, whom you have probably never met, has used to
attempt to communicate with you. e ability to represent and
manipulate information by means of symbolic systems such as language
is among the most remarkable cognitive achievements of our species. In
evolutionary terms, language has enabled human beings to organise
society and transmit knowledge across generations (Holt et al., 2012).
Having language means we no longer have to learn from trial and error
about which poisonous plants to avoid, nor do we need to reinvent the
wheel or democracy with each new generation. Language is, therefore, a
powerful resource for thought and action and for the transmission of
culture.

What is language?

Figure 14.1 ‘Hello’ in South Africa’s nine official languages

Language is a system of representation that enables us to encode and

convey meaning through the production and combination of signs.
Language has the following qualities:
 Language is highly symbolic. e relationship between words and the
•
entities to which they refer is almost always arbitrary and a product of
social convention. ere is, for example, nothing inherent in the word
giraffe that looks or sounds like a real giraffe.
• Language is infinitely generative. It entails the production of infinite
meanings from a finite set of discrete elements. For example, in
English, from an alphabet of 26 characters, 44 sounds and
approximately 100 000 words, sentences expressing an endless range
of meanings can be created.
• Language is rule governed. e infinite meaning-making power of
language does not make all combinations of language elements
acceptable. Language is governed by various rules that enable people
to produce and interpret meaning in a consistent and largely shared
way.
• Language is specific. Although we can communicate ideas and
feelings by non-verbal means such as music, mime or visual images,
how would you convey the specific idea ‘psychopathology is my third
favourite section of psychology’ or ‘I think you are not standing next
to a penguin’, without using language?
• Language is widespread and complex. e fact that language is found
in all societies and is effortlessly acquired by young children obscures
its hidden complexity. Consider, for instance, that any average
English-speaking five-year-old child knows whether to use ‘a’ or ‘the’
when referring to an object, despite the fact that the grammatical
rules for this are extremely abstract and complex.
 SUMMARY

• Language can be written. Not all languages are written, but those that are have their
representational power vastly expanded. The technology of writing enables language to transcend
time (many religious texts are thousands of years old) and distance (e-mails can be sent to friends
across the world).
• Language is phenomenally powerful. The ability to represent and manipulate information by
means of symbolic systems such as language is among the most remarkable cognitive
achievements of our species.
• Language is a system of representation that enables us to encode and convey meaning through
the production and combination of signs.
• Language has the following qualities: language is highly symbolic; language is infinitely generative;
language is rule governed; language is specific; language is widespread and complex; language
can be written.

Language and thought

Language is a powerful resource for representation and thought, but
what is the precise relationship between language and thought? Does
language shape our thought, or vice versa?
Is it possible to think without language? Many famous artists and
scientists have described how they thought by means of visual images,
numbers or even abstract logic. Pioneering genetics researchers, Watson
and Crick, visualised and built physical models of the structure of DNA in
a double spiral shape, which enabled them to confirm their theory
(Watson, 1980). Similarly, Albert Einstein described how he developed
his theory of relativity by imagining himself dropping coins in rapidly
descending lifts or timing beams of light flashed within fast-moving
railway carriages (Gleick, 1999; Pinker, 1994). inking is thus not
dependent on language.
On the other hand, it is possible to have language without thought. If
you have ever rote-learned a poem or listened to a parrot mimic human
speech you might have a sense of this.
e debate over the complex relationship between language and
thought remains unresolved and perhaps it will never be put to rest, as
separating each from the other is extremely difficult. Researchers have
typically tried to unravel this complex relationship in one of two ways:
they have either investigated how thought and language develop in
children or, alternatively, they have looked across cultures that use
different languages, to understand how these affect peoples’ thinking.

14.1 WHEN WILL WE BE ABLE TO SPEAK WITH ANIMALS?

Do animals use language, and when will we be able to speak with them? The answer to this question
depends largely on how one defines language. Animals use complex systems of communicative
signalling: bees do a dance to tell other bees where to find pollen, while other insects, birds and many
mammals emit warning, territorial and mating calls. In some respects we already communicate with
animals: perhaps you call your cat to feed it or have witnessed a Border Collie dog obey its handler’s
commands and round up a flock of sheep. However, animal communication lacks several of the features
of language identified at the beginning of this chapter:
The communicative units used by animals lack the arbitrary or symbolic quality of human language and
are directly related to their semantic content. For example, a dog’s growling and baring of its teeth at
you is directly related to its potential future action – it will bite you if you come any closer!
Animals’ communicative units are not discrete (i.e. in separate parts – think of a dog barking or a cat
purring) and cannot be combined into longer utterances. Animals’ communicative acts tend to be
relatively continuous and repetitive.
Animal communication lacks the productive, generative quality of human language and can only
convey limited meanings. Most efforts to teach animals language have focused on our closest living
relatives, primates such as chimpanzees. Attempts to teach even intelligent animals such as
chimpanzees language have been largely unsuccessful. Chimps do not share our vocal apparatus, so the
efforts to teach them have entailed using sign language or systems of manipulating plastic signs
(Premack & Premack, 1972). However, several decades of research have revealed only crude language
use that can be accounted for in terms of stimulus–response learning. For example, a bonobo called
Panbanisha was taught to use about 400 geometric patterns on the basis of which she learned about 3
000 words by the age of 14 years (Eysenck & Keane, 2010). However, she rarely produced novel
sentences and her sentences were grammatically correct but simple. Humankind’s long-standing dream
of talking to animals, therefore, seems unlikely to be fulfilled anytime soon.
Chomsky stated, ‘If animals had a capacity as biologically advantageous as language but somehow
hadn’t used it until now, it would be an evolutionary miracle, like finding an island of humans who could
be taught to fly’ (cited in Eysenck & Keane, 2010, p. 327).

Child development studies

Have you ever had the frustrating experience where you have a thought,
but cannot find the words to express it? Or perhaps you have written a
sentence and felt it is not exactly what you want to convey? If so, you
might be tempted to say that thought precedes language. Examining
children’s intellectual development, Jean Piaget said much the same
thing. (Piaget’s sensorimotor and preoperational stages of child
development are described in Chapter 3.)
According to Piaget, a Western psychologist, at the end of the
sensorimotor stage, children have developed a number of symbolic
abilities, such as play, deferred imitation and memorisation. Piaget
believed that language could be classified as another of children’s
symbolic abilities (Piaget, 1968). He maintained that language is similar
to a child’s other cognitive abilities as it requires the construction of the
underlying conceptual structure, but language and thought are not the
same thing, and developmentally, thought precedes language.
In contrast, Lev Vygotsky, a Soviet psychologist, argued that the
development of thought follows that of language. Describing thought and
language as distinct systems for representing information, Vygotsky said
these systems develop alongside each other until the age of
approximately two, when ‘thought becomes verbal and speech rational’
(Vygotsky in Byrnes & Gelman, 1991, p. 20). In Vygotsky’s view, thought is
a form of inner, self-directed speech. So, to think is to silently talk to
yourself. If you have ever overheard children (or even adults) talking
themselves through a complicated or unfamiliar task, you may well have
a sense of this. In Vygotksy’s view, language, and therefore thought, are
heavily influenced by the social systems in which the child grows up.
e issue of children’s egocentric speech (private speech) illustrates
the differences between Piaget’s theory and Vygotsky’s theory. Pre-school
children often talk aloud to themselves, paying minimal attention to
those around them. In groups they tend to engage in collective
monologues where they talk past each other. is egocentric speech
declines and disappears around the age of six years. Why? Piaget and
Vygotsky’s respective explanations are very revealing. Piaget argues that,
with the child’s mental maturation, socialised speech (used by people in
everyday life) comes to replace egocentric speech. e latter form of
speech simply dies out. Vygotsky, in turn, argues that all speech is by
definition already social, and egocentric speech has become silent and
internalised as thought. Consequently, ‘the true direction of the
development of thinking is not from the individual to the social, but from
the social to the individual’ (Vygotsky, 1986, p. 36).

Figure 14.2 Young children, and occasionally adults, talk themselves through unfamiliar or complex
tasks
 SUMMARY

• The relationship between language and thought has been intensively studied with opposing
theories emerging. From reports of famous artists and scientists, it seems thinking is not
dependent on language. However, it is possible to have language without thought (as in rote
learning).
• The complex relationship between thought and language has been studied either by investigating
language development in children or by looking at cross-cultural studies.
• Piaget believed that thought precedes language. Language can be seen as just one of children’s
symbolic abilities which is similar to other cognitive abilities as it requires the construction of the
underlying conceptual structure.
• Vygotsky, on the other hand, argued that the development of thought follows that of language. He
saw thought as a form of inner, self-directed speech. In Vygotksy’s view, language, and therefore
thought, are heavily influenced by the social systems in which the child grows up.
• Piaget and Vygotsky explain egocentric speech differently. Piaget argues that, with the child’s
mental maturation, socialised speech comes to replace egocentric speech. Vygotsky, in turn,
argues that all speech is by definition already social, and egocentric speech has become silent and
internalised as thought.

Cross-cultural studies
Benjamin Whorf (1956), influenced by his teacher Edward Sapir,
advanced an even stronger view of the relationship between language
and thought. Linguistic determinism (or the Sapir-Whorf hypothesis)
proposes that different languages incorporate radically different
worldviews which ultimately determine how people think. Whorf is best
known for his cross-cultural research that documented the large number
of words (over a dozen) that the Inuit (or Eskimo) have for snow, while
people living in warmer regions have fewer or no words for snow. A local
example would be the many terms for the colours of cattle hides in
indigenous South African languages.
Linguistic determinism states that developing particular words for an
object or phenomenon enables one to perceive differences, make
distinctions and categorise information in ways that would otherwise not
be possible. So, the Inuit would be capable of communicating, seeing and
thinking about differences related to snow that people living in sunny
South Africa could not. But linguistic determinism does not only operate
at the level of words – even the grammatical structure of language
influences our thought.
Whorf (1956) described the manner in which the Native American
Hopi’s language does not make the same rigid distinctions between past,
present and future tense as languages of European origin. As a result, he
argued the Hopi have a conception of time that is continuous and
circular, much like the recurrent cycles of the seasons. In contrast, in
industrial societies time is linear, ordered into discrete units, frequently
referred to and tracked by timepieces strapped to wrists. Having
particular linguistic resources at our disposal therefore enables us to
make certain conceptual distinctions (Eysenck & Keane, 2012). Although
experiments have not always found evidence for linguistic determinism
(see Au, 1983, 1988; Heider, 1972), a weaker view of this idea, that
language influences rather than determines thought, is better supported
(Eysenck & Keane, 2012).
Linguistic relativism (the idea that we perceive the world within a
framework conferred by our language) is particularly apparent in a
multilingual society like South Africa. Consider, for instance, that
isiXhosa does not have a precise equivalent for the English word
counselling. So, were isiXhosa-speakers unable to understand the
practice of counselling? No, they were able to understand it, but their
language was unable to help them in the same way as English, and a
suitable isiXhosa term had to be found. Work with a group of isiXhosa-
speaking counsellors identified the metaphoric term mthungululi (
removing mud from someone’s eyes) to describe the supportive, yet non-
advice-giving, practice of counselling (Tutani, 2000).
Figure 14.3 isiXhosa has many different terms for the colours of cattle hide

However, isiXhosa has a wide range of terms describing kinship

(family) relations that are largely unavailable to native English speakers.
IsiXhosa speakers often use the term utatomncinci (small father), for
their paternal uncle and the term udadobawo (small mother) for their
paternal aunt. In isiXhosa, first cousins are often termed brothers and
sisters, and a distinction can even be made between brothers who are
older umkhuluwa, and those who are younger umninawa (Kaschula &
Anthonissen, 1995). Complex kinship terms suggest members of
isiXhosa-speaking communities have a keen understanding of
communal relations and a marked social intelligence.
South Africa also has its own sign language, South African Sign
Language, which is considered to be a minority language primarily used
by deaf people (Aarons & Akach, 2002). Signed languages operate like
any other language in that they are learned naturally by young children at
the same rate and ease as spoken languages (Aarons & Akach, 2002).
ere is no globally universal signed language, although the signed
language in a country is generally distinguishable from that of another.
Signed languages are also not related to the language spoken in a
particular country; for example, in Britain and America, the spoken
language is English, but their signed languages are mutually
unintelligible (Aarons & Akach, 2002). South African Sign Language is
 protected under the constitution and is an official means of
communication in schools for the hearing impaired. However, in
practice, there are too few qualified teachers who are proficient in signed
language and this is an important human rights issue that needs
attention in future (Aarons & Akach, 2002).

SUMMARY

• Whorf argued for a very strong view of the relationship between language and thought: linguistic
determinism.
• Linguistic determinism (the Sapir-Whorf hypothesis) proposes that different languages entail
radically different worldviews, which ultimately determine how people think.
• Whorf’s cross-cultural research showed that the vocabulary of a language is influenced by the
conditions and demands of its social context. In addition, Whorf felt that linguistic determinism
does not only operate at the level of words but that even the grammatical structure of language
influences our thought.
• There is mixed research support for linguistic determinism; however, a weaker view of this idea,
that language influences rather than determines thought, is better supported.
• A less strong view than Whorf’s, linguistic relativism, argues that we perceive the world within a
framework conferred by our language. This means it may be challenging to express concepts from
other languages. The vocabulary and structure of a language may indicate aspects of the cultural
group associated with the language.

The components of language

Language is made up of a number of components which are arranged in
a hierarchical way (Holt et al., 2012). Ranging from small to large, these
include sounds, words, and sentences, as well as the broader pragmatic
context of language use. e establishment of meaning is a product of all
of these elements.
Figure 14.4 Some obvious linguistic levels of structure

Sounds
Phonetics is the study of the physical sounds of language. e sound
units that make up spoken language are termed phonemes. Phonemes
only roughly correspond with the written alphabet (for instance, the
written English term ‘psycho’ has six letters, but is made up of four
sounds ps-y-ch-o). Spoken phonemes are produced by our vocal
apparatus, which includes the tongue, lips, larynx (voice-box), trachea
(windpipe) and lungs. e phonological or sound quality of language
even determines its written form because most written alphabets are
phonetic – they encode sound units. Notable exceptions to phonetic
alphabets are Mayan glyphs (see Figure 14.5), Chinese logograms and
ancient Egyptian hieroglyphs, where the written characters convey ideas.
(Refer back to Box 3.4 in Chapter 3 for an interesting description of some
difficult sounds for pre-school children.)
Phonological differences are an important source of variety among the
world’s languages, and part of what makes learning a foreign language
difficult (Ziegler & Goswami, 2006). If you have ever tried to write down
an unfamiliar spoken language you will know that it is difficult deciding
where individual words even begin and end.
 Phonological differences can be heard among South Africa’s diverse
languages. English contains 44 phonemes, above average in global terms,
but far below the 141 of the Khoisan people of the Northern Cape and
Namibia (Pinker, 1994). Certain phonemes are altogether absent from
some languages. For instance, a native Japanese speaker visiting South
Africa would not readily be able to distinguish between the r and l
sounds. English also has the th sound (as in there), which is largely
unknown in other languages, while Afrikaans has strong, guttural and
rasping g and r sounds that speakers of other languages struggle to
pronounce. e Xhosa, Zulu and Khoisan people’s languages have up to
48 click sounds found nowhere else in the world (Pinker, 1994).
Figure 14.5 Mayan glyphs of the four points of the compass (where the glyph represents the entire
idea rather than a collection of sounds)

Can you say the South African national motto? Written in an almost
extinct dialect of Khoisan (spoken by the first inhabitants of South
Africa), it reads: ‘!KE E:/XARRA//KE’ (pronounced: click-eh-airclick-
gaara-click-eh) and means ‘diverse people unite’ (see Figure 14.6).

14.2 THINKING CRITICALLY ABOUT HOW LANGUAGE SHAPES

SOCIAL REALITY
While linguistic relativism has sometimes been overemphasised, it is widely accepted that language
influences our thinking – not only across but also within particular languages. For example, the term
chairman has been beneficially replaced by chairperson, to counter the subtle gender bias that suggests
that women cannot occupy positions of authority.
The influence of language on thought is also well understood by those whose job it is to create
propaganda or influence public opinion. Governments have been known to refer to tax increases as
‘revenue enhancement’, mass bombings as ‘pacification’ and, most recently, civilian casualties as
‘collateral damage’. In much the same way, corporations refer to price increases as ‘tariff adjustments’
and financial losses as ‘negative growth’. Language, particularly when questions of power are involved, is
seldom neutral.
Figure 14.6 The South African coat of arms

Words
Words represent the next level of language, and they are made up of
morphemes. Morphemes are the smallest meaningful units of language
and include root words, suffixes (e.g. adding –ed to a root word to make
the word past tense) and prefixes (e.g. adding ‘auto’ before the root to
denote it relates to the self, as in an automobile which moves itself ).
Consider the following question: the word ‘establishment’ is often
used to describe the dominant social and political structures in society,
so what would the word ‘antidisestablishmentarianism’ mean? e
longest word in the English language, its morphological elements can be
broken down as: anti/dis/establish/ment/arian/ism. is word describes
a viewpoint or philosophy (ism), which is opposed to (anti), the people
who follow a philosophy (arian), which is against (dis), the
establish/ment. Phew! Essentially the people (or viewpoint) described by
this word are against those who are against the establishment. Each
morpheme that was added to the root word ‘establish’ changed the
meaning of this word.

Sentences
Sentences are not random collections of words because the words within
a sentence interact to generate specific meanings. Language can be
thought of as having a surface structure and a deep structure (Holt et al.,
2012). e surface structure refers to the words that are used and their
order in a sentence. e rules of syntax determine how words are
ordered. For example, the sentence ‘e man bit the dog’ has a very
different meaning from ‘e dog bit the man’. Or, as Pinker (1996)
reminds us, a Venetian blind is very different from a blind Venetian. e
rules of syntax are often emphasised in grammar classes in school.
Have you ever tried to translate an extract of language into another
language? If so, you might know that it is practically impossible to do this
on a word-for-word basis and still make sense. A better strategy is to sum
up the general meaning of each sentence. is is because the individual
words and syntax of a sentence alone cannot account for its meaning.
e deep structure of a sentence is its meaning. us, we need another
concept to understand language. Semantics examines the way in which
words and underlying meanings are related. Consider the linguist
Chomsky’s famous nonsense sentence: ‘Colorless green ideas sleep
furiously’. is example illustrates how the syntax of a sentence can be
perfect, while its semantic content (or meaning) is not. (How can
something be green and colourless? What does it mean for ideas to sleep,
especially furiously?) Successfully comprehending and producing
sentences therefore demands that we be sensitive to both syntax and
semantics.

Pragmatic context
e final aspect that needs to be noted in order to understand language is
its pragmatic context (Holt et al., 2012). Although meaning is a product
of language’s formal properties (phonology, morphology, syntax and
semantics), it is created in a context understood by both speaker and
hearer. Imagine you are eating dinner and somebody asks you, ‘Would
you be so kind as to pass the potatoes?’ You pause for a moment and
reply, ‘Yes, I probably would’, without passing the potatoes. is would be
inappropriate because the speaker is not actually asking you how kind or
polite you are; they are requesting you to pass the potatoes! Misjudging
the pragmatic context of language use is a frequent source of confusion
for people using languages that are not their home language. ere are
some ‘rules’ of communication that can assist with this. For example,
messages should be clear and direct (Holt et al., 2012); second, if you are
speaking to someone who does not speak your language, or to a child,
you can talk a little slower and use less complex words and/or sentence
structure (Holt et al., 2012).
 SUMMARY

• Language is made up of a number of components: sounds, words, sentences and the broader
pragmatic context of language use.
• The sound units that make up a language are phonemes and their study is phonetics. Phonemes
often only roughly correspond with the written alphabet of a language, but some languages are
not phonetic at all as they use symbols (glyphs) to convey ideas. The world’s languages contain
many phonological differences.
• Words are made up of morphemes which are the smallest meaningful units of language;
morphemes include root words, suffixes and prefixes.
• The words in a sentence are arranged to establish specific meanings. For this reason, it is difficult to
translate between languages on a word-for-word basis. The rules of syntax determine how words
are ordered. A sentence can have perfect syntax but still be meaningless.
• The pragmatic context of language use shows that the meaning of a communication is influenced
by its context. If there is a misunderstanding of pragmatic context between people, this is likely to
lead to confusion.

The process of language acquisition

Psycholinguistics is the discipline that examines the relationship
between language and the mind, including the process of children’s
language acquisition. (Refer also to Chapter 3 where language
acquisition in early childhood is described.)

Language acquisition between birth and the age

of one year
A newborn baby’s angry screams, whimpering cries, contented grunts
and cooing noises cannot be regarded as language because these are
involuntary and spontaneous responses. Although these responses do
convey the infant’s emotional state, they lack the systematic and
generative qualities that we earlier identified as being part of language.
Communication and language, therefore, are not quite the same thing.
 Babies’ first language production is babbling. ese are the repetitive
dee-dee-dee, ba-ba-ba sounds produced from between the ages of three
to six months, until the child is about one year old. Babbling is
remarkably universal and unrelated to auditory stimulation. Deaf
children babble, as do hearing children of deaf parents. In addition,
infants born to Kikuyu- and Spanish-speaking parents produce the
universal ba and pa babbling sounds, even though these languages do
not have these phonemes (Pinker, 1994). In many cultures, caregivers talk
to their infants in motherese or infant-directed speech, which is a
grammatically simplified language characterised by repetition and a
higher-than-normally pitched voice. But the production of more
meaningful sounds requires both physical maturation of the infant’s
vocal apparatus, and plenty of babbling practice.

Language acquisition between the ages of one

year and three years
Children typically start producing holophrases (‘holo’ means ‘complete’)
at about 12 months of age, where single words come to function as
sentences. In English, these are single words such as: up, ma, juice or
kitty, which serve a naming function but also express emotion. For
example, a child’s utterance of ‘car’ might not just be identifying the
object, but may be a statement signifying they are about to go out
shopping.
By their second birthday, children produce telegraphic speech (so
named because, historically, people kept telegrams brief by leaving out
all the unimportant words). What is noteworthy is that telegraphic
speech, for the most part, is syntactically and semantically correct. For
example, children say juice gone rather than gone juice.
At this stage, children also tend to make the overextension error,
applying the same words to multiple contexts. For example, they might
call a four-legged, brown creature such as a cow by the more familiar
term ‘doggy’.
 14.3 OVERGENERALISING GRAMMATICAL RULES IN ENGLISH
English verbs come in two forms, regular and irregular. Regular verbs are given the past tense by adding
the suffix –ed. Today we walk and talk, yesterday we walked and talked. This even works with made-up
or nonsense examples. Tell a child that today we maulk and ask them what we did yesterday: they wil
probably say we maulked. The English language has about 180 irregular verbs. For example, today we
come and then go, but yesterday we came and then went.
Irregular verbs have to be memorised, but we can fortunately get a lot of practice, as these are
among the most frequently used verbs in the English language (e.g. be, have, do, say, make, go, take
come, see, get, know, give, find) (Pinker, 1999). However, having had less opportunity to memorise some
irregular verbs, children tend to overgeneralise the regular –ed suffix and add it to irregular verbs, saying
that their sister hitted them, they holded the kitten, or they hearded a noise.

Language acquisition from the age of three

onwards
After telegraphic speech, two-word sentences give way to more extended
sentences and children’s vocabulary grows at a phenomenal rate.
Acquisition is slow and steady until about 50 words; once that milestone
has been reached, a spurt on vocabulary acquisition occurs with many
children adding between 10 and 20 words a week (Ganger & Brent, 2004).
Furthermore, they become skilled users of grammar. In fact, many of the
grammatical mistakes preschool children make come from over-applying
rather than under-applying grammatical rules. is can be illustrated by
examining English-speaking children’s use of irregular verbs (see Box
14.3).
 SUMMARY

• The discipline that studies the process of children’s language acquisition is known as
psycholinguistics.
• The noises made by newborn babies are not regarded as language. These spontaneous responses
lack the systematic and generative qualities of language, although they do enable the infant to
communicate.
• A baby’s first language production (3–6 months) is babbling. Babbling is universal and unrelated to
auditory stimulation.
• Motherese is a grammatically simplified language characterised by repetition and a higher-than-
normally pitched voice.
• Between one and three years, children start using holophrases (single words that function as
sentences).
• The next phase (about two years) is to use telegraphic speech in which unimportant words are left
out. At this stage, children tend to make grammar overextension errors.
• From about three years, children start to use extended sentences and their vocabulary grows very
rapidly.

Approaches to explaining language

acquisition
ere has been considerable theoretical debate and controversy between
the diverse views explaining language acquisition. is has primarily
focused on the question of whether language is innate or whether it is
learned (Eysenck & Keane, 2010). On the one hand, Noam Chomsky
argued that the capacity for language was innate, while behaviourist B. F.
Skinner argued that language is learned. ese opposing views are
discussed below.

Learning theory accounts of language acquisition

Behaviourism dominated the early history of psychology and
emphasised that all behaviour is determined by environmental
influences. Behaviourist B.F. Skinner (1957) accordingly described
language as a form of learned verbal behaviour and explained its
acquisition in terms of operant conditioning processes. As children
imitate the language of those around them, correct language utterances
receive reinforcement and become conditioned. For example, a child’s
parent might give the child a toy when the child names it correctly,
thereby setting up a relationship between the object and its name.
Conversely, children’s incorrect utterances are either not understood or
deliberately ignored by caregivers. As incorrect responses receive no
reinforcement, they are extinguished. is approach is often called the
learning theory view of language acquisition.
e learning theory view of language acquisition can be criticised on a
number of grounds:
• It cannot account for the innovative, generative quality of children’s
language. Children could not have previously overheard and
remembered all the grammatically correct sentences they produce.
• It cannot explain children’s tendency to overgeneralise grammatical
rules, such as placing the –ed suffix on irregular verbs. If language
were simply a product of their environment, where would children
have learned to say hitted, holded or hearded? Adults do not make
these mistakes.
• It does not explain how children learn language when the stimuli are
often so poorly constructed. Listen carefully to adults’ everyday
language; it is full of fragments, false starts and incomplete sentences.
• It does not explain how children learn language when the
reinforcement they receive is so indirect and improbable. Adults tend
to correct the semantic rather than grammatical content of children’s
utterances. So if a young child exclaimed, ‘Look at that doggy eat the
field’, the child’s caregiver would probably concentrate on semantics
and explain that it is a horse rather than a dog, instead of correcting
the grammar.

Another learning theory of language acquisition proposes that children

learn the language spoken by the people around them by imitating what
they hear. In support of this proposition, research has shown that
children name things by repeating what they have heard others name
things (Cole & Cole, 2001 in Garcia, 2005). However, simple imitation
does not explain how children come up with grammatical forms they
have never heard before. Bandura believed that children abstract certain
linguistic principles by the process of imitation, and then apply them to
other utterances without necessarily having to hear them first. He called
this process abstract modelling (Cole & Cole, 2001 in Garcia, 2005).

Nativist accounts of language acquisition

Noam Chomsky (1959) recorded the criticisms levelled at learning theory
approaches and revolutionised psycholinguistics with an alternative view
of language acquisition. Arguing that the capacity for language use is not
learned but rather innate (hence the fact that Chomsky’s theory is
referred to as a nativist theory), Chomsky hypothesised the existence of a
language acquisition device (LAD), which is an innate language-
processing ability innately equipped to recognise and extract
grammatical rules. In essence he believed that humans are genetically
pre-programmed to learn language. Chomsky (1980, p. 134) explained,
‘in certain fundamental respects we do not really learn language; rather
grammar grows in the mind.’
Figure 14.7 The relative ease and speed with which children are able to acquire new languages in a
foreign environment supports the notion of critical acquisition periods

Chomsky used the term ‘a universal grammar’, which described the

deep structure common to all language. (is is different from the
prescriptive grammar you learned in school.) It is from this universal
grammar that the rules for our everyday, natural languages (e.g.
Japanese, isiZulu or Portuguese) are derived. Universal grammar is
therefore the complex capacity for language that gets filled by the
particular languages we acquire. us, while the particular languages
children acquire depend on their linguistic context, children are
predisposed to learn language and do so in a relatively effortless manner
and invariant sequence.
Further evidence in support of Chomsky’s nativist explanations comes
from the fact that language fails to develop normally if there is damage to
the left hemisphere of the brain, which is associated with language.
e nativist theory of language acquisition also accounts for specific
features of the language acquisition process, such as the critical language
acquisition period. e following examples are evidence for the critical
language acquisition period:
• When families move to new countries where different languages are
spoken, children acquire languages faster and more easily than their
parents.
• Deaf children, who spontaneously use sign language, do so better
when they learn it at a young age.
• ere are a few documented cases of feral (wild) or severely deprived
children who have grown up in total social isolation, either through
severe parental neglect or abuse. Even after intensive efforts at
rehabilitation, they fail to develop normal language abilities because
they have missed the critical window periods for language
development (Curtiss, 1977; Mayberry, 2011).

Current accounts of language acquisition

Although the poles of the language acquisition debate were historically
the behaviourist and nativist perspectives, this debate has reached some
resolution. Early sociocultural theorists such as Vygotsky (1986) have
become increasingly influential in the last few decades, particularly as
they emphasise the manner in which language acquisition is socially
mediated, but simultaneously acknowledge the place of our biological
predisposition to acquire it. For when it comes to accounting for the
complexity associated with human cognition and language, the answer is
usually to be found in the rich interactions between the biological and
the social context.

14.4 SPEECH ERRORS

Esyenck and Keane (2010) suggest that there are several reasons why it is useful to study speech errors
For example, speech errors give insight into the cognitive processes involved in producing speech and
they also indicate how much speakers plan what they are about to say. When someone says, ‘I must lock
the key with the door’, this exchange of two words in the sentence indicates that forward planning of
speech utterances is occurring.
There are also several other kinds of speech errors. Perhaps the most famous is the ‘Freudian slip
which supposedly reveals the speaker’s true intentions of desires. For example, you might thank your
host for his ‘hostility’ when you mean ‘hospitality’. What might this reveal about your unconscious
desires or wishes? Another error is a Spoonerism (although some people do these intentionally). In this
case, the initial letters of two words are switched (e.g. ‘master plan’ is rendered as ‘plaster man’).
Humphreys, Menzies and Lake (2010) found that speech errors tended to be repeated by a speaker
They investigated whether these recurring errors were related to the speaker learning an incorrect link
between the meaning and grammatical properties of a word and its sound. They found that these errors
were not repeated 48 hours after first learning the word, suggesting that the error was not due to an
incorrect link. This supports the idea that language is a ‘dynamic system that is constantly adapting in
response to experience’ (Humphreys et al., 2010, p. 151).
 SUMMARY

• The main approaches to language acquisition have come from learning theory and from nativist
(innate) explanations.
• Learning theory (Skinner) said that language is a form of learned verbal behaviour acquired
through operant conditioning. There are many problems with this approach. For example, it does
not explain the innovative, generative quality of children’s language and their tendency to
overgeneralise grammatical rules. In addition, the reinforcement children receive for their language
production is often indirect and/or unlikely.
• Bandura suggested that children abstract linguistic principles by the process of imitation, and then
apply them to other utterances without necessarily having to hear them first. This is known as
abstract modelling.
• Chomsky led the criticism of the learning theory approach and proposed that the capacity for
language use is not learned but rather innate. Chomsky suggested that we are born with a
language acquisition device (LAD) and that a universal grammar provides a common deep
structure to all languages.
• The nativist theory explains several features of the language acquisition process, such as the critical
language acquisition period.
• At present, following the increased influence of Vygotsky’s ideas, there is greater acknowledgment
of the way language acquisition is socially mediated.

Language in South African society

Language is not only a resource for thought, it is an important element of
people’s cultural heritage and identity. Language can therefore be an
extremely contested political issue. For example, learners’ resistance to
the introduction of Afrikaans as the medium of instruction in black
schools led to the 1976 Soweto riots.
e political significance of language and its role in fostering
multiculturalism was reflected in post-apartheid South Africa when the
government expanded its number of official languages from two (English
and Afrikaans) to eleven (isiZulu, isiXhosa, SeTswana, SePedi, SeSotho,
XiTsonga, SiSwati, isiNdebele, TshiVenda, English and Afrikaans). But
many other non-official languages and dialects are spoken in South
Africa. ese range from languages associated with religious groups, such
as Arabic and Hebrew, to the European, Asian and African languages
spoken in immigrant communities, to dialects such as Tsotsitaal, a
language spoken by township criminals.
Language, particularly in multicultural settings, is dynamic and
marked by much borrowing and exchange. Even the influential English
language has borrowed terms (e.g. indaba and veld) from other South
African languages. English has also appropriated many words from other
languages around the globe (e.g. thug, patio and bouquet, which come
from Hindi, Spanish and French respectively) (Bragg, 2003).
As a valuable part of people’s cultural heritage and an important
resource for thinking, there are no inferior or primitive natural languages.
In fact, people with simple material technologies often have highly
complex languages (e.g. the Khoisan).
A South African example of a primitive, non-natural language would
be Fanagalo, which is based on isiZulu, with English and some Afrikaans.
Fanagalo is a simplified language that is nobody’s mother tongue, and
which is therefore called a pidgin by linguists. It developed to provide a
means of communication between English colonists and the local
population, and is used extensively in the mining industry to enable
migrant workers to communicate with each other. It has a vocabulary of
about 2 000 words, of which 500 are reportedly swear words.
14.5 LANGUAGE ACQUISITION AND MULTILINGUALISM IN
SOUTH AFRICA
Although research supports the effectiveness of early education conducted in the child’s home
language (their mother tongue or first language) (e.g. Brock-Utne & Holmarsdottir, 2004), many South
African parents are keen for their children to access the educational and economic opportunities
associated with English. Since 1994, the South African government has established various schools and
higher education language policies; these have attempted to ensure that all of the major South African
languages are given official recognition and status (Dale-Jones, 2013). However, as Webb (1999) points
out, many of these policies have been difficult to establish in practice. As schools themselves now
decide language policy, this leads to the following question: how much emphasis should be placed on
English, and how much on the learner’s home language? This is a key debate surrounding
multilingualism.
There seems to be an intractable tension between the advantages of teaching a child in his/her
home language and the desire of parents and others to prepare children for a world where their
progress may depend on their competence in English (Dale-Jones & Royds, 2012). The present situation,
where children are mostly taught in their home language till about Grade 4 seems to be the worst of
both worlds (Dale-Jones, 2013; Dale-Jones & Royds, 2012). A recent policy change (SA News, 2013)
announced that all schools will be required to offer an African language from Grade R to Grade 9. That
means that all learners who exit at Grade 9 level will have learnt an African language in at least one
phase of schooling. The motivation for this policy is to redress the perceived lack of development and
utility of African languages, when compared to English and Afrikaans.
One problem is that the language policy leads to ‘additive bilingualism’ where it is expected that
children can use their first language to accelerate their acquisition of a second language. There is
extensive literature on the pros and cons of bilingual instruction (see Brock-Utne & Holmarsdottir, 2004)
However, in contexts where the two relevant languages have very different origins (e.g. English and
isiZulu), additive bilingualism does not work well (Dale-Jones & Royds, 2012).
The challenge is to affirm and support linguistic heritage, without denying learners the opportunities
associated with knowing the dominant language, which is English. While there is no easy resolution to
this question, many caution against the elevation of English and the growing neglect and
marginalisation of South Africa’s indigenous languages (Alexander, 1989, 2000, in Brock-Utne &
Holmarsdottir, 2004; McLean, 1992; SA News, 2013).

Conclusion
Describing the characteristics, components and acquisition of language, this chapter sought to
show how language is interwoven with cognition. Language embodies a range of striking
paradoxes: its individual words are innately arbitrary, yet become combined in profoundly
meaningful ways; it is firmly rule governed, yet facilitates infinite creativity and innovation; and it is
biologically hard wired, yet infused with clear political and social dimensions. The product of all
these paradoxes, language use, and the kinds of cognitive gains it confers, is arguably one of the
distinctive characteristics of our species.
KEY CONCEPTS

abstract modelling: a process of language acquisition whereby

children abstract certain linguistic principles by the process of
imitation, and then apply them to other utterances without
necessarily having to hear them first
babbling: the repetitive sounds produced by babies, which are the
first instances of language
behaviourism: a theory that sees behaviour as a result of operant
conditioning processes
dialect: a spoken variation of a language
egocentric speech (private speech): a form of speech displayed by
preschool children where they seem to talk aloud to themselves,
paying minimal attention to those around them
holophrases: a form of language used by children between the ages
of one and two years, when single words come to function as
sentences
language acquisition device (LAD): an innate language-processing
ability, which generates the universal grammatical rules underlying
everyday languages
learning theory view of language acquisition: the approach that
proposes that children acquire language according to operant
conditioning processes
linguistic determinism (the Sapir-Whorf hypothesis): the approach
that proposes that different languages incorporate radically different
worldviews, which ultimately determine how people think
linguistic relativism: the idea that we perceive the world within a
framework conferred by our language
morphemes: the smallest meaningful units of language, which
include root words, suffixes and prefixes
motherese: simplified and repetitive speech, with exaggerated
intonation that is used when speaking to babies
nativist theory of language acquisition: the approach that proposes
that humans are genetically pre-programmed to learn language
 overextension: an error that children make by applying the same
words to multiple contexts
phonemes: the sound units that make up spoken language
phonetics: the study of the physical sounds of language
pragmatic context: the context of an utterance that allows it to be
understood
language: a system of representation that enables us to encode and
convey meaning through the production and combination of signs
prefix: letters (an affix) placed at the beginning of a word to change
its meaning
psycholinguistics: the discipline that examines the relationship
between language and the mind, including the process of children’s
language acquisition
semantics: the way in which words and underlying meanings are
related to reality
suffix: a group of letters placed at the end of a word to make a new
word
syntax: rules that determine how words can be meaningfully ordered
telegraphic speech: a form of speech displayed by children by the
time they are two years old, which is syntactically and semantically
correct but leaves out all unimportant words

EXERCISES
Multiple choice questions

1. Which of the following is not true of language?

a) e relationship between almost all words and what they refer to
is arbitrary.
b) Societies with primitive technologies use primitive languages.
c) Language is one of several ways by which ideas can be
communicated.
d) Language is a rule-governed system.

2. e prefix ‘anti’ in the word ‘anticlockwise’ is a:

 a) morpheme
b) suffix
c) word
d) phoneme.

3. Which of the following is characteristic of child-centred speech?

a) lower tone
b) grammatically simple sentences
c) increased volume
d) using the hands to gesticulate.

4. e study of how language is used in a particular context is called:

a) semantics
b) phonology
c) syntax
d) pragmatics.

5. A three-year-old child says that he ‘holded a rabbit at the farm today’.

is shows that:
a) he cannot yet understand grammar
b) he learned his language from his environment
c) he is still in the imitation stage of language acquisition
d) none of the above is correct.

6. B.F. Skinner explained that children acquire language through:

a) their innate biological capacity
b) trial and error
c) reinforcement
d) going to school.

7. Which of the following statements concerning the language

acquisition device is false?
a) It is transmitted through reinforcement and learning.
b) is notion was advanced by Chomsky.
 c) It is common to all people.
d) It is the foundation for the everyday ‘natural languages’ we
eventually acquire.

8. Which of the following statements concerning egocentric speech is

false?
a) Egocentric speech declines and dies out at around six years of age.
b) Egocentric speech demonstrates that young children tend not to
consider other people’s perspectives.
c) Vygotsky argued that egocentric speech is replaced by mature,
socialised speech.
d) None of the above is correct.

9. Feral children often struggle to learn language, even in later life. is
is evidence of:
a) the long-lasting psychological effects of their trauma
b) the existence of a critical language-acquisition period
c) the importance of biological factors
d) none of the above is correct.

10. e theory of linguistic relativity suggests that:

a) language enables us to think
b) language determines how we think
c) language influences how we think
d) language is evidence of thinking.

Short-answer questions
1. People who talk to their animals (such as some pet owners, or farmers
who talk to their prize livestock) are often adamant that their
communication constitutes language. In view of what you have
learned about the characteristics of language, how would you
respond to such a claim?
2. What is the nature of the relationship between thought and language?
3. Describe the various components of language and suggest how they
work together to produce meaning.
 Describe the process and stages of language acquisition that children
4.
go through to become, finally, competent users of language.
5. e early behaviourist psychologists argued that language use and
acquisition could be accounted for simply in terms of learned
behaviour. Critically evaluate this view.
 CHAPTER
Intelligence 15
Tshepo Tlali

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• discuss various theoretical approaches to intelligence
• explain the historical development of intelligence testing
• identify various individual tests used in South Africa
• demonstrate your understanding of racial and cultural issues involved in psychological testing.

CASE STUDY

Nosipho, like most people, knew something about IQ tests. She had done one at school along with
everyone else in her class. She didn’t really understand at the time what the test was going to be
used for, but had listened to some of the other kids making jokes about one or two pupils who
they were sure would be discovered to be really, really dumb. She had felt a bit nervous doing the
test herself, wondering if it would reveal her to be reasonably intelligent or not. In the end, the test
had involved some tasks that seemed different to normal school work, but weren’t all that difficult.
She never got any results from the test itself, but she imagined her teachers may have seen them
because they kept telling her that she was under-achieving. She hadn’t seemed to be able to live
up to what they had expected of her. A friend of her father’s had had the opposite problem. He had
told her that he had been advised not to go to university because his IQ score was below normal.
As it happened, he ignored the advice his school counsellor had given him and successfully
completed an engineering degree. Perhaps, Nosipho thought, the tests were not quite as objective
and accurate as people thought. She had once overheard some of the teachers at her school
suggesting that IQ tests might even be racist – that they had been invented for white people by
white people and that they didn’t recognise the different ways that different cultures approached
intellectual tasks.
At the same time, Nosipho thought it might be valuable to try and make some sense of the
slightly mysterious concept of intelligence. People often made assumptions about who was clever
or stupid and maybe if more was understood about these things there wouldn’t be so much
negative stereotyping. Also, Nosipho imagined that if you could measure intelligence properly, it
might really help teachers direct children to appropriate career paths or understand why a child
was struggling with schoolwork. Nosipho’s much younger cousin had been taken to see a
psychologist after he had had trouble learning at school. The psychologists did some tests on him
– including an IQ test – and helped to diagnose a problem he had in processing visual information.
The psychologist had referred the boy to an occupational therapist and he was now doing much
 better at school. Nosipho thought that in some circumstances it could be helpful to look at a
person’s intellectual abilities, provided this was done carefully and sensitively.

Introduction
All cultures have terms to describe someone as clever or bright, although
different cultures often use different criteria to judge these qualities.
When we use these terms we are accepting and perpetuating the
assumption that there is a difference between individuals’ mental
abilities.
Psychologists who study intelligence have taken these everyday
distinctions and developed formal theories about the characteristics of
intelligence, constructing tests to measure people’s mental abilities.
However, in the same way that different cultures have different criteria of
what it means to be clever or bright, so psychologists differ in their
understanding of intelligence depending on their particular theoretical
and conceptual frameworks (see Box 15.1).
e study of intelligence has taken two related but conceptually
different roads. One approach has followed a practical agenda of
producing reliable tests that measure individual differences in intellect.
ese tests can be used to obtain a score that can predict behaviour in
some sphere of life, for example academic or work performance. is is
known as the psychometric approach to intelligence. e second
approach is the theoretical approach to intelligence, which has tried to
provide answers to the questions of what intelligence is as well as its
nature and composition. In this chapter, these two themes are examined
separately. However, at the end of this chapter, we consider how to use
the theories to make sense of some of the test findings. But first let us
look at some international and national milestones in the
conceptualisation and the development of intelligence tests.
 15.1 DEFINING INTELLIGENCE
Over the more than 100 years of intelligence research, there have been many attempts to clarify and
understand exactly what intelligence is. One approach is to try to define it. Intelligence has been
defined by different people as
‘the tendency to take and maintain a definite direction; the capacity to make adaptations for the
purpose of attaining a desired end; and the power of autocriticism’ (Binet in Sattler, 1992, p. 45)
‘mental activity involved in purposive adaptation to, shaping of, and selection of real-world
environments relevant to one’s life’ (Sternberg, 1984, p. 312)
‘the global capacity of the individual to act purposefully, think rationally and deal effectively with the
environment’ (Wechsler, 1975, in Snowman & McCown, 2011, p, 114)
‘a biopsychological potential to process information that can be activated in a cultural setting to solve
problems or create products that are of value in a culture’ (Gardner, 1999, pp. 33–34).
While defining intelligence remains a problem (Sternberg, Kaufmann & Grigorenko, 2008), all the
approaches treat intelligence as a hypothetical construct referring to some mental capacity, power or
process linked to actual performance. Sternberg et al. (2008) focus on how people apply their
intellectual abilities in the real world.

A brief history of intelligence testing

in Europe, the US and South Africa
An interest in intelligence testing can be traced back to the latter part of
the 19th century. At this time the British mathematician, Sir Francis
Galton (1822–1911), conducted pioneering work to develop the statistics
that are required for the measurement of intelligence. He is regarded as
the father of the testing movement.
However, it is the American psychologist, James M. Cattell (1860–
1944), who coined the term ‘mental test’. He worked under the German
experimental psychologist Wilhelm Wundt (1832–1920), and believed
that general laws of behaviour could be established by examining the
differences in mental operations among individuals. He proposed that
mental abilities could be measured objectively through formalised
testing (Ittenbach, Esters & Wainer, 1997).
At the turn of the 20th century, when the French government opened
public schools to every child, Alfred Binet (1857–1911), Victor Henri
(1872–1940) and eodore Simon (1873–1961) were commissioned to
develop a scale to identify those children who had the ability to benefit
from formal education. Prior to their work, intelligence was seen as
sensitivity of perception. Binet and his colleagues took a different view by
arguing that the measurement of intelligence should focus on higher
mental processes (Herrnstein & Murray, 1994). ey regarded the ability
to reason, draw analogies and identify patterns as central to intelligence.
In 1905 they developed the Binet-Simon Scale, which reflected the age-
based cognitive development of these abilities. is scale tried to
objectively identify degrees of mental ability, and it became the prototype
of many subsequent scales. In the US, Lewis Terman from Stanford
University adapted the test and published it as the Stanford-Binet
Intelligence Scale.
eir work had a major impact on psychology. Jenkins and Paterson
(in Sattler, 1992, p. 81) state that ‘probably no psychological innovation
has had more impact on the societies of the Western world than the
development of the Binet-Simon Scale’. ere was, however, some
discontent with the age-scale format that gave scores for each age group.
An alternative format was developed, called the point-scale format; this
approach awards points to each item in the test. at meant that similar
items could be grouped together according to their content and this
opened the way for a test consisting of an overall score as well as scores
for sub-tests/content areas. is approach forms the basis for
contemporary testing.
Which answer fits in the missing space to complete the pattern?
Figure 15.1 An example of a question in the Stanford-Binet test

Another important figure in the history of intelligence testing is David

Wechsler. In the US, he constructed three important tests: the Wechsler
Intelligence Scale for Children (WISC) in 1949; the Wechsler Adult
Intelligence Scale (WAIS) in 1955; and the Wechsler Preschool and
Primary Scale of Intelligence (WPPSI) in 1967 (Ittenbach et al., 1997).
ese have formed the basis for many other tests, including some of
those used in South Africa. Wechsler believed that intelligence was a
unitary trait and could best be explained through performance over a
wide range of intellectual activities (see Figure 15.2). Like the Binet-
Simon Scale, the Wechsler scales were not based on any theoretical
considerations; they merely provided the clinician with information
needed for service delivery. e historical development of psychological
testing in South Africa followed a similar pattern to that in Europe and
the US. According to Foxcroft and Roodt (2009), the early psychological
tests in South Africa were adaptations of overseas psychological
measures. For example, C. Louis Leopoldt and J.M. Moll took the Binet-
Simon Scale and standardised it on 1 400 pupils from the then Transvaal.
e following scales are currently used in South Africa to assess the
intellectual functioning of different age groups:
• e Junior South African Individual Scale (JSAIS) assesses the
intellectual functioning of children between the ages of three and
seven years.
Figure 15.2 The components of Wechsler’s Adult Intelligence Scale

• For children of school-going age, the Senior South African

Individual Scale – Revised (SSAIS-R) assesses the intellectual
abilities of children from roughly eight to 17 years (see Box 15.2). An
alternative is the Wechsler Intelligence Scale for Children (WISC-IV)
(ages six to 16 years). e WISC-IV yields an overall IQ score, as well
as scores on four index scales.
• e Wechsler Adult Individual Scale (WAIS-IV) covers all age groups
between 17 and 65 years. e WAIS-III was standardised for South
African use and recently, Shuttleworth-Edwards (2012) argued that
the WAIS-IV could be used with educationally disadvantaged South
Africans, with a cautious application of the local WAIS-III norms.
15.2 A DESCRIPTION OF THE SENIOR SOUTH AFRICAN
INDIVIDUAL SCALE – REVISED (SSAIS-R)
The Senior South African Individual Scale – Revised (SSAIS-R) aims to obtain a measure of genera
intellectual ability in order to predict scholastic achievement and to diagnose specific problems (Owen
1998). Introduced in 1991, it continues to be ‘widely used, mainly because of a lack of alternatives in
terms of locally normed tests’ (Cockcroft, 2013, p. 49). The SSAIS-R consists of verbal and non-verbal sub-
tests. There are five verbal sub-tests and an optional sixth sub-test, as follows:
Vocabulary: measures verbal intelligence, verbal concepts ability and receptive language development
Comprehension: measures comprehension of social situations and judgement based on knowledge and
use of conventional rules
Similarities: measures verbal concept formation on a concrete perceptual level, and abstract reasoning
Number problems: measures numerical reasoning and the logical-analytical and deductive reasoning
underlying this ability
Story memory: measures attention and short-term auditory memory for meaningful verbal learning
material
Memory for digits (optional): measures attention, concentration, working memory and auditory short-
term memory for numerical symbols
There are four non-verbal sub-tests and an optional fifth sub-test, as follows:
Pattern completion: measures visual concentration, nonverbal concept formation, as well as deductive
and inductive reasoning ability
Block design: measures the ability to visualise and reason in terms of spatial relationships
Missing parts: measures the visualisation of reality situations and concrete reality testing
Form board: measures visual organisation and integration, concept formation and visual-perceptual
speed in discerning relationships between parts
Coding (optional): measures cognitive functions involved in learning unfamiliar tasks and applying what
has been learned.
The SSAIS-R was initially constructed for Afrikaans and English-speaking white, coloured and Indian
learners between the ages of seven and 16 years. A socio-economic disadvantage scale, named the SED
questionnaire, has to be used in all the cases where such disadvantage is suspected. (Interestingly, the
designers of this scale argue that the term ‘intelligence’ only applies in those cases where no
disadvantage has been detected.) The differences in scores for disadvantaged learners increase across
the age groups; it is argued that this is due to the cumulative effects of disadvantage (Cockcroft, 2013).
The Individual Scale for Zulu/Xhosa/North-Sotho/Sesotho/Tswana-speaking learners has been
standardised for black children in their home languages (Owen & Taljaard, 1995). This scale uses the
same nine sub-scales of the SSAIS-R, but in addition has a mazes sub-test.
Cockcroft (2013, p. 57) notes that although the SSAIS-R is psychometrically sound, it is based on a
‘dated theoretical model’, unlike newer tests like the WISC-IV.
 SUMMARY

• The concept of intelligence is present in all cultures, although what is considered to be intelligent
varies across cultures.
• Western psychologists have developed formal theories about the characteristics of intelligence and
constructed tests to measure people’s mental abilities.
• The psychometric approach to intelligence has attempted to produce reliable tests that measure
individual differences in intellect.
• The theoretical approach to intelligence has tried to understand intelligence in terms of its nature
and composition.
• Interest in intelligence testing rose in the 1800s with the work of Galton and Cattell.
• Around 1900, the Binet-Simon Scale was published. This reflected the age-based cognitive
development of the ability to reason, draw analogies and identify patterns. Discontent with the
age-scale format led to the development of tests using a point-scale format. This approach is the
basis of contemporary tests.
• Perhaps the most enduring person in the history of intelligence testing is David Wechsler. Versions
of his tests are still in wide use today (e.g. WISC-IV; WAIS-IV).
• Wechsler believed that intelligence was a unitary trait and could best be explained through
performance over a wide range of intellectual activities.
• Like the Binet-Simon Scale, the Wechsler scales were not based on any theoretical considerations;
they merely provided the clinician with information needed for service delivery.
• Scales currently used in South Africa to assess the intellectual functioning of different age groups
include the Junior South African Individual Scale (JSAIS); the Senior South African Individual Scale –
Revised (SSAIS-R); the Wechsler Intelligence Scale for Children (WISC-IV); and the Wechsler Adult
Individual Scale (WAIS-IV).

The measurement of intelligence

When measuring intelligence, the challenge is to produce an index that
indicates intellectual functioning. It is not adequate to describe a person
by their score on a test. It is necessary to compare this score with the
scores of other people of a comparable background. For example, if
Manoke scores 80 out of a 100, this might appear to be a good score, but if
everyone else in his class scores 90 out of 100, we could not say Manoke
was brighter than everyone else. So how do psychologists establish an
index of intelligence?
Binet used the idea of mental age (MA) as an index for the intellectual
capacity of children. e Binet-Simon test was devised so that for each
age group, an average child from that age group could just complete all
the items in their age group’s set of question. is index is useful because
if a child has a mental age that is higher than their chronological age
(CA), then that child can be said to be functioning at a higher mental
level than their peers. Conversely, if a child has an MA that is lower than
their CA, then that child can be said to be functioning at a lower mental
level than their peers. A one-year deficit in development in a three-year-
old implies a greater level of developmental delay than does a one-year
deficit in a ten-year-old.
In 1912, Stern developed the concept of an intelligence quotient (IQ)
(Maloney & Ward, 1976). He argued that the ratio of MA to CA would
provide a better index of mental functioning. e formula for the
computation of this ratio became established as the following:

According to this formula, an eight-year-old child with an MA of eight

years obtains an IQ of 100. e same child would receive an IQ of 50 if
his/her MA was four, or 150 if his/her MA was 12. On the basis of this
ratio, an IQ of 100 can be regarded as the average IQ for a child of any age.
However, the IQ ratio is problematic as an index for adult intelligence.
Research has shown that scores of intellectual ability do not increase
after about the age of 16. is means that a person’s MA will remain
constant after the age of 16 but, as their CA increases, that person’s IQ
scores will progressively go down, giving the impression that older adults
have severe mental deficits. Wechsler resolved this problem by proposing
that the ratio method should be replaced by a deviation method
(Maloney & Ward, 1976). is has become the basis for calculating IQ
scores for most contemporary tests.
In the deviation method, a distribution of scores of a representative
sample of people is obtained. If it is a test for children, there will
representative samples of children for each age group. e test scores are
recalculated using these distributions so that the average score for each
group becomes 100 and every score is converted to represent a deviation
from this mean (hence the term ‘deviation method’). is approach
enables a score on a test to be converted to an IQ score with a mean of
100 so that it is possible to compare all individuals on the same standard.
e deviation IQ therefore gives the relative position of a person
compared to their peers. Figure 15.3 shows that just over two-thirds of
people (68.26 per cent) have IQs that are within 15 IQ points of the
average (100). Table 15.1 shows how IQ scores have come to be classified
in terms of the description of intellect.

Figure 15.3 The distribution of IQ scores

As suggested above, using the deviation method requires that every

intelligence test has age-based norms. ese are tables of values that can
be used to convert a person’s score on the test to a standard IQ score. e
tables reflect the distribution of scores for particular age groups. ese
tables are established during the development of an intelligence test. In
this stage, the test is taken by a large sample, which is representative of a
particular population, so that these norms can be established for this
population. is process is called standardisation. When a test is used to
assess intellectual functioning, it is crucial that the person’s score be
compared against appropriate norms. Failure to do this invalidates the
findings.
Table 15.1 The classification of IQ scores according to the Wechsler Adult Intelligence Scale
(http://www.iq-test.learning info.org)
IQ score Descriptive categories
130+ Very superior
120–129 Superior
110–119 High average
90–109 Average
80–89 Low average
70–79 Borderline
Below 70 Extremely low

An interesting aspect of IQ scores is how they have changed globally in

the developed world over time (Cockcroft, 2013). Neisser (1998) argues
that IQ scores have been rising all over the developed world. Why might
this be? Are people genuinely becoming more intelligent? ese gains are
known as the ‘Flynn Effect’ after the researcher who documented them in
the 1980s. However, Flynn (1998, p. 61) argues that these IQ gains ‘have
not been accompanied by an escalation of the real-world cognitive skills
usually associated with IQ’. Flynn suggests that some of these gains may
be the result of improved testtaking strategies and test familiarity, as well
as nutritional improvements; however, more research, using new
strategies, is needed to try to determine the reasons for these well-
documented rises in IQ.
We might also ask if IQ changes across the life span. e research
seems to show that as people age, their general intelligence remains
stable (if you are clever at 18, you will probably be clever at 58). However,
your ability to think rapidly and flexibly declines with age (Deary, 2001).
e underlying mechanism for this seems to be a distinction made by the
Cattell-Horn theory between fluid and crystallised intelligence (Nisbett
et al., 2012; Sternberg et al., 2008). Crystallised intelligence refers to the
knowledge that a person has learned through their lifespan; this does not
decline in old age. Fluid intelligence, on the other hand, refers to a
person’s ability to handle novel situations (Nisbett et al., 2012; Sternberg
et al., 2008). Older people can do some things that help slow this decline,
including regular puzzle solving, being involved in a stimulating
environment and living with a partner with a high mental ability (Deary,
2001).

Uses of intelligence tests

Obtaining an index of intellectual capacity is of little use if this index is
not able to predict performance or achievement in some other aspect of
life. Maloney and Ward (1976) argue that a test possesses predictive
validity if it can be shown to correlate with a prescribed set of socially
defined success criteria. us if it can be shown that people with above-
average IQ scores are more likely to get university degrees without failing
a course, then IQ is predictive of university success.
is is one way in which intelligence tests are used. In line with Binet’s
approach, intelligence tests are still widely used to provide information to
guide the decision making of parents, educators and other professionals
(Owen, 1998). Information gained from individual intellectual tests is
used to assess such issues as:
• school-readiness
• the need for appropriate remedial programmes for learners with
learning problems
• the choice of specialised educational programmes for a child.

A second way in which intelligence tests are used is to assist in diagnostic

processes. Some tests, such as the WAIS and SSAIS-R, can provide useful
clinical hypotheses concerning the person’s organic, emotional and
psychological status (Flanagan, Genshaft & Harrison, 1997; Nell, 2000).
ese tests consist of a number of subscales (see Box 15.2). Discrepancies
in performance across these sub-scales as well as patterns in the scatter
of scores can indicate problems. us, for example, large differences
between scores on the verbal and non-verbal sub-scales may help
identify, along with other forms of assessment, organic problems in the
brain.
 It should be noted that there is a distinction between the practical
utility and the scientific validity of IQ tests (Lezak, Howieson, Bigler &
Tranel, 2012). Many tests were developed for specific practical purposes
rather than to verify a theory of intelligence. e following sections
outline more theoretical approaches.

SUMMARY

• When measuring intelligence, it is difficult to produce an index or score that indicates intellectual
functioning. Scores on tests need to be compared with the scores of other people of a comparable
background.
• Mental age (MA) was used by Binet as an index for the intellectual capacity of children. This allowed
for a comparison with chronological age to assess the child against his/her peers.
• The concept of the intelligence quotient (IQ) formalised the ratio of MA to CA. IQ is MA divided by
CA, times 100. On the basis of this ratio, an IQ of 100 can be regarded as the average IQ for a child
of any age.
• This IQ ratio does not work for adults, as their MA remains stable as their CA continues to increase.
Wechsler resolved this by proposing a deviation method to replace the ratio method.
• The deviation method uses the distribution of scores of a representative sample of the people to
be tested. The mean test scores are set at 100 and all other scores are converted to represent a
deviation from this mean. This makes it possible to compare all individuals on the same standard.
• Using the deviation method in tests for children means that age-based norms must be established.
This process is known as the standardisation of the test.
• Intelligence tests are used to predict performance or achievement in some area of life (e.g. school-
readiness, remedial/educational programmes), as well as in diagnosis of organic problems in the
brain.

Theories of intelligence
ere are many theories of intelligence. is section will start by
describing the earliest theories (psychometric and cognitive) and then go
on to consider eclectic and learning potential theories, as well as
emotional intelligence.

Psychometric theories of intelligence

Psychometric theories of intelligence have been constructed from the
psychometric approach to intelligence testing, which has been outlined
in the preceding sections. is approach has focused on describing the
structure of intelligence by examining the relationships between the
different kinds of mental abilities. To measure these, psychologists
administer many kinds of tests and then conduct a statistical analysis,
called a factor analysis, on the results. is procedure gathers similar
abilities together and these clusters of abilities are called factors. ese
factors are then used to construct the sub-tests within psychological
tests. It is assumed that each factor is measuring a different aspect of
intelligence.
Psychometric theories have sparked a debate about whether
intelligence is a general capacity or many different abilities. Charles
Spearman, a British psychologist working at the beginning of the last
century, noticed that if learners did well in one subject, they often also
did well in others. Spearman argued that intelligence consisted of two
factors: a general intelligence and specific intelligence (Sattler, 2002).
General intelligence, called g, is a general capacity for applying one’s
intellect across a range of experiences and situations (Herrnstein &
Murray, 1994). Spearman argued that people who possess a high general
intelligence are usually successful across differing activities. For example,
they may be good at both languages and science. With further research,
he found that some people possess specific kinds of ability that enable
them to excel in particular activities but not others. He called this kind of
specific intelligence, s. Performance on any particular task would
include a mixture of g and s.
In contrast, in the 1930s an American psychologist called urstone
identified seven primary mental abilities in his factor analysis of test
scores (urstone, 1931). His research, therefore, did not support the idea
of g, but instead supported the existence of a range of special abilities,
such as verbal comprehension as opposed to reasoning.
One problem with psychometric theories is that they are constructed
based on how people perform on particular tests. is is limiting,
because what goes into the tests will determine what is discovered.
Psychometric theories, therefore, are as much a reflection of the way the
tests have been constructed as they are of the actual underlying nature of
intelligence.
A second challenge to the psychometric approach concerns the static
nature of the measurement process. Many psychometric tests measure a
person’s performance on one test completed at one moment in time.
ey are, therefore, not sensitive to intelligence as a dynamic process.
(e learning potential approach attempts to address this issue.)

Cognitive theories of intelligence

Unlike the psychometric approach, which describes how people differ
from each other in terms of their intellectual abilities, the cognitive
theories of intelligence try to answer the question of why people differ
in this way. ese theories investigate the ways people take in and
process information (see descriptions of information processing in other
chapters in this section). A brief look at Sternberg’s theory of intelligence
highlights the cognitive approach to intelligence.
Sternberg’s triarchic theory of intelligence (1984) focuses on how
people process and control information. It is called the ‘triarchic’ theory
because it contains three components which describe different
dimensions of information processing, as follows (see Figure 15.4):
• Metacomponents are the higher-order, executive processes used in
planning, monitoring and evaluating performance (Sattler, 2002).
• Performance components are the processes involved in the
execution of a given task, which has been conceptualised or planned
by the metacomponent (Sternberg, 1997).
• Knowledge acquisition components are involved in learning and
storing new information.
Figure 15.4 Sternberg’s triarchic theory of intelligence

Sternberg also argued that there are different kinds of intellectual

competence which respond to different environmental demands
(Cianciolo & Sternberg, 2004). He felt that these function together to
allow the person to be successful in a particular sociocultural context.
e three types of intellectual competence are as follows:
• Analytical competence is comparable to the traditional notions of
intelligence; it allows the person to evaluate, compare and contrast
information.
• Practical competence allows the person to apply appropriately what
they know in a particular setting such that they can successfully
manage everyday demands. An interesting example of practical
intelligence is demonstrated in the work of Serpell (1994) in Box 15.3.
• Creative competence concerns those aspects of intelligence involved
in handling new tasks and situations (Sattler, 2002).

People who are most successful in life make the best use of their unique
set of competences while also working on areas of weakness. A person’s
set of competences will also impact on his/her career choice and
subsequent success (Cianciolo & Sternberg, 2004).
 Sternberg’s approach makes an important contribution to the study of
intelligence because it argues that people can be intelligent in different
ways, and that everyday intelligent behaviour is an important aspect of
intelligence. Sternberg’s idea of contextual intelligence encourages
sensitivity to intelligence in multicultural societies, such as South Africa.
Sternberg also believes that all three intellectual competences should be
taught in schools.

Eclectic theories of intelligence

Eclectic theories of intelligence draw ideas from many different
approaches to cognition.
One problem with traditional views of intelligence is that it entails
mental competence. Howard Gardner proposed a theory called the
multiple-intelligence theory which represents a broader view of
intelligence.
Gardner’s idea of intelligence focuses on the value of problem solving
or creativity in its cultural context (Sternberg et al., 2008). Like urstone,
Gardner argued that there is more than one form of intelligence, but he
goes beyond the description of scores to seek evidence for different
intelligences. He originally identified seven core intelligences: linguistic,
logical-mathematical, spatial, musical, bodily-kinaesthetic, interpersonal
and intrapersonal (Gardner, 1993). In 2000, Gardner added naturalistic
intelligence and also considered adding existential intelligence (the
ability to consider the meaning of life) (Gardner, 1999).
e first three core intelligences (linguistic, logical-mathematical,
spatial) are similar to what is assessed in psychometric tests (see Box
15.2). e other five are different. Musical intelligence involves the
ability to perceive understanding pitch, rhythm, and timbre, and to
understand and manipulate musical symbols. Bodily-kinaesthetic
intelligence involves the abilities used in skilled movements such as
dancing or athletics. Interpersonal intelligence refers to the ability to
understand others and relationships. Intrapersonal intelligence refers
to a person’s ability to understand and have insight into their own
behaviour. Naturalistic intelligence refers to a greater connectivity to
nature, the ability to grow things and interact with animals, and the
capability to recognise and classify different species.
Gardner argued that these core intelligences are largely autonomous.
Each has particular information-processing capacities, problem-solving
features and developmental trajectories. As a result, assessment should
be designed to examine the cognitive potential or competence in each of
these intelligences.
e multiple-intelligence theory also implies that the development of
intelligences may proceed at different rates and individuals can display
an uneven profile of abilities across intelligences. According to Gardner,
assessment should be sensitive to what individuals are capable of
accomplishing.

15.3 THE INFLUENCE OF ENVIRONMENT ON INTELLIGENCE

Source: Serpell (1994, p. 160)
Researchers sampled two contrasting, low-income neighbour-hoods (one in Lusaka, Zambia, and the
other in Manchester, England) to test the hypothesis that environment plays a pivotal role in moulding
our intelligence. Eight-year-old boys and girls were asked to reproduce a standard pattern, such as a
square with diagonals, a human figure, or a flower. In the drawing version of the task, the child was
given a blank sheet of paper and a pencil and asked to copy a printed standard. In the wire-modelling
task, the child was handed a strip of wire and asked to make a model just like a standard wire model
The researchers also administered a clay-modelling version of the same task, which they predicted
would be of equal difficulty for both samples, since many Zambian children make models from natural
clay during the rainy season, and many English children play with industrially produced modelling clay
As the researchers had predicted, the English children performed significantly better on the drawing
task, the Zambian children performed much better on the wire-modelling task, and there was no group
difference on the clay-modelling task.

Although Gardner’s theory offers an interesting alternative and, in the

context of South Africa, opens up the promise of greater sensitivity to
differing intelligences arising out of different contexts, it has a number of
limitations:
• It is not clear why particular core intelligences are singled out. Why,
for example, is musical ability a core intelligence and not an ability or
skill? Why are other forms of intelligence (e.g. religiosity) not
considered as intelligence?
• It argues against the idea of g, which many psychologists have come
to accept underlies all forms of cognition.
• It has been suggested that naturalistic intelligence is not so much an
intelligence as an interest.

The learning potential theories of intelligence

e psychometric approach views intelligence as a relatively fixed
capacity. Intelligence tests measure this capacity in a static way; a person
has an opportunity to demonstrate how they think by responding to a
standardised test at one moment in time. Starting from a developmental
perspective, however, with a focus on the changing nature of thought, a
very different view of intelligence emerges. From this perspective, it is not
what has been achieved that is important, but rather the potential to
develop achievement that is given priority. e learning potential
theories of intelligence treat intelligence as the potential for change
rather than some fixed capacity.
is idea is captured in Vygotsky’s concept of the zone of proximal
development (see Chapter 3). is zone is the gap that exists between
what learners can achieve unassisted and what they can potentially
achieve with the assistance of another person (Vygotsky, 1978). e
potential that individuals have concerns how they gain from the way
others mediate their experience for them.
From this view, the measurement of intelligence should focus on how
people can respond to interventions or opportunities to improve their
performance, rather than on a normative test (Haywood & Lidz, 2007).
Unlike psychometric tests, which are based on achievement and assume
that subjects have had equal opportunities to learn, learning potential
approaches employ psycho-educational assessment procedures that
follow a pretest– intervention–post-test format (Haywood & Lidz, 2007).
Feuerstein’s mediated learning (Feuerstein, Rand, Hoffman & Miller,
1980) is an example of this approach. After World War II, thousands of
war orphans and young immigrants from over 70 countries were sent to
Israel. By traditional measures of intelligence, the majority of these
children appeared to be extremely low functioning. Feuerstein and
colleagues argued, however, that this was due to the traumatic
experiences these young people had experienced and the lack of
adequate mediation due to the context of the war, rather than due to
inherent cognitive abilities. Feuerstein conducted numerous studies to
demonstrate that task-specific training designed to promote
metacomponential thinking, among other things, could change
performance so that these children could achieve normal levels of
cognitive development (Feuerstein, 2002). He argues that a lack of
mediated learning experience is the most important cause of retarded
performance in children.
Bradbury and Zingel (1998) have demonstrated the effectiveness of
mediated learning in South Africa by facilitating peer interaction within a
sample of primary school children from diverse cultural backgrounds. An
example of a dynamic assessment using the ideas of the learning
potential approach is given in Box 15.4.

Theories of emotional intelligence

Gardner’s theory of multiple intelligences included the notion of
interpersonal and intrapersonal intelligence. ese are aspects of
emotional intelligence. John Mayer and Peter Salovey (1990) developed
the first formal theory of emotional intelligence (EI). ey defined EI as
‘the capacity to reason about emotions, and of emotions to enhance
thinking’ (Mayer & Salovey, 1997 in Mayer, Salovey & Caruso, 2004, p.
197). Salovey et al. (2004) say that EI includes the ability to accurately
perceive emotions and to use emotional knowledge for growth. ere are
four areas of EI ability, described by Mayer et al. (2004) as the four-
branch model:
• the ability to perceive emotion (e.g. to ‘read’ the emotional
expressions of others)
• the ability to use emotion to facilitate thought (e.g. to solve an
interpersonal problem in the workplace)
• the ability to understand emotions (e.g. to understand how basic
emotions make up more complex ones)
• the ability to manage emotion (e.g. how to change one’s emotions to
facilitate harmony).
ese four branches form the basis for the Mayer-Salovey-Caruso
Emotional Intelligence Test (MSCEIT). EI theory argues that people who
have emotional intelligence are more successful in their personal and
working lives. ey form stronger emotional bonds with others, are able
to maintain a greater sense of emotional stability and cope better with
life’s challenges.
e theory of EI has received various criticisms (see, for example,
Waterhouse, 2006). ese have included that the EI construct is not clear
(there are different versions of it) and that there is insufficient research
evidence of the relationship between EI and real-world success. ese
criticisms have been answered in an article by Cherniss, Extein, Goleman
and Weissberg (2006), who argue that there are various constructs of EI
because the field is young and growing dynamically. Cherniss et al.
(2006) also provide considerable evidence supporting links between EI
and workplace success, in particular. Daniel Goleman (1995) expanded
the Mayer and Salovey model, and used the term EQ for his construct of
emotional intelligence. Goleman identified five main constructs: self-
awareness, self-regulation, social skill, empathy and motivation. As with
other models of emotional intelligence, Goleman’s model has also been
criticised for being too broadly defined and for not actually being a form
of intelligence (Locke, 2005).
 SUMMARY

• The psychometric approach describes the structure of intelligence by examining the relationships
between the different kinds of mental abilities. Results from multiple tests are statistically analysed
using factor analysis; the resulting factors form the basis for the sub-tests.
• There has been much debate about whether intelligence is a general capacity or different abilities.
Spearman said that intelligence consisted of two factors: a general intelligence and specific
intelligence. In contrast, Thurstone identified seven primary mental abilities in his factor analysis of
test scores.
• The psychometric approach is limited by the test content and they measure intelligence as a static
entity.
• The cognitive theories of intelligence try to answer the question of why people differ in intellectual
ability; they investigate how people take in and process information.
• Sternberg’s triarchic theory of intelligence contains three components of information processing:
metacomponents, performance components and knowledge acquisition components.
• Sternberg also argued that there are three types of intellectual competence: analytical, practical
and creative; these allow the person to be successful in a particular sociocultural context.
• The cognitive approach contributed the idea that people can be intelligent in different ways, as
well as the importance of everyday intelligent behaviour.
• Eclectic theories draw ideas from many different approaches to cognition.
• Howard Gardner proposed multiple-intelligence theory which represents mental and other aspects
of intelligence; he focused on the value of problem solving and creativity in their cultural context.
• Gardner originally identified seven core intelligences: linguistic, logical-mathematical, spatial,
musical, bodily-kinaesthetic, interpersonal and intrapersonal, later adding one more (naturalistic)
and considering another (existential).
• Gardner’s theory has been critiqued for not indicating why these particular intelligences have been
selected rather than others; the theory also argues against the widely accepted idea of g.
• The learning potential theories of intelligence treat intelligence as the potential for change rather
than some fixed capacity.
• Vygotsky saw this process of learning/change as occurring in the zone of proximal development.
• The learning potential approach says that the measurement of intelligence should focus on how
people respond to interventions rather than on normative tests (which assume that subjects have
had equal opportunities to learn).
• Feuerstein’s mediated learning is an example of the learning potential approach; this theory argues
that a lack of mediated learning experience is the most important cause of retarded performance
in children.
• Mayer and Salovey developed the first formal theory of emotional intelligence (EI). Their model has
four branches: the ability to (1) perceive emotion, (2) use emotion to facilitate thought, (3)
understand emotion and (4) manage emotion.
• EI theory argues that people who have emotional intelligence are more successful in their personal
and working lives.
• EI theory has been criticised for being an unclear construct and having a lack of research evidence;
however, this is a young and growing area of intelligence theory.
• Goleman expanded the EI model, using the term ‘EQ’ for his construct of emotional intelligence.
 15.4 DYNAMIC ASSESSMENT IN ACTION
Neo was a 10-year-old boy who had a number of behavioural problems, including conduct difficulties
an oppositional, defiant attitude, stubbornness and poor interpersonal behaviour. According to his
maternal grandmother, Neo had never attended any formal schooling except for the three months he
had spent in Grade 1 a little more than 18 months previously. Neo had been living with his materna
grandparents since he was three-and-a-half months old. His biological mother left him in the care of her
sickly parents and contributed nothing (materially or otherwise) for him. He lived in a rural area. His
grandparents were uneducated and very poor, and struggled to make ends meet. His main chore in the
family was to look after his grandfather’s cattle, and he vehemently refused to do anything else. He
disliked everything that had to do with school and was teased by his peers for being the only child in
the village who did not go to school. He seldom played with other children because he often got into
physical fights with them.
In sessions with Neo, a thorough emotional and intellectual assessment was made using numerous
psychological tests such as the SSAIS-R, the Draw-a-Person test (DAP), the Kinetic Family Drawing (KFD)
and the Beery test. Both his SSAIS-R and DAP fullscale IQ were around 61, which was extremely low. The
Beery test indicated that his mental age was three-and-a-half years below his chronological age. In his
KFD, he drew only himself, omitting the rest of the family members, which possibly indicated a sense of
not belonging in that family.
Initially during the sessions, Neo was uncooperative and resistant to most activities. He showed little
interest, appeared anxious and exhibited a negative attitude towards being tested. But after a few
sessions, when the therapeutic support was fully established, Neo started engaging in a number of
activities such as reading, drawing and completing different puzzles. These activities allowed the tester
to model suitable behaviour and/or appropriate ways of approaching certain activities for him. The
tester modelled how to draw a human figure, and how to do some arithmetic, reading and spelling
exercises.
In the seventh session, Neo did a post-test of all the tests mentioned above (except the KFD) and his
scores had improved drastically. His SSAIS-R’s full-scale score was around 78 and his IQ estimate on the
DAP was now 87. Apart from changes in the tests scores, there was a tremendous improvement in his
adaptive functioning skills. His attitude towards school had changed and he was looking forward to
starting school the following year.

The issues of race and culture in

intelligence testing
From the time intelligence tests were developed through to the present
day, there has been evidence that there are racial and cultural differences
in measured cognitive abilities as determined by performance on tests
(Sternberg et al., 2008). e italicised part of the sentence is important, as
the following section will reveal. e challenge for psychologists studying
this construct is how to understand these differences (Gopaul-McNicol &
Armour-omas, 2002). A great deal of controversial research and
argument surrounds this issue (Nisbett et al., 2012). e argument
primarily relates to whether or not one believes that differences in
intellectual ability are innate or the result of environmental influences.
Famous theorists who believed that these differences are innate include
Arthur Jensen, and Herrnstein and Murray (1994). To help address this
argument, we need to consider whether intelligence tests reflect real
differences in intellect across cultures. To be able to answer this, we have
to be sure of a number of things:
• e test must be reliable. Reliability concerns whether or not a
person tested on different occasions would receive the same score. In
other words, how consistent is a person’s score? Without some
confidence that a test is reliable, we cannot be sure that intelligence is
being measured accurately. (See Chapter 6 for an in-depth discussion
of reliability.)
• e test must have construct validity, which concerns whether a test
relates to the hypothetical construct it is measuring. If the assumption
was that a test measures g, but in fact it is measuring only one specific
ability, then the test would be invalid. If the norm tables used in a test
do not represent that person’s background, this would also make the
results invalid. (See Chapter 6 for an in-depth discussion of validity.)
• e test must have face validity, which concerns whether the
assumptions that have been made about the nature of intelligence are
appropriate for the particular culture or group being studied.
Gardner’s idea of multiple intelligences and Sternberg’s contextual
intelligence suggest that intelligence will be influenced by what
abilities are promoted and supported in different settings. If a test is
measuring a specific ability, for example musical ability, but this is
not one highly regarded in the particular setting, then the test would
have limited validity for that culture.
• e test must have content validity. is relates to whether the
content of the test includes representative samples of whatever
aspects are being measured (Foxcroft & Roodt, 2009). For example, if
a test is of verbal intelligence, it needs to cover all aspects of verbal
ability. If a particular subgroup has not had the same opportunities to
 learn or master the content, then there is content validity bias and/or
item selection bias. Many of the tests in current use in South Africa
show these kinds of biases. For example, Cockcroft (2013) notes that
the content of the SSAIS-R is based on Western cultural knowledge,
making it invalid for those children not familiar with this knowledge.

is raises an important issue about testing and culture. Can any test be
regarded as free of cultural influences? e idea of a culture-free test
comes from the assumption that a test measures some basic fixed
capacity. us, Anastasi (1990, p. 357) refers to culture-free testing as the
‘efforts by psychologists to develop psychological tests that would
measure hereditary intellectual potential independently of the influence
of cultural backgrounds’. It is generally accepted now that attempts to
develop a culture-free test are futile. Two strong arguments can be given
for this:
• Developments in genetics have revealed that heredity and
environmental factors operate jointly at all stages of the organism’s
development, and so their effects are inextricably intertwined and
cannot be separated (Owen, 1998).
• Intelligence tests do not generally access this underlying hereditary
ability.

If we are unable to develop culture-free tests, then the alternative is to

ensure the tests are at least culturally fair. Culture-fair tests are those
that focus on experiences that are common to different cultures and
eliminate cultural bias and prejudice. In developing culture-fair tests, the
items in the test should not favour or disadvantage individuals from
different cultures. For example, an item that asks, ‘Who is the vice-
president of the United States of America?’ would favour citizens of that
country, and disadvantage citizens of South Africa. However, fairness is
more complex than this. For example, Cattell’s Culture Fair Intelligence
Test uses verbal instruction and so may be difficult (and unfair!) for
children whose first language is not English (Gopaul-McNicol & Armour-
omas, 2002).
Consider again the research in Box 15.3. e actual materials used for
the task had a profound and different impact on the performance of the
children from Britain and Zambia. Some forms enhanced their
performance, other forms lowered their performance. is shows that the
nature of the task must be culturally fair. More is needed than this,
however. e whole context of the assessment must be considered. For
example, a person not familiar with being tested in the company of an
expert who reads out instructions and expects the task to be done silently
in a closed room and away from friends (the normal conditions for
intelligence testing) is likely to be anxious. Can this be regarded as a
culturally fair assessment? e ideas of the learning potential theorists
are relevant here. ey would argue that in such circumstances it is what
people learn from such situations rather than the assessment itself that
might be more informative of their intellect.
So, when differences on scores are found across cultures, do these
reflect real differences in intellect across those cultures? It would only be
possible to say ‘yes’ to this question if we were certain that the test was
reliable, had construct, face and content validity, and that both the test
and the circumstances surrounding the testing were culturally fair to the
people being tested. ese are very difficult conditions to satisfy
perfectly.
South Africa has a history of using tests improperly so as to draw
invalid conclusions (Nzimande, 1995). For example, Fick (1929)
administered individual measures of motor and reasoning abilities,
which had been standardised for white children, to large samples of
African (black), coloured, Indian and white school children. He found
that the mean score of African children was inferior to that of Indian and
coloured children, with the white children having a mean score superior
to all groups. He attributed the inferior performance of African children
to innate differences. Although these findings were strongly disputed by
Biesheuvel (1943), Fick’s findings stood and served as an important
impetus for the formulation of the notorious Bantu Education Act of
1953. is particular instance clearly indicates the inappropriate use of
psychological testing because the instrument used was not standardised
for African, Indian and coloured children.
To date, most tests have been developed in particular settings for
particular people. In South Africa, the focus has been mainly on literate,
schooled people who have English or Afrikaans as their home language.
Clearly, a lot more research needs to be done on intelligence and its
measurement in South Africa, and great care must be taken in
understanding the cultural dynamics around testing. e theories of
intelligence, however, provide rich and useful ways of giving direction to
this research.

15.5 THE EUGENICS MOVEMENT

An extreme case of people who believed that characteristics and traits are primarily inherited was to be
found in the eugenics movement. The term was coined by Francis Galton. Eugenics is the belief that the
human population can be improved by various means. These included promoting reproduction of
people who have desired traits (e.g. high intelligence), limiting reproduction of those with least desired
traits (e.g. mental retardation) and, at its most extreme, ending life (e.g. euthanasia of the disabled)
(Levine & Bashford, 2010).
Eugenics grew from about 1880 and reached a peak in the 1920s. Its basic assumption was that some
human life is more valuable (for the public good) than other human life; therefore, according to Galton,
human reproduction had to be planned and managed (Levine & Bashford, 2010).
The eugenics movement reached its depths in the Nazi regime in Germany. Not only were Jewish
people destroyed, but also gypsies, homosexuals and the disabled. Eugenics policies present clear
violations of human rights, especially as they relate to reproduction, and they are also open to politica
manipulation and abuse.
 SUMMARY

• It is clear that there are racial and cultural differences in measured cognitive abilities, as shown
by test performance. Do these tests reflect real differences in intellect across cultures? To
answer these questions, several aspects of the test and the testing context must be considered.
• The test’s reliability must be assessed to see if it produces consistent scores.
• The test must have construct validity: it must measure what it says it measures. The test norms
must also be representative of the test-taker’s background.
• The test must have face validity: the assumptions made about the nature of intelligence must
be appropriate for the particular culture or group being studied.
• The test must have content validity: the test must cover a representative sample of what is
being measured. Item selection bias must be avoided.
• The test should be culture free. However, this is virtually impossible because hereditary and
environmental factors are so intertwined that they cannot be separated.
• At least the test should be culture fair. It should not have items which favour or disadvantage
individuals from different cultures. In addition, attention should be paid to the test-taker’s
familiarity with the testing context.
• South Africa has a history of using tests improperly so as to draw invalid conclusions. Most tests
have been developed for literate, schooled people who have English or Afrikaans as their home
language. More research needs to be done on intelligence and its measurement in South
Africa, and great care must be taken in understanding the cultural dynamics around testing.

Conclusion
While the idea of intelligence has been around since time immemorial, it is still a subject of
debate and controversy. In the early history of modern psychology, intelligence was seen as the
capacity for thinking and attempts were made to measure this capacity. is started the
psychometric movement of psychological testing, which continues to this day. Alongside this
movement there have arisen alternate conceptions of intelligence, which include the
information-processing theories, the eclectic theories such as the multiple-intelligence theory,
and the learning potential theories. ese perspectives on intelligence offer insights into how the
nature and quality of individual thinking are related to an individual’s internal processing of
information and his/her engagement in different social and cultural activities. All these
approaches to intelligence, and the debates between them, enable psychologists to determine the
value of using intelligence tests for predictive and diagnostic purposes. At the same time, they
reveal the limitations and misuse of testing, especially when this is considered in relation to
cultural and social contexts.

KEY CONCEPTS
age-based norms: values reflecting the distribution of scores for
particular age groups, from which a standard IQ score can be
calculated
bodily-kinaesthetic intelligence: a form of intelligence that involves
the abilities used in skilled movements such as dancing or athletics
chronological age (CA): a person’s actual age in years
cognitive theories of intelligence: theories that attempt to
investigate what might lie behind the apparent differences in
intelligence
componential dimension: the component of Sternberg’s triarchic
theory of intelligence that is concerned with the internal mental
processes that underlie human intelligence
construct validity: the degree to which a test succeeds in measuring
the hypothetical construct it is said to be measuring
content validity: the degree to which the test represents the aspect
being measured
contextual dimension: the component of Sternberg’s triarchic theory
of intelligence that conceptualises intelligence in relation to the
external world
core intelligences: the fundamental intelligences identified by
Gardner
culture-fair tests: tests that focus on experiences that are common to
different cultures and eliminate cultural bias and prejudice
culture-free testing: efforts by psychologists to develop psychological
tests that measure hereditary intellectual potential independently of
the influence of cultural backgrounds
deviation IQ: an index that gives the relative position of a person on
an intelligence scale compared to his/her peers, and which can be
applied to children and adults
eclectic theories of intelligence: theories that draw ideas from many
different approaches to cognition
experiential dimension: a component of Sternberg’s triarchic theory
of intelligence that is concerned with those aspects of intelligence
involved in handling different tasks and situations
face validity: the appropriateness of a test for the people of a
particular culture
general intelligence (g): a general capacity for inferring and applying
common sense to experiences drawn from various situations
intelligence: a hypothetical construct referring to some mental
capacity, power or process linked to actual performance
intelligence quotient (IQ): an index that summarises a person’s level
of general intellectual functioning on an intelligence scale using the
formula (MA/CA), but which is invalid for people over 16 years of age
interpersonal intelligence: a type of intelligence that refers to the
ability to understand others and relationships
intrapersonal intelligence: a type of intelligence that refers to the
ability to understand and have insight into our own behaviour
knowledge acquisition components: according to Sternberg’s
componential sub-theory, a kind of information processing that refers
to learning and storing new information
learning potential theories of intelligence: an approach that
understands intelligence as the potential for change rather than some
fixed capacity
mental age (MA): the level of ability related to the chronological age
at which the average person can perform a certain level of
intelligence test tasks
metacomponents: according to Sternberg’s componential sub-
theory, a kind of information processing that refers to higher-order,
executive processes used in planning, monitoring and evaluating
performance
multiple-intelligence theory: a theory of intelligence that proposes
that there are multiple, different intelligences
musical intelligence: a form of intelligence that involves operations
such as pitch, rhythm, timbre and the ability to understand and
manipulate musical symbols
naturalistic intelligence: the ability to grow things, interact with
animals, recognise and classify species, and connect with nature
performance components: according to Sternberg’s componential
sub-theory, a kind of information processing that refers to the
 processes involved in the execution of a given task
predictive validity: the extent to which a test is able to predict real-
world success in a particular field
psychometric approach to intelligence: the approach to intelligence
and intelligence testing that focuses on producing reliable tests that
measure individual differences in intellect
psychometric theories of intelligence: theories that focus on
describing the structure of intelligence by examining the patterns that
occur within the sub-components of intelligence tests
reliability: a test’s ability to give the same score to a person on
different occasions
Senior South African Individual Scale – Revised (SSAIS-R): a set of
verbal and non-verbal sub-tests that measure general intellectual
ability in order to predict scholastic achievement and diagnose
specific problems
specific intelligence (s): specific abilities that enable people to excel
in particular activities but not others
standardisation: establishing norms for a population
theoretical approach to intelligence: the approach to intelligence
and intelligence testing that focuses on the nature and composition of
intelligence
theory of emotional intelligence (EI): theory which emphasises the
role of a person’s ability to perceive, use, understand and manage
emotions
triarchic theory of intelligence: Sternberg’s approach to intelligence,
which contains three sub-theories that describe different dimensions
of information processing: the componential, experiential and
contextual

EXERCISES

Multiple choice questions

1. Who is credited with coining the term ‘mental test’?
a) Binet
 b) Cattell
c) Galton
d) Wechsler.

2. In psychological testing, what IQ score is regarded as average?

a) 50
b) 75
c) 150
d) 100.

3. Which one of the following approaches conceptualises intelligence as

the possibility for change rather than as a fixed capacity?
a) the eclectic approach
b) the learning potential approach
c) the information-processing approach
d) the psychometric approach.

4. Which one of the following is true?

a) e Senior South African Individual Scale – Revised (SSAIS–R) is a
culturally fair test that can be used for all South Africans,
regardless of their socio-economic or language background.
b) Most IQ tests are culturally free tests that can be applied to people
in many different countries.
c) An item in a South African IQ test which asks ‘Who is the vice-
president of the United States?’ would be an example of a
culturally fair test item.
d) An IQ test can never be culturally free as IQ tests do not only
measure inherited ability.

5. e ability to survive in a particular environment is referred to as:

a) coping ability
b) adaptive ability
c) intelligent ability
d) mental age.
6. What are the two main uses of intelligence tests?
a) diagnostic and predictive purposes
b) determining school readiness and the appropriateness of
remedial programmes
c) determining disability and the appropriateness of specialised
educational programmes
d) none of the above is correct.

7. One of the major criticisms levelled against Gardner’s theory of

multiple intelligence is that:
a) it is too long and over-elaborate
b) it does not take context into account
c) it argues against the idea of g
d) it identifies too few types of intelligences.

8. What are the two types of intelligence identified by Spearman in his

two-factor theory?
a) multiple and single
b) linguistic and logical-mathematical
c) general and specific
d) general and musical.

9. In his triarchic theory of intelligence, Sternberg identifies three

different types of intellectual competence: analytical, practical and
creative. Which of these can be applied by the person to manage
challenges in their day-to-day context?
a) analytical
b) creative
c) creative and analytical
d) practical.

10. e concept of the intelligence quotient (IQ) was developed by:

a) Stern
b) Binet
c) Cattell
 d) Wechsler.

Short-answer questions
1. Explain the term ‘standardisation’ in relation to the construction of
intelligence tests.
2. How do learning potential theories differ from standard psychometric
approaches in terms of how they conceptualise the nature of
intelligence?
3. Explain the following terms in relation to intelligence testing:
a) reliability
b) construct validity
c) ‘face validity’
d) culture-free tests
e) culture-fair tests.
4. In what ways can culture negatively impact on the validity of an
intelligence test outcome such as an IQ score?

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 PART 6

Social psychology
 Introduction
Garth Stevens

Given that humans are social beings, and that psychology is the study of
human behaviour, it is safe to say that psychology is always social. However,
social psychology is the sub-discipline of psychology that deals with the way
in which individuals and groups interact as social beings within various
contexts. Most contemporary definitions of social psychology present it as
the field that examines how people affect one another’s behaviours,
thoughts and feelings, but it also examines how human behaviour is shaped
by social contexts, and how humans interpret these social contexts and
shape them in turn.
This part of the book does not favour a particular approach to social
psychology, but engages specifically with some of the most pertinent social
phenomena that influence, and are influenced by, human behaviour in the
South African and global contexts. Rather than attempting to
comprehensively review every facet of social psychology, it draws on
significant findings and debates from experimental social psychology,
political psychology, critical psychology, gender studies, peace psychology
and public health. In so doing, it attempts to highlight the most salient
forms of social organisation within contemporary social contexts and how
they interface with human behaviour. It furthermore provides students with
a useful introduction to the diverse areas of study and practice that can
potentially constitute the field of social psychology.
Chapter 16 describes the concept of interpersonal attraction. It is a key
component of social psychology. This chapter explains the differences
between internal and external determinants of attraction and explains the
different attachment styles in intimate relationships.
Chapter 17 focuses on groups. One of the primary ways in which humans’
social nature is expressed, demonstrated and influenced is through group
behaviour. This chapter concentrates on some of the basic concepts
associated with the study of groups, and outlines properties that are
applicable to groups in general. It reviews small-group dynamics and
processes, and discusses various theories applicable to social groups.
Chapter 18 discusses poverty as a social-psychological phenomenon.
Despite the fact that this area has not traditionally been covered in social
psychology sections, the chapter reveals that the pervasive impact of
poverty on the lives and behaviours of ordinary people warrants such a
focus. It reviews local and global statistics on poverty and shows how
poverty is related to physical ill health. It discusses the dangers of attributing
mental ill health to poverty, and details how poor people deal with the
challenges of poverty, individually and collectively. Finally, it discusses how
both rich and poor people are affected by the psychological effects of
consumer culture, the depletion of social capital and cultural imperialism.
Chapter 18 also discusses ethnicity, introducing it as a fluid, dynamic and
unfixed social construct. It highlights the integral connectedness between
the social and the psychological when examining the particular forms and
expressions of ethnicity within different socio-historical contexts. This part of
the chapter explores some of the key social-psychological mechanisms
involved in the process of defining the Self through the creation of an Other.
In addition, it examines the relationship between the acquisition of attitudes
and stereotypes, and their frequent expressions through social prejudice,
discrimination and violence. The chapter also notes that ethnicity frequently
intersects with dominant ideologies that promote a range of social
asymmetries – most notably the ideologies of racism, nationalism, anti-
Semitism and anti-Islamism.
Chapter 19 examines the relevance of gender and sex within social
organisation. This chapter reviews the main psychological theories that
account for gender/sex differences, and explores key concepts in the study
of gender, such as the differences between ‘sex’ and ‘gender’, gender roles,
stereotypes, socialisation, gender constancy and androgyny. The chapter
highlights some of the challenges to gender equity and the ways in which
the sources of gender inequality have been theorised.
Chapter 20 introduces the interrelated but distinct areas of violence and
traumatic stress. It looks at the social-psychological theory on violence
before proposing a systemic model of violence and violence prevention
over four levels: the individual, the small group, the community and the
society. This chapter goes on to discuss integrated violence-prevention
strategies and interventions for survivors of violence. In so doing, the
chapter not only identifies a practical response to this endemic, psychosocial
priority in South Africa, but also highlights the potential role of psychology
in bridging theory and practice as it attempts to contribute to improved
health, equity and social well-being among populations.
The final part of Chapter 20 focuses on the active role that psychology
can play in the context of peacemaking and peacebuilding. Unlike the
preceding chapters, in which the focus is on forms of social organisation that
impact on human behaviour, this chapter argues for a more critical
conception of the role of psychology in building peace. It reviews the major
assumptions underpinning the theory and practice of peace processes, and
highlights the conceptual contours that differentiate the concepts of
peacemaking and peacebuilding. The chapter concludes with illustrative
examples derived from the global context to support and contextualise the
theoretical discussion on peacemaking and peacebuilding.
 CHAPTER
Interpersonal attraction 16
Peace Kiguwa & Noleen Pillay

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• describe the concept of interpersonal attraction
• explain the differences between internal and external determinants of attraction
• construct the key theoretical accounts of attraction
• explain the different attachment styles in intimate relationships
• discuss the different types of love in relationships
• describe the concept of loneliness.

CASE STUDY

Melinda had been in a romantic relationship with Nhlanhla for six months and wanted to marry
him some day. However, her family had voiced their concerns about the relationship. They thought
Melinda would be better off with someone from her own social class and ethnic group, who
shared the same customs and cultural practices. Almost all of Melinda’s friends were in
relationships with someone of the same social class and ethnic group and Melinda started to feel
that she should do the same. When she reflected on her relationship with Nhlanhla, she reminded
herself of how much he shared her lifestyle interests and how she was attracted to his drive and
ambition. However, she was reluctant to disappoint her parents.

Introduction
Social psychologists believe that one of the most basic needs of human
beings is the desire to have a sense of belonging and to experience warm
and positive relationships. is need may be expressed differently in
different societies and cultures, but is essentially the same throughout
the world. is need to experience relationships of positive regard with
others may be considered a central antecedent to interpersonal
attraction. Attraction between individuals may result from various factors
that include both internal and external influences. ese factors are
evident in Melinda’s situation.
Social psychologists can explain Melinda’s dilemma by looking at
these influences in different ways. Individual-level explanations focus on
Melinda’s internal disposition, such as being attracted to men who are
ambitious and driven. Situational-level explanations focus on the specific
situational contexts that influence Melinda’s choices and the reasons for
her uncertainty, such as her friends’ relationships and the lifestyle
interests she shares with Nhlanhla. Positional-level explanations focus on
Melinda’s social and ethnic group membership and how these factors
influence her decisions. Ideological-level explanations also consider her
group membership but with a concentrated focus on how being part of a
group may influence Melinda’s own ideological beliefs about ideal
partner choices.
In this chapter we review the main theories that account for
interpersonal attraction. We explore the determining factors that often
accompany or influence how individuals experience attraction to each
other in their intimate relationships. rough our discussion of social
exchange theory, equity theory, evolutionary theory and sociocultural
theory, we explore some of the key concepts in the study of attraction.
is discussion will further include an exploration of the main types of
love that may exist in intimate relationships, including infatuation,
companionate love and consummate love. We also briefly discuss the
different styles of attachment that exist in intimate relationships and
lastly look at issues of loneliness and friendship.
 16.1 DIRECT AND ASSOCIATED EFFECTS OF AFFECT ON
ATTRACTION
The likelihood that we will be attracted to individuals who make us feel good or who evoke pleasant
emotions within us has been shown to be a significant factor in the role of emotions in interpersona
attraction (Shiota, Campos, Keltner & Hertenstein, 2004). This direct linking of feelings and emotions with
attraction highlights the importance of positive and negative emotions in determining whether we wil
be attracted to another person. For example, we are more likely to be drawn to a stranger who
compliments us on our appearance than one who makes us feel unattractive. In this sense, we can say
that emotions have a direct effect on attraction. Similarly, Shiota et al. (2004) report on a study on
children with Down Syndrome who tend to smile less than normal children. Some parents of these
children reported that they were ‘less rewarding’ than their other children because they did not smile as
intensely.
On the other hand, there may be times when negative or positive emotions are aroused in us which
we associate with a particular person who happens to be present at the time, regardless of whether or
not they are the cause of these emotions. This, in turn, will influence our attraction to them. For
example, we may tend to dislike a person simply because he/she happened to be present when we
received particularly bad news. This behaviour is referred to as an associated effect on attraction
because it occurs when someone else is present when the positive or negative emotional state is
aroused and that person then becomes associated with that event and emotion.

Internal determinants of attraction

The role of basic needs in interpersonal
attraction
e American psychologist Abraham Maslow has been noted for his
conceptualisation of a fundamental hierarchy of needs (see Chapter 5).
Maslow believed that people would seek to fulfill their most basic
physical needs (like food, sleep and water) before attending to more
complex psychological needs. For Maslow, the highest order need is self-
actualisation (the realisation of our full potential as human beings).
However, among the basic needs discussed by Maslow, fulfilling the need
for belonging and affiliation (connection) with others is considered to be
necessary for optimal human functioning.
Figure 16.1 A feeling of belonging and affiliation (connection) with others is considered to be
necessary for optimal human functioning

As argued by Maslow’s theory, the need to affiliate with or share a sense

of belonging with others is fundamental to our well-being as individuals
(Baumeister & Leary, 1995); indeed, this need for affiliation may be seen
as essential to our existence as human beings (Baron, Branscombe &
Byrne, 2009). us, the need for affiliation with others may be considered
to be an internal determinant of interpersonal attraction. While the need
for affiliation may be intrinsic to our psychological needs as human
beings, there may be differences in the way we experience the degree and
nature of our affiliations (Baron et al., 2009). For example, some
individuals may tend to be more introverted in their social relations with
others (enjoying relationships with just a few individuals) while others
may demonstrate more extroverted attitudes and behaviour (and have
many relationships). erefore, the basic need to seek and maintain
interpersonal relationships will be expressed differently for different
people.
If people’s needs for affiliation are not appropriately met (according to
their specific needs), they may feel ignored and hurt and such social
exclusion can lead to poorer cognitive functioning (Baron et al., 2009).
On the other hand, a small number of people claim to have no need for
personal attachments and prefer to ‘avoid close relationships’ (Baron et
al., 2009, p. 227).

Can our emotions and moods influence our

attractions?
e need for affiliation may be situationally dependent on various
factors. In other words, we may feel the need or desire to affiliate based
on the positive feelings that others evoke in us or the positive events that
occur simult aneously in the presence of others (Baron et al., 2009).
Psychologists often use the term ‘affect’ to refer to emotions and moods
that we may be experiencing. e importance of affect for understanding
interpersonal attraction may be illustrated in the following case example:
Nosipho is an attractive, intelligent and confident young woman who
has been in a steady relationship with her partner for almost five years.
Recently, she survived an almost fatal car accident that left her paralysed
from the waist down. Although she and her partner are in couples
therapy following the accident and remain committed to their
relationship, Nosipho has been feeling very unattractive and useless and
has increasingly experienced intense feelings of depression about her
body image, as well as doubts about her partner’s attraction to her. ese
feelings have had a significantly negative impact on the relationship with
the result that she and her partner are thinking of separating.
e above example demonstrates the role that affect can play in our
thought processes (e.g. Nosipho’s thoughts about herself as useless), the
decisions that we make (to see a psychologist and to contemplate
separation) and our sense of interpersonal attraction (Nosipho feels
unattractive now that she cannot walk). us, our emotional state –
whether sad, angry, happy – will influence how we think about ourselves
and others, as well as whether we feel a need to affiliate or belong with
others.
Two important characteristics of affect also come into play here: the
intensity and direction of our emotion. e intensity of our emotion
refers to the strength of our feelings at any given moment, while the
direction of our emotion refers to the positive or negative nature of our
feelings. Sometimes, we may respond to particular events and
encounters with ambivalent feelings that may be positive at one moment
and negative the next. Often our own genetic predisposition may
influence whether we respond to events with positive or negative affect.

Figure 16.2 If your favourite team wins, your positive emotions will have an influence on how you
react to other events happening in your life

However, we may also be influenced by the specific nature of the event

or circumstance. For example, if you receive news that you did not
perform well on a test you wrote just after you became engaged, it is likely
that you will not feel strong negative emotions about your test
performance because you are excited and happy about your engagement.
In this instance, the emotional intensity and direction about your test is
not very strong or negative. Another example is the performance of South
Africa in the African Cup of Nations in January 2015. You may have
experienced emotions of happiness and joy when the South African team
took the lead in all three of their matches, only to go on to draw or lose
the matches. In this instance, you would be experiencing positive and
negative emotions very close together. Your disappointment at the team’s
poor performance may make you view your partner more negatively.
Our moods and feelings in response to external events can also
influence our desire to affiliate or interact with others. Again, there are
likely to be individual differences in how we respond to emotionally
stressful events. For example, think of the last time you wrote a
particularly stressful test. You may have felt a strong desire to be by
yourself and not interact with friends or peers because you were feeling
unhappy about your performance in the test. On the other hand, another
student may have felt equally unhappy about his performance, but with
the opposite reaction. He may have felt he wanted to spend time with
other classmates, discussing and bonding over the difficulty of the test. In
both instances, the person’s response to an external event (the test) was
influenced by his/her different needs to affiliate. Similarly, social
psychologists have demonstrated how external events such as natural
disasters strongly influence people’s desire to come together and interact
as a means of comfort and solidarity (Jacob, Mawson, Payton &
Guignard, 2008).
e link between affect and attraction is commonly utilised by
advertising agencies. One goal of advertising is to arouse people’s
emotions and as long as the ‘right’ (i.e. positive) emotions are activated,
people are more likely to buy a product or vote for a political candidate
(Baron et al., 2009).

External determinants of attraction

External determinants of attraction exist outside of the individual, and
can encourage (or discourage!) liking between people. We saw above
how external events like a test can influence mood and thereby indirectly
influence attraction. In this section, we consider several environmental
and other influences that may affect interpersonal attraction and the
development of intimacy. ese influences include: proximity or
geographical closeness, similarity, physical attractiveness, and
reciprocity effects.
Proximity
Research has shown that attraction is more likely to develop between
individuals who share/occupy the same physical space or context
(Zajonc, 2001). e term ‘ proximity’ refers to the close physical space
that individuals repeatedly find themselves in that allows for them to
meet one another (Breckler, Olson & Wiggins, 2006). For example,
students at a university attending the same class together (especially if
they sit in seats nearby each other) or people living in the same street or
community are likely to experience positive feelings towards each other
and develop an attraction simply from seeing each other often.
Furthermore, by means of the repeated exposure effect, also known as
the mere exposure effect, the frequency of these contacts/meetings
increases the familiarity between people, thereby amplifying the
attraction and, in some cases, even leading to marriage (cited in Baron,
Byrne & Branscombe, 2007).

Figure 16.3 People are likely to experience positive feelings towards each other and develop an
attraction simply from seeing each other often
e classic study by Festinger, Schachter and Back (1950, in Aronson,
Wilson & Akert, 2007) revealed that married students who resided in a
housing complex reported making friends with individuals who lived in
the same building as they did, and not with others from other complexes,
even though the other complexes were not far away. Even more
surprising results showed that a higher proportion of students reported
being close friends with their next-door neighbours within the complex,
instead of other residents in the complex. Festinger and colleagues (1950
cited in Aronson et al., 2007) referred to the concept of functional
distance, meaning the specific features of architectural design that
encourage some people to come into contact with each other more often
than with others. An example of this would be a stairway that only a
particular group of residents will commonly use, which will make it more
likely for them to see each other more regularly than any of the other
residents.
However, there is some debate about just how much influence
proximity has in interpersonal attraction. Some research (Breckler et al.,
2006) demonstrates that the old saying ‘familiarity breeds contempt’ may
sometimes be accurate. is study showed that living within close
proximity of one another could also lead to dislike between neighbours.
is would be a result of aspects of the living environment where, for
example, one neighbour may annoy or upset another by doing things like
parking across their driveway or by being loud and noisy.

Similarity
e familiar idiom ‘birds of a feather flock together’ suggests the
importance of similarity in influencing and sustaining attraction between
people. It seems obvious that individuals should share at least some
similarities with each other in order to perpetuate their attraction. us,
an individual’s attraction to another can often be attributed to the
similarities that they might share in their attitudes, thoughts, behaviours,
lifestyle choices, hobbies, music, religion, political views, personality and
experiences (Aronson, et al., 2007; Breckler et al., 2006). Studies on
attitudes have specifically demonstrated the attitude similarity effect, in
which people are likely to develop an attraction to someone when they
discover that they have more in common with them in relation to their
attitudes, beliefs and preferences (cited in Breckler et al., 2006).
We may sometimes not be able to understand the union of two people,
because they outwardly appear to be different from one another. ey
may, however, share similarities that are not immediately obvious or
evident to the observer. On the other hand, individuals who have widely
opposing beliefs, personalities and lifestyles may also be successful in
attracting each other. Such occurrences have been referred to as the
theory of complementarity, or ‘opposites attract’ (Gilovich, Keltner &
Nisbett, 2006).

Physical attractiveness
Research shows that both males and females report physical
attractiveness to be highly significant when choosing a partner, especially
for a romantic attraction (Weiten, 2007). Furthermore, physical
attractiveness has been demonstrated to be more important for females
than males (Weiten, 2007). One study used peer ratings to investigate
attractiveness among college students and found that females reported a
stronger positive association (as indicated by the correlation statistic)
between physical attractiveness and romantic popularity (0.76)
compared to their male counterparts (0.47) (Speed & Gangestad, 1997
cited in Weiten, 2007).
Both males and females tend to prefer physically attractive people and
many of us rely on physical attractiveness to make assumptions about
other people. is is known as the attractiveness stereotype and it can
be quite deceptive as it suggests that ‘what is beautiful is good’
(DeLamater & Myers, 2007, p. 332). is stereotype has also been labeled
the halo effect and it allows individuals to associate positive and
desirable characteristics with people who are considered physically
attractive (Gilovich et al., 2006).
Different cultures within a society contribute to the diverse
conceptions of beauty which inevitably exist (Aronson et al., 2007; Baron
et al., 2007) and these provide the social norms that influence who we are
attracted to and what physical features we look for when choosing a
mate/partner. For example, research has demonstrated that a number of
specific features play a crucial role in influencing the physical
attractiveness of an individual (Aronson et al., 2007; Baron et al., 2007;
Breckler et al., 2006; Gilovich et al., 2006). ese features include:
• facial composition, consisting of the configuration of the features on
the face (like the eyes, nose, mouth, and so on), as well as their
proportion to each other
• body shape
• weight
• height.

For example, in some cultures, thicker, more full lips are considered
beautiful whereas other cultures regard thinner lips as attractive.
Likewise, the attractiveness of weight and body size of an individual
varies across cultures. Some characteristics are additionally influenced
by the era or time period in which people live. is has particularly been
the case for body shape and size where, at one time, curvier women (e.g.
Marilyn Monroe) were regarded as beautiful and at another time, women
who appeared very thin (e.g. the model Twiggy) were favoured. us,
both culture and time have undoubtedly been influential in determining
what constitutes physical beauty and what is appropriate and ‘normal’
for any particular society. Individuals rely on these social norms to assist
them in choosing partners who are similar in regard to age, race, religion,
and so on. Choosing partners who may be similar to oneself in some
characteristics has been labeled the norm of homogamy (Kerckhoff,
1974 cited in DeLamater & Myers, 2007).
 16.2 PERCEIVED VERSUS ACTUAL SIMILARITY IN
INTERPERSONAL ATTRACTION
Source: Adapted from Montoya et al. (2008)
The ‘similarity effect’ has been supported by a great deal of anecdotal and empirical evidence. The effect
has been found for attitudes, physical attractiveness, personality traits and hobbies and has been
studied in the laboratory context as well as field settings. However, despite these robust findings, some
researchers have disputed them, saying that the similarity is primarily evident in laboratory research or in
studies where there is experimental manipulation of similarity (i.e. rather than in existing relationships)
Researchers have also raised the distinction between actual similarity and perceived similarity (how
much partners believe they are alike). Previous research and theoretical considerations suggest that
perceived similarity should be more important for attraction (for consistency, people may delude
themselves that they are more like their partners).
Montoya et al. (2008) conducted a meta-analysis of many previous studies to examine these effects
Their results showed that perceived similarity does indeed predict attraction whereas actual similarity
does not. In their discussion, Montoya et al. (2008) also note that attraction may lead to perceived
similarity. This supports our self-esteem and sense of consistency. Montoya et al. (2008) also found that
actual similarity did not reduce conflict in relationships or help to prolong relationships. So, it seems that
similarity does lead to attraction, but only ‘in the laboratory setting, not in existing relationships
(Montoya et al., 2008, p. 907). Montoya et al. (2008) conclude that researchers should pay more attention
to factors that are stronger predictors of attraction, such as reciprocal liking, physical attractiveness and
commitment.

Other social characteristics like race/ethnicity, age, religion and socio-

economic status, although not related to physical attractiveness, can be
equally or perhaps even more influential in attracting individuals to
particular people (DeLamater & Myers, 2007). During the apartheid
regime, for example, people from different races were not allowed to mix
with each other, and interracial marriage was illegal. is legal
prohibition forced people to marry individuals from the same race only,
and made it very difficult to have any intimate relationships with
members from another race.

Reciprocity effect
e reciprocity effect refers to the process of being attracted to someone
whom we positively evaluate and who likes us in return (Baron et al.,
2007). e reciprocity effect increases with awareness of the other’s
positive feelings. It may also include a combination of factors such as
proximity and physical attractiveness.
e idea of reciprocity is also linked to the way relationships can be
socially rewarding (Fitness, Fletcher & Overall, 2003). According to social
exchange theory (see below), relationships evolve over time depending
on the nature and amount of social reward the partners exchange
(Cropanzano & Mitchell, 2005). In this instance, reciprocity can be
thought of as ‘repayment in kind’ and there are certain rules that govern
this exchange (Cropanzano & Mitchell, 2005):

Figure 16.4 Reciprocity involves giving and receiving in a relationship

• e exchange indicates a mutual and complementary

interdependence between the parties.
• ere is a ‘folk belief’ that people get what they deserve.
• ere is some kind of moral obligation to reciprocate, and those who
do not are punished.
 SUMMARY

• All human beings need to have a sense of belonging and to experience warm and positive
relationships. Interpersonal attraction may develop from aspects at the individual, situational or
positional levels.
• There are a number of internal determinants of attraction. According to Maslow, fulfillment of the
human need for affiliation is fundamental to well-being. Our moods and emotions may also affect
how we respond to others. This is influenced by the intensity of emotions, as well as whether they
are positive or negative in nature.
• External determinants of attraction exist outside of the individual, and can encourage or
discourage liking between people:
» Geographical closeness or proximity provides the conditions for repeated exposure to other
people. This leads to familiarity which (usually) increases attraction.
» Similarity between people can also influence and sustain attraction. Important similarities may be
in attitudes, thoughts, behaviours, lifestyle choices, hobbies, music, religion, political views,
personality and experiences. On the other hand, complementarity may apply as opposites can also
attract each other.
» Physical attractiveness is important in attraction. The halo effect suggests that people who are
beautiful are seen as also having other positive and desirable characteristics. Different cultures vary
in terms of what physical aspects (height, weight, shape and facial features) are considered to be
beautiful. We also tend to choose people who are physically similar to ourselves.
» We tend to be attracted to people we like and who like us in return (the reciprocity effect).
Reciprocal social relationships can be rewarding.

Theories of interpersonal attraction

eories are useful in explaining social psychological phenomena and
several have been developed to do just this. However, only a few have
focused on understanding interpersonal attraction. Accordingly, four
theoretical approaches have been identified which are relevant to this
chapter. For each approach, a brief description and its basic principles
will be presented. ereafter, its contribution to explaining interpersonal
attraction will be discussed.

Social exchange theory

Social exchange theory, we would argue, provides a clear and simple
approach to understanding attraction and social behaviour. Essentially, it
focuses on social relationships as exchanges of resources or services
between people (DeLamater & Myers, 2007). People are more likely to
engage in relationships that produce much higher rewards than costs.
For example, a woman who partners with a physically attractive man may
regard his physical appearance as a reward if it enhances her own social
status. At the same time, he may have annoying habits that represent a
cost to her. She will eventually have to weigh the rewards and costs of
being in the relationship and decide whether the reward of increased
social status outweighs the cost of putting up with his annoying habits.
e outcome of the relationship depends on this comparison between
the rewards and the costs. Each person has his/her own comparison
level; this refers to the person’s expectations concerning rewards and
costs in a relationship. When people’s expectations do not match what
they are experiencing within the relationship, their sense of
dissatisfaction may urge them to consider alternative relationships that
they perceive will better meet their expectations. is is known as the
comparison level for alternatives. Social exchange theorists claim that
individuals need to acquire much higher rewards than costs in order to
want to continue in a relationship and not seek an alternative
relationship.

Equity theory
Equity denotes a sense or state of justice and fairness. Equity theory
attempts to deal with the idea of justice and fairness in human
relationships (Taylor & Moghaddam, 1994) and it has been used to
understand different contexts of human interactions and relationships
such as business and intergroup relations. is approach provides an
argument for fair and equal contribution of costs and rewards (Aronson
et al., 2007). e central argument of equity theory is that human beings
are not just out to receive rewards but we also desire a sense of justice in
our relationships. In other words, we do not just want to receive rewards
from our partners but also want to feel that our efforts and rewards are
indeed equal to our partner’s. Any sense or feeling that we are putting in
more effort than our partner is likely to cause feelings of unease,
unhappiness and even anger in the relationship.
But what happens when we put in less effort and yet reap more
rewards or at least the same rewards as our partners? Will we experience
similar feelings of unease and unhappiness? Spector (2008) says that this
is likely to lead to a sense of guilt. us, equity theory argues that
regardless of whether we are the over-benefited or under-benefited
partner, we are still likely to experience unease at any perceived
unfairness. ese dynamics are also evident in the workplace, where
employees will feel their work situation is fair if they perceive that their
colleagues are receiving equivalent rewards.
is proposition of human nature as inherently striving towards
justice and fairness has been critiqued by other theorists who have
argued that individuals often inherently strive towards maximising their
own rewards at the expense of others (as suggested by social exchange
theory). For example, Muzafer Sherif ’s pioneering work on group
competition and conflict highlights the fundamentally competitive and
non-complementary nature of human relationships, in a Western context
at least. Nonetheless, equity considerations have considerable influence
on whether we perceive our relationships with others to be both viable
and pleasant.
In summary, equity theory presents a model of individual and group
behaviour that may be understood as encompassing the following four
basic propositions:
• Proposition 1: Individuals will try to maximise their outcomes by
evaluating and comparing rewards and costs.
• Proposition 2: ere is a social system of rewards for members of a
group who are in equitable relationships. For example, previous
human rights debates concerning the legalisation of same-sex
marriage in South Africa highlighted some of the ways that the
institution of marriage provides economic, political and socially
sanctioned benefits enjoyed by individuals in a heterosexual
relationship as compared to individuals in same-sex relationships. In
this instance, the society itself provided social, economic and political
rewards for members of a particular group to the detriment of others.
• Proposition 3: When individuals find themselves in an inequitable
relationship, they become distressed and frustrated (the more
inequitable the relationship, the greater the distress and frustration).
• Proposition 4: Individuals who discover they are in inequitable
relationships will attempt to eliminate their distress by restoring
equity (the greater the distress, the harder they will try to restore
equity).

Evolutionary theory
According to evolutionary theory, possession of certain favourable
characteristics (e.g. physical attractiveness) mean that it is more likely
that an individual’s genes will be transmitted to the next generation (i.e.
they will have babies!). us, the evolutionary approach underlies some
important aspects of interpersonal attraction and sexual behaviour,
namely long-term natural selection processes like genetic fitness,
reproduction and survival, and perpetuation of genetic codes
(DeLamater & Myers, 2007; Gilovich et al., 2006; Weiten, 2007).
Evolutionary psychologists emphasise the role of genetic coding and its
influence on social behaviour. More specifically, aspects like altruism,
aggression, mate selection, sexual behaviour and especially the physical
characteristics of humans and animals are believed to be influenced by
the genes we inherit from our ancestors (DeLamater & Myers, 2007).
e study of mate selection, however, has amassed more attention
from these psychologists than any of the other social behaviours. ere is
substantial literature on the evolutionary factors underlying a person’s
choice of a mate and these findings are replicated across many different
cultures (Fitness et al., 2003). is research has contributed to our
understanding of the key aspects that both men and women focus on
when selecting an appropriate partner. It is important to understand that
these aspects are chosen for their evolutionary usefulness. First, both
men and women value kindness, loyalty and emotional stability (Fitness
et al., 2003). ese are important characteristics in evolutionary terms
because having children requires mutual support and dependability.
However, there are some differences between men and women in terms
of the mates they choose. For men, physical beauty and a youthful
appearance appear to be crucial, as this indicates a fertile woman who
can bear many healthy children. On the other hand, women seek
partners with a stable social and financial status, who are able to provide
resources for both themselves and their offspring (Buss, 1994 cited in
DeLamater & Myers, 2007). It is evident from this perspective that
attraction is strongly determined by the social capital or valued assets,
like physical attractiveness or social status, which individuals possess.
For example, a man who owns his own house and car is showing a
potential mate that he has financial resources. Likewise, a woman who
takes good care of herself and maintains a healthy body is showing that
she brings health and vitality to the pair bond.

Sociocultural theory
In direct contrast with evolutionary theory, sociocultural theorists
propose a theory of interpersonal attraction that argues that sexual
attraction and behaviour are not biological but rather social and cultural
in nature. e emphasis here is on the society and not the individuals in a
relationship. In other words, sociocultural theorists are interested in
understanding the social and cultural norms that influence how
individuals come together and become part of a unit.
Socio-normative culture forms the backdrop of how we understand
sexual and romantic behaviour. We may become attracted to someone
because they share similar social and cultural values and beliefs as our
cultural group. For example, a Xhosa woman may choose to enter
marriage with a Xhosa man who has been received in his community as a
man because he has successfully performed the ceremonial rites of
passage through initiation. In this instance, she is influenced by her
culture’s constructs of accepted notions of masculinity and the cultural
practices that legitimate this construct. Sociocultural theorists therefore
emphasise the ways that our social and cultural norms influence our
partner choices and interactions (see Box 16.3).
 SUMMARY
Social exchange theory provides a clear and simple approach to understanding attraction and social
behaviour. This theory says that, in relationships, people exchange resources or services to gain higher
rewards than costs. Each person has their own comparison level and if their expectations do not match
what they are experiencing within the relationship, their comparison level for alternatives may lead
them to seek a new relationship.
Equity theory focuses on justice and fairness in human relationships. Individuals will try to maximise
their outcomes by evaluating and comparing rewards and costs. People want to feel their efforts and
rewards in the relationship are equal to their partner’s. We feel distress and unhappiness if we either
over-benefit or under-benefit, and will try to correct this situation.
Evolutionary theory focuses on physical aspects like genetic coding to explain interpersonal attraction
and sexual behaviour. Mate selection research suggests that men seek physical beauty and a youthful
appearance as this indicates a healthy, fertile woman, while women seek partners with a stable social
and financial status, who are able to provide resources for both themselves and their offspring.
Sociocultural theory argues that sexual attraction and behaviour are not biologically based but rather
social and cultural in nature. It focuses on how social and cultural norms influence the formation of
relationships.

16.3 CAN SOCIAL CONSTRUCTS INFLUENCE INTERPERSONAL

ATTRACTIONS?
Psychologists working within a framework of discourse analysis are interested in how social constructs
place us into specific roles in society and how they influence our sense of agency to act within particular
positions. These theorists have highlighted how some constructs such as gender, race and sexuality
influence how we are positioned and experience ourselves as individuals who are defined as black
white, male, female, gay, lesbian, and so on. In this sense, social psychologists working within a
discursive and social constructionist framework would be interested in how we are defined by others
for example in terms of our gender, race or sexuality, and how that influences our interpersona
relationships and attractions.
In a study focusing on interviews conducted with students in a post-apartheid context, Ratele (2002)
demonstrates how constructs of racial difference as natural are used to define interpersonal intimate
relationships as naturally forbidden and therefore undesirable. In a similar vein, Kiguwa and Langa (2008)
in a study exploring cross-generational perceptions of same-sex partnerships, demonstrate how
defining sexuality as rigid and natural is used to defend notions of homosexuality as unnatural and
therefore pathological. These studies point to how social constructs (and how we define our identities
as men and women, black and white, and so on) affect how individuals are perceived by others as wel
as how they may in turn perceive themselves.

Romantic love
Interpersonal attraction may in some instances never proceed beyond
the feelings of intense emotional attraction and/or desire for someone
associated with romantic love. At other times, it may develop further to
include feelings of deep friendship and love for someone else. In this
section we explore some of the characteristics of romantic love and the
nature of intimate adult attachments.

Types of romantic love

Defining love remains a difficult and often confusing endeavour for most
people. is is often because we are never really sure whether to include
feelings of liking someone or being sexually attracted to them as part of
being in love. Some social psychologists distinguish between two
different types of love: passionate and companionate love. However,
Sternberg (1986) proposed a triangular model of love (see Figure 16.6),
including:
Figure 16.5 Romantic love includes feelings of intense emotional attraction and desire for someone
else

Figure 16.6 Sternberg’s model of love

• passion (intense feelings for another person, which may include

sexual feelings)
• intimacy (warmth, closeness and sharing with a partner in a
relationship)
• commitment (the intent to continue a relationship, in spite of the
challenges that may arise) (Weiten, 2007).

From these basic dimensions, Sternberg said there are a number of types
of love:
• infatuation, which represents a complete absorption in another that
involves tender sexual feelings, including the agony and ecstasy of
 intense emotion (Weiten, 2007)
• companionate love, which is a blend of intimacy and commitment
and involves a warm, trusting and tolerant form of affection for
another individual whose life is closely intertwined with our own
(Weiten, 2007)
• consummate love, which represents the strongest and fullest type of
love and is comprised of all three dimensions: passion, intimacy and
commitment.

Attachment style combinations

Social psychologists generally agree that there are three main infant
attachment styles that eventually come to characterise our close
interpersonal relationships as adults. ese attachment styles, which
develop from the relationship between infants and their primary
caregivers (see Chapters 3 and 4), determine the type of close,
interpersonal relationships the person will seek out and engage in as an
adult. Hence, the caregiving style that the infant experiences, as well as
the type of attachment that the infant develops in response to the
caregiving style, will influence the types of adult attachment styles he/she
will demonstrate. ese are presented in Table 16.1.
 16.4 FINGERPRINTING FACEBOOK FRIENDS: CYBER
PROXIMITY AND FRIENDSHIPS
According to Nortjé (2008), most technological tools have a significant impact on how we construct our
identities and relate to others. The social network phenomenon Facebook is one such domain where
identities are formed, maintained, performed and negotiated by users. In her analyses of identity and
friendships on Facebook, Nortje demonstrates how it is possible to maintain contact with some people
whom we consider to be intimate and close friends and at the same time have friendships with people
whom we do not consider to be close to us. The latter friendships are defined as superficial friends in
comparison to real friends. In this sense, social networking sites may not necessarily increase intimacy
between people but rather continue existing friendships as they exist in social reality.
Cyber friendships have initiated some considerable debate on the role of modern technology in
overcoming interpersonal distance between people as well as enhancing intimacy (Bargh, McKenna &
Fitzsimons, 2002; Joinson, 2001). Some studies have found that individuals engage in a process of
impression management during face-to-face interactions as well as on the internet (Bargh et al., 2002)
This therefore presents some doubt about the nature and depth of the friendships that are formed
through social networks. It could be argued that long-term, face-to-face interactions eventually involve
fewer conscious attempts at impression management compared to social network sites that do not
have the influence of such direct contact; therefore, face-to-face interactions may nurture more depth
and intimacy in our relationships.

Table 16.1 Attachment styles in adult relationships (adapted from Hazan & Shaver, 1987, cited in
Weiten, 2007)
Parent’s caregiving Infant attachment
Adult attachment style
style style
Warm/responsive Secure Secure
Parent/caregiver who was The infant–caregiver bond As adults, these individuals are
generally warm and responsive, encouraged contact with comfortable getting close to
knowing when to support the the caregiver and the infant others or letting others get close
infant and when to allow him/her used this close bond as a to them. There are no fears of
to fend for him-/herself. The base from which to explore abandonment or of being
parent had a comfortable and his/her environment. suffocated by a partner in a
easy-going relationship with the relationship.
infant, with very little, if any,
reservation about the relationship.

Cold/rejecting Avoidant Avoidant

Parent/caregiver who was usually There was an insecure These adults find it difficult to
distant, cold or rejecting. This type infant–caregiver bond, trust others and to allow
of parent was unresponsive to which was shown by themselves to be dependent on
their infant’s needs and made the minimal protest surrounding them. They feel uncomfortable
child feel as if he/she is not the separation, and featured an getting too close to others or
caregiver’s first priority. avoidance of the caregiver. allowing others to get too close
to them.

Ambivalent/inconsistent Anxious/ambivalent Anxious/ambivalent

Parent/caregiver was inconsistent A clearly insecure infant– As adults, these individuals feel
in his/her reactions towards the caregiver bond emerged, that others are reluctant to get as
infant. He/she could be warm at characterised by intense close to them as they would like.
times and cold at other times. separation protest coupled They are concerned by their
Although this parent loves the with a tendency for the child partners’ feelings of love towards
infant, this is not clearly obvious to resist contact with the them and feel as though their
to the infant. caregiver after separation. partners do not love them. Their
need for a complete merger
between themselves and their
partners seems to scare people
away from them.

Loneliness
As argued earlier in the chapter, individuals have an intrinsic and basic
desire to seek the company of others and to be affiliated with others.
When this desire is not fulfilled, individuals experience what is generally
known as loneliness. As we noted earlier in this chapter, however, some
people have a lower need for affiliation and would not say that they feel
lonely. Individuals who are lonely tend to feel isolated and that no one
really knows them. ey may feel rejected and that they have little in
common with others (Baron et al., 2009). Most people feel lonely during
various life transitions such as death, divorce or relocation of residence,
and so on. However, some individuals experience what has been termed
‘chronic loneliness’. Chronic loneliness has been linked with impaired
physical health, poor mental health, higher levels of stress-related
hormones and poor sleep patterns, and it can lead to early death (Baron
et al., 2009; Weiten, 2007).
Baron et al. (2009) discuss a number of possible reasons for chronic
loneliness:
• Genetic disposition. Twin studies have demonstrated that identical
twins are more similar in loneliness than fraternal twins.
• Attachment style. People who have an avoidant style often struggle to
establish intimacy with others.
• Deficit in social skills. Children who do not have opportunities to
interact may struggle to develop appropriate skills of relating to others
leading to long-term loneliness.

Can technological advancement curb the spread

of loneliness?
eorists argue that, as more people begin to interact with others on the
internet, face-to-face social disengagement develops (Bargh et al., 2002).
Furthermore, excessive television viewing or use of gaming equipment
may also contribute to social disengagement behaviour related to
depression and loneliness (Weiten, 2007). Psychosocial theories of
development (such as Erikson’s life span stage theory) have
demonstrated the importance of peer interaction during particular
phases of development. is process is critical for developing a sense of
mutual trust and well-being towards oneself and others. Modern
technological tools such as smartphones, the internet and gaming
equipment may interfere with these processes of social play and
interaction, thus leading to a sense of solitude and, in extreme cases,
 loneliness. At the same time, the internet and other communication
technology may also facilitate and nurture intimate relationships for
some socially anxious individuals, who have trouble with face-to-face
interactions.

SUMMARY

• Close adult attachments involve different types of love.

• Sternberg’s triangular model of love has three dimensions: passion, intimacy and commitment.
From these basic dimensions, Sternberg identified a number of types of love: infatuation, romantic
love, liking, companionate love, empty love, fatuous love and consummate love.
• Attachment theory argues that the three main infant attachment styles eventually come to
characterise our close interpersonal relationships as adults:
» Parents with a warm and responsive parenting style are likely to have offspring with secure infant
and adult attachments.
» Parents with a cold and rejecting parenting style are likely to have offspring with avoidant infant
and adult attachments.
» Parents with an ambivalent or inconsistent parenting style are likely to have offspring with
anxious/ambivalent infant and adult attachments.
• Loneliness may follow a life transition, but chronic loneliness has been associated with impaired
physical and mental health. There is debate about the impact of technological advances on
loneliness. They may either hinder or facilitate social engagement.

Conclusion
In this chapter we have looked at the different internal and external factors that influence the
experience of interpersonal attraction. These influences are not mutually exclusive but may co-exist
simultaneously in determining how one becomes attracted to a potential mate. Furthermore, we
have explored four key theoretical approaches to understanding attraction between people. These
demonstrate how the personal and social evaluations of rewards and costs underlie attraction as
well as evolutionary theories about gender differences in choosing a mate. There also seem to be
important considerations of fairness in relationships. Lastly, we saw how our sociocultural
environment plays a significant role in influencing how we choose a mate. Over the long term,
attraction between people tends to develop into close forms of intimate relationships that include
the different dimensions of love and these may evolve into consummate love during different
phases of the relationship. Exploring interpersonal attraction and close relationships between
people is an important area of study for social psychologists interested in understanding the
psychology of interpersonal relations. Through research, we have learned a great deal about how
friendships form, how close relationships are nurtured and the nature of loneliness and its
consequences.
KEY CONCEPTS

affect: a person’s emotional state; may include both positive and

negative feelings and moods
attitude similarity effect: an attraction which is likely to develop
when a person discovers that he/she has more in common with
another person in terms of their shared attitudes, beliefs and
preferences
attractiveness stereotype: the idea that people who are physically
attractive also have other positive and desirable characteristics
commitment: the intent to continue a relationship, in spite of the
challenges that may arise
companionate love: love characterised by a warm, trusting and
tolerant form of affection for another individual whose life is closely
intertwined with our own
comparison level: the comparison between people’s expectations
concerning the level of rewards and costs they are likely to experience
in a particular relationship and what they are actually experiencing in
the relationship
comparison level for alternatives: people’s expectations regarding
the extent of rewards and costs they would acquire in an alternative
relationship
complementarity: a theory which states that individuals who possess
differing characteristics may still be attracted to each other (opposites
attract) – this is counter to the common idea that people who are
similar are attracted to each other
consummate love: love characterised by both passionate and
companionate dimensions, and that represents the strongest and
fullest type of love
costs: negative aspects of a relationship that we put up with (such as
personal habits, or personality)
halo effect: the common belief that attractive people possess positive
qualities beyond their physical appearance
infatuation: love characterised by a complete absorption in another
that involves tender sexual feelings, including the agony and ecstasy
 of intense emotion
interpersonal attraction: the positive feelings and attitudes felt for
another person
intimacy: warmth, closeness and sharing with a partner in a
relationship
loneliness: characterised by the absence of close relationships which
leads individuals to feel isolated and misunderstood by others
norm of homogamy: choosing partners who may be similar to
oneself in some characteristic
outcome: direct comparison of rewards and costs (e.g. do the costs
outweigh the rewards or vice versa?)
passion: intense feelings for another person, which may include
sexual feelings
proximity: the close physical space that individuals repeatedly find
themselves in which allows them to meet others
reciprocity effect: individuals like others who like and/or positively
evaluate them
repeated exposure effect: higher frequency of contacts/meetings
amplifies the attraction
rewards: positive, gratifying aspects of a relationship (e.g. personal
characteristics, behaviour and/or external resources such as status
and money)

EXERCISES
Multiple choice questions

1. e intrinsic need for ___________ is a primary motivator for wanting

to make friends and belong to a group.
a) intimacy
b) affiliation
c) friendship
d) love.
2. Which of the following types of love involves the three dimensions of
passion, commitment and intimacy?
a) passionate
b) romantic
c) companionate
d) consummate.

3. In Sternberg’s triangular theory of love, the three basic components of

love are:
a) fatuous, romantic and companionate love
b) infatuation, liking and empty love
c) intimacy, passion and commitment
d) obsession, jealousy and adoration.

4. e notion that men and women choose their partners based on

considerations of physical beauty and social status respectively is
characteristic of:
a) equity theory
b) the matching hypothesis
c) evolutionary theory
d) sociocultural theory.

5. Secure attachment style in close relationships includes:

a) high levels of personal conflict
b) high levels of social anxiety and conflict
c) satisfaction and trust
d) high levels of despair and depression.

6. e idea that you will become friends with someone who attends the
same classes as you and often sits next to you is characteristic of:
a) affiliation theory
b) the similarity hypothesis
c) the proximity hypothesis
d) none of the above is correct.
7. When you find yourself beginning to like someone because you see
him/her almost every day, you are experiencing what is commonly
referred to as:
a) the familiarity effect
b) the proximity effect
c) the reciprocity effect
d) the repeated exposure effect.

8. Research shows that physical attraction is:

a) equally important to women and men
b) not relevant to interpersonal attraction
c) does not affect how we interact with a potential mate
d) is a strong predictor of people’s preference for a potential mate.

9. According to social exchange theory, we sometimes make decisions

about our potential rewards and costs in other relationships when
choosing to end a current relationship. is is known as:
a) equity evaluation
b) comparison level
c) comparison level for alternatives
d) outcomes.

10. According to equity theory, when we perceive inequity in a

relationship we:
a) immediately leave the relationship
b) cheat on our spouses
c) try to restore equity
d) ignore the inequity.

Short-answer questions
1. Discuss the three main attachment styles that characterise
interpersonal relationships.
2. Describe internal and external determinants of attraction and use an
example to demonstrate how important each determinant is in
predicting attraction.
3. Explain and give examples of the triangular theory of love.
4. Discuss the saying ‘opposites attract’ and make an argument for and
against this idea.
5. Discuss the social and cultural differences in physical attraction that
may impact on the development of a relationship.
 CHAPTER
Group concepts 17
Tanya Graham

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• understand the reasons why individuals belong to groups, and the different ways in which
groups have been defined
• locate the study of groups within the field of social psychology
• identify different types of groups
• understand the features of small groups and some of the small-group processes studied by
social psychologists
• demonstrate a basic understanding of phenomena related to social groups, some of the earlier
theories of intergroup relations and social identity theory.

CASE STUDY

Melinda didn’t really enjoy being in groups and tended to avoid them. Before coming to university
she had spent much of her time with just a few good friends. Being a bit of a loner, she was also
quite used to her own company. She supposed it was shyness mostly that kept her away from big
groups. But as she began to think more deeply about the social psychology of groups, Melinda
wondered whether she had really managed to steer clear of groups as successfully as she had
imagined.
Melinda might not have deliberately chosen to join clubs or teams, but she certainly had been a
part of her school whether she liked it or not. She was now a member of her university. If someone
saw her walking along the path that led to the campus, as she did each morning, they would
naturally assume that she was a university student. It was strange to think that others might see
you as part of a group even when you weren’t aware of it yourself.
Sitting in the lecture hall, Melinda looked around her, and she was suddenly aware that she was
also a part of the psychology class. She was a member of a group right here and now. She didn’t
always feel like she quite fitted in with everybody – but even so, here she was sitting quietly at a
desk just like everyone else in the room. There were certainly some very effective group norms
operating in the lecture hall, she acknowledged to herself. It was accepted that students would sit
and face the lecturer, write notes and not talk amongst themselves. If one of the students had
suddenly got up and rushed towards the front of the room taking the lecturer’s place, everyone
would be most surprised. By accepting those group norms she was taking her place firmly in the
group.
 Melinda mostly thought about herself as a separate individual, thinking her own private
thoughts and making her own life plans. But it seemed clear to her now that the way she felt and
behaved was being influenced far more by group membership than she had realised. Her family
was a kind of a group, a small one, but a group nonetheless. She saw herself as South African and
that also made her a member of a very large kind of group – the nation. Most of the time she
wasn’t even thinking about these group memberships, but it was true that she did identify with at
least some elements. Like most of us though, Melinda only became aware of her many group
memberships when someone or something reminded her of them.

Introduction
Humans are social beings and one way in which this social nature is
expressed is through groups. We are also influenced by the groups to
which we belong. Our participation in, and interaction with, various
groups is a fundamental part of our daily lives.
But, in order to truly understand the influence of groups on social life,
it is necessary to examine groups more closely by looking at some of their
fundamental qualities and dynamics. is chapter focuses on some of the
basic concepts associated with the study of groups, and is intended to
form an introduction to understanding group behaviour. e chapter
outlines general properties, concepts and processes that refer mainly to
small social groups, as well as introducing theories that apply to larger
social groups.
For almost a century, social scientists have recognised the significance
of groups in our lives (Moreland & Levine, 2003). Early experiments and
observations from the late 19th century to the early 20th century
suggested that groups influenced people and that this influence required
further investigation.
However, within the field of psychology, Floyd Allport questioned this
view, stating that primacy should be given to the study of individuals, not
groups, and that groups were no more than a mixture of the qualities of
their individual members (Klein, 2009).
In contrast to this position, Solomon Asch later argued that groups
were unique social organisms with unique properties, and could not be
fully understood by studying individuals alone (Weiten, 2007). is view
suggests that, as gestalt psychology argues, the whole is greater than the
sum of its parts.
Over the past century, the study of groups has expanded to such an
extent that it is no longer the domain of any single branch of psychology
(Moreland & Levine, 2003). Instead, groups are an important area in
fields such as organisational psychology, developmental psychology,
clinical psychology, cross-cultural psychology and community
psychology, among others (Moreland & Levine, 2003). In addition, the
study of groups is a fundamental part of a number of other disciplines in
the social sciences, such as social anthropology, sociology and political
science. is chapter introduces some of the basic understandings of
groups from the perspective of social psychology.

Reasons for group belonging

In order to understand group properties and dynamics, it is necessary to
first look at some of the reasons why people belong to or form groups.
Although groups are not always consciously formed, they fulfil many
basic and intertwined human needs that cannot be satisfied by
individuals alone (Bordens & Horowitz, 2002). ese include biological,
psychological, social, cultural and practical needs. For instance, groups
fulfil our need for affiliation (Buunk, 2001), as well as for love and
belonging (Maslow, 1954) (see Chapter 16). Groups also play a
considerable role in influencing individual self-esteem, and in the
development of self-concept (Bordens & Horowitz, 2002). Furthermore,
groups are an important source of social support, they offer us
information about the social world and ourselves, and they satisfy our
need for social comparison (Festinger, 1954). Groups also provide a
context in which people can pool their resources and solve problems
collectively rather than individually in order to live more effectively
(Bordens & Horowitz, 2002).
Group definitions
In everyday life, most people would refer to a group as a collection of
people. However, various theorists have attempted to provide definitions
of groups based on the presence of certain properties. Moghaddam
(1998) distinguishes between definitions of groups that emphasise
objective factors, and those that emphasise subjective factors. An
objective approach would be to consider a collection of people to be a
group based on perceptions of common characteristics by an outsider,
while a subjective approach would be to consider people to be a group
when they perceive or categorise themselves as such (e.g. Tajfel, 1978). A
term for this characteristic of objective groups is entitativity, the extent
to which a group is perceived as a coherent whole. According to Baron et
al. (2009), groups differ greatly in terms of their entitativity. One kind of
objective group could be a common-identity group (Baron, Branscombe
& Byrne, 2009). In common-identity groups, members are linked to the
overall category (e.g. South Africans). Membership of a common-identity
group does not necessarily imply interaction with other members, but
membership nevertheless affects behaviour. On the other hand, a
subjective group may be seen as a common-bond group (Baron et al.,
2009). In this kind of group, members are bonded to each other and there
is usually face-to-cafe interaction.
Figure 17.1 An example of a common-identity group would be entrants in a marathon, who do not
necessarily know each other, but are linked by a common interest (running) and goal (to finish the
course)

While group definitions based on objective and subjective factors do not

necessarily indicate a person’s interaction with other members of the
group, this interaction is the basis of what is referred to as a social group
(Baron et al., 2009). Within social psychology, the most important
characteristics of social groups have been defined as:
• interdependence among group members
• interaction between them and
• mutual influence (Bordens & Horowitz, 2002).

For instance, Baron et al. (2009, p. 380) define a group as ‘people who
believe they are bonded together in a coherent unit to some degree’.
Mutual influence arises out of the verbal or non-verbal information that
members exchange (Bordens & Horowitz, 2002).
Overall, the various definitions highlight some of the complexities of
groups, and the variety of perspectives that have been taken to
understand them. Examining some of the different types of groups that
exist also helps us to understand this social phenomenon.

Types of social groups

ere are many different ways of classifying groups. One of the simplest
classifications involves the us-and-them typology (the in-group and the
out-group). Another useful distinction has been made between primary
groups, secondary groups and reference groups (Moghaddam, 1998;
Newman, 2012).

In-groups and out-groups

An in-group is a group to which people belong, or think they belong, and
feel loyalty towards (Newman, 2012). An out-group is a group to which
people do not belong or think they do not belong (Baron et al., 2009).
People often feel a certain sense of antagonism toward their out-groups
(Newman, 2012). is classification of groups can be used for both small
and large social groups.

Primary groups, secondary groups and reference

groups
Primary groups generally have a small membership and are
characterised by intimate direct interactions, strong levels of group
identification, strong affective ties between group members, multifaceted
relationships and a long period of existence (Cooley, 1956; Newman,
2012). ese groups are referred to as primary because of their role in
personality development and primary socialisation (Cooley, 1956). ey
are characterised by a high emotional attachment (Newman, 2012). e
most common example of a primary group is the family.
Figure 17.2 A family is an example of a primary group

By contrast, in secondary groups there are few direct interactions, weak

levels of identification with the group, weak affective ties between group
members, limited or functional relationships, and a short period of
existence (Moghaddam, 1998; Newman, 2012). Secondary groups tend to
be ‘more formal and impersonal’ (Newman, 2012, p. 29). An example of a
secondary group could be a sports team or a university class. In this case,
there may be people who have more long-standing relationships or more
direct interactions within the group, but the group itself exists for more
functional reasons and is relatively short-term in nature. Primary groups
may form from within secondary groups (Newman, 2012).
Reference groups are those groups to which a person does not
formally belong, but with which they identify (Moghaddam, 1998) or
which they use as a frame of reference (Baron et al., 2009). e group is
used to guide and inform values, attitudes, self-image and behaviours,
but there is no formal membership (Augostinos, Walker & Donaghue,
2006). An example of a reference group could be an association, interest
group or political group.
 SUMMARY

• People are social beings and this is often expressed through membership of groups. We are also
influenced by the groups to which we belong.
• Psychology was originally interested in the study of individuals; however, over the past century, the
study of groups has expanded considerably.
• People belong to groups for various biological, psychological, social, cultural and practical reasons.
• There are many definitions of groups. There are subjective, objective and combined definitions. In
common-identity groups (objective), members are linked to the group as a whole; in common-
bond groups (subjective), members are linked to each other.
• Within social psychology, the most important characteristics of social groups have been defined as
interdependence, interaction and mutual influence between group members.
• There are different ways of classifying groups: in-groups and out-groups; primary groups (small
with direct interaction); secondary groups (weak ties and short duration); and reference groups
(groups that inform our values, attitudes, self-image and behaviours).

Characteristics of a small group

Social psychologists have attempted to understand small social groups by
examining their characteristics. While social groups vary in many ways,
they share a number of common features that affect their functioning
(Weiten, 2007). Characteristics that social groups have in common are as
follows (Forsyth, 2010; Wilke & Wit, 2001):
• purpose for existing
• norms about appropriate behaviour
• a differential allocation of roles and responsibilities
• a communication structure
• differing levels of status and influence among members
• a level of cohesiveness and attraction between members.

Purpose
Social groups typically have a purpose for existing, which may be implicit
or explicit. According to Forsyth (2010), this purpose is generally
instrumental (aimed at performing a task or achieving a goal), or
affiliative (aimed at fulfilling members’ needs for support and
interpersonal contact).

Norms
Members of small social groups usually develop group norms or shared
expectations about the kinds of be haviours that are acceptable and those
that are required by all group members. According to Bordens and
Horowitz (2002, p. 239), a norm is ‘an unwritten social rule existing either
on a wide cultural level or on a smaller, situation-specific level that
suggests what is appropriate behaviour in a situation’. According to
Forsyth (2010), there can be both prescriptive group norms, which
recommend certain behaviours, and proscriptive group norms, which
forbid certain behaviours. e extent to which people perceive
themselves to be part of a group will determine the likelihood that the
group’s norms will influence their attitudes (Cooper, Kelly & Weaver,
2003). A significant group norm that applies differently across groups is
collectivism versus individualism (Baron et al., 2009). In collective
groups, harmony is an important norm (even if it means some personal
costs to individuals), whereas in individualistic groups, the norm is to
stand out from the crowd. Deviation from group norms is better tolerated
in individualistic groups.

17.1 CROWD BEHAVIOUR

In examining the different functions of group norms in regulating intergroup behaviour, early theorists
suggested that individuals acting in large groups may behave more aggressively or impulsively than
when acting individually (Mummendey & Otten, 2001). This was based on the ideas of Gustav le Bon
who said that ‘people in a crowd may lose their personal identity and [their] ability to judge right from
wrong’ (Westen, 2002, p. 646). In contemporary social psychology, this tendency is referred to as a
‘process of deindividuation’. Deindividuation is a large-group phenomenon in which rational contro
and normative behaviour are weakened, resulting in a greater propensity to respond in an extreme
manner and violate norms (Mummendey & Otten, 2001). Anonymity, diffusion of responsibility and a
shortened time perspective have been identified as contributing towards this phenomenon
(Mummendey & Otten, 2001).
Deindividuation theory has previously been used to understand phenomena such as necklacing in
South Africa’s apartheid history. However, current perspectives on group processes recognise that
deindividuation only partially accounts for such phenomena.
Figure 17.3 Group norms dictate the kinds of behaviours that are acceptable and those that are
required by all group members

Roles
In most groups, diverse roles emerge over time (Forsyth, 2010). us,
within a small social group, each individual member usually has a
particular role – either formal or informal – that specifies the types of
behaviour that are expected of him/her. ere are many roles in groups,
but most theorists draw a distinction between two basic types (Forsyth,
2010):
• Task roles focus on the attainment of group goals.
• Relationship roles focus on the quality of the relationships among
group members and include performing supportive, interpersonally
accommodative behaviours.

One of the commonly identified group roles is that of the group leader.
e role of the leader places a person in a specific position of influence
within the group that is separate from his/her role as an individual, and
requires that he/she perform specific functions that advance the group
towards its goals (Hiller, Day & Vance, 2006). e role of leader can be a
task role or a relationship role, or the person may play both roles. Hiller et
al. (2006) note that there is a shift from traditional ideas of individual
leadership to the notion of collective leadership where leadership
functions are shared by members of a team.
Some roles are assigned (e.g. the secretary to the group), while others
are taken on informally. Group roles can be important for a person’s self-
concept (Baron et al., 2009); some people identify strongly with certain
roles (see Box 17.2) and are upset or angry if someone takes the role from
them (e.g. losing an election for chairperson of an important group).

Communication
Small groups usually have a particular pattern of communication that
structures the flow of information between group members. is pattern
is referred to as the group’s communication network (Forsyth, 2010).
e communication network will determine, for instance, who speaks,
how often and to whom, and whether information flows through one
person or through many individuals (Forsyth, 2010).

Status
Group members often have differing levels of status within a group
(Forsyth, 2010; Hogg, 2003). is status may be ascribed or achieved
(Newman, 2012). An ascribed status is one we enter involuntarily (e.g.
teenager), while an achieved status is one we take on voluntarily or reach
through our own efforts (Newman, 2012). An example of an achieved
status is president of a country. When the president of a country enters
the room, people stand. He/she is an ‘ordinary citizen’, so why does this
happen? e answer is that this person is conferred a special status
among the country’s citizens.

Figure 17.4 Who do you think has the most status in this group? Why?
Status hierarchies occur in both formally and informally organised
groups. Groups frequently confer status on exceptionally skilled people
who contribute significantly to the group’s aims (Hogg, 2003). However,
qualities that have little relevance to these aims, such as unrecognised
prejudices, can also influence a person’s status within a group (Forsyth,
2010). Likewise, in an age of celebrities, some people gain status because
of their beauty, wealth or notoriety.

Cohesiveness
A group’s cohesiveness refers to the strength of the relationships linking
the members to one another, and to the group itself (Forsyth, 2010).
According to Forsyth (2010), a group’s cohesiveness signals its strength.
People in a cohesive group are proud to identify themselves as group
members, and will defend the group against outside criticism (Forsyth,
2010). Highly cohesive groups are usually more cooperative and more
effective in completing tasks (Baron et al., 2009). Group cohesiveness can
be influenced by mutual attraction between group members (Forsyth,
2010) or factors such as closeness, adherence to group norms and goal
attainment (Bordens & Horowitz, 2002). It can also be influenced by
threats to the group; for example, in times of war, levels of cohesiveness
rise within national groups.

Stages of group formation

Forsyth (2010) describes a number of stages that groups typically go
through in forming. e stages and their tasks and processes are as
follows (Forsyth, 2010):
• Forming (orientation). e group forms and the members need to
become familiar with each other. Group roles are established.
Communication is tentative, with the group leader taking a dominant
position.
• Storming (conflict). is stage is characterised by disagreement and
tension. ere may be hostility, criticism and poor attendance.
 Norming (structure). Here norms and roles develop and there is an
•
increase in cohesiveness. ere is a reduction in tension and
increased agreement.
• Performing (development). e group ‘unit’ is now able to achieve its
goals. ere is increased cooperation and decision making.
• Adjourning (dissolution). Tasks have been completed, roles end and
the group disintegrates. is may be accompanied by sadness and
regret.

17.2 THE POWERFUL NATURE OF GROUP ROLES

A powerful demonstration of the influence of roles on group behaviour comes from the famous
Stanford prison experiment conducted by Philip Zimbardo in 1971. In this study, 24 male university
student volunteers played the roles of either prisoners or guards in a simulation of a prison situation. The
study was set up to be as realistic as possible. Within a short time, the two groups of participants began
to show marked differences in behaviour with the ‘guards’ becoming increasingly authoritarian and
aggressive, and the prisoners more passive and obedient. Some of the prisoners suffered severe anxiety
or depressed mood and had to leave the study. In the end, the study was abandoned after only six of
the planned 14 days. Zimbardo himself participated in the experiment, taking the role of the prison
superintendent. He too seemed to internalise his role, being slow to halt aggressive behaviour by the
guards.
The study has been criticised in that it seems likely that the participants acted out what Zimbardo
expected – their stereotyped ideas about how prisoners and guards act. In addition, Zimbardo’s
instructions contained references to abuse and evoking fear (Gray, 2013). Apart from any other criticisms
there are clearly serious ethical issues with this study.

Dynamics within a small group

Several processes of small-group influence have been identified and
studied by social psychologists. Group polarisation and groupthink are
two important phenomena related to group decision making, and it is
also interesting to understand how the presence of one or more other
people affects the functioning of a group.
Group polarisation refers to the tendency for preexisting individual
opinions, ideas or positions to become more extreme or polarised
following a group discussion (Bordens & Horowitz, 2002; Cooper et al.,
2003; Van Avermaet, 2001). is is seen to result from the process of
normative or social comparison, persuasive arguments or informational
influence (Bordens & Horowitz, 2002).
Groupthink was first identified by Irving Janis and is a group process
phenomenon that may lead to faulty decision making by group members
who are more concerned with reaching consensus than with carefully
considering alternative courses of action (Bordens & Horowitz, 2002).
Symptoms of groupthink are the illusion of invulnerability,
rationalisation, an unquestioned belief in the group’s morality, a
stereotyped view of the enemy, conformity pressures, self-censorship, the
illusion of unanimity, and the emergence of self-appointed ‘mind guards’
(Bordens & Horowitz, 2002). Groupthink is likely to occur when the
group is highly cohesive, isolated from important sources of information,
has a biased leader and is under decisional stress (Forsyth, 2010).
Social psychologists have also investigated group processes related to
performance. In some instances, groups have a positive influence on
performance. A series of studies by Norman Triplett in 1898 verified a
positive group-performance phenomenon known as social facilitation,
which occurs when there is improved in dividual task performance when
working with others or in the presence of an audience (Forsyth, 2010).
Zajonc (1965) found that social facilitation is more likely to occur when
people perform tasks that are well learned, well rehearsed or instinctive.
However, if people are required to perform tasks that are novel,
complicated or are based on little prior experience, they are likely to
perform better in the absence of others (Forsyth, 2010).
Another negative effect that a group can have on individual
performance is that individuals may relax their efforts based on the
assumption that others will compensate (Bordens & Horowitz, 2002).
is performanceinhibiting effect is called social loafing (Bordens &
Horowitz, 2002). Social loafing is more likely to occur when completing
everyday, repetitive tasks, and less likely when there are important tasks
to complete (Williams & Karau in Bordens & Horowitz, 2002).
 SUMMARY

• Social psychologists have attempted to understand small social groups by examining their
characteristics:
» Groups usually have a purpose for their existence; this may be implicit or explicit.
» Group norms are established to guide members’ behaviour. Norms may be prescriptive or
proscriptive.
» Within a group, members play different roles. Roles may be assigned or assumed. There are task
roles and socio-emotional roles. Roles may impact on a person’s self-concept and self-esteem.
» Groups have a communication network, through which information flows between members.
» Individual group members may have different levels of status within a group. An elevated position
in a status hierarchy may depend on skills or other desirable characteristics.
» Cohesive groups have closer relationships between members and are more effective in completing
tasks.
• There are a number of stages in the process of group formation: forming, storming, norming,
performing and adjourning.
• Several processes of small-group influence have been identified and studied by social
psychologists:
» Group polarisation occurs when existing opinions or positions become more extreme after a group
discussion.
» Groupthink is a powerful process of highly cohesive groups leading to faulty decision making by
group members.
» Social facilitation occurs when there is improved individual task performance when working with
others or in the presence of an audience.
» Social loafing occurs when individuals relax their efforts assuming that others will do the task.

Social influence
Social influence refers to the change in a person’s judgements, opinions
and attitudes that occurs because of exposure to the judgements,
opinions and attitudes of other people (Van Avermaet, 2001). For
example, people may conform to the opinions of others or they may obey
the commands of others. As mentioned in the previous section, within
small groups, group polarisation or groupthink are other potential
influences on group members’ judgements, opinions and attitudes.
Social psychologists explain social behaviour through examining various
types of social influence.
Types of social influence

Conformity
Conformity (or majority influence) is one kind of social influence that
involves modifying individual behaviour in response to real or imagined
pressure from others. Deutsch and Gerrard (1955) identified two sources
of influence that result in the pressure to conform:
• Informational social influence (the ‘desire to be right’). is results
from a person’s response to information provided by others (Bordens
& Horowitz, 2002). According to Cooper et al. (2003), in situations
where we do not know what to do, we look around to see what others
are doing (see Box 17.3). e degree of influence (how much we
accept the opinion of others) will depend on whether they are in-
group or outgroup members (Cooper et al., 2003).
• Normative social influence (the ‘desire to be liked’). is results
from a person’s response to pressure to conform to a norm (Bordens
& Horowitz, 2002).

Conformity can have several negative effects (Baron et al., 2009). In

Chapter 19, we read about conformity to gender norms and how this may
limit career opportunities for women. Men too may be restricted by
conformity to gender norms. A common example is that ‘boys don’t cry’;
many men have stifled their emotional expression for fear of appearing to
be ‘like a girl’.

Minority influence
While there is compelling evidence of the power of majority influence on
individual behaviour (Forsyth, 2010), some theorists such as Serge
Moscovici and his colleagues (Moscovici, 1980, 1985; Moscovici, Lage &
Naffrechoux, 1969; Moscovici & Lage, 1976; Moscovici & Nemeth, 1974)
have been more concerned with investigating minority influence in
groups. ese studies assert that the processes of social influence should
be seen as bilateral – in other words, that social influence does not only
flow from the majority to the minority, but vice versa as well (Martin &
Hewstone, 2003). is body of work attempts to identify conditions that
facilitate minorities being able to influence the majority position in a
group (Moghaddam, 1998).
Minorities are more likely to influence the majority if they maintain a
firm and clear position on an issue, and are able to withstand pressures
to conform (Van Avermaet, 2001). If so, they will be viewed as being
confident in their judgements or opinions (Bordens & Horowitz, 2002).

17.3 CLASSIC STUDIES IN CONFORMITY

To demonstrate the powers of social influence, Muzafer Sherif (1935) utilised the autokinetic effect, an
optical illusion where a single stationary point of light seems to be moving when viewed in the dark
Participants were placed alone or in small groups in a darkened room and presented with a smal
stationary light at a distance of five metres. When participants by themselves estimated the amount the
light moved, their responses fluctuated around personal norms that differed between individuals. When
participants in a group gave their estimates, the responses converged to form a group norm. Once
established, adherence to the group norm persisted in subsequent individual trials, indicating that when
with others, the individuals had formed a joint frame of reference that continued to affect their
judgements in the absence of this form of influence.
Solomon Asch (1951) investigated whether the presence of others would influence individua
judgements when group members held obviously incorrect viewpoints. Asch told groups with seven
participants that he was investigating visual discrimination and, over 18 trials, he tasked them with
deciding which of three comparison lines were equal in length to a standard line. The experimenta
groups comprised only one true participant and six confederates. On each trial, the confederates
unanimously offered a predetermined response. On six trials, this response was correct. On the
remaining trials, they gave unanimous incorrect responses. The results revealed that individuals made
errors consistent with the incorrect majority significantly more often when compared to their individua
error rate.

Another factor that has been found to affect minority influence is

rigidity (Moghaddam, 1998). Minorities who are perceived as being
consistent, but rigid in their position are likely to have less group
influence, while those that show flexibility are likely to have more
influence on the majority (Bordens & Horowitz, 2002).

Compliance
People have many ways of getting others to comply with their requests.
is is particularly true of advertisers, negotiators and politicians.
Cialdini (2006) found there were six basic principles that people use to
gain compliance:
• Friendship or liking. We respond positively to requests from our
friends or from people we like.
• Commitment or consistency. When we commit ourselves to
something, we are more open to requests that match or support this.
• Scarcity. People try to obtain scarce items so we respond more
positively to requests focusing on scarcity.
• Reciprocity. We pay back favours.
• Social validation. We comply with a request if we think others like us
are doing so.
• Authority. We comply if the request comes from someone with
(apparent) authority (see next section).

Obedience
Another important type of social influence studied by social
psychologists is the phenomenon of obedience. Obedience is a social
influence process in which in dividual behaviour is modified in response
to a command from an authority figure (Bordens & Horowitz, 2002) (see
Box 17.4 and Chapter 1).
 17.4 CLASSIC STUDIES IN OBEDIENCE
Source: Milgram (1963)
In Stanley Milgram’s study on obedience, each recruited participant was met by an experimenter and a
confederate participant and told that the task they were to perform involved investigating the effects of
punishment on learning. The participant was assigned the role of teacher and the confederate that of
learner through a rigged selection procedure. They were taken to a room where the learner was
strapped into a chair and fixed with electrodes. The experimenter explained that the learner would
receive a painful but not permanently damaging electric shock for punishment. The teacher was given a
control panel for administering shocks ranging from slight (15 V) to severe (450 V) in 15 V increments
The teacher was instructed to administer increased levels of electrical shock for every learning error. The
apparatus appeared genuine and the teacher was given a sample shock to increase its believability.
Once the task commenced, the confederate made numerous deliberate errors to coerce the teacher
into administering stronger shocks, and then acted as if shocked. The experimenter insisted that the
teacher continue whenever reservations were expressed and assumed all responsibility.
Approximately two-thirds of the participants used the maximum shock level, and none stopped
before 300 V.
The findings suggested that, when given orders by a person seen to be a legitimate authority figure
who will take responsibility for the actions, people may inflict harm on innocent individuals. Apart from
the ethical critiques, Milgram’s studies have also been criticised on other grounds, for example, that they
reflect social engineering on Milgram’s part and that they are merely an experimental ‘dramatisation of
people’s capacity for violence’ (De Vos, 2009, p. 34).

SUMMARY

• Social influence is the change in a person’s judgements, opinions and attitudes that occurs
because of exposure to the judgements, opinions and attitudes of other people.
• There are several types of social influence:
» Conformity (majority influence) involves modifying individual behaviour in response to real or
imagined pressure from others. Informational social influence results from a person’s response to
information provided by others; normative social influence results from a person’s response to
pressure to conform to a norm.
» Minority influence is social influence that flows from the minority to the majority. It is facilitated by
consistency and flexibility.
» Compliance refers to getting others to agree to our requests. There are six basic principles involved:
friendship or liking, commitment or consistency, scarcity, reciprocity, social validation and authority.
» Obedience is a social influence process in which individual behaviour is modified in response to a
command from an authority figure.

Levels at which social influence can be analysed

Doise (1986) outlines four levels of analysis that assist social
psychologists in taking the various dimensions of social influence into
consideration:
• At the individual level, social behaviour is explained in terms of
internal dispositions or processes, which include personality traits,
emotions and cognitive mechanisms.
• At the situational level (interpersonal level), be haviour is understood
as resulting from an interaction with other individuals or particular
situational contexts.
• At the positional level (group level), behaviour is explained in terms of
group membership.
• At the ideological level (intergroup level), the interaction of groups
and the power relations between groups are explained in terms of
widely shared systems of ideas and social practices.

is framework locates groups within a broader structure of power

relations while at the same time recognising the contributing influence of
intrapersonal and interpersonal factors.

Explaining intergroup relations by focusing on

different levels of analysis
Most of this chapter has focused on group concepts and processes that
are usually applied to the understanding of small groups, but can also be
identified in broader social groups. However, the field of social
psychology has also focused on a larger array of phenomena related to
broader social groups. Significant among these has been the
development of theories aimed at explaining intergroup behaviour.
According to Hogg and Abrams (2003, p. 407), intergroup behaviour
‘refers to how people in groups perceive, think about, feel about, act
towards, and relate to people in other groups’. Intergroup behaviour is
closely linked to social identity and it occurs when members of one group
act towards another group in terms of their group membership, rather
than for personal or idiosyncratic reasons.
 is section summarises some of the most significant theories of
intergroup behaviour, locating each within the framework provided by
Doise (1986).

Individual-level explanations of intergroup

relations
Freudian theory is one example of an individual-level theory that has
been applied to the understanding of intergroup behaviour. is
approach is based on the extension of Freud’s individual-level
psychological concepts to the group context. According to this
individual-level explanation, the unconscious processes that drive
individual behaviour are seen as the foundation for any group or
intergroup behaviour (Moghaddam, 1998).
Similarly located on the individual level, the frustration– aggression
theory (Dollard, Doob, Miller, Mower & Sears, 1939) maintains that
intergroup phenomena are based on displaced aggression arising from
frustration that emerges when group goals are not attained (Baron et al.,
2009). e frustration, which is most likely caused by an in-group
member, induces aggression towards an out-group in order to preserve
group cohesion (Baron et al., 2009).

Situational-level explanations of
intergroup relations
A situational-level explanation of intergroup behaviour perceives
behaviour to be a result of an interaction with other individuals or
particular situational contexts. Social exchange theory and equity
theory are examples of situational-level theories of intergroup behaviour
(see also Chapter 16).
Figure 17.5 People evaluate relationships in terms of the rewards they offer and the costs they
entail

Social exchange theory (ibaut & Kelley, 1959) provides an economic

model of relationships, and suggests that people interact with others and
evaluate relationships in terms of the rewards they offer and the costs
they entail (Bordens & Horowitz, 2002). Outcomes are decided by
subtracting the costs from the rewards, and people tend to seek and
maintain relationships that have positive and fair outcomes.
Equity theory encompasses the same principles, but they are stated
more formally. Within this theory, contributions made to a relationship
are referred to as inputs, while any benefits received are called outputs
(Aronson, Wilson & Akert, 2007). Like social exchange theory, equity
theory maintains that people assess relationships in terms of rewards and
costs, but includes a focus on the perceived equity of the contributions in
relationships (Hatfield et al. in Bordens & Horowitz, 2002). Equity occurs
when the ratios of inputs and outputs are the same for both participants
(Aronson et al., 2007).
Positional-level explanations of
intergroup relations
A positional-level explanation of intergroup relations views intergroup
behaviour as being a function of in dividuals acting in terms of their
group membership.
Sherif’s (1966) realistic conflict theory focuses on the emergence and
resolution of intergroup conflict (Hogg & Abrams, 2003). e theory
asserts that group conflict results from incompatible goals or interests, or
competition between groups over scarce resources. Social harmony is
seen to result from cooperative activities and the achievement of goals
that both groups desire but which neither can achieve in the absence of
assistance from the other group (Moghaddam, 1998) (see Box 17.5).
According to the relative deprivation theory, a sense of relative
deprivation emerges when members of a disadvantaged group recognise
that they are undervalued, and have fewer social rewards than a
preferred group (Bordens & Horowitz, 2002). is leads to social
discontent and unrest (Walker & Smith, 2002), which motivates attempts
at social change (Brown, 2001).
Resource mobilisation theory conceptualises these intergroup
dynamics from a materialist perspective. According to this theory,
intergroup conflicts arise when those with resources mobilise and take
collective action (Moghaddam, 1998).
Social identity theory (SIT) is another positional level approach to
the understanding of intergroup behaviour, and is based on the premise
that group membership is a fundamental component of identity (Baron
et al., 2009). According to SIT, people internalise and integrate group
membership as part of the social component of their self-concept
(Mokgatle & Schoeman, 1998). Social identity can be defined as either
an in dividual’s knowledge of belonging to certain social groups, and the
valuing of this membership (Tajfel, 1972, p. 31), or the part of an in
dividual’s self-concept that derives from knowing they belong to a social
group (Tajfel, 1981a, p. 255). For example, individuals may define their
identity in terms of group memberships related to language, race,
culture, gender, profession or religious affiliation.
 Social identity formation is the process whereby an individual
becomes part of a group and the group becomes part of the individual’s
self-concept. SIT proposes that people strive to achieve a positive social
identity partially though their group memberships, and will take action to
remedy the situation if they perceive their social identity to be
inadequate (Bordens & Horowitz, 2002; Moghaddam, 1998). People are
motivated to evaluate their own groups more favourably than other
groups in order to maintain and enhance self-esteem (Bordens &
Horowitz, 2002). ey also select group memberships based on their
perceived success in meeting social challenges (Campbell & Robinson in
Campbell, 1995).

17.5 REALISTIC CONFLICT THEORY

In a classic study of intergroup conflict, Muzafer and Carolyn Sherif studied a group of 22 twelve-year-
old boys at a summer camp. First, the boys were divided into two groups which were kept apart for
some days. During this stage, a strong group identity was encouraged in each group through choosing
names and the establishment of group hierarchies. Then the groups were brought together for a series
of competitive activities. In this process, the relationship between the groups became so hostile that this
stage of the experiment had to be halted. In the third stage, Sherif introduced tasks that required the
boys to work cooperatively to reach superordinate goals. This process allowed the hostile behaviour to
diminish and social harmony to be established. The Sherifs’ study showed how easily in- and out-groups
can form and be followed by inter-group hostility.
 17.6 SOUTH AFRICA BEFORE AND AFTER THE TRANSITION
Source: Duckitt and Mphuthing (2002)
South Africa’s first democratic election in 1994 meant that political power was transferred from the
white minority to the long suppressed black majority. Duckitt and Mphuthing (2002) studied the
perceptions of young South African blacks concerning relative deprivation. Before the 1994 election
they gave selfadministered questionnaires to several classes of black secondary and tertiary students
(340 students) and repeated this procedure after the election (240 students; the reduced number was
reportedly due to students dropping out from education). The questionnaires measured socio-
economic perceptions and relative deprivation as well as group attitudes (ethnic identification, and
attitudes towards Afrikaans- and English-speaking white people). The results showed significant
decreases in perception of relative deprivation after the election. There was greater cognitive relative
deprivation (socio-economic) towards English-speakers, but greater affective relative deprivation
(discontent and anger) towards Afrikaans-speakers. The results showed that the wealth of white
Afrikaans-speakers was seen as less illegitimate than that of English-speaking white people. There was
high ethnic identification, but attitudes towards white people showed little change after the election
These remained more positive for white people than for black people. The study noted that perceptions
of relative deprivation seemed to have little effect on group attitudes.

Ideological-level explanations of intergroup

relations
An ideological-level explanation provides a different perspective on
intergroup relations in that it refers to widespread complex belief systems
that determine group behaviour. Walker and Smith (2002) emphasise the
importance of understanding the relationship between the positional
and ideological levels, by arguing that when people identify with a group
they may take on the group’s underlying ideology. us SIT could be seen
to deal with both of these explanatory dimensions. However, like some of
the other theories presented in this section, SIT has also been criticised
on a number of levels for neglecting the broader social context, and,
because it is based primarily on the findings of experimental research, it
does not acknowledge the complexity of intergroup relations (Abrams in
Bornman & Appelgryn, 1999). Also, it fails to account for ideological
processes that create and maintain power relations of dominance and
conditions of oppression (Stevens, 2001; Walker & Smith, 2002).
 Figure 17.6 How would the individuals in this group define their identity?

SUMMARY

• At the individual level, social behaviour is explained in terms of internal dispositions or processes,
which include personality traits, emotions and cognitive mechanisms. Examples are Freudian
theory and the frustration–aggression hypothesis.
• At the situational level (interpersonal level), behaviour is understood as resulting from an
interaction with other individuals or particular situational contexts. Examples are social exchange
theory and equity theory.
• At the positional level (group level), behaviour is explained in terms of group membership.
Examples are realistic conflict theory, relative deprivation theory and social identity theory.
• At the ideological level (intergroup level), the interaction of groups and the power relations
between groups are explained in terms of widely shared systems of ideas and social practices.
17.7 THE DILEMMA OVER THE EXTENT OF INDIVIDUAL
VERSUS GROUP INFLUENCE IN SOCIAL BEHAVIOUR
One of the tensions alluded to in this chapter within the field of social psychology is the extent to which
individuals influence group behaviour and groups influence individual behaviour. Certain concepts that
have been discussed, such as minority influence, clearly indicate the power of social minorities to exert
social influence. The phenomenon of obedience similarly demonstrates both the power and danger of
numerical minorities with the authority to exert influence over individuals, often resulting in the
individual feeling exempt from taking responsibility. This is particularly evident in the events of South
Africa’s apartheid history if we examine the ways in which the apartheid government allowed the
massacre of black South Africans in various townships over the decades, and how armed military forces
carried out violent attacks.
However, other concepts discussed in the chapter indicate the profound effect of groups on
individual behaviour, as is demonstrated through phenomena such as social facilitation, social loafing,
deindividuation and conformity. Similarly, with regard to theories of intergroup relations, we see the
same tension between those who maintain that individualistic factors determine the ways in which
group members behave, and those who maintain that social factors determine the behaviour of
individual members. The dilemma arises out of conflicting evidence regarding the importance of each
Social psychologists have attempted to resolve the dilemma by identifying specific contextual or
situational features that contribute to the influence of the group over the individual or the individua
over the group.
This predicament is related to the more circular philosophical dilemma of whether individuals can
exist without groups or groups without individuals. Given this impossibility, it remains a challenge to
determine the nature of the relationship between individuals and groups, and the conditions that
determine which has a greater influence in a particular social context.

Conclusion
is chapter has attempted to present some of the basic concepts,
processes and dynamics in the study of group behaviour through
examining both small and broader social groups. Although these
concepts are presented as an introduction to a complex area, they
nevertheless offer some of the foundations and tools that can be used
to understand many historical and current social events, such as the
abolition of apartheid in South Africa and the mass killings in Rwanda
(Van Avermaet, 2001). Although the field of social psychology has
developed over the years to include more complex theories of social
influence and group behaviour, the basic concepts presented in this
chapter have played an influential role in shaping our understanding
of the ways in which individuals influence others and are influenced
by others.

17.8 THE ROLE OF EMOTION IN NEGOTIATION

Source: Lelieveld, Van Dijk, Van Beest, Steinel and Van Kleef (2011)
The process of negotiation provides a useful illustration of social influence at work. Any kind of
negotiation (marital difficulties, buying a house, international trade) involves a variety of emotions, both
positive and negative. When these emotions are expressed, they reveal important information about the
sender and this then affects the receiver’s behaviour. This research asks about the roles of anger and
disappointment in the outcome of the negotiating process.
Anger arises when a person’s goals are frustrated and it is believed to communicate toughness
aggression and strength; disappointment arises when there is insufficient progress towards a goal and it
is associated with feelings of weakness and lack of control. Anger typically leads to concessions from the
receiver but is this always the case? This study found that anger was indeed effective, but mostly when it
was directed at the bargainer’s offer, rather than at the bargainer as a person. This is because people
infer higher limits from offer-directed anger. Disappointment, however, works the other way round. It is
more effective at gaining a concession when it is directed at the person, rather than his or her offer
because it evokes increased feelings of guilt. The study thus found that the outcome of using these
negative emotions in negotiation depended on the nature of the emotion and where it was directed
These effects are also explained by different mechanisms.

KEY CONCEPTS

cohesiveness: the strength of the relationships linking group

members to one another, and to the group itself
communication network: a particular pattern of communication
that structures the flow of information between group members
compliance: action in accordance with a request
conformity (majority influence): one kind of social influence that
involves modifying individual be haviour in response to real or
imagined pressure from others
deindividuation: a large-group phenomenon in which rational
control and normative behaviour are weakened, resulting in a greater
propensity to respond in an extreme manner and violate norms
entitativity: the extent to which a group is perceived as a coherent
whole
equity theory: a situational-level explanation of intergroup relations
that maintains that people assess relationships in terms of rewards
and costs, but which includes a focus on the perceived equity of the
contributions in relationships
frustration–aggression theory: an individual-level explanation of
intergroup relations that maintains that intergroup phenomena are
based on displaced aggression arising from frustration that emerges
when group goals are not attained
group norms: expectations about the kinds of behaviours that are
acceptable and are required by all group members
group polarisation: the tendency for pre-existing individual
opinions, ideas or positions to become more extreme or polarised
following a group discussion
groupthink: a group-process phenomenon that may lead to faulty
decision making by group members who are more concerned with
reaching consensus than with carefully considering alternative
courses of action
ideological-level explanation: an explanation of intergroup relations
that refers to widespread complex belief systems that determine
group behaviour
individual-level explanation: an explanation of intergroup relations
that refers to internal dispositions or processes
informational social influence: that type of social influence that
results from a person’s response to information provided by others
in-group: a group to which people belong, or think they belong
intergroup behaviour: actions by members of one group towards
members of another group, motivated by their group membership
rather than their personal views
minority influence: social influence whereby minorities are able to
influence the majority position in a group
norm: an implicit social rule regarding appropriate behaviour in a
certain situation
normative social influence: social influence that results from a
person’s response to pressure to conform to a norm
obedience: a social influence process in which individual behaviour
is modified in response to a command from an authority figure
out-group: a group to which people do not belong or think they do
not belong
positional-level explanation: an explanation of intergroup relations
that views intergroup behaviour as being a function of individuals
acting in terms of their group membership
prescriptive group norms: group norms that recommend certain
behaviours for group members
primary groups: groups that have small memberships and are
characterised by intimate direct interactions, strong levels of group
identification, strong affective ties between members,
multifaceted relationships, and a long period of existence
proscriptive group norms: group norms that forbid members to
behave in certain ways
purpose: aim or reason
realistic conflict theory: a positional-level explanation of intergroup
relations that asserts that group conflict results from incompatible
goals and interests, or competition between groups over scarce
resources
reference groups: groups to which a person does not formally
belong, but with which that person identifies or which that person
uses as a frame of reference
relationship roles: focus on the quality of the relationships among
group members and includes performing supportive, interpersonally
accommodative behaviours (Forsyth, 2010)
relative deprivation theory: a positional-level explanation of
intergroup relations that suggests that a sense of relative deprivation
emerges when members of a disadvantaged group recognise that they
are undervalued, and have fewer social rewards than a preferred
group
role: the specific behaviour that a particular member within a small
social group must exhibit
secondary groups: groups where there are few direct interactions,
weak levels of identification with the group, weak affective ties
between members, limited or functional relationships, and a short
period of existence
situational-level explanation: an explanation of intergroup
behaviour that perceives behaviour to be a result of an interaction
with other individuals or particular situational contexts
social exchange theory: an interpersonal level explanation of
intergroup relations that suggests that people interact with others and
evaluate relationships in terms of the rewards they offer and the costs
they entail
social facilitation: a positive influence on group performance, which
occurs when there is improved individual task performance when
working with others or in the presence of an audience
social group: a group where members may or may not interact with
each other, but which can be objectively and subjectively viewed as a
group (see also societal group and statistical group)
social harmony: a positional-level explanation of intergroup
relations that is seen to result from cooperative activities and the
achievement of goals that both groups desire, but neither can achieve
in the absence of assistance from the other group
social identity: an individual’s knowledge of belonging to certain
social groups, and the valuing of this membership, or the part of an
individual’s selfconcept that derives from knowing they belong to a
social group
social identity formation: a process whereby the individual becomes
part of a group and the group becomes part of the individual’s self-
concept
social identity theory (SIT): a positional level explanation of
intergroup relations that states that people internalise and integrate
group membership as part of the social component of their self-
concepts
social influence: the change in a person’s judgements, opinions and
attitudes that occurs because of exposure to the judgements, opinions
and attitudes of other people
social loafing: a performance-inhibiting effect where individuals
relax their efforts based on the assumption that others will
 compensate for their lack of action
socio-economic roles: roles within groups that focus on the quality
of the relationships among group members and include performing
supportive, interpersonally accommodative behaviours
status: prestige
task roles: roles within groups that focus on the attainment of group
goals

EXERCISES

Multiple choice questions

1. Which type of group represents an objective approach to defining

groups?
a) out-groups
b) common-bond groups
c) common-identity groups
d) social groups.

2. e social influence process in which a person behaves in accordance

with a request is called:
a) compliance
b) conformity
c) minority influence
d) obedience.

3. Which of the following terms is used to refer to majority influence?

a) compliance
b) obedience
c) group polarisation
d) conformity.

4. Which of the following is not one of the levels of understanding social

behaviour described by Doise (1986)?
 a) the social level
b) the positional level
c) the individual level
d) the ideological level.

5. Minorities are more likely to influence the majority if they are:

a) rigid
b) consistent and flexible
c) consistent and rigid
d) dominant.

6. Social facilitation refers to:

a) a group-process phenomenon that occurs when an individual
facilitates social interaction
b) a form of majority social influence
c) a group phenomenon that occurs when an in dividual’s task
performance improves when working with others or in the
presence of an audience
d) a group-process phenomenon that occurs when an individual’s
task performance improves group decision making.

7. Freudian theory and frustration–aggression theory are theories used

to understand intergroup behaviour at the:
a) positional level
b) individual level
c) interpersonal level
d) ideological level.

8. Social identity theory has been criticised for:

a) neglecting the broader social context and the complexity of
intergroup relations
b) being based primarily on the findings of experimental research
c) failing to account for ideological processes that create and
maintain power relations of dominance and conditions of
oppression
 d) all of the above are correct.

9. Roles and norms are typical characteristics of:

a) common-identity groups
b) all groups
c) non-social groups
d) social groups.

10. e social influence process in which individual behaviour is

modified in response to a command from an authority figure is called:
a) obedience
b) conformity
c) minority influence
d) deindividuation.

Short-answer questions
1. Describe your own social identity by indicating those components of
your identity that represent the internalisation of various types of
group membership discussed in the chapter.
2. In a courtroom scenario using a jury system, where a person’s guilt or
innocence is determined by a group of their peers, identify the types
of group processes and social influence that may impact on decisions
taken by a jury and explain the factors that contribute to the
likelihood of each occurring.
3. Select two theories of intergroup relations that are located in different
levels of Doise’s (1986) model. Discuss the strengths and weaknesses
of each approach.
 CHAPTER
Poverty and ethnicity 18
Martin Terre Blanche & Garth Stevens

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• describe global levels of poverty
• place South Africa in a position relative to other countries in terms of its levels of poverty and
inequality
• describe the relationship between race, gender, the urban– rural divide and poverty
• describe the negative effects of poverty on physical health
• describe the effects of poverty on mental health in terms of the unique challenges poor people
face
• explain why claiming that poverty always leads to mental ill health is problematic
• describe key elements of how people experience and respond to poverty as individuals and
collectives
• describe some of the negative effects of consumer culture on both rich and poor people
• describe the depletion of social capital and the phenomenon of cultural imperialism as forms of
impoverishment
• briefly describe some of the intersections between poverty, ethnicity and race
• define the concept of ethnicity and critically examine its characteristics
• understand related social-psychological concepts and processes that facilitate the expression of
ethnic identities
• define ideology and understand how it informs the content of ethnic identities in specific socio-
historical contexts
• discuss the contemporary racialisation and politicisation of ethnicity by examining the
relationship between expressions of ethnicity and the socio-historical contexts in which they
occur.

CASE STUDY

Xolani couldn’t decide if he had grown up rich or poor. If he compared himself to the sports stars
and millionaires he saw on TV, or even to people who lived in the smart suburbs and drove big
fancy cars, he supposed he would be considered poor. But when he compared his family to many
of those who lived in the township, he felt that he had been quite well off. His father had enjoyed a
good job as a salesman and his mother worked as a nurse. They had always had enough to eat,
 they could buy nice clothes, and they even had enough money to help out relatives who were
struggling financially.
Both his parents still spoke about their own experiences of having grown up in poor families.
They had to work very hard to give their children certain advantages that they themselves never
had. Xolani’s mother had told him how she had studied nursing in the day and worked at night to
cover her fees and board, and still send money home. Her father had given up his own dream of
going to university because his family couldn’t afford it. He had to go out to work instead. Xolani
felt very grateful that he didn’t have to sacrifice his goals in life. Everyone said that money doesn’t
buy happiness – but Xolani knew that his life would probably have been a lot more difficult if his
family had been very poor.
While growing up, Xolani had attended a racially mixed school, but outside of school hours he
had little to do with many of the white children. Xolani had grown up in an area with only black
families. He didn’t think of his family or friends as being racist, but it was just accepted that he
wouldn’t ask the white children home. They didn’t invite him over either, and that didn’t bother
him. But sometimes people in the neighbourhood would talk about how different white people
and other black people were. In the past, Xolani had accepted this as a fact. But now, at university,
he had met students from different backgrounds who would have been classified as members of
different race groups during the apartheid era. It was a real eye-opener to see how much they
actually had in common. It was awful to realise how much a political philosophy and system such
as apartheid could take ethnic differences and exaggerate them. When people didn’t know one
another, it also made them suspicious or even afraid of one another. Xolani used to think that race
and ethnicity meant the same thing. But he had recently been studying social psychology and he
had learned that ethnicity indicated aspects that groups have in common which go beyond their
simple commonalities in physical appearance and skin colour. This included language, religion and
culture, and a common heritage, ancestry and history. With so many years of apartheid in the past,
Xolani realised it would take a long time for people from different backgrounds to understand and
trust one another as equals.

Introduction
is chapter discusses concepts in social psychology related to poverty
and ethnicity. e first part of the chapter considers poverty as a social
psychological phenomenon. It also reviews local and global statistics on
poverty and shows how poverty is related to physical ill health. It
discusses the dangers of attributing mental ill health to poverty, and
details how poor people deal with the challenges of poverty individually
and collectively. Finally, it discusses how both poor and rich people are
affected by the psychological effects of consumer culture, the depletion
of social capital and cultural imperialism.
South Africa is classified as an upper middle-income country (Neff,
2007), yet most South Africans are poor (see Box 18.1). is apparent
contradiction is due to the fact that ours is a country of extreme
inequality, with a small group of very wealthy people and a much larger
group of poor people (Neff, 2007). e South African Regional Poverty
Network (2014) estimates that as many as 40% of people in the Southern
African Development Community (SADC) region live below the poverty
line of $1 per day.
ese disturbing figures apply not only in South Africa. Globally, as
many as one in five people are poor, and in some regions, such as sub-
Saharan Africa, every second person is poor (World Bank, 2000). Douma
(2006, p. 60) argues that ‘poverty remains the most pervasive feature of
livelihood of Africans, urban and rural dwellers alike’. In South Africa, as
elsewhere in Africa and globally, poverty is very unevenly distributed. In
most African countries, there is a massive gap ‘between a small elite
group, an embryonic middle class and an impoverished mass of peasants
and urban poor’ (Douma, 2006, p. 60). e causes of this are varied but
many relate to the history of economic exploitation by European and
other powers. In South Africa, the policy of apartheid led to political,
economic and social discrimination against black people. As a result,
black people are far more likely to be poor than white people and poverty
is particularly severe in rural areas and in female-headed households
(May, 1998).
In considering poverty globally, it is helpful to understand aspects of
the global economy. According to Odeh (2010, p. 338), ‘there are broadly
two economic worlds that cut across the globe; these are the Global
North and the Global South’. Odeh (2010) notes that there is a significant
link between poverty and under-development; by the same token, the
developed world has a lower incidence of poverty. Using this
development approach, it can be seen that the world can be divided into
zones that are developed and those that are under-developed. e latter
situation is mostly associated with countries in Africa, Latin America and
Asia (Odeh, 2010), and these countries are known as the Global South.
e Global North includes North America, Western Europe and
developed parts of Asia. Although this is a socio-economic (and political)
division, it also reflects differences in education provision, health care,
population growth and provision of food and shelter.
The negative effects of poverty
e fact that most South Africans are poor has an obvious and direct
effect on their physical well-being. Poor people may have insufficient
food, cannot afford to eat a varied diet (every tenth child in South Africa
is malnourished), often work long hours, and usually do not have access
to adequate heating, water and sanitation. As a consequence, they are
more susceptible to a variety of poverty-related diseases, including
tuberculosis (TB) and HIV/AIDS, as well as to injuries such as burns from
open fires or paraffin stoves.
e consequences of this can be seen in South Africa’s high infant
mortality rate of 44.4 per 1 000 live births (compared to 4.9 in the UK, for
example), and low life expectancy of 49 years (compared to, for example,
78 in the UK) (Central Intelligence Agency, 2010).
Rather than thinking of poverty as having a direct causal effect on
mental health, it is more productive to consider the unique psychological
and other challenges that poverty presents people with and the
opportunities that it takes away from them. For example, these are some
of the challenges that children who grow up in poverty face:
• Poor children are more at risk of malnutrition, physical disease and
injury, including uncorrected hearing/ vision problems, and this may
affect their intellectual performance.
• Poor children are more likely to have to take on parental
responsibilities, including acting as the head of a household. While
they develop positive skills in this process, they miss out on
opportunities for peer socialising and schooling.
• Poor children typically grow up in relatively crowded environments
which can entail considerable stress and a greater risk of physical and
sexual abuse.
18.1 THE GINI COEFFICIENT
One important distinction in terms of poverty between countries and regions is how unequally wealth
is distributed. The GINI coefficient is commonly used as an index of income inequality; this coefficient
ranges from 0 (absolute equality) to 1 (absolute inequality). According to the World Bank (2014), in 2009
South Africa’s GINI coefficient was 0.63, second only to Namibia at 0.64 (in 2004).
As the map indicates, even developed and supposedly wealthy countries such as the United States
have considerable income inequality, as well as a substantial underclass of poor people who do not
have regular employment and who are dependent on increasingly limited state grants (Short, 2005
United States Census Bureau, 2001).
Why should psychologists, in South Africa and elsewhere, care about poverty? First, being poor has
an impact on a person’s physical and mental well-being. Second, being rich or poor (or somewhere in
between) leads to people experiencing the world in very different ways, and forming different kinds of
social structures to try to improve their lives. Third, poverty is more than just an unfortunate condition
from which some people happen to suffer – it is an important part of how the world is currently
organised.

Figure 18.1 Income equality globally as indicated by the Gini coefficient (www.criticalmethods.org)
Figure 18.2 Living conditions in informal settlements place people at increased risk of contracting a
variety of diseases and of suffering physical injury
18.2 HISTORY, POVERTY AND CONTROVERSY
The Carnegie Commission on the poor white problem was launched in 1928 and resulted in
government initiatives that greatly improved the conditions of poor white people – many of them
Afrikaners impoverished as a result of the Anglo-Boer War. However, the majority of poor people in
South Africa, then as now, were in fact black. Their situation in the aftermath of the war was eloquently
described by Sol Plaatje in his 1916 book Native Life in South Africa. Plaatje was the first of many authors
to trace the ways in which black South Africans were systematically impoverished through legislation
such as the Natives’ Land Act (which reserved most of South Africa for white people) and apartheid-era
measures such as job reservations (which prevented black people from occupying many better-paying
positions).
Although black South Africans are no longer excluded from economic opportunities on the basis of
race, it is clear that, as a group, black people have been historically disadvantaged. Thus a series of
strategies to economically empower black people have been implemented, including the policy of
affirmative action. This entails giving preference to suitably skilled black, female and disabled applicants.
Some people argue that affirmative action is simply reverse discrimination. Others argue that
affirmative action is needed at this point in our history to correct past injustices, and that, in the long
term, organisations will benefit from having a more diverse and representative workforce. What do you
think?
 Figure 18.3 Sol Plaatje, the first secretary-general of the South Africa Native Congress (the
forerunner of the ANC)

• Poor children are more likely to witness, or to be victims of, crime and
violence.
• Health services (including mental health services) are far less
accessible to poor children, either because they cannot afford these
or their local health facilities are poorly resourced.

e links between poverty, inequality and mental health are complex and
we should be careful not to stereotype poor people as inevitably mentally
unhealthy. Many people in difficult circumstances have considerable
resilience, which is defined as ‘the ability to thrive, mature, and increase
competence in the face of adverse circumstances’ (Rouse, 1998, p. 1).
Resilient individuals often come from caring families and live in
communities that, although poor, offer them opportunities for personal
and social development (Rutter, 2006).

18.3 POVERTY, LIFE EXPECTANCY AND INFANT MORTALITY

Infant mortality (the number of children in every 1 000 who die before they reach the age of 5 years)
and life expectancy (the average age at which people die) are frequently used indicators of a country’s
health status, and are strongly related to poverty and inequality. In South Africa, the infant mortality rate
is 41.61 (Central Intelligence Agency, 2014).
While, as a general rule, poor countries have high infant mortality rates and low life expectancies
there are exceptions. For example, the infant mortality rate in Cuba (a much poorer country than South
Africa) is only 7.39, and life expectancy is as high as 76.41 years. This is because Cuba’s history as a
socialist country has ensured that there is far less inequality than in South Africa. Its health care system
has also been built up over a far longer period to cater for the primary health care needs of ordinary
people, whereas in South Africa, health care facilities are still very much oriented towards those who can
afford to pay for quality treatment. Only some 16% of South Africans belong to a medical aid (Centra
Intelligence Agency, 2010).
In view of the clear evidence that poverty leads to physical ill health, it would seem to follow that
being poor would also have a negative impact on mental health, and there is indeed a substantial body
of literature on this issue (for example, Murali & Oyebode, 2010; Onyut et al., 2009; Patel & Kleinman
2003). Some of this research claims that low-income people are two to five times more likely to suffer
from specific mental disorders than those of the highest income group (Murali & Oyebode, 2010)
However, in making claims about the relationship between poverty and mental ill health, we should be
careful not to portray poor people as being somehow more psychologically defective than rich people
To say that a child is at risk of contracting a respiratory tract infection because they are growing up in
conditions of poverty is a relatively neutral statement of fact; to claim that they are at risk of becoming
emotionally disordered or intellectually stunted is not only far less well supported by research evidence
but also more directly affects their dignity as a human being.
The psychological experience of
poverty
Poverty is not simply about being deprived of necessities such as food,
medicine and clothing, but is often also about living in a situation of:
• hopelessness
• uncertainty about the future
• alienation from mainstream society.

Matthewman, West-Newman and Curtis (2007) report on people’s

experiences of poverty noting that the effects are multidimensional and
include hunger, shame, powerless ness, depression, humiliation and
multiple material deprivations. Likewise, Santiago, Wadsworth and
Stump (2011, p. 218) say that ‘living with persistent poverty is toxic for
one’s psychological health’. ese authors report that poverty-related
stress predicts a number of psychological problems including
relationship problems, aggression issues and conflicts with the law.

Hopelessness
Often, being poor is associated with hopelessness because poor people
tend to feel themselves caught in a depressing situation with little
prospect of ever escaping. Middleclass people generally assume that
people achieve things through their own efforts, and that all that is
therefore needed to get ahead in life is to be determined and to work
hard. However, most middle-class people, regardless of whether or not
they are determined and hard-working, tend to rely to a very large extent
on their network of relatives and friends, and their ability to present
themselves (through subtle cues such as dress and accent) as being the
sort of reliable, sophisticated person who can be trusted with a
responsible job.
For example, most young people growing up in a poor township
simply do not have the right sort of network, nor will they ever have the
opportunity to develop the kinds of self-presentation skills needed to
enter into the formal economy. While they may be strongly embedded in
local social networks (via the church, family, friendship groups and so
on), and highly skilled in presenting themselves within their immediate
community, these things do not buy them access to the world that lies
beyond the horizon of poverty. When this situation persists through
several generations, with only the occasional exceptional individual
finding a way out, people become resigned to the idea of always being
poor; they are said to be caught in a poverty trap. However, not all poor
communities are trapped in a spiral of hopelessness, with only a few
individuals emerging unscathed owing to their greater individual
resilience. Chaskin (2007) has argued that resilience should in fact be
viewed as something that many poor communities and families have or
can develop. Poor communities, for instance, often have extensive
networks of mutual support which help families and individuals
overcome difficult circumstances, much like middle-class communities.

Uncertainty about the future

For many people, poverty places them in a state of uncertainty about the
future. While everybody goes through life with a certain degree of anxiety
about unforeseen events, poor people are particularly vulnerable to
economic shocks such as losing a job, becoming seriously ill, or
becoming a victim of crime. Middle-class people are often buffered
against such economic risks (either directly through insurance or by the
fact that they can appeal to their bank manager, friends or family if they
get into financial difficulties), but poor people do not have the same
safety nets and consequently have to live with greater levels of
uncertainty and anxiety. Again, community structures such as church
groups, stokvels and burial societies provide some poor communities
with the resilience to deal with an uncertain future.

Alienation from mainstream society

Perhaps not surprisingly, middle-class people usually believe that the
system is just (Liu, Pickett & Ivey, 2007), although they may complain
endlessly about the government’s performance (or lack thereof ). Poor
 people, on the other hand, often feel alienated from society (Giddens,
2006), and can therefore be more fundamentally critical about the
capitalist system itself, rather than simply about the performance of a
particular government. While the vast majority of poor people are law-
abiding citizens, for some their sense of alienation and their need to
survive translates into economic crimes such as theft and robbery, as
well as service delivery protests. For other poor people, their sense of
alienation places them in a better position to develop a critical
theoretical understanding of how the system works. Karl Marx (1887)
spoke of this ability as class consciousness and considered it a necessary
first step towards liberation. In a similar vein, the radical educationist
Paulo Freire (1971, 1973) argued that, through their first-hand
experience, poor people are better able to develop critical consciousness
and think theoretically about the relationship between individual lives
and the ways in which wealth and power are distributed in a society.

SUMMARY

• South Africa is classified as a middle-income country, yet most South Africans are poor. South Africa
has one of the highest rates of income inequality in the world.
• Poverty has many negative effects on the lives of poor people. They are vulnerable to disease and
injury. Poor children are vulnerable to emotional, physical and sexual abuse, crime and
malnutrition, and miss out on developmental opportunities. Poor communities are poorly served in
terms of health and security.
• However, many people in difficult circumstances have considerable resilience and are able to
maintain appropriate developmental trajectories.
• Poverty also has psychological impacts:
» a sense of hopelessness and inability to escape the poverty trap (existing networks can be
developed to assist with this)
» uncertainty about the future and vulnerability to adverse life events
» alienation from mainstream society which may manifest in criminal activity. Alienation may also
lead to a more highly developed class consciousness.

The other side of the coin

It would seem obvious that the solution to poverty is simply to throw
money at the problem, and to some extent this is indeed true. When
governments collect taxes from the rich and spend them effectively on
health care, education and work-creation programmes for the poor, or
when a country’s economy grows and everybody becomes a little richer,
people’s lives do, in fact, improve in measurable ways.
However, simply being rich is not in itself a guarantee of physical and
mental well-being. Between 1970 and 1999, the average American
family’s income increased by 16 per cent (adjusted for inflation), but the
percentage of people who described themselves as very happy fell from
36 to 29 per cent (LaBerre, 2003). e process of wealth creation in the
Western world seems to have led to psychological and social
impoverishment. South Africa and most other developing countries are
now trying to emulate this process of wealth creation, and therefore
should be aware of its pitfalls, particularly the psychological effects of a
consumer culture, the depletion of social capital, and cultural
imperialism.
Many upper middle-class people find themselves spending more
money than they have, thus digging themselves into a debt trap. e
reason for this apparently irrational behaviour is people following a
consumer culture (Shevchenko, 2002; Schor, 2004). is is the cultural
fantasy that the solution to all life’s problems is to buy more and more
material things (Kasser, 2002). Consumer culture involves a kind of
psychological impoverishment in that it takes away from people their
sense of what is important, such as relationships, and leaves them with
an exhausting sense of never having enough. e 2013 FinScope SA
Consumer Survey (Finmark Trust, 2014) found that 4.7 million South
Africans are in a debt trap.
e Western model of wealth creation has led to impoverishment in
that it has depleted what is known as social capital (Putnam, 1995;
Sacchetti & Campbell, 2014). Social capital is a form of stored wealth,
but rather than being stored in money or property, it is a sense of mutual
trust embedded in the networks, spaces and institutions of society.
Societies with a good stock of social capital are more likely to have low
crime figures, better health and higher educational achievement. Social
capital can be seen in informal shared spaces such as on the street and in
more formal spaces such as church meetings or schools. Putnam and
others have shown how in developed countries, the more people have in
the way of material goods, the less they have in the form of social capital.
All over the world, people have tended to withdraw from participation in
the processes that once made them feel part of society. For example, in
the UK, it is said that more people voted for the reality TV show Big
Brother than in the national elections (epolitix, 2001).
e kind of wealth creation that goes with Western capitalism has led
to another kind of impoverishment known as cultural imperialism,
which is the process whereby a stronger culture imposes its
understandings and practices on weaker cultures. Cultural imperialism is
not a modern phenomenon; however, in recent decades, the US and
Europe have achieved a level of global cultural domination unparalleled
in history. is has become so pervasive that other cultural practices
have often had to position themselves as strange and exotic simply to
survive (Said, 1978); this is known as orientalism. Examples of this are
‘cultural villages’ established so that tourists can observe indigenous
cultural practices.

Figure 18.4 South Africans are subject to a global culture of material consumption
The future of poverty
Discussions on poverty sometimes create the impression that the poor
will always exist in society. Although most South Africans are trapped in
poverty, this situation is not necessarily a permanent one. e
unprecedented wealth that has been created in developed countries, and
among certain privileged groups in developing countries, has largely
been at the expense of the poor and has been psychologically damaging
to both rich and poor. However, sustainable technological innovation has
made it possible to create sufficient wealth so as to eradicate poverty
entirely. By applying these technologies, and by becoming more mindful
of the processes of psychological and social impoverishment that have
accompanied capitalist wealth creation, the kind of modest utopia
foreseen in the Freedom Charter remains within reach, where ‘[a]ll
people shall have the right to live where they choose, be decently housed,
and to bring up their families in comfort and security’ (e Freedom
Charter, adopted at the Congress of the People, Kliptown, 1955).

Poverty and ethnicity

e first part of this chapter has clearly shown how globally, but
especially in South Africa, the experience of poverty is not divided evenly
across racial or ethnic groups. is is a direct result of how access to
resources has historically tended to be held in the hands of specific racial
or ethnic groups. Despite the advent of a democratically elected
government in South Africa in 1994, as well as an emerging black middle-
class, socio-economic class continues to be divided primarily along racial
and/or ethnic lines. However, it is important to note that, as markers of
social difference, race and ethnicity are not the same thing. ese
differences will be discussed later in this chapter.
e links between class and race/ethnicity also exist in other
countries. An interesting study on sleep patterns in the US (Patel,
Grandner, Xie, Branas & Gooneratne, 2010) showed that sleep quality
was associated with both race and poverty. In the study, poorer African-
American and Latino participants had worse sleep quality than better-off
people from these groups. ese authors argued that this related to
employment, education and health factors.
It is arguable that these poverty/ethnicity links in other countries also
relate to different ethnic groups having had unequal access to resources
or having been systematically disadvantaged through political action or
armed conflict. An example of this is Rwanda, where the Tutsi people
were established by the Belgian colonial government as the political and
economic elite. is led to the repression of the Hutu people and these
somewhat artificial ethnic divisions ultimately led to the bloody conflict
and genocide in Rwanda, with inevitable consequences for people’s
financial well-being.
Neff (2007) notes that in South Africa, race has often been used an
indicator of socio-economic status. However, Neff (2007, p. 314) argues
that simply using race hides useful understandings, and that combining
race with language allows for a clearer understanding of ‘inter-ethnic
differences in poverty or well-being’. Neff’s results show that, apart from
the well-known socio-economic differences between the race
classifications (white, Indian, coloured and black), there are also
significant differences in income, expenditure and well-being between
the different African language groups. Black English- or Afrikaans-
speakers have the highest income, while North Sotho-speakers have the
lowest. Expenditure is highest for Swazi people and lowest for the Xhosa.
Neff (2007) concludes that ethnicity is a useful unit of analysis for poverty
research.
 SUMMARY

• Poverty can be alleviated by economic growth and by effective government spending on services.
• However, not being poor does not guarantee physical and mental well-being. Research suggests
that wealthier people are less happy. This may be partly due to a consumer culture which leads
many people into a debt trap.
• Social capital has been depleted by the Western model of wealth creation; in developed countries,
the more people have in the way of material goods, the less they have in the form of social capital.
• Western capitalism is also characterised by cultural imperialism (the imposition of cultural
understandings and practices).
• Ongoing global poverty is not inevitable; technological innovation has made it possible to create
sufficient wealth so as to eradicate poverty entirely.
• There are clear global and local links between race and poverty; in addition, there are links
between ethnicity and class.

Ethnicity
According to Giddens (2006), ethnicity refers to cultural values and
norms which distinguish the members of a group from other groups. It
involves an expression of in dividual and group identity based on shared
subjective social features including language, religion, customs,
traditions and history. Giddens (2006) goes on to note that ethnic
differences are almost always associated with differences in power and
material wealth. is then supports Cashmore’s (1996) view that ethnicity
is basically reactive in that it develops out of shared adversity or
deprivation.
Early theories of ethnicity suggested that it is based on evolutionary
demands to promote and protect the interests of one’s kinship group
(ompson, 1989). is view argues that ethnicity is biologically based;
however, ethnic expression can be influenced and overridden by social
and cultural phenomena, as suggested in the definition above (Van den
Berghe, 2001). In a stronger statement, Giddens (2006, p. 487) notes that
‘ethnic differences are wholly learned’. An example of ethnic expression is
the practice of virginity testing that has recently been revived in Zulu
culture as a tool to reduce the spread of HIV/AIDS. However, the
Commission on Gender Equality has deemed virginity testing an
invasion of privacy and it may currently not be practised on girls under
the age of 16 years.
An alternative view sees expressions of ethnicity as being determined
by social and historical changes in social systems. For example, a country
such as Rwanda is still struggling to form a national identity based on its
two major ethnic groups, Hutu and Tutsi.
Many psychological processes are related to expressions of ethnicity,
such as the acquisition of attitudes and stereotypes, their translation into
prejudice, discrimination and violence. Other processes involved are
perceived intergroup differences and the establishment of intergroup
hierarchies. Ethnicity often results in entrenching intergroup difference
and inequality. For example, in South Africa between 1948 and 1994,
Afrikaans-speaking South Africans were dominant over English-
speakers.
Ethnicity is a form of group Othering, which is the process of defining
the Self as different and separate through the creation of an Other. In this
way, ethnicity frequently overlaps with dominant ideologies that promote
a range of social inequalities, such as racism, nationalism, anti-Semitism
and anti-Islamism. rough the influence of political and ideological
processes, ethnic identities become based upon, and recreate, social
inequalities within different socio-historical contexts.

18.4 CLASH BETWEEN CULTURE AND CONSTITUTIONAL

RIGHTS
Source: Lane, Mogale, Struthers, McIntyre and Kegeles (2008) South Africa has unique constitutiona
protection for gay and lesbian people against discrimination on the basis of their sexual orientation
However, people often say that homosexuality is ‘not African’. Lane et al. (2008) used semi-structured
interviews and a focus group to investigate interactions between gay men and health care workers in
Soweto and Mamelodi townships in Gauteng. The topics for the interviews and focus group included
issues of identity, sexuality, community life, use of health services and experiences of stigma and
discrimination. The study participants reported that they experienced homophobia and verba
harassment from the health care workers. Some of the participants challenged this or they sought out
clinics with a reputation for respecting the rights and privacy of gay men. Other participants avoided
disclosing their sexual orientation, presenting themselves as heterosexual. Lane et al. (2008, p. 480)
concluded that these experiences and strategies were ‘not conducive to sexual health promotion in this
population’.
 Giddens (2006) also states that ethnicity is defined in terms of shared
cultural values that are expressed in specific forms. It also provides a
space for communication and action, and has a membership that defines
itself as such. In this sense, ethnicity becomes the group and intergroup
expression of culture. An example might be a club based on shared
language such as the ‘East Rand Italian Club’.
Culture refers to the shared meanings perceptions and beliefs (i.e. the
social information) that humans use to interact with each other (Baron,
Branscombe & Byrne, 2009), and comprises collective symbols and
learned aspects of society such as language, values, customs, belief
systems, conventions and ideologies (Giddens, 2006). However, the
formation of ethnic groups is based partly on group members’ subjective
interpretations and experiences of what cultural information they have
access to and partly on the prevailing social conditions that either
enhance or constrain such access to cultural information.
Worchel (2003) notes that the meanings attached to ethnicity are
shaped by their contexts. He argues that ethnicity is not a natural set of
characteristics with which we are all born; rather, our experiences of
ethnicity are dependent on, and influenced by, the power relations,
histories, levels of social conflict and inequalities operating in any society
at a given point in time.

Definitions of related psychological

concepts
In understanding ethnicity, it is useful to consider some of the basic
concepts from social psychology to identify the key processes that
facilitate the manifestation of ethnic identities. ese concepts include
ethnocentrism, attitudes, stereotypes, prejudice and discrimination.

Ethnocentrism
Much of the psychological literature has focused on the concept of
ethnocentrism as a group process. Ethnocentrism generally refers to the
degree to which individuals perceive their own social group as being
unique and superior to others, while simultaneously harbouring feelings
of negativity towards out-groups (Giddens, 2006). is is in opposition to
cultural relativism, which is attempting to perceive the beliefs and
actions of others in terms of their own cultural or ethnic perspective
(Newman, 2012). However, most people are raised to respect and
perhaps revere their own culture and do not take a view of cultural
relativism. Newman (2012, p. 114) notes that ‘sixty per cent of Americans
believe that their culture is superior to others’. Hogg and Abrams (2003,
p. 408) argue that all intergroup behaviour tends to be ethnocentric – it
simply differs in ‘form and extremity’. Ethnocentrism can also lead to
some interesting practices. Newman (2012, p. 115) reports on a
restaurant in Hawaii where a 15 per cent service charge was added to the
bills of non-English-speaking guests. e owner justified this by saying
that Asian guests regularly do not tip as it is ‘not part of their culture’.

Attitudes
Ethnocentrism often develops into a more structured set of attitudes
which makes up a belief system about both the in-group and the out-
group (see Chapter 17). An attitude is a belief that is essentially learnt, is
evaluative, can be deduced from both verbal and non-verbal behaviour,
has an affective component and forms a relatively stable part of the
individual’s character (Ajzen, 1988). In addition, an attitude always has a
referent (some thing or person to which it applies) (Augostinos, Walker
& Donaghue, 2006). However, the difficulty with this definition is that it
sees attitudes as the product of the individual’s mind.
 18.5 APPLYING CONCEPTS OF SOCIAL PSYCHOLOGY TO
ETHNICITY
Each year, many African immigrants enter different countries in Europe. Simply because they are
immigrants, they are often viewed and view themselves as a social group that is unique and different
from Europeans. This common process through which different social groups are formed is referred to as
ethnocentrism. When these different groups develop structured beliefs about themselves and each
other (such as their differences in language, food, group behaviours and histories), these are referred to
as attitudes, which may have both negative and positive aspects. When these attitudes become
overgeneralised to the point that all African immigrants are seen to be hardworking, but unskilled and
unemployed, and all Europeans are seen to be highly skilled, wealthy, but lacking in compassion and
understanding for less fortunate people, these beliefs can be characterised as stereotypes. However,
when attitudes towards groups are entirely negative (e.g. when African immigrants are viewed as lazy,
unintelligent criminals), this is referred to as prejudice. Prejudice may be felt or expressed, but when it is
translated into a social practice or action that diminishes a group’s status, social position, power or
access to resources, it is referred to as discrimination. Discrimination can occur in the form of
institutionalised social practices, such as the passing of legislation to prevent or minimise African
immigrants from being employed in certain instances, or through everyday social practices, such as
physical attacks on African immigrants to discourage them from settling in certain neighbourhoods.

Other writers (e.g. Augostinos et al., 2006) have argued that attitudes
must be viewed as part of the social, historical and cultural context from
which they emerge, and that they are in fact products of this context.
ese authors also argue that these belief systems are not merely
expressed by individuals, but rather by entire social categories. ey are
therefore collective phenomena that reflect both positive and negative
beliefs held by, and about, both the in- and out-group(s). Attitudes are
also shifting, dependent upon these groups’ status, power and perceived
legitimacy within a society (Augostinos et al., 2006; Tajfel, 1981b). Ethnic
attitudes therefore act as structured belief systems that allow different
ethnic groups to be distinguished from each other.

Stereotypes
Stereotypes are quick, overgeneralised and often inaccurate assessments
and beliefs which are applied to entire perceived social categories or
members of these categories. ey arise from the wider socio-historical
context within which the intergroup relationship exists (Hogg & Abrams,
2003). Ethnic stereotypes shape the manner in which we interact with
people from perceived ethnic groups. Stereotypes may be either negative
or positive, but they can have various harmful consequences. ese
include failing to see a member of a group as an individual and they
commonly lead to faulty attributions about people based on their
perceived group membership. An example of a stereotype is found in the
commonly held beliefs that people of Indian descent have straight black
hair, are shrewd business people and enjoy owning their own stores.

Prejudice
Prejudice refers to a specific form of negative attitude that may be
associated with stereotypes about the outgroup (Wright & Taylor, 2003).
Although prejudice is commonly thought to involve strongly negative
feelings about an out-group, Wright and Taylor (2003, p. 433) caution that
it would be wise to suspend ‘our own evaluation of prejudice’, noting that
these judgements and feelings about out-groups nay be neutral or even
positive.
Based on the above, ethnic prejudice often exists in relation to
different ethnic groups in situations where social inequality or conflict is
experienced between such groups and it carries an increased risk of
ethnic discrimination and violence. For example, in South Africa, people
from other parts of Africa commonly experience various forms of
prejudice as they are seen as makwerekwere (foreigners who may be
illegal immigrants).
Wright and Taylor (2003) note that both stereotypes and prejudice are
social phenomena in that they are socially shared (they are individual
attitudes which gain power by being widely shared), they involve
depersonalisation (people from the target group are not seen as
individuals) and they are closely connected to intergroup relations.
 18.6 ETHNICITY AND VIOLENCE
From 1992 to 1995, approximately 200 000 Muslims, Croats and Serbs were killed in Bosnia’s ethnic civi
war (Burg & Shoup, 2000). During the same period, from April to June 1994, an estimated 800 000 Tuts
and moderate Hutus were killed in just under 100 days in the Central African country of Rwanda
(Nzongola-Ntalaja, 2001). More recently, in the US, some US citizens, outraged at the hijacked airliner
attacks on the World Trade Centre on 11 September 2001, unleashed their own retaliatory strike – on
American citizens of Arab descent, on legal immigrants, on Muslims and anyone else whose looks
speech, dress or names somehow matched Middle East stereotypes (Telhami, 2002).
Closer to home, on 27 February 1999, Andrew Babeile stabbed a fellow pupil, Christoffel Erasmus, in
the neck with a pair of scissors. The assault was allegedly precipitated by the leader of a group of white
pupils ‘being racist towards him’ (Mangcu, 2003, p. 112). Mangcu (2003) goes on to note that Babeile
was sentenced to a prison term, whereas when white schoolboys at a Johannesburg school attacked a
black pupil, damaging his eye, they got suspended without charges being brought.

Discrimination
While attitudes, stereotypes and prejudice are fundamentally belief
systems, the action arising from these attitudes is known as
discrimination. Discrimination results in privilege, status and power for
one social group at the expense of another and may result in violence,
depending on the extent to which it is legitimised within the socio-
historical context and the degree to which it is perceived to be socially
desirable or undesirable (Hogg & Abrams, 2003; Stevens, 1997). Ethnic
discrimination refers to any social practice that may contribute to the
unequal access to power or resources between different ethnic groups
(e.g. not employing someone simply because they belong to a particular
ethnic group).
 SUMMARY

• Ethnicity is a dynamic expression of individual and group identity based on shared social features
such as language, religion, customs, etc.
• There are different theories about how ethnicity emerges: reaction to shared adversity, evolutionary
pressures for group survival and well-being, social and cultural influences, and historical changes in
social systems.
• Many psychological processes are related to expressions of ethnicity: the acquisition of attitudes
and stereotypes, prejudice and discrimination, perceived intergroup differences and intergroup
hierarchies.
• Ethnicity involves a form of Othering.
• Culture provides the social information that humans require in order to interact with one another;
ethnicity overlaps with culture. Ethnicity develops within a social context with its existing power
relations, histories, levels of social conflict and inequalities.
• Ethnocentrism is the degree to which individuals perceive their own social group as being unique
and superior, while seeing out-groups as inferior.
• Ethnocentrism often develops into a more structured set of attitudes which makes up a belief
system about both the in-group and the out-group. Attitudes may be seen as individual attributes
or the product of the social, historical and cultural context from which they emerge.
• Stereotypes are quick, overgeneralised assessments which are applied to entire perceived social
categories or members of these categories. They are harmful in several ways.
• Prejudice is a specific form of negative attitude towards the out-group; it is based on irrational in-
group beliefs about the out-group(s), as well as a tendency to stereotype the out-group.
• Discrimination is the action that arises from stereotypes and prejudice.

Ethnicity is both social and

psychological
What is common to the incidents outlined in Box 18.6 is that they are all
based on the presence of perceived ethnic identities of Self and Other.
While the severity of the consequences differs from incident to incident,
in each instance there is a clear interface between social psychological
processes (such as attitude expression, the use of stereotypes, the
presence of prejudice, discriminatory acts) and socio-historical conflicts
that amplified existing intergroup differences and hierarchies and
shaped the particular form of these terrible acts.
 For example, in Rwanda, increasing civil strife between minority Tutsis
and majority Hutus, which had dated back to Belgian colonialism in the
region, was fuelled when an aircraft carrying the Hutu president of
Rwanda was shot down by unknown forces, prompting the massacre of
Tutsis by government troops and civilian militia (Nzongola-Ntalaja,
2001). us, existing attitudes, stereotypes and prejudices regarding
ethnic differences between these groups were utilised to incite genocide
in this regional conflict.
In the US, which has a Christian majority and an influential Jewish
minority, there has been a longstanding suspicion of the Muslim
minority. is reflects the international situation where several countries
in the Middle East (many of them with predominantly Muslim
populations that sympathise with the Palestinians) have antagonistic
relationships with Israel, while the US implicitly accepts the Israeli
domination of Palestinians. e US military has also intervened in the
Gulf region, exacerbating these tensions. In 2001, the terror attacks in the
US, commonly understood to be perpetrated by Muslim extremists,
crystallised these differences even further (see Box 18.6).
Finally, in South Africa, despite constitutional reform after 1994, 300
years of segregation and 46 years of institutionalised racism were likely to
erupt into conflict under circumstances of integration in the absence of
meaningful interventions directed at reconciliation. Existing attitudes,
stereotypes, prejudice and discrimination continue to influence and
shape social behaviour, especially in situations of potential conflict, such
as competition for jobs. However, it should be noted that, despite the
examples discussed here, the expression of ethnic identity does not
always lead to overt acts of violence.

Ethnicity is contested
e expression of ethnicity is not fixed or consistent within social
categories, as is evidenced in South Africa where identities are often
varied (see Box 18.7). A further example can be found among Arab and
Muslim immigrants from the Middle East in the US after 11 September
2001. While large sections of the American population stereotyped them
as being anti-American and religious fundamentalists, many of these
Muslim Americans resisted these imposed identities. In many instances,
they made a clear attempt to separate political identity and religious
identity, highlighting that their adherence to Islam did not imply a
universal ethnic identity, a fundamentalist approach to religion, or anti-
American political opinions and feelings (Telhami, 2002). From this, it is
clear that one social group may simultaneously subscribe to different
forms, expressions and interpretations of ethnicity. In this example, the
resistance to an imposed identity may partly be a result of attempts to
counter this simplistic and stereotypical overgeneralisation that Muslims
are all religious fanatics with malicious intentions against the West. In
addition, it may also have served a defensive function and allowed this
sector of the population to maintain group safety in a time of threat.

18.7 AN EXAMPLE OF THE CHANGING AND CONTESTED

NATURE OF IDENTITY
The imposed (and sometimes accepted) category of coloured during apartheid was resisted by many
(but not all) in the 1970s in favour of the unifying black consciousness concept of blackness, which
referred to all people not classified as white (Ramphele, 1995). However, in post-apartheid South Africa
the understanding of coloured is once again being challenged and is often rejected by many as a racist
label, interpreted by some as it was intended during apartheid, and still further understood by others as
being related to an indigenous and cultural heritage associated with people of KhoiSan descent (Martin
2001; Stevens, 1998). Moreover, despite the rejection of imposed ethnic and racial identities during the
anti-apartheid struggle, acceptance of the existence of distinct ethnic and racial groups continues to be
actively propagated by politicians, academics and ordinary people in post-apartheid South Africa
(Stevens, 1998). Clearly, this form of identity expression is neither stable over time nor universally
understood and accepted within the population.

Ethnicity relies on sociocultural

symbols
e expression of ethnicity is always linked to prominent sociocultural
symbols in any given context (Vail, 1989). For example, in contexts of
social transition where cultural renewal or national pride takes root, the
expression of ethnicity may be characterised by an emphasis on
language, cultural rituals and symbols, and popular patriotic talk and
emotion. is was evident among African-Americans returning to their
African cultural roots in the US at the height of the Civil Rights Movement
(see Figure 18.5), and in Bosnia when national pride was actively
encouraged through the use of historical claims to land and nationhood.
Figure 18.5 During the 1960s, many African-Americans returned to wearing traditional African
dress as a symbol of their cultural renewal
Ethnicity sustains social inequality in
times of conflict
Where social conflict is heightened between different social groups,
ethnicity and its associated identities often become more formalised,
overgeneralised, internalised and imposed, resulting in more rigid in-
group/out-group boundaries and relationships. In such instances,
ethnicity frequently becomes the key factor by which social groups are
distinguished from each other.
In this context, ethnicity is commonly politicised by those who are in
disempowered positions as a rallying point around which to muster
political support (e.g. by minority political parties who campaign on an
ethnic basis for votes). Alternatively, those in a position of power may
politicise ethnicity in order to repress and suppress others (e.g. the
former South African government’s racial and ethnic categorisation of
the population which maintained apartheid). Where ethnicity is
politicised, it is invariably linked to unequal social relations through
ideology (e.g. political doctrines advocating social inequality) and
structural hierarchies within the social system (e.g. legislation favouring
one group over another) (Schalk, 2002; Walker & Smith, 2002).
Figure 18.6 The apartheid era in South Africa was characterised by racial divisions
 18.8 BLACK CONSCIOUSNESS: ETHNIC OR POLITICAL
IDENTITY?
During the 1970s in South Africa, black consciousness emerged as the dominant political ideology
opposing apartheid. While many have argued that this was a form of ethnic identity, others have argued
that it was in fact a political identity. Black consciousness drew on historical, linguistic and cultura
heterogeneity (people with different languages, cultural practices and histories), but its defining
element was that it attempted to unify a fragmented population (those labelled ‘other than white’) who
had similar experiences of oppression under apartheid, and was in fact a political defence against white
racism. Unlike ethnic identity, which is based on the commonality of sociocultural markers within a
group, black consciousness was premised on the commonality of social, economic and politica
experiences of being other-than-white in South Africa. In other words, it joined politically oppressed
groups that had been artificially separated through apartheidimposed racial or ethnic categories (Biko
1978).

SUMMARY

• Incidences of ethnic conflict are rooted in social psychological processes (attitudes, stereotypes,
prejudice and discrimination) as well as socio-historical conflicts related to existing intergroup
differences and hierarchies.
• The expression of ethnicity is not fixed or consistent within social categories; identities may vary
widely within ethnic groups. One social group may simultaneously subscribe to different forms,
expressions and interpretations of ethnicity.
• Ethnicity is expressed through sociocultural symbols like language and cultural rituals.
• In times of conflict between social groups, ethnicity is strengthened and entrenched resulting in
more rigid in-group/out-group boundaries and relationships. Ethnicity may also be politicised in
order to repress and suppress others.

The relationship between the social

and the psychological
Ideology and its functions
is part of the chapter has thus far argued that all forms of identity
expression at an individual and group level (including ethnicity) are in
some way influenced and shaped by the societies in which we live. But
how does this process occur? One of the primary processes through
which ethnic identities are given social meanings is through ideology.
While there are differing understandings of ideology (e.g. Althusser, 1971;
Foster, 2000; Giddens, 2006), there are several core elements that
characterise it (see Stevens, 1996):
• It is a system of beliefs that is reflected in all social practices such as a
society’s laws and in the ways that people talk. Racism, as a system of
beliefs about the inferiority of blacks and the superiority of whites,
could therefore be found in the laws of South Africa during apartheid,
but was also seen in the ways in which people spoke about the
society.
• It often becomes widely accepted in any society. us, people tend to
take the system of beliefs as their own and then behave and speak in
ways that support and perpetuate this ideology. In South Africa, many
people believed in the superiority of whites and the inferiority of
blacks, and so behaved and spoke in ways that taught younger
generations to adopt the same system of beliefs.
• Humans also have the capacity to act as active agents in the
development of alternative and opposing ideologies. e liberation
movement in South Africa is a good example of how alternative
systems of beliefs were developed to promote democracy and
equality.

Ideology, ethnicity and psychology

Ideologies such as racism, nationalism, anti-Semitism and anti-Islamism
all contribute to the particular forms of ethnicity in specific societies, as
they determine the most important social features around which ethnic
identities are formed. In the case of racism, identities are structured
around physical features; under the influence of nationalism, identities
may be structured around citizenship; with regard to anti-Semitism,
identities are determined by who is Jewish and who is not; and anti-
Islamism helps define identities in terms of who is Muslim and who is
not.
In each of the above instances, it is important to note that these
ideologies all help to create and maintain unequal social relationships,
with one group having more access to power and resources at the
expense of the other. At a psychological level, these present-day
ideologies such as racism, nationalism, anti-Semitism and anti-Islamism,
also influence the specific forms and expressions of attitudes,
stereotypes, prejudice and discriminatory practices in any society. ese
psychological processes are then likely to be arranged around social
characteristics such as blackness and whiteness, citizenship or non-
citizenship of a country, being Jewish, or being Muslim. Here again, the
social meanings given to these psychological processes are likely to
benefit one group at the expense of the other and also to perpetuate this
inequality.

The racialisation of ethnicity

e racialisation of ethnicity involves using the notion of inherently
different and unequal biological races to define ethnic in-groups and
out-groups (Giddens, 2006). It developed as European populations
increasingly came into contact with people from other parts of the world.
us, ‘non-European populations were “racialised” in opposition to the
European “white race”’ (Giddens, 2006, p. 487). Race itself is by no means
an accepted construct and the validity of using physiological
characteristics to define groups of people is often contested (Giddens,
2006). However, this process is extremely common and highlights the
role of one of the most widespread ideologies that influences the
expression of ethnicity in many societies – racism.

Defining racism
Most theorists agree that racism as an ideology originated from the
changing economic systems that reach back to European expansion,
colonialism and slavery, and which continue currently in the increased
globalisation of trade (Augostinos et al., 2006; Foster, 2000; Giddens,
2006). Although many people still believe that human beings can be
divided into groups on the basis of biological differences, this idea has
been thoroughly discredited today (Augostinos et al., 2006). However,
racial prejudice and discrimination continue, albeit in more subtle forms
(Hogg & Abrams, 2003). As an ideology, racism has historically been
employed as a means of justifying the continued social oppression and
economic exploitation of one social group by another – most notably,
black people by white people.
Racism is not only reflected in the social structures of societies (e.g.
the 1948 apartheid policy), but in less formalised social institutions (such
as the family and religion), which continue to sustain and perpetuate it
(Stevens, 1996). As an ideology, racism also attempts to minimise the
potential conflict that could arise from these uneven social relations, by
providing both the oppressed and oppressor with frameworks through
which to understand the racist social order (Hogg & Abrams, 2003). For
example, if both white and black people believe that black people are
lazy, unintelligent criminals and that white people are hardworking,
intelligent and law abiding, then this maintains and justifies (for both
groups) the exploitation and maltreatment experienced by many black
people.
As suggested above, more recent research suggests that the forms of
racism in society have changed (Hogg & Abrams, 2003). is is due to
changes on social norms – it is no longer ‘socially acceptable to believe in
racial superiority, or to express prejudice’ (Augostinos et al., p. 237).
‘Modern’ racism has been known by various terms: ‘subtle racism’ is a
common one and refers to racism that is not openly expressed or only
expressed among like-minded individuals. Other terms are ‘ambivalent
racism’ and ‘aversive racism’; these terms reflect the way opposing
attitudes towards someone (e.g. positive beliefs and negative feelings)
may exist within one individual (Augostinos et al., 2006).

The relationship between racism and ethnicity

As an ideology, racism influences the expression of ethnicity in several
ways.
First, racism informs the way in which ethnic groups are defined
(racial categories are often utilised to distinguish ethnic categories). In
societies with a long history of racism, such as South Africa, the racial
categories of coloured, white, Indian and black became the same
categories that were used to define ethnic groups. What is then perceived
to be ethnic difference is in fact based on racism.
Second, the concepts of race and ethnicity come to be used
interchangeably. us, ethnicity is often a synonym and euphemism for
the notion of race. During apartheid (and even currently in South Africa,
especially in terms of the policy of black economic empowerment), it was
the norm to utilise the ethnic label to refer to groups which had racial
differences imposed upon them, rather than for groups which actually
shared common sociocultural elements. Sharp (1988, p. 80) noted that
this interchangeable use of race and ethnicity was applied politically by
people who ‘seek to form groups, and to differentiate one set of people
from another, by appealing to the idea of … cultural difference’. is
involved a political attempt to invent distinctly separate ethnic identities,
in order to strengthen the argument for distinctly separate races. Ethnic
and cultural difference essentially came to mean racial difference, but
was a more socially acceptable way of stating this racist belief system. In
addition, the suggestion that these differences were more than variations
in physical features, and were in fact based on sociocultural elements
unique to certain groups, provided a further justification for segregating
these groups (Giliomee & Schlemmer, 1989; Marks & Trapido, 1987).
Ethnicity was therefore not only used as an interchangeable concept for
race, but was used to support the argument for segregating people of
different skin colour.
ird, ethnicity and ethnic groups start to take on the same meanings
that are attributed to racial groups (some groups are defined as lazy,
stupid, dirty, ugly, and so on, while others are viewed as hardworking,
clever, attractive, and so on). Within this process, some groups are
accorded a higher social status with greater access to resources and
power, at the expense of others. e result is that the position (inferior or
superior) of people within such a society is seen to be because they
belong to a specific ethnic group, and those who find themselves in a
subordinate position are said to be there because of their ethnic deficits
(Giddens, 2006). In such contexts, ethnic hierarchies and oppression are
essentially racial hierarchies and oppression.
 Clearly, the racialisation of ethnicity has the potential to create
societies in which deep ethnic divisions may occur. In countries with a
legacy of racial divisions, ethnic divisions would rely on the most
prominent historical differences between groups of people, and these
would be fundamentally based on the ideology of racism.

The politicisation of ethnicity

While, as an ideology, racism contributes to the particular expression of
ethnicity in various societies, other contemporary political ideologies
such as nationalism, anti-Semitism and anti-Islamism also inform the
manner in which ethnicity is defined and articulated. is process is
referred to as the politicisation of ethnicity.

Anti-Islamism and ethnicity

Anti-Islamism is the term used to describe a prejudice against Muslim
people. Several writers have identified a long history of ideologies that
have contributed to the subordination and domination of Muslims and
the construction of this social category as a negative ethnic group. Matar
(2010) notes that as early as the 1500s (and even as far back as the
Crusades), Muslims were constructed as dark-skinned, barbaric and
violent, intent on attacking and enslaving Christians. Muslims were
frequently depicted in religious literature as demons, scorpions, dogs or
locusts (Matar, 2010). ese images were used to emphasise the Islamic
threat when Europe began to set its sights on the Middle East, North
Africa and India for colonial conquest, and served to justify such
conquest. Said (1981) suggests that there has been a longstanding
attitude towards Islam within Western culture that stereotyped Muslims
as oil suppliers, terrorists and bloodthirsty mobs.
While these images have changed over time, it also became clear after
11 September 2001 that many of these images remain. Muslims are often
characterised as violent, religious zealots, oppressive to women and anti-
Christian. Such inaccurate and stereotypical overgeneralisations of all
Arabs, Arab descendants, Middle Eastern communities and Muslims are
fundamental to the ethnic construction of this social group. ey have
clearly contributed to images of Muslims as a dangerous, secondary-
status ethnic group in contemporary society, and have provided the
ideological justification for actions such as the US-led War on Terror in
Afghanistan, as well as the invasion of Iraq.

Anti-Semitism and ethnicity

Similarly, the ideologies of racism, anti-Semitism and nationalism in
Germany partly accounted for the construction of Jews as an ethnic
group that was responsible for Germany’s poor domestic economy in the
1930s. e failing German economy paved the way for the emergence of
heightened levels of nationalism, and together with the racist National
Socialist (Nazi) philosophy of creating a pure Aryan race, facilitated the
genocidal killing of approximately six million Jews in extermination
camps. Jews were constructed as economically exploitative, anti-
Christian and racially impure. is process also partly provided the
ideological basis for the military expansion into Europe, Asia and Africa
that was to become known as World War II.
It is important to note that the anti-Semitism characteristic of Nazi
Germany emerged from long-standing roots in Europe. Prior to 1870,
European Jews had enjoyed a period of tolerance and increased equality
(Brustein, 2003). However, around 1870, there was an upsurge of social
and political anti-Semitism. is was the result of the economic, cultural
and political transformations taking place in Europe at that time
(Bergmann & Wyrwa, 2012). As industrialisation and capitalism grew,
Jews were blamed for these upheavals.

Nationalism and ethnicity

Examples of the relationship between nationalism and ethnicity can be
found in Rwanda and Bosnia, as well as Iraq and Sri Lanka. As discussed
earlier, in Rwanda, Belgian colonialism had imposed artificial and
separate ethnic identities (Hutu and Tutsi) on the population and
established the minority Tutsi as the ruling elite that would be open to
influence by the Belgians. After independence, the legacy of this imposed
ethnicity remained as the primary basis for social and political
relationships in the country. As was the case among Bosnian Serbs,
Croats and Muslims, these ethnic identities became more rigidly defined
within the context of national conflicts, ultimately contributing to the
ethnic genocide in these countries.
Similarly, when President George Bush threatened to invade Iraq in
2002, Americans of Iraqi descent protested against this move (Worchel,
2003). e effect of the threat was for these American citizens to choose
to align more closely with their ethnic heritage. is illustrates how some
citizens can be ‘reduced’ to the status of unwanted immigrant (Van Dijk,
1997).
 SUMMARY

• Ethnic identities often gain social meanings through ideology which refers to a system of beliefs
that is reflected in all social practices and in the ways that people talk. Ideology often becomes
widely accepted in a society. However, people are active agents and can develop alternative and
opposing ideologies.
• Ideologies such as racism, nationalism, anti-Semitism and anti-Islamism contribute to how ethnic
identities are formed in societies. These ideologies help to create and maintain unequal social
relationships, with one group having more access to power and resources at the expense of the
other.
• Ethnicity often becomes racialised. However, race (the notion of inherently different and unequal
biological characteristics) is not an accepted construct.
• The ideology of racism reaches back to European expansion, colonialism and slavery. As an
ideology, racism has been used to justify continued social oppression and economic exploitation of
one social group by another. If racist stereotypes are maintained by both the oppressor and the
oppressed, this justifies (for both groups) the exploitation and maltreatment involved.
• Racism influences the expression of ethnicity in several ways:
» Racism informs the definition of ethnic groups.
» The concepts of race and ethnicity come to be used interchangeably, whereby ethnic and cultural
difference essentially comes to mean racial difference.
» Ethnic groups start to take on the same meanings that are attributed to racial groups, such that
ethnic hierarchies and oppression are essentially racial hierarchies and oppression.
• Ethnicity has been politicised in various contexts:
» The prejudice against Muslim people is known as anti-Islamism. It has a long history in the Western
world and continues today, augmented by Western responses to the 9/11 attacks in the US.
» The prejudice against Jews is known as anti-Semitism. It combined with nationalism and racism to
enable Nazi Germany’s genocidal killing of approximately six million Jews.
» Other examples of the relationship between nationalism and ethnicity can be found in Rwanda,
Bosnia, Iraq and Sri Lanka. Under conditions of conflict, ethnic identities become more rigidly
defined and may lead to violence and ethnic genocide.

Conclusion
Ethnicity is not a set of natural features and characteristics with which
we are born; rather, these ethnic features are socially determined. ey
become more pronounced under certain social conditions when they
are used as markers to identify, differentiate and unevenly structure
groups in relation to each other. e social expression of ethnicity
relies on certain social psychological processes, such as stereotypes
and prejudice, but the meanings attached to ethnicity and the related
psychological processes are determined by the ideologies operating
within the social context.
While some authors contend that ethnicity may act as a unifying
force (e.g. Mazrui, 2001), history repeatedly shows that ethnic
identities invariably rely on and recreate unequal social relations and
result in further social divisions. is process was clearly illustrated in
the first part of this chapter where the effect of such unequal social
relations on the experience of poverty was described, especially in the
context of apartheid South Africa where ethnic differences were
racialised.
As we consider how to promote more democratic and equal social
relationships, it is apparent that we must move beyond the exclusive
nature of ethnic identities to more inclusive social relationships that
recognise our common humanity at a national, regional and global
level. is also seems to be a basic prerequisite for dealing with the
terrible situation of poverty as experienced by many South Africans.

KEY CONCEPTS
active agents: people have the capacity to develop alternative and
opposing ideologies
anti-Semitism: a prejudice against Jewish people
anti-Islamism: a prejudice against Muslim people
attitudes: learnt, evaluative belief systems that involve emotions and
are exhibited in a fairly consistent way, and that are products of their
context
class consciousness: a concept developed by Karl Marx that refers to
peoples’ critical understanding of how the social system works
consumer culture: a cultural fantasy that the solution to all life’s
problems is to buy more and more material things
cultural imperialism: the process whereby a stronger culture
imposes its understandings and practices on weaker cultures
cultural relativism: ‘the principle that people’s beliefs and activities
should be interpreted in terms of their own culture’ (Newman, 2012,
p. 113)
culture: social information that humans require in order to interact
with each other, and which comprises collective symbols and learned
aspects of society, although different groups have different levels of
access to this information
debt trap: a situation in which people habitually spend more money
than they have
discrimination: the behavioural manifestation of belief systems,
which may or may not result in violence, depending on the extent to
which it is legitimised within the socio-historical context and the
degree to which it is perceived to be socially desirable or undesirable
ethnicity: a particular group’s shared social features that in some way
contribute to the distinct identity of that group
ethnocentrism: the degree to which individuals perceive their own
social group as being superior to others, while simultaneously
harbouring feelings of negativity towards out-groups
GINI coefficient: a commonly used measure of income inequality
ideology: a system of beliefs that is reflected in all social practices
that may be structural and/or discursive
infant mortality rate: the number of children in every 1 000 who die
before they reach the age of five years
life expectancy: the average age at which people are expected to die
nationalism: a proud feeling of sharing cultural characteristics with
other members of a perceived nation, which often leads to exclusive
boundaries around that nation
Othering: the process of defining the Self as different and separate
through the creation of an Other
poverty trap: a situation in which poor people feel they may never
escape their poverty-stricken existence
prejudice: a negative attitude that may be based on irrational in-
group beliefs about out-group(s)
racism: a system of beliefs about the superiority of some races over
others
referent: the person or thing to which an attitude applies
 resilience: ‘the ability to thrive, mature, and increase competence in
the face of adverse circumstances’ (Rouse, 1998, p. 1)
social capital: much like physical capital (a form of stored wealth),
but rather than being stored in money or property, social capital is
embedded in the networks, spaces and institutions (and in the sense
of mutual trust) that make it possible for people to work together
stereotypes: inaccurate overgeneralisations applied to all the
members of a perceived social category

EXERCISES
Multiple choice questions
1. In terms of per capita income, South Africa is classified as a:
a) lower-income country
b) lower- to middle-income country
c) middle-income country
d) higher-income country.

2. Which of the following statements is correct?

a) In South Africa, 1 in 2 children is malnourished.
b) In South Africa, 1 in 3 children is malnourished.
c) In South Africa, 1 in 5 children is malnourished.
d) In South Africa, 1 in 10 children is malnourished.

3. Which of the following statements is incorrect?

a) We should be careful about claiming that poverty leads to mental
ill health because there is no research to support this claim.
b) We should be careful about claiming that poverty leads to mental
ill health because poor people are not psychologically inferior to
rich ones.
c) We should be careful about claiming that poverty leads to mental
ill health because such claims affect people’s dignity as human
beings.
d) We should be careful about claiming that poverty leads to mental
ill health because it is more productive to consider how people
 experience and respond to conditions of poverty.

4. Which of the following statements is incorrect?

a) Middle-class people find it hard to understand the concept of a
poverty trap because they believe that people get what they
deserve.
b) Middle-class people find it hard to understand the concept of a
poverty trap because they can rely on the help of other rich
people.
c) Middle-class people find it hard to understand the concept of a
poverty trap because they know how to present themselves to
other rich people.
d) Middle-class people find it hard to understand the concept of a
poverty trap because they are caught in a debt trap.

5. Which of the following is incorrect?

a) Western capitalist wealth creation leads to psychological and
social impoverishment through the rise of a consumer culture in
which people believe that material things can buy happiness.
b) Western capitalist wealth creation leads to psychological and
social impoverishment through a steady increase in physical ill
health even for those who can afford medical care.
c) Western capitalist wealth creation leads to psychological and
social impoverishment through the depletion of social capital so
that people stop trusting one another and forget how to work
together.
d) Western capitalist wealth creation leads to psychological and
social impoverishment through cultural imperialism in which
people learn to devalue their own culture.

6. e tendency to perceive our own social group as superior to others,

while simultaneously harbouring negative feelings towards out-
groups, is referred to as:
a) ethnicisation
b) ethnocentrism
 c) discrimination
d) racialisation.

7. Negative attitudes toward an out-group are referred to as __________

and acting upon this belief to marginalise this group can be
characterised as _____________
a) racism; discrimination
b) stereotypes; racism
c) prejudice; discrimination
d) discrimination; prejudice.

8. During apartheid, the overgeneralisation that all blacks were

unintelligent, unhygienic, and so on was an example of:
a) stereotyping
b) nationalism
c) discrimination
d) ideology.

9. e contemporary negative constructions of Middle Eastern

populations, the Arab world and Muslims are in part linked to:
a) the historical connection between racist ideology and Islam,
according to Matar (2010)
b) Said’s (1981) research on negative Western stereotypes of Muslims
c) both a and b are correct
d) none of the above is correct.

10. During apartheid, the racialisation of ethnicity occurred through:

a) the use of racial labels to refer to different religious groups
b) the use of ethnic labels to refer to groups who had racial labels
artificially imposed upon them
c) the use of racial labels to refer to groups who adhered to different
dress codes.
d) all of the above are correct.

Short-answer questions
1. Briefly explain why psychologists should care about poverty.
2. Why could it be problematic to claim that poverty has a negative
impact on mental health?
3. Poor people often feel alienated from society. is has both positive
and negative consequences. Explain.
4. In what ways are rich people mentally unhealthy?
5. What is social capital?
6. Referring to Box 18.7, discuss to what degree ethnic labels, groups
and identities exist in post-apartheid South Africa. Compare these
ethnic labels, groups and identities with racial labels that were
utilised to differentiate the population during apartheid in South
Africa, looking specifically at the differences and similarities in
meanings associated with these labels, groups and identities across
the two historical contexts.
7. Conduct independent research from general texts to examine
ethnicity in China or India.
 Sex, gender and
CHAPTER
sexuality 19
Floretta Boonzaier & Cheryl de la Rey

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• define some key concepts in the psychology of gender
• differentiate between a variety of different sexual orientations
• identify the ways in which psychology has approached gender/sex differences
• construct accounts of gender development in childhood by discussing the basic views of each
theory
• explain the differences between an essentialist and a social constructionist approach to gender
• explain how gender inequality is often expressed in violence against women
• describe the rise of feminism and the corresponding emergence of a new understanding of
masculinity.

CASE STUDY

Nosipho saw herself as a feminist because she believed in the fair and equal treatment of women
and girls. She had grown up in quite a traditional household where, even though her father had
treated her mother with respect, if ever there was any difference of opinion, her father’s decision
was final. Fortunately, her father was a kind and gentle man so this had not been the problem it
might have been. But Nosipho had seen many families where the father bullied his wife, and the
children too. Everyone in her community knew of homes where the wife was being beaten by her
husband – even if they didn’t say it openly. When Nosipho and her mother discussed these kinds of
things, they both felt angry on behalf of the women, but they also felt helpless to do anything
about it. It seemed to Nosipho that many of the things that went wrong in families had to do with
the way that men and women related to each other.
Nosipho had often tried to make sense of the problems she saw between men and women.
Why did men seem so aggressive and why did women so often land up being treated badly?
Nosipho had found herself sometimes wondering about how different men and women seemed
from one another and what had made them that way. Were they just born different or did their
society and culture force them into these gender roles? She also wondered if these problems could
ever change; perhaps some of them already had? Sometimes, for example, it seemed to Nosipho
that the men in her generation were less afraid of showing their softer feelings and that the
 women were often more assertive than their mothers had been. Had others observed these
improvements? And what other changes needed to be made?

Introduction
In order to address the kinds of questions Nosipho asks, we need to
examine some of the concepts and theories scholars have developed to
understand gender. We begin by defining sex, gender, sexuality and
sexual orientation. We review the main psychological theories that
account for gender/sex differences. rough our discussion of biological
accounts, psychoanalytic theory, social learning theory, cognitive
developmental approaches, gender schema theory and social
constructionism, we explore the key concepts in the study of gender.
ese include the performance of gender (or doing gender), gender
stereotypes, socialisation, gender constancy and androgyny. In the
second part of the chapter, we focus on gender in society by highlighting
some of the challenges to gender equity and the ways in which the
sources of gender inequality have been theorised. We discuss feminism
and consider the social, economic and historical factors that have
affected the various strands of feminism. We end the chapter by showing
how, despite earlier critiques, psychology has made a positive
contribution to the study of gender.
When we talk about sex differences between people, we are referring
to their biological differences in chromosomes, hormones and genital
organs. However, sex classification is also a social process. According to
West and Zimmerman (2009), the biological characteristics to which we
refer are socially agreed upon criteria which make up the sex
classification system. In this system, people who fit into certain criteria
are classified as female and people who fit other criteria are male.
However, there are problems with this binary model of sexuality
(Tomsen, 2009). First, there may be variations in hormone levels and
external genitalia (see Box 19.1). Second, there are serious social
implications if a person defines him-/herself outside of these
heterosexual categories as this may lead to exclusion, harassment or even
violence (Tomsen, 2009).
On the other hand, gender is commonly understood to refer to the
characteristics (masculine or feminine) that a society or culture assigns
to a person on the basis of their sex. For example, in many contemporary
societies, when a female baby is born, she is often dressed in pink and as
she grows up, she is expected to behave differently from her brothers, for
example by being quieter, gentler and more concerned with her
appearance. How people respond to her biological characteristics and
the demands people make on her to behave in certain ways are her
culture’s expression of gender.
Although there is no natural or innate link between sex and gender, we
can observe how closely the two are associated. ose people who have a
female baby and then dress her in pink and expect her to behave in
feminine ways, are combining sex and gender into one. ey are
assuming that sex determines gender and that the two are inseparable. In
some cases, the terms are (incorrectly) used interchangeably. For
example, in the case of South African athlete, Caster Semenya (see Box
19.2), most news reports referred to the decision for her to undergo
gender testing. However this was incorrect terminology, as the testing
was to determine Semenya’s biological sex so that a decision could be
made about her competing in women’s sporting events. It is essential that
the difference between the terms ‘sex’ and ‘gender’ is clearly understood.
Biologically, sexuality includes sexual behaviours which may also have
associated ethical elements. However, for this chapter, sexuality will be
defined as the way people experience and express their sexual feelings.
ere are variations in how or where people direct their sexual interest
and this is usually referred to as their sexual orientation. Sexual
orientation is often thought to exist along a continuum between exclusive
interest in someone of the other sex and exclusive interest in someone of
the same sex. Some categories for sexual orientation along this
continuum are: a heterosexual person is attracted to someone of the
other sex, a homosexual person to the same sex, a bisexual person to
both sexes, and an asexual person may have no interest in sex. Asexuality
is not the same as celibacy, which is when a person has committed
themselves to not having sex, for example a nun or a monk.
 Sexual orientation is usually an important part of a person’s identity.
As recently as the 1970s, a person having a same-sex orientation was
considered to be pathological and homosexuality was only declassified
as a psychological disorder in 1973 (Nel & Lake, 2014). In many parts of
the world, same-sex orientation is now accepted as a variant of sexuality
rather than a condition or problem to be treated (Nel & Lake, 2014). Even
in nations that provide civil rights for lesbian, gay, bisexual and
transgender individuals, there has been (and in some ways continues to
be) an assumption that heterosexuality is normal and any other
orientation deviant. is has presented a considerable challenge for
human rights activists. In addition, non-heterosexual people continue to
experience prejudice and discrimination and are not always protected by
the civil rights laws established in a number of countries. Nearly all
nations, for example, only allow heterosexual couples to marry.
Figure 19.1 Conchita Wurst, winner of the 2014 Eurovision Song Contest
 19.1 INTERSEX
The male–female dichotomy has been challenged by research that shows the existence of more than
two sex categories (Nel & Lake, 2014). For example, research and activism into the intersex and
transgendered communities has begun to publicise the fact that there exists a whole spectrum of
human bodies, external genitalia and internal sex organs, well beyond a penis or vagina (Preves, 2009
Yescavage & Alexander, 2009). In the past, babies born with ambiguous genitalia were called
hermaphrodites, but the term ‘intersexed’ is now used as a more respectful alternative. Intersex seems to
be more common in Africa compared to other parts of the world. Traditionally, intersexed babies were
subjected to surgery which assigned them to a particular sex. More recently, a number of globa
movements have arisen protesting this process. They argue that diversity should be accepted. They also
argue that the person should not undergo surgery until they are old enough to choose this as an
option, as well as choose their sex themselves.

Cross-dressing is another aspect that relates to gender identity but not

necessarily to sexual orientation. When a person cross-dresses, they wear
the clothes and accessories that in their culture are usually associated
with the ‘opposite’ gender. Interestingly, in Western society it seems more
acceptable for girls and women to dress as males (think jeans or other
trousers), whereas a young boy who tries on the fairy outfits at
preprimary school raises much more concern (Bukatko & Daehler, 2004).
An interesting case is that of Conchita Wurst, who won the 2014
Eurovision Song Contest. Ms Wurst is a cross-dressing biological male
(omas Neuwirth), a fact made evident by her facial hair (see Figure
19.1).
19.2 SEX, GENDER AND THE CASE OF CASTER SEMENYA
By Michael Rance
Caster Semenya (see Figure 19.2) is a South African athlete who won the gold medal in the women’s 800
metre race at the 2009 International Association of Athletics Federation (IAAF) World Championships
After her victory, the IAAF decided to investigate her sex, allegedly based on the fact that she had
improved her previous time by eight seconds. The IAAF decided to submit Semenya to a ‘gender test’ to
determine whether she was biologically a male, a female or intersexed. (This showed an incorrect
understanding of gender, which is socially constructed rather than biologically determined, as already
discussed above.) In Semenya’s case, the IAAF wished to test her against the norms established for
biological males and females, and with respect to the categories people can compete in within athletic
sports.
When word of this got out to the international media, rumours spread that Semenya was secretly
either a man or intersexed, and that she had won the race because of this. Again we can begin to see
how expectations about the behaviours of men and women influence people’s thinking: because
Semenya’s performance as a woman athlete defied our expectations, there was an assumption that
something was wrong.
This process caused a national furore within South Africa, with people from all over the country
challenging the move made by the IAAF. Semenya was offered a huge amount of support as it was
perceived that her privacy was being violated both by the media and the IAAF. However, in offering
support, the public reverted to the binary opposites of man and woman; they simply insisted that she
was actually a woman, and should be allowed to compete within this category.
Figure 19.2 Caster Semenya

The case of Caster Semenya highlighted the fact that people not only often conflate sex and gender
but that society struggles to acknowledge individuals who do not fit with the sex binary of male or
female.
Psychology and gender
e study of gender has not traditionally been included in psychology,
and women’s issues have not been an established focus of research,
theory and practice. As a science, psychology has been criticised for
being biased against women, emphasising the experiences of men
(mostly white, middle-class, heterosexual and from the global north) and
generalising these to all of humanity (Boonzaaier & Shefer, 2006). In
response to such criticism, psychology as a discipline turned to the study
of sex differences. Perhaps the most debated questions in this area of
research are whether there are significant psychological differences
between the sexes, and if so, what the origins of these differences are.
Sex difference research in psychology has focused on variations in
sensory abilities, attention, verbal and spatial skills, cognitive styles,
aggression and many other areas (Burr, 1998). In a classic study, Maccoby
and Jacklin (1974) reviewed the evidence from studies that focused on
sex differences. ey concluded that there were differences between
males and females in only four areas, namely verbal ability, visual-spatial
ability, mathematical ability and aggressiveness. However, they also
pointed out that the differences were overstated and that similarities
were frequently ignored.
Based on the assumption that there are real differences between the
sexes, psychology has offered a number of theories to account for the
development of sexual identity in children. e theories we discuss
below include biological accounts, psychoanalytic theory, social learning
theory, cognitive developmental approaches, gender schema theory and
the social constructionist approach to gender.
 SUMMARY

• Sex difference between people refers to differences in chromosomes, hormones and genital
organs.
• Gender refers to the characteristics (masculine or feminine) that a society or culture assigns to a
person on the basis of their sex.
• Sex and gender are very closely associated. In some cases, the terms are (erroneously) used
interchangeably.
• Sexuality refers to the way people experience and express their sexual feelings.
• Sexual orientation refers to how or where people direct their sexual interest. People may be
heterosexual, homosexual, bisexual or asexual. In the past (and in some places/cultures, this is
still the case), there has been an assumption that heterosexuality is normal and any other
orientation is deviant.
• Cross-dressing refers to wearing clothes or accessories usually worn by the ‘opposite’ gender.
• Psychology has been criticised for being biased against women, as it generalises the
experiences of men to all people. In response, research into differences between the sexes was
initiated. This concluded that there are differences between males and females in only four
areas: verbal ability, visual-spatial ability, mathematical ability and aggressiveness. However,
differences between men and women have often been overstated and similarities ignored.

Theories that account for gender/sex

differences
Biological accounts
Biological accounts argue that males and females are intrinsically
different, and that masculinity and femininity are derived from these
biological differences (Bukatko & Daehler, 2004). From this perspective,
the origin of the differences between women and men is located in the
genes, hormones or evolutionary factors. Biological factors are seen to
produce gender differences in personality, such as aggressiveness in
males or nurturance in females (Archer, 2004).
is biological view has been labelled as essentialist. Gender
essentialism refers to the belief in inherent, natural differences between
males and females and that, if they develop ‘properly’, males become
masculine men and females become feminine women. It assumes that
gender is inherent at birth and that gender traits, such as our character
and temperament, and the areas in which we excel (Shefer, 2004) are
internal and unchanging (Crompton & Lyonette, 2005). Essentialist views
pay little attention to social, historical and cultural influences, and
gender is assumed to be the same across time and location. Biological
accounts of gender do not allow for individual agency, choice and
change. If we assume that men are inherently aggressive by virtue of their
genetic make-up or evolutionary adaptation, why is it that only some
men perpetrate acts of violence, and how do we combat problems such
as men’s violence against women?

Psychoanalytic theory
Freud’s psychoanalytic theory of personality and sexual development
suggests that gender identity develops as a result of internal, unconscious
conflicts in children. According to this theory, between the ages of three
to five years, children develop an attraction to the opposite-sex parent.
Freud suggested that boys experience an Oedipus complex, named after
the Greek myth in which Oedipus kills his father and marries his mother
(see Chapter 5 for more on Freud’s theory). Girls experience a similar
attraction to their fathers when they realise they do not possess a penis.
Freud named this penis envy. Both girls and boys experience conflict and
anxiety over their attraction to the opposite-sex parent and their sexual
competition with the same-sex parent. However, the conflict is resolved
when they realise the risks of competing with the same-sex parent
(Bukatko & Daehler, 2004) and they later come to identify with that
parent, and develop a gender identity and behaviour similar to the same-
sex parent. Freud believed that the conflict is resolved differently for boys
and girls. Boys are able to resolve the conflict fully, identify with their
fathers and develop a strong superego (responsible for moral
development). Girls, according to Freud, do not fully resolve the crisis
and have a weaker identification with their mothers, resulting in a weaker
superego and an inferiority complex (Stainton Rogers & Stainton Rogers,
2001) (also refer to Chapter 5).
 As could be expected, Freud’s views on women have been subjected to
considerable criticism, particularly by feminist psychologists. His theory
has also been critiqued for being essentialist and for universalising
human sexual development (Chodorow, 1994), and for overlooking
cultural, social and historical contingencies. As a result, theorists began
to accord more attention to the social aspects of gender development.

Social learning theory

Social learning theory (Bandura, 1977) (also refer to Chapter 5) argues
that attitudes and behaviours are learned from the surrounding
environment. eorists note that individuals acquire masculine and
feminine characteristics and skills by using significant others as role
models. e concept of socialisation was introduced to refer to the ways
in which individuals learn genderappropriate behaviour. It is a broad
term that is generally used to describe the processes through which
children learn the ‘rules’ of behaviour, the systems of beliefs and the
values of their society. Socialising agents such as parents, family
members, teachers, peers and the media convey repeated messages both
verbally and through their actions. rough their exposure to these
messages, children learn gender-appropriate behaviour patterns and
attitudes.
Social learning occurs in complex ways. Adults communicate
messages about gender both consciously and unconsciously. As
described above, from the time of their birth, babies are treated
differently depending upon their sex. e first question usually asked is:
‘Is it a girl or a boy?’ e answer to that question becomes a central
organiser of the child’s life and the way others relate to him/her.
Conscious gendered messages (see Figure 19.3) conveyed by parents may
include dressing children in different colours – blue (and other bright
primary colours) for boys and pink (and other light pastel colours) for
girls – and giving children sex-typed toys.
Figure 19.3 Conscious gendered messages conveyed by parents may include dressing children
differently and giving them sex-typed toys

At the unconscious level, parents also communicate differently with girls

and boys. Burr (1998) cites research that shows that the responses of
parents and other family members to children vary depending on their
gender. For example, Walum (in Burr, 1998) found that baby girls’ and
boys’ cries were interpreted differently – boys were assumed to cry to
exercise their lungs, whereas girls’ crying was interpreted as a sign of
distress. Another example of an unconscious gendered message is when
people interpret boys’ mischievous behaviour as natural, while expecting
passive and constrained behaviour from girls. Likewise, the stories
children are told about princes and princesses, and the dolls and action
heroes that they are given, all convey messages about gender roles and
stereotypes.
In the past, social learning theorists referred to the tasks,
responsibilities and expectations of men and women as gender roles.
However, we now understand that gender goes beyond playing a role and
thus the term ‘doing gender’ came into use. Doing gender is not only a
display or behaviour. By doing gender, we also construct, produce and
reproduce gender in all of our daily social interactions (West &
Zimmerman, 2009). e expectations that, for example, women care for
children and men are breadwinners, are particular ways in which women
and men do gender. ese ways of doing gender frequently go un
challenged, and those who do challenge them are often criticised (e.g. a
woman who does not assume the role of primary caregiver may be
labelled a bad mother). Ways of doing gender and gender stereotypes
form a network that shapes our behaviours in particular ways, from the
way we dress, to our use of language and how we express our sexuality.
Gender stereotypes refer to psychological traits and behavioural
characteristics that are attributed to women and men by virtue of their
group membership. Gender stereotypes are both descriptive (describing
particular characteristics or behaviours) and prescriptive (guiding the
ways in which we act in particular situations) (Moghaddam, 1998). Our
daily realities provide us with many examples of gender stereotypes, such
as beliefs that women are emotional, passive, dependent and better
homemakers, and that men are aggressive, strong, assertive and better
drivers. But these stereotypes vary from one culture to another and, as
Nosipho observes at the be ginning of the chapter, they vary from one
historical period to the next. Nevertheless, gender stereotypes are a
powerful force providing prescriptions for how we ought to be. Gender
stereotypes are said to develop at a young age, and studies show how
even young children have already learned to show preferences for
gender-stereotyped toys (Serbin, Poulin-Dubois, Colbourne & Eichstedt,
2001). Visual preferences for gender-stereotyped toys (e.g. cars for boys
and dolls for girls) emerge between 12 to 18 months of age, when
children recognise that specific types of toys are associated with a
particular gender.
Social learning theory has made significant advances in our
understandings of gender, accounting for how in dividuals learn gender-
appropriate behaviour and the norms and rules of their cultures.
However, the theory has been critiqued for not acknowledging individual
agency, and for portraying individuals as passively responding to the
socialising agents in the surrounding environment. In so doing,
insufficient attention is accorded to children’s cognitive processes and
self-identification – issues that are addressed by the cognitive
developmental approaches to gender development.

Cognitive developmental approaches

Cognitive developmental approaches to gender, developed by
Kohlberg (1966) among others, are based on Piaget’s stage theory of
cognitive development (see Chapter 3). e approach suggests that
children understand the world in terms of categories and use cognitive
processes to acquire gender-related behaviour. Kohlberg argued that
there are three aspects to the development of gender identity in children,
namely gender labelling, gender knowledge and gender constancy.
Gender labelling refers to the attribution of terms such as girl and boy,
gender knowledge refers to knowledge about the particular
characteristics of females and males, and gender constancy is the
recognition that gender does not change.

19.3 GENDER STEREOTYPES IN THE MEDIA

Source: Furnham, Pallangyo and Gunter (2001)
Researchers examined the role of gender stereotypes in Zimbabwean television advertisements by
analysing 110 advertisements. They found that men and women were frequently depicted in
contrasting roles and settings. Men were more often portrayed as experts, professionals and product
authorities. They were often represented in work or outdoor settings and were more likely to be
associated with non-domestic products (cars or sports). Women were typically shown as consumers or
product users, occupying roles such as wife or mother and commonly depicted with children. They
were also more likely to be represented in dependent roles and shown in the home. Women were
regularly associated with domestic products. Social learning theory suggests that we learn gender-
appropriate behaviour through observation and the modelling of our behaviour on a role model
Therefore, the gender-stereotyped messages in these types of advertisements would reinforce
stereotyped gendered behaviour, particularly in children. It is likely, however, that these stereotypes are
changing as more female authorities are depicted in advertising, along with more males in parenting
roles.

Children’s awareness of gender has been shown to become more

complex as they get older. Awareness of gender categories is typically
displayed at about three years of age. Initially, gender is merely a label.
For example, four-yearolds are likely to think that a person’s gender has
changed if the person wears clothes associated with a different gender.
By the age of six or seven, gender constancy is acquired and children
recognise that gender has some level of consistency and stability – at this
age they identify closely with and want to imitate the gender to which
they have been assigned.
 Cognitive developmental theories have been critiqued for their focus
on individual differences in development. e theories also pay scant
attention to other social and environmental factors and do not
adequately account for why children choose gender as a primary
category, rather than other categories such as religion or race.

Gender schema theory

e gender schema theory conceptualised by Sandra Bem (1981a) was
developed as a critique of the passive representations of children in the
social learning approaches. It combines aspects of social/cultural
learning with cognitive developmental approaches. e theory suggests
that gender identity and development arise from the processing of
gender schemata. Schemata are the conceptual frameworks individuals
use to make sense of the world around them. Children develop
conceptual schemata of masculinity and femininity through which they
perceive the world and interpret their own and others’ behaviour.
Information used in the child’s cognitive processing is mediated by the
culture’s definitions of masculinity and femininity.
Gender schemata are crucial to the development of gender identity
and constructions of self. ey encompass assumptions about
masculinity and femininity as well as appropriate behaviour and
attitudes (Stainton Rogers & Stainton Rogers, 2001). Gender schemata
are linked to gender stereotypes in that they both facilitate our thinking
about males and females, and they also have a prescriptive element,
guiding gender-appropriate behaviour.
For example, children are exposed to the common stereotype that
men or boys express their anger more than women or girls. is idea is
assimilated as part of the child’s gender schemata. Stereotypes (and
gender roles) are frequently internalised and therefore perpetuated. e
social acceptability of men expressing their anger is related to masculine
ways of doing gender, such as assertiveness and dominance. Studies have
found that girls typically suppress their anger more than boys or use
gendered options for the expression of emotions (Cox, Stabb & Hulgus,
2000). Research has also shown that women in abusive relationships
subscribe to gender-stereotypical norms of the ‘good woman’ or the
‘good wife’ and conform to constructions of femininity as nurturing and
caring (Boonzaier & De la Rey, 2003).
e pervasive assumption about gender as a construct rooted in
biological differences has been challenged by research that has shown
that gender does not simply emerge from anatomy or hormones; instead,
meanings of femininity and masculinity are created and recreated
through the social order and social practices.

Social constructionism
A social constructionist approach asserts that gender differences, rather
than being the result of biology, are constructed by the society in which
we live and through our interactions with others. Rather than viewing
masculinity and femininity as essential, natural and inevitable
characteristics, this view posits that gender is constructed within
particular social and historical contexts. eorists point out that what it
means to be male or female has changed over the centuries and is not the
same in all cultural contexts.
More recently, some theorist have argued that both sex and gender are
socially constructed (Giddens, 2006). According to this view, the body is
not just a ‘given’; rather, ‘the human body itself is subject to social forces
which shape and alter it in various ways’ (Giddens, 2006, p. 461). For
example, people can use plastic surgery or diet to ‘reconstruct’ their
bodies. is view sees sex differences and gender identities as closely
linked.
In our society, however, particular behaviours and codes of dress are
usually understood as either masculine or feminine. But gender is not
simply a characteristic or trait of individuals; it is embedded in a range of
institutional arrangements and structures that constitute society.
A recent development has been the focus on masculinities. According to
Connell (in Giddens, 2006), a society is characterised by a gender order
which is the pattern of power relations between masculinities and
femininities. ere is a hierarchy of expressions of these power relations
based on a single premise – the domination of men over women
(Giddens, 2006). According to Giddens (2006, p. 463), the top of the
hierarchy is occupied by ‘hegemonic masculinity, which is dominant
over all other masculinities and femininities’.

SUMMARY

• Biological theories argue that males and females are intrinsically different, and that masculinity
and femininity are derived from these biological differences. This biological view has been
labelled as essentialist. Essentialist views ignore social, historical and cultural influences.
Biological accounts of gender do not allow for individual agency, choice and change.
• Freud’s psychoanalytic theory of personality and sexual development suggests that gender
identity develops as a result of internal, unconscious conflicts in children in the pre-school
period. Freud’s views have been criticised by feminist psychologists. They are also criticised as
essentialist and for overlooking cultural, social and historical influences.
• Bandura’s social learning theory argues that genderappropriate attitudes and behaviours are
learned through socialisation by parents, family members, teachers, peers and the media.
Adults communicate messages about gender both consciously and unconsciously. The theory
has been critiqued for seeing individuals as passively responding to the socialising agents in
the surrounding environment. Insufficient attention is given to children’s agency, cognitive
processes and self-identification.
• ‘Doing gender’ goes beyond gender roles; it is a way we also construct, produce, and re-
produce gender in all of our daily social interactions.
• Gender stereotypes are the psychological traits and behavioural characteristics that are
attributed to women and men by virtue of their group membership. Gender stereotypes are
both descriptive and prescriptive.
• Cognitive developmental approaches to gender are based on Piaget’s stage theory of cognitive
development. The approach suggests that children understand the world in terms of
categories and use cognitive processes to acquire gender-related behaviour. Kohlberg said
there are three aspects to the development of gender identity in children: gender labelling,
gender knowledge and gender constancy. Children’s understanding of gender gets more
complex as they get older. This is an individualistic theory, paying little attention to social and
environmental factors.
• Gender schema theory combines aspects of social/cultural learning with cognitive
developmental approaches. It says that gender identity and development arise from the
processing of gender schemata. These schemata are crucial to the development of gender
identity and constructions of self.
• The social constructionist approach argues that gender differences, rather than being the result
of biology, are constructed by the society in which we live and through our interactions with
others. Gender is therefore constructed within particular social and historical contexts.

Gender in society
e issue of equality between men and women is one of the most
debated social questions. Although men and women are equal in terms
of South African law, women are still discriminated against in various
sectors of society. South African statistics show marked differences in the
quality of life of men and women, and boys and girls, as well as
significant differences in terms of race and class (Budlender, 2002). For
example, the overall unemployment rate is higher for women than men
(Statistics South Africa, 2014). In almost all aspects, males have more
favourable conditions of employment than females. In 2003, 93 per cent
of domestic workers, who are almost all women, earned less than R1 000
per month (Hassim, 2005). Following the introduction of a minimum
wage for domestic workers in November 2002, domestic worker wages
did increase despite little government monitoring (Dinkelman, Ranchod
& Hofmeyr, 2014). However, female-headed households have an average
annual income of less than half of households which are male-headed
(Statistics South Africa, 2014).
Table 19.1 Psychological theories of gender development (adapted from Brannon, 1998, p. 160)
 19.4 ANDROGYNY
Psychologists have typically viewed sex difference as a fixed variable, dividing human beings into binary
categories, such as male or female and masculine or feminine. The introduction of the concept of
androgyny significantly challenged these assumptions. In the 1970s, Sandra Bem developed the Bem
Sex-role Inventory, which includes 20 stereotypically masculine, 20 stereotypically feminine and 20
neutral traits (Bem, 1981b). The inventory is used to test the degree to which women and men identify
with these traits and score as either masculine, feminine, androgynous or undifferentiated. Androgyny is
the term used to refer to individuals who show little difference between masculine and feminine scores
and denotes the integration of masculinity and femininity within an individual. Bem also proposed
androgyny as a measure of psychological well-being, since the androgynous individual’s personality
would include a balanced combination of masculine and feminine traits. The concept of androgyny,
taken up by many feminist thinkers, was seen to liberate people from the restrictions of gender roles or
behaviour. It also challenged traditional assumptions of the female–male dichotomy, allowing for in
dividuals to possess traits associated with both genders (e.g. an individual could be both assertive and
empathic). Although the concept of androgyny is no longer at the forefront of research, it does remain a
useful variable in social psychology research (see Guastello & Guastello, 2003).

Violence against women

Currently, the most significant challenge to gender equity is violence
against women. e World Health Organization (2013) reports that
globally, 35 per cent of women have experienced violence in their
lifetime, either from intimate partners or non-partners. Forms of violence
against women are multiple and include rape, sexual harassment and
abuse, and these are perpetrated mostly by men. Rape is an under-
reported crime in South Africa (as elsewhere). e reasons for under-
reporting often include shame, embarrassment and fear. In addition,
women sometimes do not define their experiences of sexual coercion as
rape, particularly when the perpetrator is an intimate partner (Boonzaier
& De la Rey, 2003). In addition, rape is more likely to occur in and around
the home and to be perpetrated by someone known to the victim
(Hirschowitz, Worku & Orkin, 2000).
Women and girls may experience sexual harassment in a number of
contexts, such as the workplace, educational institutions or in the home.
Even schools are often violent places for children, particularly girls. A
study by Human Rights Watch (2001) found that South African
schoolgirls are subjected to multiple forms of violence, such as sexual
harassment, emotional abuse, verbal degradation and rape. ese
 incidents were perpetrated by teachers, other learners, other school
employees and strangers. Other forms of gender violence that are
widespread include femicide (the misogynistic killing of women), female
genital mutilation and forced prostitution.
In South Africa in 1999, 8.8 women (over 14 years of age) per 100 000
were killed by an intimate partner. is amounts to four women killed per
day (one every six hours) – the highest rate found ‘in research anywhere
in the world’ (Mathews, Abrahams, Martin et al., 2004). Violence from
intimate partners negatively affects women’s physical and mental health,
with many experiencing anxiety, depression, suicide ideation, suicide
attempts, panic attacks, and/or other negative psychological and
emotional consequences (Bollen, Artz, Vetten & Louw, 1999; Gass, Stein,
Williams & Seedat, 2010). Overall, gender violence has a damaging effect
on the mental and physical health of women and girls. While gender-
based violence is primarily constructed as violence against females, it is
important to recognise that males can also be victims of such violence.
Carpenter (2006) notes that males may be subject to sexual violence,
forced conscription and sex-selective massacre.

SUMMARY

• Equality between men and women in society is not yet a reality, despite the terms of South African
law. Women are discriminated against in employment, and women and girls have a poorer quality
of life.
• Currently, the most significant challenge to gender equity is violence against women. Women
suffer a high incidence of intimate partner violence (such as abuse, rape and murder).
• Women and girls may also experience sexual harassment in a number of contexts, such as the
workplace, educational institutions or the home.
• Other forms of gender violence that are widespread include femicide (the misogynistic killing of
women), female genital mutilation and forced prostitution.

Feminism
At its most basic, feminism can be seen as a belief in the social, political,
economic and cultural equality of the sexes. However, it is not just an
intellectual or academic pursuit, but also a movement for action (Kiguwa,
2004). Feminists actively try to change social relations which subordinate
or suppress women and their rights. Furthermore, Tong (in Kiguwa, 2004)
makes the point that just as women are unique and different from each
other, so too are there many kinds of feminism. us it is most useful to
think of feminisms as a plural concept, acknowledging in this way the
various theoretical perspectives which have articulated feminist issues.
e earliest feminist movements emerged in Europe and North
America. ese were initially relatively conservative and they based their
arguments on the idea that there are no fundamental differences
between men and women and therefore there should be equal rights
regardless of gender.
 19.5 THE ESSENTIALIST/CONSTRUCTIONIST DEBATE
An area of theorising that has been characterised by much debate and controversy is the contestation
between essentialist and constructionist views of gender which we briefly mentioned earlier in this
chapter. Essentialism is the belief in the true essence of individuals. From a gendered perspective, the
approach assumes that men and women are inherently different and that gender differences are
defined at birth and are fixed throughout our lifespan (Crompton & Lyonette, 2005). Essentialism
believes that qualities such as competitiveness and nurturance are intrinsically male and female
qualities, respectively (Crompton & Lyonette, 2005). Biological differences are taken as the starting point
for producing a variety of social and psychological consequences (attitudes, behaviours and social
organisation).
Many psychologists reject essentialist assumptions as they are often linked with various forms of
prejudice (Morton, Postmes, Haslam & Hornsey, 2009). They also present a problem for feminist
psychology in that if essentialism is accepted, for example if we assume that men and women are
essentially different in terms of their psychological make-up, it would be difficult to change inequality
between the sexes (Crompton & Lyonette, 2005). From an essentialist standpoint, differences between
men and women are assumed to arise from biology or nature and would result in a natural gender order
where women are subordinate to men.
From a different standpoint, Crompton and Lyonette (2005) discuss Hakim’s preference theory, which
suggests that women choose certain occupations (e.g. teaching) because they grant them flexibility in
their working life. However, Hakim has been criticised for downplaying structural constraints against
women (e.g. lower wages) that may inhibit their choices.
Critiques of essentialism include challenges to the universalistic assumptions about woman/women
as a fixed category and to the lack of attention given to diversity among women and similarities
between women and men (Morton et al., 2009). In addition, feminist debates on difference and equality
have questioned the idea that all women experience the same things (that there is a unitary female
experience). At this point, the social constructionist approach to gender enters the debate.
From a social constructionist perspective, gender is understood as being constructed within
particular cultural, social and historic contexts (Giddens, 2006). We constantly do gender (West &
Zimmerman, 2009) because we are placed in gendered situations (or in contexts of gendered power
relations) (Giddens, 2006). Thus, we internalise gender norms and behave in gendered (or nongendered)
ways by either accepting or resisting those norms. This approach strengthens our theorising since
diversity which arises from particular contexts is acknowledged. The focus shifts from the individual to
the social, and the role of power in the construction of gender is examined (Giddens, 2006). Reflecting
contemporary understandings of gender as a relational construction, this approach has gained
ascendancy in feminist psychology.

Many of the early schools of feminism were offshoots from political

movements. For example, Marxist feminism grew out of the Marxist
critique around the ownership of private property. Around 1970, the
women’s movement in the US saw the emergence of a more radical
brand of feminism, one which explicitly argued that gender differences
were socially constructed. is strand of feminism was determined to
destroy patriarchal society (Kiguwa, 2004).
A crisis in feminism
It is clear that these European feminisms were firmly rooted in a Western
individualistic tradition. ey were primarily concerned with the position
experienced by middle-class women. In response to this, many African-
American women felt alienated and argued that their position was not
adequately considered by these ‘White’ feminisms. In the 1980s, as a
result of the tensions around various groups of women (black women,
lesbians, working-class women) feeling excluded from mainstream
feminism, a crisis in feminism occurred (Fraser, 2013). Out of this
critique, there emerged a range of black feminisms, including womanism
and African feminism.
Feminism has, however, struggled to gain ground in Africa as it has
often been rejected as an ‘embarrassing Western philosophy’ (Ata Aidoo,
in Kiguwa, 2004, p. 278). Many of the black feminist movements argued
that only black women could adequately understand the ex periences of
black women. In addition, these theorists were concerned with the
intersecting and simultaneous issues of gender, race and class, saying
that it is necessary to take all of these into consideration in order to
understand the experiences of black women. Lastly, African feminism
has been associated with a return to pre-colonial social relations in
which women’s roles were respected and revered.

A new masculinity
Traditionally, masculinity has been associated with aggressive, assertive
and authoritarian ideals, and men have been defined as powerful, strong
and aggressive. Violent be haviour is positively regarded as symbolic of
masculinity and male authority (Giddens, 2006). Within a patriarchal
culture, men are socialised into keeping women subordinate through the
use of violence, for example. us, as Wood (2004, in Shefer, Boonzaaier
& Kiguwa, 2006) found in a study with 22 male prisoners, male violence is
a reflection of male authority and domination over women. Studies
address how men account for the perpetration of violence against their
partners, as well as the connections between masculinity and violence
(Wood & Jewkes, 2001). Within this line of research, there appears to be
some consensus that cultural or social contexts set the scene for men’s
violence against women and construct dominant forms of masculinity
and femininity, which men and women draw upon in order to construct
gendered identities.
From a social constructionist perspective, many studies have started
to focus on what it means to be a man and on issues that affect men’s
lives. An area of research entitled critical men’s studies (Connell, Hearn
& Kimmel, 2005) addresses issues of masculinity by critiquing male
power and domination. Masculinity has been described as shifting,
dynamic, socially constructed and contested (Morrell, 2001). Connell et
al. (2005) showed how men do not all benefit equally from male
domination (patriarchy) and how certain forms of masculinity have
become culturally dominant, depending on the norms and values of the
surrounding culture. ese forms of masculinity emphasised certain
characteristics at particular social and historical moments.

19.6 MASCULINITY AND VIOLENCE

Source: Wood and Jewkes (2001)
Researchers explored how young men living in a township in the Eastern Cape spoke about
perpetrating violence against female partners. They conducted in-depth interviews with young
Xhosaspeaking men. They found that adolescent sexual relationships were characterised by violence,
coercive sex and threats towards female partners. Young men’s notions of masculinity were partially
defined in terms of their control over sexual relationships with women. In general, research participants
constructed gender relations in patriarchal terms – with women constructed as sexually passive and
men as sexually aggressive.
Their talk also reflected compliance with the sexual double standard – implying that it is acceptable
for men to have multiple partners, but completely unacceptable for women.
The researchers found connections between young men’s talk about violence and predominant
forms of masculinity available in their community and in South Africa at large. They showed how
culturally dominant (hegemonic) forms of masculinity are socially constructed and how young men
draw upon these in their sexual relationships.

Morrell (2001) describes three categories of men’s response strategies

to gender change in South Africa: defensive, accommodating and
progressive. In the first category, men are invested in maintaining the
traditional gender order and resist challenges by feminism and women’s
groups. In the second and third categories, where men either adapt to or
welcome change, men are challenging violent forms of masculinity and
exploring new ways of being men. As a result of continual challenges to
masculinity and men’s particular circumstances (e.g. unemployment),
forms of masculinity are constantly shifting and contested.

SUMMARY

• Feminism can be seen as a belief in the social, political, economic and cultural equality of the
sexes, as well as action to achieve this.
• There are many kinds of feminism. The early movements emerged in Europe and North
America; they were initially quite conservative. Many of the early schools of feminism were
offshoots from political movements. Later movements were more radical, seeking to destroy
patriarchy.
• Many women (black/lesbian/working class) felt alienated from the European feminisms that
were rooted in a Western individualistic tradition. This led to a crisis in feminism from which
emerged a range of black feminisms, including womanism and African feminism.
• Feminism has struggled to gain ground in Africa. Some argued that only black women could
adequately understand the experiences of black women. Others felt that issues of gender, race
and class needed to be considered simultaneously.
• Traditional masculinity is assertive, authoritarian and aggressive, and men are often socialised
into maintaining a dominant position over women. The field of critical men’s studies has
critiqued this, raising the notion of masculinity as shifting, dynamic, contested and socially
constructed.
• In South Africa, men have responded in various ways using defensive, accommodating and/or
progressive strategies.
19.7 BLACK MEN’S SUCCESS AT UNIVERSITY
Source: Harper (2009)
Harper’s (2009) article begins with a quote which is also relevant to apartheid South Africa:

The thought of the inferiority of the Negro is drilled into him in almost every class he enters and in
almost every book he studies … If you teach the Negro that he has accomplished as much good
as any other race, he will achieve and aspire to equality and justice without regard to race.
(Woodson 1933, p. 2)

Harper (2009) conducted a qualitative study with 143 black male undergraduates across 30
predominantly white colleges and universities in the US. He began by noting the long history of
negative expectations and stereotyping applied to black males in society, and in educationa
institutions, in particular. He argued that black men have ‘long been regarded as criminals, irresponsible
fathers …, drug addicts …, lovers of flashy possessions, and violent rapists’ (Harper, 2009, p. 697). In
schools, black youth are typically expected to misbehave and drop out of school. He thus set out to
demonstrate a different story, a counter-narrative against this long history of negativity.
Amongst other findings, Harper found that the first myth was that all black male students are ‘the
same’. Second, universities were focused on supporting and managing struggling black male students
while ignoring the successes of those who were reaching high levels of achievement. Third, some of the
study’s participants had deliberately set about presenting blackmale students in a more positive light,
presenting them in student media as ‘thoughtful, politically engaged and socially conscious’ (Harper
2009, p. 706). Others called attention to racism wherever they encountered it. Harper (2009, p. 2010)
concluded his article with the following:

I still wish to see oppressive stereotypes that distract black male collegians from their academics
replaced with higher expectations of their achievements, less shock when they do well or say
something thoughtful, and lower tolerance for racist caricaturing of them by their white
classmates.

Much the same could be said of black men (and women) in general in South Africa today.

Conclusion
To end this chapter, we return to the point made at the beginning, that
psychology has traditionally been criticised for being biased against
women. Psychology has also been critiqued for its individualistic bias –
for ignoring the broader context in which gender identity and
relationships develop. Illustrative of these critiques, we showed that to
be able to properly understand gender, we must be prepared to look
beyond psychology to other disciplines such as sociology and gender
studies to properly locate gender within the social, historical and
political contexts (Giddens, 2006).
However, in spite of these critiques, psychology has made
significant inroads in understanding gender. Social learning, cognitive
developmental and gender schema theories have each made unique
contributions to our understandings of gender issues, particularly in
childhood. e focus on women’s issues from within psychology has
also advanced our understanding of topics that have either been
ignored or distorted. As an area of research, the psychology of women
explores a wide range of psychological issues that concern women,
such as menstruation, pregnancy, childbirth and menopause (Matlin,
2000). eorists also explore topics that affect women almost
exclusively, such as rape, abuse and other forms of gender violence.
Areas that have traditionally been approached from a male point of
view, such as achievement, work and sexuality, are also investigated
(Matlin, 2000).
ere has also been a proliferation of critical studies on masculinity
and issues relevant to men’s lives, such as fathering, violence and
relationships as well as interesting and emerging work on diverse
forms of masculinity (black, urban, working-class) and ways of being a
man (see Morrell, 2001).
Contemporary feminist psychologists acknowledge the need to
transform psychology as a discipline by addressing its male bias, and
many psychologists also acknowledge the need to shift away from
traditional positivist research to methods that are more able to account
for the variability of human experience and how we are affected by the
social context.
19.8 GENDERED NARRATIVES
Source: Boonzaier and De la Rey (2003)
Researchers conducted a narrative study to explore how women constructed gender in their talk of
violence. The study was conducted with 15 women who experienced violence from their partners in
Mitchell’s Plain, in the Western Cape. In their narratives of abuse, women constructed shifting gendered
identities. At times, women’s talk reflected compliance with hegemonic forms of femininity
emphasising qualities such as caring, nurturing, submission and passivity. Women spoke about being a
good wife/ woman by providing love, care and tenderness to soften their partners’ hardness. Some
women also took up gendered positions of the good wife, suggesting that they should remain sexually
available to their husbands.
At other times in their narratives, women resisted these stereotypical gendered constructions and
spoke about their strength, determination and resistance. Women also constructed masculinity as
powerful, dominant and authoritative while simultaneously being threatened by powerlessness
inferiority and emasculation.
The study highlighted the shifting and contradictory nature of gendered identities, particularly in
violent relationships.

KEY CONCEPTS
androgyny: the term used to refer to individuals who show little
difference between masculine and feminine scores on Bem’s Sex-role
Inventory, denoting the integration of masculinity and femininity
within an individual
cognitive developmental approaches to gender: approaches that
suggest that children understand the world in terms of categories and
use cognitive processes to acquire gender-related behaviour
critical men’s studies: an area of research that addresses issues of
masculinity by critiquing male power and domination
cross-dressing: wearing clothing and accessories that are usually
associated with the ‘opposite’ gender in a particular society
doing gender or gender performances: particular behaviours, tasks,
responsibilities and expectations of men and women and the
construction, production and re-production of gender in our daily
lives
 gender: the characteristics (masculine or feminine) that a society or
culture assigns to a person on the basis of their sex
gender constancy: the recognition that gender does not change
gender essentialism: the belief in inherent, natural differences
between women and men
gender knowledge: knowledge about the particular characteristics of
females and males
gender labelling: the use of terms such as girl and boy
gender stereotypes: psychological traits and be havioural
characteristics attributed to women and men by virtue of their group
membership
schemata: the conceptual frameworks individuals use to make sense
of the world around them
sex differences: differences between people in terms of their
biological characteristics including differences in chromosomes,
hormones and the person’s genital organs
sexuality: how people experience and express their sexual feelings
sexual orientation: a concept describing a person’s particular sexual
feelings directed toward another person with a set of corresponding
categories (i.e. gay, lesbian, bisexual, straight)
social constructionism: a theoretical perspective that looks at how
relationships between people are socially constructed in particular
cultural, social and historic contexts
socialisation: a broad term that is generally used to describe the
processes through which children learn society’s rules, beliefs and
values

EXERCISES

Multiple choice questions

1. ‘Gender traits are internal, consistent and natural.’ is quotation is

typical of which approach to gender?
a) social constructionism
b) essentialism
 c) naturalism
d) none of the above is correct.

2. Nondumiso believes that, as a woman, it is her duty to do the grocery

shopping, clean the home and take care of the children. Nondumiso
is adhering to strict:
a) gender bias
b) gender labelling
c) gender stereotypes
d) gender roles.

3. A two-year-old boy who plays with cars and guns and shows aversion
to playing with dolls illustrates early signs of:
a) gender-role aversion
b) gender-stereotypical behaviour
c) gender labelling
d) gender modelling.

4. Socialisation refers to:

a) the learning of feminine and masculine behaviour
b) the learning of societal rules, norms and beliefs
c) the internalisation of gendered messages conveyed by parents,
peers, media and social institutions
d) all of the above are correct.

5. Gender labelling, gender constancy and gender knowledge are the

underlying tenets of:
a) Bandura’s social learning theory
b) Piaget’s cognitive developmental approach
c) Kohlberg’s cognitive developmental approach
d) Bem’s gender schema theory.

6. When children recognise that a person’s gender does not change

when they wear clothing associated with the opposite sex, they are
displaying an awareness of:
 a) gender labelling
b) gender knowledge
c) gender constancy
d) none of the above is correct.

7. Individuals who are undifferentiated with regard to masculine and

feminine traits may be described as:
a) gender neutral
b) asexual
c) transsexual
d) androgynous.

8. e approach that views gender as comprising individual behaviours

and beliefs, interpersonal relations and social-structural power
relations, is known as:
a) essentialism
b) radical feminism
c) social constructionism
d) constructivism.

9. A crisis in feminism occurred when:

a) critical men’s studies began to emerge
b) black, lesbian and working class feminists criticised mainstream
theorists for their exclusivity
c) feminists entered the essentialist/constructionist debate
d) violence against women emerged as the most significant
contemporary gender-related issue.

10. Radical feminism views __________ as the primary source(s) of

gender inequality.
a) sexism
b) patriarchy
c) discrimination.
d) all of the above are correct.
Short-answer questions
1. Discuss and compare the three psychosocial theories that account for
gender development in children.
2. Explain the differences between an essentialist and a social
constructionist approach to gender.
3. What are the key features of Freud’s approach to gender
development? Discuss how Freud’s approach has been critiqued.
4. Identify and describe the three central aspects of the cognitive
developmental approach to gender identity development in children.
At which ages do children typically display the three processes?
 Violence, traumatic
stress, peacemaking
CHAPTER
and peacebuilding 20
Craig Higson-Smith & Shahnaaz Suffla

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• give a definition of violence
• provide a general overview of the breadth and depth of this field of study
• discuss violence as a public health problem using a systemic approach
• describe the consequences of violence, especially traumatic stress responses
• discuss and critique the range of violence prevention strategies in use, such as those used to
assist individuals, families and communities affected by violence
• define and describe in your own words the concepts of peacemaking and peacebuilding
• outline the differences between peacemaking, peacekeeping and peacebuilding
• identify and elaborate on the major theoretical principles underlying these concepts
• present an argument for a culturally centred approach to peacemaking and peacebuilding
• describe a framework for action through which psychologists can contribute to peace processes.

CASE STUDY

Yolisa had only been a young child during the political conflict of the apartheid era in South Africa,
but she had been aware of the violence, fear and anger around her. As Yolisa grew up, she came to
understand much more of the conflict and how it had affected not only her family, but also many
others. It was hard to discuss some of these things with white people, but as Yolisa began to
develop better relationships with some white friends, she heard about their different experiences
of living in South Africa. She was surprised to hear how traumatised her friend’s uncle had been
after being sent out to keep control in a township.
But instead of the improvement everyone had expected after 1994, it seemed that violence was
still one of the biggest threats people faced in their lives. Yolisa had several friends and even some
family members who had been mugged or threatened with violence. Quite recently, her cousin, a
young man close to her own age, had been attacked by two knife-wielding men. She saw him a
few days after the incident, but when she asked about it, he seemed reluctant to talk.
 ‘It was nothing – they just took my wallet,’ he said.
But Yolisa’s aunt was worried about her son. He had been very irritable since the mugging and
just wanted to be alone. Yolisa’s aunt told how he had also lost interest in his college work. Yolisa
was convinced that, even though her cousin had downplayed the mugging, he had in fact been
quite traumatised by it.
Yolisa felt strongly that the problem of violence needed to be dealt with by society as a whole,
not just by each person who suffered its effects. She believed that people needed to teach children
that violence and aggression didn’t solve their problems. People could also do things in their local
community to try to protect one another and fight violence. Yolisa discovered that psychologists
could also play a role in building peaceful societies. She felt this was especially important in a
country such as South Africa, where violence and conflict had been so much a part of everyone’s
history.

Introduction
is chapter introduces the interrelated but distinct areas of violence,
traumatic stress and peacemaking. It begins with some recent statistics of
violence in South Africa, and discusses the question of intention in
defining violence. e chapter looks briefly at some social psychological
theory on violence, and proposes a model of violence and violence
prevention over four levels. A focus on the individual effect of traumatic
stress leads to a discussion of violence prevention strategies and
interventions to provide services to survivors of violence. Peace
processes are described, as well as the importance of peace processes for
preventing violence.
South Africa has entered the 21st century and as the country tries to
shake off its violent history, it carries with it an international reputation
for violence. e violence of war, apartheid and armed struggle seems to
have made way for terrible criminal, sexual and family violence. Violence
remains a critical problem for our country – a problem that we must
understand better if we are ever to be free of it.
In the World Report on Violence and Health, it is estimated that
violence claimed the lives of 1.6 million people worldwide in the year
2000. Of these deaths, 91 per cent occurred in low- to middle-income
countries. e United Nations Global Study on Homicide 2013 reports
that intentional homicide was responsible for the deaths of nearly half a
million people in 2012, with 31 per cent of these occurring in Africa
(UNODC, 2013). e global rate for males is nearly four times that of
females (United Nations, 2013). Violent death is particularly common
among adolescents and young adults, with 43 per cent of all homicide
victims aged between 15 and 29 years (UNODC, 2013).
In South Africa, there were 17 068 murders per 100 000 in 2013/14 (47
per day), which is an increase on the 2012/13 rate of 45 per day (Africa
Check, 2014). According to Africa Check (2014), South Africa’s murder
rate is five times higher than the global average of six murders per 100
000.
South Africa’s National Injury Mortality Surveillance System (NIMSS)
reports that in 2008, 31.53 per cent of non-natural deaths were due to
violence. Close to 80 per cent of victims were male, while those most at
risk for violent death were between 20 and 30 years of age. Violence
accounted for 44.8 per cent of deaths in the 15–24 age group, and 41.5 per
cent of the 25–34 age group.

Figure 20.1 Deaths, by age, resulting from homicide in South Africa (Krug et al., 2002, p. 270)

Yet loss of life represents only a small part of the cost of violence to the
world. e World Health Organization notes the widespread cost of
interpersonal violence and also notes that interpersonal violence
particularly affects low- and middle-income countries (WHO, n.d.). In
South Africa, a single homicide is calculated to cost $15 319 (in the region
of R160 850) (WHO, n.d.). e full cost of non-fatal injuries is difficult to
estimate, especially since many crimes such as rape, domestic assault
and child abuse are seldom reported. In addition, it is important to move
beyond the costs associated with individual people in order to
understand the costs to families, communities and entire countries.

What precisely is violence?

ere is controversy around how social scientists should define violence.
e difficulties revolve around the idea of intention, as well as differences
between different disciplines. Most definitions of violence are based on
two assumptions (Jackman, 2002, in Aisenberg, Gavin, Mehrotra &
Bowman, 2010): (1) violence is motivated by hostility and the intent to
harm, and (2) violence is deviant.
ese approaches are largely individualistic, and do not pay enough
attention to structural and contextual factors. Aisenberg et al. (2010) note
that how violence is defined is crucial as it influences the kind of research
that is conducted. e World Report on Violence and Health defines
violence as follows (Krug et al., 2002, p. 5):
e intentional use of physical force or power, threatened or actual, against oneself, another
person, or against a group or community, that either results in or has a high likelihood of
resulting in injury, death, psychological harm, maldevelopment or deprivation.

While this definition still includes a broad spectrum of situations, it

requires that the act must be intentional in order to be defined as violent.
To better understand the crucial difference between definitions which
include intent and those which do not, consider the following questions:
• If a person drives a motor car while under the influence of alcohol
and accidentally kills a pedestrian, has that person committed an act
of violence?
• If a worker is hurt as a result of insufficient safety provisions at work,
has the employer committed an act of violence?
• If a small child falls off a swing while her caregiver is not watching her,
has that caregiver committed an act of violence?

ese are difficult questions not only for social scientists but for many
others, particularly people working within the criminal justice system.
For the purposes of this chapter, it is argued that where harm arises as a
result of society’s laws, regulations and norms of due care being ignored,
an act of violence has taken place, even when harm was not intended.

Types of violence
It is virtually impossible to provide a complete classification of different
forms of violence; however, it is worth mentioning some broad
categories.

Domestic violence
Sadly, a great deal of violence occurs within families and homes, between
people living together. Traditionally, domestic violence is conceptualised
as violence against women in homes. Indeed, Devries et al. (2013, p.
1528) say that violence against women happens in every country in the
world and that ‘the UN estimates more than 600 million women live in
countries where domestic violence is not considered a crime’. However,
domestic violence may include violence between gay partners, the active
abuse or neglect of children, battery of spouses or the abuse of elderly
people; in whichever form, it is extremely destructive for families. Victims
of domestic violence are often trapped within the abusive situation by
social norms and economic pressures (Levendosky et al., 2004).
One must also be cautious about the term as it often downplays the
real issues of power (and social acceptability of some forms of domestic
violence) that underlie it (Giddens, 2006). For example, the authorities
are often slower to respond to a complaint of assault if it is seen as
‘simply’ a domestic disagreement.
Violence for material gain
Many violent crimes, such as muggings, armed robberies, hijackings and
cash-in-transit heists are motivated by the desire for material gain
(Moser, 2006). South Africa has extremely high levels of violence for
material gain, including murders carried out for the purposes of making
‘medicines’. La Fontaine (2011) discusses the term ‘ritual murder’ and
notes how such killings have historically been associated with spiritual
purposes, to obtain good fortune or cleansing (La Fontaine, 2011).
However, some of these ‘magical’ killings are conducted for the personal
gain of both the client and the practitioner of magic, ‘fuelled by
individual ambitions and a lust for wealth and power’ (La Fontaine, 2011,
p. 9).

Sexual violence
Violence often takes on a sexual form. Whether in the form of rape,
sexual assault, child sexual abuse, molestation or sexual harassment in
the workplace or other social arenas, sexual violence is responsible for
very high levels of traumatic stress in society (Bennice, Resick, Mechanic
& Astin, 2003).

State and collective violence

State and collective violence has been a constant part of the past 200
years of South African history. Included in this history is the violence
implicit in colonialism and apartheid: from the wars between settlers and
indigenous South Africans, to the militarisation of South African society
through conscription and the training of young people to fight in the
liberation struggle, to acts of terror committed by both the apartheid
regime and the liberation armies. Hate crimes and genocide are also
examples of collective violence. Aisenberg et al. (2010, p. 17) give the
example of ‘micro-aggressions’ as ‘acts involving discrimination, racism
 and daily hassles that are targeted at individuals from diverse racial and
ethnic groups’.

Self-directed violence
e final category is violence directed towards the self, most notably
suicide and self-mutilation. Self-directed violence is usually associated
with great emotional pain and despair.

SUMMARY

• South Africa has an international reputation for violence. South Africa’s murder rate is five times
higher than the global average. Most violent death victims are young males. The cost of violence is
enormous for families, communities and entire countries.
• There is disagreement around the definition of violence. According to one definition, any act that
results in harm is essentially an act of violence. Other definitions include intention. This chapter
argues that where harm arises as a result of society’s laws, or the disregard of regulations and
norms of due care, an act of violence has taken place, even when harm was not intended.
• There are many types of violence: domestic violence, violence for material gain, sexual violence,
state and collective violence, and self-directed violence.

Theories of violence
Early theoretical approaches tried to suggest that people who commit
acts of violence are somehow different from the majority of the
population, because they are evil, disabled or sick. However, these
theories cannot explain the frequency of violence in our society,
including war and oppressive governments. Such approaches have
resulted in perpetrators of violence being imprisoned, exiled or executed,
or undergoing brain surgery, but this has failed to reduce the incidence
of violence in society.

Socio-biological explanations
eories that acknowledge that the potential for violence exists within all
people have a far greater chance of making a real contribution to violence
prevention in the world. Socio-biological explanations of violence
argue that human beings, like most other animals, have an innate
capacity for violence. is enables human beings to hunt, to protect
resources, and to respond to threats, all of which are fundamental to
survival.
However, such theories do not help social scientists to predict who will
commit what act of violence and under what kind of circumstances.
Without this information, it is very difficult to prevent violence.
Work on the links between aggression and frustration (e.g. Dollard and
Miller’s frustration–aggression hypothesis – see Dollard et al., 1939) has
provided some useful information. When people become frustrated, they
often feel angry and are ready for action. is combination is linked to
acts of violence. Understanding the role of frustration is particularly
important in finding ways to prevent crimes such as road rage.
Nevertheless, people often feel angry or frustrated without becoming
violent, and many acts of violence are difficult to link to frustration.

Social learning explanations

Bandura’s (1973) theory on social learning showed how violence, like
many other human behaviours, is learned either through direct
reinforcement or through modelling:
• Reinforcement occurs when particular behaviours are rewarded or
punished. Depending upon their parents, children may learn that
punching their siblings either earns them approval, or their parents’
anger. e first outcome will increase the likelihood of violence in
future, while the second will reduce it.
• Modelling happens when people learn from watching others. us
children who observe their parents solving conflict with violence are
more likely to use violence for problem solving later in life. is area
of work has important implications for parenting as well as for
discussions of television and film violence.
e general aggression model (GAM) builds on the social learning
framework (Baron, Branscombe & Byrne, 2009). is is an integrative
model, also incorporating other earlier theories (DeWall, Anderson &
Bushman, 2011). e GAM focuses on the chain of events that may lead
to aggression and violence. is chain of events may include situational
factors (e.g. frustration, provocation, exposure to aggressive models) and
personal factors (e.g. irritability, having fighting skills, beliefs about
aggressive behaviour) (Baron et al., 2009). According to the GAM, these
variables can lead to increased arousal, changed emotional states and
altered cognitions.

Group explanations
A further important component to understanding human violence is to
recognise that people act differently when in groups compared to when
they are alone (refer also to Chapter 17). Early theories here argue that,
when in groups, people form mobs which are unthinking and inherently
violent. Such theories discount the enormous complexity of human
groups and are not helpful in preventing situations of violence. But work
on obedience to authority, conformity and shared responsibility does
help explain why groups tend to be more violent than individuals.
People commonly identify themselves as being part of different
groups. We think of ourselves as belonging to a certain neighbourhood,
ethnic group, religious denomination, language community, and so on.
Social identity theory (Tajfel &Turner, 1986) has produced a wealth of
research that shows that group identity is very important to people, that
people hold differing beliefs about their own and others’ groups, and that
under conditions of threat, these group identities become stronger.
Stephan, Ybarra and Morrison (2009) call this a ‘tribal mindset’ and note
that people are more inclined to perceive a threat when there is none
rather than the other way round. is is because it is potentially more
costly to miss a threat that does exist. ese threats may be realistic or
symbolic; either way, their effects on intergroup relations are generally
destructive (Stephan et al., 2009). us, much of the violence in the world
today can be understood in terms of group conflicts.
 20.1 CYBER BULLYING
Cyber bullying is a relatively recent form of intentional harm that has emerged as a result of rapid
growth in communication technology. Cyber bullying involves the use of electronic forms of
communication to send intimidating or harassing messages to someone. Other forms of bullying
include physical (e.g. hitting), verbal (e.g. taunting) and relational (e.g. social exclusion) (Wang, Nansel &
Lannotti, 2011). Bullying is a serious problem for many children and adolescents; those involved can be
categorised into bullies, victims and victim-bullies (Mishna, Khoury-Kassabri, Gadalla & Daciuk, 2012
Wang et al. 2011).
Mishna et al. (2012) studied the risk factors of involvement in cyber bullying. They administered self-
report questionnaires to 2 186 school children and found that over 30 per cent had been involved in
cyber bullying (either as victims or perpetrators) over the previous three months. One in four had been
involved as both bully and victim. Females were more likely than males to be victim-bullies (whereas in
traditional bullying, being a victim-bully is more common among males). Risk factors included spending
more time on the computer and giving passwords to a friend.
Wang et al. (2011) studied the relationship between bullying and depression in 7 313 school children
and found that depression was associated with all four forms of bullying. However, victims of cyber
bullying reported higher depression than cyber bullies or cyber bully-victims. This may be due to the
particular characteristics of cyber bullying in which victims are typically under attack from anonymous
others, leading them to feel ‘ isolated, dehumanised and helpless’ (Wang et al., 2011, p. 417).

SUMMARY

• Early theoretical approaches suggested that people who commit acts of violence are somehow
different from other people. However, such approaches have failed to reduce the incidence of
violence in society.
• Socio-biological explanations of violence argue that human beings have an innate capacity for
violence. This is not helpful in violence prevention. Some theories have noted links between
frustration and aggression.
• Social learning explanations argue that violence is learned either through direct reinforcement or
through modelling.
• Group explanations note that people act differently when in groups compared to when they are
alone. However, groups are complex. Some helpful explanations have focused on authority,
conformity and shared responsibility, as well as group identity (social identity theory).

The effects of violence at multiple

levels
Although we tend to think about violence in terms of its impact upon
individual survivors, violence occurs at many levels. When a family
member abuses other family members, this is an example of violence at
the level of the small group, in this case, the family. Another example of
smallgroup violence happens in criminal gangs, where gang membership
often depends on perpetrating violent acts such as rape.
Violence can also occur at the level of the community, for example
when residents of a community victimise people of a particular group. In
South Africa in recent years, many non-South Africans have been
labelled amakwerekwere (a derogatory term meaning ‘foreigner’) and
have been victimised.
Finally, violence can occur at the level of society. e use of force by
the apartheid government to systematically remove people from the land
on which their families had lived for generations is a clear example of
this. Enforced conscription of young men to serve in armies is another.
ere are therefore four broad levels at which violence can occur,
namely the individual, small-group, community and societal levels.
Violence at any level typically also impacts upon other levels. For
example, when a young man is conscripted into an army (on a societal
level), he may well be exposed to violent acts that leave him emotionally
compromised (on an individual level). He may become an angry person
who copes through drinking and often becomes violent. Upon his return
home, his emotional state impacts upon the family (on a small-group
level).
Even single acts of violence at the individual level may impact upon
many people’s lives. For example, when a young child is sexually abused,
members of the immediate family, teachers, police officers, social
workers, prosecutors and magistrates are also involved. If it is a high-
profile case that is discussed in the media, millions of people may be
exposed to that act of individual violence, as in the case of Oscar
Pistorius.
Figure 20.2 Soldiers are often forced to do and see things which are extremely emotionally
distressing and can lead to posttraumatic stress disorder (PTSD)

One way to try to understand the enormous complexity of a

phenomenon like violence that occurs at multiple, interconnected levels
is through a systemic or ecological model. is can help make sense of
the way in which different acts of violence impact upon society also at
multiple levels. Broadly speaking, violence can be understood as being
simultaneously both fragmenting and disempowering.

Fragmentation
Fragmentation refers to the breaking up or destruction of important
linkages, and can occur at each level of society. For example, at an
individual level, traumatic amnesia and dissociation are forms of
fragmentation associated with sexual abuse. At the small-group level,
acts of violence often break up family structures, with certain members
being expelled. At the community level, political action may disrupt
workplaces, schools, religious institutions and so on. Finally, at the
societal level, war may lead to fragmentation of whole societies.

Disempowerment
Disempowerment refers to people’s inability to fulfil their appropriate
functions in their families and communities, and in society more
generally. For example, workers can be disempowered when they have
been assaulted, and are therefore unable to work in order to provide for
their family.

Traumatic stress as an effect of

violence at an individual level
As suggested above, violence has wide effects upon people and society
(see also Chapter 22). Moments of overwhelming fear, horror or
helplessness, where we literally face death, are deeply distressing and
potentially life changing for the affected individuals.
While violence is a familiar and visible part of the world around us,
traumatic stress is a phenomenon of the internal or psychological world,
and is less directly observable. It is only through close examination of the
behavioural changes in people who have recently survived a violent
incident, and through survivors’ descriptions of their feelings and
thoughts, that traumatic stress can be understood.
Human beings, like other animals, have well-developed mechanisms
for surviving within a dangerous world. As a result, the majority of people
endure traumatic experiences without any lasting psychological
disturbance. Certainly these experiences are likely to cause a short period
(usually four to six weeks) of emotional upset. During this time, the
person may often feel anxious or afraid, and will spend a great deal of
time going over the traumatic experience in their memory. Although
often quite severe immediately after the event, these symptoms quickly
become milder and less frequent as the person returns to normal
functioning. During this time, it is helpful for friends and family to ensure
that the person feels safe and supported, and to assure them that what
they are experiencing is healthy and will pass.
A relatively small proportion of people do develop more lasting
problems, such as post-traumatic stress disorder or acute stress disorder.
is response varies substantially depending on the nature of the
traumatic event and the individual’s personal history. For this group, the
signs of traumatic stress do not reduce during the first four to six weeks
following the event, and often become worse. In these cases, it is likely
that the person will require substantial psychological intervention by a
traumatic stress specialist before they return to previous levels of
functioning.

Figure 20.3 A systemic or ecological model attempts to encompass complex phenomena at

multiple, interconnected levels
Four broad categories of symptoms are associated with traumatic stress:
re-experiencing, avoidance, arousal, and alterations in cognition and
mood (American Psychiatric Association, 2013).

20.2 VIOLENCE AND PREJUDICE

Source: Bar-tal and Labin (2001)
In 1996, researchers repeatedly measured the attitudes of a sample of Israeli adolescents towards
Palestinians, Jordanians and Arabs in general. An initial measurement was taken after a long period of
peace, a second measurement was taken one day after two major attacks on Israelis by Palestinians, and
a third measurement was taken three months later.
In the first measurement, Israeli adolescents held more positive attitudes towards Jordanians (Jordan
was at peace with Israel at the time) and Arabs in general, than towards Palestinians. However, following
the Palestinian attacks, attitudes towards all three groups became more negative. This provides a clear
demonstration of how violence and fear create greater difference between groups, even when those
groups are not in conflict with each other.

Re-experiencing symptoms
Re-experiencing symptoms are associated thoughts, feelings,
physiological responses and behaviours which remain with the person
long after the traumatic event is over. is may take the form of
memories, intrusive images, nightmares or flashbacks. For example, a
man who is recovering after a car hijacking might find that whenever he
gets behind the wheel, he thinks about the incident, his heart starts
racing and his palms become sweaty. Although the incident is in the past,
his mind and body still react to the triggers associated with being in the
driver’s seat.

Avoidance symptoms
Avoidance symptoms are strategies people use to try to prevent the fear
and pain caused by their ongoing re-experiencing of the event. Very often
people stay away from the people, places and activities that remind them
of the experience. For example, a bank employee whose life was
threatened during a bank robbery might find it easier to stay away from
work. It is also possible to avoid thinking about an event by blocking
thoughts and constantly distracting oneself. People also block painful
feelings, a strategy that is called ‘numbing’.

Arousal symptoms
Arousal symptoms are closely related to our highly developed survival
mechanisms. Following a traumatic experience, people often find it very
difficult to fall asleep and are easily woken, are often hyper-vigilant
(constantly alert to danger), very jumpy and quick to anger. For example,
a woman who was raped might find that she constantly scans groups of
people for the perpetrator.
It is important to remember that these different symptoms of
traumatic stress are signs that the person is working through a very
difficult experience. In cases where the symptoms are not reducing or are
getting worse, it is crucial that the person be encouraged to seek
professional assistance.

Alterations in cognition and mood

e traumatic event may also be associated with negative alterations in
cognition and mood. e person may struggle to recall key features of the
event (dissociative amnesia) and show a persistent and distorted sense of
blame towards self and others. e person may also become detached
from others or from the activities he/she usually participates in and
enjoys.
20.3 CONTINUOUS TRAUMATIC STRESS
Source: Eagle and Kaminer (2013)
Post-traumatic stress disorder (PTSD) may develop when a person has been exposed to traumatic
events which threaten his/her life. The range of events is very wide: assault, hijacking, bombings or
natural disasters. However, all of these events happen and then they are in the past. What about people
who are exposed to trauma on a continuous basis?
The notion of continuous traumatic stress (CTS) was developed in the 1980s in South Africa by
Professor Gill Straker and the Sanctuaries counselling team who had been working with victims of state
oppression in the apartheid era. The victims could be treated and helped with therapy, but they faced
the likelihood of repeated victimisation and it became clear that a different approach was needed. Over
time, a growing literature demonstrated the research being done in this area.
Eagle and Kaminer (2013) re-examined and reconceptualised the idea of continuous traumatic stress
They proposed that there are four key characteristics of CTS. The first relates to the context in which CTS
occurs. This may be a conflict zone, where the threats are unpredictable and impersonal, or where there
is ongoing community violence, or where people have been displaced by warfare or xenophobia. The
second characteristic relates to the temporal location of the traumatic stressors. As noted above, PTSD
refers to previous trauma; in CTS, affected people are primarily concerned with the present and future
safety. Third, there is a need to distinguish between real and perceived or imagined threats. Victims of
CTS may struggle to make this distinction and be accused of being paranoid – it is important in this
situation for counsellors to be open to the idea of realistic threat, especially in circumstances where
there is little protection for the victim. The fourth characteristic relates to this lack of protection. In
contexts that make people vulnerable to CTS, there is often a breakdown in law and order. Indeed, in
the South African apartheid context, the law was part of the problem.
Eagle and Kaminer (2013) note the need for further research into whether the CTS response should
be considered pathological or adaptive under the traumatic circumstances. In addition, they note the
need for changes at community and society levels, as well as alterations to existing therapeutic
approaches.
 SUMMARY

• The impact of violence is felt at many levels: individual, small group, community and society as a
whole.
• Violence at any level typically also impacts upon other levels; therefore a systemic or ecological
model provides the most helpful explanatory approach.
• Violence may lead to fragmentation at any level of society. It may also lead to a sense of
disempowerment.
• At the individual level, violence may involve fear, horror or helplessness, and be deeply distressing
and potentially life changing.
• Traumatic stress is an internal phenomenon, individual to the person who experiences it. With
support, most people recover within four to six weeks. However, some people continue to
experience symptoms and may need professional help.
• Four broad categories of symptoms are associated with traumatic stress: re-experiencing,
avoidance, arousal and alterations in cognition and mood.

Violence prevention and recovery

If the effects of violence are understood to be disempowering and
fragmenting, then it stands to reason that interventions to prevent
violence and to assist in dividuals, families and communities to
overcome their traumatic experiences resulting from violence should be
empowering and re-integrating. is process helps affected people and
communities regain mastery or control over their lives. is is illustrated
in Figure 20.4.
Psychologists and other mental health activists have an important role
to play in helping individuals, families and communities whose lives
have been disrupted by violence return to healthy social and
psychological lives. ese interventions differ depending on the level of
the ecological model.
Figure 20.4 An approach to violence prevention

Individual-level interventions
Violence-prevention initiatives at the level of the individual include
programmes teaching children and young adults how to resolve conflicts
non-violently ( empowering), and helping children to identify protective
places and adults in their community (linking).
e majority of services for individuals are run by counsellors whose
main purpose is to reassure people that what they are feeling is normal,
and to support them through the painful process of coming to terms with
their traumatic experience. ese counsellors are also equipped to
recognise when a person needs more specialised assistance to deal with
the event. In this case, counsellors refer their clients to trauma specialists
who will use a range of trauma therapies to assist them.

Small-group-level interventions
Family counselling helps families to communicate more effectively and
can help reduce domestic violence (empowering and linking). Other
examples of small-group intervention strategies are helping youth gangs
that survive by crime to find other ways to earn a living (mastery), and
training teachers to identify and report child abuse responsibly
(empowering).
erapeutic group work depends on the principle that people are able
to offer each other deep support and assistance during times of crisis.
Support groups exist for various people, including survivors of rape, child
abuse and violent crime. Where trauma occurs within a school or
workplace, the most effective form of intervention might be to mobilise
the care and support of others in the classroom or work team.

Community-level interventions
Projects that bring people who live in a particular area together to
establish a neighbourhood watch system (linking and empowering) are a
community-level intervention strategy, as are local awareness and public
information campaigns.
In some cases, whole communities are affected by violence. is is
particularly true in situations of civil conflict, or following acts of
terrorism. In these situations it is important to mobilise local community
structures such as faith organisations, schools, youth clubs and sports
teams, as well as local media and businesses. Community activists can
help people to pool their material and emotional resources in order to
meet the challenge of trauma resulting from violence.

Societal-level interventions
Intervention strategies that deepen the democratic process in a country
(mastery) and encourage people to value diversity (linking) are some
ways in which peace is built (see also later in this chapter). Other
examples of so cietal-level interventions are changes to the criminal
justice system, such as the provision of special courts for child victims of
violence (empowerment) or projects to increase the cooperation
between different agencies responsible for law enforcement
 (empowerment) and conflict resolution in times of unrest and war
(linking).
e South African Truth and Reconciliation Commission gave people
whose lives had been disrupted by violence an opportunity to have their
suffering recognised. Similar interventions are required to provide
appropriate services to veterans of South Africa’s conflict-filled past, and
to provide all victims of violence with the necessary support and care to
take back control over their own lives and well-being.
Integrated strategies that operate at multiple levels are the most likely
to be successful. us, for example, an attempt to reduce the incidence of
sexual violence in a community would do well to start with an intensive
awareness and information campaign. is might be accompanied by
special training for local police officers and social workers to assist them
to identify potential problems and respond effectively. Furthermore, an
anger management support group would complement these
interventions.

SUMMARY

• If the effects of violence are seen as disempowering and fragmenting, then violence and trauma
interventions should be empowering and re-integrating. Interventions will differ depending on the
level at which the trauma was experienced.
• At an individual level, interventions may include conflict resolution programmes and helping
children to identify protective places and adults in their community. Counsellors assist and support
people, and refer them to specialists if necessary.
• At the small-group level, interventions include family counselling, training for youth gang
members, and training teachers to identify and respond to child abuse. Support groups can also be
helpful and effective.
• At the community level, interventions include neighbourhood watch systems, as well as local
awareness and public information campaigns. Local community structures (schools, faith groups),
local media and businesses can also be mobilised.
• Interventions at the societal level may include changes to the criminal justice system, projects to
increase cooperation between law enforcement agencies, and conflict resolution initiatives.
• Integrated strategies that operate at multiple levels are the most likely to be successful.
 20.4 VIOLENCE AND TRAUMA IN A STUDENT POPULATION
Source: Hoffman (2002)
A study of traumatic exposure and trauma symptoms in a South African tertiary institution reveals the
links between violence and trauma in a student population.
Two-hundred-and-forty-five students completed questionnaires designed to find out what traumatic
experiences each student had been exposed to in the previous year, and how those experiences had
impacted upon their emotional functioning. More than two-thirds of the respondents reported one or
more traumatic events, with women reporting more than men.
The most frequent event was the death of a loved one, followed by negative changes to life
circumstances. After this came the witnessing of serious injury or death. Intrusive thoughts and
avoidance strategies were associated with many traumatic experiences, especially violent robbery and
unwanted sexual activity.

Peace psychology

e last few decades have seen a number of global problems, such as

growing hostilities between and within different groups; political,
religious and economic refugees fleeing their homes; and the increasing
militarisation of societies. As a result, as suggested in the first half of this
chapter, the field of psychology has had to critically review and
reconceptualise its understanding of issues related to violence, conflict
and peace. Peace studies, as a distinct field of psychology, began to
emerge from about the 1980s onwards (see Box 20.6).
e discipline of psychology has tried to prevent violence and
promote peace by addressing issues such as the behaviour of groups,
social interactions between members of different groups (including
intergroup conflict), social identity and psychosocial healing. More
recently, there have been various theoretical developments that have
served to shape peace psychology as a field of research and practical
intervention (Christie, Tint, Winter & Wagner, 2008). Accordingly, peace
psychology seeks to develop theories and practices directed at the
prevention and reduction of direct and structural violence (as seen in the
previous section), and the promotion of peacemaking and
peacebuilding (Christie, Wagner & Winter, 2001).
is section will focus on the concepts of peacemaking and
peacebuilding, review the major assumptions underpinning the theory
and practice of these peace processes, and highlight the differences
between the two concepts.

Peacemaking
According to Christie et al. (2001), peacemaking refers to a range of
methods directed at reducing the occurrence and intensity of direct,
episodic violence (see other definitions of violence at the beginning of
this chapter). Direct violence refers to violence that harms the
psychological or physical well-being of individuals or groups. Examples
of direct violence include genocide, torture and sexual violence during
armed conflicts.
Peacemaking is commonly associated with the concept of
peacekeeping, which evolved from the founding of United Nations (UN)
missions to respond to environments of war across the world, and to
prevent the reoccurrence of war (Langholtz & Leentjies, 2001). For
example, UN missions to Africa have included the deployment of UN
personnel to countries such as Somalia, Rwanda and Angola to monitor
the implementation of peace agreements, to serve as a preventative
military barrier between warring factions, to assist in the coordination of
humanitarian aid to relief workers and the civilian population, and to
allow for the safe return of refugees (Shawcross, 2001).
While both peacemaking and peacekeeping refer to actions intended
to lessen the probability of individuals and nations engaging in violence,
peacemaking is recognised as a more proactive approach to peace,
advancing methods to encourage positive and non-violent relations
among adversaries. Peacekeeping, on the other hand, generally relies on
the presence of neutral forces to manage rather than resolve conflict.
20.5 RESPONDING TO HUMANITARIAN CRISES
Wars and disasters often leave hundreds or thousands of people destitute and emotionally traumatised
It is common in such situations for the international community to mount large-scale humanitarian
crisis response programmes. Common to many such programmes is the screening of large portions of
the population for signs of post-traumatic stress disorder and other psychosocial problems, publication
of self-help material, training of lay counsellors to offer care and support, as well as the establishment of
various kinds of support groups and structures within communities.
Such interventions are typically gratefully received by the intended beneficiaries. However, while the
psychologists who design and implement these services are convinced of their usefulness, and often
argue that without such intervention a return to a healthy peaceful society would be difficult, there is
seldom rigorous scientific evidence to support this argument.
Critics of these large-scale intervention programmes argue that such work has very little benefit
whatsoever, and in fact may even be damaging to individuals, families and the community at large
(Summerfield, 1999). This argument is based on several important points:
The interventions are too short, and international traumatic stress experts spend too little time in the
country undergoing the crisis to understand the social and historical dynamics well enough to design
effective interventions.
The psychosocial interventions tend to be based on a very particular, Western understanding of people,
community and mental health. What is generally understood to be healthy or unhealthy in the US may
not be appropriate when applied to people in rural Swaziland or Chile. These attempts to identify
people in need of psychosocial assistance might falsely identify people who are actually coping well,
and miss many people who are not.
Even if screening processes do correctly identify people with post-traumatic stress disorder or other
severe psychosocial problems, these people often do not receive the care that they need. This is
because resources are typically very limited in humanitarian crises, especially once the need to supply
medical treatment, housing and food is taken into account. It is of little use to provide people with a
diagnosis if appropriate treatment cannot be offered as well.
Healthy communities have inbuilt mechanisms that protect the community and its members from the
effects of disaster and warfare. It seems sensible to think that these mechanisms might be far more
effective than those applied from outside the community. Moreover, by imposing an external approach
to healing, it is possible that the intervention will damage the long-standing internal healing
mechanisms of that community.

And yet, when crises do occur, it is very difficult for the international traumatic stress community to
stand back and not try to offer assistance. The challenge is to find ways of assisting in times of largescale
crises that are based in the cultural, spiritual and historical context of the community in question, and
which are effective and sustainable in the long term. This might include advocacy work on the part of
the international community to ensure that social and spiritual structures are protected and supported
in times of crisis, channelling resources to local, community-based organisations, and providing
appropriate capacity building for local healers.

Conflict resolution
To a large extent, the theory and practice of peacemaking are informed
by the notion of conflict resolution, which is defined as a process that
provides techniques to deal with disputes in a manner which is non-violent, avoids
dominance or oppression by one party over the other, and, rather than exploiting one party,
aims to meet the human needs of all (Sanson & Bretherton, 2001, p. 193).

e practice of conflict resolution uses knowledge of psychosocial

processes to build on the positive potential inherent in conflict, and to
minimise its destructive consequences (Sanson & Bretherton, 2001). is
approach coincides with the values of peace. It uses methods that
promote dialogue, empathy and win–win consequences, and it
acknowledges the influence of the social context within which conflict is
embedded.
Sanson and Bretherton (2001) have identified four basic principles
that underlie most approaches to conflict resolution:
• Conflict resolution is supported by cooperation and not competition.
• Integrative solutions are pursued through mediation and direct
negotiation.
• e interests of all parties are understood and responded to as they
are all considered to be equally legitimate.
• Both the conflict resolution process and its outcome are non-violent.

e application of these principles includes involving an objective third

party to act as a mediator, and employing active listening skills to ensure
that the interests of all parties are heard. It also involves acknowledging
emotions and encouraging their responsible expression. Other strategies
include the use of brainstorming to generate creative solutions, and the
promotion of ‘I/we’ statements to avoid criticism or blaming (e.g. ‘I need
…’ or ‘We are concerned about …’).

The cultural context of peacemaking

Much of the theory on conflict resolution has been developed in North
America and reveals a clear lack of sensitivity to the influence of the
sociocultural context in conflict resolution processes. ere is thus a
growing awareness of the need to integrate ideas, practices and
experiences of multiple cultures and contexts into existing peacemaking
knowledge.
e contemporary viewpoint emphasises that people’s ideas about
conflict and conflict resolution are shaped by their specific cultural
contexts. For example, Pederson (2001) observed that cultures outside of
Western settings typically display a collectivist approach to conflict
resolution. In these contexts, the emphasis is placed on social cohesion,
reciprocal role obligations, and ritual and spirituality to symbolise peace
settlements. In contrast, Western cultures typically attach less value to
the significance of context. ey tend to take an individualistic
perspective, where individual freedom, rights and autonomy, a
controlling attitude to confrontation, and the confidentiality of
negotiations are emphasised. However, one approach is not necessarily
more effective than the other; instead, this discussion cautions against
cultural insularity, and encourages the maintenance of cultural integrity
in seeking solutions to conflict between groups.

20.6 THE CONCEPTUALISATION OF PEACE PSYCHOLOGY

The early conceptual development of peace psychology was largely influenced by the cold war era and
the hegemony of Euro-American psychology. The Cold War (1947–1991) refers to the continuing
political conflict and tension between the US and the Soviet Union following World War II. Against this
backdrop, most American peace psychologists focused their attention on the prevention of nuclear war
(see Christie et al., 2008), while issues related to social reconstruction were considered to be primarily
the domain of political scientists and politicians.
Consequently, psychological scholarship on peace and war during this time remained limited to the
levels of theoretical analysis, research and application. In South Africa, organised professiona
psychology maintained this conceptual position, sometimes actively colluding with the ideology of
racism prior to and during the apartheid era (see Suffla, Stevens & Seedat, 2001).
In contrast, groups of progressive psychologists in other parts of Africa and Latin America increasingly
challenged the status quo of mainstream psychology and, in particular, its exclusion of socia
transformation as a goal. Influenced by the ideas of scholars such as Frantz Fanon (see Fanon, 1967),
critique by these groups gave shape to the conception of liberation psychology, a form of peace
psychology that focuses on activism towards promoting social justice (see Dawes, 2001). The expansion
of liberation discourses within psychology, together with the shifting global and national landscape of
conflict and violence, compelled peace psychology to reconceptualise its theoretical basis. Although
still questioned by some, the current conceptualisation of peace psychology mainstreams the principle
of social justice.
 e need for cultural sensitivity is evident in reported psychosocial
interventions during times of conflict and post-conflict reconstruction. In
reflecting on her ex periences of trauma reduction work under war
conditions in Bosnia, Agger (2001) stressed the value of incorporating
indigenous healing methods into efforts to reduce the traumatising
effects of conflict and violence. Likewise, in their work on demobilising
and socially reintegrating former child soldiers in Angola after the 1992 to
1994 conflict, Wessells and Monteiro (2001) emphasised the inclusion of
local communities and culture in the construction of a culturally centred
approach to healing.
In this respect, the National Peace Accord Trust in South Africa has
adopted an innovative approach to addressing the social and emotional
scars of militarised youth. eir approach recognises that conventional
counselling methods may be ineffective in this context and instead draws
together former enemies in a process of wilderness therapy in the
Drakensberg Mountains of KwaZulu-Natal (Schell-Faucon, 2001).
Wilderness therapy provides space for groups of participants to work
through the effects of violence; it aims to promote open communication,
self-reliance, self-respect and assertiveness.
Wessells and Monteiro (2001) strongly suggest that the political,
economic and social strategies typically implemented to facilitate the
transition from violence to peace must include psychosocial
interventions to interrupt cycles of violence and promote reconciliation.
In this way, the role of psychologists in reconciliation and reconstruction
in the aftermath of conflict is highlighted.

Reconciliation within the peace framework

Reconciliation, including the concepts of truth, forgiveness and healing,
is considered to be central to the psychological and spiritual dimensions
of peacemaking. Reconciliation is thought to rest on the process of
rebuilding relationships and should include a range of actions (Hamber
& Kelly, 2004). ese actions include:
• developing a shared vision of an interdependent and fair society
• acknowledging and dealing with the past
• building positive relationships
• significant cultural and attitudinal change
• substantial social, economic and political change (Hamber & Kelly,
2004).

Many psychologists agree that reconciliation necessarily implies the

expression of a range of painful emotions, including anger, grief and guilt
(De la Rey, 2001).
e reconciliation process is a frequent feature of truth commissions
(Crawford, 2000; De la Rey, 2001). According to Crawford (2000), truth
commissions attempt to heal the wounds of the past though the
recognition of victims’ pain, the acknowledgement of wrongdoing by
perpetrators, and the disclosure of the truth about past events. A local
example is the South African Truth and Reconciliation Commission
(TRC) (see Box 20.7). Among other things, the TRC was intended to
provide the opportunity for victims to publicly tell their stories of human
rights abuses in a supportive context and to grant amnesty to
perpetrators of human rights abuse who offered full disclosure about the
crimes that they had committed. Individual, community and national
healing and reconciliation were thus promoted. Many South Africans
consider the TRC to have ultimately played only a marginal role in the
psychosocial, political, economic and social reconstruction process of
South African society. On the other hand, some observers have suggested
that, through public truth telling, the TRC served as an adequately
cathartic medium, particularly for black South Africans (e.g. Knox &
Quirk, 2000).
In this regard, psychologists provided support to some of the victims
testifying at public hearings. Psychologists also provided testimony at
special hearings on children, youth, women and the health sector,
conducted assessments of some perpetrators, and to some extent
contributed to scholarly debate on the TRC and the issue of
reconciliation.
When successful, peacemaking can contribute to the building of a
peaceful society – one in which the structural arrangements and cultural
narratives are directed at promoting human security and well-being, and
reducing inequality and oppression.
20.7 THE SOUTH AFRICAN TRUTH AND RECONCILIATION
COMMISSION
The promulgation of the Promotion of National Unity and Reconciliation Bill in 1995 formalised a 17-
member commission to facilitate a truth and recovery process aimed at reconciliation. The mandate of
the TRC, as a statutory agent of national unity and reconciliation, was to:
establish as complete a picture as possible of the nature, causes and extent of past gross human rights
violations
provide reparation and rehabilitation to victims of abuse
grant amnesty to perpetrators of human rights abuses who offer full disclosure about the crimes that
they committed
formulate a set of recommendations to the President with respect to the creation of institutions
conducive to a stable and fair society, and measures to prevent future human rights violations
compile a report publicising the proceedings and findings of the TRC.
To assist in the implementation of these objectives, the legislation established three committees within
the TRC:
the Committee on Human Rights Violations – to conduct public hearings throughout the country
the Committee on Amnesty – to consider applications for amnesty from those who have committed
political crimes
the Committee on Reparation and Rehabilitation of Victims – to formulate recommendations on how to
implement a reparations policy (De la Rey, 2001).

Available literature on the TRC includes a number of analytical commentaries on the process. This body
of literature can be examined to gain a more critical understanding of the overall TRC process. (See De la
Rey, 2001; Foster, 2000; Foster & Nicholas, 2000; Hamber, 1995; James & Van der Vijver, 2001; Van der
Merwe & Chapman, 2008.)
 SUMMARY

• Peace psychology emerged from the 1980s in response to global problems and hostilities. This
discipline has tried to prevent violence and promote peace by various means. More recently, there
have been various theoretical developments that have shaped peace psychology as a field of
research and practical intervention.
• Peacemaking refers to a range of methods directed at reducing the occurrence and intensity of
direct, episodic violence. It is commonly associated with the concept of peacekeeping. Both are
intended to reduce the likelihood of violence, but peacemaking is a more proactive approach.
• Conflict resolution deals with disputes in a non-violent and fair manner. It aims to minimise the
destructive consequences of conflict and violence. There are four basic principles that underlie
most approaches to conflict resolution: cooperation, not competition; mediation and direct
negotiation; seeing the interests of all parties as equally legitimate; and ensuring that both the
process and its outcome are non-violent.
• Most of the conflict resolution theory is Western based and not sensitive to the influence of the
sociocultural context in conflict resolution processes. Cultures outside of Western settings typically
display a collectivist approach to conflict resolution. Various approaches may be effective.
Psychosocial interventions should be included in order to interrupt cycles of violence and promote
reconciliation.
• Reconciliation, including the concepts of truth, forgiveness and healing, is considered to be central
to the psychological and spiritual dimensions of peacemaking. Reconciliation processes are
frequently evident in truth commissions.

Peacebuilding
Peacebuilding aims to alleviate structural violence. Structural violence
refers to the social domination, political oppression and economic
exploitation of individuals and groups (Montiel, 2001) (see ‘State and
collective violence’ earlier in this chapter). Some examples of structural
violence in the 21st century include globalisation (which has contributed
to vast inequalities in wealth – see Chapter 18) and the coercive influence
of militarisation.
It is known that factors such as excessive concentrations of political
power and social privilege tend to contribute to conflict between groups.
Clearly then, efforts to redress these inequalities should entail the
creation of local, regional and global conditions conducive to social
transformation. Peacebuilding is thus conceptualised as:
 a movement towards social justice, which occurs when political structures become more
inclusive by giving voice to those who have been marginalised in decisions that affect their
well-being, and economic structures become transformed so that those who have been
exploited gain greater access to material resources that satisfy their basic needs (Christie,
2001, p. 277).

Peacebuilding initiatives are not only directed at structural

reconstruction, but also at the transformation of cultural discourses that
maintain oppression and exploitation; they are thus intended to address
the root causes of the conflict (Hamber & Kelly, 2004). Christie (2001)
argues that peacebuilding considers the broad, macro-level origins of
violence, so that it can bring about the development and execution of a
critical consciousness that challenges the existing situation.
Interventions may include socioeconomic and community development,
building effective government and social reconstruction, among others
(Hamber & Kelly, 2004). is position stresses the idea that a new social
order must address peace not only in terms of preventing or resolving
conflict, but also in terms of pursuing social justice. While they appear to
be theoretically distinct concepts, peacemaking and peacebuilding are
considered to represent an interlocking system of peace (Christie et al.,
2001; Hamber & Kelly, 2004) (see Table 20.1).
Table 20.1 Differences between peacemaking and peacebuilding (adapted from Christie et al.,
2001)

Peacemaking Peacebuilding
Addressing direct violence Addressing structural violence
Focusing on non-violent means Focusing on socially just ends
Preventing violence Promoting social justice
Responding to the threat/use of Responding to long-term structural
violence inequalities

Dominant themes in peacebuilding

A comprehensive overview of scholarship on the various understandings
and applications of peacebuilding identifies some dominant themes
(Christie, 2001):
• challenges to dominant cultural discourses
• the honouring of multiple voices and the coconstruction of social
change
• the adoption of an activist agenda
• the sustainable satisfaction of basic human needs.

ese will be examined in detail below.

Challenges to dominant cultural discourses

Challenges to dominant cultural discourses question those discourses
that support structural violence. For example, peace psychology has been
criticised for lacking a gender perspective, thereby marginalising the
views and contributions of women in peacebuilding efforts (McKay & De
la Rey, 2001). Despite evidence that demonstrates women’s central role
in the promotion of peace (see Box 20.8), the dominant gender
discourses on peace and violence continue to place women as merely
victims and/or survivors of violence (Suffla & Seedat, 2003). It is thus
argued that peace psychology needs to include women’s perspectives at
all levels of theory and practice.

The honouring of multiple voices and the co-

construction of social change
e second theme foregrounds the idea that peacebuilding involves
multiple social agents, and that social change is co-constructed. In terms
of knowledge production, for example, the ways in which knowledge is
produced, transformed and applied in certain communities are often
marginalised in favour of modern scientific knowledge (Le Grange, 2000).
Silences have been imposed on cultures that hold different ideas about
peace and social justice.
e preferred paradigm of peacemaking takes multiple voices into
account, making sure no-one is excluded. It also recognises that
knowledge is embedded in a system of social, cultural and economic
representations, and argues for the merging of scientific and indigenous
knowledge systems.

The adoption of an activist agenda

As a form of peace psychology, liberation psychology is concerned with
issues of social empowerment, emancipation and transformation, and
the needs of the politically and economically oppressed (Dawes, 2001).
ese concerns can be seen in the third theme of peacebuilding, which is
activism as an essential component in the pursuit of social justice and the
process of social change. Dawes (2001) and Suffla et al. (2001) detail the
activist agenda that informed the contributions of groups of progressive
South African psychologists in response to the violence of apartheid,
prior to the transition to democracy in 1994. Primarily, the activism of
these psychologists involved efforts to dismantle apartheid and to induce
social transformation. ey called attention to the psychological effects
of human rights violations, and transferred psychological skills to lay
helpers so as to enable victims and survivors of violence to access
support services. For a detailed description and discussion of the
emergence of liberation psychology within the South African context,
see: Dawes (2001), Nicholas and Cooper (1990), Seedat (1997) and Suffla
et al. (2001).
 20.8 THE ROLE OF LOCAL WOMEN IN PEACEBUILDING: A
SOUTH AFRICAN CASE STUDY
Peacebuilding includes a focus on strengthening local level capacity as a way of building sustainable
social, political and economic structures in post-conflict societies (Hamber & Kelly, 2004). This motivation
is underpinned by the contention that peacebuilding that is characterised by participation and
ownership of the process of social change is more likely to contribute to enduring peace (Hamber &
Kelly, 2004).
An excellent example of local capacity development is the case of a group of black women
volunteers involved in peace and safety promotion work within a historically marginalised context in
South Africa (Suffla & Seedat, 2003). Through their association with the Neighbourhood-based Safety
Promotion Programme, implemented by the University of South Africa’s Institute for Social and Health
Sciences, the women have adopted the principles of equality, peace and development as an organising
framework for their violence prevention and peace promotion efforts. Their activities are supported by
ongoing training, and include environmental upgrading, social development and support through a
range of activity groups, home visitation, home-based after-care, advocacy and lobbying. The
programme serves to nurture and promote local level peace processes, thereby mainstreaming the
contributions of one of the most marginalised groups in South Africa.
The participation of local peace agents supports the idea that social change is co-constructed
Research directed at examining the women’s accounts of their involvement in peace promotion work
indicated that they construct their contribution in the following ways (Suffla & Seedat, 2003):
Addressing the legacy of apartheid
Building a culture of human rights
Organically expressing historical roles
Empowering individuals and groups.

Research of this nature acknowledges the validity and range of the knowledge and perspectives of
women, thereby challenging the dominant cultural narratives that unwittingly support structura
violence.

The sustainable satisfaction of basic human needs

Finally, the notion of peacebuilding as the sustainable satisfaction of
basic human needs is central to many discussions on peacebuilding.
Structural violence in evitably results in certain people being deprived of
food, shelter, health care and other resources essential for normal human
development and growth. According to Montiel (2001, p. 285), structural
peacebuilding therefore necessarily implies social arrangements wherein
‘all groups have more equitable control over politico-economic resources
needed to satisfy basic needs’.
 As discussed earlier in this chapter, various approaches have been
proposed to ensure equal access to resources. ese have included
empowerment-oriented interventions at the individual level and the
small-group level (e.g. skills training), the community level (e.g. advocacy
and lobbying) and at the societal level (e.g. the development of
cooperatives) (Webster & Perkins, 2001).

Actions that psychologists can

employ to promote peace
Psychologists can contribute to peace processes in a number of ways.
Some of these measures overlap with the violence-related interventions
discussed earlier in this chapter. Actions may include peace education
directed at the development of conflict resolution skills, psychosocial
interventions to reduce conflict within families and communities, and
the ongoing development of knowledge on the theory and practice of
conflict, violence and peace.
Psychologists can also contribute through participation in the public
arena, reaching larger numbers of people, formulating social policy
aimed at the institutionalisation of social justice, and extending the level
at which they can intervene (Wessells, Schwebel & Anderson, 2001).
Wessells et al. (2001) propose four avenues for accomplishing these
goals:
1. Peace psychologists should engage in sensitisation or consciousness
raising to contribute to agenda setting and public dialogue. is can
be done through the utilisation and dissemination of psychological
knowledge and skills, such as drawing attention to the psychosocial
consequences of human rights abuse through the mass media.
2. Peace psychologists should offer expertise on issues of social justice
and peace. Consultation services could include a focus on training,
education, research, programme design and evaluation, and human
rights monitoring.
3. Peace psychologists should see themselves as activists. Projects of
activism would consider issues of nonviolence, empowerment and
mobilisation, critical discourse at multiple levels, and the
establishment of psychological organisations committed to
mobilising for peace.
4. Peace psychology is considered to have an influential role to play with
respect to public policy. Peace psychologists could intervene at this
level through conducting research to inform policy development, and
offering psychologically informed critiques of existing policies. ey
could also monitor policies, mobilise public opposition to destructive
policies and advocate for policies based on sound psychological
knowledge.

In effect, such a framework for action translates into a position that

constructs peace as a political process and rejects the notion of neutrality
at the levels of both science and practice.

Figure 20.5 Collective peace initiatives may be political (left), or non-partisan (right)
 SUMMARY

• Peacebuilding aims to alleviate structural violence which is the social domination, political
oppression and economic exploitation of individuals and groups. Its goal is social justice.
• Peacebuilding is aimed at structural reconstruction and transformation of cultural discourses that
maintain oppression and exploitation.
• There are several dominant themes in peacebuilding:
» challenges to dominant cultural discourses
» involving multiple voices because social change is co-constructed
» including an activist agenda (e.g. liberation psychology)
» the sustainable satisfaction of basic human needs.
• Psychologists can contribute to peace processes in a number of ways: peace education,
psychosocial interventions to reduce conflict, and ongoing development of the theory and
practice of conflict, violence and peace.
• Psychologists can also contribute through participation in the public arena:
» consciousness raising to contribute to agenda setting and public dialogue
» offering expertise on issues of social justice and peace
» engaging in peace activism
» informing public policy development through research and critique of existing policy.

Conclusion
Violence prevention and care for survivors of violence are deeply
interrelated, as are concepts of peacemaking and peacebuilding. us,
efforts to mitigate and resolve conflict are inextricably linked to the
process of transforming unjust social conditions into more equitable
and peaceful structures. In a just society, healthy people can and do
live together without violence. Violence prevention ensures that fewer
people will be hurt by traumatic ex periences, and healing the damage
done by trauma plays an important role in preventing future violence.
Work in the fields of violence, traumatic stress and peace
psychology represents a major challenge to social scientists and
mental health workers today. ere are a number of important factors
to be careful of in relation to peace psychology. ese include cautions
against:
• cultural insularity and the resultant marginalisation of voices and
knowledge located outside the dominant paradigm
 • the universal application of dominant values and traditions
• polarisation of different knowledge systems
• an inattentiveness to the contextual dimensions of peace
processes.

It is important for psychologists to develop a more critical conception

of the role of psychology in building peace. e 21st century continues
to be characterised by warfare, atrocities against women and children,
ethnic conflict and severely oppressive social structures. Psychology
therefore needs to continue to question and expand its orientation
towards social justice. e pursuit of social justice and the quest for
human security, particularly as it relates to the African context, should
indeed be a central concern and responsibility of psychology in Africa.

KEY CONCEPTS

arousal symptoms: symptoms of traumatic stress where, for example,

people often find it very difficult to fall asleep and are easily woken, are
constantly alert to danger, very jumpy and quick to anger

avoidance symptoms: symptoms of traumatic stress whereby people

try to avoid the fear and pain caused by their ongoing re-experiencing
of an event
conflict resolution: a process that deals with disputes in a non-
violent manner, avoiding dominance of one party over the other and
aiming to meet the human needs of all
direct violence: violence that harms the psychological or physical
well-being of individuals or groups
disempowerment: people’s inability to fulfil their appropriate
functions, personally, in their families, in their communities and in
society more generally
dissociation: mental condition involving loss of integration of
functions of the consciousness; can affect identity, memory, sensory
functions, motor functions and cognitive functions
domestic violence: acts of violence such as active abuse or neglect of
children, battery of spouses or the abuse of elderly people that occurs
within families and homes, and between people living close together
peacemaking: a range of methods directed at reducing the
occurrence and intensity of direct, episodic violence
fragmentation: the breaking of important linkages at any level of
society in the face of violence
liberation psychology: a form of peace psychology that is concerned
with issues of social empowerment, emancipation and
transformation, and the needs of the politically and economically
oppressed
modelling: a process whereby people learn behaviours by watching
others
peacebuilding: a process that aims to alleviate structural violence by
transforming oppressive cultures and changing them into just and
inclusive political and economic systems
peacekeeping: a process where the presence of neutral forces is used
to prevent or decrease episodes of violence in contexts characterised
by conflict and hostility
peace psychology: a distinct field of psychology that seeks to develop
theories and practices directed at the prevention and reduction of
direct and structural violence, and the promotion of peacemaking
and peacebuilding
re-experiencing symptoms: thoughts, feelings, physiological
responses and behaviours that are associated with a traumatic event
and remain with a person long after that person has experienced the
traumatic event
reinforcement: occurs when particular behaviours are rewarded or
punished
self-directed violence: acts of violence that are directed towards the
self, most notably suicide and self-mutilation
sexual violence: acts of violence that take on a sexual form, such as
rape, sexual assault, child sexual abuse, molestation, or sexual
harassment in the workplace or other social arenas
 socio-biological explanations of violence: explanations that argue
that human beings, like most other animals, have an innate capacity
for violence
state and collective violence: acts of violence that occur within and
between nations
structural violence: the social domination, political oppression and
economic exploitation of individuals and groups
traumatic amnesia: memory loss following a traumatic experience
violence for material gain: acts of violence, such as muggings, armed
robberies, hijackings and cash-intransit heists that are motivated by
the desire for material gain

EXERCISES

Multiple choice questions

1. According to NIMMS, what is the most common age range for death
as a result of non-natural causes?
a) 5 to 14 years
b) 15 to 24 years
c) 25 to 34 years
d) 35 to 44 years.
2. According to the World Health Organization’s definition of violence,
which of the following acts would not be considered violent?
a) a teacher spanking a naughty child
b) a parent spanking a naughty child
c) accidentally knocking a child over in the playground
d) knocking a child over in a playground fight.
3. What is the name given to models that present society as having
multiple, hierarchically arranged levels?
a) scientific models
b) social learning theory models
c) social identity theory models
d) ecological models.
4. Which of the following is an avoidance symptom of traumatic stress
as described by the American Psychiatric Association (2013)?
a) nightmares
b) sleeplessness
c) difficulty concentrating
d) not wanting to talk about the experience.
5. According to the American Psychiatric Association (2013), how long
does it typically take a healthy person to recover from a single
traumatic experience?
a) four to six weeks
b) four to six months
c) four to six years
d) most people never recover from traumatic experiences.
6. Peace psychology is aimed at:
a) the reduction of direct and structural violence
b) conflict resolution
c) the promotion of social justice
d) all of the above are correct.
7. e core principles of conflict resolution include:
a) empathy and unconditional positive regard
b) psychosocial resolution
c) collaboration
d) ‘I/we’ statements.
8. e dominant themes underlying the application of peacebuilding
include:
a) reconciliation
b) mediation
c) activism
d) the satisfaction of psychosocial needs.
9. e focus on women’s contributions to peace processes is important
because:
a) peace psychology always acknowledges women
b) women are peacemakers by nature c) more women than men
practice traditional healing
 d) none of the above is correct.
10. Liberation psychology is concerned with:
a) human security
b) indigenous knowledge systems
c) social justice
d) all of the above are correct.

Short-answer questions
1. List the five broad categories of violence mentioned in this chapter,
and provide examples of each.
2. Describe a situation that you have witnessed or read about where a
group of people have perpetrated an act of violence. Provide an
explanation for this event based upon what you have read in this
chapter about how people in groups behave.
3. Consider the case of a child being severely beaten at school. How do
the concepts of ‘disempowerment’ and ‘fragmentation’ apply to this
situation?
4. Based on the case described in question 3, outline an effective
violence prevention intervention for this situation.
5. What is peace psychology and what are some of the issues that it aims
to address?
6. Imagine that you are a peace psychologist, and have been selected to
mediate between two warring factions in South Africa. e dispute
appears to be related to the ownership of land. Describe your strategy
and provide a rationale for your plan of action.
7. Discuss the role of peace psychologists in the pursuit of social justice
in the African context.
8. Present your opinion of the form that the peace process could take in
contexts currently embroiled in conflict (e.g. the Arab-Israeli conflict
in the Middle East, or the India-Pakistan conflict over Kashmir).
9. How would you support the contributions of South African women to
national peace processes?

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 PART 7

Psychology and health

 Introduction
Inge Petersen

Health psychology is one of the fastest-growing areas of psychology

throughout the world, and with good reason. With the increase in chronic,
degenerative illnesses and behaviour-related illnesses such as cancer,
HIV/AIDS and substance abuse, it has become clear that it is no longer
sufficient to think of health and illness only in terms of the functioning and
malfunctioning of the body. There has been an increasing awareness of how
psychological, social and cultural factors are linked with biochemistry and
physiology. Health psychology attempts to understand how the mind–body
relationship influences why people become ill, how they respond to
treatment and how they stay well. Health psychologists are concerned with
the prevention and treatment of illness and disability, the promotion and
maintenance of good health, ways of coping and adapting to illness and
disability, and improvements in the delivery of health care.
Scientific evidence from behavioural medicine has shown that there is a
strong connection between mental and physical health. Thoughts, feelings
and behaviours are now known to have a major impact on health. For
example, people who are depressed are more likely to develop heart
disease. Conversely, it is also known that physical health influences mental
health and well-being. People with persistent pain have, for instance, been
shown to be four times more likely to have an anxiety or depressive disorder
than those without pain.
Mental and physical health influence each other in two fundamental
ways: through the biochemical and physiological systems such as the
endocrine and immune systems and/or through health behaviour. When
people are anxious or depressed, their endocrine and immune systems may
be compromised, thus increasing their susceptibility to physical illness. As is
discussed in Chapter 21, stress is related to the development of the common
cold. Furthermore, as demonstrated in Chapter 23, certain micronutrients,
such as iodine, are essential to healthy cognitive development, with a
person’s nutritional intake also being influenced by psychological and
societal factors. Moreover, as also illustrated in Chapter 23, a disease process
or parasitic infection can often impact on cognitive functioning.
Health behaviour, which refers to activities such as diet, exercise and
sexual practices, also plays an important role in shaping a person’s health
status. Health behaviour is an important influence on non-communicable
diseases or health problems such as cardiovascular disease, cancers, injury,
and substance abuse, but also plays an important role in the spread and
control of infectious diseases, such as HIV/AIDS, TB and parasitic infections.
Health behaviour has been found to be related to a number of
psychosocial influences. A person’s attitudes, beliefs and mental well-being
have been found to play a major role in determining his/her health
behaviour, be it engaging in high-risk behaviour, health-seeking behaviour,
or adhering to treatment. It has been found, for instance, that young people
with depression are more likely to engage in high-risk behaviour compared
to those with no depressive disorder. In addition, health behaviour is
influenced by interpersonal factors such as role modelling the behaviour of
parents and peers, as well as by environmental and societal influences such
as poverty and sociocultural norms. These relationships are explored in
greater detail in Chapter 21.
Health psychology has contributed to the understanding of a wide
variety of health conditions and behaviours. In this part, we also focus on
issues that are of particular concern in sub-Saharan Africa: nutrition and
under-nutrition, substance abuse, HIV/AIDS, TB and parasitic infections such
as malaria and bilharzia.
Given that the field of health psychology is very broad, it is not possible in
the scope of a text such as this to cover all aspects of the field. The chapters
focusing on particular health issues are therefore designed to introduce
different aspects of how the principles of health psychology can be applied.
Chapter 21 discusses risk behaviour and shows that there is a reciprocal
relationship between the individual, interpersonal, community and societal
levels of influence. This chapter also discusses stress, which has important
implications for human functioning, and this chapter also records the
practical things that can be employed to reduce stress.
 Chapter 22 introduces substance abuse as an area in which psychologists
can play an important role in the prevention of health problems. Preventing
disorders and promoting health at individual and broader social levels are
core activities of health psychologists, and the field of substance abuse is
one in which psychologists have been very active.
In treating or managing the mental health of individuals with psychiatric
illnesses, medication is often indicated as part of the psychological
intervention process. Chapter 22 also provides an overview of
psychopharmacological interventions, describing the use of psychoactive
drugs to treat the symptoms of psychiatric illness. The mechanisms of action
of psychoactive drugs, their classification, uses and effects are described in a
relatively non-technical way.
Chapter 23 emphasises the impact that physical health can have on
mental and social development. The important role that certain
micronutrients and a healthy diet play in cognitive and psychosocial
development is emphasised. The chapter also shows how psychological
factors can affect nutritional status – as in the case of eating disorders such
as anorexia nervosa.
Chapter 23 also deals with HIV/AIDS, TB and parasitic infections, and
demonstrates how, when we consider these complex conditions, we need
to think about them simultaneously at a range of levels. It emphasises the
role psychology can play in prevention, treatment and control, and also
considers some of the psychological and social consequences of the spread
of these conditions. While there are many infectious diseases, HIV/AIDS, TB
and parasitic infections collectively contribute in a huge way to the death
rate in the developing world.
Health and illness are produced by the interaction of biological,
psychological and social factors. Therefore medical and psychological
strategies need to be accompanied by interventions at the community and
societal levels, and these must address both cultural and socio-economic
barriers to health. Poverty and sociocultural norms fuel many of the health
problems covered by these chapters. Without addressing these issues as
well, behavioural change interventions will be severely compromised and, at
times, fruitless exercises.
 Students are encouraged, when thinking about how psychology can be
helpful in the health field, to think beyond the boundaries of this part of the
book. The insights of Part 6 (Social psychology) and Part 8 (Mental health)
should prove especially useful.
 Risk behaviour and
stress CHAPTER
Kay Govender & Inge Petersen; Basil Joseph
Pillay
21

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• demonstrate an ecological-systems understanding of the concepts of risk behaviour and
resilience
• discuss how the health belief model helps to explain preventive health behaviours
• discuss how the stages of change model can be used as a framework for studying addictive
behaviours
• identify the assumptions underlying the theory of reasoned action and the theory of planned
behaviour
• identify the assumptions of the social-cognitive model
• explain how social networks mediate the capacity of people to respond to high-risk situations
• understand how cultural and structural factors influence risk behaviour
• define stress
• describe what stimuli cause stress reactions
• explain the psychophysiology of stress
• describe the relationship between stress and illness
• be able to describe stress-reduction methods.

CASE STUDY

Xolani had always been a fairly cautious person who tried to weigh up his options carefully before
he took a risk of any kind. He didn’t drink or smoke, and he tried to take care of his physical well-
being. Sometimes, though, when he read magazine articles about the many different risks to his
health, Xolani felt anxious. There seemed to be so much information and so many confusing rules
about how to keep safe and fit these days. He also felt a bit guilty, as though if he got sick, it was his
own fault for not taking proper care of himself. In spite of this information overload, Xolani did
believe that it was important for people to have accurate information about some of the serious
health risks they faced and what they could do to avoid the problems. HIV/AIDS was a good
example of a disease that could be prevented if people knew the risks and took better care of
themselves.
 Xolani sometimes found it quite stressful trying to keep healthy! He and his friends often used
the word ‘stress’ to describe what they were feeling when things were getting them down in some
way, but he hadn’t given much thought to what it really meant. However, as he learned about the
concept in his psychology course, he was able to identify more clearly the ways in which his mind
and body reacted to demanding circumstances. This was especially the case at exam time. On the
day of an exam, Xolani often had sweaty palms and would feel his heart beating faster. He had
found that it helped a little if he deliberately tried to slow down his breathing. By the end of the
exam period, he would feel exhausted, almost like he had run a marathon. Then, just as he should
be celebrating that the exams were all over, he would inevitably come down with a cold or flu. It
always seemed so unfair! Xolani wished that he didn’t react so badly to exams. He had seen that
other people seemed to cope better, while some worried about different issues, like money or
relationships. People had to deal with a great deal of stress and pressure in their daily lives and
Xolani wondered what sorts of long-term effects this might have on their emotional and physical
health.

Introduction
Smoking cigarettes, drinking large quantities of alcohol, overeating and
having unsafe sex are a few of the common high-risk behaviours in which
people engage. Other ‘lifestyle’ risk factors include physical inactivity,
eating the wrong kinds of foods and not accessing health-screening
services where these are available. In this sense, we are often told that we
live in a ‘risk society’ (a term coined by Ulrich Beck, 1992). Experts
frequently disagree about what is dangerous and what should be
considered risky behaviour, and how we should manage risk. As an
example, conflicting ideas about the cause, treatment and behavioural
management of HIV/AIDS have interfered with combating this
pandemic.
In a context of increasing social fragmentation and mistrust of expert
systems, many people have a heightened awareness of the physical and
social dangers that they are exposed to in everyday life. Increasingly, risk-
management strategies (such as negotiating safe sex, managing our diet
or exposure to harmful substances) position individuals as being
ultimately responsible for monitoring and managing the risk in their lives
(Rhodes & Cusick, 2000). But this can be problematic in situations where
people do not have the freedom to control their lives. For example, it has
been found that gender inequality and economic dependence make
women less likely to be able to control whether they have safe sex or not
(Jewkes, Levin & Penn-Kekana, 2003).

An ecological-systems approach to
understanding risk behaviour
Risk is the possibility of harm, and to risk something (such as your
health) means to put it in danger. Risk behaviours refer to specific forms
of behaviour that are proven to be associated with increased
susceptibility to a specific disease or ill-health. Vulnerability, or the
susceptibility to negative outcomes, is determined by a number of risk
factors. Risk factors refer to biological, psychological, social or economic
behaviours or environments that are associated with, or cause increased
susceptibility to, a specific disease, ill health or injury. ey comprise
processes, within or outside individuals, which predispose them to
succumb to negative stressors.
Figure 21.1 Risky behaviour can be as simple as smoking, drinking too much alcohol and
overeating
Figure 21.2 Bronfenbrenner’s four levels of influence

Why do people sometimes behave in ways that can be perceived as

harmful or risky to their mental and physical health? An ecological-
systems approach (Bronfenbrenner, 1986) understands vulnerability to
risk behaviour as being influenced by multiple contexts. ese contexts
can be broadly categorised into four levels of influence, namely the
individual or intrapersonal level, the interpersonal level, the community
level and the societal level (see Figure 21.2). An ecological-systems
approach to understanding a health problem emphasises the
interdependence between the factors across all the levels.
When considering these four levels, we can see how they provide
different strategies for reducing vulnerability to high-risk behaviour and
promoting healthy behaviour. ese strategies can generally be split into
person-centred and situation-centred interventions:
• Person-centred interventions work with individuals and groups to
promote health-protective behaviour and enhance resilience.
Resilience is the successful adaptation to the environment despite
exposure to risk.
• Situation-centred interventions are focused on creating
environments with protective factors that enable individuals and
groups to practise healthy behaviour. Protective factors are those
 influences that limit or reduce the likelihood of high-risk behaviour
and play a moderating or buffering role.

Some theories of behaviour and behaviour-change determinants focus

on an individual’s cognitive evaluation of their behaviour. Others
broaden their focus by taking into account aspects of the social and
structural environment in which people are located. ese theories are
briefly discussed below and are summarised in Table 21.1.

SUMMARY

• People engage in a wide variety of high-risk behaviours; however, there is not complete agreement
about what should be considered risky behaviour and how we should manage risk.
• Increasingly, risk management strategies are becoming an individual responsibility; however,
individuals live in social and cultural contexts which may limit their control over aspects of their
lives.
• The risk of harm is increased through risk behaviours; vulnerability to harm depends on various
biological, psychological, social or economic risk factors.
• The ecological-systems approach understands vulnerability to risk behaviour and to harm as being
influenced by multiple contexts. These contexts can be categorised into four levels of influence:
individual, interpersonal, community and societal levels.
• The different levels indicate different strategies (e.g. person- or situation-centred) for reducing
vulnerability to high-risk behaviour and promoting healthy behaviour.
• Resilience involves successful adaptation to the environment despite exposure to risk.
• Protective factors are those influences that limit or reduce the likelihood of high-risk behaviour and
play a moderating or buffering role.

The individual level

At the individual (intrapersonal) level, the cognitive (mental) perspective
is commonly used for understanding risky behaviour. Intrapersonal
factors include knowledge, attitudes, beliefs, motivation, self-concept,
developmental history, past experience and skills.
Two well-known models that try to understand individual factors that
influence behaviour are the health belief model (Rosenstock, 1974) and
the stages of change (transtheoretical) model (Prochaska & DiClemente,
1984). e theory of reasoned action and the theory of planned
behaviour also provide insights at the individual level.
The health belief model
e health belief model (HBM) (see Figure 21.3) was one of the first
models that adapted theory from the behavioural sciences to understand
health problems. It was developed in the 1950s by psychologists working
in the US Public Health Service and it remains one of the most widely
recognised conceptual frameworks of health behaviour (National Cancer
Institute, 2005). It was developed with the specific purpose of helping to
understand why people did not participate in public health programmes
that were on offer; in other words, it was interested in preventive health
behaviours (Rosenstock, 1974 in DiMatteo & Martin, 2002).

Figure 21.3 The health belief model

e HBM focuses on six constructs that influence how a person will act in
a given situation. Before someone engages in any behaviour, he/she will
consider the health risk of the situation in terms of these concepts and
this accounts for that person’s readiness to act. In terms of the model,
action is also moderated by a number of personal factors such as age, sex,
personality, culture, education, etc. (Glanz, Lewis & Rimer, 2002, in
Bostwick, 2014). e six constructs are as follows:
• perceived susceptibility (their opinion of the chances of getting the
condition)
• perceived severity (their opinion of how serious a condition and its
consequences are)
• perceived benefits (their opinion of the efficacy of the recommended
action to reduce risk or seriousness of impact)
• perceived barriers (their opinion of the material and psychological
costs of the advised action)
• self-efficacy (their confidence in being able to successfully perform a
behaviour)
• cues to action (they are exposed to messages that activate their
readiness to act).

The stages of change (transtheoretical) model

e stages of change (transtheoretical) model (SCM) was initially
developed by Prochaska and DiClemente (1984) as a framework to study
addictive behaviours including smoking, and alcohol and drug abuse.
ese authors believed that health behaviour change is a process rather
than an event (National Cancer Institute, 2005). As individuals prepare to
change their behaviour, it seems they move through a series of five stages
(Prochaska & Norcross, 2010), each of which is associated with different
attitudes, intentions and behaviour (Prochaska & Norcross, 2010):
1. During the precontemplation stage, people have no intention of
changing their behaviour. ey may even be unaware of the risk they
are placing themselves in or that their behaviour represents a
problem. At this stage there is considerable resistance to change.
2. Once they become aware of their problem behaviour and start to
consider doing something about it, they are in the contemplation
stage. Although they are aware that their behaviour represents a
problem, they do not take any action to initiate change and they tend
to struggle with indecision about changing their behaviour
(Prochaska & Norcross, 2010).
3. In the preparation stage, people begin to take small steps towards
changing their behaviour. ey begin to formulate specific intentions
 to change their behaviour soon.
4. Once they take significant steps to change their behaviour, they are in
the action stage. ey invest considerable time and energy in their
actions and persevere with the changes.
5. During the maintenance stage, people make every effort to prevent
relapse and continue with successful strategies that helped them to
successfully change their behaviour.

21.1 A STUDY USING HBM CONCEPTS

Source: Ndabarora and Mchunu (2014)

Procedure
This study examined the utilisation of HIV/AIDS prevention methods among university students at the
University of KwaZulu-Natal. It was guided by the health belief model and studied health-seeking
behaviours. The study considered perceived susceptibility, perceived severity and perceived benefit of
condom use.

Results
Although more than half of the students were aware of voluntary counselling and testing (VCT), only
just over one-third of them had accessed these services. Almost half of the students used condoms and
more than two-thirds had been tested for HIV. The students had a high perceived susceptibility
however, this did not correlate with their overall use of prevention methods. The study also found that
the students had a good knowledge of HIV/AIDS, but they still had serious misconceptions about the
disease.
There were a number of barriers to HIV testing identified by the study. As the HBM would predict,
these included a low self-efficacy and low perceived susceptibility, although fear of testing positive and
of stigmatisation were also found to be barriers. Knowledge of services was also important as this
increased utilisation.

Conclusion
Although some HBM variables were confirmed by the study, others were not. The study found that a
private venue for testing and greater advertising of services would assist in improving the student’s
health-seeking behaviours.
Figure 21.4 The theory of reasoned action and the theory of planned behaviour

e model is circular in that people may enter the change process at any
stage, relapse to an earlier stage, and begin the process once more
(National Cancer Institute, 2005). ey may cycle through this process
repeatedly, and the process can also terminate at any point. is raises an
important issue in behaviour change, that of relapse prevention.
Prochaska and Norcross (2010) suggest that clients can be helped to
understand that relapse is a process and that they can learn to identify
situations that put them at risk for relapse as well as learn to cope with
cravings.

The theory of reasoned action and the theory of

planned behaviour
As depicted in Figure 21.4, both the theory of reasoned action (TRA) and
the theory of planned behaviour (TPB) explore the relationship between
behaviour and beliefs, attitudes, subjective norms and intentions.
Behaviour results from an intention to carry out the behaviour (Ajzen &
Fishbein, 1980), thus it is not seen as resulting from instincts or other
impulses. According to the theory of reasoned action, a person’s
intention to carry out a behaviour is determined by a combination of that
person’s attitude towards the behaviour, together with his/her beliefs
about what others whose opinions are valued think, as well as beliefs
about whether key people approve or disapprove of that person’s
behaviour (the person’s subjective norm). While the theory takes into
account social normative influences, the model emphasises the
subjective appraisal of these social influences by the individual.
Attitudes towards a behaviour are determined by people’s beliefs
about the outcome of the behaviour, and their evaluation of that
outcome. eir subjective norm is determined by what they think other
people who are important to them want them to do, and their motivation
to comply with these important people’s wishes. For example, Khanyi’s
intention to complete her degree will be determined by her belief that
completing the degree will lead to her being able to get a well-paying job
(which she values) as well as the fact that her mother, whose opinion she
values, will be proud of her. Similarly, Vuyisa’s intention to complete his
degree will be determined by his belief that having a degree leads to peer
respect (which he values), as well as the fact that his parents are not too
concerned about his studies. In both these examples, Khanyi and
Vuyisa’s intentions to complete their degree, which have been
determined by their attitudes and beliefs, will be a strong determinant of
whether or not they will complete.
To include influences at the community and societal level, the TRA
was expanded into the theory of planned behaviour (TPB), which
includes the element of perceived behavioural control (Ajzen, 1985).
Perceived behavioural control is the extent to which people believe that
they have control over their behaviour. is theory thus recognises
societal influences but emphasises the individual’s subjective evaluation
of these influences. For example, Jeff may believe that he is quite capable
of remaining faithful to one partner. On the other hand, he may believe
that society expects him to have multiple partners.
 SUMMARY

• At the individual (intrapersonal) level, risk-taking factors include knowledge, attitudes, beliefs,
motivation, self-concept, developmental history, past experience and skills.
• The HBM was developed to help understand why people did not participate in available public
health programmes.
• The HBM includes six constructs that influence how a person will act in a given health risk situation:
perceived susceptibility, perceived severity, perceived benefits, perceived barriers, self-efficacy and
cues to action.
• In terms of the model, action is also moderated by personal factors such as age, sex, personality,
culture, education, etc.
• The SCM was developed to study addictive behaviours including smoking, and alcohol and drug
abuse.
• The SCM model argues that health behaviour change is a process rather than an event. In this
change process, individuals move through a series of five stages: precon-templation,
contemplation, preparation, action and maintenance.
• The SCM model is circular – a person may enter the change process at any stage, relapse to an
earlier stage, and begin the process once more.
• The theory of reasoned action (TRA) and the theory of planned behaviour (TPB) explore the
relationship between behaviour and beliefs, attitudes, subjective norms and intentions.
• According to the TRA and the TPB, behaviour results from an intention to carry out the behaviour;
this is determined by a combination of attitude towards the behaviour and belief about what
others think, as well as subjective norms.
• The TRA was expanded to include perceived behavioural control to lead to the TPB. Perceived
behavioural control is the extent to which people believe that they have control over their
behaviour.
• These cognitive models and theories of behaviour change have been criticised for being too
individualistic and for assuming that people make rational decisions and are sufficiently educated
about health and what constitutes healthy and risky behaviours.

Together with attitudes and subjective norms, perceived behavioural

control is thought to influence intentions to perform a given behaviour.
ese cognitive models and theories of behaviour change have been
criticised for being too individualistic; Campbell (2003, p. 8) argues that
this is because of a lack of ‘actionable understandings of the ways in
which community and social contexts impact on health’. ese are
discussed in later sections. In addition, cognitive models have been
criticised for assuming that people make rational decisions (Campbell,
2003). However, most adolescents, and some adults, do not approach risk
taking from a logical perspective. Emotional and interpersonal factors, as
well as economic and power relations in society, often play an important
role in determining risk behaviour (Airhihenbuwa & Obregon, 2000;
Campbell, 2003). Furthermore, the HBM assumes that people are
sufficiently educated about health and what constitutes healthy and risky
behaviours. It has been suggested that the HBM, for instance, is therefore
more applicable to well-educated, upper socio-economic groups (Rice,
1998, in Ross & Deverell, 2004).

The interpersonal level

At the interpersonal level, behaviour is influenced by people’s
interactions with other people in their social world (e.g. family members,
friends, co-workers, health professionals and others) and by cognitive
factors, as well as by the interaction between these factors. Lyons and
Chamberlain (2006) note that cognitive factors have been extensively
researched across a wide range of health-related be haviours. e social-
cognitive model is useful for understanding behaviour at this level
because it explores the reciprocal interactions of people and their
environments, and the psychosocial determinants of health behaviour.

Social-cognitive model
e key feature of the social-cognitive model (SCM) is the reciprocal
determinism between thought, behaviour and the environment
(Bandura, 1986). Rather than focusing on the automatic shaping of
behaviour by environmental forces as was argued by behaviourists like
B. F. Skinner (see Chapter 5), this approach emphasises the importance
of intervening thought processes. ese include aspects of cognition
such as information acquisition, storage and retrieval. In addition,
Bandura felt that self-efficacy was critical in the performance of
behaviour.
e SCM maintains that behaviour is determined by cognitive
expectations and incentives:
• Cognitive expectations are beliefs about the likely results of an
action in terms of positive or negative outcomes. For example, you
 may study hard for your exams if you believe it will lead to good
marks.

21.2 A STUDY USING SCM CONCEPTS

Source: Harrison, Xaba, Kunene and Ntuli (2001)

Procedure
A qualitative study was conducted to explore young women’s understanding of risk for HIV/AIDS and
teen pregnancy. It used peer-group discussions with school-going girls in the rural Hlabisa district of
KwaZulu-Natal.

Results
Access to money and gifts played an important role in young women’s decisions to have sex with men
Risky sex was often driven by a desire for status and acquisition of luxuries, which young girls in poor
communities could not afford. As one girl participant stated about her older boyfriend, who was a tax
driver: ‘He is quite old, but it doesn’t matter, if he’s right and has got the style (wears fancy designer labe
clothes) it is okay, after all love has no age.’ Clearly these girls were entering into sexual relationships with
older and economically well-off men because of the expected positive rewards of material wealth and
status. Girls were modelling the sexual behaviour of their peer group. Girls were punished by being
beaten up or abandoned if they refused sex. On the other hand, some girl participants indicated that
they would delay having sex until they were adults. These girls seemed to have a different role model for
success. They demonstrated high levels of self-efficacy in practising abstinence from sex during their
teens. The expected outcome of abstaining from sex was that they would not contract HIV/AIDS or be
burdened with the role of being teen mothers during their school years.

Conclusion
People model certain behaviours because of perceived expected material and psychological rewards.

• Incentives are anticipated rewards that encourage a particular

behaviour. In the example above, the incentive may be a prize or
monetary reward from your parents, school or university.

Most learning occurs through observing others (modelling), where

people are likely to perform the behaviour they observe, particularly if
the model is similar to themselves in age, gender or race, and when the
behaviour results in desirable social, psychological or material
consequences. Furthermore, high-status individuals have been found to
exert a stronger influence on behaviour than low-status individuals
(Bandura, 1971). For example, the behaviour of a matric leader is more
likely to be copied as a model than that of a new Grade 8 learner in a
 school. However, self-efficacy is also important in the SCM. Self-efficacy
is a person’s conviction that they can perform a particular behaviour
successfully (see Box 21.2).
While individual and interpersonal factors are often taken into
consideration in understanding high-risk behaviour, the role of broader
issues occurring at a community and societal level is often neglected.
Mary Douglas in her influential work Purity and danger (1969) is
particularly critical of the dominant individualistic and interpersonal
approaches taken by psychological researchers in risk-perception
research because of their focus on processes of cognition and individual
choice. e cognitive model in particular has treated risk as an objective
fact independent of society.

SUMMARY

• At the interpersonal level, behaviour is influenced by the person’s interactions with other people in
their social world.
• The SCM explores the reciprocal interactions of people and their environments, and the
psychosocial determinants of health behaviour.
• The key feature of the SCM is the reciprocal determinism between thought, behaviour and the
environment.
• This approach emphasises the intervening thought processes, including information acquisition,
storage and retrieval.
• According to the SCM, behaviour is determined by cognitive expectations and incentives.
• Most learning occurs through observing others (modelling); various characteristics of the model
impact on this process.
• In addition, self-efficacy is critical in the performance of behaviour.
• The SCM has been criticised for neglecting issues occurring at a community and societal level.

The community level

Bickerstaff (2004) shows how social and cultural factors influence the
ways in which people conceptualise and deal with risk. Rather than
responding as autonomous agents to the risks they perceive, people act
as members of social networks. Examples of social networks would be
extended family, school peers, work colleagues, and so on. ese
networks positively or negatively influence the capacity of these
individuals to respond to high-risk situations.

21.3 CULTURE AND AFRICAN CONCEPTS OF HIV/AIDS

PREVENTION, CARE AND SUPPORT
Source: Airhihenbuwa and DeWitt Webster (2004)

Procedure
The PEN-3 model is presented as a framework for HIV/AIDS prevention, care and support in Africa.

Discussion
Culture is an important factor in how HIV/AIDS has affected African populations. It has eroded cultural
structures. In addition, culture and language are critical for providing appropriate health care. In the past
training of health care workers has assumed that universal models of learning and behaviour are
acceptable. This neglects indigenous knowledge and strategies. As a result, health intervention
strategies (especially those that are individually based) have failed Africans. The PEN-3 model has been
used to guide cultural approaches to managing HIV/AIDS in Africa, as well as for planning health and
child survival interventions. The model’s primary domains are cultural identity, relationships and
expectations, and cultural empowerment.

Conclusion
In applying the model, sociocultural issues can be framed within the domains. This then allows for a
collective decision to be made about where and how to intervene to achieve the best outcome in terms
of prevention and control of the epidemic. It is essential to place culture at the centre of HIV/AIDS
prevention, care and support in Africa.

Social capital
Community social networks can act as a protective factor. Social capital,
which refers to people’s memberships of social groups or networks (their
degree of connectedness), gains certain interpersonal and/or material
benefits for an individual (Petersen & Govender, 2010; Putnam, 1995).
Trust and reciprocity between members of a social group allow members
to call on favours, share socio-economic resources, circulate privileged
information and gain better access to opportunities (Sacchetti &
Campbell, 2014). Communities whose members have high levels of
social capital are also better able to resist disruptive forces. ey are more
likely to identify external threats as a group problem and marginalised
groups, as collectives, can sometimes mobilise effectively to pressure
decision-makers to address their concerns.
Public policies (such as apartheid) that increase socioeconomic
inequities, as well as disrupt the personal, domestic and community
social networks of marginalised communities, make such communities
particularly vulnerable to the development of high-risk behaviours
(World Health Organization, 2012). is involves a variety of interrelated
mechanisms including a failure to socialise adolescents properly, as well
as compromising social controls that are used in most communities to
minimise negative influences such as early sexual debut, teenage and/or
unwanted pregnancy, sexual abuse, alcohol and drug abuse, and
criminal violence. A South African study in an informal settlement in
KwaZulu-Natal found that girls and women felt particularly vulnerable to
sexual abuse given the lack of supportive community networks and
controls in place to protect them (Petersen, Bhagwanjee, Bhana &
Mzimela, 2003).
In order to build relational ties, health promoters may promote self-
help organisations. ese organisations promote a sense of community
and they empower group members to be able to give and receive help
and share their problems (Arockiasamy, 2012).
Figure 21.5 Being a member of a social network is empowering

The societal level

At the societal level, theorists consider the role that society plays in
determining risk; these approaches can be broadly categorised into
cultural perspectives and structuralist perspectives.

Cultural perspectives
Renowned anthropologist Mary Douglas (1985) contended that our
cultural value systems are always relevant in the ways we judge risk or
danger. So when people engage in activities they know to be labelled as
risky (e.g. having sex without a condom when unsure of the HIV status of
their sexual partner), this behaviour cannot only be attributed to a poor
understanding of the dangers of contracting HIV/AIDS through
unprotected sex. For instance, students have reported that they still
engage in risky sexual practices, despite having a thorough
understanding of HIV transmission (Petersen, Bhagwanjee & Makhaba,
2001). is is attributed to strong cultural beliefs that sex without a
condom is more pleasurable. is notion is reinforced by shared cultural
expectations of acceptable sexual behaviour and what constitutes risk.
However, there has been some critique of Douglas’s theory (Oltedal,
Moen, Klempe & Rundmo, 2004). Oltedal et al. (2004) found that cultural
theory has a relatively low predictive power and argue that its success
may be based on its simplicity and the intuitive sense that it makes.
An illustration of how cultural beliefs become influential to
understanding HIV/AIDS is provided in Box 21.3.

Structuralist perspectives
Beck (1992) suggests that significant sectors of society are more affected
than others by the various health risks, and that these differences are
structured through inequalities such as class and position. At this societal
level, risk is much more pervasive than at the community level because it
involves systems of governance. e disadvantaged have fewer
opportunities to avoid risks because of their lack of economic and
political resources compared with the advantaged (World health
Organization, 2012).
According to Wardle and Steptoe (2003), people who are socially and
economically privileged tend to make healthier lifestyle choices in terms
of nutrition and exercise; this may be due to differences in life
opportunity and lifetime exposure to hardship. us, social class, gender,
ethnicity and position in a person’s life are important structuring factors
that may not allow some people the opportunity to have as much control
over their actions as others. We have to ask: what chance does a young,
single mother have to consider her behaviour? She may put herself at risk
of contracting HIV because her promiscuous boyfriend is her only source
of income. How much freedom from poverty does this mother have to
self-construct her own life narrative?
In order to address power relations at a structural level, health
promoters may facilitate the empowerment of groups to challenge
structures through two processes: conscientisation (Freire, 1970) and
social action (Alinsky, 1971, in Petersen & Govender, 2010).
 Conscientisation enables members to develop skills to analyse critically
their problems and to recognise the roles they may take in changing their
social conditions. Social action promotes community participation in
efforts aimed at achieving common goals, such as improved quality of
life, social justice and political efficacy. According to Petersen and
Govender (2010), empowerment is achieved through bringing people
together in social networks in order to develop social support and skills.

SUMMARY

• Social and cultural factors influence the ways in which people conceptualise and deal with risk.
• Community social networks can act as a protective factor.
• Social capital refers to people’s memberships of social groups or networks; this gains interpersonal
and/or material benefits for an individual. Also, such communities are better able to resist
disruptive forces.
• Public policies that increase socio-economic inequities and disrupt community social networks
make marginalised communities vulnerable to the development of high-risk behaviours.
• In order to build relational ties, health promoters may promote self-help organisations.
• Cultural perspectives argue that our cultural value systems are always relevant in the ways we
judge risk, danger or acceptable behaviour.
• Cultural theory has been criticised for having a relatively low predictive power.
• Structural perspectives note that inequalities like class, gender, ethnicity and position affect health
risks. The disadvantaged have fewer opportunities to avoid risks because of their lack of economic
and political resources.
• To address structural inequality, health promoters may facilitate empowerment of groups through
conscientisation and social action.

Table 21.1 Examples of theories of health risk behaviour at Bronfenbrenner’s four levels of influence
21.4 SOCIAL ACTION: ‘SERVICE DELIVERY’ PROTESTS
South Africa sees some 300 community protests a year. They have been considered to be ‘rebellions of
the poor’, stemming from historical inequality and a deep sense of social powerlessness. Other causes
seem to be lack of accountability and oversight at local government level. In addition, some
municipalities have outsourced service delivery with poor households being most affected by cutting
off water and electricity, as well as evictions. In a context of widespread access to grants and state, it
seems corruption and inaction on the part of political representatives play a role. Community members
seek recognition – they want to be heard – and often violent protest seems the only way to try to
achieve this. However, this approach is not always successful. (‘Protests are a cry for political recognition’
Mail & Guardian, 29 August 2014).

Stress
Stress has become a common feature of modern living and is closely
related to risk behaviours such as smoking, alcohol and drug abuse. e
effects of stress directly affect our functioning and are responsible for
many of the problems that we experience with our health.
Stress receives increasing attention in the popular media. ere has
also been a phenomenal increase in the availability of self-help books to
assist both lay people and professionals to understand, manage and
prevent this growing problem.

Defining stress
Stress has been studied for nearly a century; however, there is still little
agreement about how to define this complex construct (Segerstrom &
Miller, 2006). e term is often applied to a variety of negative feelings
and reactions that accompany threatening or challenging situations.
Hans Selye (1976), an early pioneer in stress research, based his
understanding on the body’s physiological response to prolonged
stressors. According to Selye, many different kinds of situations may
produce the stress response. ese include pain, fear, effort and fatigue.
ese different aspects have led to a variety of approaches to defining
stress.

Defining stress in terms of physiological reactions

and cognitive processes
Traditionally, stress research has defined stress either in terms of a
stimulus or stressor (Segerstrom & Miller, 2006) or in terms of response.
at response could have cognitive, physiological and behavioural
aspects (Holt et al., 2012). Selye (1976) was particularly interested in the
body’s reaction to stressors (see later in this chapter for more detail on
this); later researchers focused more on the cognitive processes that
influence the perception of stress. According to this definition, stress
refers to physiological and psychological responses or reactions to
certain demanding situations, events or circumstances. ese stressors
may be demanding life events (e.g. death, job loss, divorce or a motor
vehicle accident), chronic situations (e.g. unemployment, poverty or
illness) or catastrophic events (e.g. hijackings, assault or natural
disasters).

Defining stress in terms of the interaction between

the individual and the environment
Another approach to defining stress has been to focus on the relationship
between individuals and their environment (Lazarus & Folkman, 1984).
People experience psychological stress when they perceive that their
environmental demands exceed their capacity to cope. is view is
known as the transactional model, as a person responds to stress by
making a cognitive appraisal of the stress. is takes place in two stages
and involves a primary appraisal and a secondary appraisal.
In the primary appraisal, the event is evaluated as stressful or not
stressful. If the event is appraised as stressful, the person must then
evaluate if it is a harm, a loss, a threat or a challenge. In a harm or loss,
the injury or damage has already occurred. A threat would be something
that could lead to harm or loss. A challenge provides the opportunity for
development or mastery. ese categories are also associated with
different emotional responses.
Secondary appraisal occurs after the event has been evaluated as a
threat or a challenge. In this phase, the person considers his/her coping
resources and possibilities.
An event is only appraised as a stressor if it is personally relevant and
the person perceives that the demands of the situation exceed his/her
resources to cope with it.

Defining stress in terms of a bio-psychosocial

model of stress
Figure 21.6 The stress curve

A more integrative model that brings together various approaches to

stress is the bio-psychosocial model of stress (Engel, 1977). is
approach grew out of criticisms of the biomedical model, arguing that it
is essential to include psychosocial aspects in understanding ill health.
us, this model of stress involves three elements: the external
component (social), the internal component (biological and
psychological), and the interaction between these two components. e
external component involves events in the person’s environment that
can lead to a stress response. ese events include a variety of
psychosocial stimuli, commonly referred to as stressors (discussed
below), that are either physiologically or psychologically threatening. e
internal component of stress involves the psycho-physiological and
cognitive reactions to stress. e interaction between the external and
internal components involves the individual’s cognitive processes, as
described in the transactional theory’s view of stress.

Positive stress
Not all stress reactions are negative. A certain amount of stress is
essential to our health and performance, and there is a strong correlation
 between stress and performance (see the stress curve in Figure 21.6).
While insufficient stress results in boredom and a lack of stimulation, a
healthy level of stress is useful for optimal functioning. Too much stress is
referred to as distress and this may result in ill health, poor performance
and dysfunctional behaviour. Eustress is healthy, positive stress
associated with happy events which can provide a sense of fulfilment.

SUMMARY

• Stress is common in present-day society and is closely related to risk behaviours. Much attention is
being paid to understanding and managing stress.
• There have been many definitions of stress:
» Selye focussed on the body’s physiological response to prolonged stressors. Later researchers
focused more on the cognitive processes that influence the perception of stress.
» The transactional model focuses on the relationship between individuals and their environment;
appraisal (primary and secondary) is an important part of this model.
» The bio-psychosocial model takes a more integrative view, looking at the internal and external
components of stress as well as the interaction between these components.
• Positive stress (eustress) may be helpful to our health and performance.

The psychophysiology of stress

Whenever there is a perceived threat, the body reacts immediately in a
sequence of psycho-physiological responses called the fight-or-flight
response. is response occurs automatically, irrespective of whether
the stressor is an actual threat (being held at gunpoint), being startled
(hearing a balloon burst) or a new experience (taking a roller-coaster
ride). Several systems and subsystems are activated to deal with the
threat. ese involve the autonomic nervous system and the endocrine
system, which together produce the fight-or-flight response.

The autonomic nervous system

e autonomic nervous system is divided into two separate but
interdependent systems – the sympathetic and parasympathetic systems,
which generally have opposing functions.
e sympathetic system is responsible for arousal or a stimulated
state, while the parasympathetic system brings the body back to its rested
state (see Figures 21.8 and 21.9). e sympathetic system is responsible
for arousing neural and glandular functions. is arousal involves an
increase in heart rate, the dilation of the arteries of the muscles,
including the heart, the constriction of the arteries of the skin and
digestive organs, and the activation of certain endocrine glands. When
there is no longer a need for an aroused state, the parasympathetic
system acts to reverse the arousal, thus conserving and protecting the
body’s resources (Holt et al., 2012). (See Chapter 7 for a more detailed
discussion of the autonomic nervous system.)

The endocrine system

e endocrine system works in close association with the sympathetic
system. is interaction is important in understanding how psychological
events are translated into physiological reactions. e endocrine system
is made up of the following glands: the pituitary gland, the thyroid, the
parathyroids, the islets of Langerhans, the adrenal gland and the gonads
(Figure 21.9). e endocrine system is slow-acting and controls body
function and activity through chemicals called hormones. ese
hormones are secreted by the various endocrine glands into the blood
stream, which transports them to different sites in the body (Holt et al.,
2012).
e hypothalamus is connected to the pituitary gland, which controls
the rest of the endocrine system. e hypothalamus signals to the
pituitary gland to secrete two important hormones. One of these acts on
the thyroid to produce thyroxine, which stimulates metabolism. High
levels of thyroxine produce symptoms such as increased sweating,
nervousness, shakiness and insomnia. However, should these hormones
be produced over a prolonged period of time, the high level of hormones
may harm internal organs and leave the organism vulnerable to disease.
 e second hormone acts on the adrenal glands producing adrenalin
(epinephrine) and noradrenalin (norepinephrine). Adrenalin interacts
with organ receptor cells to increase the heart rate and blood pressure,
and instruct the liver to release extra sugar. Noradrenalin increases the
blood pressure and the heart rate. ese changes prepare the body for
action.

Figure 21.7 Functions of the autonomic nervous system (Atkinson, Atkinson, Smith & Hilgard, 1987)
 ese processes also lead to the release of hormones which are
responsible for the body’s adjustment and response to emergency
situations. ese play a major role in the body’s immune responses.
Stress has a negative effect in that it compromises the body’s immune
system, which makes it susceptible to infections and illness.

The general adaptation syndrome

e general adaptation syndrome (GAS) describes the set of reactions
that follow the organism’s exposure to an impending threat. Selye (1985)
noted that a person who is subjected to prolonged stress goes through
the following three phases: the alarm reaction, the stage of resistance,
and the exhaustion stage.
Figure 21.8 The location of the endocrine glands in the body.

In the alarm reaction, the body mobilises its resources to respond to

the threat. is reaction includes the various psychophysiological
responses to a stressor. In this phase, the shock temporarily reduces the
body’s resistance (Holt et al., 2012).
e resistance stage involves a continued state of arousal as the
body’s response stabilises. e body secretes high levels of hormones to
assist in the response to the stressor. If the stressful situation is
prolonged, this high level of hormones may damage internal organs,
making the organism vulnerable to disease. It is the resistance stage that
seems to result in many of the diseases precipitated or caused by stress.
Selye (1985) called these diseases of adaptation and they include
infections, headaches, insomnia, high blood pressure and cardiovascular
diseases.

21.5 DOES STRESS EXIST?

Not all people believe that stress exists. Some believe that researchers, in trying to study the
phenomenon, had to invent one word to represent hundreds of specific problems that affect us from
time to time.
What do you think? Having read the chapter thus far, do you think that stress exists?

Ongoing stress leads to the exhaustion stage when the body’s

resources are finally exhausted; this may be followed by a complete
breakdown. In this stage, the person may show apathy or irritability,
anxiety and self-destructive behaviour, and have frequent illnesses.

Types of stress
One of the things that can make stress management difficult is the fact
that there are different types of stress (American Psychological
Association, n.d.). Stress can be acute, intermittent/episodic or chronic.
Acute stress (short-term stress) is a reaction to an immediate threat,
and results in the fight-or-flight response. It often involves a concrete
threat that is readily identified as a stressor. e threat can be any
situation, even those we are at first unaware of or falsely experience as a
danger. Under most circumstances, once the acute threat has passed, the
fight-or-flight response becomes inactivated and levels of stress
hormones return to normal. ey are stressors of relatively short duration
and are generally not considered to be a health risk because they are
limited by time. Acute stress is indicated by various symptoms, including
emotional distress, muscular tension, digestive system problems and
autonomic system arousal (American Psychological Association, n.d.).
 Intermittent stress refers to responses to stressors that vary in
duration, alternating between periods of stress and calm. It is also known
as episodic acute stress. is kind of stress is almost a personality type as
it typifies people who worry constantly or who take on too much in their
lives (American Psychological Association, n.d.). Because of this, it is
‘ingrained and habitual’ and very difficult to treat.
Chronic stress (long-term stress) is typical of modern life, which
poses ongoing stressful situations that are not short-lived; in these
situations, the fight-or-flight response is not helpful and has to be
suppressed. is results in stress that is chronic. Common chronic
stressors include: ongoing highly-pressured work, long-term relationship
problems, loneliness and persistent financial worries. ese stressors are
of relatively long duration and can pose a serious health risk owing to
their prolonged activation of the body’s stress response. Being a regular
part of modern life, chronic stressors may be taken for granted and
can therefore pose a serious health risk if they are not recognised and
appropriately managed (American Psychological Association, n.d.).
 SUMMARY

• Whenever there is a perceived threat, the body reacts immediately in a sequence of

psychophysiological responses called the fight-or-flight response.
• This happens automatically and involves the autonomic nervous system and the endocrine system.
• The autonomic nervous system is divided into two separate but interdependent systems – the
sympathetic and parasympathetic systems, which generally have opposing functions.
• The sympathetic system is responsible for arousal and the parasympathetic system acts to reverse
the arousal.
• The endocrine system works in close association with the sympathetic system. It consists of a
number of glands which secrete hormones which are involved in the fight-or-flight response.
• If these hormones are produced over a prolonged period of time, the high level of hormones may
harm internal organs and leave the organism vulnerable to disease.
• Hans Selye’s general adaptation syndrome (GAS) describes the stages that a person who is
subjected to prolonged stress goes through:
» The alarm reaction involves the body’s psychophysiological responses to a stressor.
» The resistance stage involves a continued state of arousal; high levels of hormones may eventually
damage internal organs and cause disease.
» The exhaustion stage is reached after prolonged resistance and breakdown then occurs.
• The GAS shows how mental and physical illnesses often follow the inability to adapt to stress. Stress
is implicated in depression and other severe psychiatric disorders; in memory, concentration and
learning difficulties; in heart and vascular disease; a compromised immune response and increased
risk of infections.

Stressors
Stressors are stimuli that cause stress reactions. ese stimuli can arise
from physiological, psychological, socio-cultural or environmental
factors, or a combination of these. People may be exposed to a variety of
stressors which may lead to different reactions in different people.
Researchers are interested in which stimuli cause stress reactions. is
field has been approached in several ways; some researchers (Holmes &
Rahe, 1967) have considered the impact of life events (such as
bereavement) while others (Kanner, Coyne, Schaefer & Lazarus, 1981)
have focussed more on the role played by daily hassles (such as traffic
jams and minor financial worries).
Life changes or events
According to Holmes and Rahe (1967), extremely intense life changes or
events are life stressors that can cause acute or chronic stress reactions,
including physical illness. ese may be positive (a family wedding) or
negative events or changes that create uncertainty and demand
adjustment behaviours. Holmes and Rahe developed the Social
Readjustment Rating Scale (SRRS), which is a method for measuring
cumulative stress that a person is exposed to over a period of time.
e scale measures stress in life-change units (LCU) that are
associated with specific stressful events. Table 21.2 depicts the 20 most
stressful events as measured by Miller and Rahe (1997).
Table 21.2 The Social Readjustment Rating Scale Source: Bergh & Theron (2006), adapted from
Miller & Rahe (1997)
21.6 MEASURING STRESS
Stress is such a fashionable topic that we often find popular magazine or online questionnaires for
readers to measure their levels of stress, as well as stress management tips. Another stress measurement
device is the BIODOTTM. Because there is a correlation between stress and skin temperature, the
BIODOTTM is like a miniature thermometer that measures the change in temperature at the surface of
the skin (http://www.cliving.org/stress.htm). Although popular, these tests should be viewed with
caution. To accurately diagnose stress, a trained health professional would usually take a comprehensive
clinical history, undertake a mental status examination, and may also use one or more stress measures.

Figure 21.9 Even happy events like getting married can be stressful
Interestingly, these researchers found that 80 per cent of people who had
a cumulative score of 300 or more on the SRRS in recent months had a
very high risk of developing a major illness within the next two years. Of
course, we cannot be sure that these people would not have become ill
for other reasons, but the high percentage and elevated risk suggests
negative effects from experiencing stressful life events (Bergh & eron,
2006).

Daily hassles and uplifts

Kanner et al. (1981) suggest that the stress that arises from daily hassles
may be more significant for health. Hassles are ‘the irritating, frustrating
and distressing demands’ common to everyday life (Kanner et al., 1981,
p. 3). Hassles are balanced by uplifts which are the small positive aspects
of life like good communication with a spouse or lover and getting along
well with friends (in Bergh & eron, 2006). ese researchers believe
that daily stressors provide better explanations for a person’s state of
well-being (both physical and psychological) than life stressors that only
occur occasionally in an individual’s life. However, in understanding a
person’s stress experience it is important to consider the overall pattern
of hassles and uplifts (Kanner et al., 1981). Jones and Bright (2001) note
the role of appraisal in hassles and uplifts, suggesting that if hassles are
perceived as harmful or challenging, this is more likely to lead to ill
health.

Three sources of internal and external stressors

Other sources of stressors have also been proposed. ese are frustration,
conflict, pressure and self-imposed stress (Misra & Castillo, 2004).
Frustration occurs when people are prevented from attaining their
objectives. e frustration–aggression hypothesis proposes that people
who experience frustration will react with aggression and anger.
However, the ability to tolerate frustration, which is largely determined
by how people have learned to satisfy their needs, differs considerably
from person to person.
 Conflict occurs when people want to satisfy a number of needs at the
same time. Because they are unlikely to be able to do this, they are faced
with difficult choices resulting in choice anxiety. is type of anxiety
occurs when they have strong positive and negative emotions about the
needs (known as approach–avoidance conflict), when they have to
choose between two equally appealing needs (known as approach–
approach conflict) or two equally unappealing needs (known as
avoidance–avoidance conflict) (in Bergh & eron, 2006).
Social expectations put pressure on people to perform (or conform to)
certain expected behaviours. Sometimes people can become stressed in
the face of these expectations, particularly if they are contrary to their
own expectations or perceived to be beyond their abilities. An aspect of
this kind of pressure is self-imposed stress. is is stress that arises out
of individual differences in the desire to compete and win or succeed.

SUMMARY

• There are several different types of stress:

» Acute stress (short-term stress) is a reaction to an immediate threat, and results in the fight-or-flight
response.
» Intermittent stress involves repeated responses to stressors that vary in duration, alternating
between periods of stress and calm.
» Chronic stress (long-term stress) involves ongoing stressful situations which can pose a serious
health risk owing to their prolonged activation of the body’s stress response.
• Stressors are stimuli that cause stress reactions; these stimuli can arise from physiological,
psychological, sociocultural or environmental factors, or a combination of these.
• Researchers are interested in which stimuli cause stress reactions; life events and daily hassles have
been studied.
• Intense life events (positive or negative) can cause acute or chronic stress reactions, often leading
to physical illness.
• Holmes and Rahe developed the Social Readjustment Rating Scale (SRRS) to measure cumulative
stress that a person is exposed to over a period of time.
• An alternative approach suggests that stress arises from daily hassles and is moderated by uplifts. If
hassles are appraised as harmful, they are more likely to lead to ill health.
• Other sources of stress are frustration, conflict, pressure and self-imposed stress.

Stress and illness

ere is compelling evidence that an inability to adapt to stress is
associated with a number of mental and physical illnesses. Experimental
and clinical evidence implicates stress as a major predisposing factor in
depression and other severe psychiatric disorders (Leonard, 2002). e
repeated release of stress hormones disrupts normal levels of serotonin,
the neurochemical involved in feelings of well-being. Low serotonin
levels are associated with depression (Lee, Ogle & Sapolsky, 2002; Paykel,
2002). Stress also has significant effects on brain functioning, particularly
on memory, concentration and learning.
Stress has also been implicated in heart disease through activation of
the sympathetic nervous system which leads to:
• constriction of arteries (may block blood flow to the heart)
• blood becoming stickier (may lead to artery clogging or blood clot)
• release of fat into the bloodstream (raising blood-cholesterol levels)
• altered heart rhythms (risk of serious arrhythmias)
• sudden increases in blood pressure (may damage the inner lining of
blood vessels; damage to the vascular system also increases the
likelihood of a stroke).

Chronic stress compromises the immune response and increases the risk
of infections. Some research has found that HIV-infected men with high
stress levels progress more rapidly to AIDS compared to those with lower
stress levels.
Stress has also been linked to gastrointestinal problems, such as
irritable bowel syndrome and peptic ulcers. Other illnesses associated
with stress include muscular and joint pain, headaches, sexual and
reproductive dysfunction, skin disorders and allergies (Rice, 1998).

Coping and stress reduction

Lazarus and Folkman (1984, p. 141) define coping as the ‘constantly
changing cognitive and behavioural efforts to manage specific external
and/or internal demands that are appraised as … exceeding the
resources of the person’. People utilise a variety of mechanisms to cope
with, manage or reduce the stress produced from daily hassles or life
changes and events.

Figure 21.10 One way to cope with, manage or reduce stress

Adaptive reactions refer to behaviours designed to manage the daily

hassles that people encounter through, for example, exercising,
meditating, talking to others, crying and going on holiday. Adaptive
reactions can also be classified as problem focused, emotion focused or
avoidance-withdrawal, among other styles (Laureano, Grobbelaar &
Nienaber, 2014). With problem-focused coping, people will typically
identify what is causing them to feel stressed, confront it, and plan the
best way to manage their stress. ese reactions require rational thinking
and self-control. On the other hand, emotion-focused coping is directed
at efforts to avert negative emotions and boost self-control. Avoidance-
withdrawal coping involves either social withdrawal and isolation or
psychological withdrawal.
 ere has been some criticism of the coping research. Coyne and
Racioppo (2000) argue that the several decades of descriptive research
based on various checklists and other instruments has yielded
disappointing results. ey argue that the checklists are often too general
and abstract in their questions. Because of this, and also because
situations requiring coping are often diverse and complex, the research
results are confusing and unclear (Coyne & Racioppo, 2000). ere has
also been criticism of the distinction between emotion- and problem-
focused coping. Coyne and Racioppo (2000) point out that seeking social
support may be either one or the other, depending on the timing of the
action and who is approached. Because of this, the power of the research
to drive intervention strategies is limited (Coyne & Racioppo, 2000).
Lastly, people may be taught coping skills, but this is no guarantee that
they will actually apply them when the time comes.
ere are a number of practical things that we can do to reduce stress;
if such changes do not contain the stress, then professional help should
be sought:
• A sound knowledge of stress helps us identify our sources of stress.
• Healthy lifestyle changes should be considered. ese include regular
exercise, restructuring priorities, increasing leisure and developing
good social networks. Also important is a healthy diet (rich in a
variety of whole grains, vegetables and fruits, low in fat and free of
excessive alcohol, caffeine and tobacco).
• It is helpful to engage in healthy psychological behaviours such as
discussing and expressing feelings of anger and frustration, being
optimistic and keeping a balanced perspective on life.
• Learning relaxation techniques. Relaxation lowers blood pressure,
respiration and pulse rates, releases muscle tension and eases
emotional strains. A combination of progressive relaxation and
imagery seems most beneficial.

Social and cultural influences on an

individual’s experience of stress
 Stress has been extensively researched in psychology, suggesting that it is
a predominantly Western notion. Wong, Wong and Scott (2006) critique
traditional Western theories of stress, saying that they typically ignore
contextual factors, and cultural contexts in particular. However, the lack
of an equivalent term in African languages makes the understanding of
this concept in these cultures difficult. Generally, the words used among
African-language speakers to describe stress are words employed to refer
to general negative emotional problems, such as depression or abuse.
But, among younger African people, the hybrid word istress is being
increasingly used (Ngcobo & Pillay, 2008). Whatever term is used, it is
essential to consider construct equivalence, as it is clear that how stress,
as well as other psychological constructs, reflect ‘our cultural values,
worldviews, and hidden ideologies’ (Wong et al., 2006, p. 6).
Sociocultural contexts certainly influence stress reaction and
perception (Ahmad-Nia, 2002; Cuellar, 2002). We need a better
understanding of how various social and cultural structures influence
and shape the individual’s experience of stress, and research should also
focus on what events are perceived as stressful and what coping
strategies are acceptable to use in a particular society (Pedersen, 2006).
Answers to these questions would aid in the understanding, recognition
and management of stress in multicultural contexts.

SUMMARY

• Coping involves cognitive and behavioural efforts to manage demands that are appear to exceed
our resources.
• People cope in various ways: problem-focused, emotion-focused and avoidance-withdrawal
coping.
• People can also manage their stress through improved diet, increased exercise and relaxation,
developing good social networks and maintaining a positive and balanced perspective on life.
• In a multicultural context it is essential to consider the social and cultural context in which stress is
experienced.
• There is no certainty of the equivalence of psychological constructs between people from diverse
cultures.

Conclusion
ere is a clear link between risk behaviours and stress. While the
different levels of influence on risk behaviour have been explored
separately, a fundamental principle of the ecological-systems
approach is that there is a reciprocal relationship between the
individual, interpersonal, community and societal levels of influence.
Any intervention aimed at behaviour change should thus ideally
address the influences maintaining the high-risk behaviour at each
level.
Stress is difficult to define because of the variety of meanings
associated with the concept. While traditionally, stress research
involved the body’s reaction to stressors and the cognitive processes
that influence the perception of stress, theories such as the
transaction theory of stress and the bio-psychosocial model of stress
are more comprehensive and allow a better understanding of stress.
Because stress has important implications for human functioning,
there is a growing concern about how the pressures of modern living
may severely impact on our health. Based on theory and research,
there are a number of practical things that can be done to reduce
stress. ese include: gaining a sound knowledge of stress, adopting
healthy lifestyle changes, engaging in healthy psychological
behaviours, learning relaxation techniques and knowing when to seek
professional help and advice.

KEY CONCEPTS

action stage: the fourth stage in the stages-of-change model, during

which people take significant steps to change their behaviour
acute stress (short-term stress): the reaction to an immediate threat,
which results in the fight-or-flight response
adaptive reactions: behaviours designed to manage the daily hassles
that people encounter
alarm reaction: according to the general adaptation syndrome, the
first stage of psycho-physiological responses to a stressor (equivalent
to the fight-or-flight response)
autonomic nervous system: a nervous system that is divided into
two separate but interdependent systems – the sympathetic and
parasympathetic systems, which generally have opposing functions
avoidance-withdrawal coping: reactions to stressors that involve
avoiding the stressor by social and/or psychological withdrawal
BIODOTTM: a device much like a miniature thermometer that can
measure the change in temperature at the surface of the skin
bio-psychosocial model of stress: a comprehensive model of stress
that involves three elements: internal components, external
components and the interaction between internal and external
components
choice anxiety: a type of anxiety that occurs when people have strong
positive and negative emotions about their needs (approach–
avoidance conflict), or when they have to choose between two
equally appealing needs (approach–approach conflict) or two equally
unappealing needs (avoidance– avoidance conflict)
chronic stress (long-term stress): chronic stress is typical of modern
life, which poses ongoing stressful situations that are not short-lived
so that the fight-or-flight reaction has to be suppressed
cognitive expectations: beliefs about the likely results of an action in
terms of rewards or punishments
conflict: a source of stress when people want to satisfy a number of
needs at the same time
conscientisation: a process that enables members to develop skills to
critically analyse their problems and to recognise the roles they may
take in changing their social conditions
contemplation stage: the second stage in the stages-of-change
model during which people become aware of their problem
behaviour, and start to consider doing something about it
cues to action: factors that activate a readiness to change
cultural perspectives: explanations of risk behaviours that take into
account the influence of the cultural context within which they occur
distress: too much stress, resulting in ill health, poor performance
and dysfunctional behaviour
ecological-systems approach: an approach that understands
vulnerability to risk behaviour as being influenced by multiple
contexts, which can be broadly categorised into four levels of
influence, namely the individual level, interpersonal level,
community level and societal level
emotion-focused coping: reactions to stressors that are directed at
efforts to avert negative emotions and boost self-control
endocrine system: a slow-acting system that controls body function
and activity through chemicals called hormones
eustress: the optimal level of stress, which is necessary for optimal
functioning, health and performance
exhaustion stage: according to the general adaptation syndrome, the
final stage of psychophysiological responses to a stressor that occurs
after a prolonged state of arousal
external component: according to the bio-psychosocial model of
stress, a component of stress that involves environmental events that
precede the recognition of stress and can elicit a stress response
fight-or-flight response: a response to a perceived threat whereby
the body reacts immediately in a sequence of psycho-physiological
responses
frustration: a source of stress caused by people being unable to attain
their objectives
frustration–aggression hypothesis: a hypothesis that proposes that
people who experience frustration will react with aggression and
anger
general adaptation syndrome (GAS): a set of reactions that mobilise
the organism’s resources to deal with an impending threat
hassles: minor negative events
health belief model (HBM): an early model developed to understand
preventive health behaviours
incentives: positive reinforcements that encourage a particular
behaviour
interaction between the external and internal components:
according to the bio-psychosocial model of stress, a component of
stress that involves the individual’s cognitive processes
intermittent stress: responses to stressors that vary in duration,
alternating between periods of stress and calm
internal component: according to the bio-psychosocial model of
stress, a component of stress that involves the psychophysiological
reactions to stress
maintenance stage: the final stage in the stages-of-change model,
during which people make every effort to continue with successful
strategies that helped them change their behaviour
parasympathetic system: a part of the autonomic nervous system
that brings the body back to its rested state
person-centred interventions: work with individuals and groups to
promote health-protective behaviour (also referred to as a resilience-
enhancing process)
precontemplation stage: the first stage in the stages-of-change
model, during which people have no intention of changing their
behaviour and may be unaware of the risk they are placing
themselves at
preparation stage: the third stage in the stages-of-change model,
during which people begin to take small steps towards changing their
behaviour and begin to formulate specific intentions to change their
behaviour soon
pressure: an individual’s sense that he/she needs to conform to, or
perform according to, other people’s expectations
primary appraisal: an individual’s evaluation of an event as stressful,
and the categorisation of this event as a harm, a loss, a threat or a
challenge
problem-focused coping: reactions to stressors whereby people will
typically identify what is causing them to feel stressed, confront it,
and plan the best way to manage their stress
protective factors: influences that limit or reduce the likelihood of
high-risk behaviour and play a moderating or buffering role
resilience: successful adaptation to the environment despite
exposure to risk
resistance stage: according to the general adaptation syndrome, the
second stage of psycho-physiological responses to a stressor that is a
continued state of arousal
risk: the possibility of harm; the action of putting something in
danger
risk behaviours: specific forms of behaviour that are proven to be
associated with increased susceptibility to a specific disease or ill-
health
risk factors: those bio-psychosocial behaviours or environments that
increase susceptibility to a specific disease or illness
secondary appraisal: an individual’s evaluation of his/her coping
resources and options after an event has been categorised as a threat
or a challenge
self-efficacy: the belief that one has the ability to act to achieve
certain goals or to manage a situation
self-imposed stress: stress that arises out a person’s desire to win or
succeed
situation-centred interventions: interventions that are focused on
creating more protective environments which enable individuals and
groups to practise healthy behaviour
social action: a process that encourages people to take part in
community efforts towards a common goal
social capital: a protective factor provided by community social
networks, wherein membership of a social group or network secures
certain benefits for an individual
social-cognitive model (SCM): a theory that emphasises the
importance of the intervening thought processes, self-efficacy,
expectancies and incentives in the performance of a behaviour
Social Readjustment Rating Scale (SRRS): a method for measuring
cumulative stress that a person is exposed to over a period of time
stages-of-change model (SCM): a model with various stages
explaining how people give up addictive behaviours
stress: a set of physiological, psychological and behavioural reactions
that serve an adaptive function
stressors: stimuli that cause stress reactions, arising from
physiological, psychological, sociocultural and/or environmental
factors
 structuralist perspectives: explanations of risk behaviours that take
into account the influence of the structural environment within
which they occur
sympathetic system: a part of the autonomic nervous system that is
responsible for arousal or a stimulated state
theory of planned behaviour (TPB): an extension of the theory of
reasoned action that, through its concept of perceived behavioural
control, takes into account structural constraints or facilitators in
behavioural intentions
theory of reasoned action (TRA): a theory that proposes that
people’s behaviour results from an intention to carry out the
behaviour, which in turn is determined by a combination of their
attitude towards the behaviour, together with their beliefs about what
others, whose opinions are valued, want them to do
transaction theory of stress: the theory that proposes that if
individuals make a two-part cognitive appraisal of an element of their
environment and perceive a mismatch between the demands of a
situation and their resources to cope with it, the situation will be
appraised as a stressor
uplifts: minor positive events
vulnerability: susceptibility to negative outcomes under certain
conditions

EXERCISES

Multiple choice questions

1. Risk behaviour refers to specific forms of behaviour that are proven to

be associated with:
a) increased susceptibility to protective factors
b) increased susceptibility to a specific disease or ill health
c) decreased susceptibility to a specific disease or ill health
d) both a and b are correct.

2. Vulnerability is defined as susceptibility to:

 a) positive outcomes under conditions of resilience
b) positive outcomes under conditions of risk
c) negative outcomes under conditions of risk
d) negative outcomes under conditions of resilience.

3. Locate the appropriate categorisation:

a) individual (health belief model), interpersonal (social-cognitive
model), community (social capital model), societal (cultural
model)
b) individual (health belief model), interpersonal (social-cognitive
model), community (cultural model), societal (social capital
model)
c) individual (social cognitive model), interpersonal (health belief
model), community (cultural model), societal (social capital
model)
d) none of the above is correct.

4. Which statement is associated with the concept of perceived benefit?

a) Using a condom will protect me from contracting HIV/AIDS.
b) I feel confident in using a condom.
c) I find it difficult to talk to my sexual partner about using a
condom.
d) I currently use a condom.

5. Social capital refers to:

a) membership of a social group or network that secures certain
benefits for the member
b) membership of a social group or network that marginalises the
member from certain benefits
c) membership of a social group or network that allows the member
to act more independently
d) none of the above is correct.

6. Stress may be seen as:

 a) a variety of negative feelings and reactions that accompany
threatening or challenging situations
b) a set of physiological, psychological and behavioural reactions
that serve an adaptive function
c) the body’s reaction to stressors and the cognitive processes that
influence the perception of stress
d) all of the above are correct.

7. e transactional theory of stress focuses on:

a) the relationship or interaction between the individual and the
environment that places excessive demands on the individual’s
resources
b) the cognitive appraisal of stress
c) both a and b
d) interpersonal dynamics.

8. Cognitive appraisal involves:

a) the evaluation of an event as stressful and an assessment of the
coping resources and options
b) rational assessment of a situation that may or may not be stressful
c) secondary appraisal
d) primary appraisal.

9. e fight-or-flight response involves:

a) the body’s delayed reaction to psycho-physiological responses
b) the body’s automatic response to a situation
c) the autonomic nervous system and the endocrine system.
d) both b and c.

10. e general adaptation syndrome (GAS) refers to:

a) a set of reactions that mobilise the organism’s resources to deal
with an impending threat
b) the alarm reaction, the stage of resistance and the stage of
exhaustion
c) both a and b
 d) the fight-or-flight response.

Short-answer questions
1. What are risk factors and risk behaviours?
2. What is resilience?
3. What do resilience-enhancing interventions attempt to do?
4. What are the main criticisms of the models of understanding risk
behaviour at the individual and interpersonal levels?
5. Why is it important to consider culture in understanding risk
behaviour?
6. What is stress?
7. Explain the different categories of stress.
8. How does stress impact on a person’s health and functioning?
 Substance abuse and
CHAPTER
psycho-pharmacology 22
Bronwyn Myers & Arvin Bhana; Elias Mpofu

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• define substance misuse, abuse and dependence
• discuss the continuum concept of problem severity
• understand the mechanisms underlying drug tolerance and dependency
• discuss a variety of theories explaining substance use disorders
• explain and discuss risk, vulnerability, resilience and protective factors with regard to substance
abuse
• outline how risk, vulnerability, resilience and protective factors operate at multiple levels of
influence
• describe the mechanisms of action of psychoactive drugs
• distinguish between drug potency, efficacy and dose
• explain the need to monitor drug consumption
• describe the classes, the uses and the effects of psychoactive drugs.

CASE STUDY

Xolani had grown up in a household where nobody drank alcohol but, like many South African
teenagers, he had learned a great deal about drugs and alcohol while he was still at school. Many
of the kids drank beer on the weekends, and Xolani had heard that it was really easy to buy drugs
on the street or even inside the grounds of his high school. Xolani’s school teachers spoke to them
quite a lot about the dangers of drugs, but he knew that most of the class didn’t take their
warnings seriously. Some of the kids at school didn’t seem to be affected very much by their
drinking, or even by taking drugs. But over time one could see that some kids were affected. There
was one boy from his class who had been smoking white pipes, a mixture of dagga and mandrax.
He dropped out of school before the end of Grade 10, even though he had been one of the bright
kids in the class before he started smoking.
Since Xolani had come to university, he had also noticed how much drinking was regarded as a
normal part of campus life. He would often overhear other students talking about how much they
had had to drink the previous night and everyone would laugh as they held their heads
 complaining of a ‘hangover’. Most social activities on campus seemed to involve drinking and
sometimes he felt a bit left out.
Xolani had heard that some people were also addicted to prescription drugs or to medicines
that didn’t need a prescription (over-the-counter medicines). Xolani had always believed that
prescription drugs should only be taken as a last resort and that the body should be allowed to
heal itself before a person started popping pills. But when his best friend, Clive, was diagnosed with
panic disorder, Xolani advised him to try to deal with his irrational fears through talking to a
psychotherapist and taking the medication his doctor had prescribed. Clive began to feel much
better. He continued to see his psychotherapist and eventually was able to function as he had
before the onset of his panic attacks. Today, almost a year later, Clive is no longer taking medication
for his panic attacks and is only seeing his psychotherapist occasionally.

Introduction
Historically, the term ‘substance use’ has been used to cover the broad
spectrum of alcohol and drug use; these are known as psychoactive
substances. ese include any substance which when taken (swallowed,
inhaled, injected, etc.) has the ability to alter a person’s consciousness,
mood or cognitive processes. According to Morojele, Parry, Brook and
Kekwaletswe (2012, p. 196), substance use refers to ‘the use of any
psychoactive substance, regardless of the frequency of use, or any
problems associated with the use of the substance’. However, it is
important to understand that substance use is often the first stage in a
progression to ultimate disease. It often also leads to dependence on the
substance. e next step is substance abuse or misuse. ese terms are
defined below:
• Substance misuse refers to substance use which results in some
adverse consequences that are not recurrent (e.g. a single drunken-
driving charge would be an example of alcohol misuse).
 22.1 THE CAUSES OF SUBSTANCE USE DISORDERS
Intrapersonal factors
Intrapersonal factors are those factors that are located within the individual, such as biological or
psychological causes. According to the American Society of Addiction Medicine (2011), genetic
inheritance accounts for about 50 per cent of the likelihood of an individual developing an addiction
The person may also be experiencing distortions in purpose, values and spiritual experience.

Interpersonal factors
Interpersonal factors are those factors that are located between individuals, such as peer influence
and social learning experiences, as well as disruption in social support.

Environmental factors
Environmental factors are those factors that are located within a particular environment, such as a
culture of drug use or a high availability of alcohol in a particular community.

• Substance abuse refers to a maladaptive pattern of substance use

that manifests recurrently and has significant negative consequences
(e.g. being late for work repeatedly due to a hangover from alcohol
abuse use the previous night).
• Substance dependence refers to a cluster of cognitive, behavioural
and physiological symptoms (including tolerance and withdrawal –
see more on these later in the chapter) indicating that a person
compulsively continues to use a substance despite significant
substance-related problems. Alcoholism is a lay term for alcohol
dependence.

Conceptual understandings of
substance dependence
Historically, conceptual understandings of substance dependence have
been dominated by categorical thinking that viewed substance
dependence as either present or absent (Miller, 1996). Researchers have
since argued that substance use behaviour occurs on a continuum of
problem severity. at is, substance use behaviour ranges from non-
problematic (recreational) use, through misuse, to substance abuse and,
finally, substance dependence (Myers, Louw & Fakier, 2008). ese
categories suggest that substance abuse occurs as a sort of continuum
from least serious (substance use) to most serious (substance
dependence).
However, in terms of DSM-5, the former (DSM-IV-TR) categories of
substance abuse and substance dependence have been combined to
form the category substance use disorder. e notion of a continuum still
exists in DSM-5, however, in the form of severity specifiers. For example,
alcohol use disorder may be mild, moderate or severe, depending on the
number of symptoms of the disorder shown by a person. In addition,
each substance is addressed separately, such that a person may be
diagnosed with alcohol use disorder and stimulant use disorder, for
example.
Figure 22.1 Examples of common substances available today

Substance dependence can be understood as addiction. According to

the American Society of Addiction Medicine (2011), addiction ‘is a
primary, chronic disease of brain reward, motivation, memory and
related circuitry’. Addiction involves craving, an inability to abstain,
reduced ability to recognise problems in behaviour and relationships and
a problematic emotional response.
Different degrees of problem severity require different types of
interventions (see Figure 22.2). e more severe the problem, the less
likely it is that a person will be able to return to non-problematic use. For
such individuals, the primary goal of treatment should be abstinence. In
contrast, the less severe the problem, the more likely it is that the person
will be able to maintain non-problematic use. For these individuals, a
goal of treatment could be controlled use.

Figure 22.2 The continuum of substance-use behaviour

22.2 THE EXTENT OF SUBSTANCE ABUSE AMONG PEOPLE
ACCESSING SPECIALIST TREATMENT CENTRES AND
PSYCHIATRIC HOSPITALS IN THREE AREAS IN SOUTH
AFRICA
This data comes from the South African Community Epidemiology Network on Drug Use (SACENDU) &
Medical Research Council. SACENDU is ‘a network of researchers, practitioners and policy makers from
six sentinel areas in South Africa’ surveying alcohol and other drug use trends (Johnson et al., 2014, p. 1)
The data represents the primary substance of abuse among people accessing specialist treatment
centres and psychiatric hospitals in three of the six sentinel areas.

Figure 22.3 Alcohol and drug abuse in the Western Cape using specialist treatment data (Johnson
et al., 2014)

Figure 22.4 Alcohol and drug abuse in KwaZulu-Natal using specialist treatment data (Johnson et
al., 2014)
 Figure 22.5 Alcohol and drug abuse in Gauteng using specialist treatment data (Johnson et al.,
2014)

*Methamphetamine

SUMMARY

• The broad spectrum of alcohol and drug use includes misuse, abuse and dependence.
• Historically, substance dependence has been viewed as either present or absent. Other researchers
have argued that substance use behaviour occurs on a continuum of problem severity.
• Most recently, DSM-5 has combined the abuse and dependence diagnoses into a single diagnosis
of substance use disorder.
• Substance dependence can be understood as addiction.
• Different degrees of problem severity require different types of interventions.

Drug dependence and tolerance

One aspect of psychoactive substances is that people may develop
dependence and/or tolerance of the substance. is section will briefly
discuss the underlying mechanisms involved in drug dependence and
tolerance.
Drug dependence may involve physical or psychological dependence
(or both) (Parrott, Morinan, Moss & Scholey, 2004). In physical
dependence, the person must maintain a certain level of drug in his/her
bloodstream in order to function effectively. Not taking the drug and/or
reduced blood levels of the drug result in withdrawal symptoms (or
abstinence syndrome), and a compulsive need to find and use the drug
to restore a drug-induced sense of well-being (Parrott et al., 2004). Some
drugs produce psychological dependence more than physical
dependence (Maisto, Galizio & Connors, 2004). For example, some
cannabis users crave the positive feelings associated with using this drug,
although the abstinence experience is not a strong as with nicotine,
cocaine or amphetamines (Parrott et al., 2004). When people have drug
dependence (or addiction), they seem to be driven by a bio-
psychological need to maintain some equilibrium in the drug level
present in the person’s blood circulation at any one moment, since re-
taking the drug treats the withdrawal symptoms or restores a sense of
well-being. Cross-dependence is a type of drug dependence where
people develop a dependency on a drug that was initially used to relieve
the withdrawal symptoms experienced when ceasing to use another
drug.
Drug tolerance refers to the need to consume increasing amounts of a
drug to experience the desired effect. Two processes have been linked to
the development of drug tolerance: metabolic (pharmacokinetic)
tolerance and pharmacodynamic tolerance (Julien, 1996; Parrott et al.,
2004). Metabolic tolerance arises from the liver breaking down
psychoactive drugs into usable derivatives or waste matter for eventual
cleansing from the body. Psychoactive drugs typically increase the
actions of enzymes of the liver cells. Repeated exposure to psychoactive
drugs accelerates the rate at which these drugs are decomposed by the
liver, leading to the need for higher dosages of a drug to achieve the same
psychopharmacological effects as before.
Pharmacodynamic tolerance, by contrast, derives from cellular
adaptation that occurs with repeated use of a psychoactive agent (Parrott
et al., 2004). In this case, tolerance develops because the number of
receptors for a particular psychoactive drug increases so that synaptic
drug processing is rapid or has a ‘washout’ effect. Pharmacodynamic
tolerance is also possibly due to the fact that receptor sensitivity to a drug
may be reduced by overexposure. In both cases, greater dosages of the
drug will be required to achieve the desired effect. e fact that people
 who abuse alcohol develop a tolerance for it is due to both metabolic and
cellular adaptation tolerance. Cross-tolerance is when a person has a
reduced response to a drug because of previous exposure to another drug
in the same family (Parrott et al., 2004).

SUMMARY

• Drug dependence may involve physical or psychological dependence.

• In physical dependence, the person must maintain a certain level of drug in his/her bloodstream in
order to function effectively and to avoid withdrawal symptoms.
• In psychological dependence, users crave the positive feelings associated with using the drug.
• Cross-dependence occurs when people develop a dependency on a drug that was initially used to
relieve the withdrawal symptoms experienced when stopping another drug.
• Drug tolerance refers to the need to consume increasing amounts of a drug to experience the
desired effect.
• Metabolic tolerance arises from the liver breaking down psychoactive drugs into usable derivatives
or waste matter for eventual cleansing from the body.
• Pharmacodynamic tolerance derives from cellular adaptation that occurs with repeated use of a
psychoactive agent.
• Cross-tolerance is when a person has a reduced response to a drug because of previous exposure
to another drug in the same family.

Understanding the causes of

substance use disorders
Numerous theories have tried to identify the aetiology of substance use
disorders. Aetiology is the term used for the study of the causes of
disorders and diseases. Some theories have examined intrapersonal
factors, such as inherited vulnerability. Other theories have identified
interpersonal factors, such as family discord. e role of environmental
factors in the aetiology of substance use disorders has also been
explored. To date, no single cause has been able to explain fully the
development of substance use disorders, and it is now widely recognised
that substance use disorders have multiple causes.
The risk and resilience approach to substance use
disorders among adolescents
Risk factors are those behaviours or environmental factors that increase
susceptibility to a specific risk. e recognition that there are multiple
factors that place an adolescent at risk for developing a substance use
disorder led to the adoption of a risk-factor approach to understanding
substance use among adolescents (De Wit & Silverman, 1995). Further
research has shown that substance use disorders have a number of
causes (Kilpatrick et al., 2000), and that as the number of risk factors
increases, the risk of an individual developing a substance use disorder
also increases (Cosden, 2001).
However, the risk of developing a substance use disorder is mediated
by protective factors that provide adolescents with the resilience to
withstand the pressures of living in a risky environment (Cosden, 2001;
Fergus & Zimmerman, 2005). Risk factors and protective factors are thus
seen as two conceptually distinct dimensions that together predict
vulnerability to substance use (Cosden, 2001; Weinberg, 2001). Risk
factors tend to predict the increased likelihood of vulnerability. In
contrast, protective factors predict a decreased likelihood of
vulnerability. But it should be noted that it is only in high-risk
environments that protective factors act to buffer the probability of drug
use occurring (Amaro, Blake, Schwarz & Flinchbaugh, 2001; Weinberg,
2001). A vulnerability model of substance use disorders is depicted in
Figure 22.6.
Figure 22.6 A vulnerability model of substance use disorders

Individual, interpersonal and environmental

aetiological factors
As mentioned, researchers have identified multiple sets of risk factors
and protective factors that operate at the level of the individual, at the
level of interpersonal functioning, and at the level of the environment
(Amaro et al., 2001). e following subsections examine factors
implicated in the development of substance use disorders for each level
of functioning.

Factors located at the level of the individual

Biological factors
e possibility of a genetic predisposition to developing alcohol and
other drug (AOD) problems has been widely investigated through the use
of family, adoption and twin studies (Bevilaqua & Goldman, 2009). A
review of controlled family studies reported that the risk for developing
alcohol dependence was three times greater among first-degree relatives
of alcoholics than controls, and the risk for developing drug dependence
was two times greater among first-degree relatives of alcoholics than
controls (Merikangas & Avenevdi, 2000), while the American Society of
Addiction Prevention (2011) reports that 40 to 60 per cent of a person’s
predisposition to addiction is the result of genetics.
Twin studies have compared monozygotic (identical) twins and
dizygotic (fraternal) twins to establish the extent to which substance use
disorders are hereditary. Heath, Bucholz, Madden et al. (1997) reported
that two-thirds of the risk for developing alcohol-related problems was
genetically mediated, with the remainder of the risk being determined by
environmental factors not shared by the two members of the twin pair.
Kendler and Prescott’s (in Weinberg, 2001) study of monozygotic and
dizygotic twins found heritability for substance dependence of up to 80
per cent in some populations. ere appears to be significantly greater
heritability for substance dependence than for substance abuse, and
significantly greater heritability for substance abuse than for non-
problematic use (Merikangas & Avenevdi, 2000).
ere seem to be two major neurological processes that contribute to
the development of substance dependence (Miller, 2013):
• Reinforcement refers to the presence of a rewarding stimulus or the
relief of an unpleasant sensation that increases the probability of a
particular behavioural response (such as AOD use).
• Neuro-adaptation refers to the compensatory adjustment the brain
makes in an attempt to continue normal functioning despite the
presence of AODs.

Occurring together, reinforcement and neuro-adaptation seem to

underlie both the acute response to AODs and the establishment of the
long-term tolerance, craving and withdrawal characteristics of substance
dependence.

Psychological factors
A number of personality traits have been identified as risk factors for
substance use disorders. ese include high levels of novelty seeking and
sensation seeking (Ersche, Turton, Pradhan, Bullmore & Robbins, 2010).
People with high levels of disinhibition (low levels of behaviour control
and high levels of impulsivity) also appear to be at risk for substance use
disorders (Amaro et al., 2001; Griffin, Botvin, Epstein, Doyle & Diaz, 2000;
Weinberg, 2001). Ersche et al. (2010) found that impulsivity mediates the
risk for AOD dependence, while ‘abnormal sensation seeking’ may follow
stimulant drug abuse.
e initiation of AOD use is also associated with an external locus of
control and low self-esteem (Amaro et al., 2001). In addition, deficits in
psychosocial skills such as poor coping and weak communication skills
have been linked to drug use (Amaro et al., 2001). Similarly,
unconventional attitudes including tolerance for deviance and
delinquency are important predictors for adolescent drug use (Brook,
Pahl, Morojele & Brook, 2006).
Psychiatric problems such as conduct disorder and antisocial
behaviour also contribute to the development of substance use disorders
(Amaro et al., 2001; Assanangkornchai, Geater, Saunders & McNeil,
2002). Depression and anxiety disorders have also been strongly linked to
the initiation of AOD use (Amaro et al., 2001; Donovan, 2004; Merikangas
& Avenevdi, 2000). For women, post-traumatic stress disorder (due to
childhood abuse or intimate-partner violence) is a significant predictor
of substance use disorders (Kilpatrick et al., 2000; Saloman, Bassuk &
Huntington, 2002).
Various psychological characteristics that reduce the risk of AOD use
in adolescents have been identified. ese include autonomy, social
competence, problem-solving ability, intelligence, and high levels of
religiosity, self-esteem, affect regulation and conventionality (Fergus &
Zimmerman, 2005; Wills, Sandy, Yaeger & Shinar, 2001).

Factors located at the level of interpersonal

functioning
Family factors
Family dysfunction (drug use, criminal behaviour, negative life events,
parent–child conflict or marital discord) has been associated with
adolescent drug use (Brook et al., 2006). In contrast, positive family role
models tend to buffer the risk of adolescent drug use (Fergus &
Zimmerman, 2005; Wills et al., 2001).
e attachment and control aspects of the parent– adolescent
relationship have also been associated with adolescent drug use. In
terms of attachment, parental displays of affection and identification
with the parent (Morojele & Brook, 2001) have been associated with
reduced involvement with AODs as have a family environment with
strong ties and high levels of social support (Amaro et al., 2001;
Weinberg, 2001). In contrast, parental absences and poor parental
monitoring have been associated with greater drug use (Donovan, 2004;
Weinberg, 2001).
In terms of control, parental permissiveness and authoritarian
disciplinary practices (Donovan, 2004; Morojele & Brook, 2001) as well as
inadequate and inconsistent family management practices have been
associated with greater drug use. In contrast, adolescents with high
perceptions of family sanctions against drug use tend to be buffered
against drug use (Weinberg, 2001). For example, a study of 826
adolescents revealed that family rules and parental monitoring provided
a significant buffer against substance use (Stewart, 2002).

Peer factors
Peer-related variables, especially hanging out with friends after school,
close involvement with drug-using peers and peer pressure, are powerful
predictors of adolescent drug use (O’Connell, Boat & Warner, 2009;
Weinberg, 2001). In general, the possibility of an adolescent engaging in
AOD use increases the more they are embedded in a substance-using
peer context (Hussang, 2002). Peer pressure is a common reason given by
South African adolescents for AOD use and misuse (Brook et al., 2006).

Factors located at the level of the environment

Mainstream institutions
e degree of attachment to mainstream institutions (e.g. schools and
religious organisations) is a significant predictor of AOD use among
adolescents (Amaro et al., 2001; Donovan, 2004). Dropping out of school,
poor school attendance (Amaro et al., 2001), school failure, low levels of
educational achievement and/or educational aspirations (Morojele &
Brook, 2001), and low investment in academic institutions (Hawkins,
Catalano & Arthur, 2002) are significantly associated with increased
involvement in AOD use. In contrast, where there is a high degree of
attachment, these factors appear to operate as protective factors that
buffer the risk of AOD use.

Social factors
Social factors include exposure to substance use/abuse in a person’s
community, as well as the degree of acceptance or approval of such
activities within the community (Morojele et al., 2012). e latter may be
indicated by the way in which substance use is depicted in social media.
is primarily relates to alcohol as it is a legal substance, although its use
is restricted for vehicle drivers. In South Africa (and globally), there are
frequent media campaigns against alcohol abuse, especially for drivers
and pedestrians. In addition, the South African government has
introduced draft legislation for a total ban on alcohol advertising. ere is
strong support for this from public health agencies. For example, Parry,
Harker Burnhams and London (2012, p. 602) note that ‘making alcohol
less available and more expensive, and placing a ban on alcohol
advertising, are the most cost-effective ways to reduce the harm caused
by alcohol’. is move has been strongly opposed by the alcohol and
advertising industries which cite the potential harm caused to the
economy in terms of job losses and the anticipated increase in illicit sales
of alcohol (Ramsoomar, 2015).

Cultural and economic factors

Ethnic minorities often face a number of stressors, such as exposure to
violence, lower educational attainment, lower income, the inability to
secure employment and daily experiences of discrimination. ese
experiences appear to act as indirect risk factors that increase stress
levels and therefore the likelihood of AOD use (Amaro et al., 2001; Brook
et al., 2006). In South Africa, many families have been stressed by the
economic and social changes associated with the end of apartheid and
these environmental factors are associated with increased AOD use
(Brook et al., 2006).
Poverty has also been a contributing factor to AOD use as micro-
enterprises have developed around the production and distribution of
AODs. ese informal sales provide many with an income and play a
significant role in the economy (Parry, Bhana, Plüddemann et al., 2002).

Occupational factors
In South Africa, certain occupational factors have also contributed to
high levels of alcohol misuse. In the farming areas of the Western Cape,
the dop system or tot system (where farm workers received alcohol as
part payment of their wages) has been a significant contributing factor to
high levels of alcohol dependence among these communities (London,
2000; Parry, Bhana, Myers et al., 2002) (for the effects of alcohol on
unborn babies, see Chapter 3). e mining industry has also contributed
to high levels of alcohol misuse. Lightfoot, Maree and Ananias (2009)
report that various features of miners’ lifestyles encouraged alcohol
misuse, especially the living conditions. Many migrant miners live in
same-sex hostels where the only place to socialise is the local liquor
outlet. Lightfoot et al. (2009) note that, apart from the direct
consequences of the alcohol abuse, this situation creates a high-risk
environment for the transmission of HIV.
 SUMMARY

• It is now widely recognised that substance use disorders have multiple causes; it is thus helpful to
take a risk and resilience approach to understanding the aetiology of these disorders.
• As the number of risk factors increases, the risk of an individual developing a substance use
disorder also increases; however, the risk of developing a substance use disorder is also mediated
by protective factors.
• Risk and protective factors may operate at individual, interpersonal and/or environmental levels.
• Biological factors include a genetic predisposition as well as the neurological processes of
reinforcement and neuro-adaptation.
• Psychological factors include personality traits like novelty seeking and sensation seeking,
impulsivity, external locus of control, low self-esteem, poor coping and weak communication skills.
• Conduct disorder and anti-social behaviour also contribute to the development of substance use
disorders, as do depression and anxiety, and childhood abuse or intimate-partner violence.
• Family dysfunction in terms of weak or inappropriate role models, conflict, weak attachment and
social support are significant factors. Parental permissiveness or authoritarian disciplinary practices
are also important.
• Peer-related variables are powerful predictors of adolescent drug use.
• Degree of attachment to mainstream institutions like schools and religious organisations is a
significant predictor of AOD use among adolescents.
• Social factors include community exposure to and/or approval for substance use; the social media
have an important role to play in promoting or preventing substance use.
• Cultural (e.g. discrimination) and economic factors (e.g. poverty) also predict AOD use.
• In South Africa, the dop (tot) system has contributed to high levels of alcohol dependence among
farm labourer communities. The mining industry has also contributed to high levels of alcohol
misuse.
 22.3 THE AVAILABILITY OF AODS IN SOUTH AFRICA
According to the public health model, vulnerability to substance use disorders is linked to accessibility
and availability of AODs (Gruenewald, 2011). Over the last few decades, AODs have been increasingly
available and accessible in South Africa (Morojele et al., 2012). This is due in part to socio-political
changes that have made South Africa an attractive new market for drug merchants. These changes
include relaxed border controls, poorly resourced law enforcement agencies, increased international
travel, good transport and banking facilities, and the country’s relative affluence in the region. South
Africa’s geographic location also makes it a convenient transshipment point for drugs to Europe and the
US (Parry, Bhana, Plüddemann et al., 2002).
Parry et al. (2012, p. 197) note that ‘[r]ates of illicit drug use are particularly high among young people
in South Africa’ and that there is an association between AOD use and involvement in crime, violence
and injury. In 2013, News24 reported that a nine-year-old boy from Centurion was caught selling drugs
to primary and high school learners for his parents. A Tshwane police inspector noted that the most
popular drugs were dagga and nyaope. The inspector felt that teachers and parents or primary schoo
children were often unaware of drug problems and called on them to be more alert to signs of AOD use
among their children.

Implications of the risk factor approach for the

prevention of substance use disorders
e public health model for the prevention of disease and disorders
involves assessing the epidemiology of a disorder in the target
population, identifying the risk factors associated with the problem,
applying interventions known to reduce the risk factors and enhance the
protective factors, and monitoring the impact of the intervention on the
incidence and prevalence of the target disorder (Hawkins et al., 2002).
is model recognises that there is no single, optimal strategy for
reducing the health, social and economic burden associated with AOD
misuse. Instead, the model emphasises the importance of designing and
implementing interventions aimed at addressing the problem on
multiple levels. In addition, Morojele et al. (2012) emphasise the need to
investigate factors that are protective against initiating and continuing
with AOD use.
Reviews of prevention research indicate that risk and protective
factors should be the primary target for prevention interventions and that
the risk reduction/protection enhancement model is the best available
framework for preventing AOD problems in adolescence (Hawkins et al.,
2002; Morojele et al., 2012). However, research has shown that
interventions that reduce risk factors in both individuals and their
environment hold promise for preventing AOD use among adolescents.
For example, evaluations of prevention programmes in schools that
taught social competence and established norms against substance
abuse reported less favourable attitudes towards substance use and a
reduction in substance use in the school population (Myers, Harker,
Fakier, Kader & Mazok, 2008).
Many effective substance abuse prevention programmes have focused
on preventing or delaying the start of AOD use in early adolescence
because early use increases the risk of later substance abuse and
dependence (Hawkins et al., 2002; Myers, Harker et al., 2008). Studies of
these interventions have reported an almost immediate effect in
preventing early initiation of use, and a more prolonged effect in
preventing the use of substances in later adolescence (Hawkins et al.,
2002). ese results suggest that focusing on risk or protective factors in
early adolescence is a useful approach for preventing later AOD abuse
and dependence (Hawkins et al., 2002). However, Myers, Harker et al.
(2008) caution that prevention programmes need to be carried out over
the long term and that booster sessions can be helpful in this regard.
Myers, Harker et al. (2008) also suggest that it is important to include
peer leaders and adult facilitators in prevention programmes.
However, prevention programmes often fail when communities lack
the resources to address all the potential risk factors; also, few
programmes encourage communities to identify their most relevant risk
and protective factors (Hawkins et al., 2002). Programmes are also more
effective when they address broader issues, such as parenting skills
training (Myers, Harker et al., 2008). ere is clearly a need to select and
implement effective evidence-based prevention strategies that match
these priority factors (Myers, Harker et al., 2008). One effective
programme that incorporates these prevention principles is the
Communities at Care (CTC) programme (Hawkins et al., 2002). e
social development model (SDM) (see Box 22.4) underpins the CTC
programme.
 22.4 THE SOCIAL DEVELOPMENT MODEL
The social development model (SDM) was developed by Catalano and Hawkins (1996) and is based on
social learning theory. The SDM argues that bonding to prosocial groups and clear norms against
antisocial behaviour act as protective factors that inhibit the development of substance use behaviour.
Bonding consists of attachment and commitment to the family, school, community and positive
peers as well as a belief in the shared values of these social units. As prosocial bonding increases
adolescents are less likely to violate the norms for the behaviour of the group. Clear norms thus provide
behavioural guidelines for people bonded to the group.
The SDM argues that bonding is created when people are given opportunities to become involved
or make a contribution to the social unit, when they have the skills to take advantage of these
opportunities, and when they are recognised for their contribution. The SDM thus assumes that
interventions that involve opportunity, skill and recognition are likely to improve bonding to prosocia
groups, the adoption of healthy beliefs, and clear standards of behaviour.

SUMMARY

• According to the public health model, the epidemiology of a disorder must be addressed.
• This involves identifying the risk factors associated with the problem, applying interventions known
to reduce the risk factors and enhance the protective factors, and monitoring the impact of the
intervention on the incidence and prevalence of the target disorder.
• The Communities That Care (CTC) programme (based on the social development model) is an
example of an effective intervention programme.

Psychopharmacology
e previous sections discussed alcohol and other drugs as substances of
misuse, abuse or dependence. is section will focus on a particular class
of drug, namely prescription psychoactive drugs. It must be noted that
these drugs are also open to misuse, abuse and dependence. eir use in
the management of mental health is referred to as
psychopharmacology. As psychopharmacological interventions,
prescription psychoactive drugs are typically used to treat the symptoms
of psychiatric illness. ey can also serve a prophylactic function when
they are used to prevent the onset or recurrence of symptoms (Pompili et
al., 2010), for example, or when used to counteract the side effects
(unintended effects) of another drug that a person may be taking at the
same time. e treatment of psychiatric illness with prescription
psychoactive drugs is based on the fact that all behaviour (including
certain maladaptive behaviours) has a neuropsychological basis (Mpofu,
2002; Mpofu & Conyers, 2003).

The mechanisms of action of

psychoactive drugs
Mechanism of action refers to the particular process by which a
psychoactive drug achieves its effects. To understand these mechanisms
of action it is useful to summarise how the transmission of nerve
impulses occurs (see Chapter 7 for a fuller explanation). To recap briefly:
neurons are structures of the nervous system that are involved in the
transmission of messages throughout the nervous system. e messages
are in the form of electrical impulses or signals. Each neuron comprises a
cell body, dendrites and an axon. An axon carries nerve impulses to an
adjacent cell where dendrites receive the impulses. Between each axon
and a dendrite is a space called a synaptic cleft. In transmitting nerve
impulses, axons release chemicals called neurotransmitters that help
conduct the nerve impulse across the synapse to the next neuron.
For the purposes of this chapter, it is important to note that a
psychoactive drug may achieve its effects by:
• facilitating or inhibiting the actions of a neurotransmitter receptor
site, and/or
• regulating neurotransmitter availability in the synaptic cleft (Oslon,
2001).

When a drug molecule occupies a receptor site, it facilitates or blocks the

actions of a neurotransmitter, leading to the expected treatment effect
and associated side effects. Drug molecules can also indirectly enhance
or inhibit the signal transmission of a receptor site by impacting on other
cellular events that are associated with signal transmission or reception.
Drug potency, efficacy and dose
Apart from the chemical basis of the actions of drugs on particular
receptor sites, the effect of a psychoactive agent also depends on:
• drug potency (the absolute amount of a drug that is required to
achieve a desired effect)
• drug efficacy (the ability of a drug to produce the desired therapeutic
effect)
• drug dose (the quantity or volume of the drug that is administered)
• the method of administration.

e term ‘effective dose’ (ED) refers to the dose of the drug that has
been determined to produce the desired effect in the majority of people
with the fewest possible side effects (Maisto et al., 2004). e ED for
individuals may vary within certain limits due to differences in their
genetic make-up, their previous experience with the same (or a different)
class of drugs, and their age. For example, people who use a certain type
of drug repeatedly develop tolerance for the drug and might need to take
higher doses of the drug to achieve the same effect (Parrott et al., 2004).
ere is also significant variability in drug absorption and metabolism
among younger and older people compared to the general population
(Maisto et al., 2004).
Highly potent drugs tend to achieve the desired effects at lower
dosages than less potent drugs (Parrott et al., 2004). At higher dosages,
the more potent drugs are toxic and can lead to significant organ damage
or death. With highly potent drugs, the absolute increase in dosage
necessary to reach toxicity is very small. For that reason, highly potent
drugs need to be used with a high degree of medical care or supervision.
Part of this supervision includes ongoing monitoring of drug levels in a
patient’s blood. is would be done for a number of reasons, including
checking that the person is taking the correct dosage, avoiding reaching
levels that are toxic, matching levels of the drug in the person’s blood
with any changes in symptoms, and checking the levels of various types
of blood cells.
 SUMMARY

• Psychoactive drugs are substances that achieve their effect by altering mood, thoughts and
behaviour; they are also open to misuse, abuse and dependence.
• Psychoactive drugs are usually used to treat or prevent psychiatric illness.
• The treatment of psychiatric illness with psychoactive drugs is based on the fact that all behaviour
has a neuropsychological basis.
• The mechanisms of psychoactive drugs involve the transmission of nerve impulses between
neurons.
• In transmitting nerve impulses, axons release chemicals called neurotransmitters that help conduct
the nerve impulse across the synapse to the next neuron.
• A psychoactive drug may achieve its effects by facilitating or inhibiting the actions of a
neurotransmitter receptor site and/or regulating neurotransmitter availability in the synaptic space.
• The effect of a psychoactive agent also depends on:
» drug potency (the absolute amount of a drug that is required to achieve a desired effect)
» drug efficacy (the ability of a drug to produce the desired therapeutic effect)
» drug dose (the quantity or volume of the drug that is administered)
» method of administration.
• The effective dose (ED) of a drug is the amount that produces the desired effect in most people
with the fewest side effects. This varies between individuals, depending on metabolism, age, etc.
• Highly potent drugs tend to achieve the desired effects at lower dosages than less potent drugs.

Classes, uses and effects of

psychoactive drugs
In this section, the uses and effects of four main classes of psychoactive
drugs are briefly discussed: central nervous system depressants,
psychostimulants, anti-depressants and mood stabilisers, and anti-
psychotics.

Central nervous system depressants

Central nervous system (CNS) depressants are also commonly called
sedatives, tranquilisers, anxiolytics and hypnotics. e drugs in this class
share the common characteristic of depressing psychomotor behaviour;
that is, they diminish environmental awareness and responsiveness. ey
are useful for relieving anxiety and inducing sleep, unconsciousness and
coma (e.g. when a patient with brain injuries needs to be placed in a
coma). ey are also used as anti-convulsants. e effects of CNS
depressants are additive in that the use of one CNS depressant (e.g.
alcohol) together with another (e.g. barbiturates) results in more severe
behavioural depression. Use of a CNS depressant may also have an
additive effect on a person’s pre-existing mental state. For example, a
person with mental fatigue is likely to experience a higher level of
psychomotor retardation with the ingestion of a CNS depressant, such as
alcohol.
Benzodiazepines (e.g. Valium) are CNS depressants with a long history
in the treatment of anxiety, panic attacks and phobias (Katzung, 2001).
Most anxiolytics used today are in this class (Spiegel, 2003).
Benzodiazepines are widely used for neurotic and vegetative conditions
due to their limited side effects.
However, benzodiazepines (also referred to as minor tranquilisers) are
not effective in treating major psychosis (Lido, 2000). Unfortunately, their
use has been associated with higher suicide rates, respiratory problems
and ataxia (staggering) (Spiegel, 2003).
Barbiturates are primarily used to treat convulsions. However, they
have a high risk for inducing drug dependence or abuse; in addition, they
cause respiratory depression and may lead to accidental deaths (Parrott
et al., 2004).
Buspirone is a newer type of CNS depressant with a lower risk profile
and is the drug of choice in the longer term treatment of anxiety and
panic disorders (Spiegel, 2003).

Psychostimulants
Psychostimulants are used to increase mental alertness, increase motor
activity, reduce fatigue, relieve boredom and enhance task performance
(Parrott et al., 2004). At lower doses, they raise the heart rate and blood
pressure, cause the pupils to dilate and increase the flow of blood to the
muscles. ey also suppress the appetite through their action on
serotonin neurons. Caffeine and nicotine are among the most widely
used non-prescription psy-chostimulant drugs. Amphetamines and
amphetamine derivatives such as methylphenidate (Ritalin) and
pemoline (Cylert) are prescription psychostimulants that are widely used
for attention deficit/hyperactivity disorder, while other stimulants are
used for obesity (through appetite suppression) (Maisto et al., 2004;
Parrott et al., 2004). Cocaine is a psychostimulant that is currently an
illegal drug in most countries, although it was an ingredient in early
versions of Coca-Cola (Maisto et al., 2004).
Table 22.1 Commonly used psychoactive drugs and their effects

Psychostimulants carry the risk of compulsive abuse because of

dopamine-induced reinforcement (Maisto et al., 2004). For example,
repeated use of amphetamines appears to have the effect of suppressing
the dopamine-releasing neurons, leading to the experience of a high
energy level. e memory of having achieved a high with the drug
reinforces dependency on the drug. A vicious circle of drug use and
withdrawal symptoms ensues. At higher doses, psychostimulants may
cause anxiety, insomnia, irritability, hypertension, sexual dysfunction
and a variety of psychotic behaviours (e.g. paranoia and persecutory
fears). In addition, tolerance develops rapidly, leading to a need for
increased doses and worse withdrawal symptoms (Spiegel, 2003).

Anti-depressants and mood stabilisers

Anti-depressants (see Box 22.6) are used to elevate mood, to increase
physical activity, and to improve appetite and sleep patterns in people
with mood disorders, particularly major depression (Spiegel, 2003).
People with major depression experience symptoms that cannot be
explained by their objective circumstances. ese symptoms include
profound sadness, pessimism, diminished energy, mental fatigue,
hopelessness and lack of sleep. (People experiencing sadness resulting
from loss or bereavement, for example, tend not to show some of these
symptoms, including psychosis, and are not candidates for treatment
with anti-depressants.)
People with major depression can be treated with a variety of anti-
depressants. ey also respond to electrocon-vulsive shock and
psychotherapy in combination with psychopharmacological treatment.
With few exceptions, anti-depressants have a side-effect profile that
includes impaired memory, attention deficits, poor dexterity and
sedation (Spiegel, 2003). For that reason, most anti-depressants are best
taken at bedtime so as to minimise the disruption of personal
effectiveness during normal daytime hours.
Major depression is a unipolar affective disorder; however, some
people suffer from bipolar disorders which are characterised by some
degree of mania interspersed with depression (Parrott et al., 2004). e
most common (and longest standing) treatment for bipolar disorders is
lithium, a mood stabiliser. is increases the period between manic
episodes (Spiegel, 2003). However, some people are not responsive to
lithium and others cannot tolerate the side effects. More recently, drugs
first developed to treat epilepsy have been used as mood stabilisers.
ese include carbamazapine (Tegretol) and valproate (Maisto et al.,
2004; Parrott et al., 2004).

Anti-psychotics
Drugs used to treat major psychoses, such as schizophrenia, are referred
to as anti-psychotics, major tranquillisers, neuroleptics or anti-
schizophrenics (Lido, 2000). e side effects of anti-psychotic
medications are often incapacitating, which may incline people with
psychosis towards noncompliance with the medication.
As discussed in Chapter 24, people with schizophrenia, for whom
these drugs are primarily intended, often present with disturbances in
thought, emotional regulation and behaviour, with a loss of contact with
reality (American Psychiatric Association, 2013; Parrott et al., 2004).
Behavioural excesses (e.g. hallucinations and delusions) in people with
schizophrenia are referred to as positive symptoms, whereas the
symptoms of behavioural inhibition (e.g. lack of affect) are called
negative symptoms (American Psychiatric Association, 2013). Anti-
psychotic medications are intended to reduce both positive and negative
symptoms. However, the majority of anti-psychotic medications are more
effective with positive symptoms than negative symptoms (Spiegel,
2003).

22.5 THE ACTIVITIES OF NEUROTRANSMITTERS AND

PSYCHOACTIVE AGENTS ARE COMPLEX
Neurotransmitter activity is complex, and the factors influencing such activity are not completely
understood. For instance, one kind of neurotransmitter will be involved in multiple activities (e.g
behavioural arousal and temperature regulation). Therefore this neurotransmitter’s response to a
psychoactive agent will include both the intended effects of the psychoactive agent and interactions
involving other activities in which that neurotransmitter is involved.
Similarly, a specific psychoactive agent (e.g. aspirin) may achieve a variety of actions (e.g. pain control,
temperature control and inflammation control) through its inhibitory actions on a receptor site that
interacts with an enzyme (or enzymes) involved in tissue inflammation.
The fact that a single psychoactive drug or receptor action is involved in multiple effects is central to
an appreciation of the use of psychopharmacology in the treatment of mental health conditions
Differences in dosage levels, even by the same psychoactive agent, can alter how a person behaves.

Anti-psychotic medications carry significant risk for akathisia,

dystonia and neuroleptic-induced Parkinsonism (Parrott et al., 2004):
• Akathisia refers to subjective feelings of anxiety and restlessness, as
well as repetitive, purposeless actions (e.g. pacing and rocking).
• Dystonia refers to involuntary muscle spasms and bizarre posturing
of the limbs, trunk, face and tongue.
• Neuroleptic-induced Parkinsonism is evidenced by tremors of the
limbs while at rest, with rigidity, slowness of movement and a lack of
 spontaneity.

e use of anti-psychotic medications is also associated with the

experience of tardive dyskinesia, which is characterised by involuntary
twitching movements of the face, tongue, limbs and trunk, and also
sucking or smacking of the lips, darting, pushing or twisting of the
tongue, and lateral movements of the jaws (Maisto et al., 2004).

SUMMARY

• Central nervous system (CNS) depressants are also commonly called sedatives, tranquilisers,
anxiolytics and hypnotics. The drugs in this class depress psychomotor behaviour and are useful for
relieving anxiety and inducing sleep.
• The effects of CNS depressants are additive.
• CNS depressants include benzodiazepines, barbiturates and buspirone.
• Psychostimulants are used to increase mental alertness, increase motor activity, reduce fatigue,
relieve boredom and enhance task performance. They also suppress appetite.
• Psychostimulants include cocaine, caffeine, nicotine, amphetamines and amphetamine derivatives.
• The use of psychostimulants may result in tolerance and compulsive abuse. They may also cause
anxiety, insomnia, irritability, hypertension, sexual dysfunction and psychotic behaviours.
• Anti-depressants are used to elevate mood, to increase physical activity, and to improve appetite
and sleep patterns in people with mood disorders, particularly major depression.
• People with ‘normal’ sadness or depression should not need anti-depressants.
• Most anti-depressants have varied side effects, including impaired memory, attention deficits, poor
dexterity and sedation.
• People with bipolar disorders are treated with mood stabilisers; the most common of these is
lithium. Certain drugs developed for epilepsy are also used as mood stabilisers.
• Anti-psychotics are used to treat major psychoses, such as schizophrenia.
• The side effects of these medications are often incapacitating, which may lead to non-compliance.
• Anti-psychotic medications aim to reduce both positive and negative symptoms in schizophrenia
although they tend to be more effective with positive symptoms.
• Serious side effects include akathisia, dystonia, neuroleptic-induced Parkinsonism and tardive
dyskinesia.
22.6 BIOCHEMISTRY AND DEPRESSION
The biochemical causes of major depression are not completely understood (Burke, 2014). For many
years, it has been widely accepted that depression is caused by abnormally low levels of the
neurotransmitters norepinephrine, serotonin and dopamine (Thase & Howland, 1995, in Burke
2012). However, many other neurotransmitters systems may be affected in depressive disorders. The
depletion of these neurotransmitters may be due to an enzyme that metabolises them. It may also be
due to high conductivity of the neurotransmitters across the synapse (Julien, 1996). A third possibility is
that the re-uptake of the neurotransmitters back into the pre-synaptic vesicles is overly rapid (Parrott et
al., 2004).
However, one observation has cast doubt on this explanation for major depression. A change in
mood would be expected as soon as the levels of the neurotransmitters are elevated; however, there is a
significant time lag between this and an elevation of mood (Spiegel, 2003).
There have been various explanations as to why elevated levels and availability of these
neurotransmitters in the synaptic cleft do not lead to an immediate elevation of mood (Julien 1996)
First, it takes time for post-synaptic neuronal activity to normalise. Alternatively, mood elevation occurs
with an adaptive change in the serotonin receptors rather than the norepinephrine and dopamine
receptors and this may take time to achieve (Parrott et al., 2004).
22.7 RESEARCH INTO SCHIZOPHRENIA
Source: Andrade, Radhakrishnan and Fernandes (2012)

Goal
The study aimed to examine the pharmacological treatment of schizophrenia in a context of the
ongoing poor prognosis for schizophrenia patients despite effective medications having been available
for 50 years.

Method
Andrade et al. (2012) argue that the main problem with treating schizophrenia is a poor understanding
of the underlying pathophysiology. In addition, they point out that schizophrenia is not a single
disorder; rather, it consists of a group of conditions with diverse characteristics and outcomes. Current
anti-psychotics may be useful and effective for treating the symptoms of schizophrenia, but if the cause
of the disorder is not identified and treated, the patient may relapse. Unfortunately, the various possible
causes are as diverse as the variations of the disorder.

Discussion
Treatment at a primary level (preventative) is impossible because it is very difficult to identify people at
risk or to modify genetic inheritance. At a secondary level (early diagnosis and treatment), high-risk
individuals could be treated; however, the patient may be exposed to stigma and to unnecessary and
unpleasant side effects. In practice, drug therapy is only used at the tertiary level (once the disease has
taken hold), but can do nothing about brain changes that have been developing. Thus, the most that
can be done is to limit symptoms to facilitate possible rehabilitation.

Conclusion
The future of pharmacotherapy in the treatment of schizophrenia appears bleak.
Conclusion
Psychoactive drugs are substances that alter thoughts, moods and behaviour. ey are used to
treat mental health conditions because of the way they are thought to interact with neurons,
which utilise biochemicals called neurotransmitters. Mental health problems are associated with
abnormalities in the quality of neurotransmitter activity, therefore psychoactive agents are used
to regulate and normalise dysfunctional neuro-transmission, and thereby restore a level of mental
health.
However, the use of psychoactive agents to manage mental health is not without cost. For
instance, psychoactive agents have side effects in addition to their intended effects, and
sometimes the side effects can outweigh the advantages of taking the psychoactive agent.
Psychoactive agents, other drugs and alcohol can all lead to misuse, abuse, tolerance and
dependence. No single factor completely accounts for AOD-use problems. e vulnerability
model that examines both risk and protective factors, and which includes psychosocial,
environmental and genetic factors, allows intervention to occur at multiple levels. Prevention
efforts need to match the available resources and the relevance of risk and protective factors in
community settings.

KEY CONCEPTS

addiction: a physiological disease involving craving, an inability to

abstain, reduced ability to recognise problems in behaviour and
relationships, and a problematic emotional response
aetiology: the study of the causes of disorders and diseases
akathisia: a side effect of anti-psychotic drugs that leads to subjective
feelings of anxiety and restlessness, and repetitive, purposeless
actions
anti-depressants: a class of drugs used to elevate mood, increase
physical activity, and improve appetite and sleep patterns in people
with mood disorders
anti-psychotics: a class of drugs used to treat major psychoses, such
as schizophrenia
axon: a component of a neuron that carries nerve impulses to
adjacent cells
central nervous system (CNS) depressants: a class of drugs that
diminish environmental awareness and responsiveness, and which
are useful for relieving anxiety, inducing sleep, unconsciousness and
coma, and controlling convulsions
cross-dependence: a type of drug dependence, where people
develop a dependency on a drug that was initially used to relieve the
withdrawal symptoms experienced when ceasing to use some other
drug
cross-tolerance: a type of drug tolerance whereby a person has a
lessened response to a drug because of previous exposure to another
drug
dendrites: the components of a neuron that receives nerve impulses
from adjacent cells
dopamine: a neurotransmitter located in the brain that is involved in
mood, learning and memory, movement disorders and muscle
disorders, and Parkinson’s disease
drug dependence: person needs to maintain a certain level of drug in
his/her bloodstream in order to function effectively
drug dose: the quantity or volume of a drug that is administered
drug efficacy: the ability of a drug to produce the desired therapeutic
effect
drug potency: the absolute amount of a drug that is required to
achieve a desired effect
drug tolerance: the need to consume increasing amounts of a drug
dystonia: a side effect of anti-psychotic drugs that leads to
involuntary muscle spasms and bizarre posturing of the limbs, trunk,
face and tongue
effective dose (ED): the dose of a drug that has been determined to
produce the desired effect in the majority of people with the fewest
possible side effects
environmental factors: factors that are located within a particular
environment, such as a culture of drug use and high availability of
alcohol in a particular community, which can cause substance abuse
disorders
epidemiology: the study of factors that affect the health and illness of
entire populations
interpersonal factors: as causes of substance use disorders, those
factors that are located between individuals, such as peer influence
and social learning experiences
intrapersonal factors: factors that are located within the individual,
such as biological or psychological causes, which can cause
substance abuse disorders
metabolic tolerance: drug tolerance that arises from the actions of
the liver in breaking down psychoactive drugs
neuro-adaptation: the compensatory adjustment that the brain
makes in an attempt to continue normal functioning despite the
presence of alcohol or other drug use
neuroleptic-induced Parkinsonism: a side effect of anti-psychotic
drugs that leads to the experience of tremors of the limbs while at rest,
as well as rigidity, slowness of movement and a lack of spontaneity
neuron: a cell in the nervous system that is involved in the
transmission of nerve impulses
neurotransmitters: chemicals released by axons that help conduct
nerve impulses across the synapse to the next neuron
norepinephrine: a neurotransmitter located in the brain that is
involved with eating, sleep, arousal, emotion and expression
pharmacodynamic tolerance: drug tolerance that derives from
cellular adaptation that occurs with repeated or compulsive use of a
psychoactive agent
psychopharmacology: the use of psychoactive drugs in the
management of mental health
psychostimulants: a class of drugs that increase mental alertness,
increase motor activity or reduce fatigue, relieve boredom and
enhance task performance, while also suppressing appetite
reinforcement: the presence of rewarding stimuli or the relief of an
unpleasant sensation that increases the probability of alcohol or
other drug use
risk factor approach to understanding substance use: an approach
that assumes that as the number of risk factors increases, the risk of
an individual developing a substance use disorder also increases
serotonin: a neurotransmitter located in the brain that is involved in
sleep, arousal and depression
social development model (SDM): a theoretical model that argues
that bonding to prosocial groups and clear norms against anti-social
 behaviour act as protective factors that inhibit the development of
substance use behaviour
substance abuse: a maladaptive pattern of substance use that
manifests recurrently and has significant negative consequences
substance dependence: a cluster of cognitive, behavioural and
physiological symptoms indicating that a person continues to use a
substance despite significant substance-related problems
substance misuse: a pattern of substance use that results in some
adverse consequences that are not recurrent
synaptic cleft: the space between each axon and dendrite
tardive dyskinesia: a side effect of anti-psychotic drugs that leads to
involuntary twitching movements of the face, tongue, limbs and trunk

EXERCISES
Multiple choice questions

1. Substance abuse refers to:

a) adverse consequences following binge drinking
b) recurrent maladaptive substance use that has significant negative
consequences
c) compulsive drug taking
d) being in an intoxicated state.

2. Substance dependence refers to:

a) non-recurrent substance use that has significant negative
consequences
b) being in an intoxicated state
c) a pattern of repeated use resulting in tolerance, withdrawal
symptoms and compulsive drug taking
d) a cluster of cognitive and behavioural symptoms.

3. e best approach to intervention for substance use is:

a) specialised substance abuse treatment
b) brief intervention
 c) prevention
d) all of the above are correct.

4. Family studies indicate that the risk for developing alcohol

dependence is:
a) three times greater among first-degree relatives
b) two times greater among fraternal twins
c) five times greater among identical twins
d) all of the above are correct.

5. e following psychological factor has been identified as a risk factor

for substance use:
a) an external locus of control
b) low self-esteem
c) sensation seeking
d) all of the above are correct.

6. Psychoactive drugs are typically used to:

a) treat symptoms of mental illness
b) prevent the onset of symptoms of mental illness
c) avoid the development of symptoms of mental illness
d) all of the above are correct.

7. Dopamine is found in the __________, and is involved in __________.

a) spinal cord; eating, sleeping, arousal and emotion
b) brain; mood disorders and Parkinson’s disease
c) brain; depression and schizophrenia
d) spinal cord; mental disorders and Parkinson’s disease.

8. Two of the side effects of anti-psychotic drugs are:

a) akathisia and Parkinson’s disease
b) dystonia and Parkinson’s disease
c) dystonia and akathisia
d) none of the above is correct.
9. Drug tolerance refers to:
a) the need to consume increasing amounts of a drug
b) the need to treat a mental illness with drugs rather than therapy
c) the ability to absorb and utilise drugs optimally in the body
d) the compulsive use of a drug for physical and psychological
reinforcement.

10. Anti-depressants are also known as:

a) CNS depressants
b) psychostimulants
c) mood stabilisers
d) anti-psychotics.

Short-answer questions
1. What is meant by a risk factor approach to understanding substance
use?
2. Explain vulnerability, protective factors and resilience in substance
use.
3. How do twin studies help explain genetic influences in substance use
disorders?
4. What parent–adolescent relationship factors are involved in risk for
substance abuse?
5. How does the social development model explain risk factors in
substance abuse?
6. Describe the uses and effects of anti-psychotic drugs.
7. Distinguish between drug potency, efficacy and dose.
8. Why is drug monitoring important to psychopharmacological
treatment?
9. Define each of the following terms:
a) drug dependence
b) drug tolerance
c) cross-dependence
d) cross-tolerance.
 Nutrition, HIV/AIDS, TB
and parasites
Linda Richter & Shane Norris; Inge Petersen, CHAPTER
Arvin Bhana, Jane Kvalsvig, Sheldon Allen &
Leslie Swartz
23

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• demonstrate that both under- and over-nutrition are problems in many parts of the world
owing to food shortages and aspirations to thinness on the one hand, and dietary transitions
and fast food consumption, on the other
• argue that nutritional effects on growth patterns are determined early in life, primarily in the
prenatal period and infancy
• discuss how important changes in growth and nutrition occur during the pubertal growth spurt
• demonstrate that the nutrition of older people is an important part of continuing health and
longevity
• demonstrate a basic understanding of the spread of HIV/AIDS, tuberculosis (TB) and parasites,
and associated risk factors
• understand how HIV/AIDS, which affects millions of people, directly impacts on the immune
system, and how nutritional interventions can help to maintain the health and prolong the life
of infected individuals
• understand how HIV/AIDS, tuberculosis (TB) and parasites are spread
• appreciate the social and psychological factors that contribute to high levels of these diseases
• understand the role psychologists can play in curbing these diseases
• understand how these diseases impact on mental health and human development.

CASE STUDY

Nosipho was aware of how many young women worried about their weight. Dieting was often a
major topic of conversation during their lecture breaks. Magazines and newspapers were full of
pictures of thin models and it was hard not to compare themselves with them. There had been a
number of girls in her class at school who had developed eating disorders, some becoming
frighteningly thin and others vomiting their food up in the toilet after lunch. Nosipho also
sometimes worried about gaining weight, although she didn’t believe in dieting. Rather, she tried
to just eat healthily and exercise when she could.
 Nosipho found it strange that some people worried about staying thin, while there were so
many people in southern Africa who were not getting enough to eat. It was very hard to imagine
what it must be like to be hungry all the time or to worry about feeding your children. In her own
neighbourhood, young children sometimes came to the door to ask for food and Nosipho’s mother
would always try to give them something, knowing that it might be the only meal they would have
that day. Nosipho wondered what it was like for a child to try to learn, play, or even sleep with an
empty stomach.
Nosipho was also aware, like most young South Africans, that she was living through a
pandemic. At school and on campus, she had been given information on HIV/AIDS and how it was
spread. She wondered if HIV/AIDS could be as serious as something like malaria, which she knew
affected many people living near the Mozambique border, where her aunt lived. But Nosipho now
realised the impact of HIV/AIDS and TB on people’s lives. She saw and heard about people in her
local community who were ill or dying and she had been to many funerals. In many cases, no-one
would say outright what was wrong, but Nosipho and everyone else knew that it was AIDS and/or
TB that was killing them. Nosipho had heard that people who had HIV were more likely to get TB
and to die from it. It seemed that mainly young adults were dying and quite often it was their
parents or neighbours who had to take in the children left behind.
Nosipho felt it was really important that everyone understood, right from an early age, how the
virus was transmitted and what they could do to protect themselves and other people from
getting it. She understood the importance of using condoms. But she also knew how hard it could
be to persuade your partner to use a condom. Some of her friends said they were sometimes just
too embarrassed to raise the subject, but then they worried afterwards that they could have been
infected. A few of her friends had already been tested for HIV/AIDS, and fortunately their test results
had come back negative. At university, very few people admitted openly that they had HIV, but
Nosipho assumed that there must be quite a few who were infected. Because it was possible to
have no signs of illness and still be infected, there were also probably many more people in her
immediate environment who had the virus and didn’t even know that they had it. These days in
South Africa, HIV/AIDS was an inevitable part of life and even though she didn’t want to think
about it, she knew that it was important that she did.

Introduction
Food and water are basic constituents of life. People of all ages and in all
conditions need a sufficient quantity and quality of food and water. e
nature and amount of food consumed by people has an important effect
on their physical and mental health. Too little or too much food, or food
too low or too high in specific constituents (e.g. iron or zinc), can cause
dramatic changes in immune function, energy levels, attention, cognitive
acuity, mood and emotional reactivity (Mason, Lotfi, Dalmiya,
Sethuraman & Deitchler, 2001; Sorsdahl et al., 2011).
 e nutritional sciences have developed norms for required food
intake under normal conditions, expressed as recommended dietary
intakes (RDIs). Special feeding regimens are also required during illness
and recuperation, including recovery from periods of extreme under-
nutrition.
However, the influence of food on mental health is not unidirectional.
Existing or developing states of physical and mental health (e.g. infection
with HIV/AIDS, malaria or parasites) also affect what and how much
food people select to eat. Children and adults who have had little to eat
for a long time lose their appetite, and may even refuse food when it
becomes available. Similarly, abnormal eating patterns, such as anorexia,
bulimia and bingeing, are associated with disturbed mood states and
psychopathology (Jordaan, 2014).

Under- and over-nutrition

Both extreme under-nutrition and over-nutrition are serious global
problems. According to the United Nations Development Programme
(2014), 12 per cent of the world’s population suffers from chronic hunger.
Number 1 among the United Nations development goals was to eradicate
extreme poverty and hunger by 2015 (United Nations, n.d.). While
extreme poverty rates had improved by 2013, with 700 million fewer
people living in extreme poverty in 2010 compared to 1990, 1.2 billion
people still lived in extreme poverty (United Nations, n.d.). Extreme
income poverty is associated with hunger, starvation and dramatically
increased mortality in comparison to people living in developed
countries. e United Nations (n.d.) reports that one in eight people
worldwide are going hungry, a figure that is ‘disturbingly high’.
In South Africa, 21 per cent of children under the age of five years are
underweight (World Bank, n.d.). It is of concern that vulnerability to
malnutrition is associated with political conflicts – the United Nations
Development Programme (2014) reports that 20 per cent of the world’s
population lives in countries affected by conflict. However, in terms of
malnutrition, some improvements have been achieved with respect to
micronutrients.
In a national study of nearly 3 000 children, a South African research
team found that one in 10 children were underweight for their age, and
one in five were stunted (with diminished height for their age). Children
between one and three years of age were affected the worst, as were
children living in rural areas and, ironically, children living on
commercial farms. By contrast, one in 13 children in formal urban areas
were overweight, and this number was higher (one in eight children)
among the children of women with comparatively higher levels of
education (Labadarios, 2000).
In developed countries, particularly the US, as well as in some
developing countries, public health concern has grown around the
increasing population-wide trend in obesity (over-nutrition) among
children and adolescents (Lobstein, Baur & Uauy, 2004). e prevalence
of obesity in the US among female children and adolescents rose from
13.8 per cent in 1999–2000 to 16 per cent in 2003– 2004 (Ogden et al.,
2006). Among male children and adolescents, the prevalence of obesity
rose from 14 per cent to 18.2 per cent (Ogden et al., 2006). In children and
adolescents, obesity carries the risk of non-insulin-dependent diabetes
and cardiovascular disease (traditionally rare conditions in this age
group) (Lobstein et al., 2004).
In South Africa, a similar trend in obesity is emerging, with seven per
cent of preschool children being overweight, (De Onis & Blossner, 2000).
In 2012, the overweight prevalence in children under five was six per cent
(World Bank, n.d.). e World Bank (n.d.) reports that for 2012, 68 per
cent of women and 41 per cent of men were overweight or obese. e
obesity epidemic in South Africa, particularly noticeable among adult
females, is due to rural–urban migration and the transition to a more
Western lifestyle, with reduced physical activity and increasing
availability of energy-dense foods, as in many types of fast food (Puoane
et al., 2002).
Although balanced nutrition is important throughout the life span, its
effects on psychological health are most apparent during periods of rapid
growth. Adequate intake of nutrients is critical for growth and the
expansion of physiological capacity and function. Very rapid growth
 occurs during the prenatal period, during infancy and in early
adolescence during the pubertal growth spurt. In addition to these three
periods, it should be noted that nutrition also has very important effects
on emotions, cognitive capacity and mental health during early
adulthood (between 16 and 24 years), when there is another growth spurt
and bone mineralisation, menopause in women (which occurs between
45 and 55 years of age), and old age.

SUMMARY

• All people need adequate food and water.

• Too much or too little food, or imbalances in specific constituents, causes various health problems.
• Physical and/or mental health can also impact on appetite and eating behaviour.
• Both extreme under-nutrition and over-nutrition are serious global problems.
• The effects of malnutrition are most severe at certain developmental stages (when rapid growth
occurs, menopause and old age).

Nutrition across developmental

stages
Nutrition during prenatal development
As explained in Chapter 3, incredible growth occurs during the prenatal
period. In the 270-day duration of a normal pregnancy, the fertilised egg,
barely visible to the naked eye, grows to a baby with an average weight of
3.3 kg and an average length of 105 cm. At around four months
(gestational age), the foetus grows at roughly 1.5 cm per day. With such
rapid growth, adequate nutrition is critical. Nutrition has two main
effects on the foetus. Together with other influences on the baby,
nutrition affects birth weight and certain nutritional components, for
example alcohol, can act as teratogens (environmental influences that
can disrupt prenatal development).
 A woman needs a balanced diet during her pregnancy, as well as
sufficient food to gain the requisite weight to support a foetus. e foetal
brain grows especially rapidly during this period, and diminished
nutritional intake can severely affect cognitive and emotional
development. Under-nutrition later in pregnancy tends to be associated
with foetal growth retardation and low birth weight (Antonov, 1947).
Birth weight indicates the quality of the intrauterine environment, and
is a strong predictor of both physical and psychological development
during the preschool years (Cole & Cole, 2001). Low birth weight (LBW)
refers to weight at birth below 2.5 kg, while very low birth weight
(VLBW) refers to weight at birth below 1.5 kg. LBW infants are more
likely to have neurologically based developmental handicaps and lower
intellectual abilities than normal-weight babies. ey also have more
respiratory problems, seizures and other neurological problems, and
later show a higher prevalence of hyperactivity. About 15 per cent of
South African babies are born with low birth weight (World Health
Organization, 2006a).

Nutrition during infancy and early childhood

Apart from prenatal development, growth during the first two years
occurs at a more rapid pace than at any other time of life. In a child’s
early life, the emergence of complex neural networks enables the
acquisition of motor, cognitive and social skills that are the essential
building blocks of psychosocial development. Birth weight, infant
feeding, illness and postnatal growth strongly affect neuropsychological
development (Barbarin & Richter, 2001).
e five most common causes of child deaths in the world are malaria,
measles, pneumonia, diarrhoea and under-nutrition. Because under-
nutrition increases the likelihood that a child will succumb to the effects
of disease, under-nutrition is believed to account for about 70 per cent of
all under-five mortalities in developing countries.
Malnutrition has a variety of negative effects on young children.
Micronutrient deficiencies permanently damage the brain and severely
affect children’s performance in school (Chopra & Darnton-Hill, 2006).
ese deficiencies reduce energy, activity and attention levels, and
distort exploration and social interaction. Malnourished children tend to
cling to their caregivers and thus lose opportunities to manipulate
objects. Over time this is likely to negatively affect cognitive development
and social adjustment (Grantham-McGregor et al., 2007).
It should also be noted that feeding should occur in the context of an
affectionate and stable relationship, and children need to be fed or be
encouraged to feed by someone who is responsive to their state, mood
and tempo. Excluding the effects of poverty, malnutrition occurs more
frequently in households that are disorganised, in which there has been a
change of caregivers, and in which caregivers fail to express affection
towards the child (Nti & Larty, 2005).

Figure 23.1 Exercise is an important part of weight management

e strong link between psychosocial care and nutrition is illustrated in a

disorder called non-organic failure to thrive (NOFTT), or growth
retardation with no clear organic cause. e syndrome was first
described in institutionalised infants who experienced little contact with
caregivers, and it occurs in a very large number of poor children in
developing countries, regardless of the children’s nutritional status
(Richter, 2004). Apart from growth deficits, NOFTT may include
diminished physical activity, depressed cognitive performance,
decreased immunologic resistance and long-term behavioural problems
and developmental delays (O’Connor et al., 2000). NOFTT infants and
young children appear listless, with diminished vocalisations, little
smiling or cuddliness, and they are unusually watchful (Steward, 2001).
Most cases of NOFTT are due to inadequate nutrition that results from
biological and environmental factors that intersect in such a way as to
preclude adequate nourishment of the child (Gahagan, 2006).
Interventions consisting of compensatory nutrition and psychosocial
stimulation for young children show very positive benefits (Steward,
2001; World Health Organization, 1999). Interventions at later ages, for
example through schools, are also important. In September 1994, the
Primary School Nutrition Programme (PSNP) (now the National School
Nutrition Programme or NSNP) was launched in South Africa as part of
the Reconstruction and Development Programme. e NSNP aims to
contribute to the improvement of education quality by alleviating hunger
and, in so doing, enhancing primary school children’s attendance,
punctuality and learning capacity, while also contributing to general
health and development.
ere is sound empirical evidence linking school performance and
nutrition. Pollitt (1994), for example, argued that poor nutrition and
concurrent illnesses interfere with children’s schooling in low-income
countries, and that educational interventions have to include children’s
health issues, including chronic protein-energy malnutrition, iron-
deficiency anaemia, iodine deficiency and intestinal infections. Although
the NSNP has been fraught with maladministration and fraud in some
South African provinces, there is some evidence to suggest that the
programme has increased school attendance and school performance
due to increased alertness (Saloojee & Pettifor, 2005).

Nutrition during the pubertal growth spurt and

adolescence
As discussed in Chapter 4, during puberty the primary sexual organs
mature and very rapid increases in height occur. Among girls, this growth
spurt takes place between nine and 15 years of age; on average it happens
a bit later amongst boys (between 10 and 16 years of age). ese changes
are triggered by hormones but are also affected by environmental factors,
particularly nutrition (Euling, Selevan, Pescovitz & Skakkebaek, 2008).
e tallest and heaviest girls start to menstruate the earliest. e age of
menarche, or the start of menstruation, is becoming progressively earlier
all over the world, a change associated with improved nutrition. In the
early 1800s in the US and Europe, menarche occurred at around 17 years,
whereas the mean age of starting to menstruate is now 12.4 years
(McDowell, Brody, Jeffery & Hughes, 2007), although this varies a little
from country to country. In addition, Euling et al. (2008) found that this
trend towards earlier puberty applied to girls but that there was
insufficient evidence to say that it applies to boys.
Adolescence is considered to be a nutritionally vulnerable phase for
several reasons:
• ere is an increased demand for macronutrients (carbohydrates,
fats and proteins) and micronutrients (e.g. iron, calcium and vitamin
A) to meet the dramatic increase in physical growth and cognitive
development.
• Changes in lifestyle, body esteem and food habits affect adolescents’
nutrient intake. ese shifts may result in pathological eating
behaviour, while environmental influences (family, peers and the
media) may impact on dietary practices.
• ere are special nutrient needs associated with participation in
sports, adolescent pregnancy, development of an eating disorder,
excessive dieting, and the use of alcohol and drugs (Spear, 1996;
Stanner, 2004).
23.1 DEVELOPMENTAL ORIGINS OF HEALTH AND DISEASE
Recent evidence has supported a hypothesis that intrauterine nutritional experiences can contribute to
the adult risk of diseases such as obesity, hypertension, ischaemic heart disease and glucose intolerance
It is suggested that the lower the birth weight of a child, the greater the risk of adult obesity,
hypertension and diabetes (Briana & Malumitsi-Puchner, 2009). The hypothesised cause is a priming of
the absorption patterns of the physiological system in response to deprivation.
Studies have demonstrated that instead of a straightforward linear relationship between birth weight
and adult obesity, the relationship is curvilinear (J- or U-shaped). This means that a higher prevalence of
obesity is seen among people who had the lowest and highest birth weights (Fall et al., 1995). For
example, Brisbois, Farmer and McCargar (2012) found that childhood obesity is a probable predictor of
adult obesity.
Data from the 1958 British birth cohort study found that maternal body mass index (BMI) during
pregnancy largely explains the association between an individual’s birth weight and later BMI. Heavier
mothers have heavier babies who tend to become heavier adults. From this evidence, maternal weight
may be a more important risk variable for obesity in the child than low birth weight (Parsons, Power
Logan & Summerhill, 1999).
If you are interested in reading more about this, go to http://www.mrc.soton.ac.uk/dohad/index.asp.

Figure 23.2 Childhood obesity is a probable predictor of adult obesity

Several facets of eating behaviour may change during adolescence,
namely: missing meals (especially breakfast), snacking, eating fast foods,
high consumption of soft drinks and the start of alcohol intake. e
danger is that habits started during adolescence are often continued into
adulthood and may ultimately contribute to a number of debilitating
diseases (Spear, 1996; Stanner, 2004). e needs and concerns of young
people change during the course of adolescence. By late adolescence, the
teenager is likely to have achieved a more established body image, be
oriented towards the future, and be developing intimacy and permanent
relationships. However, adolescents in this stage may have already
developed unhealthy eating practices and activity patterns (Massey-
Strokes, 2002).
Both over-nutrition (obesity) and under-nutrition (dieting and
anorexia) are seen among adolescents, and both are associated with
mental health problems, most notably anxiety and depression, as well as
difficulties in social relations (Hudson, Hiripi, Pope & Kessler, 2007). e
South African Department of Health has adopted the South African
Food-based Dietary Guidelines (see Box 23.4) to encourage responsible
eating habits, ensuring that all macro- and micronutrient requirements
are met. Obesity is a complex medical disorder that is affected by
genetics and the environment. Environmental factors that contribute to
adolescent obesity include high caloric intake (diets high in saturated fat
and sugar) and sedentary behaviour. Youth learn these unhealthy
behaviours from parents and other influential role models (Daee et al.,
2002). ere are serious negative consequences to obesity, and
consequently, controlled health-promoting behaviour such as increased
fruit and vegetable intake, lowered fat intake and more exercise should
be encouraged for overweight and obese adolescents.
Over one-third of American adolescent females engage in at least one
episode of a harmful weight-loss practice (such as chronic dieting,
excessive exercise, self-induced vomiting and abuse of laxatives, diet
medications and diuretics) (Massey-Strokes, 2002). Adolescent weight-
loss behaviour is associated with anaemia (iron deficiency), poor calcium
intake (which may lead to a risk of osteoporosis in later life), stunting,
poor body image, decreased immune function, menstrual cycle
disruptions and even death (Daee et al., 2002).
 23.2 MOVE FOR HEALTH
One of the World Health Organization initiatives is Move for Health. Physical activity among children and
adolescents is being encouraged, not only for its benefit in weight management, but also as a crucia
element of a healthy lifestyle that reduces the risk of developing diabetes and cardiovascular disease.

Figure 23.3 Dehydration is a danger that is often underestimated

While exercise should be encouraged, adolescent athletes are

particularly vulnerable to nutritional misinformation. Pressures to
achieve optimal performance and muscle mass encourage athletes,
particularly adolescent males, to experiment with supplements, muscle
fuels and steroids in order to achieve a competitive edge. ese may
negatively affect health and growth. Adequate fluid intake and
prevention of dehydration are critical for younger athletes. Heat illness
ranks second to head injury as a cause of reported non-cardiac causes of
death in adolescent athletes (Petrie, Stover & Horswill, 2004; Steen, 1996).
Nutrition at older ages
e risk of nutrition-related health problems increases in later life, either
as a result of impaired food intake or reduced nutrient utilisation. At this
stage of life, the stomach mucosa (lining) deteriorates, which results in
less acid and pepsin secretion and, ultimately, a reduction in the
bioavailability of calcium, iron, folate and vitamin B12 (Minuti et al.,
2014). Post-menopausal women need increased calcium to protect
against osteoporosis as their oestrogen levels drop, resulting in greater
bone loss. Overall, older adults need similar intakes to younger adults of
most vitamins and minerals, but they usually need less energy-dense
food as their activity levels decline. erefore, a nutrient-dense diet is a
high priority for older people. Nutrient deficiencies in older adults can
exacerbate both physiological and cognitive deterioration.

23.3 THE BIRTH TO TWENTY STUDY

Birth to Twenty (Bt20) is the largest and longest-running birth cohort study of child health and
development in South Africa, and has been tracking more than 3 000 children born in Johannesburg-
Soweto during a seven-week period in 1990.
Mean birth weights of the Bt20 children were less than American norms (National Center for Health
Statistics, 2001) and girls weighed significantly more than boys. The percentage of LBW children of
normal gestation age (about seven per cent) was similar to that of developed countries. Thereafter
growth in weight exceeded that of the National Center for Health Statistics reference standards during
the first six months of life, a trend that is attributed to almost universal breastfeeding among African
mothers.
However, after six months, weight began to fall below the norms. Poor weaning foods, infections and
low levels of stimulation are believed to account for the characteristic drop-off in weight seen among
preschool children in developing countries. By two years of age, 22 per cent of Bt20 children were
stunted (having a lower than expected height for their age) and seven per cent were wasted (having
very much less than their expected weight).
Catch-up growth occurred between four and five years, resulting in a reduction in the prevalence of
stunting and wasting to five per cent and one per cent, respectively, at five years of age (Cameron, De
Wet, Ellison & Bogin, 1998).
See Richter, Norris, Pettifor, Yach and Cameron (2007) for a summary and evaluation of the Bt20.
23.4 REVISED GENERAL FOOD-BASED DIETARY GUIDELINES
FOR SOUTH AFRICANS
Source: Vorster, Badham & Venter (2013)
To eat responsibly you should follow these guidelines:
Enjoy a variety of foods.
Be active.
Make starchy foods the basis of most meals.
Eat plenty of vegetables and fruit every day.
Eat dry beans, peas, lentils and soya regularly.
Have milk, maas or yoghurt every day.
Chicken, fish, lean meat or eggs can be eaten daily.
Use fats sparingly. Choose vegetable oils rather than hard fats.
Drink lots of clean, safe water.
Use sugar and foods and drinks high in sugar sparingly.
Use salt and food high in salt sparingly.
 SUMMARY

• The rapid growth of the foetus during gestation requires adequate nutrition, in terms of quality and
quantity.
• Under-nutrition later in pregnancy tends to be associated with foetal growth retardation and low
birth weight.
• Birth weight is an indicator of the quality of the intrauterine environment, and it strongly predicts
both physical and psychological development during the preschool years.
• Low- and very-low-birth-weight babies are more likely to have neurological and respiratory
problems.
• Growth is again very rapid during infancy and early childhood.
• Under-nutrition is one of the five most common causes of child deaths.
• Malnutrition has a variety of negative effects on young children.
• Feeding is also an opportunity to nurture the infant emotionally.
• Non-organic failure to thrive (NOFTT) involves a failure to grow, with no clear organic cause. It is
more common in institutionalised infants and may lead to both physical and cognitive deficits.
• Interventions include compensatory nutrition and psychosocial stimulation.
• Nutritional status may influence the age of menarche.
• The growth spurt in puberty means that adolescents need more macronutrients and
micronutrients.
• Changes in lifestyle, body esteem and food habits also affect adolescents’ nutrient intake.
• There may be special nutrient needs associated with participation in sports, adolescent pregnancy,
development of an eating disorder, excessive dieting, and the use of alcohol and drugs.
• Poor nutritional habits started during adolescence may continue into adulthood and may lead to
disease.
• Both over-nutrition (obesity) and under-nutrition (dieting and anorexia) are seen among
adolescents, and both are associated with mental health problems.
• The risk of nutrition-related health problems increases in later life, either as a result of impaired food
intake or reduced nutrient utilisation.

HIV/AIDS, tuberculosis (TB) and

parasites
HIV/AIDS, tuberculosis (TB) and malaria (a parasitic infection)
collectively accounted for 3.5 million deaths in 2013 (World Health
Organization, 2014b; 2014c; 2014d), with the majority of these occurring
in the developing world. One and half million died of HIV/AIDS, and
sub-Saharan Africa is home to 70 per cent of the 35 million people
worldwide infected with HIV (World Health Organization, 2014b). One
and a half million died of TB, with 95 per cent of these from low- to
middle-income countries (World Health Organization, 2014d). Just over
half a million people died from malaria, the majority of these being
African children (World Health Organization, 2014c).
ese statistics illustrate why the United Nations included the goal to
fight HIV/AIDS, malaria and other diseases amongst its millennium
development goals (United Nations, n.d.). By 2013, the number of new
infections with HIV had dropped considerably although 2.3 million
people were still being newly infected with HIV. In terms of TB, the
mortality rate decreased 41 per cent between 1991 and 2011; however,
multi-drug resistant TB remained a major problem. Malaria deaths fell 26
per cent between 2000 and 2010 (United Nations, n.d.).
Infections and parasites, therefore, can have a devastating impact on
families, communities and economies, particularly in developing regions
of the world (and Africa in particular). ese diseases and parasites act
immediately on the body, compromising its integrity. ey also have a
profound psychological effect on those unfortunate enough to be
infected with them. Many of these conditions are curable or preventable.
Although there is no cure for HIV/AIDS, we know how it is spread and
how people can avoid becoming infected. In the case of TB, there are
well-established biomedical cures. Similarly, we know how to prevent
and cure malaria and bilharzia. However, these conditions continue to
spread due to social, political, economic and personal factors. If HIV/
AIDS, TB and parasites are to be effectively controlled, or even eradicated
altogether, a holistic approach is imperative. Biomedicine needs to work
closely with psychology and social science, taking into account the bio-
psychosocial influences that promote and maintain these infections.
 23.5 THE IMPACT OF WESTERN SOCIOCULTURAL INFLUENCES
ON NUTRITION
It has been suggested that one of the strongest sociocultural factors influencing girls and women today
is the Western beauty ideal, in which fatness is stigmatised and thinness praised. Worldwide media
focusing on mainstream cultural values are a powerful force in shaping public perceptions regarding the
value of thinness, and therefore contribute to the rise in eating disorders in non-Western populations.
Among the cultural changes taking place in South Africa is a change in what is considered to be
acceptable body size and shape. Recent findings show that predisposition to an eating disorder was
significantly higher in black adolescents compared to their white counterparts, although the prevalence
of obesity was higher in the white girls (Gitau, Micklesfield, Pettifor & Norris, 2014). More white girls
desired to be thinner although they had a better body image score. These results indicate that Western
ideals of thinness are having an effect on eating attitudes and behaviour.

SUMMARY

• HIV/AIDS, tuberculosis (TB) and malaria collectively accounted for 3.5 million deaths in 2013.
• The majority of these occured in the developing world.
• These infections and parasites can have a devastating impact on families, communities and
economies.
• Social, political, economic and personal factors all contribute to the spread of these diseases.

The HIV/AIDS pandemic

The extent of the problem
HIV/AIDS is a devastating pandemic. According to the World Health
Organization (2014b), since it was first identified in 1980, 39 million
people worldwide have died of acquired immunodeficiency syndrome
(AIDS), with 35 million people living with the human
immunodeficiency virus (HIV) in 2013. Across the globe, there were 2.1
million new infections during 2013 (World Health Organization, 2014b).
As suggested above, the vast majority of new infections occur in
developing countries (Lamptey, Wigley, Carr & Collymore, 2002).
 Sub-Saharan Africa has both the highest prevalence of HIV (5.5 per
cent) and the most infected people (25 million), as depicted in Figure
23.4. e area with the next-highest prevalence is the Caribbean (1.2 per
cent) and the area with the next-highest number of infected people is
South and South-East Asia (3.9 million). More people die of AIDS-related
illnesses in sub-Saharan Africa than of any other cause.
By 2012, 6.4.million South Africans were infected with HIV, which is
the highest absolute number of infections of any country in the world
(Shisana et al., 2014). It is estimated that infection rates in the South
African population average at 12.2 per cent (9.9 per cent males; 14.4 per
cent females). However, in the 25–49 age group, around one in four are
living with HIV (Shisana et al., 2014). Of pregnant women who were
tested in 2011, 29.5 per cent were HIV positive (Department of Health,
2012). e leading causes of under-five mortality are HIV/AIDS, neonatal
causes and childhood infections (diarrhoea and lower respiratory tract
infections) (South Africa Every Death Counts Writing Group, 2008).
Notwithstanding the grim statistics presented above, there has been
significant progress in South Africa in fighting the pandemic. By 2012,
two million South Africans were taking antiretroviral treatment (ART),
which means the prevalence of HIV/AIDS is increasing because these
people are living longer (Maartens & Goemare, 2014). Adult life
expectancy has increased significantly and the great success of
prevention of mother-to-child transmission has seen a 67 per cent drop
in new infections in children from 2009 to 2012 (Maartens & Goemare,
2014).

The transmission and course of HIV/AIDS

e HI virus is transmitted in three ways:
1. rough unprotected vaginal, anal or oral sex with an infected person
2. From mother to child (during pregnancy and/or childbirth and/or
breastfeeding)
3. rough direct contact with infected blood or blood products
(needle-stick injuries, unsterilised needles or blades, or through
 sharing needles during intravenous drug use) (Barnett & Whiteside,
2006)

In sub-Saharan Africa, however, HIV/AIDS is most commonly

transmitted through heterosexual intercourse (Barnett & Whiteside,
2006; Desmond & Gow, 2002).
On entering the body, the HI virus enters the white blood cells of the
human host and attacks the body’s immune system, thus rendering the
person vulnerable to opportunistic infections, such as pneumonia,
meningitis, cancers and TB (Barnett & Whiteside, 2006). TB accounts for
about one-quarter of AIDS deaths in sub-Saharan Africa (World Health
Organization, 2014d).
Because the HI virus attacks the body’s immune system slowly over
time, newly infected individuals will not know they are infected unless
they have an HIV test. A person who is HIV positive will pass through a
relatively asymptomatic or HIV-well stage, lasting from 3 to 7 years, to a
symptomatic HIV-ill stage. is stage lasts from 12 to 18 months during
which the person may suffer weight loss and bouts of illness from
opportunistic infections. In the final stage, the person has full-blown
AIDS (characterised by a variety of persistent infections and other health
problems like diarrhoea, oral and/or vaginal candida (thrush), severe
mental deterioration and respiratory infections).
e long HIV-well stage means that the disease may spread widely
without anyone realising it. Because many people infected with HIV do
not know they are infected, they continue to have unsafe sex and thereby
infect others with the disease.

Bio-psychosocial influences that increase

vulnerability to HIV/AIDS
We are all vulnerable to HIV infection. However, in sub-Saharan Africa,
certain biological, cultural and socio-economic conditions render
women of child-bearing age, and especially those who live in informal
settlements (which are characterised by a mix of poverty and social
dislocation), relatively more vulnerable to contracting HIV/AIDS
(Lamptey et al., 2002; Shisana & Simbayi, 2002). During unprotected
vaginal intercourse, a woman’s risk of becoming infected is up to four
times higher than a man’s. In addition to this biological vulnerability,
unequal gendered power relations at a sociocultural level limit a
woman’s ability to negotiate or control sexual interaction, especially with
older men (Lamptey et al., 2002; LeClerc-Madlala, 2001).

Figure 23.4 Adults and children estimated to be living with HIV/AIDS in 2012 (UNAIDS, 2013)

Furthermore, in South Africa, women’s and girls’ vulnerability to

infection is also increased by a culture of physical and sexual violence,
which is so common that it has come to be perceived as normative and
largely accepted (Dunkle et al., 2006; Jewkes, Dunkle, Nduna & Shai,
2010). e added presence of poverty and social dislocation compounds
women’s risk of infection.
At a structural level, women’s relative lack of education, combined
with the burden of domestic work, child bearing and child care, has
increased the number of women living in poverty (see Chapter 18). is
also increases their dependence on men, reducing their ability to
negotiate safe sex and increasing their vulnerability to being sexually
exploited, with many young women having resorted to transactional sex –
exchanging sex for money or other goods in order to survive (Campbell &
MacPhail, 2002; LeClerc-Madlala, 2001). Lastly, the youth in these
communities, who are already vulnerable to HIV infection because of an
 adolescent tendency to engage in high-risk behaviours, often lack
conventional role models (such as employed parents), as well as
prospects of gainful employment.

23.6 CHALLENGES FACING DEVELOPING COUNTRIES IN THE

FIGHT AGAINST HIV/AIDS
In developing countries, government funding, resources, facilities and medication are restricted. HIV
medical nutrition therapy also requires specialised knowledge of nutrition, especially in relation to HIV
disease, medications, complications, and sensitivity to the infected and affected populations served. The
number of qualified medical nutrition therapy providers is completely inadequate in developing
countries. In the face of this, an increased effort needs to be made to educate primary health care
providers around nutrition and nutritional counselling.

SUMMARY

• HIV/AIDS is a devastating pandemic, with 39 million deaths worldwide thus far.

• Sub-Saharan Africa has both the highest prevalence of HIV and the most infected people.
• South Africa has seen significant progress in fighting the pandemic, especially in terms of ARTs and
prevention of mother-to-child transmission.
• The HI virus is transmitted through unprotected sex, from mother to child and through direct
contact with infected blood or blood products.
• The HI virus attacks the body’s immune system, making the person vulnerable to opportunistic
infections.
• In the early stages, the disease is asymptomatic, after which the person may suffer weight loss and
bouts of illness from opportunistic infections.
• In the final stages, there may be severe mental deterioration and respiratory infections.
• In sub-Saharan Africa, vulnerability depends on gender, age, and cultural and socio-economic
circumstances.
• At a structural level, women are also at risk due to relative lack of education, burden of domestic
work, child-bearing and child care, poverty, and dependence on men.
• The youth in these communities are vulnerable because of high-risk behaviours, lack of role models
and unemployment.

Strategies for the prevention and management of

HIV
e initial response to the HIV pandemic focused on preventing sexual
transmission of the disease through the well-known ABC (abstain, be
faithful, condomise) approach. However, since the mid-2000s it has
become apparent that interventions need to account in more complex
ways for sociocultural, economic, political and other factors in a person’s
environment (AVERT, 2015). us, a combination of strategies is now
considered to be a more effective approach. ese include programmes
at different levels and some of these are described below.

Prevention of mother-to-child transmission

(PMTCT)
A baby may become infected with HIV from its mother at any stage
during pregnancy, labour or delivery. is is the most common way in
which children become infected (AVERT, 2015). If no treatment is
received, the chance of infection is 15 to 45 per cent, thus it is very
important that pregnant women attend ante-natal services. ese should
include HIV testing, antiretroviral treatment (if necessary), and advice on
safe childbirth and infant feeding practices.

Post-exposure prophylaxis (PEP)

Where HIV-negative people have been exposed to HIV (through rape or
needle injuries, for example), post-exposure prophylaxis can help
prevent the virus taking hold (AVERT, 2015). It usually involves a month-
long course of anti-retroviral medications. PEP is not 100 per cent
effective, especially if treatment is delayed more than 72 hours after
exposure. As with all antiretroviral treatment, consistent adherence to the
treatment regimen is also essential to increase effectiveness.

Pre-exposure prophylaxis (PrEP)

In pre-exposure prophylaxis, an HIV-negative person who is at high risk
of HIV infection takes a daily medication. is includes drugs used to
treat HIV. People who are engaged in sex work or who use intravenous
drugs tend to be at highest risk of infection. PrEP is also useful where one
partner in a couple is HIV positive and the other is not. In combination
with condoms, PrEP can be highly effective in preventing infection, but
the medication must be taken consistently every day.

Treatment as prevention (TasP)

Treatment as prevention is a matching strategy to PrEP in that it is
applied to the HIV-positive person. In this approach, anti-retroviral
treatment is used to reduce the viral load in the person’s bodily fluids
(blood, semen, vaginal and rectal fluid) to very low levels, such that
transmission of the virus is unlikely (AVERT, 2015). TasP principles
underly the PMTCT and PEP strategies. Users should be aware that TasP
methods are not 100 per cent effective; indeed, health care providers
have concerns that people will engage in higher-risk behaviours believing
that their risk is low (AVERT, 2015). In addition, treatment adherence is
critical as poor adherence may lead to drug-resistant HIV strains.

Voluntary male medical circumcision (VMMC)

During the 2000s, research showed that circumcised males were 60 per
cent less likely to transmit HIV to their female partners (AVERT, 2015). As
a result, in 2009 the World Health Organization launched a major public
health intervention promoting voluntary male circumcision. Globally,
acceptance of this strategy has varied considerably. In South Africa,
VMMC was rolled out by the public health system in April 2010 and has
had a reasonable success rate. ere are, however, a number of
challenges including consent issues, limited resources, issues around
quality and safety of the equipment used, and the role and impact of
traditional circumcision (AVERT, 2015; Treatment Action Campaign,
2011). In addition, as with TasP, there are concerns that high-risk
behaviour will resume once a man is circumcised.

Needle and syringe programmes (NSPs)

In this approach, intravenous drug users are supplied with new needles
and syringes in an effort to reduce transmission of HIV and other viruses
from shared needles (AVERT, 2015). Many of these programmes also
provide other support, including advice on safer injecting, how to avoid
an overdose, as well as advice on how to reduce or stop injecting.

The role of psychology in the prevention and

control of HIV/AIDS
Given the multiple factors that render people vulnerable to HIV infection,
it is important that prevention efforts adopt an ecologically systemic
understanding of risk (as described in Chapter 21), ensuring
interventions at all levels: individual, interpersonal, community and
societal. Psychology plays an important role at all these levels.
Given that heterosexual intercourse is the most common means of
transmission in sub-Saharan Africa, reducing high-risk sexual behaviour
remains the principal strategy for curbing infection. Psychology can thus
provide health-promoting behavioural change strategies at the individual
and interpersonal levels. Efforts have largely concentrated on promoting
the ABC model of prevention, which encourages abstinence (not
engaging in sex), particularly among the youth, as well as promoting safe
sexual practices. In addition, male circumcision has been promoted, as
well as targeted interventions with at-risk populations such as
intravenous drug users (World Health Organization, 2009).
Many prevention efforts have focused on empowering individuals,
particularly women. ese focus on increasing knowledge about HIV
transmission, promoting health-enhancing attitudes, and improving
skills to negotiate and practise safe sex. ese efforts need to be
accompanied by interventions at the interpersonal, community and
sociocultural levels. Of importance at the interpersonal level is the need
to promote peer or social norms that enable behavioural change with
regard to safe sexual practices. is is particularly important for males in
Africa, where the sociocultural norm associates masculinity with
multiple partners (Campbell, 2003). e need for interventions at this
level is highlighted by the evaluation of a risk-reduction curriculum for
tertiary-level students at one tertiary institution in South Africa (see Box
23.7).
Given the sociocultural factors that increase vulnerability to infection,
behaviour change strategies cannot be separated from structural
interventions at a societal level, which are focused on poverty alleviation,
development and gender equality.
In addition, voluntary counselling and testing (VCT), prevention of
mother-to-child transmission (PMCT), and the management of sexually
transmitted infections (STIs) are all regarded as prevention interventions,
as their primary function is to reduce transmission of HIV (Geffen,
Nattrass & Raubenheimer, 2003; World Health Organization, 2009).
Antiretroviral treatment (ART) slows down the rate at which the HIV
multiplies in the body and therefore allows HIV-infected people to stay
healthy for longer. It also plays a role in prevention, lowering viral loads,
and the increasing availability of such treatment should hopefully
encourage people to go for VCT.

Voluntary counselling and testing

Voluntary counselling and testing (VCT) is central in HIV prevention
interventions and the supporting of infected and affected people. VCT
encourages behavioural change towards safer sexual practices (Mola et
al., 2006; UNAIDS, 2001), with people who are negative being motivated
to practise safe sex in order to stay negative. UNAIDS (2000, p. 3) defines
VCT as ‘the process by which an individual undergoes counselling,
enabling him or her to make an informed choice about being tested for
HIV’. Testing must be freely chosen and individuals should be assured of
confidentiality.
VCT typically consists of three stages: pre-test counselling, post-test
counselling and follow-up counselling. Pre-test counselling is provided
to all people who have requested and agreed to an HIV test. During pre-
counselling the counsellor should
• explain what an HIV test is
• discuss the client’s risk behaviour(s)
• correct any misunderstandings the client may have
• discuss with the client the implications of knowing his/her status
• explore ways to cope with either a negative or positive result (Ross &
Deverell, 2004).

23.7 SEX AND RISK: A RISK-REDUCTION CURRICULUM

INTERVENTION
Source: Petersen, Bhagwanjee, Bhana and Mahintso (2004)

Procedure
A group of tertiary students was divided into two groups: an experimental group to whom the risk-
reduction curriculum intervention was provided, and a control group to whom a series of lectures on
HIV/AIDS was given. In the experimental condition, the participatory group-based risk-reduction
curriculum over a number of sessions revolved around three dominant themes: knowledge of HIV/AIDS,
awareness and skills building. Knowledge sessions included understanding the epidemiology of
HIV/AIDS, modes of HIV transmission (including myths and conceptions) and biological factors that
underpin progression from HIV to AIDS. Awareness sessions focused not only on understanding risky
sexual behaviour, but also on developing a critical consciousness about gender roles involved in risky
sexual behaviour. The skills-building exercises attempted to enhance relationship building, sexual
communication, negotiation and condom use. In the control condition, the lectures on HIV/AIDS largely
focused on knowledge regarding HIV/AIDS. Evaluation used a pre- and post-test knowledge, attitude
and practices (KAP) survey questionnaire, followed by qualitative interviews with participants.

Results
The findings showed an improvement in both the experimental and control conditions on knowledge
of HIV/AIDS, with the experimental condition producing a significant improvement on awareness of the
role of social influences on sexual behaviour. No significant change in behaviour was found for either
group. The qualitative interviews revealed that while students exposed to the experimental condition
felt empowered by the programme, behaviour change was difficult given the peer norms that prevailed
on campus, which involved high-risk sexual behaviour.

Conclusion
To be successful, interventions targeting behaviour change at the individual level need to be
accompanied by interventions aimed at creating peer norms that are enabling and supportive of
behaviour change.

Before proceeding for the HIV test, the client must provide informed
consent.
During post-test counselling, the counsellor begins by revealing the
results of the HIV test. People who have tested HIV negative are told
about the window period, which is a three-to-four month period after
infection during which HIV antibodies may be undetected by the HIV
 test they have just had. People who test HIV negative are therefore
advised to return for retesting three to four months later, and provided
with information on how to remain negative (Ross & Deverell, 2004).
HIV-positive people are encouraged to talk about their diagnosis and
explore ways in which they will cope. Safe-sex practices are described
and people are encouraged to practise them at all times. Follow-up
counselling and support should be available to people for any
subsequent questions or concerns.

SUMMARY

• Early responses for prevention and management of HIV were based on the ABC method; more
recently, combination approaches have been employed, using a selection of the following, as well
as ABC:
» Prevention of mother-to-child transmission (PMTCT)
» Post-exposure prophylaxis (PEP)
» Pre-exposure prophylaxis (PrEP)
» Treatment as prevention (TasP)
» Voluntary male medical circumcision (VMMC)
» Needle and syringe programmes (NSPs)
• Prevention efforts should take an ecologically systemic understanding of risk.
• Reducing high-risk sexual behaviour through the ABC model remains the principal strategy for
curbing infection.
• Male circumcision, increasing knowledge, promoting health-enhancing attitudes, and improving
interpersonal and empowerment skills are all important, as are peer and social norms.
• Psychologists also contribute to ART adherence and prevention of mother-to-child transmission.
• VCT is central in HIV prevention interventions and providing support to infected and affected
people.
• VCT encourages behavioural change towards safer sexual practices.
• VCT typically consists of three stages: pre-test counselling, post-test counselling and follow-up
counselling.
• Testing must be freely chosen and individuals should be assured of confidentiality; before
proceeding for the HIV test, the client must provide informed consent.

The impact of HIV/AIDS on mental health

Studies show that people who are infected with HIV are at greater risk of
developing a mental disorder (Brandt, 2009; Chandra, Desai & Ranjan,
2005). is occurs at two levels (Chandra et al., 2005):
 e stress of knowing one’s positive status, often regarded as a death
•
sentence, together with the stigma that accompanies the illness, may
trigger an acute stress reaction, depression and/or anxiety, with an
accompanying risk of suicide.
• People in the final stages of infection may suffer from dementia,
delirium and psychotic disorders as brain cells are destroyed by the
virus as well as by opportunistic infections such as meningitis.

HIV infection can result in mental disorders through a variety of

mechanisms. A great deal of evidence indicates that people with the HI
virus are significantly more stressed and distressed than the general
population (Collins, 2006; Israelski et al., 2007; Saunders, 2006). e most
common stress-related diagnoses are depression, post-traumatic stress
disorder (PTSD) and acute stress disorder (ASD).
Furthermore, having family members infected with HIV is likely to
impact on the psychological well-being of the rest of the family due to
stigma and premature death. Children orphaned by AIDS are most
vulnerable to economic hardship, challenges to their social and
emotional development, as well as other psychosocial consequences.
Grief over the death of a parent, fear of the future, separation from
siblings, and distress about worsening economic circumstances and
HIV/AIDS-related discrimination and isolation often results in
depression and anxiety as well as symptoms of PTSD.

Nutrition for people living with HIV/AIDS

HIV/AIDS affects nutrition directly and indirectly. e direct effects
involve the inability of AIDS-sick individuals to eat because of the pain of
oral thrush and/or lack of appetite owing to generalised illness. e
indirect effects result from increasing levels of poverty and malnutrition.
In already impoverished communities, AIDS depletes the reserves of
breadwinners, and impacts negatively on subsistence activities.
Common complications of HIV infection and AIDS are malnutrition,
lactose intolerance, fat malabsorption and AIDS-related anorexia
(Anabwani & Navarro, 2005; Kotler, 1998). Children with HIV have young
 immune systems and small protein reserves, thus it is important to
maintain good nutrition to maintain immune system functioning. is,
along with tolerable antiretroviral treatment, ultimately helps to
minimise disease progression and promote survival (Fontana, Zuin &
Plebani, 1999; Nerad et al., 2003).
Nutrient deficiencies occur in HIV-infected patients, because
nutrients are used faster by the body to fight the infection and repair the
damage caused by the virus and other infections. Poor absorption of
nutrients results from intestinal infections, diarrhoea and vomiting.
ese nutrient deficiencies further strain the immune system and other
physiological systems as nutrients provide the building blocks for both
the body’s physical structure (cells, tissues and organs) and its function.
Studies have shown that in both HIV-infected children and adults,
deficiencies in zinc, selenium, copper, and vitamins C, E, B6 and B12 (all
of which contribute to an intact immune response) are common (Nerad
et al., 2003). Nutritional counselling, careful food preparation hygiene,
oral nutritional supplementation and regular resistance exercise
programmes have been shown to be effective in improving health
outcomes in HIV-infected patients (Anabwani & Navarro, 2005; Rabeneck
et al., 1998; Roubenhoff, McDermott & Weiss, 1999).

SUMMARY

• People infected with HIV are at greater risk of developing a mental disorder; these include acute
stress reaction, depression and/or anxiety, and risk of suicide.
• In the final stage, there may be dementia, delirium, psychotic disorders and meningitis.
• People with HIV may also experience stigma and discrimination, and children may be orphaned.
• HIV/AIDS affects nutrition directly and indirectly. Direct effects involve the inability of AIDS-sick
individuals to eat because of the pain of oral thrush and/or lack of appetite owing to generalised
illness. Indirect effects result from increasing levels of poverty and malnutrition.
• There are a number of common complications of HIV infection and AIDS, which may be
exacerbated by impoverished social circumstances.

The TB epidemic
The extent of the problem
e statistics on tuberculosis (TB) are shocking. In 2013, nine million
people contracted TB and about 1.5 million people died from the disease
(World Health Organization, 2014d). However, the death rate from TB
dropped by 45 per cent between 2000 and 2013, and the number of new
infections each year is slowly declining. Although southeast Asia and the
Western Pacific had the highest number of new cases in 2013 (about 56
per cent of new cases), the highest prevalence is in Africa with 280 per
100 000 people (World Health Organization, 2014d). TB is also a leading
cause of death for HIV-positive people, being responsible for one-quarter
of all HIV-related deaths. In South Africa, 60 per cent of all reported TB
sufferers are HIV positive (World Health Organization, 2006c).

The transmission and course of TB

TB is a contagious disease, which spreads through the air. e most
common form is pulmonary TB (TB of the lung). When a person
infected with pulmonary TB sneezes, spits, talks or coughs, that person
releases TB germs, known as bacilli, into the air. Only a small number of
bacilli need to be inhaled for a new infection to occur. However, people
infected with TB will not necessarily become ill. e immune system
protects the body against TB, and the bacilli can lie dormant in the body
for years. When a person has a weakened immune system, they are more
likely to become ill (World Health Organization, 2014d).
Drugs to cure TB have been available for 50 years. Currently, the best
known are isoniazid and rifampicin. In order for the drugs to work,
however, they have to be taken regularly for a long period of time (six to
eight months). If people take the drugs for a short time and then stop, or
take the drugs irregularly, strains of TB develop that are resistant to those
drugs.
ere are now increasing rates of multi-drug resistant TB (MDR-TB),
which is defined as TB that does not respond to isoniazid and rifampicin.
ese infections need to be treated with more expensive therapies which
may not be freely available. Treatment takes two years and may have
severe side effects. ese drug-resistant strains of TB can also be spread
to other people. is can have very serious consequences, as it risks
MDR-TB becoming a potentially incurable epidemic (World Health
Organization, 2014d). About 480 000 new MDR-TB cases developed in
2013 (World Health Organization, 2014d). In addition, about nine per
cent of MDR-TB cases have developed extensively drug-resistant TB
(XDR-TB). ese strains are resistant even to second-line medicines.

23.8 CHALLENGES FACING DEVELOPING COUNTRIES IN THE

FIGHT AGAINST HIV/AIDS
In developing countries, government funding for HIV support services is restricted, while medica
nutrition therapy for HIV/ AIDS patients requires specialised knowledge of HIV-related nutrition
medications, complications and sensitivity in these patients. However, given that the number of
qualified medical nutrition therapy providers is completely inadequate in developing countries, much
more effort needs to be made to educate primary health care providers around the nutrition needs of
their patients.

Bio-psychosocial influences that increase

vulnerability to TB
A number of factors contribute to the high incidence rates of TB (World
Health Organization, 2014d). ese include the following:
• the increased impact of HIV, which weakens the immune system thus
accelerating the spread of both diseases
• poorly managed TB programmes, which have led to the development
of MDR-TB
• greater migration and displacement of people due to global trade, war
and poverty.

TB spreads rapidly in poor countries, for complex reasons. Although TB

is a well-understood physical problem, the factors that contribute to its
continuing spread are economic, social and psychological. ese factors
operate at a range of levels.
 Poor people are exposed to unhealthy working and living conditions,
and are often poorly nourished. is makes them vulnerable to becoming
infected with TB (Yong Kim, Shakow, Castro, Vande & Farmer, n.d.).
Poverty also limits access to, and utilisation of, medical treatment (Yong
Kim et al., n.d.). In South Africa, both poverty and TB have been divided
unequally along racial lines. As a result, disadvantaged groups,
particularly black workers, have been hardest hit by the disease (Benatar,
2013). is was fuelled by migration, urbanisation and overcrowding
(Metcalf, 1991).
ese factors, along with civil unrest, war and natural disasters have
increased migration and displacement (Gandy & Zumla, 2002), especially
in developing countries (Saraiya & Binkin, 2000). People are more mobile
than ever before. For example, they move between and within countries
to escape unrest or seek political asylum, or to find employment or to
study. ere are about one billion migrants in the world today (World
Health Organization, 2014e). Particularly for illegal migrants, accessing
health care and adhering to long-term treatment plans are particularly
difficult. ese migrant populations tend to have higher rates of TB
infection and they also spread TB as they move (World Health
Organization, 2014e).

Contributions of psychology to the prevention

and control of TB
For TB to be treated successfully, patients must adhere to a long and
challenging treatment regimen, which involves six to eight months of
large amounts of drugs, initially taken daily. e drugs can have a variety
of unpleasant side effects, such as rashes, stomach pain, nausea, ringing
in the ears and blurred vision. After two months of treatment, most
patients begin to feel well again and may want to stop taking their
treatment. As described above, this has serious negative consequences
for TB control. Psychology can play a significant role in improving
treatment adherence, thereby influencing the control of the disease, and
decreasing the incidents of MDR-TB.
 In order to improve worldwide TB control, in 2006 the World Health
Organization (n.d.b) developed a six-element strategy to address the
main challenges facing TB (http:www.//ghdonline.org):
• pursue high-quality DOT expansion and enhancement
• address TB-HIV, MDR-TB, and the needs of poor and vulnerable
populations
• contribute to health system strengthening based on primary health
care
• engage all care providers
• empower people with TB, and communities through partnership
• enable and promote research.

One critical aspect of treatment adherence is the directly observed

treatment (DOT) programme. is approach is recommended by the
World Health Organization and it involves supervised treatment in the
patient’s home. According to the World Health Organization (n.d.a), the
application of DOT is still fundamental to the Stop TB Strategy. e DOT
approach has five components (World Health Organization, n.d.a):
• political commitment with increased and sustained financing
• case detection through quality-assured bacteriology
• standardised treatment, with supervision and patient support
• an effective drug supply and management system
• monitoring and evaluation system, and impact measurement.

Psychological and behavioural factors are critical for the application of

DOT. At the heart of this approach is the commitment to observing the
patient as they take the medication, for at least some of the treatment
period. e rationale for DOT is simple: watching a person take the
medication for five days a week for six to eight months provides the most
effective way of ensuring patients adhere to the treatment regimen.
However, there are some problems with DOT. First, there does not
seem to be conclusive evidence that DOT works better than other
methods (Volmink, Matchaba & Garner, 2000). Second, there are
inconsistent definitions of DOT in different countries and contexts
(Macq, eobald, Dick & Dembele, 2003). ird, the process of directly
observed treatment may lead to the health provider treating the patent
with disrespect as an unmanageable case of infection rather than as an
independent person (Van der Walt & Swartz, 2002). e patient, on the
other hand, may come to resent the health provider and avoid coming for
treatment.
Psychology can play an important role in the control of the TB
epidemic through understanding and developing behavioural strategies
to increase treatment adherence. It is important to emphasise, though,
that this widespread problem (see Jaret, 2001; Vermeire, Hearnshaw, Van
Royen & Denekens, 2001; World Health Organization, 2003) cannot be
solved by addressing patient behaviour alone. On the contrary,
adherence needs to be addressed at the health provider level as well.
Psychological interventions aimed at assisting patients to adhere to
treatment include motivating patients to complete treatment, helping
patients develop self-monitoring skills and confidence so that they take
charge of their treatment, providing group support for patients and
family members and helping patients cope with stigma.
Interventions aimed at assisting health care providers to create an
environment conducive to adherence include increasing empathy for
patients, helping providers empower patients, improving providers’
understanding of health behaviour and human motivation, as well as
their communication skills and providing support to providers and their
managers.
e challenge of adherence to treatment needs to be considered
within the broader social, cultural and economic issues that underlie the
attitudes, experiences and beliefs that patients, their family, friends and
community hold about the particular illness and its treatment (Vermeire
et al., 2001). To date, almost 200 different variables have been used to try
to account for poor adherence, with little or no success (Vermeire et al.,
2001). Among others, the characteristics of the disease, the nature of the
referral process, the type of clinical setting, the therapeutic regimen and
patient demographics do not seem to play a decisive role (Vermeire et al.,
2001). However, the presence of psychiatric disorders, the degree of
disability, and the features of the treatment (e.g. duration, number of
medications, their cost and the frequency of doses) do seem to be closely
linked to adherence.
The impact of TB on mental health
Like any other debilitating condition, TB can affect people’s ability to
concentrate and learn, and to accomplish their daily tasks. Rarely, TB
may have neuropsychological consequences. However, the most
common impacts of TB on mental health arise from social and economic
factors.
Because it is a disease of poverty, TB has long carried a stigma, and
many people have felt ashamed of having TB. With the advent of the
AIDS pandemic, this stigma is further complicated because people often
think that TB-infected individuals are HIV positive or have AIDS.
Also, the long duration of treatment, and the amount and cost of
medication are problematic. Work may be disrupted (and patients may
even lose their jobs) because of the need to attend treatment regularly.
is can have devastating effects on the mental health of patients and
their families. e long course of the illness itself can be emotionally
draining. Patients might wonder whether they will ever be well and they
may worry about how the cost of treatment leads to other sacrifices.
Broadly, the ongoing TB epidemic can contribute to demoralisation in
families and communities, and can impact on productivity and
entrepreneurship.
 SUMMARY

• Although the statistics on TB show widespread infection, there has been some progress in
reducing mortality.
• TB is a major risk factor for HIV-positive people, being responsible for one-quarter of all HIV-related
deaths.
• TB is a contagious disease, which spreads through the air; the most common form is pulmonary TB.
• People can be infected with TB without becoming ill; when a person has a weakened immune
system, they are more likely to become ill.
• Drugs to cure TB must be taken for six to eight months, but resistance to first-line drugs is
increasing, leading to growing rates of multi-drug resistant TB (MDR-TB). However, some strains
have developed resistance to second-line drugs, leading to extensively drug-resistant TB (XDR-TB).
• A number of factors contribute to the high incidence rates of TB: HIV, poorly managed TB
programmes, as well as greater migration and displacement of people.
• TB spreads most rapidly in poor countries, for complex, interacting, economic, social and
psychological reasons.
• Psychology can play a significant role in improving treatment adherence, thereby influencing the
control of the disease, and decreasing the incidents of MDR-TB. One technique is the application of
directly observed treatment (DOT) programmes, involving supervised treatment in the patient’s
home. Psychological and behavioural factors are critical for the application of DOT; however, there
have been some criticisms of the approach.
• The problem of adherence needs interventions at both patient and health provider level.
• TB can affect people’s ability to concentrate and learn, and to accomplish their daily tasks.
• The most common impacts of TB on mental health arise from social and economic factors –
stigma, association with HIV, cost and duration of treatment, work disruption and potential loss of
employment.

Parasites
The extent of the problem
Millions of people, especially in sub-Saharan Africa, are prey to common
species of parasites, and often harbour several different parasite species
simultaneously. Parasites, including malaria, bilharzia and intestinal
worms, live off others, deriving food and shelter from their hosts.
Malaria is ‘caused by parasites transmitted to people through the bites
of infected mosquitoes’ with 198 million cases in 2013 (World Health
Organization, 2014c). e disease killed 584 000 people in 2013, the
majority of them children in sub-Saharan Africa. However, mortality rates
have reduced by 47 per cent worldwide and by 54 per cent in Africa.
Despite this, there are signs of increasing drug resistance to earlier
generation medicines. Malaria also has significant economic effects,
cutting growth rates in affected countries (World Health Organization,
2014c).
Bilharzia is even more widespread than malaria, and has been
successfully controlled in many parts of the world, notably China, Japan,
Brazil, Egypt and Morocco, but not in sub-Saharan Africa (Engels,
Chitsulo, Montresor & Savioli, 2002). In 2013, more than 35 million
people were treated for bilharzia and 83 per cent of these were in sub-
Saharan Africa (World Health Organization, n.d.c). is lack of control in
sub-Saharan Africa may be due to poverty, loss of diagnostic potential
and the diversion of resources to more extreme health problems like
HIV/AIDS and TB. Bilharzia tends to occur intensively over focal areas,
so the total number of cases in a country may not be high, but some areas
may have pockets of high-intensity infections.

The transmission and course of parasitic

infections

Malaria
ere are four species of malaria, but Plasmodium falciparum is the main
killer. All malaria is transmitted by the Anopheles mosquito, as it moves
from one human host to another. e sporozoites (malaria parasites)
find their way to the liver within minutes of the mosquito biting a host. In
the liver they divide rapidly over about a week, forming thousands of
merozoites, which burst out of the liver into the bloodstream, where they
invade red blood cells, contributing to anaemia. is situation develops
rapidly, and if unchecked, the inability to deliver oxygen to the body’s
vital organs can result in death.
 Usually the disease is limited either by treatment or by the host’s
immune system, but in some cases it causes serious damage or death, for
example in cerebral malaria where the patient is likely to have
convulsions and may go into a coma (Marsh, 2002). Repeated infections
are a fact of life for people living in malaria-endemic areas, and over time
they acquire some degree of immunity.

23.9 A CASE STUDY OF CEREBRAL MALARIA

The case of Bahati Kazungu shows how devastating the effects of cerebral malaria can be, although less
than five per cent of children who survive will have such a severe outcome.
Bahati was two years old when he fell ill with malaria. By the time he and his mother had completed
the two-hour bus journey to the nearest hospital, he had suffered three episodes of seizures, and was in
a deep coma, where he remained for four days. At admission, Bahati was found to have a high number
of Plasmodium falciparum parasites in his blood. He had no more seizures, but he had severe respiratory
problems, and his blood sugar fell. When Bahati came out of his coma the doctors thought he was on
the slow road to recovery. Unfortunately, within days Bahati fell back into a coma, a relatively
uncommon biphasic pattern of illness. Bahati came out of the second coma, but he was discharged
with severe impairments, and later developed epilepsy.
Five years later, he was still on regular medication and had severe cognitive impairments. He was
unable to speak, wash and dress. His family members shared the 24-hour care that he needed. His older
siblings tried to train him to feed himself. Bahati is able to walk, pick up objects, and stay close to his
family, but he will remain totally dependent upon them (personal communication, P. Holding, Kilifi
Kenya).

Bilharzia
Schistosoma haematobium and Schistosoma mansoni are the two main
species of bilharzias affecting humans in southern Africa. All bilharzias
are transmitted by water. When an infected person urinates in water, the
eggs of the bilharzia parasite hatch into swimming miracidia. ese
penetrate water snails and develop further. ey then move out into the
water, ready to penetrate the skin of people where they come into
contact. e eggs may lodge and calcify anywhere in the body, causing
physical damage; in addition, loss of blood in the urine or faeces may
contribute to anaemia.
e World Health Organization (WHO) advises member countries to
control bilharzia through their primary health care systems; WHO has
also designed strategies and assessment tools for high-burden
communities and high-risk individuals (Montresor, Crompton, Hall,
Bundy & Savioli, 1998; Montresor, Gyorkos, Crompton, Bundy & Savioli,
1999; World Health Organization, n.d.c). On the positive side,
Praziqantal, the drug of choice, is freely available, and control can be
effected through the delivery of regular chemotherapy (probably only
once a year) to primary children at school. ere is, however, a risk that
resistance to this drug will emerge, as it has for many other treatments.

Other common parasites

Other very common parasite species common among children in sub-
Saharan Africa include three kinds of roundworm: Ascaris, Trichuris and
hookworm. e intestinal roundworm (Ascaris lumbricoides), in
particular, may cause intestinal obstructions. Trichuris (Trichuris
thrichiura) is also a form of roundworm called a whip-worm, which
primarily lives in the large intestine, while the hookworm lives in the
small intestine. All of these parasites are likely to cause diarrhoea and
nutritional deficits which will reduce the body’s available energy, thus
affecting brain development.
Figure 23.5 Poor hygiene in informal settlements increases vulnerability to disease and parasitic
infections

Bio-psychosocial influences that increase

vulnerability to parasitic infections
Anyone who is exposed to parasites may contract parasitic infections.
However, parasites thrive in the following conditions:
• where nutrition and hygiene are poor
• where water and sanitation services are inadequate
• where preventative services are weak
• where treatment is difficult to obtain
• where the physical environment is hot and/or humid
• where poverty and destitution are widespread.

As is already clear, anyone with a compromised immune system or

chronic illness (HIV/AIDS and/or TB) and living in such conditions is
particularly vulnerable to parasites.
 In the case of malaria, children, pregnant women and non-immune
travellers are at greater risk of severe disease and death. In the case of
bilharzia, children (usually from eight to 14 years) who play in rivers are
the most likely to acquire the infection. Children are also more likely than
adults to suffer serious effects from parasitic infections, due to their
special nutritional needs for growth and cognitive development.

The role of psychology in the prevention and

control of parasitic infections
Like HIV/AIDS and TB, prevention of parasitic infections should be
manageable. However, in practice, a range of factors compromise
effective prevention of parasitic diseases. Psychology can play a role in
the development of behaviour change strategies. With regard to
prevention, the following is important:
• Malaria: Encourage people to cover themselves at night as well as to
use mosquito nets and insecticide sprays.
• Bilharzia: Encourage people living in infected areas to stop urinating
in the local dams, lakes or rivers; to avoid swimming in contaminated
water, and to have regular medical check-ups at the local clinic.

As with HIV/AIDS and TB, these behaviour change strategies are likely to
be mediated by socio-economic factors. In some instances, covering up
may not be practical, sprays may be too expensive and not bathing in
contaminated water may be impractical because of constraints on water
supply.
Again like TB, psychology can play an important role in the control of
parasitic infections through understanding treatment-seeking and
adherence behaviours, and developing strategies to address these.

The impact of parasites on mental health

Even if not fatal, cerebral malaria may cause severe and sometimes
permanent structural damage to the brain and nervous system (see Box
23.9). Furthermore, both malaria and bilharzia considerably weaken and
fatigue the body, which affects an individual’s mental health. e effect
on children and foetuses is particularly devastating.
Psychologically, there can be little doubt that parasites affect the
cognitive development and the socialisation of children. Being rundown
and/or bedridden leads to absence from school and being unable to take
part in social interactions and events. Developmentally, parasite
infection may negatively impact the acquisition of skills in various
domains in the preschool years, and the later development that normally
follows on from these foundations. (For example, motor development
precedes and facilitates the development of language and social skills,
which involve the exchange of ideas and viewpoints and enable the
formation of concepts.) us, the damage to psychological functioning is
likely to be linked to the time of acquisition of the infection, its intensity
and duration.
Table 23.1 Some examples of how psychology can contribute to the control of infectious and
parasitic diseases
 Example of how psychology can
Health-related activity
contribute
Design and evaluation of prevention
Prevention of infection
programmes
Design and evaluation of
Reducing stigma
community-based programmes
Devise approaches to treatment that
Treatment support fit easily into patients’ lives and
which do not alienate patients
Community-based care Support family members and other
carers in dealing with disablement,
losses, and care of people who are ill,
and those affected by illness and
deaths in their family and social
groups
Train front-line health care personnel
Support to health care personnel on psychological issues; providing
support for patient-centred care
Advocacy for resources Document the cognitive and mental
health impact of parasitic infections,
and bring the social cost of these
infections to the attention of
authorities
Explore and evaluate new ways in
which health care can be delivered,
Health care innovation
taking into account different social,
economic and cultural contexts
Make health a community-wide issue Work with community-based
structures (such as civic, women’s
and men’s organisations) to put
health issues on their agenda for
social change and development
 It is, however, difficult to find evidence clearly linking parasitic
infections to cognitive deficits in contexts that are fraught with other risk
factors for development (such as poverty and poor nutrition). e
evidence is mounting, however, and a pilot study tracking school-based
control of bilharzia (as well as other parasites) in endemic areas showed
that there was an association between grade repetition and high parasite
load (Kvalsvig et al., 2001). A more recent publication (Eppig, Fincher &
ornhill, 2010) looked at the energy cost of parasitic infections in young
children and showed a negative correlation between infectious disease
and IQ at a national level. Further research is needed to establish a causal
relationship.

SUMMARY

• Malaria is caused by parasites transmitted to people through the bites of infected mosquitoes.
Children in sub-Saharan Africa are most affected.
• Bilharzia is even more widespread than malaria; again, sub-Saharan Africa is most affected.
• All malaria is transmitted by the Anopheles mosquito. The parasites divide rapidly in the liver and
then cause anaemia by invading red blood cells, which deprives vital organs of oxygen. Cerebral
malaria may cause convulsions and death.
• Some people become partially immune to malaria due to repeated exposure.
• All bilharzias (Schistosoma) are transmitted by water. The eggs hatch into miracidia which develop
further in water snails. When they move back out into the water, they can penetrate the skin of
people who come into contact.
• The eggs may calcify or cause loss of blood in the urine or faeces, contributing to anaemia.
• Other common parasites include three species of roundworms.
• Parasites thrive in conditions of poverty, poor nutrition and hygiene, high humidity and heat, and
weak health services.
• Children and people with compromised immune systems or chronic illness are particularly
vulnerable.
• Psychology can play a role in the development of behaviour change strategies and through
understanding treatment-seeking and adherence behaviours, and developing strategies to address
these.
• Cerebral malaria may cause permanent structural damage to the brain and nervous system.
• Both malaria and bilharzia weaken and fatigue the body, with devastating effects on children and
foetuses.
• Parasites impact negatively both on the cognitive development and socialisation of children,
although they often occur in contexts with many other risk factors for development.
Conclusion
e human condition is determined by mental and physical factors
that are inextricably linked. Nutrition is a key aspect of mental and
physical health, especially in cases of HIV/AIDS, TB and parasite
infection. In the same way, poor nutrition may also result from mental
and physical ill health.
Poverty, under-development and poor education are significant
barriers to good nutrition in resource-poor environments. ese
factors also increase vulnerability to HIV/AIDS, TB and parasite
infection. In addition to the obvious biophysical effects, disease
perpetuates poverty and restricts economic growth at a societal level
(there are medical costs of treatment and prevention, educational costs
for interrupted and delayed schooling, financial costs due to job losses
and the difficulty of finding employment if under prolonged
treatment).
Furthermore, those who are ill need to be cared for, and they are
frequently socially marginalised. ey may have to bear the brunt of
prejudice, they may feel anxious, depressed and guilty. eir growth
and development may be stunted, thereby affecting their identity and
sense of self. Family and carers may also suffer psychologically in the
face of these illnesses.
However, most psychological and mental health problems
associated with nutrition, HIV/AIDS, TB or parasites are preventable
and/or can be remedied with appropriate intervention. Psychologists
are already making important contributions (see Table 23.1), but much
still needs to be done. An important strength of psychology is that, as a
science, the discipline requires that we measure the outcomes of what
we do, and that we apply the lessons we learn from both our successes
and failures.

KEY CONCEPTS
ABC model of prevention: a model of HIV/AIDS prevention
(abstinence, be faithful, condomise)
acquired immunodeficiency syndrome (AIDS): a collection of
symptoms and infections resulting from damage by the human
immunodeficiency virus to the human immune system
antiretroviral treatment (ART): medication that slows down the rate
at which the HI virus multiplies in the body and therefore allows HIV-
infected people to stay healthy for longer
bilharzia: a parasitic infection that is transmitted by water
contaminated with parasites such as Schistosoma haematobium and
Schistosoma mansoni
Birth to Twenty (Bt20): the largest and longest-running birth cohort
study of child health and development in South Africa, which has
tracked children born in Johannesburg-Soweto during a seven-week
period in 1990
directly observed treatment (DOT): a strategy recommended by the
World Health Organization for the detection and cure of tuberculosis
diuretics: drugs which increase urination
extensively drug-resistant TB (XDR-TB): tuberculosis that does not
respond to even second-line drug treatment options
human immunodeficiency virus (HI virus/HIV): the virus that
leads to the acquired immunodeficiency syndrome (AIDS) in humans
low birth weight (LBW): weight at birth that is below 2.5 kg
macronutrients: nutrients such as carbohydrates, fats and proteins
that are needed or used in relatively large quantities in order for an
organism to function normally
malaria: a parasitic infection that is carried by the Anopheles
mosquito
malnutrition: faulty or inadequate nutrition
menarche: the start of menstrual bleeding and reproductive
functioning
merozoites: malaria parasites that divide in the liver and then enter
the bloodstream, where they invade red blood cells
micronutrients: nutrients such as iron, calcium and vitamin A that
are needed or used in relatively small quantities in order for an
 organism to function normally
miracidia: larvae of the bilharzia parasite
multi-drug resistant TB (MDR-TB): tuberculosis that does not
respond to the commonly used treatment drugs, isoniazid and
rifampicin
non-organic failure to thrive (NOFTT): growth retardation most
likely due to inadequate nutrition that results from biological and
environmental factors that intersect in such a way as to preclude
adequate nourishment of the child
obesity (over-nutrition): an increase in body weight beyond skeletal
and physical requirements, resulting from an excessive accumulation
of fat in the body
pulmonary TB: tuberculosis of the lung, which is the most common
form of tuberculosis
recommended dietary intakes (RDIs): norms developed by the
nutritional sciences for required food intake under normal conditions
sporozoites: cells that develop in a mosquito’s salivary glands, which
enter the liver of a person who has been bitten by a mosquito
tuberculosis (TB): a highly infectious disease that most commonly
affects the lungs
very low birth weight (VLBW): weight at birth that is below 1.5 kg

EXERCISES

Multiple choice questions

1. Which of these statements are true?
a) Environmental exposure, particularly nutrition, within the first
year of life after birth is critical in determining an individual’s risk
of developing mental illness.
b) Poor maternal health and nutrition during pregnancy can
programme the foetus’s physiology in a way that can contribute to
the risk of diseases such as obesity.
c) A baby born with low birth weight is at risk of respiratory
problems, hyperactivity and neurological problems.
 d) All of the above are true.

2. Two of the five most common causes of child deaths in the world are:
a) HIV/AIDS and measles
b) malaria and over-nutrition
c) pneumonia and malnutrition
d) measles and chicken pox.

3. Adolescence is considered to be a nutritionally vulnerable phase

because of:
a) the increased demand for macronutrients (carbohydrates, fats
and proteins) and micronutrients (e.g. iron, calcium and vitamin
A) to meet the dramatic increase in physical growth and cognitive
development
b) environmental influences and the shift in attitudes and
perceptions around foods and body esteem, which may result in
pathological eating behaviour
c) special nutrient needs associated with participation in sports,
adolescent pregnancy, development of an eating disorder,
excessive dieting, and the use of alcohol and drugs.
d) All of the above are correct.

4. e obesity epidemic in South Africa particularly affects:

a) young men in their teens
b) adult women
c) young women in their teens
d) adult men.

5. Which of the following is not a common nutritional complication of

HIV infection and AIDS?
a) lactose intolerance
b) gluten intolerance
c) fat malabsorption
d) AIDS-related anorexia.
6. Psychology can contribute to the prevention and control of
HIV/AIDS, TB and malaria through:
a) providing behaviour change strategies
b) researching the impact of these diseases on mental health and
cognitive functioning
c) voluntary counselling and testing
d) all of the above are correct.

7. e most common method of transmission of HIV in Africa is

through:
a) homosexual intercourse
b) mother-to-child transmission
c) sharing of needles during intravenous drug use
d) heterosexual intercourse.

8. Women and girls are more vulnerable to HIV infection because they
are:
a) biologically more vulnerable
b) less able to negotiate sexual interaction because of economic and
gendered power relations
c) vulnerable to sexual violence
d) all of the above are correct.

9. Increasing self-efficacy with regard to negotiating safe sex is an

example of an intervention at:
a) the community level
b) the individual level
c) the interpersonal level
d) the societal level.

10. Tuberculosis can affect psychological functioning by:

a) leading to illness and people being off work and school
b) people being marginalised from their social groups because of
stigma
c) in rare cases, affecting brain functioning
 d) all of the above are correct.

Short-answer questions
1. Describe the disorder termed ‘non-organic failure to thrive’.
2. Why is adolescence considered a nutritionally vulnerable phase?
3. What psychological and physiological dangers are associated with
dieting?
4. In what ways does nutrition interact with the aging process?
5. ‘HIV/AIDS affects nutrition directly and indirectly.’ Discuss this
statement.
6. What are the risk factors that make women of childbearing age
particularly vulnerable to HIV infection?
7. Describe how HIV/AIDS impacts on mental health.
8. Critically discuss the directly observed treatment (DOT) approach to
treating tuberculosis.
9. Describe the bio-psychosocial influences that increase people’s
vulnerability to parasitic infections.

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 PART 8

Mental health
 Introduction
Tony Naidoo

As a discipline and profession, psychology has spawned a range of theories

and interventions directed at making a positive difference in the lives of
individuals, groups, communities and in the broader society. The three
chapters in this part provide examples of unique and yet divergent ways in
which psychological knowledge, skills and practice have been, and are
being, utilised to address specific needs that psychologists regularly deal
with in their work domain.
Chapter 24 on psychopathology deals specifically with mental health
problems, although these often have an integral relationship with problems
in physical health. This chapter provides an introduction to
psychopathology, providing an overview of different ways of understanding
psychopathology, examining how mental health problems have been
understood historically, and detailing current perspectives and the
contemporary classification of mental health problems.
One primary skill that psychologists have is being able to conduct or
engage in psychotherapy with a single client or with a group. Chapter 25 on
psychotherapies describes three dominant approaches to working
therapeutically with an individual. This chapter illustrates some of the core
features underlying the theoretical notions, intervention techniques and
objectives of each approach.
Chapter 26 highlights the need for broadening the focus of psychology in
order to make a difference at the community level. Whereas psychotherapy
focuses on curative or restorative goals with individuals, community mental
health initiatives have a wider agenda – seeking to promote and enhance
the health and well-being of individuals, groups and communities, and to
engage in the prevention of social problems that undermine mental health.
A useful model for conceptualising mental health interventions is provided,
indicating various strategic roles that psychologists can play in making a
difference in the communities in which they work.
In their divergent foci, these three chapters delineate different ways that
psychologists can make a difference in the lives of individuals and
communities.
 CHAPTER
Psychopathology 24
Duncan Cartwright

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• explain how abnormal behaviour has been defined using the criteria of statistical deviance,
maladaptiveness and personal distress
• describe broader political and sociocultural factors that influence our perceptions of
abnormality and normality
• briefly review the history of mental illness as it has evolved through a number of eras
• describe the classification of mental illness, particularly the use of the Diagnostic and statistical
manual of mental disorders
• review some of the current models of psychopathology
• understand the use of the bio-psychosocial model and the diathesis–stress model as
multidimensional approaches to understanding psychopathology
• outline two forms of psychopathology (post-traumatic stress disorder and schizophrenia) that
are relevant to the South African context.

CASE STUDY

Melinda, when she first started to read about all the symptoms of different psychological disorders,
felt a little nervous, wondering whether she could be diagnosed with some of the conditions
described. She was relieved when she talked to some of her friends and found that they had been
having similar thoughts. It was also quite reassuring as she began to realise that many people did
have some slight symptoms of psychopathology and it was only when these were severe or
caused problems in their lives that you could begin to diagnose a disorder. Melinda, like many
people, had grown up hearing about ‘crazies’. People would sometimes talk about this or that
person who was mad, sometimes making a joke about them or saying how dangerous they were.
After a while there would be rumours that they had been sent away to the rural areas to be cured –
or worse, that they had gone to a mental hospital and wouldn’t be seen for a long time. These
things had always seemed rather strange and frightening to Melinda.
Things changed, though, when one of her cousins developed a psychological disorder. Thandi,
who was then 24, had just had her first child. Melinda and her family watched as Thandi became
more and more withdrawn, and after a while she refused to even look after her own child.
Eventually she just stayed in her room most of the time and wouldn’t talk to anyone. Sometimes
they would hear her talking to herself as though there were other people in the room with her –
but they knew she was alone. Finally, Thandi’s husband took her to the clinic, where she was given
 some medication for what they said was postnatal depression. As she began to recover, Thandi
spoke to Melinda about how awful she had felt during the time of her depression. She said
everything had seemed hopeless and pointless. She just couldn’t make herself care about anything
– even her own child. She had just wanted to die. Most frighteningly for her, she had started to hear
voices telling her to kill herself. She could see now that the voices weren’t real but at the time they
had felt that way. Listening to her, Melinda realised psychological disorders looked very different
from the inside than from the outside.

Introduction
e term ‘psychopathology’ is derived from the words ‘psyche’, meaning
mind or soul, and ‘pathology’, meaning disease or illness. In essence,
then, the term may be understood as referring to the study of mind
illnesses or psychological disorders. But how do we define what should
be called an illness or pathology of the mind?

Defining psychopathology
In order to make a decision about what should be termed a psychological
disorder, we need to establish defining criteria that separate disorders
from normal behaviour.

Statistical deviance
One way of defining psychopathology is to use statistical norms of
behaviour and experience to determine what is supposedly normal.
Here, anything that falls far from the norm would be deemed abnormal.
From this point of view, some behaviours that are relatively rare (e.g.
talking to oneself in public) or behaviours that deviate from cultural
norms (e.g. public nudity, or hallucinations such as hearing voices that
do not exist) are seen as abnormal or as a sign of mental illness. e
problem with this definition, however, is that the norm, or what is
considered normal behaviour, would depend on our cultural or social
perspective. For instance, hearing voices and some forms of public
nudity are not considered abnormal behaviours in many African cultures
and play an important role in giving cultural meaning to particular life
events. Furthermore, what might be considered normal may not always
be considered healthy or appropriate behaviour. Racist attitudes are
often the norm in many societies, but it would be incorrect to view these
as acceptable. In other words, abnormality and statistical deviance
cannot always be equated, and the context in which the individual lives
needs consideration. Taking this into account, a more accurate way of
understanding deviance is the extent to which cultural norms or
ideological perspectives are breached.
However, even within a particular cultural context, equating deviance
with abnormality is problematic. is is because such a criterion fails to
distinguish between positive and negative behaviours that deviate from
the norm. For example, deviations from the norm may be due to
characteristics like eccentricity, genius or some form of outstanding
achievement. ese could hardly be viewed as inappropriate or
pathological.

Maladaptiveness
e extent to which certain behaviours or experiences are maladaptive to
the self or others is also used as a means of defining psychopathology.
Here, behaviours that appear to prevent the individual from adapting or
adjusting for the good of the individual or group are defined as abnormal.
e maladaptiveness criterion is based on the assumption that
individuals should change and adapt for the good of the self and to
ensure the survival of the individual and the broader community.
Common signs of psychopathology such as suicide, depression and
fatigue would fit this criterion because they stand in the way of the
individual’s personal growth and actualisation.
In a similar way to the criterion of statistical deviance,
maladaptiveness is also relative to the particular cultural perspective
within which it is being examined. Many West African countries, for
instance, still participate in female circumcision ceremonies, a practice
viewed by many as abnormal and barbaric. However, from within some
of these cultures such practices are viewed as adaptive and are practised
for the purpose of instilling cultural beliefs about sexual reproduction
and sexuality in their people. In other words, female circumcision is not
viewed as abnormal by many individuals within that culture.
One of the main problems with the criterion of maladaptiveness, and
also with statistical deviance, is that both these criteria attempt to assess
abnormality from a position outside of the individual’s own experience of
the apparent problem. is has led to many researchers instead
considering the criterion of personal distress as an indicator of
psychopathology.
Table 24.1 Some myths about mental illness

Myth Fact
The behaviour of mental patients is
Abnormal behaviour is odd and
most often indistinguishable from
bizarre.
that of normal persons.
Mental patients are unpredictable A typical mental patient is no more
and dangerous. dangerous than a normal person.
Mental disorders are caused by Everyone shares the potential for
fundamental mental deficiencies and becoming disordered and behaving
are therefore shameful. abnormally.
Few, if any, abnormal behaviours are
unique to mental patients.
Abnormal and normal behaviour are Abnormality usually occurs when
different in kind. there is a poor fit between behaviour
and the situation in which it is
enacted.

Personal distress
Suffering often accompanies psychological disorders. In cases where
anxiety and depression are the prominent symptoms, people often
struggle with unbearable negative thoughts about themselves and their
world. In these cases it is fitting that personal distress is associated with
what constitutes a mental disorder. But once again there are exceptions.
Individuals who suffer from antisocial personality disorder (APD) often
do not feel appropriate forms of distress. Individuals with APD are likely
to find pleasure in inflicting pain on others and they are often violent and
abusive in their relationships with others. erefore, if we only applied
the criterion of personal distress to such cases, they would not be viewed
as being abnormal. is would obviously be incorrect.
In addition to this, if personal distress is a criterion of abnormality,
this also implies that all personal distress is inappropriate or unhealthy.
is is clearly not the case. Distress is often a normal response to difficult
or dangerous situations. For example, we would expect an individual to
endure an immense amount of personal distress if they were to lose a
loved one. is, however, is clearly a healthy response to the situation
where distress is an important part of bereavement and the mourning
process.
As has been shown in using the criteria of statistical deviance,
maladaptiveness and personal distress, there is no clear-cut answer to
the problem of what is normal and what is not. is is an ongoing
problem in the field of psychology, and is reflected in how the
boundaries of what constitutes normality have shifted throughout
history. In addition, broader political and sociocultural forces have been
shown to have an important impact on how we view mental or
psychological disorders. Homosexuality, for instance, used to be a
diagnosable mental disorder in many parts of the world. However, since
1973 homosexuality has no longer been regarded as a mental disorder
because there were no clear links to be found between mental disorders,
abnormality and homosexuality.
 SUMMARY

• Psychopathology is the study of mind illnesses or psychological disorders.

• There are three widely used criteria for distinguishing disorders from normal behaviour:
» Statistical deviance asks how much the behaviour differs from normal behaviour. However, what is
considered normal is culturally defined. Also, some statistically normal behaviour may not be
considered healthy or appropriate. In addition, eccentricity and genius are also abnormal.
» Maladaptiveness considers how harmful the behaviour is to the person and to others. However,
some behaviours may be viewed as maladaptive in certain cultures but not in others.
» Like statistical deviance, the maladaptiveness criterion takes an objective (rather than a subjective)
view. Hence, the criterion of personal distress was included. However, some people with abnormal
behaviour feel no such distress, for example when harming others. Also, not all personal distress is
abnormal.

24.1 PRACTICES OF XHOSA-SPEAKING TRADITIONAL

HEALERS IN MANAGING PSYCHOSIS
Source: Mzimkulu and Simbayi (2006)

Aim
The study aimed to investigate how amagquira (traditional healers) managed psychosis.

Method
The authors interviewed four traditional healers chosen because they were associated with patients
receiving treatment for psychosis in a Cape Town psychiatric hospital.

Findings
Using thematic content analysis, Mzimkulu and Simbayi (2006) found the following:
The healers identified symptoms of psychosis as reflected in the DSM-IV criteria for schizophrenia.
Aetiological factors were considered to include witchcraft, spirit possession and angry ancestors, as well
as inherited vulnerabilities.
Treatment approaches included induced vomiting, steaming and cleansing.

Conclusion
The study concluded that traditional and Western healing systems will continue to co-exist and that
there needs to be continued collaboration between these systems.

A brief history of mental illness

Our current understanding and treatment of psychopathology has
emerged from a long history that has undergone many developments
and changes. e history of our relationship with mental illness might be
understood as evolving through a number of eras.

The early era

Problems with madness and insanity have always been a part of the
human condition (Porter, 2002). Skulls dating from 5000 BC have holes
burrowed into the cranial region. e dominant understanding of mental
illness during this period was informed by a belief that individuals who
became psychologically disturbed were possessed by evil, supernatural
forces. Presumably, by boring a hole in the patient’s skull, the evil spirits
causing the mental disturbance could be driven out.

The ancient era

e first evidence of a shift to a naturalistic view of mental illness can be
found in the work of a Greek physician named Hippocrates (460–377 BC).
He believed that psychological disorders were the result of imbalances in
four essential fluids or humours in the body: blood, phlegm, yellow bile
and black bile. For example, he believed that a disproportionate amount
of black bile would cause melancholia (a form of depression). He
prescribed naturalistic remedies to heal these kinds of problems, such as
recommending solitude, a change in diet, or abstinence from sexual
activity. Although his understanding of mental illness was later found to
be incorrect, his findings marked the rudimentary beginnings of the
biomedical approach to understanding psychopathology that emerged
centuries later. For this reason, he is often referred to as the father of
modern medicine.
During the Middle Ages, the naturalistic approach to understanding
mental disorder fell out of favour, and religion dominated all
explanations of psychopathology. ere was a return to earlier
supernatural explanations of mental illness, which now emerged from
more organised forms of religious doctrine. Mental illness was seen as a
punishment for sins committed, or as a form of demonic possession. e
church became the main vehicle through which such so-called
possessions could be exorcised. Europe began to witness extensive witch
hunts. Individuals appearing to go against the Christian faith were
accused of being possessed by the devil and were thought to have various
supernatural powers that could cause great harm to others. Many
mentally ill people of this era were severely punished or killed as a result.
Figure 24.1 Hippocrates is seen as the father of modern medicine
 Formal segregation of mentally disturbed individuals began in the late
Middle Ages when the Church, supposedly out of charity, began locking
up the so-called insane. e best-known institution for the insane was
established in the religious house of St Mary of Bethlehem (often called
Bedlam, a term that has come to connote confusion, disorder and chaos)
in London late in the 14th century (Porter, 2002).

The Renaissance era

During the Renaissance (1400–1600), patients who were psychologically
ill began to be treated more humanely, and ideas related to witchcraft
were more openly challenged. Johann Weyer (1515–1588), a German
physician, argued that such individuals were not possessed by the devil
but were mentally unstable and could not be held responsible for their
actions. Later, in 1584, Reginald Scot published Discovery of witchcraft, in
which he argued that so-called demonic possessions were medical
illnesses and not visitations from evil spirits.

The asylum era

Although the scientific understanding of mental illness began to
increase, the institutionalisation of the mentally ill was also on the
increase in the 16th century. Patients were housed in asylums that
became well known for their inhumane treatment of mental patients.
Common treatments included restraining patients for long periods of
time, placing them in dark cells and subjecting them to torture-like
treatments. Inmates were often subjected to electric shocks, bleeding in
order to rid the body of supposedly dangerous fluids, powerful drugs and
starvation.
Late in the 18th century, these kinds of treatments were gradually
challenged with the emergence of humanitarian reforms across the
Western world. In France, Philippe Pinel (1745–1826) put forward the
idea that mental patients needed to be treated with kindness and
consideration if they were to recover. He argued that their chains should
be removed, they should be moved out of the dungeons where they had
been incarcerated and placed in sunny rooms. ey should also be
permitted to do exercise and to partake in other constructive activities.
Similarly, in England, father and son William and Henry Tuke established
a country retreat where patients could rest peacefully and work in a
caring and supportive atmosphere. Many patients were reported to have
completely recovered from their mental illnesses once they were treated
in a humanitarian fashion. e changes that followed revolutionised the
way mental illness was treated during this time. Patients were treated
with care and understanding, and, gradually, trained nurses and other
professionals were introduced to help in the treatment of mental
patients.
Despite these developments, mental patients in some places around
the world are still subjected to extreme forms of restraint such as being
chained.

The scientific era

Towards the end of the 19th century, scientific discoveries related to
mental disturbance began to increase. Central to this breakthrough was
the discovery that general paresis (syphilis of the brain), a disease that
caused paralysis and insanity, had a biological cause and could be
successfully treated. is fuelled the search for other biological causes
that might be associated with mental illness and formed the foundation
of modern-day psychiatry.
Many other developments occurred during this era in an attempt to
identify, understand and treat different forms of psychopathology.
Mental disorders were now largely understood to be medical illnesses
that could be identified through their signs and symptoms. In 1883, Emil
Kraepelin observed that certain symptoms occurred with specific types
of mental disease. From this he developed a classification system for a
number of disorders, most notably dementiapraecox (known today as
schizophrenia) and manic-depressive psychosis (known today as bipolar
disorder). Kraepelin’s views about classification were revolutionary and
served as a precursor to the Diagnostic and statistical manual of mental
disorders that is currently used to make a diagnosis.
Figure 24.2 Emil Kraepelin

e scientific era has also been characterised by the development of

many different psychological theories and treatments. In the late 19th
century, Sigmund Freud devised a means of treating patients who
suffered from hysterical and neurotic conditions. His treatment, known
as psychoanalysis, was based on his theory that psychopathology is
largely caused by the repression of forbidden wishes or instinctual drives.

Psychoanalysis claimed that psychopathology had its genesis in

psychological conflict caused by instinctual drives; in reaction to this, the
school of behaviourism emerged in the 1950s. Based on the work of
influential theorists like Skinner and Pavlov, behaviourists believed that
we could better understand psychopathology by observing how
abnormal behaviour is learned and reinforced by the external
environment. Behaviour therapy thus sought to change the factors in
the environment that tended to reinforce maladaptive behaviours.
Many other forms of psychological treatments have emerged in the
past 50 years, all of them claiming to have a better understanding of the
human condition and abnormal behaviour. Existential psychotherapy,
primal therapy, cognitive-behaviour therapy, gestalt psychotherapy,
logo-therapy and neurolinguistic programming are but a few of the
treatments developed in this era.
e choice of different treatment modalities remains an ongoing
debate in psychology, and a great deal of research is being compiled to
find out if some treatments are indeed more effective than others. Often
the treatment method that is chosen simply depends on the therapist’s
chosen theoretical orientation.
e introduction of psychotropic (mood influencing) drugs in the
1950s has also been seen as an important landmark in the history of
mental illness. Drugs such as lithium, chloropromazine and imipramine
were hailed as miracle drugs because, for the first time, symptoms
associated with mania, psychosis and depression could be controlled
through the use of medication. is made it possible for many patients to
leave, or altogether avoid being admitted to, psychiatric institutions.
Many were able to maintain normal productive lives under continuing
medication. In this way, psychopharmacological treatment was able to
provide a cost-effective way of managing patients without having to
resort to lengthy stays in psychiatric hospitals.
Currently, the status of applied psychology appears to be shifting away
from adopting a single theoretical or disciplinary approach for
understanding, managing and treating psychological problems. ere is a
growing awareness that our understanding of psychopathology is always
context dependent, and it is this that needs to be addressed first and
foremost. It is important to note, for instance, that even this brief
historical account of mental illness is not free of a particular context and
is largely a history told from a Western perspective, a perspective that
dominates much of our thinking in this field.

Alternate understandings of
psychopathology
ere are other views of psychopathology, and other histories of
psychopathology that differ from the dominant Western approach. In
China and India, for example, there are traditions of healing that do not
share the Western history of trying to separate physical from mental
illnesses. In southern Africa, alongside the biomedical or Western view of
psychopathology there are other important traditions. Indigenous
theories of illness, including theories of psychopathology, will commonly
locate the cause of personal problems in difficulties in social
relationships. ese relationships may be both with living people and
with ancestors, who continue to play an important part in social life even
after death. In African traditional approaches, ancestors are those family
members who have died but who continue to be interested in the affairs
of the family and influence them. Religious healing is also very common
in southern Africa, and some churches, most notably the Zionist Church,
practise a form of religion that combines indigenous beliefs with
Christianity, often in charismatic forms.
Figure 24.3 A traditional healer
 24.2 THE ANTI-PSYCHIATRY MOVEMENT
Anti-psychiatry is a term that was coined by David Cooper in 1967, and is generally associated with
phenomenological philosophers like Thomas Szasz, Gregory Bateson and R.D. Laing. It is a sociopolitica
movement that rejects the methodologies, medical practices and underlying assumptions of psychiatry
(Cooper, 1967).
A key understanding of anti-psychiatry is that mental illness is a myth (Szasz, 1972). The argument is
that illness refers to problems in the body’s physical functioning and therefore cannot be applied to a
psychological disorder that has no signs of physical pathology. The anti-psychiatry movement argues
that doctors tend to view the mentally ill as blameless victims of brain diseases, and to uncritically
accept the supposed structural and physiological basis for mental illness (Double, 1992). This has led
they argue, to the inhumane treatment of patients where they are treated as though they are objects
(Johnstone, 2000).
In opposing the medical psychiatric view, anti-psychiatry holds an anti-authoritarian position that
argues against the use of psychiatric diagnosis, drug treatments, electro-convulsive treatments and
involuntary hospitalisation.
As a political force, anti-psychiatry waned during the 1970s. However, due to the growing use and
abuse of psychiatric drugs in the general population, anti-psychiatry is currently experiencing a
resurgence as a human rights watchdog. Nasrallah (2011) in an editorial for Current Psychiatry notes that
antipathy towards psychiatry dates back to maltreatment of the mentally ill two centuries ago. Nasrallah
(2011) goes on to list psychiatry’s supposed misdeeds, most of which are historical rather than current
He does, however, acknowledge that ‘antipsychiatry helps keep us honest and rigorous about what we
do’ and notes that ‘the best antidote for antipsychiatry allegations is a combination of personal integrity,
scientific progress and sound evidence-based clinical care’ (Nasrallah, 2011, p. 53).

In addition to psychologists and psychiatrists (of whom there are

relatively few on the African continent), people in southern Africa may
consult indigenous healers such as the isangoma or igqira (indigenous
healers), inyanga or ixh-wele (herbalists), or umprofita (prophets in the
Zionist church). ere are also local categories of illness and spirit
possession, some of which will be discussed briefly below. e question
of whether different forms of treatment are effective, and of how and
whether practitioners from different healing traditions can and should
work together, is an interesting and complex one; partly because of the
continuing dominance of Western models in psychology (see Chapter 1),
we do not know enough about these issues. (For a further discussion on
this topic, see Chapter 28; also see Swartz, 1998, and Koenane, 2014.)
An individual’s context and perspective, emerging from factors such as
cultural heritage, socio-economic status and racial grouping, are
important considerations in determining what kinds of treatment might
 work best in a given situation. Such a multidimensional approach draws
on the strengths of many different models of psychopathology in a way
that best helps the patient. In other words, although differences between
approaches are acknowledged, this is not viewed as a reason why some
approaches cannot be used alongside others. Such an approach is
especially useful in the South African context given the important role
that culturally derived understandings of mental illness may play in
being able to help a patient. From this perspective, a patient may be
diagnosed and medicated for a mental disorder while at the same time
being encouraged to consult an indigenous healer, with neither needing
to take priority over the other. We shall return to this kind of approach in
considering some forms of psychopathology that are specifically relevant
to the South African context.

SUMMARY

• Our current understanding and treatment of psychopathology has emerged from a long history.
• In the early era, people believed that those who were mentally ill were possessed by evil,
supernatural forces.
• In the ancient era, a naturalistic view of mental illness emerged. Hippocrates believed that
psychological disorders were the result of imbalances in four essential fluids (or humours).
Naturalistic treatments were prescribed. This period marked the early beginnings of the biomedical
approach to understanding psychopathology.
• During the Middle Ages, the naturalistic approach was replaced by religious understandings.
Mental illness was seen as a punishment for sins committed, or as a form of demonic possession.
Mentally disturbed individuals were segregated.
• In the Renaissance era, a shift occurred as such individuals began to be seen as mentally unstable
and not responsible for their actions.
• In the asylum era, there was increased institutionalisation of the mentally ill, usually under
inhumane conditions, and treatment was barbaric. In the late 18th century, these kinds of
treatments were gradually challenged with the emergence of humanitarian reforms across the
Western world.
• In the late 19th century, the scientific era enabled a better understanding of mental disturbances.
Biological causes were identified for some disorders and classification systems developed. A
number of psychological theories and treatments emerged, and there were developments in
psychotropic medications.
• Current understandings tend to be integrative and sensitive to context.
• Non-Western understandings of psychopathology are also widespread. Many indigenous theories
of illness see personal problems as being caused by difficulties in social relationships. The role of
ancestors is also valued. Many people in southern Africa consult indigenous or religious healers. In
this context, it is best to use a multidimensional approach.
Classification of mental illness
e mostly widely used classification system is the Diagnostic and
statistical manual of mental disorders (fifth edition) (American
Psychiatric Association, 2013). In its current edition, this classification
system is referred to as the DSM-5. Its essential purpose is to help
clinicians identify and diagnose mental illness. is is important, both for
practitioners and for patients, because it allows for appropriate
assessment procedures to be done to clarify the illness and it enables
practitioners to communicate clearly with each other about illnesses.
e DSM system has been under development since 1952 (DSM-I),
and has undergone a number of changes since its inception (Austin,
2014). e first and second (1968) editions were strongly influenced by a
psychoanalytic approach. However, DSM-III (1980) reflected a major
shift to a biomedical disease approach to mental disorders (Austin,
2014). is approach also reflected a shift towards an atheoretical stance,
as well as a greater reliance on standardised knowledge as opposed to
reliance on clinical expertise (Austin, 2014). DSM-IV (1994) drew on
research generated by the DSM-III approach and was also based on field
trials which compared diagnostic criteria from previous editions as well
as the alternative diagnostic approach, the International Classification of
Diseases (ICD). Following a text revision in 2000 (DSM-IV-TR), DSM-5
has integrated the most recent research findings. It has a revised
structure and has consolidated the classification of disorders
(Austin, 2014).
As for the DSM-III, the DSM-5 approach is derived from the
biomedical model, where signs and symptoms are grouped together to
identify an underlying pathological cause or syndrome. In this way the
DSM-5 approach attempts to create a taxonomy (an organised system of
categories) for mental disorders. ere are a number of important
reasons why the classification of mental disorders is helpful both for
practitioners and patients. ey are as follows (Austin, 2014):
• Classification helps psychologists establish a professional language
that ensures that they are communicating about the same categories
of mental illness.
 Classification is an essential first step towards research, discussion
•
and treatment of the commonly identified categories of mental
illness.
• If commonalities in types of illness are established through
classification, the aetiology (causes) of such problems can be shared.
• Classification also makes it possible to perform statistical analyses on
groups of disorders in order to establish the epidemiology of the
diagnosis.
• Classification enables practitioners and patients to understand the
course and prognosis of the illness.

e DSM-5 has, however, attempted to include some dimensional and

developmental features of psychopathology. is inclusion attempts to
address criticisms that some forms of psychopathology cannot be neatly
defined into diagnostic categories.
e previous version of the DSM, the DSM-IV-TR (APA, 2000),
evaluated an individual’s behaviour on five axes. Each axis explored a
different dimension of the person’s problem. However, in DSM-5, the first
three axes (psychiatric syndromes, personality problems, mental
retardation in children and medical disorders) have been collapsed into a
single list of disorders. e former Axis IV, which reported psychosocial
and environmental factors, is now covered by a larger series of V codes.
e former Axis V, which gave an indication of overall level of adaptive
functioning, is replaced by separate measures of symptom severity and
disability.
e DSM-IV-TR system has been criticised for a number of reasons;
some of these still apply to DSM-5:
• Its descriptive emphasis. e DSM-5 describes disorders and does not
explain why they might occur.
• Its biomedical emphasis. In a quest to ensure that the study of
psychopathology is seen to be scientific, the DSM-5 classifies
psychopathology in a similar way to how the medical profession
diagnoses and classifies diseases and medical problems. In most
cases, a medical diagnosis is dependent on some physical
abnormality in the body that serves as a confirmation of the illness.
To use a medical example, dizziness, fatigue, anxiety and high blood
 pressure are symptoms that can be used to diagnose hypertension
(the underlying pathology or medical illness) in a patient. e
question remains, however, whether such an approach can be used in
diagnosing psychopathology. Some researchers have challenged this
view based on the argument that many forms of psychopathology do
not have an underlying physical cause (Hook & Eagle, 2002; Szasz,
1972). ey argue that the DSM-IV-TR approach is erroneous because
in most cases mental illness is not caused by brain disease and
cannot be located in some biological abnormality.
• Its individualistic approach. e DSM-5 adopts an individualistic
approach whereby the syndrome is assumed to exist only as an
isolated problem in the patient. e group or family context is not
given consideration when the diagnosis is being formed.
• Its cultural bias. e DSM-IV-TR system was criticised for creating
diagnostic categories that have a Western cultural perspective. e
DSM-5 is similarly criticised in terms of criteria which are subject to
social and cultural bias. For example, alcohol use disorder contains
alcohol use criteria that in certain cultures are considered normal, if
not admired (Caetano, 2011). However, DSM-5 has attempted to
respond to criticisms of cultural bias by including a cultural
formulation to accompany traditional diagnostic labels.
• Concerns about validity and reliability. As with the DSM-IV-TR system
(Bertelsen, 2002), concerns have been raised about the reliability and
validity of DSM-5. According to Insel (2013), DSM diagnoses have
traditionally had reasonable reliability as a common set of criteria are
used. However, in terms of validity, DSM diagnoses are weak as they
are based on consensus about clusters of symptoms, rather than
objective measures. DSM-5 has also been widely criticised for
increasing the number of ‘disorders’, which may lead to over-
diagnosis and/or over-medication (Frances, 2012).
• Labelling. A diagnosis does not describe the person, but only a set of
behaviours associated with the person’s problem. is has led to a
great deal of controversy in psychology, as classification systems are
often blamed for causing the clinician to lose sight of the person
behind the diagnosis. In practice, this often has grave consequences
as it leads to stigmatisation of the individual where the diagnosis (or
 label) given creates a number of negative preconceptions and
expectations in the patient and in others. Such preconceptions and
expectations often have a negative impact on the person’s identity
and well-being. As discussed in Box 24.3, Rosenhan (1973) found that
hospital staff responded to how a person had been labelled and could
no longer respond to them as ordinary human beings.

Given the many issues with the DSM system, some (e.g. Burns & Alonso-
Betancourt, 2013) have argued for using the alternative system, the ICD
(the International Classification of Disorders), now in its 10th edition
(WHO, 2007a). e ICD system is based on a classification system
introduced by a French doctor, Jacques Bertillon, in 1893 (Austin, 2014).
It was formally established at a conference in 1900 and revised every 10
years after that. With the sixth revision (1948), the World Health
Organization (WHO) took over responsibility and in the 1960s the Mental
Health Programme of WHO became involved with the goal of improving
the diagnosis and classification of mental disorders (Austin, 2014).
Several major research projects were launched, including some aimed at
setting up assessment tools, resulting in clear criteria for ICD-10. ICD-10
continues to use a multi-axial approach and there are other differences
between it and the DSM-5.
It must be noted that both systems have been criticised in terms of the
validity of their criteria; this is illustrated by the fact that the systems do
not classify and describe mental disorders in the same ways (Austin,
2014). Other approaches to classification include the dimensional model,
which sees a disorder as lying along a continuum, while holistic
approaches incorporate social and spiritual elements (Austin, 2014).
 SUMMARY
The mostly widely used classification system is the Diagnostic and statistical manual of mental disorders
(DSM-5).
The DSM-5 approach has developed from a psychoanalytic (DSM-I and DSM-II) to a biomedical
approach (DSM-III to DSM-5); in the biomedical model, signs and symptoms are grouped together to
identify an underlying pathological cause or syndrome.
Classification of mental disorders is helpful to provide a professional language for communicating about
clients and to assist with understanding the causes and epidemiology of mental disorders.
The DSM-5 has abandoned the previous multi-axial approach and has attempted to include some
dimensional and developmental features of psychopathology.
A number of criticisms have been applied to the DSM system:
its descriptive emphasis
its biomedical emphasis
its individualistic approach
its cultural bias
concerns about validity and reliability
labelling and stigmatisation.
The ICD system (ICD-10) provides an alternative classification model. However, there remain differences
between the systems; this illustrates the issues concerning validity of classification systems in general.

Table 24.2 A selection of some of the disorders found in DSM-5

Diagnosis Main defining symptoms
Intellectual
Sub-average intellectual functioning (IQ below 70)
disability
Autistic spectrum Severely impaired development in social interaction
disorder and communication
Pica Persistent eating of non-nutritive substances
Neurocognitive
Disturbances of consciousness and cognitive ability
disorder
Substance use Maladaptive pattern of substance (e.g. alcohol)
disorders abuse
Bipolar I disorder Manic and depressive mood swings
Panic disorder Recurrent unexpected panic attacks
Obsessive- Persistent presence of obsessive-compulsive
compulsive thoughts and behaviours (e.g. continual hand-
disorder washing)
Motor or sensory impairment that appears to have a
Conversion disorder
psychological cause (e.g. paralysis of the hand)
Intentional production of symptoms in order to
Factitious disorder
assume the ‘sick role’
Dissociative The presence of two or more distinct identities in
identity disorder one person
Male orgasmic Delay or absence of orgasm following sexual
disorder excitement
Insomnia disorder Difficulty initiating or maintaining sleep
Adjustment The development of symptoms in relation to a
disorder particular stressor
Narcissistic
Grandiose sense of self-importance
personality disorder
Current perspectives in
psychopathology
The biomedical perspective
e biomedical model claims that all mental illnesses have a biological
cause. Other factors such as social pressures, the type of parenting, or
additional environmental factors are viewed as secondary in the
precipitation of mental disorders. Biological abnormalities are
understood to occur mainly in three different areas: genetic
predisposition, abnormal functioning of neurotransmitters, and
structural abnormalities in the brain.

Genetic predisposition
We inherit our genetic predisposition from our parents. Genes, or
chemical units, are arranged in a specific order along chromosomes and
they are responsible for determining things such as the physical
appearance (e.g. eye colour) and the sex of an individual. Most of us have
46 chromosomes. Some researchers have found that abnormalities in
genetic makeup can predispose some individuals to particular mental
illnesses. Much of the research in this area has been done on twins. It has
been found, for instance, that monozygotic, or ‘identical’, twins (with the
same genetic makeup) whose mother has a mental disorder have a
greater likelihood of both developing mental illness. However, this is not
the case with dizygotic, or ‘fraternal’, twins (who do not share the same
genetic makeup). Evidence that genetic predisposition plays a role in the
development of mental illnesses has been demonstrated with disorders
like schizophrenia (Gottessman, 1991), depression (Caspi, Sugden &
Moffitt, 2003) and alcoholism (Goldman, Oroszi & Ducci, 2006).
24.3 SANE IN INSANE PLACES
Source: Rosenhan (1973)

Aim
David Rosenham conducted a famous study that attempted to explore the validity of psychiatric
diagnoses.

Method
A form of participant observation was used in the study whereby eight psychologically healthy
individuals were admitted to different psychiatric units after claiming to have been ‘hearing voices’. No
other symptoms or problems were discussed. After gaining admission, all subjects acted their norma
selves and no longer claimed to be hearing voices.

Findings
Once the admission to the hospital had taken place, Rosenhan found that no matter what these
individuals did, they were perceived as being psychologically ill by the staff in the hospital.

Conclusion
The validity of making a psychiatric diagnosis is questionable as the staff in the hospital failed to
distinguish between healthy individuals and those who were genuinely mentally ill.

Comment
This is a very well-known study and it is often cited. However, Rosenhan’s experiment has been criticised
on various grounds. For example, it may involve poor clinical skills on the part of the psychiatrists
involved rather than a problem with classification per se. In addition, in practice, psychiatrists do not
determine a person to be ‘sane’ or insane’; rather, they seek to diagnose a person with a mental disorder
– if the symptoms support this (The Rosenhan experiment examined, 2010). Despite these methodologica
criticisms, Rosenhan’s study still has relevance today for those involved in mental health work.
Figure 24.4 Similar genetics mean siblings often resemble each other

Abnormal functioning of neurotransmitters

Neurotransmitters are chemical substances in the brain which are
responsible for the communication of nerve impulses among the brain
cells. An increase or decrease in certain neurotransmitters, like
dopamine and serotonin, has been found to be associated with a number
of psychiatric illnesses.

Structural abnormalities in the brain

Structural abnormalities occurring in the brain have also been associated
with various disorders. It has been well established that different parts of
the brain perform different functions related to the individual’s
behaviour. For instance, it has been found that the limbic system serves
to regulate emotional reactions like fear, aggression and sexual
expression. Damage caused to this part of the brain would thus have
serious consequences for the individual’s ability to control emotions.
Structural abnormalities in the brain may be caused by genetic disorders,
birth abnormalities, drug-related brain damage or physical injury.
24.4 EXAMPLES OF PSYCHOLOGICAL DEFENCE MECHANISMS
People can use a variety of psychological defence mechanisms in order to avoid feelings of
psychological pain or fear.

Displacement
In displacement, a person redirects their unpleasant emotions or thoughts onto someone or something
else. This is commonly done when it does not feel safe to express these feelings or thoughts directly
You may be angry with a lecturer for a poor mark but be unable to express it, so you go home and get
angry with your mother instead. This would be an example of displacement.

Sublimation
Sublimation is the healthy redirection of an emotion. For example, when receiving a bad mark, you may
choose to direct more energy into your studies rather than getting angry with your mother.

Projection
In projection, a person’s unwanted or unacceptable thoughts or feelings are attributed to someone else
who does not have such thoughts or feelings. Thus, the unwanted material is ‘projected’ outward onto
an ‘innocent’ person. It is also possible for positive thoughts and feelings to be projected. Usually, we
project things we do not want to acknowledge about ourselves (e.g. ‘I have not made a mistake; it is you
who is critical of me and everything I do.’)

Intellectualisation
Intellectualisation involves removing the emotion from emotional experiences, and discussing painfu
events in detached and uncaring ways. Individuals may understand all the words that describe feelings
but have no idea what they really feel like.

Denial
Denial is the refusal to acknowledge what has happened, is happening, or will happen (e.g. when a
man’s wife is having an affair but he says she is not).

Repression
Repression involves blocking unwanted or unacceptable thoughts and memories from our minds. It is
an unconscious process, thus people have little control over what is repressed. Sometimes, repressed
material can be retrieved, but it may be recovered in a distorted form.

Suppression
Suppression involves consciously trying to put painful thoughts and memories out of our minds.

Reaction formation
Reaction formation occurs when unwanted or difficult thoughts are converted into their opposites. An
example of reaction formation would be if you were behaving very badly towards someone because
you really liked them.
Psychodynamic perspective
Contemporary psychodynamic perspectives are derived from Freud’s
development of psychoanalysis. ose who work from a psychoanalytic
point of view believe that the way we relate to others and ourselves is
largely influenced by internal forces that exist outside of our
consciousness. Freud believed that sexual and aggressive instincts, as
well as associated thoughts and feelings, become repressed and
unconscious once they are perceived to be forbidden by society.
Although such thoughts and feelings are forced into the unconscious,
Freud believed that they were still able to exercise partial control over the
individual by expressing themselves through symptoms. He viewed the
formation of psychological symptoms as a compromise between the
expression of forbidden wishes and their total repression.
Freud viewed the personality or psyche as being divided into three
parts. namely the id, the ego and the superego (see Chapter 5):
• Id refers to the part containing instincts and drives.
• Ego refers to the part that attempts to control the expression of the id.
• Superego refers to a person’s conscience and the ability to distinguish
between right and wrong.

Freud believed that the formation of these mental structures was strongly
influenced by early childhood experiences and the quality of children’s
relationship with their parents. From this perspective, psychopathology
occurs for two main reasons. First, psychological disorders emerge when
conflict between the id, the ego and the superego gives rise to distressing
symptoms. Second, mental disorders emerge when deficiencies in the
ego impede the individual’s ability to repress instinctual drives. In both
cases, the individual makes use of psychological defence mechanisms in
an attempt to ward off excessive psychological pain and repressed fears
(see Box 24.4).
In contemporary psychodynamic thinking, the above still remain the
most important causes of psychopathology. However, contemporary
approaches also emphasise the importance of internalised object
relations in the development of the personality. Internal objects are
essentially mental representations that are formed when significant
others (or external objects) are internalised by the individual, adding to
the nature of the personality. So, for example, one of your internal objects
will be an internal representation of your mother and this theory says
there will be a dynamic relationship between this object and your own
internalised self-object.
Object relations theorists believe that early relationships, particularly
with the mother, shape the personality and set the foundation for other
relationships in the person’s life. Early trauma or deprivation is also
understood to be a key factor in the development of psychopathology. In
this way, contemporary psychodynamic perspectives, such as the object
relations approach, emphasise the role that emotional relationships and
the surrounding environment play in the formation of the personality.
Less emphasis is placed here on the role of instinctual drives which are a
typical focus of the Freudian approach.

The cognitive-behaviour perspective

Central to the cognitive-behaviour perspective is the idea that
cognitions, or learned ways of thinking, directly impact on the
individual’s emotions and behaviours. Cognitive therapists believe that
irrational beliefs and automatic thoughts are principally responsible for
the development of psychopathology (Beck, 1972; Ellis, 1995; Glasser,
1984).
Aaron Beck (1976), a leading cognitive psychologist, showed how this
worked in cases of depression. He believed that negative automatic
thoughts such as ‘I am not a good person’ or ‘I am not a good student’ set
up a negative cycle of thought, emotion and behaviour in the individual.
After accepting such distorted thoughts, a person would look for ways to
confirm such thoughts through adopting negative behaviours (e.g. not
learning for a test or behaving badly in class). ese would, in turn,
impact on the person’s emotions, making him/her feel more depressed.
is sets up a vicious cycle as the more depressed people feel, the more
negatively they think of themselves. According to Beck (1976), depressed
persons display distorted negative thoughts about the self, the world and
the future. He called this the cognitive triad of depression.

The community psychology perspective

Community psychology is most interested in understanding
psychopathology from within the context of the community. As Ahmed
and Pretorious-Heuchert (2001, p. 19) state:
[C]ommunity psychology regards whole communities, and not only individuals, as possible
clients. ere is an awareness of the interaction between individuals and their
environments, in terms of causing and alleviating problems.

e emphasis here lies on the importance of the social, political and

cultural contexts in understanding, identifying and treating psychological
problems.

The importance of the political context

e discipline of community psychology largely developed out of a need
to challenge oppressive forces in society (Seedat, Duncan & Lazarus,
2001). For this reason, community psychologists are sensitive to the fact
that sociopolitical factors impact on our mental health. Apartheid, for
instance, clearly had a tremendous impact on the way that members of
the oppressed black population of this country perceived themselves.
Racist attitudes and policies depicting black people as stupid, lazy and
primitive caused many to think negatively of themselves and identify
themselves as inferior to the white population.

The importance of the social context

Community psychologists argue that social factors need to be considered
if we are to fully understand the development of psychological problems.
is would include factors like the socio-economic status of the
community, access to resources and the nature of social interaction
within the community. All such factors impact on the mental health of
the individual. From this perspective, problems like violence and sexual
abuse cannot be understood unless the social context of the community
is also considered.

The importance of the cultural context

e community psychology perspective emphasises the fact that an
individual’s actions always take place within a cultural context. How an
individual experiences distress or makes sense of psychological problems
is dependent on deeply ingrained cultural beliefs and practices.
erefore, how we understand various psychological symptoms is often
dependent on a particular cultural perspective. For example, in Zulu and
Xhosa-speaking communities ukuthwasa is a psychological state
associated with an ancestral calling to become an indigenous healer.
Individuals afflicted with this condition endure states of emotional
turmoil, hear voices (of the ancestors calling the individual to become an
indigenous healer) and experience bouts of depression and mania.
Although such symptoms share similarities with those used to diagnose
mental illness in Western diagnostic systems, it would be incorrect to
make use of such a diagnosis without having a full understanding of the
cultural meaning of such symptoms.
is should not be taken to mean that mental illness does not exist in
non-Western communities. A number of studies using epidemiological
research have indicated that psychiatric disorders do exist in non-
Western communities (e.g. Kaminer, Grimsud, Myer, Stein & Williams,
2008; Swartz, 1998).
Understanding how mental illness is experienced and treated by
different cultures is also inextricably linked to concerns about access to
treatment. We know, for instance, that indigenous healers from within a
particular community are able to reach communities in ways that
Western forms of medicine cannot (Edwards, 2011). As well as helping
patients gain better access to treatment, community psychologists also
concern themselves with the prevention of mental illness (and other
social problems) by facilitating social change and empowerment in the
community.
 24.5 FOUR MYTHS ABOUT MENTAL ILLNESS IN NON-
WESTERN COUNTRIES
Source: Swartz (1998)
Mental illness does not exist in developing countries.
Mental illness is not recognised as pathological in non-Western communities.
Mental illness is accepted in non-Western communities in an unstigmatised manner.
All mental disorders can be cured by indigenous healers.

Integrated approaches to psychopathology

e above perspectives are often used in an integrated way to gain a
fuller understanding of psychopathology and its precipitating causes.
Two approaches are particularly useful in this regard: the diathesis-stress
model and the bio-psychosocial approach.
e diathesis–stress model was first introduced by Meehl (1962). He
suggested that some people inherit or develop predispositions (diathesis)
to psychopathology. Although this is the case, mental disorders will not
emerge until environmental stressors or biological stressors become
intense enough to convert predispositions into actual psychological
disorders.
 24.6 COLLABORATION BETWEEN PSYCHIATRY AND
TRADITIONAL HEALERS
Source: Robertson (2006)
Since the advent of democracy in South Africa, the government has been working to draw traditiona
healers into collaboration with established, Western-based mental health care services. Following the
introduction of the Traditional Health Practitioners Bill in 2004, Robertson (2006) investigated the
contributions of traditional healers to mental health in South Africa. Robertson (2006) noted that some
70 per cent of South Africans consult traditional healers, even when they may be under medica
treatment. In a series of three studies, Robertson (2006) first attempted to document the common
diagnostic categories used by indigenous healers and to see how these linked to DSM categories
Robertson (2006) noted that the two systems are inherently different, with the DSM categorising
symptoms within a bio-psychosocial framework and the indigenous systems categorising them
according to the meaning of the symptoms.
In the second study, psychiatric patients admitted to hospital for the first time were interviewed
Sixty-one per cent of these patients had consulted a traditional healer in the previous 12 months. The
patients and their families were mostly satisfied with the services of herbalists, but felt that diviners were
expensive and often ineffective. Many patients believed their disorder to have been caused by
traditional factors as well as by psychosocial factors like stress.
In the third study, questionnaires were administered to 349 adults in Khayelitsha, Cape Town
Robertson (2006) noted that healers usually gave traditional explanations for problems and often
seemed to explain similar problems as having different causes. In addition, the healers also prescribed
similar treatments for apparently different problems. The great majority (66 per cent) of patients felt the
treatment was effective and 90 per cent said they would consult the healer again.
Robertson (2006) cautions against wide generalisation of his findings due to the limited nature of the
sample. However, he noted that ‘traditional healers are clearly providing a valued mental health service’
(Roberston, 2006, p. 89). Robertson (2006) goes on to suggest that there are significant differences in the
two approaches and that greater collaboration between them should be promoted in order to provide
the best service to mental health patients.

In a similar way, the bio-psychosocial approach attempts to integrate

biological, psychological and social factors to gain a better
understanding of why mental disorders occur.
 SUMMARY

• The biomedical model claims that all mental illnesses have a biological cause. Biological
abnormalities are understood to occur mainly in three different areas: genetic predisposition,
abnormal functioning of neurotransmitters and structural abnormalities in the brain.
• The psychodynamic perspective believes that the way we relate to others and ourselves is largely
influenced by repressed forbidden wishes:
» Freud viewed the psyche as being divided into three parts: the id, the ego and the superego.
» Psychological disorders emerge when conflict between these parts gives rise to distressing
symptoms or when ego deficiencies hinder the individual’s ability to repress instinctual drives.
» People use defence mechanisms to ward off excessive psychological pain and repressed fears.
» Contemporary psychodynamic approaches emphasise the importance of internalised object
relations in the development of the personality.
• The cognitive-behaviour perspective says that cognitions, or learned ways of thinking, impact on
the individual’s emotions and behaviours:
» Cognitive therapists believe that irrational beliefs and automatic thoughts are principally
responsible for the development of psychopathology.
» These set up a vicious cycle in which the depressed person shows distorted negative thoughts
about the self, the world and the future (the cognitive triad of depression).
• The community psychology approach understands psychopathology from within the social,
political and cultural contexts:
» The political context relates to the need to challenge oppressive forces in society.
» The social context includes the socio-economic status of the community, access to resources and
the nature of social interaction within the community, all of which impact on the mental health of
the individual.
» The cultural context is the site for an individual’s actions. How an individual experiences distress or
makes sense of psychological problems is dependent on cultural beliefs and practices. Treatment
choices and access are also culturally determined.
• The above perspectives are often integrated to gain a fuller understanding of psychopathology
and its causes. Two useful approaches are the diathesis–stress model and the bio-psychosocial
approach.
 24.7 INTELLECTUAL DISABILITY: A BIO-PSYCHOSOCIAL
APPROACH
The bio-psychosocial approach claims that a number of interactive factors play a role in intellectua
disability.

Biological factors
The majority of cases of intellectual disability are genetically transmitted. Disease, injury or prenata
factors can also cause structural abnormalities in the brain that are responsible for severe forms of
intellectual disability. However, while biological factors are important in understanding intellectua
disability, they are not, on their own, sufficient to explain the causes of the disorder.

Psychological factors
Psychological factors interact with biological vulnerabilities to influence the development of
accompanying disorders. For example, depression frequently accompanies intellectual disability
Depression often occurs owing to a sense of frustration about an inability to perform certain tasks
and/or a sense of alienation from mainstream society. Other psychological disorders, such as
oppositional deficient disorder or conduct disorder, may occur once individuals realise their limitations.

Social factors
Biological and psychological factors operate within a particular social context. Environmental factors
associated with poverty play an important role in the aetiology of intellectual disability. Limited access
to health care facilities during a mother’s pregnancy, poor nutrition during pregnancy, and increased risk
of physical injury are all preventable factors that may cause intellectual disability. Once a person suffers
from intellectual disability, community support can successfully help in caring for this person
Educational programmes can be used to inform communities about the problems associated with
intellectual disability.

Common disorders in South Africa

ere are many categories of psychological illness, but two that are
particularly relevant in South Africa are post-traumatic stress disorder
and schizophrenia.

Post-traumatic stress disorder

Post-traumatic stress disorder (PTSD) occurs when a person experiences
or witnesses a situation that involves a threat of death or an actual death,
which leads to the following symptoms:
• distressing re-experiencing of the event through mental flashbacks to
the scene, recurrent distressing dreams, recurrent and intrusive
thoughts of the event, and hypersensitivity to cues that may be
associated with the event
• avoidance and emotional numbing, where the patient persistently
avoids anything that might be associated with the event and
experiences a psychic numbing in response to current surroundings
• negative alterations in cognition and mood may be evident in terms
of some dissociative amnesia (inability to recall key features of the
event) and persistent distorted blame of self and others; also
increasing detachment from others or from activities
• increased arousal, where patients have difficulties falling asleep,
experience irritability and have exaggerated startled responses.

Given the high rate of crime and violence in South Africa, PTSD has
become one of the most frequently diagnosed forms of psychopathology.
ese symptoms need to persist for at least one month after the event
before post-traumatic stress disorder is diagnosed. e epidemiology of
PTSD varies depending on the occurrence of traumatic situations. Given
the high rate of crime and violence in South Africa at present, the
prevalence rate of PTSD in the general population is thought to be well
above most international norms.

The aetiology of post-traumatic stress disorder

e major factors in the aetiology of the disorder are:
• the stressor
• the social environment in which the trauma took place
• the character traits of the individual
• the biological vulnerability of the victim.

e intensity of traumatic reactions appears to be dependent on the

suddenness of the threat, its duration and the amount of fear associated
with the event. In general, it has been found that young children and the
elderly have greater difficulty in coping with traumatic events and are
thus at greater risk of developing PTSD. DSM-5 has introduced a
‘preschool’ sub-type of the PTSD diagnosis for children under the age of
seven years.
Biological theorists have found that patients with a vulnerability to
anxiety are at greater risk of developing PTSD. ey have also found that
patients with PTSD show an increase in the production of catecholamine
(the hormone that prepares the body for an emergency) while re-
experiencing the trauma.
Psychodynamic psychologists take the view that traumatic events
reactivate unresolved conflicts from early childhood. In an attempt to
cope with the trauma, the ego constantly repeats the distressing events
associated with the trauma in an attempt to master them and reduce the
level of anxiety experienced by the victim.
e symptoms of PTSD can fluctuate over time and are more apparent
during periods of stress. It is estimated that approximately 30 per cent of
patients recover, 60 per cent continue to experience mild anxiety
symptoms associated with the trauma, and 10 per cent remain
unchanged and may even become worse (Sadock, Sadock & Ruiz, 2014).

24.8 AN EXAMPLE OF A CASE OF POST-TRAUMATIC STRESS

DISORDER
One evening Uzail, a 28-year-old man, was driving home from work when he was hijacked at gunpoint
by two men standing at a traffic light. They ordered him to give them his wallet and threatened to kil
him if he made a wrong move. Both men sat in the car and ordered Uzail to drive to a nearby
neighbourhood. Uzail was persistently threatened with his life while he drove them to their requested
location before they set him free. After the event Uzail was markedly anxious, he was unable to sleep
and kept feeling that his attackers would return. For two months following the event, he often had
nightmares about the event and experienced flashbacks that made him feel like the events of the crime
were constantly being repeated. He also could not tolerate driving in a car, and found that he had
grown increasingly angry, hyperactive and irritable since the crime. After consulting a psychologist, he
was diagnosed with post-traumatic stress disorder.
 24.9 AN EXAMPLE OF A CASE OF SCHIZOPHRENIA
Sibusiso, a 23-year-old student, was referred to a psychologist by his mother after he claimed that she
was poisoning his food. His appearance was unkempt and he appeared agitated when he walked into
the psychologist’s consulting rooms. He sat down and began to speak to the psychologist in a very
incomprehensible manner. He began by singing the psychologist a song. He claimed that ‘a man in the
radio’ had told him to sing the song every time he saw a psychologist. He then went on to explain why
he had come to the consultation, saying, ‘I need to see you because there are aliens on the roof of my
house. They come down every night. I see them; they want me to say bad things.’
Sibusiso appeared emotionless and unresponsive to the psychologist’s questions. After a while his
speech became more and more disorganised and there seemed to be no way of following what he was
saying. He said, ‘Did you know that feet ate meat?’ and ‘Time is mine and crime is bad too.’ During the
session Sibusiso often got up excitedly from his chair and sat down again without any explanation.
On contacting his mother, the psychologist learned that Sibusiso had been unable to carry on with
his studies and had taken to locking himself in his room for long periods of time claiming that ‘the aliens
were going to get him’. She also complained that he was not able to carry out basic chores at home and
had stopped contacting his friends. Prior to these changes in his behaviour, Sibusiso was successful in
his studies and kept regular contact with a number of his friends.

Schizophrenia
Schizophrenia shares a number of symptoms with some indigenous
forms of so-called illness in South Africa, such as ukuthwasa (ancestral
calling) and amafufunyana (spirit possession). is has led to a lot of
debate around whether to understand the presenting symptoms from
within the context of the indigenous healing system (where traditional
healers such as izinyanga and izangoma would be used) or from the
perspective of the biomedical model, where the individual showing the
symptoms would be diagnosed with schizophrenia. It appears that the
answer lies in being able to make use of the strengths of both models.
Schizophrenia is a condition characterised by disorganised and
fragmented emotions, behaviours and cognitions. One of the most
common misperceptions about schizophrenia is that it refers to people
with a ‘split personality’. So-called split personality is a disorder usually
called dissociative identity disorder and refers to a condition in which an
individual develops two or more separate identities or ego states. Each
identity exists separately and has its own set of emotional and
behavioural characteristics. However, this phenomenon does not occur
in schizophrenia. Schizophrenics suffer from a mental disorder that is
more correctly characterised by the splitting of emotions and thoughts.
e schizophrenic condition is characterised by gross distortions of
reality testing, leaving such individuals feeling disorientated and
fragmented, a condition most commonly called psychosis. Schizophrenic
symptoms can be divided into two categories: positive and negative
symptoms. Positive symptoms refer to the presence of behaviours and
feelings normally not present, while negative symptoms refer to the
absence of behaviours and feelings usually present in a normal
individual. e most common symptoms associated with schizophrenia
are listed below. Many of these can be observed in the case of Sibusiso,
illustrated in Box 24.9. For a diagnosis of schizophrenia to be made,
continuous signs of disturbance need to persist for at least six months.
e positive symptoms of schizophrenia are as follows:
• delusions: fixed ideas or false beliefs that do not have any foundation
in reality (e.g. Sibusiso thought his mother was poisoning his food)
• hallucinations: false sensory perceptions that occur in the absence of
a related sensory stimulus (e.g. Sibusiso saw aliens and claimed that
the radio was giving him a command)
• catatonic behaviour: marked motor abnormalities such as bizarre
postures, purposeless repetitive movements and an extreme degree of
unawareness (e.g. Sibusiso got up from his chair in a repetitive way)
• disorganised behaviour: an inability to persist in goal-directed
activity and the performance of very inappropriate behaviours in
public (e.g. Sibusiso sang songs to his psychologist, was unable to
follow a line of questioning and was not able to perform basic tasks)
• disorganised speech: speech that is incomprehensible and only
remotely related to the subject under discussion (e.g. Sibusiso’s
speech was clearly disorganised and incoherent).

Negative symptoms of schizophrenia are as follows:

• flat affect: a lack of emotional responsiveness in gesture, facial
expression or tone of voice (e.g. Sibusiso appeared emotionless in his
responses to the therapist)
• avolition: a negative symptom that involves the inability to begin and
sustain goal-directed activity (e.g. Sibusiso did not appear to be able
to perform everyday activities)
• alogia: a speech disturbance in which the individual talks very little
and gives brief empty replies to questions (Sibusiso did not display
this symptom).

Schizophrenia affects one per cent of the population. It usually begins

before the age of 25 and persists throughout life. It is found among all
social classes and there is no difference in the prevalence rates of the
disorder between males and females. Approximately 20 per cent of
schizophrenics are able to lead relatively normal lives, 20 per cent
continue to experience moderate symptoms, while 40 to 60 per cent
remain severely impaired by the illness for the rest of their lives (Sadock
et al., 2014). Unlike psychological problems such as depression,
schizophrenic patients often do not return to their previous level of
functioning once a psychotic breakdown has occurred. ere is usually
some deterioration in cognitive and behavioural abilities even after the
positive symptoms of schizophrenia have subsided.

The aetiology of schizophrenia

e aetiology of schizophrenia is not known. One of the most convincing
biological theories of schizophrenia relates to the levels of the
neurotransmitter dopamine at receptor sites in the brain. e dopamine
hypothesis claims that excessive levels of dopamine cause
schizophrenic-like symptoms. Anti-psychotic medications, which serve
to inhibit the level of dopamine in the brain, lend support to this
hypothesis as psychotic symptoms are markedly reduced by such
medications (Gao & Goldman-Rakic, 2003; Koh, Bergson, Undie,
Goldman-Rakic & Lidow, 2003; Weiner, 2003).
Genetic predisposition is also believed to render an individual
vulnerable to developing schizophrenia. It has been found that
monozygotic twins of a schizophrenic patient have a 47 per cent chance
of developing schizophrenia, while dizygotic twins have a 12 per cent
chance of developing the illness.
 Many psychological theories have been put forward in an attempt to
understand schizophrenia. Some psychoanalytic theorists believe that
schizophrenia is caused by a defect in the rudimentary functions of a
child’s ego, giving rise to intense hostility and anger, which in turn
distorts the child’s ability to relate to others around them. is leads to a
personality organisation that is very vulnerable to stressful situations.
Learning and cognitive-behaviour theorists, on the other hand, believe
that schizophrenia develops from learning irrational reactions and
distorted ways of thinking from emotionally disturbed parents.

24.10KNOWLEDGE OF AND STIGMA ASSOCIATED WITH

MENTAL DISORDERS
Source: Sorsdahl and Stein (2010)

Aim
The study explored knowledge of psychiatric disorders, as well as associated attitudes towards stigma,
held by South Africans. Thus the study first aimed to establish the ‘mental health literacy’ of the
participants as this has an important impact on help-seeking behaviour. Negative attitudes towards the
mentally ill, and consequent stigmatisation, also impact on help-seeking behaviour.

Method
A series of 10 vignettes were designed, each representing a psychiatric disorder with either subtle or
obvious symptoms. One vignette was presented to each of a convenience sample of 1 081 members of
the public.

Findings
Only 31 per cent of the participants felt that the vignette they read showed a typical mental illness
Nearly half (47%) thought it described a normal reaction while just over one-quarter thought the
vignette illustrated a ‘weak character’. Schizophrenia was seen as ‘most typical’ of a mental disorder. A
variety of treatments were endorsed, with seeking help from a health professional being the most
commonly endorsed, and taking medication, the least. Levels of stigma varied between disorders, with
schizophrenia and substance abuse being the most stigmatised. PTSD was least stigmatised and less
likely to be considered a psychiatric disorder.

Conclusion
South Africans have low levels of mental health literacy compared to the developed world. PTSD is met
with more sympathy and offers of help than other disorders.
 SUMMARY

• Post-traumatic stress disorder may occur when a person experiences or witnesses a situation that
involves a threat of death or an actual death.
• Symptoms of PTSD include distressing re-experiencing of the event, avoidance and emotional
numbing, negative alterations in cognition and mood, and increased arousal.
• The major aetiological factors of PTSD relate to aspects of: the stressor, the social environment in
which the trauma took place, the character traits of the individual and the biological vulnerability
of the victim.
• Schizophrenia shares a number of symptoms with some indigenous forms of so-called illness in
South Africa. It is useful to use both Western and indigenous models in understanding this illness.
• Schizophrenia involves psychosis, which is characterised by disorganised and fragmented
emotions, behaviours and cognitions. Schizophrenia is not the same as ‘split personality’ or
dissociative identity disorder.
• Schizophrenic symptoms can be divided into two categories:
» Positive symptoms include delusions, hallucinations, catatonic behaviour, disorganised behaviour
and disorganised speech.
» Negative symptoms include flat affect, avolition and alogia.
• Schizophrenia affects one per cent of the population; it usually begins before the age of 25 and
persists throughout life. It is found among all social classes and both genders.
• The aetiology of schizophrenia is not known. Various theories have been put forward including
biological and genetic aspects, as well as psychological aspects.

Conclusion
Abnormal behaviour can be defined using the criteria of statistical deviance, maladaptiveness
and personal distress. In addition to these criteria, broader political, sociocultural and historical
factors are important in understanding the nature of normality or abnormality. While classifying
mental illnesses is a complex task, this process cannot explain why various psychological
problems occur. e bio-psychosocial model and the diathesis–stress model offer us broad
theoretical frameworks that allow a number of different perspectives to be used to illuminate the
multidimensional nature of psychopathology.

KEY CONCEPTS

adjustment disorder: a disorder found in the DSM-IV-TR that refers

to the development of symptoms in relation to a particular stressor
alogia: a common symptom associated with schizophrenia involving
a speech disturbance in which the individual talks very little and gives
brief empty replies to questions
anti-psychiatry: a sociopolitical movement that rejects the
methodologies, medical practices and underlying assumptions of
psychiatry
avolition: a common symptom associated with schizophrenia
involving the inability to begin and sustain goal-directed activity
behaviour therapy: a means of treating patients that seeks to change
the factors in the environment that tend to reinforce maladaptive
behaviours
biomedical model: a perspective in psychopathology that claims that
all mental illnesses have a biological cause
bio-psychosocial approach: a perspective in psychopathology that
attempts to integrate biological, psychological and social factors to
gain a better understanding of why mental disorders occur
catatonic behaviour: a common symptom associated with
schizophrenia involving marked motor abnormalities such as bizarre
postures, purposeless repetitive movements and an extreme degree
of unawareness
cognitive-behaviour perspective: a perspective in psychopathology
that has as its central notion the idea that cognitions, or learned ways
of thinking, directly impact on the individual’s emotions and
behaviours
conversion disorder: a disorder found in the DSM-IV-TR that refers
to motor or sensory impairment that appears to have a psychological
cause
delusions: a common symptom associated with schizophrenia
involving fixed ideas or false beliefs that do not have any foundation
in reality
dementia: a disorder found in the DSM-IV-TR that refers to
disturbances of consciousness and cognitive ability
denial: a psychological defence mechanism whereby individuals
refuse to acknowledge what has happened, is happening, or will
happen
diathesis–stress model: a perspective in psychopathology that
proposes that some people inherit or develop predispositions
(diathesis) to psychopathology, although mental disorders will not
emerge until stressors become intense enough to convert
predispositions into actual psychological disorders
disorganised behaviour: a common symptom associated with
schizophrenia involving both an inability to persist in goal-directed
activity and the performance of inappropriate behaviours in public
disorganised speech: a common symptom associated with
schizophrenia where speech is incomprehensible and only remotely
related to the subject under discussion
displacement: a psychological defence mechanism whereby
individuals displace unwelcome feelings onto other individuals
dissociative identity disorder: a disorder found in the DSM-IV-TR
that refers to the presence of two or more distinct identities in one
person
factitious disorder: a disorder found in the DSM-IV-TR that refers to
the intentional production of symptoms in order to assume the sick
role
flat affect: a common symptom associated with schizophrenia
involving the lack of emotional responsiveness in gesture, facial
expression and/or tone of voice
hallucinations: a common symptom associated with schizophrenia
involving false sensory perceptions that occur in the absence of a
related sensory stimulus
intellectualisation: a psychological defence mechanism whereby
individuals remove all emotion from their emotional experiences
maladaptiveness: one way of defining psychopathology that, in order
to determine what is abnormal, uses the extent to which certain
behaviours or experiences are maladaptive to the self or others
male orgasmic disorder: a disorder found in the DSM-IV-TR that
refers to the delay or absence of orgasm following sexual excitement
narcissistic personality disorder: a disorder found in the DSM-IV-
TR that refers to a grandiose sense of self-importance
neurotransmitters: chemical substances in the brain that are
responsible for the communication of nerve impulses among the
brain cells
obsessive-compulsive disorder: a disorder found in the DSM-IV-TR
that refers to persistent obsessive-compulsive thoughts and
behaviours
panic disorder: a disorder found in the DSM-IV-TR that refers to
recurrent unexpected panic attacks
personal distress: unbearable negative thoughts
pica: a disorder found in the DSM-IV-TR that refers to persistent
eating of non-nutritive substances
projection: a psychological defence mechanism whereby individuals
take something of themselves and place it outside of themselves, onto
others
psychoanalysis: a means of treating patients who suffer from
hysterical and neurotic conditions based on Freud’s theory that
psychopathology is largely caused by the repression of forbidden
wishes or instinctual drives
psychodynamic perspectives: approaches to psychopathology that
believe that the way we relate to others and ourselves is largely
influenced by internal forces that exist outside of consciousness
reaction formation: a psychological defence mechanism whereby
individuals turn painful or threatening reactions into their opposite
repression: a psychological defence mechanism whereby individuals
unconsciously put painful thoughts and memories out of their minds
schizophrenia: a disorder found in the DSM-IV-TR characterised by
disorganised and fragmented emotions, behaviours and cognitions
statistical deviance: one way of defining psychopathology that uses
statistical norms of behaviour and experience to determine what is
supposedly normal, and therefore what is abnormal
sublimation: a psychological defence mechanism whereby
individuals redirect emotions into more positive activities
substance abuse: a disorder found in the DSM-IV-TR that refers to a
maladaptive pattern of substance use
suppression: a psychological defence mechanism whereby
individuals consciously try to put painful thoughts and memories out
of their minds
EXERCISES

Multiple choice questions

1. According to the criteria of statistical deviance, a behaviour is
abnormal when it:
a) deviates from previous family patterns
b) deviates from the norm of a specified social or cultural group
c) deviates from maladaptiveness
d) deviates from personal distress.
2. Hippocrates (460–377 BC) adopted a naturalistic approach to
understanding mental illness. He believed that:
a) mental illness was primarily caused by natural spirits
b) mental illness could be cured by nature
c) mental illness was caused by imbalances in the natural fluids of
the body
d) mental illness resulted from the fusion of blood, phlegm, yellow
bile and black bile.
3. Classification of mental disorders is important because:
a) it provides a common language for professional communication
b) it aids research and treatment
c) it helps with understanding the course of a disorder
d) all of the above are correct.
4. e DSM-5 approach has been criticised for:
a) establishing a professional language that does not ensure better
communication about the same categories of mental illness
b) being too complex in its approach
c) developing too many disorders
d) establishing a bio-psychosocial approach.
5. Reginald Scot claimed that:
a) so-called spirit possessions were medical illnesses and not
visitations from evil spirits
b) so-called medical illnesses were spirit possessions and were not
the result of biological disease
 c) general paresis was the main cause of mental illness during the
1800s
d) the classification of dementia praecox was the main reason that
medical science was able to explain spirit possession.
6. Genetic predisposition appears to explain some of the reasons why
some individuals display mental illness while others do not. is is
most clearly observed in studies that show that:
a) abnormal DNA cannot cause mental illness
b) monozygotic twins of a mentally ill mother have a greater
likelihood of developing mental illness relative to the general
population
c) dizygotic twins of a mentally ill mother have a greater likelihood of
developing mental illness relative to the general population
d) dopamine can cause mental illness.
7. From a psychoanalytic perspective, psychopathology occurs when:
a) conflict between the id, the ego and the superego gives rise to
distressing symptoms
b) deficiencies in the ego impede the individual’s ability to repress
instinctual drives
c) instinctual drives take over the superego
d) both a and b are correct.
8. Researchers have found that patients with PTSD show an increased
production/risk of _________ while re-experiencing trauma.
a) dopamine
b) anxiety
c) catecholamine
d) both a and b are correct.
9. Delusions can be best defined as:
a) distortions in perception
b) fixed ideas or false beliefs that do not have any foundation in
reality
c) fixed distortions in perceptual activity
d) fixed ideas and beliefs that are only found in schizophrenia.
10. Studies show that __________ of patients diagnosed with PTSD will
continue to experience mild anxiety symptoms associated with the
 precipitating trauma.
a) 50 per cent
b) 10 per cent
c) 60 per cent
d) 20 per cent.

Short-answer questions
1. Choose a behaviour that you consider abnormal. Using the criteria of
maladaptiveness, statistical deviance and personal distress, consider
which criterion best fits the chosen behaviour.
2. Why do we need a classification system for mental illness?
3. What are the main limitations of the DSM-5 system?
4. How do community psychologists understand psychopathology? Use
an example to illustrate your answer.
5. How do positive symptoms of schizophrenia differ from negative
ones?
6. List and describe the positive symptoms of schizophrenia.
 CHAPTER
Psychotherapies 25
Adelene Africa

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• describe what psychotherapy is
• explain the central ideas of psychoanalytic psychotherapy, cognitive-behavioural therapy,
experiential and relationship-oriented therapies, and systems and postmodern therapies
• differentiate between the therapeutic techniques and procedures employed by each approach
• describe how each approach can be applied in a case of psychological distress
• describe the role that indigenous therapies can play in promoting psychological well-being.

CASE STUDY

Melinda, when thinking about psychotherapy, used to imagine a person lying on a couch while a
grey-haired man sat on a chair taking notes. This was the way that therapy was often shown in
cartoons and movies. Among her friends it was often just something to joke about. ‘He needs a bit
of therapy’, they might say about some young man who was being irritating.
But Melinda’s ideas about therapy and therapists changed when she first started university. In
those first few months, she felt terribly lonely and very afraid of everything. She got to the point
where she would wake up in the morning with a stomach ache and a feeling of dread at having to
go to her lectures. She went to see one of the doctors at the Student Health Clinic who, instead of
just giving her something for her stomach pain as she had expected, told her she was suffering
from anxiety and referred her to the one of their psychologists. Although she didn’t really want to
go at first, looking back, it was one of the best things that she could have done.
The psychologist she saw was a lovely, gentle woman who was easy to talk to. Melinda found
herself telling her everything she was feeling and, in one session, she broke down and cried and
cried. Somehow, talking about the problem – and even crying – made her feel better. While the
psychologist didn’t really give advice, she did help Melinda feel that her problems were
manageable. She seemed to be able to ask questions and say things that not only sounded like she
understood what Melinda was feeling, but also helped her see things in a new light. Somehow,
after a session, Melinda didn’t feel quite so stuck and she began to feel that she would be able to
cope with the new demands of university. Melinda only went for six sessions, but in the end she felt
much better than when she started.
Now, thinking back, it was hard for Melinda to pin down exactly what it was about the therapy
that had made her feel better. She was curious to find out more about how therapy worked.
Introduction
e term ‘psychotherapy’ conjures up pictures of mentally ill people
who seek treatment from psychologists and/or psychiatrists. However, as
we will see, this stereotype is limiting as it does not allow us to consider
the role that psychotherapy can play in helping people who do not suffer
from serious psychopathology (Corey, 2013). Corey (2013) defines
psychotherapy as an engagement between two individuals, namely the
therapist and the client; he sees this as a collaborative relationship and
says the engagement is bound to change both parties. is definition
does not specify any particular psychotherapeutic techniques and
therefore aptly describes the essence of individual models of
psychotherapy. It is important to note that there are other models of
psychotherapy for groups, as well as psychological interventions that are
aimed at communities (see Chapter 26). However, in this chapter we will
be focusing specifically on individual psychotherapy.
ere are numerous psychotherapeutic approaches, which advocate
various ways in which change can be brought about within the client.
Prochaska and Norcross (2010) suggest that there has been a
‘hyperinflation’ of therapies over the last 50 years and note that there are
more than 400 models of psychotherapy that are currently in use.
However, we will limit our discussion to a few of the dominant models of
individual psychotherapy, which will give us some idea as to the diversity
in theory and practice. Prochaska and Norcross (2010) attempted to
identify the common factors in psychotherapies and suggest that the
client’s positive expectations and the therapeutic relationship are the two
most significant aspects for a positive outcome in psychotherapy.
 25.1 INTRODUCING THE CASE OF THEMBA
Themba is an 18-year-old first-year student who lives in a university residence. He has been experiencing
difficulty in sleeping and has not had an appetite for several days. He feels lethargic and does not have
any energy to play soccer, which used to be his favourite sport. He describes his mood as being heavy
and indicates that there are times when he feels very sad. He has not been coping with his academic
work and has not been able to meet his essay deadlines. He has not been attending lectures as he has
difficulty concentrating and feels that he is not learning anything. He has experienced similar bouts of
depression before and cannot understand why he feels this way, as he does not seem to have any
serious problems that may cause him distress. He does not know where all these unpleasant feelings
stem from and feels that his current experience is worse than previous ones. He has tried talking about
his situation to his best friend, Sipho, but it has not made him feel any better. He is thinking about
leaving university as he feels that there is no point in pursuing his studies.
Themba is clearly experiencing psychological distress and has tried to deal with it by talking to a
friend. However, this has not helped and he appears to be feeling worse than on previous occasions
What other sources of help or support can Themba seek? Can psychological intervention assist him in
dealing with his problems? What is psychotherapy and what are the various approaches that are
available? These are some of the questions that we will address in this chapter.

Table 25.1 The key ideas of the four core approaches to psychotherapy (Corey, 2013)
 Key ideas
Psychodynamic approaches Unconscious conflicts are the root of
psychological distress. Therapy is
based on insight.
Cognitive-behavioural approaches Cognitive distortions (faulty thinking)
result in psychological distress.
Therapeutic approach is action
oriented.
Experiential and relationship- Incongruence between self-concept
oriented approaches and reality results in psychological
distress. Experiential approaches are
concerned with what it means to be
fully human. Person-centred
(relationship-oriented) approaches
emphasise the basic attitudes of the
therapist.
Systems and post-modern Systems approaches pay attention to
approaches clients in their family and cultural
context; postmodern approaches
argue that reality is socially
constructed and there is no single
truth in human relationships.
Corey (2013) divides the psychotherapeutic approaches into four
categories. ese are psychodynamic approaches, cognitive-behavioural
approaches, experiential and relationship-oriented approaches, and
systems and postmodern approaches (see Table 25.1).

Psychoanalytic psychotherapy
Analytic or psychodynamic approaches, which are the derivatives of
traditional psychoanalysis, are largely concerned with helping the client
to gain insight into the underlying causes of emotional difficulties in
order to bring about changes within personality and behaviour. ese
approaches are rooted in the psychoanalytic model, which was
developed by Sigmund Freud. Psychoanalysis is largely regarded as the
foundation for other models of psychotherapy and has had a major
influence on the development of these models. Despite the decrease in
dominance of psychoanalysis in recent years, several psychodynamic
approaches, which are influential within the therapeutic arena, have
developed from it (Ursano & Silberman in Weiten, 2001). For this reason
it is useful for us to consider the central ideas within this therapeutic
approach.

Figure 25.1 ‘The way this works is that you say the first thing that comes to your mind’
Psychoanalysis is concerned with uncovering the factors that motivate
behaviour, and Freud believed that the roots of psychological distress lie
within the unconscious. e resolution of distress depends on
uncovering the meaning of symptoms, as well as the influence of
repressed thoughts and feelings on a person’s psychological well-being
(Prochaska & Norcross, 2010). Before we consider the various elements of
this therapy we need to briefly look at some of the key concepts of
psychoanalytic theory so as to better understand its practice.

Key ideas
Freud was primarily concerned with treating people who had anxiety
disorders, and therefore his theory focused on trying to understand the
roots of those disorders, which were termed neuroses. According to the
psychoanalytic model, neuroses (such as phobias, panic disorders and
other anxiety disorders) are caused by unconscious conflicts stemming
from early childhood. Freud believed that the underlying forces for all
people are life versus death and sex versus aggression (see Chapter 5).
People constantly want instant gratification, but this leads to conflict with
social (and legal) rules of behaviour. To cope with the anxiety arising
from these conflicts, people rely on various defence mechanisms. For
example, if a young man is unable to accept that his girlfriend has left
him, he may deny this and rationalise her behaviour as being too
demanding. He employs the defence mechanisms of denial and
rationalisation to cope with the anxiety that his relationship breakup
causes him. Defence mechanisms have adaptive value as they help
people to cope with anxiety caused by these repressed thoughts and
feelings (see Figure 25.2). However, Freud believed that these defence
mechanisms can become self-defeating when people use them all the
time to avoid facing reality (Corey, 2013).
e key aim of psychoanalytic therapy is, therefore, to make the
unconscious conflicts conscious so that people can gain insight into the
childhood origins of their problems. However, insight alone does not lead
to the resolution of psychological distress. Another task of therapy is to
help the client to confront old patterns of behaving in order to effect
change, while a third is to integrate the parts of the self that are in conflict
with each other (Corsini & Wedding, 2011). Given the nature of the
theory underlying this approach, it can be understood why traditional
psychoanalytic psychotherapy is not time limited. It usually takes a few
years of therapy to help the client uncover and explore the material in
their unconscious (Corey, 2013). Hence this type of therapy is long term
and relies on several techniques to achieve its aims.

Figure 25.2 The psychoanalytic view of psychological distress

Therapeutic techniques and procedures

Given that the unconscious cannot be accessed directly, the therapist has
to infer the content of unconscious conflicts from the client’s thoughts,
feelings and behaviour. is means using some of the following
techniques and procedures.

Free association
In free association, clients spontaneously express whatever comes into
their mind. ey report any thoughts or feelings without censoring them,
regardless of how embarrassing or minimal they might seem (Corey,
2013). ese associations are believed to be important indicators of the
unconscious material, which has been repressed. e therapist is then
able to analyse and interpret these thoughts and feelings to help clients
to identify the unconscious roots of their distress (Corsini & Wedding,
2011).

25.2 THE PSYCHOANALYTIC THERAPIST AND THEMBA

As we have discussed, the process of psychoanalytic psychotherapy relies on various techniques to help
the client uncover unconscious material, which will eventually lead to change. How could this type of
therapy help Themba (see Box 25.1)?
Themba’s history of depression would be understood in terms of repressed childhood difficulties that
are now impacting on his current functioning. Thus, within the therapeutic situation, the focus will be
on uncovering the material that he has repressed. By delving into his past, Themba may discover the
source of his current distress. Perhaps he fears failure because his parents have often ridiculed him. He
may have internalised these experiences, which has led to anger and guilt whenever he is unable to
meet expectations. These feelings could therefore be the root cause of his depression. In order to make
these connections, the therapist will encourage Themba to explore his past by using the various
techniques such as free association, interpretation and dream analysis. The therapist therefore listens to
the content of what he has to say and explains the symbolic meaning of these thoughts and feelings.
A central focus will be on encouraging the development of the transference relationship between
Themba and the therapist. Themba may come to view the therapist as a parent who has high
expectations of him. He may react by arriving late for appointments or acting with hostility within the
therapeutic situation. The therapist needs to be aware of this and his/her reaction to Themba’s
behaviour. By appropriately interpreting the transference relationship, the therapist will help Themba to
eventually gain insight into the origins of his depression and of his fear of failure.

Interpretation
One of the key roles of the therapist is to interpret the material that the
client brings to the therapeutic situation. us, when the client free
associates, the therapist strives to explain the hidden meaning of these
thoughts and feelings. Similarly, the therapist also analyses the client’s
dreams in an attempt to explain their symbolic meaning. While
interpretation is central to the analytic process, the therapist does not
routinely interpret everything that the client brings to therapy. e
interpretation has to be appropriately timed so that the client is able to
tolerate and incorporate its content. us, the therapist gently offers
interpretations progressively so as not to overwhelm the client
(Corey, 2013).

Dream analysis
Another way in which unconscious material is accessed is through
dream analysis. e therapist interprets the symbolic content of the
client’s dreams, thus giving them insight into unresolved conflicts. Freud
viewed dreams as being the ‘royal road to the unconscious’ because they
allow for the expression of unconscious wishes, needs and conflicts. As
some thoughts, feelings and needs may be too unacceptable to be
consciously expressed, they are repressed in the unconscious and find
symbolic expression in the symbolic form of dreams. us, the therapist
distinguishes between the manifest content, which is the actual content
of the dream, and the latent content, which consists of the repressed
material that underlies it. It is the latent content that has to be interpreted
and shared with the client (Corey, 2013).
Figure 25.3 Dream analysis is used to give insight into unresolved conflicts

Resistance
Even though the therapist endeavours to time the interpretations
appropriately, this does not mean that the client is always open to
receiving them. ere are times when the client offers resistance to the
uncovering of unconscious material. Resistance is a key concept in
psychoanalysis, and refers to any unconscious defensive strategy that
may hinder the process of therapy. It serves the purpose of protecting the
client from overwhelming anxiety and pain that may arise once they
become aware of repressed feelings (Corey, 2013). Resistance is
manifested in various ways, such as arriving late or missing sessions, an
unwillingness to relate certain thoughts and feelings during free
association, or acting with hostility towards the therapist (Corey, 2013).
Essentially, the therapist helps the client to understand and work with
the resistance to gain insight into the purpose that it serves. erefore,
the nature of the therapeutic relationship between client and therapist is
of paramount importance.

Transference
e therapeutic relationship itself provides a useful tool for helping
clients to uncover unconscious material. Transference is an essential
element of this relationship and occurs when clients unconsciously relate
to the therapist in ways that are similar to significant relationships in
their life (Corey, 2013). us, as the therapy progresses the therapist is
able to observe the impact of early childhood relationships through the
way in which a client relates to them within the therapeutic situation. For
example, if the client related to his/her parent in a passive, dependent
manner, this way of relating may be reproduced in therapy. us,
transference provides a powerful tool for understanding the impact of the
client’s early childhood on his/her current functioning. erapists also
need to be aware of their own unconscious processes as their reactions to
their clients (countertransference) may lead to inaccurate
interpretations based on the therapist’s own unconscious conflicts
(Prochaska & Norcross, 2010).
 SUMMARY

• Psychoanalytic approaches aim to help the client gain insight into the underlying causes of
emotional difficulties so that they can change their personality and behaviour.
• These approaches are based on the work of Sigmund Freud; he believed that the roots of
psychological distress lie within the unconscious.
• Key ideas:
» Neuroses are the basis for various disorders and are caused by unconscious conflicts stemming
from early childhood.
» People cope with unconscious conflict through defence mechanisms. These are usually adaptive
but may become problematic.
» Psychoanalytic psychotherapy is a long-term approach, working to help clients uncover and
explore the material in their unconscious.
• Therapeutic techniques:
» Free association allows clients to express whatever is in their mind; the therapist analyses and
interprets this material.
» In interpreting a client’s material, the therapist tries to explain the hidden meaning of these
thoughts and feelings.
» Unconscious material can also be accessed through dream analysis. The therapist interprets the
latent content of dreams to share this with the client.
» The client may offer resistance to the therapist’s interpretations; the therapist helps the client to
understand and work with this resistance to gain insight into the purpose that it serves.
» In the therapist–client relationship, the client is likely to enact past relationships; this is called
transference. The therapist uses this to further understand the client’s dynamics. Therapists must
also pay attention to their own countertransference.

Cognitive-behavioural therapy
Whereas psychoanalytic psychotherapy is primarily concerned with
helping the client to gain insight into unconscious motives, cognitive-
behavioural therapy (cognitive therapy) is more action oriented,
focusing on the conscious motivation of behaviour. While the
identification of the causes of behaviour is important, this does not form
the focus of the therapy. Instead, the intervention is aimed at how the
relationship between thoughts, feelings and behaviour gives rise to
psychological distress (Corey, 2013). We will consider Beck’s (1976)
model of cognitive therapy as an example of the cognitive-behavioural
approach.

Key ideas
Aaron Beck’s (1976) cognitive therapy highlights the impact that clients’
thinking has on their feelings and behaviour. According to Beck,
psychological distress is caused by the way in which people interpret
events in their lives. us, the way in which they view and understand the
world impacts on their feelings and behaviour (see Figure 25.4). is
faulty thinking consists of a number of cognitive distortions or biases
(Corey, 2013). e aim of therapy is to help the client to become attuned
to the internal dialogue, which refers to those negative automatic
thoughts that accompany certain feelings and behaviours. By identifying
these thoughts, the client is able to judge the appropriateness of the
dialogue and, if necessary, change the way that situations are perceived.

Figure 25.4 The cognitive therapeutic view of psychological distress

Cognitive distortions and the roots of
psychological distress
Beck (1976) argues that psychological distress is caused by cognitive
distortions that occur when clients make errors in reasoning. us, they
make faulty assumptions about themselves and the world. ere are
several types of distortions in thinking that lead to emotional difficulties
(Beck, Rush, Shaw & Emery, 1979):
• Arbitrary inferences occur when a client draws conclusions about
themselves and the world without any supporting evidence in
objective reality. For example, a client may believe that she will not
succeed at university because she is incapable of achieving anything.
• Selective abstraction occurs when clients draw conclusions based
on a specific detail of an event while ignoring any other disconfirming
information. For example, they may only focus on their failures while
ignoring those occasions when they have been successful.
• Overgeneralisation occurs when the client holds extreme ideas as a
result of an isolated incident and applies these to other situations. For
example, if a client has experienced difficulty in understanding a
prescribed reading for one course, then he may conclude that he is
not at all suited to academic study.
• Magnification and minimisation occur when the client perceives a
situation either in an exaggerated or understated manner. For
example, if the client has experienced difficulties in one of her
practicals, she may consider herself incapable of eventually practising
as a professional in this field. In this way the situation is magnified.
Similarly, the client may be under threat of exclusion from university
but says this is no problem, thus minimising the situation.
• Personalisation occurs when the client relates external events to
himself even when there is no logical reason to make this connection.
For example, if a tutor refuses to supply the class with additional
information for an assignment, he may interpret this as the tutor’s
dislike of him.
• Labelling occurs when a client overgeneralises and defines herself in
terms of her shortcomings. For example, if the client has failed a test,
 she may believe that she is worthless.
• Polarised thinking involves thinking and interpreting situations in
extremes. Consequently, the client may think in all-or-nothing terms.
For example, he may perceive himself as either a brilliant learner or a
complete academic failure.

e cognitive distortions outlined above provide us with some indication

of how faulty interpretations of situations can lead to psychological
distress. How, then, does the cognitive therapist help the client to change
distorted thinking? is is discussed in the next section.

Therapeutic techniques and procedures

e techniques employed by the cognitive therapist are psycho-
educational, which means that therapy is viewed as a learning process.
Not only do clients gain insight into the negative automatic thoughts that
underlie their feelings and behaviour, but they also learn new ways of
perceiving and interpreting situations (Corey, 2013).
 25.3 THE COGNITIVE THERAPIST AND THEMBA
Beck’s (1976) approach was originally developed as treatment for depression, and therefore we can
briefly consider how the cognitive therapist could help Themba (from boxes 25.1 and 25.2).
Themba’s depression can be understood as being triggered by the negative view that he has of
himself. He blames his experiences at university on personal shortcomings and is unable to consider
alternative explanations for events. He also interprets all his experiences in a negative manner and as
such selectively abstracts from situations to support the views that he has about himself. Themba’s
gloomy vision of the future also serves to deepen his depression, as he does not allow himself to have
any positive thoughts about it. In addition, the physical symptoms that he is experiencing serve to
heighten his negative self-perceptions.
To be able to help Themba, the therapist will challenge his negative thoughts by asking him to
provide evidence for these beliefs. Thus he may be asked to list reasons why he views himself in this
way. He may also be asked to provide evidence to dispute this view of himself. In so doing, the therapist
aims to show Themba that it is his distorted perceptions and not reality itself that is the cause of his
depression. One of the aims of therapy may be to encourage Themba to stay at university by helping
him to deal with those thoughts and feelings that prevent him from pursuing his studies. To encourage
him to become more active and to counter his lethargy, homework tasks may be assigned that include
setting up an activity schedule that requires him to perform certain tasks. Themba also feels
overwhelmed by the demands of his course and often this feeling is exaggerated. As a result, he reacts
by not doing anything. The therapist may help him to prioritise tasks and to break down his work into
manageable units. In this way, he may feel some sense of mastery and be able to see how the
magnification of his feelings leads to distorted perceptions about his abilities.

erapeutic techniques are essentially task oriented and clients are

encouraged to actively monitor those thoughts that accompany
psychological distress. is is often in the form of homework where
clients may be asked to keep a diary of their automatic thoughts. e
homework is presented as an experiment to see where negative
automatic thoughts occur and, in recording those situations, clients are
able to see both the content and context of those thoughts (Corey, 2013).
e therapist also challenges the negative automatic thoughts by asking
clients to provide evidence for the beliefs that they have about
themselves.
In order to address the cognitive distortions that cause distress, the
therapist helps clients to explore them. ey are encouraged to replace
negative ways of viewing the world with more positive ones. In addition,
they are encouraged to perceive themselves as more competent and
capable. e homework tasks enable the testing of beliefs in real-life
situations. In this way, faulty thinking is also challenged. Homework also
 serves the purpose of teaching clients new skills, such as relaxation
methods and social skills (Beck et al., 1979).

SUMMARY

• Compared to psychoanalytic psychotherapy, cognitive-behavioural therapy is more action

oriented.
• The focus of the therapy is on the client’s automatic thoughts and how the relationship between
thoughts, feelings and behaviour gives rise to psychological distress.
• Key ideas:
» For Aaron Beck, faulty thinking (cognitive distortions) impacts on people’s feelings and behaviours.
» Cognitive distortions include arbitrary inferences, overgeneralisation, magnification and
minimisation, personalisation, labelling and mislabelling, and polarised thinking.
• Therapeutic techniques:
» Psycho-educational, task-oriented techniques allow clients to gain insight into the negative
automatic thoughts that underlie their feelings and behaviour.
» The therapist challenges the negative automatic thoughts by asking clients to provide evidence for
their self-beliefs.
» Clients thus learn new ways of perceiving and interpreting situations and perceive themselves as
more competent and capable.
» Therapy is time limited with a specific problem-solving focus.

Cognitive therapy is aimed at helping clients to deal actively with

psychological distress. e therapist is directive and actively encourages
clients to change the way situations are interpreted. is therapy is
therefore time limited as it has a specific problem-solving focus (Beck,
1976). us, while the psychoanalytic therapist views clients’ symptoms
as indicative of underlying conflicts, the cognitive therapist views faulty
thinking as the problem. is approach to therapy therefore advocates
that it is more important to actively identify and change maladaptive
thoughts and beliefs than to merely understand what causes them.

Experiential and relationship-

oriented therapies
Existential therapy
Existential therapy describes a philosophical approach rather than a
specific form of therapy or set of techniques. Corey (2013) notes that an
existential approach rejects the determinism which is characteristic of
both psychoanalytic and radical behaviourist approaches. Rather, it sees
people as free to choose their life path. us this approach assists people
with the ‘big’ questions about life: why am I alive? What is my purpose?
What is freedom and what should I do with it? It argues that people are
not victims of circumstance and it aims to challenge clients to take
responsibility for their choices and actions.
Existentialists focus on ‘the human condition’. ey see people as
grappling with ‘the dilemmas of contemporary life, such as isolation,
alienation, and meaninglessness’ (Corey, 2013, p. 133). People are
constantly changing and evolving, and in the process they continually
have to try to make sense of their existence. For the existential approach,
the basic dimensions of the human condition are as follows:
• e capacity for self-awareness. Self-awareness is based on
freedom, choice and responsibility (Corey, 2013). We can choose to
expand self-awareness and thereby grow as people, but once we have
done this, it is not possible to go back to a state of lesser awareness.
• Freedom and responsibility. People often try to evade responsibility
for their actions (‘It’s not my fault – I was born like this’), but
existentialists say we are free to choose and to act on our choices. at
freedom entails responsibility and if we evade such choices, we suffer
existential guilt. Rather, we should be authentic and lead lives that are
true to what we believe is meaningful and valuable.
• Identity and relationship. Preserving one’s unique identity is an
important aspect of being human. However, many of us rely on input
from others rather than trusting our own answers to life’s conflicts
(Corey, 2013). e question of relationship refers to the paradox of
human existence – we are both essentially alone in the world (we are
born and die alone) but we are also essentially dependent on
relatedness with others for a sense of our significance in the world
(Corey, 2013).
 e search for meaning. It is distinctly human to wonder about the
• purpose of our existence on Earth and these existential conflicts are
often the underlying reason why people enter therapy (Corey, 2013).
When people change, they often struggle to establish new meaning
systems and so struggle with a sense of meaninglessness. In this
condition, people feel that their lives are empty; existential therapy
assists people to engage deeply with others and through this, find
meaning.
• Anxiety as a condition of living. Existential anxiety results from the
realisation of our struggle for survival, of our aloneness in the world
and the facts that we make mistakes and will die. Some degree of
anxiety is normal and adaptive (e.g. it is helpful to be aware that you
need to study for exams), but neurotic anxiety can be paralysing
(Corey, 2013).
• Awareness of mortality. For existentialists, the reality of death is
what makes living significant (Corey, 2013). Humans are alone among
animals in being able to perceive that death is inevitable. In therapy,
therefore, death is not avoided but rather seen as reason and
motivation to engage fully in life.

Relationship-oriented therapy
Corey’s (2013) definition of psychotherapy emphasises the importance of
the therapeutic relationship in bringing about change within the client.
While the importance of the relationship is emphasised in both the
psychoanalytic and cognitive approaches, particular techniques are key
factors in helping clients to bring about change in their lives. e person-
centred approach advocated by Carl Rogers (1951) departs from this
focus on theory and technique. is approach emphasises the centrality
of the personal qualities of the therapist and the quality of the
therapeutic relationship in helping the client to change. is approach is
rooted in humanistic philosophy, which believes that each person has
the potential to self-actualise (to express his/her unique self ), given the
proper environment. us, the central aim of person-centred therapy is
to help clients to achieve their potential by providing a supportive
emotional therapeutic climate.
Figure 25.5 Carl Rogers

Key ideas
e humanistic philosophy within which this approach is located
advocates a positive view of human nature. e belief is that the client
possesses the inherent capacity to become psychologically healthy when
the correct emotional climate is provided. e therapeutic relationship is
viewed as providing the client with the mechanism to achieve this goal
(Rogers, 1951). An important aspect of this approach is that the client and
not the therapist directs the process of therapy. Rogers rejects the notion
of the therapist as expert. Instead, he argues that clients are the experts
on their distress and should therefore be the ones to direct the process of
healing.
Rogers’ (1951) conception of the causes of psychological distress
differs from the approaches discussed previously. He argues that distress
is caused by incongruence, which is the discrepancy between the client’s
self-perception and reality. Anxiety arises when the client is confronted
with feedback from objective reality that is at odds with the self-concept.
e client then employs defence mechanisms in order to protect the self
from this anxiety (see Figure 25.6). Rogers views these defences as
maladaptive because they protect the client’s distorted self-concept. He
believes that a supportive environment can help the client to address this
incongruence.
Figure 25.6 The person-centred view of psychological distress

As an example, consider the case of Sithembile, who is a student who is

struggling academically. If she believes that she is a resilient person who
is coping well with the demands of university, negative feedback from
others as well as the reality of her poor marks may result in anxiety. She
may rely on defence mechanisms or she may distort reality to deal with
the anxiety. is will result in her being unable to actualise and achieve
her potential. Within a person-centred approach, this student would be
helped to achieve a self-concept that is more realistic so that she is able
to appreciate herself. e therapeutic situation will enable her to explore
and integrate various feelings that she has previously been unable to
acknowledge.

Therapeutic techniques and procedures

As mentioned earlier, the person-centred approach does not emphasise
the centrality of techniques in helping clients to change (Corey, 2013).
Instead, the focus is on providing a therapeutic climate that will enable
clients to express their sense of self. us the primary responsibility for
healing and change is placed on the client. However, Rogers (1961)
makes it clear that there are certain core conditions within the
therapeutic relationship that are ‘necessary and sufficient’ for the client
to change:
• Congruence refers to the genuineness that the therapist expresses in
the relationship. us the therapist has to be authentic in his/her
reactions to the client. ere must be a genuine acknowledgement of
feeling regarding the client in order to enhance honest
communication. e therapist may need to express certain feelings in
an attempt to be authentic, but this should not be at the expense of
the client’s feelings. Congruence implies that the therapist is willing to
confront his/her own feelings so as to provide the client with a
positive role model, as well as a growth-enhancing experience.
• Unconditional positive regard refers to the therapist’s unconditional
acceptance of the client as a person. is means that the therapist is
non-judgemental in caring for the client even when he/she does not
approve of the client’s behaviour. e central concern is for the client
as a human being, regardless of the thoughts, feelings and behaviour
that are expressed within the therapeutic situation.
• Accurate empathy refers to understanding the client’s thoughts,
feelings and experience from the client’s perspective. is requires
that the therapist must share the client’s subjective experience so that
his/her understanding can be reflected back to the client. When the
therapist accurately empathises with the client, the probability of
change is greatly enhanced. Empathy is more than a reflection of
those thoughts and feelings that are obvious to the client. When the
therapist is accurately attuned, he/she is able to reflect those feelings
that underlie the content. us the client gains insight into the roots
of the incongruity between his/her self-concept and reality. By
accurately acknowledging these feelings, the therapist helps the client
to resolve the incongruity and effect constructive change.
 Rogers (1961) believes that a supportive therapeutic relationship that
contains the above three elements is fundamental in helping clients to
change. e techniques that will help clients to better understand their
feelings are listening, reflecting and providing clarification. e person-
centred approach has evolved over the years since it first emerged and it
remains open and flexible to change (Corey, 2013).

SUMMARY

• Existential therapy reflects a philosophical approach rather than a specific form of therapy or set of
techniques.
• This approach emphasises free will and how people deal with the ‘big’ questions about life.
• The human condition sees people grappling with the challenges of contemporary life, such as
» capacity for self-awareness
» freedom and responsibility
» creating identity and establishing meaningful relationships
» the search for meaning and purpose » anxiety as a condition of living
» awareness of mortality.
• Relationship-oriented therapy (Carl Rogers) emphasises the importance of the therapeutic
relationship and the personal qualities of the therapist in bringing about change within the client.
This approach grew from humanistic philosophy, which believes that each person has the potential
to self-actualise.
• Key ideas:
» This approach advocates a positive view of human nature, seeing people as basically healthy.
» The client, and not the therapist, directs the process of therapy.
» Psychological distress is caused by incongruence between the client’s self-perception and reality.
• Therapeutic techniques:
» The client has primary responsibility for healing and change.
» To facilitate this, the therapist must provide the core conditions within the therapeutic relationship
that are ‘necessary and sufficient’ for the client to change: congruence, unconditional positive
regard and accurate empathy.
 25.4 THE PERSON-CENTRED THERAPIST AND THEMBA
Going back to Themba, in terms of the person-centred approach, his personal distress is seen as being
due to the incongruence between his self-concept and reality. Through the process of therapy, Themba
may come to realise that his perception of himself as a conscientious student is at odds with his
lecturers’ perception of him. They may perceive him as someone who does not apply himself to his
studies because he procrastinates and often misses deadlines. As a result, he does not achieve good
marks in his courses. Themba feels threatened and anxious when confronted with this feedback from his
lecturers. He responds by avoiding his studies and withdrawing into himself. In this way, he does not
have to face the reality of his poor academic performance. The incongruence between Themba’s self-
concept and the feedback from his lecturers is at the heart of his current distress. He realises that a
problem exists and that he needs to explore options for change.
The person-centred framework provides Themba with an opportunity to explore these feelings. The
therapist provides a warm and caring environment within which he feels free to express these feelings
The therapist listens intently to his thoughts and feelings, and clarifies and reflects these back to him. By
being genuine and accepting him unconditionally, the therapist creates a climate that will encourage
Themba to examine his sense of self. Essentially, the therapist aims to provide Themba with a safe
experience, which will increase his confidence in his abilities to discover an alternative way of being
Ultimately, he will be empowered to take responsibility for directing the course of his life.

Systems and postmodern approaches

ese approaches to psychotherapy include some that have evolved from
the three previous approaches discussed in this chapter. ese reflect
wider developments in the ways in which psychological distress and
healing are construed. In particular, they pay closer attention to
understanding people from within their contexts and how this has
influenced their development (Corey, 2013). e following therapies
have developed in response to various philosophies.

Social constructionist narrative therapy

Social constructionist narrative therapy draws on social constructionist
principles that regard an individual’s experience as being shaped and
informed by the context within which they live (White & Epston, 1990).
Social constructionism claims that knowledge does not exist
independently of the knower (Prochaska & Norcross, 2010). us, people
construct their own knowledge relative to their culture and language. In
this way, broader cultural narratives (or stories) impact on personal
narratives providing meaning to personal life experiences (Freedman &
Combs, 1996; Morgan, 2000).
Drawing on these principles, narrative therapists therefore question
the notion that psychological distress is a function of problematic
internal processes. Instead they believe that personal distress can be
understood in terms of dominant cultural narratives. People live their
lives according to the stories they tell about themselves (‘I am a kind
persion’) and those told about them by others (‘She can be so mean at
times’) (Corey, 2013). ese stories need to be deconstructed so as to
decrease the impact they have on the client’s life (Freedman & Combs,
1996; Morgan, 2000). For this reason, therapy focuses on externalising the
problem such that the distress is seen as existing outside of the client.
us the person is not the problem; the problem is the problem.
Essentially, the therapist aims to help clients to re-author their stories so
that there are alternate, more positive ways of relating to the world. An
important aspect of this approach is that clients are the experts on their
stories and the therapist collaborates with them in re-authoring them
(White & Epston, 1990; Morgan, 2000).

Solution-focused brief therapy

Solution-focused brief therapy (SFBT) has been growing in popularity in
recent decades, especially as it fits a context in which health care
resources are limited (Rothwell, 2005). It is based on social
constructionist approaches (Rothwell, 2005). In contrast to a
psychoanalytic approach, it is future focused and respects the client’s
aims for therapy. It has a positive focus and aims to empower clients and
rapidly reduce their distress (Wehr, 2010).
In SFBT, the therapist asks questions to help clients envision what
their desired future might entail (e.g. ‘If a miracle happened and you
stopped procrastinating work on your assignments, what would be
different in your life?’). e aim of this is to help clients develop a
detailed vision of their desired outcomes, and also to ‘identify their
strengths, resources and times when the problem is not in evidence’
(Rothwell, 2005, p. 402). e therapist may also set tasks for clients,
including asking them to do more of what is already working in their
lives. Sessions end with the therapist complimenting clients based on
what emerged in their session. A number of studies have demonstrated
the effectiveness of this approach (Rothwell, 2005; Wehr, 2010).

Feminist therapies
Feminist critiques of traditional psychotherapy argue that mainstream
models have failed to address the impact of the imbalance of power in
society on women’s (and men’s) lives (Brown, 1994; Worell & Remer,
2003). Mainstream models locate psychological distress internally, thus
making it incumbent on the client to change, but this ignores how
structural inequality and gender oppression can adversely impact on
psychological well-being (Corey, 2013; Enns, 2000). ere are various
types of feminist therapies, and some have included mainstream ideas,
while others adopt a more diverse approach.
What is common to all of these is the feminist principles that underlie
them. Feminist therapists acknowledge that personal distress has
political roots, and thus move away from the intrapsychic focus of
traditional models. ese therapies also acknowledge multiple forms of
oppression, which take into account that women (and men) can be
oppressed in terms of gender, race, class, sexual orientation and so on.
Another commonality is that all feminist therapies advocate egalitarian
therapeutic relationships where clients and therapists collaborate when
dealing with difficulties. Feminist therapies therefore aim to eradicate all
forms of oppression through helping women to empower themselves.
us women are empowered to challenge and change the status quo at
personal and societal levels (Worell & Remer, 2003).
One of the most controversial challenges that face feminist therapists
is whether men can be clients or therapists in this modality. Corey (2013)
suggests that it is a misconception that if therapy is pro-women, then it
must be anti-men. While feminists are divided on this issue, it makes
sense that male therapists can include these principles in their work.
Also, feminist psychotherapy approaches are applicable to male clients,
to clients from diverse backgrounds and those working for social justice
(Enns, in Corey 2013).

Systemic therapeutic approaches

Most intervention models focus on the individual both in terms of
locating the problem, and bringing about change. In looking beyond
individuals to the context within which they operate, systemic
approaches consider the family as the site of both problem and
intervention. is is often a difficult shift in perspective for Western
therapists trained in individualistic approaches (Corey, 2013). A family
systems approach is concerned with how the interactions between family
members impact on the individual. us family therapists are concerned
with what happens between members of a family as opposed to what is
happening in the internal world of the individual.
 SUMMARY

• Systemic and postmodern approaches to psychotherapy pay closer attention to understanding

people from within their contexts.
• Narrative therapy is a social constructionist approach; thus it understands that people construct
their own knowledge relative to their culture and language:
» Broader cultural narratives impact on personal narratives (or stories).
» Psychological distress is thus not a function of problematic internal processes; rather, personal
distress is driven by dominant cultural narratives.
» Therapy aims to help the client re-author their stories to achieve more positive ways of relating to
the world.
• Solution-focused brief therapy (SFBT) is also based on social constructionism and is future focused:
» In SFBT, the therapist uses questions to help clients develop a detailed vision of their desired future.
» Clients’ strengths and resources are also identified and built on.
• Feminist therapies aim to redress the effects of the social imbalance of power on women’s (and
men’s) lives; they see the political roots to people’s personal distress:
» Therapy is collaborative and egalitarian.
» Male therapists and clients can also benefit from feminist approaches.
• Systemic approaches focus on how interactions occur in the family and systemic context rather
than in the internal world of the individual. Family therapy is therefore aimed at addressing the
dysfunction of the various subsystems and the family as a whole.

e family system is comprised of various subsystems that are

interrelated in such a way that change or imbalance in one subsystem
impacts on other subsystems and the family as a whole. ere are ‘rules’
and processes that guide the functioning of the family and these may
need to change depending on the demands faced by the system. Systems
also go through transitions, and the way in which the family responds to
these is indicative of its current functioning. Family therapy is therefore
aimed at addressing the ‘dysfunction’ of the various subsystems and the
family as a whole. us interventions focus on treating the family and not
the individual who is symptomatic of the family’s problems (Minuchin,
1974).

The effectiveness of psychotherapy

In our discussions of the different therapeutic approaches, we have
considered how they may be used to alleviate emba’s psychological
distress. A pertinent question at this point may be whether these
approaches are effective in achieving this aim. e issue that faces the
advocates of various types of therapy is whether or not psychotherapy
actually works. Is psychotherapy the talking cure that Freud intended it to
be, and if so, how does one measure if the client has been cured? is
dilemma has seen considerable attention in recent decades as
psychotherapy. ere has been an increased effort towards therapeutic
efficiency and accountability (Reid & Eisman, 2006, in Corsini &
Wedding, 2011). However, this effort is time consuming and challenging
(Corsini & Wedding, 2011), especially given the very private and
subjective nature of psychotherapy. Numerous efforts have been made to
prove empirically that certain therapies are indeed effective, and in some
instances researchers have tried to prove that some therapies are
superior to others. However, as we will see, this is a complex issue, and to
date, most studies have focused on evaluating therapies within an
experimental context, which militates against the inclusion of a wide
range of therapies.
Kazdin (2008) notes the context within which the focus on evidence-
based practice has grown. He particularly highlights the role of legislation
and of third-party payers like medical aids. e latter are having an
increasing say in which therapies will be paid for and at what rate
(Kazdin, 2008). Kazdin (2008, p. 157) goes on to argue that ‘the best
practice will continue to be based on the best science’. He suggests that
research needs to focus more on change processes, especially in terms of
how change can be activated. Research should also focus on moderators
of treatment – how do they make a difference, and if so, to all kinds of
treatment? ere should also be more qualitative research and the
patient’s progress monitored as systematically as possible (Kazdin, 2008).

The role of indigenous therapies in an

African context
Cross-cultural issues in therapy
Our discussion thus far has focused on the psychotherapeutic
approaches that form the core of Western psychological models of
intervention. We have applied these approaches to a case study of
emba who is a young, black South African male so as to see how each
approach can alleviate his distress. However, we have not considered the
impact of culture (in other words, ethnic or racial background) on
emba’s interaction with the various therapists. is may create the
impression that culture is not important and that Western modes of
intervention are readily transferable to any sociocultural context. But an
important aspect of therapeutic intervention is the acknowledgement of
the impact of the cultural framework of both client and therapist (Corsini
& Wedding, 2010). Clients’ experience of the problem is embedded in
their cultural experience. Similarly, the therapist’s cultural background
influences their interaction with clients and he/she needs to be cognisant
of this (Corey, 2013).
ere are also other factors, such as gender and class, which need to
be considered. An acknowledgement of the impact of culture, class and
gender enables the therapist to gain a holistic view of clients and
militates against the therapist making undue assumptions of clients and
their problems (Corsini & Wedding, 2011). us working cross-culturally
requires a distinct awareness as well as specific skills (Botha &
Moletsane, 2012). It is no longer viable in contemporary society to ignore
the issue of culture (or gender or class). ese considerations have led to
the development of theories and techniques for multicultural or cross-
cultural therapies (Prochaska & Norcross, 2010), and represent attempts
by mainstream psychotherapeutic models to become more applicable to
non-Western settings (Corey, 2013). e central ideas of these models are
similar.
25.5 HOW DO WE ASSESS THE EFFECTIVENESS OF
PSYCHOTHERAPY?
Our discussion has centred on a number of diverse therapeutic approaches but, as we have seen, there
are more than 400 types of therapy that are currently being practised (Corey, 2013). How do we assess
the effectiveness of these approaches? Seligman (1995) says that there are two ways in which
researchers have tried to measure the outcomes of psychotherapy, namely efficacy studies and
effectiveness studies. The former is more popular and has been the primary manner in which
researchers have evaluated the outcomes of certain types of psychological intervention.
In treatment efficacy studies, efforts are made to improve the methodological quality of the research
(Hunsley, Elliott & Therrien, 2013). Thus, studies are conducted in an experimental situation where
participants are randomly assigned to experimental and control conditions so as to assess if a particular
type of therapy is effective in treating a particular disorder. The experimental group is required to
subscribe to the therapy for a set number of sessions and the treatment is short-term and time limited
as researchers want to establish whether a particular intervention actually works. In these studies only
participants with one diagnosis are allowed because multiple diagnoses militate against the assessment
of the effectiveness of the therapy for a particular disorder (Seligman, 1995). Thus, if there is an
improvement in the psychological well-being of the experimental group, then it is concluded that the
therapy works and it is given greater legitimacy.
Seligman (1995) says that efficacy studies have become the gold standard by which the utility of
therapies is assessed. But while there is value in using this method to assess the usefulness of therapies
for the treatment of certain disorders, it becomes problematic regarding the outcomes of long-term
therapies such as psychoanalysis. Efficacy studies typically evaluate therapies that are time limited, such
as cognitive therapy. It would be extremely difficult to assess psychoanalysis in this manner, as this type
of therapy is dependent on the uncovering of unconscious material – a process that cannot be confined
to a limited number of sessions. In addition, the analytic process may result in many issues being raised
in therapy and consequently more than one diagnosis may be made.
Does this mean that we are unable to assess the utility of psychoanalysis or are there other means by
which we can achieve this? Hunsley et al. (2013) argue that both efficacy and effectiveness studies need
to be undertaken. If efficacy looks at how the treatment will work in theory, effectiveness studies
attempt to locate themselves where the actual treatments are happening and using therapists who are
actively engaged in providing such services.
One kind of effectiveness study involves using a survey method, thus asking respondents to report
on their actual experiences in therapy. Seligman (1995) refers to the Consumer Reports study, which was
published in the US in 1995. This study surveyed the experiences of several thousand people with
regard to their experiences of psychotherapy. The questions ranged from details regarding the type of
therapy engaged in and the competence of the therapist, to the reasons for terminating the therapy
The study concluded that people benefited from psychotherapeutic intervention and that long-term
therapy was more effective than short-term interventions.
Seligman (1995) argues that this survey method allows us to gain a clearer view of the effectiveness
of a wide range of therapies. However, there are methodological flaws associated with this type of
research. Among other problems, there were three notable ones in this study: there were no contro
groups with which to compare the sample, the method relied on the participants’ self-reports (which
are highly subjective), and participants were asked to report retrospectively on their emotional states. A
more recent study (Hunsley et al., 2013) used meta-analyses of studies on a number of common
disorders. Hunsley et al. (2013, p. 5) argue that ‘meta-analyses are likely to provide the most current and
 thorough overview of a research area’ and that using advanced statistical techniques provides ‘the most
accurate synthesis of results obtained from multiple studies’.
Effectiveness and efficacy studies have been significant in the evidence-based practice movement
This ‘international juggernaut racing to achieve accountability in all forms of health care’ (Prochaska &
Norcross, 2011, p. 521) is not without its problems and criticisms. It is widely accepted that sound
practice should be based on evidence; however, it is somewhat more complicated to reach agreement
on what counts as evidence (Prochaska & Norcross, 2011). In addition, Prochaska and Norcross (2011)
suggest that research and efforts towards evidence-based practice have neglected the therapy
relationship. There is wide support for the idea that much of the outcome in psychotherapy is
attributable to factors in the therapy relationship and it is critical that these aspects are not sidelined in
efforts to improve accountability in psychotherapy.

Indigenous therapies
e attempts at adapting mainstream models of intervention so as to be
applicable to non-Western cultures do not imply that these models are
the best or only way of helping people. Western notions of psychological
distress, and the concomitant modes of helping, reflect Western ideas
and values that may not always be suitable for other cultural contexts
(Botha & Moletsane, 2012). ere are other forms of non-professional
intervention that people turn to in times of distress. e World Health
Organization (2003) says that ‘traditional medicine refers to health
practices, approaches, knowledge and beliefs incorporating plant, animal
and mineral based medicines, spiritual therapies, manual techniques
and exercises, applied singly or in combination to treat, diagnose and
prevent illness or maintain well-being’.
Of interest to us are the folk-sector healers who are non-professional
healers who use a variety of techniques such as rituals, herbal remedies,
symbolic healing and spiritualism to help clients in distress (Kleinman,
1980; White, Jain & Giurgi-Oncu, 2014). Swartz (1998) identifies two types
of folk healing in use in southern Africa, namely, indigenous healing and
religious healing.
Regarding indigenous healing, there is diversity in terms of the type
of healing offered and the contexts within which such healing occurs. For
example, in indigenous healing in KwaZulu-Natal, a distinction is made
between an isangoma (diviner) and an inyanga (doctor or herbalist). e
isangoma is a person who has been chosen by the ancestors to become a
healer, while the inyanga is a dispenser of herbal remedies (Ngubane in
Swartz, 1998). e way in which distress is conceptualised and treated
will depend on the healer’s orientation.
In indigenous healing, psychological distress is attributed to
disturbances in the physical realms (nature), the social realms (family
and other relationships) and the supernatural realms (bewitchment,
spirit possession) (Botha & Moletsane, 2012). For example, emba’s
emotional state and his failure to achieve may be seen to have been
caused by a curse placed on him by a jealous neigh-bour who is envious
of his university studies. His distress is not viewed as having internal
roots. Instead, it is something that has been thrust upon him by external
forces. emba may seek help from an indigenous healer in order to
establish how to deal with his misfortune. e intervention may require
the use of herbal remedies or rituals to alleviate his distress.
Religious healing is the second type of healing that falls within the
folk sector. is type of healing mostly involves prayer, laying-on of
hands, and providing holy water or ash (Truter, 2007). Swartz (1998) says
that the ‘African independent churches’ employ a mixture of Christian
beliefs and practices and indigenous healing. In some churches there is a
significant emphasis on elements such as spirit possession, while others
emphasise charismatic Christian aspects. is type of healing appeals to
many people as it provides spiritual solutions to their problems.
Swartz (1998) also states that folk-sector healing often occurs within a
communal setting. us the distress and healing is shared with others.
is approach differs from the individualised Western dyadic models that
were discussed earlier in this chapter. Folk-sector healing reflects certain
spiritual values that are cherished in African cultures.
 SUMMARY

• The effectiveness of psychotherapy is receiving increasing attention in the current focus on

evidence-based practice. This is driven by demands for accountability from government and third-
party funders. However, this research is time consuming and difficult.
• We need to think critically about the applicability of Western models of therapy in multicultural
contexts. The cultural background of both the client and the therapist impact on their
understanding and treatment of the problem.
• Gender and class differences also need to be considered.
• People have been using indigenous healing methods for many generations. Non-professional folk-
sector healers use a variety of techniques such as rituals, herbal remedies, symbolic healing and
spiritualism.
• In southern Africa, there are diverse kinds of healing offered including herbal remedies and rituals.
• In indigenous healing, psychological distress is attributed to disturbances in the physical social
realms and supernatural realms.
• In religious healing, there is emphasis on aspects like spirit possession and charismatic Christian
aspects.

Conclusion
is chapter focused on four core approaches to helping patients alleviate their psychological
distress. However, these approaches were conceptualised within particular Western contexts and
seek to address the problems of individuals living within these environments. erefore, while
models of psychotherapy have utility in addressing the psychological needs of individuals, these
models may be limited in meeting South Africa’s large-scale mental health needs. In addition, we
need to ask ourselves whether Western models of psychological distress and therapeutic
intervention can and should be transposed onto the African context. We cannot uncritically
accept these notions even if individual psychotherapy represents one of the core competencies in
which psychologists are trained.
e search for theory and practice that takes account of our particular sociopolitical and
economic context is one that challenges mental health practitioners in South Africa today. As a
result, psychologists are redefining the parameters of therapy so as to make it more socially
relevant and accessible to people. (See Chapter 26 for a discussion of other approaches within a
community mental health approach.)

KEY CONCEPTS

accurate empathy: a core condition for therapeutic change

according to the person-centred approach that refers to
understanding the client’s thoughts and feelings from the client’s
perspective
arbitrary inferences: a cognitive distortion that occurs when the
client draws conclusions about him-/herself and the world without
real evidence
automatic thoughts: personalised ideas that occur in people in
response to particular stimuli
cognitive-behavioural therapy: a type of therapy that focuses on the
conscious motivation of behaviour
cognitive distortions: the drawing of faulty assumptions about
oneself and the world as a result of errors in reasoning
congruence: a core condition for therapeutic change according to the
person-centred approach that refers to the genuineness that the
therapist expresses in the relationship
countertransference: an important process in psychoanalytic
psychotherapy that refers to the way in which the therapist reacts to
his/her client’s transference
defence mechanisms: ways in which people cope with the anxiety
caused by repressed thoughts and feelings
dream analysis: a therapeutic technique in psychoanalytic
psychotherapy where the therapist interprets the symbolic content of
the client’s dreams, thus giving him/her insight into unresolved
conflicts
effectiveness studies: studies that employ a survey method asking
respondents to report on their actual experiences in therapy
efficacy studies: studies that are conducted in an experimental
situation so as to assess if a particular type of therapy is effective for
treating a particular disorder
folk-sector healers: people who are non-professional healers and
who use a variety of techniques such as rituals, herbal remedies,
symbolic healing and spiritualism to help clients in distress
free association: a therapeutic technique in psychoanalytic
psychotherapy where the client spontaneously expresses whatever
comes to mind
incongruence: the discrepancy between a client’s self-perception
and reality that causes distress
indigenous healing: a type of folk healing in use in southern Africa
where psychological distress is attributed to disturbances in the
physical realm, the social realm and the supernatural realm
interpretation: a therapeutic technique in psychoanalytic
psychotherapy where the therapist strives to explain the hidden
meaning of his/her client’s thoughts, feelings and/or dreams
labelling: a cognitive distortion where a client defines him-/herself in
terms of his/her shortcomings
latent content: that part of a dream that consists of the repressed
material that underlies it
magnification: a cognitive distortion where a client perceives a
situation in an exaggerated manner
manifest content: the actual content of a dream
minimisation: a cognitive distortion where a client perceives a
situation in an understated manner
neuroses: phobias, panic disorders and other anxiety disorders that
are caused by unconscious conflicts stemming from early childhood
overgeneralisation: a cognitive distortion where a client holds
extreme ideas as a result of an isolated incident and applies this to
other situations
person-centred therapy: a type of therapy that emphasises the
centrality of the personal qualities of the therapist and the quality of
the therapeutic relationship in helping the client to change
personalisation: a cognitive distortion where a client relates external
events to him-/herself even when there is no logical reason to make
this connection
polarised thinking: a cognitive distortion that involves thinking and
interpreting situations in extremes
psychoanalytic psychotherapy: a type of therapy that is largely
concerned with helping a client to gain insight into the underlying
causes of emotional difficulties in order to bring about changes
within personality and behaviour
 psychotherapy: an ‘engagement’ between two individuals, namely
the therapist and the client, who are focused on bringing about
change within the client via the therapeutic relationship
religious healing: a type of folk healing in use where churches
employ a mixture of Christian practices and indigenous healing
resistance: a key concept in psychoanalysis, which refers to any
unconscious defensive strategy that may hinder the process of
therapy
selective abstraction: cognitive distortion in which the person draws
conclusions on the basis of isolated details, ignoring other
information
transference: when a client involved in psychoanalysis
unconsciously relates to the therapist in ways that are similar to
significant relationships in his/her life
unconditional positive regard: a core condition for therapeutic
change according to the person-centred approach that refers to the
therapist’s unconditional acceptance of the client as a person

EXERCISES

Multiple choice questions

1. abo experiences his therapist as authoritative and emotionally

distant. In many ways their relationship mirrors the relationship that
he had with his father. is is an example of:
a) resistance
b) projection
c) transference
d) countertransference.

2. Free association is a psychoanalytic technique in which the client:

a) makes connections between the conscious and unconscious
b) spontaneously talks about whatever comes to mind
c) feels free to question the therapist on personal matters
 d) censors the thoughts and feelings that are shared with the
therapist.

3. Since talking about the death of his mother, Simphiwe consistently

arrives late for sessions with his therapist. is is an example of:
a) denial
b) grief
c) resistance
d) countertransference.

4. Psychological distress is caused by the way in which people interpret

events in their lives. is understanding underpins the approach to
psychotherapy.
a) psychoanalytic
b) cognitive-behavioural
c) person-centred
d) cognitive.

5. Carol believes that she is a complete failure because she failed a

maths test at school. Her belief is held in spite of the good marks that
she attains in her other subjects. is belief is an example of:
a) personalisation
b) selective abstraction
c) magnification
d) minimisation.

6. When the client is taught new ways of perceiving and interpreting

situations in order to bring about change, this approach is seen as:
a) dynamic
b) psychoeducational
c) empathic
d) homework.

7. Jim tells the therapist that he has committed a crime and feels guilty
about it, and she responds by saying that she does not judge him even
 though she does not agree with what he has done. is caring, non-
judgemental attitude expressed by the therapist toward the client is
called:
a) acceptance
b) empathy
c) unconditional positive regard
d) congruence.

8. e discrepancy between a person’s self-concept and reality is what

Rogers calls:
a) psychological distress
b) anxiety
c) incongruence
d) genuineness.

9. ere are certain ‘core conditions’ in the therapeutic relationship that

are__________for the client to change.
a) necessary and sufficient
b) fundamentally important
c) necessary
d) therapeutically important.

10. Non-professional healers who use rituals, herbal remedies and

symbolic healing fall within the framework as opposed to a Western
psychotherapeutic framework.
a) lay-counselling
b) indigenous-healing
c) religious-healing
d) spiritual-healing.

Short-answer questions
1. Discuss any three of the following four therapeutic techniques used in
psychoanalytic psychotherapy: free association, interpretation, dream
analysis and transference.
2. Explain what a cognitive distortion is and define and give an example
of each of the following: overgeneralisation, personalisation and
labelling.
3. How does the person-centred approach conceptualise psychological
distress? Illustrate your answer by means of a diagram.
4. Name and describe the ‘core conditions’ suggested by Rogers (1961)
that are necessary and sufficient for the client to change.
5. What are ‘folk-sector healers’ and how do they differ from
psychotherapists trained in Western models?
 Community mental
health CHAPTER
Tony Naidoo, Sherine van Wyk & Ronelle
Carolissen
26

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• conceptualise what is meant by community mental health
• critique the traditional biomedical formulations of mental health
• understand the ecological model of development and the three constituent domains of well-
being
• differentiate between protective factors and risk factors affecting mental health
• describe the historical context for mental health provision and resources in South Africa
• describe and critique mental health provision from a primary health care approach
• provide a schema to describe community mental health interventions.

CASE STUDY

Yolisa, like many people, had imagined that psychologists worked mainly with individual patients in
a consulting room. As she read about community psychology, though, it made perfect sense that
psychologists should also take each person’s broader environment into account when they
thought about the best way to intervene. Her own experience of growing up in a township had
taught her a great deal about the importance of a community.
Her neighbourhood had been a particularly supportive one where the women would often get
together to talk about general issues for the community and how to improve things for everyone.
Her mother had been involved in one particular group where they had helped to set up a crèche
for the younger children who had nowhere to go when their parents went to work. Yolisa thought
that if psychologists could help facilitate this kind of activity within communities, they would be
able to reach many more people than they would if they only counselled one person at a time.
Thinking about her community though, Yolisa was forced to acknowledge that there had also
been a great many problems that were common to the people living there. While her own family
had lived reasonably well on her father’s salary, many of those in the surrounding houses had been
unemployed and struggled sometimes even to feed their families. Often the families who had
more, like her own, would share with others. While this kind of community support was very
important, it did not take away the problems that came along with unemployment. Some of the
 younger men who couldn’t get jobs would hang around on the streets, sometimes drinking and
fighting. Although other people in the community got angry with them for doing this, they also
understood that the young men were frustrated and angry at not being able to find work. Yolisa
could see from this kind of situation that it was just as important for psychologists to think how to
change people’s environments as it was to focus on changing the people themselves. An
intervention that helped to reduce unemployment in her community might have done a great
deal to prevent social and psychological problems from developing.

Introduction
ere is a growing realisation worldwide that the health, quality of life,
progress and prosperity of individuals are dependent on the health and
well-being of their communities. According to the World Health
Organization (n.d.), epidemiological studies indicate that various social
stressors, such as violence, alcohol and substance abuse, poverty,
suicide, stress and HIV/AIDS are indicative of problems of modern living.
ese social conditions seriously erode and undermine the physical and
mental well-being of communities as well as individuals. For example,
people living in unhygienic conditions in informal settlements where
there is no sewerage system are more susceptible to contracting
tuberculosis (TB).
ere is a growing concern about the increase in mental health
problems and disorders. In 2010, it was estimated that mental and
behavioural disorders accounted for 7.4 per cent of the global burden of
disease, with major depressive disorder accounting for 34.1 per cent of
this (National Institute of Mental Health, n.d). Adverse social factors
such as poverty, unemployment, escalating HIV/ AIDS incidence, crime,
violence, and alcohol and substance abuse affect all sections of South
African society. ese conditions have grave implications for mental
well-being. Globally, one in five people (children, adolescents and
adults) are estimated to suffer from a diagnosable mental disorder that
affects their social functioning (Kleintjes, Lund, Flisher et al., 2010).
Moreover, general practitioners estimate that 25 per cent of all their
patients are ill due to psychological distress rather than biological causes.
Adolescents in particular are regarded as a high-risk group. According to
the World Health Organization (2013), in 2012 suicide was the second
highest cause of death amongst 15–29 year-olds. In addition, 75 per cent
of global suicides happened in low- or middle-income countries.
e awareness of the interaction between psychological, social and
biological factors in health has brought about a shift from a
predominantly biomedical model to a more inclusive and
comprehensive bio-psychosocial model of health and disease.

The biomedical approach

In South Africa, health services have been strongly influenced by the
traditional biomedical model that primarily focuses on the treatment of
physical signs and symptoms of mental illness. is approach regards
mental health as being secondary or subordinate to physical health,
resulting in mental health being seen as less important, having a low
priority status, and hence receiving less attention and being allocated
fewer resources. e dominance of the biomedical approach, with its
partitioning of mental health and physical health, has separated and
fragmented the provision of health services. Consequently, many mental
and behavioural disorders have been neglected, have gone undetected
and/or have been left untreated, resulting in much misery and waste of
human potential.
Cowen (2000) contends that the traditional biomedical definition of
mental health (and its main focus on dysfunction, biological causative
factors of disease, and the remedial treatment of diagnosed illnesses) has
narrowed and restricted the focus of traditional psychology. is has
been reflected in psychology’s limited focus on individual behaviour and
the intrapsychic facets and processes of behaviour, and the assessment,
diagnosis and treatment of pathology and dysfunctional behaviour. is
has, in turn, led to the neglect of other equally important factors, such as
the individual’s environment, social context, relationships and the
interaction between these.
 The bio-psychosocial approach
In contrast to the dualistic mind/body separation of the biomedical
model, the bio-psychosocial approach calls for a more holistic and
integrated view of well-being. e bio-psychosocial model of health
acknowledges that physical and mental health cannot be separated,
maintaining that an individual’s physical, behavioural and social contexts
are interrelated and integral to mental health. Hence its broader focus is
on the holistic treatment of individuals, including rehabilitation,
prevention of mental illness, and the promotion and enhancement of
mental health (Albee, 1982; Cowen, 1994, 1996, 2000; Prilleltensky &
Nelson, 2002). Developments in neuroscience, genetics and the
behavioural and social sciences have advanced our understanding of
mental health and disorders. Recent scientific evidence indicates that the
interaction between biological, psychological and social factors is a
determining factor in mental and behavioural disorders (World Health
Organization, n.d.).

SUMMARY

• Individual health and prosperity are closely tied to community health and well-being.
• Modern life generates stressors which erode individual and community health, both physical and
mental.
• Adverse social factors also have a negative impact in terms of psychological distress and mental
disorders.
• The traditional biomedical approach to health focuses primarily on the treatment of physical signs
and symptoms of mental illness. Mental health has had a lower priority status; as a result, health
services have been fragmented and mental disorders neglected. In addition, individual and
intrapsychic factors have been emphasised at the expense of environmental factors.
• The bio-psychosocial approach is more holistic and integrated. This approach understands that the
interaction of biological, psychological and social factors influence mental and behavioural
disorders.
• There is a need to extend mental health services beyond the individual to the community.
26.1 PREVENTION IS A NEGLECTED FOCUS
Research indicates that most emotional or behavioural problems have their origins in negative socia
environments where, for example, poverty, violence, crime, abuse and social injustice abound (World
Health Organization, n.d.). Various theorists have shown that early exposure to negative social contexts
could drastically limit optimal social development and result in later adult pathology. But, despite the
knowledge gained from decades of prevention research and the positive benefits of preventative
interventions, commitment to the science and the practice of interventions has been limited. The status
quo has largely been maintained with traditional diagnostic systems, therapeutic approaches and
training methods that perpetuate a victim-blaming stance and adhere to the biomedical model for
conceptualising the consequences of social problems. For example, the sequelae of all forms of violence
against women and children in South Africa hold grave implications for the mental health of this society.
Traditional individual curative ways of rendering services to such victims of violence, notwithstanding
their positive benefits for patients, could be regarded as ‘band-aid’ therapy. The treatment is merely
focused on the symptoms of the problems and does not address their root causes. Such interventions
would also not necessarily reduce the incidence of violence against other women and children in the
broader population.
Prevention science advocates addressing such problems by rendering services as well as harnessing
efforts to combat the development of such psychosocial issues. The focus of primary prevention would
be to address the core of the problem by confronting the entrenched cultural forces, such as patriarchy
and gender inequality, that perpetuate male dominance over women and children. Direct preventative
interventions would include improving nutrition and housing, as well as access to education, reducing
poverty and enhancing community networks (World Health Organization, 2004). Secondary and tertiary
prevention would render services to both the victims of violence as well as rehabilitation programmes
for perpetrators. Violence-prevention interventions should be multilevel and across disciplines. For
example, the family, school, traditional leaders, church, media, clinics, hospitals, government and places
of work should all be involved. The entire population should be targeted, not merely the victims and
perpetrators of violence.
Similarly, the psychological, social and economic implications of the HIV/AIDS pandemic are critica
for the development of South Africa. The particular vulnerability of young women to infection and
death from AIDS-related illnesses is also indicative of the broader, systemic social inequalities within
South African society. Individual interventions to stem the escalating levels of the HIV/AIDS pandemic in
South Africa have not met with much success as Western theoretical models of the disease have been
applied. These theories emphasise individual personal processes, ignoring the complex interplay of
social, economic, cultural and political factors that operate in developing societies. In order to change
high-risk sexual behaviour and attempt to make some impact on the prevention of the spread of this
pandemic, the interaction between the different systems within a society need to be considered.
In a developing country such as South Africa, with, on the one hand, historical inequities, backlogs
and limited resources, and, on the other hand, the vast need for prevention and mental health services
the challenge is to apply resources optimally for the benefit of all. It is important to shift from applying
resources to small-scale modes of treatment to interventions that can use limited resources more
broadly for the prevention of mental health problems. Examples of specific programmes established in
the US include the following (Trust for America’s Health, 2009):
In Alabama in 2010, a community action plan aimed to reduce barriers preventing African American
women receiving screening for breast and cervical cancer. Two years later, 14 per cent more women had
had a mammogram, while 11 per cent more had had a Pap test.
 In West Virginia, a state with a very high smoking rate, tobacco control programmes have resulted in
most restaurants being smoke free, while the WV Tobacco Quitline has reported a 32 per cent rate for
stopping smoking.
In Washington State, school districts laid down a ‘staff walking challenge’ in which staff formed teams to
compete to log the most physical activity. This led to a 60 per cent increase in people taking moderate
exercise four or more days per week.

This also raises issues at another level, namely, the nature and relevance of professional training in
psychology and the location of mental health professionals within the broader society. Clearly, the
training of mental health professionals in a developing country should not be geared for private
practice, with a focus on individual-oriented treatment paradigms. Training programmes need to
prepare mental health professionals for work in the broader community, with a focus on prevention
science and issues of social justice.
Few people would argue against the folk wisdom that prevention is better than cure, yet psychology
as a profession continues to apply its energies to remediation. However, it makes better economic sense
to apply resources to prevent mental health problems from developing than the costly expense, both
human and material, of treating them. Prevention should not merely address the symptoms, but should
confront the deep-seated structural inequalities embedded within a society that give rise to the
development of mental health problems.

As early as 1951, Kurt Lewin advocated that behaviour needed to be

thought of as a function of the interaction between the person and
environment (B = f(P × E)). However, many mental health practitioners
adhere to a far more limited formula: B = f(P) – that is, behaviour is the
function of the person. As a result, many professional programmes
continue to perpetuate the individualistic-remedial-intrapsychic
approach to psychology even though the communities’ needs for mental
health services far exceed this limited modality (Lewis, Lewis, Daniels &
D’Andrea, 2003).

Defining mental health

Mental health and its more recent reformulations, wellness or well-being,
have diverse meanings in different social contexts. ere is no single
definition that fully encapsulates the essence of these concepts. As far
back as 1948, the World Health Organization defined health as a state of
complete physical, mental and social well-being and not merely the
absence of disease or infirmity.
 Cowen (1994) contends that wellness and sickness are culturally
determined constructs and, given the diversity of cultural values, seeking
a uniformly acceptable definition for these is a complex and illusory
process. He contends that wellness and pathology (sickness) should be
seen as the two anchoring ends of a hypothetical continuum, where
wellness is the positive end, representing an ideal to continually strive
towards. It should be of prime concern, not only attended to when it
breaks down (Cowen, 1996, 2000).
Cowen also argues that ‘wellness … is defined by the presence of
positive marker characteristics that come about as a result of chance
combinations of organismic, familial, community and societal elements’
(Cowen, 1996, p. 247). ese positive markers are behavioural and
psychological. Behavioural markers refer to actions such as the ability to
work productively and form sound interpersonal relationships.
Psychological markers include processes such as having a sense of
purpose and belonging, self-efficacy and control over our fate
(Cowen, 1994).

Dimensions of mental health

In 1981, the World Health Organization emphasised the social
dimensions of mental health and the importance of social environments
when it stated the following:
Mental health is the capacity of the individual, the group and the environment to interact
with one another in ways that promote subjective well-being, the optimal development and
use of mental abilities (cognitive, affective and relational), the achievement of individual
and collective goals consistent with justice and the attainment and preservation of
conditions of fundamental equality (World Health Organization, 2000a, p. 11).

is statement and related research show that mental health:

• goes beyond the biological and the individual
• is culturally constructed and rooted in subjective value judgements
• is complex and multidimensional, for as one progresses from one life
stage to the next, there are a number of systems that can impact on
 wellness (Cowen, 2000)
• is facilitated or undermined by a number of interrelated factors
operating on different levels (e.g. a child’s well-being is dependent on
the family, school, peer groups)
• has a social dimension and is influenced by non-psychological
factors (e.g. having a job, housing, access to sanitation and water)
(World Health Organization, n.d.)
• is facilitated by conditions of social justice and equality (Prilleltensky
& Nelson, 2002).

us, if an unemployed pregnant mother is malnourished or vulnerable

to substance or physical abuse, such negative stressors will impact on the
viability of the growing foetus, affecting its physical and cognitive
development and ultimately the mental health of both the child and
mother. us there are multiple systems involved in the mental well-
being of an individual, some having an impact even before birth.

The interdependence of the dimensions of

mental health
Figure 26.1 illustrates the hierarchical structure and ecological
interdependence of mental health or well-being (Prilleltensky & Nelson,
2002). Any individual is embedded in several interacting social systems
such as families, neighbourhoods, communities and broader society.
Each of these layers of society exerts a particular influence on the
individual, some directly and others indirectly, some positively and
others negatively. erefore, the mental health and well-being of
individuals are shaped by social conditions that are often beyond their
control. Any individual’s personal well-being is dependent on the well-
being of their immediate family, which in turn depends on external
community conditions and societal conditions.
Figure 26.1 The social interdependence of mental health

Within this ecological model of development, Prilleltensky and Nelson

(2002) describe three domains of well-being (integrating both physical
and mental health): personal well-being, relational well-being and
collective well-being. ese domains are interdependent, with
the quality of well-being in one domain likely to impact on the quality of
well-being in the other domains. Well-being itself is attained when there
is a ‘simultaneous and balanced satisfaction of personal, relational and
collective needs’ (Prilleltensky & Nelson, 2002, p. 8).

Personal well-being
Personal well-being is fostered when the necessary conditions for the
protection of an individual’s physical and emotional health are ensured,
and where self-determination and personal growth are promoted.
Interventions in this domain are aimed at empowerment, giving
individuals mastery, control, a voice and choice over aspects of their
emotional and physical well-being. Counselling and psychotherapy are
interventions fostering personal well-being.
Relational well-being
Relational well-being focuses on the promotion of respect and
appreciation for human diversity and for collaboration and democratic
participation. e needs addressed at this level include integrity,
acceptance, dignity and self-respect. Interventions in this domain
encourage people to participate in decision-making processes and to
assume mutual responsibility.
26.2 INDIVIDUAL WELLNESS: A CONTEXTUAL
UNDERSTANDING
Source: Myers, Sweeney and Witmer (2000)
Myers et al. (2000) present an interesting integrated holistic model of wellness and prevention over a life
span. Their model presents individual characteristics necessary for optimal health. The wheel of wellness
depicts how different facets of an individual’s life and wellness in one area, whether positive or negative
affect other areas. Healthy functioning also occurs on a developmental continuum. Behaviour at one
stage of life impacts on development and functioning at a later stage. Therefore prevention of sickness
and early interventions into sickness are seen to enhance social functioning.
In the pursuit of wellness, an individual engages in interrelated life tasks. The first life task and the
core of wellness is spirituality, as reflected by one’s moral values and the pursuit of the meaning of life
This is followed by the life tasks of self-direction, work, leisure, friendship and love. These life tasks
interact dynamically with life forces both within and outside the individual. External life forces refer to
societal institutions such as the family, the community, and religious, educational, governmental and
economic systems. Further, both natural and human global events, such as earthquakes, floods, famine,
wars, poverty, unemployment, economic decline, exploitation, injustice and terrorism, have an impact
on the life tasks and life forces.
 Figure 26.2 The wheel of wellness

Collective well-being
Collective well-being is fostered when vital community structures that
facilitate the pursuit of personal and communal goals are established.
is provides a sense of community, cohesion and formal support.
Equally important for collective well-being is the attainment of social
justice, ensuring fair and equitable allocation of bargaining powers,
obligations and resources in society. ese resources include enabling
institutions and infrastructure. It follows, then, that well-being cannot be
conceptualised in a vacuum or be reduced to individual responsibility:
 Personal needs such as health, self-determination, and opportunity for growth are tied to
the satisfaction of collective needs such as adequate health care, access to safe water, fair
and equitable allocation of resources and economic equality (Prilleltensky & Nelson, 2002,
p. 12).

When health-promoting factors are available on all levels, a positive

synergistic effect is likely to ensue. However, when neglect, injustice and
exploitation combine with a lack of resources, then social fragmentation,
ill-health, suffering and oppression will emerge.

Figure 26.3 Having healthy, stable early attachments with parents and primary caregivers is
thought to serve as a protective factor against mental illness
 SUMMARY

• Mental health, wellness or well-being have diverse meanings in different social contexts.
• According to the WHO, health is a state of complete physical, mental and social well-being and not
merely the absence of disease or infirmity.
• Wellness and sickness are culturally determined constructs which can be seen as two ends of a
continuum.
• Wellness is defined by the presence of positive behavioural and psychological markers.
• Mental health, wellness or well-being have diverse meanings in different social contexts.
• According to the WHO, health is a state of complete physical, mental and social well-being and not
merely the absence of disease or infirmity.
• Wellness and sickness are culturally determined constructs which can be seen as two ends of a
continuum.
• Wellness is defined by the presence of positive behavioural and psychological markers.
• There are significant social dimensions to mental health. Mental health involves subjective value
judgements. It is influenced by life stage, as well as non-psychological factors including access to
resources, social justice and equality.
• Mental well-being depends on the synergistic interaction between the individual and their
surrounding social systems (families, neighbourhoods, communities and broader society).
• Personal well-being develops when the individual’s physical and emotional health are fostered.
• Relational well-being depends on respect and appreciation for human diversity and for
collaboration and democratic participation.
• Collective well-being depends on community structures that provide a sense of community,
cohesion, formal support and social justice.

Protective factors and risk factors

As described in the previous section, the mental health of communities is
affected by social, economic, political and individual factors. e
relationship between these factors impacts on psychological well-being,
particularly on the nature, intensity and duration of mental health
problems and disorders. Risk and protective factors can exist at all levels
with influences operating at the individual, the interpersonal,
community and structural societal levels (Petersen, 2010).
Mental and behavioural disorders are formal categories as indicated
by the DSM-5 and the International Statistical Classification of Diseases
and Related Health Problems (ICD-10), and refer to conditions that are
characterised by alterations in thinking, mood or behaviour in vulnerable
individuals (American Psychiatric Association, 2014; World Health
Organization, 2007a). Mental health problems refer to those
psychological and social stresses that the majority of people experience,
but which lack the intensity and duration to be classified as a mental
disorder. Some individuals who are predisposed may develop mental
disorders, triggered by psychosocial stressors or biological imbalances,
whereas the majority are able to cope, to a lesser or greater degree, owing
to protective factors. ese protective factors could reside within the
individual or in the family or community.

26.3 FATAL INJURIES: THE NEED FOR PREVENTION AND

INTERVENTION
Source: Donson (2009)

Procedure
Information was collected as part of the National Injury Mortality Surveillance System (NIMSS)
developed by the Medical Research Council and the Institute for Social and Health Sciences of UNISA
This information was collected from 62 medico-legal laboratories in seven provinces in South Africa
during 2008 to determine the who, what, when, where and how of fatal injuries.

Results
A total of 31 117 fatal injuries were recorded by NIMSS, representing 39 to 52 per cent of all injury deaths
in the country. Of these, 78.4 per cent were male and 21.6 per cent were female. The majority of the
deaths from violence involved young adults (44 per cent) between the ages of 15 to 39 years. Homicide
was the major cause of death, accounting for 31.5 per cent of all deaths. Transport-related deaths
accounted for 29.4 per cent, suicide for 10 per cent and other unintentional or accidental injuries for
17.5 per cent. Sharp objects (13.6 per cent) were the leading cause of violent death, while firearms
accounted for 10.8 per cent of all cases. For children between 1 and 4 years of age, sudden infant death
syndrome was the major cause of death, and for children between the ages of 5 and 14 years,
pedestrian injuries were the major cause of death. Hanging accounted for 46.2 per cent of suicides,
poisoning for 17 per cent and firearms for 13.5 per cent, with over 4 male suicides for every female
suicide.

Findings
Fatal injuries, especially resulting from violence and transport accidents, constitute priority threats to
South African citizens. The NIMSS data lends itself to the formulation of injury prevention interventions
at national and community levels. Interventions within a public health model can be designed to
address some of the risk factors identified for potential victim groups.
Protective factors
Protective factors refer to those processes that promote resilience within
an individual and serve as buffers against the likelihood of developing
mental health problems. Petersen (2010) suggests that protective factors
are multifaceted, and include genetic aspects, as well as temperament,
physical health, interpersonal factors and broader societal aspects like
economic policy. Cowen (1994, p. 158) highlights five necessary strands
that enhance mental health and serve as protective factors against
mental illness:
• having and forming healthy and stable early attachments with
parents or the primary caregiver(s)
• developing age- and ability-appropriate cognitive and interpersonal
competencies
• exposure to positive settings and social environments that enhance
mental health
• creating empowering conditions that provide people with
opportunities to be in control of their lives and enhance decision
making
• developing the ability to deal effectively with the major stressors of
life.

Risk factors
Risk factors refer to all those characteristics or variables (biological,
psychological or social) that are associated with the vulnerability of an
individual to develop negative outcomes and the likelihood that these
outcomes will occur (Mash & Wolfe, 2002). However, it should be noted
that risk factors are not absolutes; an individual’s engagement with risk
processes could result in adaptive coping strategies to overcome the risks
and these processes could further serve as protective mechanisms
(Rutter, 1990). Petersen (2010) notes that by reducing risk and enhancing
protective factors, impairment in children can be limited and health
outcomes can be strengthened in adults of all ages.
 Biological risk factors refer to variables such as age, gender, organic
deficits and genetics. Studies of extended multigenerational families
indicate that most of the common severe mental and behavioural
disorders have a strong genetic component (World Health Organization,
n.d.).
Psychological factors refer to intrapersonal factors such as poor or
ineffective coping strategies in dealing with stressful life events. ese
could result in certain kinds of mental and behavioural disorders such as
depression or anxiety. Ainsworth and Bowlby (in Cowen, 1994) have
indicated the importance of secure attachment from birth to adolescence
for sound development and mental well-being. e chapters in Part 2
describe in detail how the absence of such nurturing relationships may
pose a threat to psychological well-being and restrict the foundations for
future development (Cowen, 1994).
Social factors include interpersonal, group, community and societal
factors such as the escalation of HIV/AIDS, urbanisation, rapid social and
technological change, racism, oppression, escalating levels of crime and
violence, gender violence and the lower status of women, poverty and
socio-economic status. ese factors are integrally linked to well-being
and could impact negatively on mental health (World Health
Organization, n.d.) leading to a wide range of social and psychological
consequences.
e World Health Organization (2000a) contends that, given the
multiple roles they play in society, women are at greater risk of
developing mental and behavioural disorders. Despite being an integral
part of the labour force and being the prime source of income for their
families, their status remains low worldwide. Research indicates that
people from low socio-economic status circumstances have a higher risk
for common mental health disorders (Patel, Araya, De Lima, Ludermir &
Todd, 1999). Further, violence against women has escalated and has
become a public health issue because of the devastating consequences
for women’s mental and physical well-being (Jewkes, 2002). us, the
mental health and well-being of women is linked to their status in society
and has a direct impact on human well-being and the prospects of future
generations (World Health Organization, 2000a).
 SUMMARY

• The mental health of communities is affected by social, economic, political and individual factors.
• Risk and protective factors can exist at all levels (individual, interpersonal, community and
structural).
• The DSM-5 and ICD-10 place mental and behavioural disorders into formal categories; most people
experience mental health problems at some stage in their lives, but these are less intense and of
shorter duration.
• Some people are more vulnerable than others to mental health disorder; this often depends on
protective and risk factors.
• Protective factors promote resilience and serve as buffers against the likelihood of developing
mental health problems.
• Risk factors are the biological, psychological or social variables that increase the vulnerability of an
individual to develop negative outcomes; some risk factors result in adaptive coping strategies and
thus serve as protective mechanisms.
• Women are at greater risk of developing mental and behavioural disorders due to their low status
in society and associated violence against them.

Mental health services in South Africa

In the past, mental health provision in South Africa was marked by racial
segregation, fragmentation and duplication. It has been described as
inadequate, inaccessible (particularly for rural communities),
inappropriate, discriminatory, and based largely on institutional
custodial care (Lazarus, 1988; Naidoo, 2000; Petersen et al., 2009).
Although access to health care has improved, the quality of health care
has fallen, compounded by significant public health challenges like
HIV/AIDS and TB (Health care in South Africa, n.d.).
e present inequalities of mental health provision still reflect broader
class, race, gender and urban–rural inequalities (Sukeri & Emsley, 2014).
Historical legacies are exacerbated by the sparse distribution of mental
health personnel such as psychiatrists, psychologists and social workers
within the public sector (Sukeri & Emsley, 2014). In South Africa, the
ratio of psychiatrists to patients is 1:130 500 whereas the equivalent ratio
in developed countries is 1:14 000. e ratio of psychologists to patients is
equally limited. In the Eastern Cape, a population of 6 527 747 is served
by 28 psychologists and 14 psychiatrists (Sukeri & Emsley, 2014).
 Most mental health professionals still work in private practice, while
those working in the public sector are unevenly distributed across the
provinces. Mpumalanga and the Northern Province are particularly
compromised in terms of mental health workers (Pillay & Petersen, 1996;
Pillay, Freeman & Foster, 1997). It is clear that the mental health needs of
black South Africans and disadvantaged communities have largely been
neglected (Naidoo, Shabalala & Bawa, 2003).
Furthermore, health intervention in South Africa has traditionally
been predicated on the biomedical model. erefore even mental health
care was predominantly hospital based with the emphasis on curative
relief of symptoms and medication as treatment (Sukeri & Emsley, 2014).
Mental health personnel were trained to deal with problems
experienced in developed countries, rather than on those that were
characteristic of a developing country (Kalisky, 1998). is set of factors
rendered mental health services in South Africa largely inappropriate to
the majority of South Africans, catering mainly for the privileged
minority. However, much has improved with regard to training,
especially in terms of trainee demographics and programme content
(Pillay & Kramers-Olen, 2014), although there are still criticisms that
professional psychology training in South Africa needs greater relevance
to the South African context (Nair, 2008).
e restructuring of mental health provision in post-apartheid South
Africa has therefore not occurred in a vacuum, nor from a level
foundation. To redress the inequities of the past, restructuring the
provision of mental health services required a two-pronged approach,
influencing both policy and practice. First, a new health strategy needed
to be drafted, reconciling the neglect and lessons of the past with current
needs and available resources. Second, new training strategies to deliver
the proposed new health system were needed.
When the new policy for restructuring health services in South Africa
was drafted, a broad-based approach rooted in primary health care and
driven by a human rights approach was adopted by the National
Department of Health in its Health Sector Strategic Framework (1999–
2004) (Department of Health, 2002). e intention was to provide access
to health care (for both physical and mental health) for all South Africans
at a community level. Mental health has also been defined more broadly
to include psychological health and well-being as well as mental illness.
However, Pillay et al. (1997) indicates that this has not yet resulted in
any major shifts in resources, or additions to the amounts allocated for
mental health services. Further, there is a concern that the added
integration of mental health services into the already overburdened and
under-funded primary health care system could further contribute to the
lack of detection and neglect of mental health problems. Also, primary
health care is essentially biomedically oriented and could perpetuate the
medicalisation of social problems and hence the marginalisation of
mental health (Nell, 1994).
An ongoing problem in health provision in South Africa is the ‘two-
level’ system incorporating an underfunded public health system with a
private health sector which caters for middle- and high-income earners.
In response to this, the South African government is working to
implement a national health insurance scheme, while also trying to
improve services and make health care affordable to all South Africans
(Health care in South Africa, n.d.)
Significantly, the watchdog of the health professions, the South
African Medical and Dental Council, was rationalised and renamed the
Health Professions Council of South Africa. is gave increased
independence and equity for professions such as psychology,
occupational therapy and physiotherapy, which were formerly accorded
a lower professional status in relation to medical disciplines by being
labelled supplementary health professions. Several of the health
professions have made adjustments to their training requirements and
have instituted compulsory community service before graduates will be
allowed to register with their respective professional boards.

The primary health care approach

e Health Sector Strategic Framework adopted by the Department of
Health (2002) adheres to a primary health care approach. e World
Health Organization and United Nations’ Children’s Fund officially
adopted a formal definition of primary health care in 1978 at a
conference in Alma Ata in the Soviet Union. According to the Alma Ata
Declaration (World Health Organization, 2000b), the primary health care
system of a country should be based on:
• accessibility and acceptability of health services
• priority given to those in need
• the presence of an integrated, functional and supportive referral
system
• levels of community participation in the planning and
implementation of health care.

e primary health care approach embraces the concepts of equity,

accessibility and appropriateness of services for the communities in
which they are rendered, focusing on the prevention and promotion of
well-being for individuals and families within the community context.
Interdisciplinary and intersectoral collaboration is encouraged, requiring
health professionals to work together with other health workers, agencies
and departments outside of the health sector when appropriate. e
government’s public health strategic framework strongly motivates for
the principles of primary health care to be implemented via the public
health service.

Mental health structures within the public health

service
In the Health Sector Strategic Framework (Department of Health, 2002),
the public health service is based on a district health system that operates
on a three-tier system. e primary tier consists of community-based
clinics that are the primary site of health services (including mental
health services). ese primary health care clinics are usually staffed by
nurses. On a secondary level, the community is incorporated into a
district such as the Boland, which has one district hospital. e third tier
consists of a tertiary academic hospital, like Lentegeur Psychiatric
Hospital in the Western Cape. When mental health problems become too
severe to be dealt with at a primary care level, primary care nurses
usually refer patients to subsequent tiers in the health system. A cyclical
 referral process is envisaged whereby individuals who have been assisted
at a tertiary level, once stabilised, are discharged into their communities
for ongoing maintenance and support (Department of Health, 2002).

SUMMARY

• South Africa has a long history of unequal and fragmented provision of health care, based largely
on a biomedical approach.
• The country faces major health care challenges, including the burden of disease and limited
physical and human resources.
• In particular, the mental health needs of black South Africans and disadvantaged communities
have been neglected.
• In restructuring health care services, the government has paid attention to new strategies for
resource use and for training; these are rooted in a primary health care approach. However, mental
health care remains problematic.
• The status and independence of psychology as a profession were enhanced by the formation of
the Health Professions Council of South Africa.
• The primary health care approach is based on the Alma Ata Declaration; it emphasises equity,
accessibility and appropriateness of services for the communities in which they are rendered and
focuses on prevention of disease and promotion of well-being.
• The public health service is based on a district health system that operates on a three-tier system
comprising health care clinics (primary level), district hospitals (secondary level) and academic
hospitals (tertiary level).

Community mental health

Community mental health is practised largely at the primary care level in
communities within the public health system, and incorporates both
curative and preventive interventions. Community mental health can be
conceptualised as a multifaceted approach. In this approach,
intervention strategies extend beyond traditional methods, that focused
exclusively on the individual, to include interventions such as life skills
training and advocacy, which are aimed at preventing mental health
problems and enhancing psychological wellness. Not only are
individuals targeted for intervention but also groups, organisations and
even the whole community in a given geographical location. ese
strategies draw on local resources and strengths to facilitate capacity
building and empowerment within communities. ese communities are
helped to implement the programmes that they have decided they need.
ese initiatives are therefore not only geared to alleviate mental illness
but also to promote mental health, to prevent mental health problems
and to facilitate broader systemic change. Caplan (1964) differentiates
between primary, secondary and tertiary levels of intervention:
• Primary prevention ensures that people without psychiatric
symptoms remain healthy. Interventions at this level are targeted at
improving support for individuals, either in terms of resources or
coping skills, and are intentionally focused on promoting well-being.
An example of such an intervention would be the implementation of
life skills programmes for all learners in schools.
• Secondary prevention assists individuals who are vulnerable or at
risk of developing mental health difficulties to remain symptom free.
Early intervention is essential in this context. Early school
programmes that concentrate on assessment and identification of
behavioural and cognitive difficulties, with the intention to intervene,
typically fall into this category.
• Tertiary prevention aims to ensure a positive quality of life for
individuals who already suffer from a mental disorder or condition.
Psychosocial rehabilitation of psychiatric patients is a good example
of tertiary prevention. In this regard, psychiatric patients typically
receive rehabilitation with regard to employment opportunities, living
circumstances and personal care. While curative and preventive
interventions have been viewed as mutually exclusive, theorists and
practitioners are increasingly advocating that these interventions
should take place concurrently and complement each other (Naidoo
& Van Wyk, 2003; Scileppi, Teed & Torres, 2000).
Figure 26.4 The mental health intervention continuum

A model of community intervention

Lewis et al. (2003, p. 31) propose a useful way of conceptualising mental
health service delivery in a community that highlights both the multiple
levels of intervention and the expanded roles envisaged for psychologists
working in communities.
is model differentiates between direct and indirect services, and
between community and patient services, yielding four distinct
components that represent different service modalities (see Table 26.1):
• Direct community services. ese services provide educational
experiences aimed at the community as a whole and are preventive in
their intention and objective. e mental health practitioner is
typically involved in preventive psycho-education initiatives such as
implementing HIV life skills programmes.
• Direct patient services. ese services are directed at individuals
who have actively sought help and have been identified as
experiencing problems or who are at risk of developing future mental
health problems. Examples of specific services used in this
component include counselling and outreach to vulnerable
individuals in the community. is component of intervention is
usually implemented within traditional modes of psychological
intervention.
• Indirect community services. ese services and interventions
involve efforts intentionally designed to make the social environment
more responsive to community needs. In promoting these types of
constructive changes, the mental health practitioner collaborates
with key community role players in targeted areas to cultivate positive
systemic changes, typically by influencing public policy. Initiatives to
modify or change the social environment that contributes to poor
mental and physical health are central to this role. For example,
psychologists can engage with community groups to argue for
legislation assisting young girls to return to school after a teenage
pregnancy. eir increased levels of education may increase their
 employability, which in turn will contribute to their psychological
wellness.
• Indirect patient services. Services and interventions in this
component include those environmental interventions that are
aimed at meeting the special needs of people presenting with mental-
health disorders or who may be at risk. Services are primarily aimed
at creating new helping networks by providing consultation and
patient advocacy assistance to people and agencies within the areas
where patients live. By facilitating patients’ use of their own personal
power as well as resources and networks within their community, the
mental-health practitioner assists patients in helping themselves. A
typical example of an intervention within this component is the
provision of support groups to overburdened primary-health-care
staff suffering from burnout. By providing this intervention,
psychologists indirectly assist the nurses’ patients, and are therefore
able to provide an improved quality of service to the community
(Lewis et al., 2003:49).
Table 26.1 Model of intervention in communities

Community services Patient services

Direct Preventive education Counselling (individual)
Indirect Influencing public policy Consultation/advocacy

In integrating these four components into a unified complementary and

interdependent framework, mental health practitioners can begin to
conceptualise the types of interventions appropriate for the purpose in
mind. Such a comprehensive helping framework will necessarily
embrace both ameliorative (healing) and transformative (change-
promoting) agendas. is framework should include a range of
interventions ranging from curative and remedial services to
programmes predominantly focusing on prevention, health promotion
and social change. It should also provide a continuum of care where
values such as empowerment, participation and social justice can be
incorporated into a primary health care approach (see Figure 26.4).
 SUMMARY

• Community mental health is practised largely at the primary care level in communities within the
public health system, and incorporates both curative and preventive interventions.
• Interventions are aimed at individuals, groups, organisations and even the whole community.
• Intervention can be at primary, secondary or tertiary level:
» Primary prevention aims to keep people without psychiatric symptoms healthy.
» Secondary prevention targets individuals who are at risk of developing mental health difficulties,
helping to keep them symptom free.
» Tertiary prevention aims to ensure a positive quality of life for individuals who already suffer from a
mental disorder or condition.
• Lewis et al. (2003, p. 31) developed a model of community intervention which differentiates
between direct and indirect services, and between community and patient services:
» Direct community services involve prevention interventions aimed at the community as a whole.
» Direct patient services are for individuals who have sought help and have been identified as
experiencing problems or who are at risk of developing future mental health problems.
» Indirect community services involve efforts to make the social environment more responsive to
community needs.
» Indirect patient services aim to meet the special needs of people presenting with mental health
disorders or who may be at risk.
» This comprehensive framework for intervention assists in developing appropriate curative and
remedial interventions.
26.4 EFFECTIVENESS OF INTERVENTION PROGRAMMES
There is a clear need for mental health prevention interventions, especially those aimed at children and
young people (Albino & Berry, 2013). It is, however, essential to evaluate prevention programmes to
ensure that they are achieving their goals in a cost-effective manner. Patel et al. (2007) noted that
interventions to prevent mental disorders had been widely found to be effective. However, of over 11
000 trials identified by these authors, fewer than one per cent involved low-income countries and only
10 per cent involved low- and middle-income countries. Thus, Patel et al. (2007) focused their study on
low- and middle-income countries. They found that ‘some trials of interventions for prevention of
depression and developmental delays in low-income and middle-income countries show some
beneficial effects’ (Patel et al., 2007, p. 991). However, there was insufficient evidence for interventions in
the wake of disasters and for developmental disabilities. There is thus a need for more research in these
areas. Notwithstanding these findings, Patel et al. (2007) argue that policymakers should scale up
prevention interventions that have proven effective as well as cost effective.
Durlak and DuPre (2008) note that designing effective interventions is only useful if these are
transferred successfully into real-world settings and effectively maintained. Thus, these authors
investigated the role of implementation factors on programme effectiveness. Durlak and DuPre (2008)
analysed 542 reports of prevention and health promotion interventions and found strong support for
the idea that the level of implementation affects programme outcomes. They identified ‘at least 23
contextual factors that influence implementation’ (Durlak & DuPre, 2008, p. 327). These factors related to
the communities and providers involved, the functioning of the programme delivery system, and the
training and technical support provided to the programme. Durlak and DuPre (2008) concluded that it is
essential for evaluations of programmes to collect data concerning the implementation factors.

Conclusion
Since 1994, South Africa has adopted a health system that focuses predominantly on primary
health care, creating new challenges to the health professions for the delivery of health services
Seen from the perspective of the country’s 1996 constitution, the provision for optimum mental
health needs is considered to be the right of all individuals and communities in South Africa. How
to foster and achieve this basic right is a challenge for government, mental health professionals,
community role players and the private sector, who should all form collaborative partnerships.

KEY CONCEPTS

behavioural markers: the marker characteristics that come about as

a result of chance combinations of organismic, familial, community
and societal elements, and refer to actions such as the ability to work
productively and form sound interpersonal relationships
biomedical model: a model of health care that primarily focuses on
the treatment of physical signs and symptoms of mental illness
bio-psychosocial approach: a model of health care that calls for a
more holistic and integrated view of well-being
collective well-being: within an ecological model of development, a
domain of well-being that is fostered when community structures
facilitate the pursuit of personal and communal goals, providing a
sense of community, cohesion and formal support
direct community services: a service modality that provides
educational experiences aimed at the community as a whole, which
are preventive in their intention
direct patient services: a service modality that is directed at
individuals who have actively sought help, and have been identified
as experiencing problems or who are at risk of developing future
mental health problems
indirect community services: a service modality that involves efforts
intentionally designed to make the social environment more
responsive to community needs
indirect patient services: a service modality that includes those
environmental interventions that are aimed at meeting the special
needs of people presenting with mental health disorders or who
may be at risk
personal well-being: within an ecological model of development, a
domain of well-being that is fostered when the necessary conditions
for the protection of an individual’s physical and emotional health are
ensured, and when self-determination and personal growth are
promoted
primary health care: an approach to health care that embraces the
concepts of equity, accessibility and appropriateness of services for
the communities in which they are rendered, focusing on the
prevention and promotion of well-being for individuals and families
within the community context
primary prevention: a level of intervention that ensures that people
without psychiatric symptoms remain mentally healthy
 protective factors: those processes that promote resilience within an
individual and serve as buffers against the likelihood of developing
mental health problems
psychological markers: the marker characteristics that come about
as a result of chance combinations of organismic, familial,
community and societal elements, and which include processes such
as having a sense of purpose and belonging, self-efficacy and control
over one’s fate
relational well-being: within an ecological model of development, a
domain of well-being that focuses on the promotion of respect and
appreciation for human diversity and for collaboration and
democratic participation
risk factors: those characteristics or variables (biological,
psychological or social) that are associated with the vulnerability of
an individual to develop negative outcomes and the likelihood that
these outcomes will occur
secondary prevention: a level of intervention that assists individuals
who are vulnerable or at risk of developing mental health difficulties
to remain symptom free
social factors: those interpersonal, group, community and societal
factors that could impact on mental health
tertiary prevention: a level of intervention that aims to ensure a
positive quality of life for individuals who already suffer from a
mental disorder or condition

EXERCISES

Multiple choice questions

1. Which of the following statements describe(s) the biomedical model?
a) It focuses on biological causation.
b) It stresses remedial treatment.
c) It emphasises diagnoses.
d) All of the above are correct.
2. e separation of mind and body is characteristic of:
 a) the holistic view of well-being
b) the bio-psychosocial model
c) community mental health
d) the biomedical model.
3. Which of the following statements is false?
a) e ability to form sound relationships is a positive behavioural
marker.
b) Having a sense of self-confidence is an example of a positive
psychological marker.
c) Risk factors cannot serve as protective mechanisms for the
individual.
d) Protective factors serve to buffer the individual against mental
illness.
4. Which one of the following is an example of tertiary intervention?
a) a life skills programme for all Grade 7 learners
b) providing free condoms in public toilets
c) helping discharged psychiatric patients adjust to living in the
community
d) referring learners with attention problems for assessment.
5. According to the model proposed by Lewis et al. (2003), which of the
following is correct?
a) Individual counselling is an example of an indirect client service.
b) Advocacy is an example of a direct client service.
c) Running an AIDS-awareness programme is an example of a direct
community service.
d) Influencing public policy is an example of an indirect client
service.
6. Which of the following is NOT emphasised in the Alma Ata
Declaration?
a) the presence of an integrated, functional and supportive referral
system
b) priority to be given to tertiary intervention
c) accessibility of health services
d) community participation in planning and implementation of
health care.
7. In Lewis et al.’s (2003) intervention model, direct community service
is most similar in focus to Caplan’s:
a) primary prevention
b) secondary prevention
c) tertiary intervention
d) both b and c are correct.
8. Which of the following statements contradicts Prilleltensky and
Nelson’s (2002) notions of wellness?
a) Wellness is attained only when there is the satisfaction of personal
needs.
b) Relational wellness is dependent on how social needs are met.
c) Collective wellness is fostered when vital community resources
are established.
d) Personal wellness is fostered when self-determination and
personal growth are promoted.
9. __________ refer to those processes and characteristics that serve as
buffers against mental illness.
a) Risk factors
b) Protective factors
c) Psychosocial stressors
d) Environmental factors.
10. Lewin’s formula (B = f(P × E)) emphasises:
a) the biomedical model
b) the internal and external determinants of mental health
c) the Cartesian split
d) the need for assessment using the ICD-10.

Short-answer questions
1. Discuss mental health within an ecological framework, with special
reference to those factors that promote and impact negatively on
mental health. Provide appropriate examples to elaborate your
answer.
2. How would you as a psychology student use the wellness wheel to
promote improved mental health among people in your community?
3. Discuss the nature of protective factors and risk factors in your
community that could promote or impede mental health. Provide
appropriate examples in your response.
4. Discuss a model of community mental health intervention in South
Africa with illustrative examples.
5. Critically discuss the primary health care approach as a means of
providing mental health services to all South Africans.

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 PART 9

Organisational psychology
 Introduction
Loraine Townsend

This part consists of one chapter that deals with the large topic of
organisational psychology. This has historically been conceptualised as a
sub-discipline of psychology that focuses on individuals and groups at work
within an organisational context. This chapter charts the history of the
discipline and demonstrates how its origins are intricately linked to the
history of work and the emergence of factories and organisations, as well as
the evolution of work in the era of industrialisation that followed the
industrial revolution. Industrial psychology has traditionally focused almost
exclusively on research intended to improve the efficiency, effectiveness and
productivity of organisations. However, this chapter endeavours to make a
case for a more enlarged conception of the discipline’s purpose, research
and interventions.
 Organisational
CHAPTER
psychology 27
Dean Isaacs, Shaida Bobat & Jill Bradbury

CHAPTER OBJECTIVES
After studying this chapter you should be able to:
• understand the history of organisational psychology
• explain the various influences on the discipline of organisational psychology
• present an account of some debates and challenges in the field
• explain what organisational psychologists can do.

CASE STUDY

Melinda loved her job at the local bookshop. As long as she could remember, her mother had read
stories to her before going to sleep at night. She knew that that was why she loved reading so
much, and consequently why she had managed to get to university when so many of her friends
had not been so lucky. Even as a young child she remembered that she often preferred to have her
nose in a good book to watching television with her brothers and sisters.
At the bookshop she often dipped into the new books before packing them on the shelves. She
knew that this was taking time from her job, but when customers sought her out (rather than any
of the other staff or even her manager) to ask about the new arrivals, she was delighted. She
worked really hard and diligently because she really loved what she did, and she was sure that she
contributed to sales by being so informed about the many books in the shop.
She was really hurt and angry when her manager told her that she would have to work overtime
to, as he said, ‘make up for the time wasted reading the new books’. She began to notice that the
manager employed similar strategies with the other staff, trying to squeeze extra effort out of
them, and manipulating them to work even harder. One day she was packing out a new book on
how to make employees work harder without paying them more, and she couldn’t help wondering
if her manager had read it already.
When Melinda saw that her psychology course had a section on organisational psychology, she
was less than enthusiastic about studying it as she thought it would be about how to manipulate
workers. She was really pleased to find out that as a field it could be quite critical of such
management approaches, and she was tempted to suggest to her manager that he read the
chapter.
Introduction
e discipline of psychology may be generally defined as the study of
people’s behaviour and mental processes, and the theories of
organisational psychology are specifically focused on understanding
these psychological phenomena in a particular context: the world of
work. erefore, organisational psychology has historically been
conceptualised as a sub-discipline of psychology that focuses on
individuals and groups at work within an organisational context. While
work can take many different forms, the capacity to work or actively
transform our world through our labour is a distinctive human trait,
which separates us from other kinds of animals. Work is thus a central
feature of human existence.
e industrialisation of work provided the impetus for the scientific
study of human behaviour in the workplace. As a result of the subsequent
relationship between industry and psychology, the discipline was
initially called industrial psychology. Although the discipline is often still
referred to in this way, a broadening of the scope of the discipline in the
last few decades, and the changing nature of work in contemporary
times, have seen a shift to the now preferred term of organisational
psychology. However, as many of the older texts still refer to industrial
psychology, the terms organisational psychology and industrial
psychology are used interchangeably in this chapter.
Since its inception in the early 1900s in parts of Europe and the US,
organisational psychology has engaged with the world of work in two
interrelated ways: theory and practice. In the development of theoretical
explanations for the behaviour of people at work, the questions that
interest us are often of interest to ordinary people too. For example,
which kinds of people are best suited to which kinds of job? What
motivates people to work hard? Why are some people more vulnerable to
stress? What kinds of people make good leaders? What factors make for a
comfortable working environment? Is a person’s personality type a
determinant of how good they are at their job? Is the job interview as a
selection device a valid predictor of future performance in a job?
 However, as with psychology in general, organisational psychology
makes use of scientific methods to investigate these issues and to
generate theoretical explanations. Using methods such as tests,
questionnaires and interviews, or even naturalistic observation or
experimentation, organisational psychologists collect information.
Analysing the data then enables the psychologists to make general claims
that can be applied to explain the behaviour of other people in similar
contexts. Very often the development of these theoretical accounts is
linked with other psychological theories or perspectives (e.g.
evolutionary explanations of competition and cooperation, theories of
personality types, psychometric measures of intelligence, and social
psychology’s accounts of group behaviour).
Because organisational psychology is interested in a particular
context, theories often have a very direct application and practical use
(e.g. to improve organisational structure and design, motivate employees,
select and train leaders and managers, improve communication, or
increase job satisfaction). Organisational psychologists often work with
other professionals in the workplace, addressing these applied problems
and, in the process, may contribute further to our theoretical knowledge.
e practice of organisational psychology may sometimes seem to be
no more than a tool to make organisations more efficient. Some critics of
the discipline have argued that, historically, organisational psychology
has tended to ignore the welfare of the individual doing the work, and
focused more explicitly on managerial issues such as productivity and
effectiveness, leadership, selection and training (Parker, 2002). However,
the interests and needs of individual workers should also be advanced
and met through the applications of psychological theories, particularly if
one considers that part of the project of psychology, and contained
within the ethical codes of the various bodies that regulate the
professional component of the discipline, is the expressed intention of
improving the welfare of human beings.

A history of work
e idea that there is a special environment reserved only for work
activities, separate from other aspects of our life, is a fairly recent
historical development. A brief history of the emergence of factories and
industrial organisations provides some understanding of how the
relationship between people and work has evolved. is is important as it
also provides a context within which organisational psychology emerged
and gained credence as a scientific discipline able to study human
beings, organisations and work, and able to provide solutions to the
problems associated with industry and organisations.
ere are identifiable phases in the history of work with the most
significant development being the rise of industrialisation in the late
1700s (see next section). is view of historical phases associated with
different forms of work is consistent with a Marxist analysis of the
structure of society. Karl Marx (1818–1881) spent the latter part of his life
in England, writing at a time when industrialisation was spreading
rapidly throughout Europe. Marx argued that societies pass through
stages, each stage characterised by a different mode of production (or
different forms of work) by which people maintain and reproduce
themselves. Marx identified five main modes of production, each
associated with a different historical era. According to Reiss (1997), these
are as follows:
• primitive communism (associated with hunter-gatherer tribes and
simple agriculture)
• Graeco-Roman slave states
• feudalism
• capitalism
• socialism.

According to Marx’s analysis, every mode of production includes specific

forces of production, which are all the things that are necessary for
production to occur. e mode of production, or the ways in which the
forces of production are organised, will necessarily have a direct and
determinant effect on the ways in which people relate to each other, or
the relations of production (Craib, 1997). According to Marx, the modes
of production largely determine the way in which society’s laws and
institutions are organised; thus, when patterns of work change, then
society and the relationships between people change too.
Economic phases, such as those suggested by Marx, describe the
forms of work and social relationships that pertained in Europe during
different historical periods, but of course these phases are not completely
distinct from one another and do not occur at the same speed across the
whole world. At present, work takes multiple forms around the globe.
Although economic systems throughout the world are now
interconnected, subsistence farming, mass-production factories and
information technology co-exist in the same time frame. Nevertheless, it
is from the West’s history of industrialisation that the practice of
organisational psychology emerged.

The roots of industrialisation

e antecedents of industrialisation lie in the harnessing of natural
resources during medieval times (AD 1000–1750). During this era, wood
was the main material used for any construction, as well as being the
main fuel source. Although wind and water were the main power
sources, animal power was also harnessed during this period. However,
the most significant feature of this era was the emergence of towns as
centres of commercial endeavour. is occurred for a number of reasons.
In the early stages of this phase, Europe was emerging from the period
now commonly called the Dark Ages (for its perceived lack of culture
and technological progress). During the Dark Ages, the characteristic
form of community was the village, dominated and protected by the
castle of the feudal lord. A feudal lord was a landowner who allowed
people without land to live on his land in return for their service.
Around AD 1000 a new class of people emerged, bringing about an
economic revolution. ese people were merchants who set up trading
centres and locales of commercial endeavour. ese locales evolved into
towns, where the authority of feudal lords was not a factor. Peasants, who
previously worked in the service of the feudal lord, were attracted to work
in these emerging towns. By AD 1300, almost half of the peasants had
been freed from the feudal system and had migrated to these centres of
commerce and industry. e foundations of the modern city were being
put in place. us it was in the medieval phase that human beings began
to sell their labour to others in exchange for payment.

Figure 27.1 During the medieval period, people identified strongly with their work

The industrial revolution: transforming work and

society
Resultant changes in social patterns and relationships together with new
technological developments, particularly the invention of steam power,
provided the impetus for industrialisation and the emergence of the
factory system. is entailed the concentration of capital (machines,
goods, land, money and services used to produce commodities) and
labour in central locations under the ownership and control of powerful
individuals.
 ere had been few factories prior to this period, although there were
some, such as the print works at Nurnberg in Germany where
approximately 120 people were employed. However, from the early 1800s
onwards, the use of steam power and other subsequent technological
inventions meant that the factory system became increasingly dominant
across Europe and the size of these industrial units began to grow
steadily. Individual owners found it increasingly difficult to secure
sufficient finances to set up and maintain these large industrial units,
leading to the emergence of corporations (groups of owners), who
pooled their resources for joint ownership. Simultaneously, workers, who
previously had been isolated in smaller units, began to work together in
larger numbers and began to formalise relationships among themselves,
unionising in order to protect themselves against the worst forms of
exploitation.
ese new developments in the relations between people in the
context of work can be broadly understood using the Marxist concept of
class. e industrial mode of production produces two primary classes:
capitalists or bourgeoisie (who own the means of production – land,
factories, raw materials and machinery) and the working class or
proletariat (who own nothing but their labour power). e working class
must, therefore, sell their labour power to the capitalists.
Marx argued that in the industrial era, labour became a commodity
just like any other good or service. us, not only were the products of
human labour turned into commodities that were bought and sold for
profit in an emerging market, but human labour itself became a
commodity, and labour power was bought and sold for a wage. At the
same time the products of human labour became the property of
capitalists who sold these for a profit, in contrast to previous times when
the products of human labour remained the property of those who made
the items.
As a result, according to Marx’s analysis, the capitalist mode of
production creates its own distinctive class structure, resulting in a
system where, according to Reiss (1997), the wealth-creating enterprises
are privately owned by the few, and most people have to sell their labour
power and work for the capitalist class.
27.1 KARL MARX’S CONCEPT OF ALIENATION
Source: Craib (1997) and McLellan (1975)

According to Marx, the commodification of labour has dire consequences for the working classes
resulting in what he referred to as ‘alienation’. The concept of alienation suggests that workers in a
capitalist society become impoverished and dehumanised. This alienation has four aspects to it:
Workers become alienated from the products of their labour. They lose control over what they produce
as it is owned by the capitalist who buys their labour power. Thus, workers relate to the product of their
labour as to an alien object.
Workers experience alienation from the process of production and the labour process, as labour as a
creative process falls under the control of the factory owners or capitalists who control every aspect of
production.
Workers experience alienation from themselves, as they become increasingly separated from their
creative ability.
Workers become alienated from each other as the productive process separates them and turns work
into an increasingly individual endeavour.
Figure 27.2 Karl Marx
 27.2 THE ECONOMIC THEORY OF LAISSEZ-FAIRE AND ITS
ASSUMPTIONS ABOUT HUMAN NATURE
Adam Smith’s theories about the economy, society and human beings popularised the notion of laissez
faire (which means ‘let be’ in French). This is the belief that the economy and the market operate most
efficiently when there is no interference by government or anyone else. The laissez-faire approach is
based on the following assumptions about human beings:
People are rational, and make rational choices to maximise their welfare and satisfy their needs.
People are naturally competitive, basically self-interested, and concerned with their own individual
survival.
People’s selfish pursuit of their own interests is the engine that energises the market economy.
People are naturally lazy, find work distasteful, and will only work enough to sustain themselves – and
therefore need an incentive to work even harder.

A modern industrial world

e industrial revolution transformed work and society, creating the
modern world of the 20th century. e industrialisation of work was
extended in two important ways during the last century: the emergence
of mass-production techniques and the application of scientific methods
to the organisation of work.

Mass production, also called Fordism owing to its popularisation by

Henry Ford in the car manufacturing industry, became the modus
operandi of most factories, as employers sought to specialise and
organise workers for a common task. e emergence of such large-scale
enterprises resulted in the application of new bureaucratic principles in
the organisation of these large organisations.
One of the scientific theories that were influential during the later part
of the industrial world was Darwin’s theory of evolution. e key tenets of
the theory are that, in a context of competition, natural differences
between members of a species will give some an advantage over others
and only the fittest will survive. is theory was distorted into a form
termed ‘Social Darwinism’, which was used to explain and justify why
some people were relatively wealthy and why others were indigent. Many
industrialists, economists and social theorists of this time embraced both
Social Darwinism and a laissez-faire approach to economics.

An emerging post-industrial world

At the start of the 21st century, the global dynamics of market forces are
currently evident as governments around the world embrace
macroeconomic policies that encourage free markets and free
competition between individuals and countries. In addition, further
technological developments, particularly computerisation and the
internet, have had an enormous impact on contemporary patterns of
work, shifting the emphasis from large-scale industrial manufacturing to
information technology and service-based economies. ese
developments in the world of work have once again had repercussions
for people and the relations of power between them, producing new
opportunities for some while further disadvantaging others. ese
changing macroeconomic realities have given rise to the notion of an
emerging post-industrial world.
In 1974, Daniel Bell posited the notion of a post-industrial society that
would radically alter work, organisations, the organisation of work, and
the relationship between employer and employees. Bell suggested that
society would move away from a focus on manufacturing (where the
economy is based on the production of goods in factories), towards a
focus on the provision of services (such as financial services, transport
services, communication, entertainment, and so on). Bell’s prediction
has largely been realised in many developed countries. In the US,
manufacturing jobs are disappearing fast, as more and more people
become employed in the so-called services sector.
e emergence of service-based economies in post-industrial
societies has had widespread implications for the way in which work gets
done, the way organisations are structured, and how people live:
• A reduction in the size and number of factories where goods are
produced is resulting in many jobs being lost in the manufacturing
sector.
• New classes of workers are emerging (e.g. a service class of
professionals and managers who are employed purely in activities
that are service based).
• e powers of governments in the arena of economic policy are being
reduced as businesses and multinational corporations begin to
determine the economic policies of the countries in which they are
located.
• e globalisation of markets is occurring as capitalism becomes
entrenched in the developing world.

e meaning of work has also changed significantly in the post-industrial

world (Schreuder & Coetzee, 2006). ere is an increased emphasis on
flexibility, self-employment and entrepreneurship. As a result of the
challenges of workplace transitions, more people are seeking a sense of
purpose in their work (Schreuder & Coetzee, 2006) along with a desire to
do ‘good work’ (Landy & Conte, 2010). is is work that requires expertise
but which is mindful of the implications for the wider world.
e theories and practices of organisational psychology have had to
adapt and change to accommodate and reflect the changing nature of
work and organisations.
 SUMMARY

• Work as a separate aspect of life is relatively recent. There have been phases in the history of work;
the most significant was the industrial revolution.
• Marx identified five modes of production, each associated with a different historical era. Mode of
production influences relations of production in society and between people.
• Industrialisation grew out the harnessing of natural resources during medieval times (AD 1000–
1750). Towns emerged as centres of commerce where merchants set up trading centres. In the
early mediaeval phase, many peasants left the fuedal system and began to sell their labour to
others in exchange for payment.
• From around 1800, technological developments led to industrialisation and the emergence of the
factory system. Labour fell under the control of corporations of powerful individuals. Workers also
began to unionise to protect themselves from exploitation.
• According to Marx, these developments led to the two primary classes, still in existence today:
capitalists or bourgeoisie (who own the means of production) and the working class or proletariat
(who own nothing but their labour power). Labour thus became a commodity just like any other
good or service. This led to alienation on the part of workers.
• The industrial revolution led to the emergence of mass-production techniques and the application
of scientific methods to the organisation of work. Social Darwinism was used to justify why some
people were relatively wealthy and others poor.
• The 21st century has seen major changes in the world of work. These include free market policies
and further technological developments.
• Thus the emerging post-industrial world has moved away from a focus on manufacturing towards
a focus on the provision of services.
• These changes have led to shifts in the meaning of work.
• Organisational psychology has had to adapt to accommodate the changing nature of work and
organisations.

A history of organisational
psychology
The early years: scientific management
Psychology began to make its presence felt in industry in the early part of
the 20th century. A study by W. L. Bryan (1904) focusing on the manner
in which professional telegraphers developed the skills to send and
receive. Morse code is an early example of these efforts to apply the
knowledge and methods of psychology to the domain of work.
Also in the early 1900s, Frank Gilbreth, a bricklayer who became a
building contractor, improved the methodology of construction by
streamlining the routing of materials and eliminating needless
movements (Moore & Hartmann, 1931). In 1915 Frank was joined by
Lillian Gilbreth and they used experimental methods to do time-and-
motion studies in the workplace to find out the most efficient ways to
complete tasks. ese time-and-motion studies involved a close
examination of a particular job in order to eliminate any unnecessary
movements so as to minimise inefficiency and time wasting.
e next major contribution to the field of industrial and
organisational studies was by Frederick Winslow Taylor, who was an
engineer. Taylor was largely responsible for many of the practices that
became standard within most big factories throughout the 1900s. He was
a senior engineer in the Midvale Iron Works factory in the US and
occupied his time trying to discover more efficient ways of completing
tasks. Taylor was all too aware that inefficiency meant money lost and he
applied his mind to removing all inefficiency from the workplace. e
specific target of his endeavours was the manual labourer employed in
the factory (Moorehead & Griffin, 1995).
Taylor knew that if he could develop a way of establishing the
maximum amount of work a person could reasonably complete in a
given time, he could find a standard for everyone. Workers could then be
assessed according to this standard, which would enable employers and
managers to determine their efficiency and output. Taylor also knew that
if the work was optimally organised, the output of each worker could be
increased without any increased expenditure of energy or effort.
Optimally organised work is based on an analysis of a particular task for
the purposes of finding the single best and most efficient way to do it.
Every labourer is then trained to do the job in this way, thereby
maximising efficiency, and increasing the worker’s wages (Muchinsky,
2006).
Taylor formulated the following basic principles of scientific
management, which are still upheld in many of today’s factories and
places of work:
• Select the best people for the job.
• Instruct (train) them in the most efficient methods and the most
economical movements to employ in their work.
• Give incentives in the form of higher wages to the best workers.

e success that Taylor had in demonstrating to managers the

importance of the human element in productivity led to the entry of
psychologists into the human dimension of work. Psychologists thus also
believed that through this emphasis, they could assist in raising
productivity and increasing efficiency. In this way, the profession of
industrial psychology was born (Beder, 2000).
Despite Taylor’s contributions, Hugo Munsterberg is commonly
regarded as the founder of industrial psychology. He was the first trained
psychologist to apply traditional psychological methods to practical
industrial problems, and he shared many of Taylor’s views.
Munsterberg’s work provided insights from psychology for three aspects
of workplace practice: selecting workers, designing work situations and
using psychology in sales.
Munsterberg started a long tradition of psychologists offering their
services as business efficiency consultants. In 1913 he published
Psychology and industrial efficiency, which was regarded by many as the
first book on industrial psychology and which influenced all future
industrial psychology. e book was a result of his services as a
consultant to the Boston Elevated Railway Company, where he engaged
in studies on trolley-car operators and ways of reducing accidents,
selecting employees and improving performance (Moore & Hartmann,
1931).
Adopting the principles of scientific management, factories around
the world began:
• employing scientifically developed, standardised methods for
performing each job
• installing a piece-rate pay system in which each worker was paid for
the amount of work completed in a day, not for the time spent on the
job
• paying bonuses to those workers who exceeded the daily standard.
Scientific management rapidly emerged as standard workplace practice
and paved the way for an era of job specialisation and mass production,
greatly increasing productivity and efficiency.
Although, in some senses, the results of scientific management
practices were impressive, from the beginning the approach was beset by
many problems. Most important of these was the resistance of workers
who resented attempts to get more out of them (Muchinsky, 2006).
Workers opposed Taylor’s methods on the grounds that scientific
management’s explicit goal was to extract the maximum output from
workers, and some argued that Taylor’s incentive scheme dehumanised
workers, reducing them to machines and further alienating them from
the production process. One of the ways workers resisted his methods
was by ‘soldiering’ (Moorehead & Griffin, 1995). Workers would agree
that they would all work at a rate considerably slower than they were
capable of. People who worked faster than this rate were called ‘rate
busters’ and they were placed under considerable pressure by other
workers, or faced being ostracised (Moorehead & Griffin, 1995).
Although many of the principles Taylor advocated are still found
operating in factories around the world, subsequent theorists and
practitioners (e.g. Douglas McGregor and Abraham Maslow) recognised
that Taylor’s views of employee motivation were inadequate and narrow.
e assumptions that people are lazy, selfish and naturally competitive
have, therefore, been challenged, and management practices today
increasingly recognise that efficiency will only be enhanced by
responding to workers’ motives and engaging their cooperative
tendencies as much as any natural competitiveness. Newer approaches
to management (e.g. organic structures, team-based organisations and
clan-based organisations) have embraced non-competitive values to
further facilitate cooperation and have used this for enhancing efficiency.

The professionalisation of organisational

psychology
During World War I, many American psychologists believed that
psychology had an important role to play in the war effort. e main foci
were screening recruits for mental deficiency and assigning selected
recruits to appropriate jobs in the army. Psychologists also investigated
different aspects of military life, namely morale, psychological problems
of physical incapacity, and discipline.

Figure 27.3 Placement of soldiers was based on their test results

Robert Yerkes and other psychologists reviewed a series of general

intelligence tests and subsequently developed a test called the Army
Alpha, which tested general intelligence and literacy. e Army Beta test
was then developed to accommodate the 30 per cent of all recruits who
were found to be illiterate after doing the Army Alpha test. At the same
time that Yerkes was developing these tests, Walter Scott was doing
research into the best placement methods for classifying and placing
enlisted soldiers into various areas of the army. He conducted
performance ratings of officers, and developed and prepared job duties
and qualifications for over 500 jobs (Muchinsky, Kriek &
Schreuder, 1998).
 e actual impact that the psychologists had on the war effort may
have been marginal, but the profession attained important recognition
and increased authority. Psychologists were regarded as capable of
making valuable contributions to society and of adding to a company’s
(and in war, a nation’s) prosperity (Muchinsky et al., 1998). is
established the recognisable expertise of the discipline and resulted in
further applications to other contexts after the war.
In 1915, Walter Bingham established the Bureau of Salesmanship
Research. Under Bingham’s leadership, a group of psychologists
established the Carnegie Institute of Technology, the first division of
applied psychology in an American university (Moore & Hartmann,
1931). e Institute was unique in that it cooperated with 27 companies,
each contributing $500 annually to fund applied psychological research
(Muchinsky, 2006). e earliest result was the book Aids in selecting
salesmen (1920). e area of focus of the bureau was ‘the selection,
classification and development of clerical and executive personnel as
well as salespeople’ (Muchinsky, 2006, p. 11).

SUMMARY

• Psychology began to make its presence felt in industry in the early part of the 20th century; one
aspect was the development of time-and-motion studies.
• The early focus was on reducing inefficiency. F.W. Taylor developed optimally organised work to
maximise efficiency. Taylor also formulated the principles of scientific management.
• Hugo Munsterberg is commonly regarded as the founder of industrial psychology. His work
provided insights from psychology for three aspects of workplace practice: selecting workers,
designing work situations and using psychology in sales.
• In this period, scientific management became standard workplace practice. However, workers felt
resentful and dehumanised.
• Later theorists argued that Taylor’s views of people were too narrow. They felt that efficiency would
only be enhanced by responding to workers’ motives and engaging their cooperative tendencies.
• The roles of psychologists expanded as a result of World War 1. Tests (Army Alpha and Army Beta)
were developed to assist with placement of enlisted men.
• Through these efforts, industrial psychology became established as a discipline with recognisable
expertise.
• In 1915, Walter Bingham established the Bureau of Salesmanship Research; Bingham was also
instrumental in setting up the Carnegie Institute of Technology which conducted applied
psychological research.
 27.3 EMPLOYEE ASSISTANCE PROGRAMMES
Employee assistance programmes are provided by an employer in order to assist with and remedy
workplace problems (Attridge et al., 2010). They can be applied to a variety of problems, including HIV
career choices, substance abuse, financial counselling and retirement counselling, among others (James,
Braam Rust & Kingma, 2012). Interventions include screening, assessment and brief interventions
(Attridge et al., 2010). Workers may also be referred to other services (e.g. for substance abuse) or for
longer-term psychotherapy. EAP services are provided by many different professionals including socia
workers, psychologists and counsellors, and occupational nurses or medical officers (Attridge et al.,
2010).
There are a number of EAP models, with the two most commonly used being 1) the in-house model,
and 2) the off-site model (James et al., 2012). In the in-house model, ‘the programme is staffed by
personnel who are employees of the organisation they serve’ (James et al., 2012, p. 1555). Sometimes
these are administered by a staff union. In the off-site model, contractual arrangements are made
between the organisation or staff union and a self-employed EAP practitioner or an agency offering EAP
services. One of the greatest challenges for EAP practitioners is to ensure the confidentiality of their
clients (Attridge et al., 2010); this may be especially the case with an in-house EAP model.
EAP practitioners are themselves not immune from the risks of the burnout that commonly affects
‘people workers’ (see later in this chapter). Jacobson (2006) notes that staff offering assistance to
employees in crisis or traumatic stress situations are themselves at risk for mental health issues, including
‘compassion fatigue’. Jacobson (2006, p. 133) obtained questionnaire responses from 325 members of
the Employee Assistance Professionals Association in the US and found that ‘EA professionals who
provide clinical services and/or crisis intervention services in the workplace are at low risk for burnout
moderate risk for compassion fatigue, and have high potential for compassion satisfaction’.

The emergence of alternatives to scientific

management
In the late 1920s, a shift in emphasis within the field of industrial
psychology began to occur. ere was a switch from testing in a
laboratory setting to the more naturalistic approach of testing and
studying workers in their actual workplaces. One of the first studies
conducted in an industrial or factory setting was a joint venture between
Western Electric and researchers from Harvard University. is series of
studies, named the Hawthorne studies, were conducted between 1924
and 1932 and led to some of the first discoveries regarding the
importance of human behaviour in organisations.
e experiments began at a factory in Hawthorne, Illinois, called the
Western Electric Factory. e main studies were conducted by
Roethlisberger and Dickinson (Muchinsky, 2006). e aim of the original
study was to demonstrate a relationship between lighting and efficiency.
Different types and levels of lighting were installed with the expectation
that increased illumination would lead to an increase in workers’
efficiency.
On the contrary, however, the results indicated that there was no
relationship at all between productivity and the level of illumination. e
workers’ levels of productivity increased or remained at a satisfactory
level whether the illumination was decreased, increased or held
constant. e researcher who conducted follow-up interviews at the
conclusion of the study found that the increases in productivity were not
due to the lighting, but due to workers feeling more valued after being
singled out by researchers for special attention. (is positive effect of
participating in a research project is now known as the Hawthorne
effect.)

Figure 27.4 Researchers started conducting studies in more natural settings, like factories

In the decades following these studies, a number of theorists have

criticised them, both on methodological grounds and in terms of the
conclusions drawn (Kompier, 2006; Levitt & List, 2009). However, these
surprising results, which suggested that individual and social processes
in the workplace are too important to ignore, led to a new era in
organizational psychology with the emergence of the human relations
school (Kompier, 2006). is approach emphasises harmony between
workers and management, as well as worker morale.
In reaction to the reductionist scientific management approach to
organising people in business, the human relations approach proposed a
more humane approach to people, work and organisations. is
approach was based on the principle that employee satisfaction is a
major determinant of performance. Building on its ideas, Douglas
McGregor and Abraham Maslow pioneered the humanist approach to
the management of people at work.
McGregor (1960) published e human side of the enterprise in which
he developed the concepts of eory X and eory Y. eory X takes a
negative and pessimistic view of human nature and employee behaviour,
consistent with the tenets of Taylor’s scientific management. eory Y
advocates a more positive approach consistent with the human relations
movement. Douglas argued that this approach would actually be more
effective in achieving organisational goals. e ideas and theories of
these people, alongside the actions of resistance by ordinary workers,
contributed to more humane treatment of people in the workplace.
e human relations movement, along with the emerging humanist
ideas, thus became an important strategy in the quest for efficiency. is
approach emphasised:
• participation of employees and industrial democracy
• the belief that participation would motivate workers through
increased morale, and a decreased resistance to corporate authority
• fostering a greater sense of involvement and belonging for workers
• providing workers with opportunities to grow and develop, in keeping
with Maslow’s ideas about higher-order needs such as self-
actualisation.

Many critics (e.g. Rose, 1990 and Beder, 2000) argue that the social
scientists responsible for the spread of these ideas did not necessarily
replace scientific management, but rather improved it. ey regard the
human relations and humanist approaches as a grand deception of
workers that did not significantly improve their welfare, but instead
found more deceptive ways of manipulating them. In this regard, Rose
(1990, p. 55) states that ‘no amount of re-jigging of the details of work, the
organisation of the enterprise, the conditions of the labour process could
transform the basic alienation that lies at the heart of work’.

The effect of World War II

e advent of World War II found industrial psychologists, particularly in
the US, already well recognised and therefore this time afforded them an
even greater professional role in relation to the efforts of people
management in war. ey had studied the problems of employee
selection and placement, and had refined their techniques.
Walter Bingham chaired the advisory committee on classification of
military personnel in the US. One of the earliest tests the psychologists
had to develop involved sorting new recruits into five categories. is test
was called the Army General Classification Test (AGCT), a benchmark
in the history of group testing (Muchinsky, 2006)
Rose (1990) argues that the events of World War II provided conditions
for the emergence of theories, rationales and technologies aimed at
greater control over individuals. Rose suggests that the demands that war
placed on industry created the impetus for the development of
techniques to regulate the behaviour of workers.
 SUMMARY

• In the late 1920s, there was a shift in emphasis within industrial psychology. Testing moved from
the laboratory setting to more naturalistic settings.
• The Hawthorne studies showed that productivity could be increased simply by paying more
attention to workers (the ‘Hawthorne effect’). Thus, individual and social processes in the workplace
needed to be considered.
• In place of scientific management, the human relations approach proposed a more humane
approach to people, work and organisations. This was the basis for the humanist approach to the
management of people at work.
• McGregor (1960) developed the concepts of Theory X and Theory Y:
» Theory X is pessimistic about human nature and employee behaviour.
» Theory Y is a more positive approach consistent with the human relations movement. This
approach is thought to be more effective.
• The human relations movement emphasised employee participation and growth opportunities.
However, some critics argued that this approach still deceived workers, who continued to
experience the basic alienation that lay at the heart of work.
• World War II enabled industrial psychologists, particularly in the US, to expand their professional
role in relation to the efforts of people management in war.
• The Army General Classification Test (AGCT) was developed to sort recruits.
• Rose (1990) suggests that the demands that war placed on industry created the impetus for the
development of techniques to regulate the behaviour of workers.

Contemporary organisational
psychology
According to Muchinsky (2006), the contemporary focus of industrial
psychology remains simple – to increase the fit between the workforce
and the workplace. However, in recent times this apparently simple task
has become increasingly difficult as the composition of both the
workforce and the workplace has been changing rapidly since the 1970s.

The changing nature of the workforce

e nature of the workforce is changing both in terms of the kind of
people who are participating in the industrialised economy and in terms
of the kinds of skills and educational background they bring to the world
of work. ere are greater numbers of people seeking employment, and
they have much more advanced levels of education. ere is also greater
diversity in people seeking employment as more women enter the
workforce and affirmative action policies have an effect on the
composition of management structures, in particular. Similarly, on a
global level, people from different nations are competing (and
cooperating) in both real and virtual global workplaces.

The changing nature of work

e nature of work is changing as well. Environmental pressures such as
globalisation and increased competition and change have forced
organisations to reassess traditional practices such as mass production
and centralised or bureaucratic decision making. e global economy is
also moving from a manufacturing-based economy toward a service-
based economy. e resultant knowledge-based society relies more on
people who provide knowledge services as opposed to technical skills.
e volatile nature of the environment means that organisations have to
become more flexible to adapt to changes in the environment. is
means workers have to be more flexible as well, hence the changing
nature of work.

The evolving roles of organisational

psychologists
ese realities are placing a greater emphasis on the role that
psychologists play in the organisational context and in this regard they
face the highly complex task of balancing the organisational
requirements of economic efficiency with the increasing demands for
personal satisfaction in work. Consequently, organisational psychologists
have to acknowledge that people’s work lives and personal lives are
intimately connected, and this requires a more holistic approach.
As a result, organisational psychologists now study and acknowledge
the importance of things such as leisure, emotional support, job stress,
and the impact of job stress on home life and coping skills. ere is also
an increasing emphasis on developing knowledge about the nature of
work organisations and how they function within the wider social and
economic context that extends beyond the earlier narrow concerns with
industrial efficiency. e field is now increasingly identified as
organisational psychology rather than industrial psychology, reflecting a
more holistic and systemic approach to both people and organisations
although Nelson (2014, in Barkhuizen, Jorgensen & Brink, p. 2104) argues
that psychologists specialising in ‘the psychology of work and human
behaviour in organisations are referred to as I-O psychologists’.
As we have established, organisational psychology is not a single
psychological perspective but is, instead, defined by a range of content
interests and the use of various methods focused on a common context:
people at work (Muchinsky, 2006). is means that the contemporary
practice of the discipline is extremely wide and deals with multiple
subjects, such as psychological assessment, occupational health,
counselling, ergonomics, organisational change and organisational
transformation.

Psychological assessment
Psychological assessment is one of the oldest and most traditional focus
areas of organisational psychology. Extending and applying the
psychometric approach in the work context, it focuses on individual
differences in behaviour and job performance, and develops methods of
measuring and predicting such performance. Psychologists employ
psychometrics and other psychological assessment tools to carry out
effectively these essential organisational activities of selecting people for
jobs, assessing their potential, developing people’s skills, and so on.
Figure 27.5 Organisational psychologists are trained to design and implement programmes such as
team-building exercises

Psychological assessments are widely used in organisations.

Psychologists are trained and equipped with an understanding of the
statistical and technical properties of psychological tests and knowledge
about the behavioural domains that the tests assess.
Over time, organisational psychologists in South Africa have shifted
their focus from a traditional approach to testing to competency-based
assessments and the assessment of potential in response to scientific
requirements, international best practices and legal requirements (in
particular employment equity legislation) (Foxcroft & Roodt, 2005). With
respect to the latter, the Employment Equity Act (1998) states that
‘psychological testing of an employee is prohibited unless the test or
assessment being used is valid and reliable; applied fairly; and is not
biased against any employee or group’.
Traditional psychometric techniques of measurement are a highly
disputed and controversial field (Anastasi, 1997; Foxcroft & Roodt, 2005)
and certainly contravene these provisions. Tests have been shown to slot
people into categories and have attached labels to people, for example
‘retarded’ or ‘risk-taker’. e total person is therefore classified in a
particular way and responded to accordingly. Decisions about suitability
for jobs, promotions, and training and development have been made in
accordance with these labels and categories. In so doing, the traditional
approaches have ignored various environmental and situational
variables that have a significant and adverse effect on test performance
(e.g. quality of schooling, socio-economic class and different
work habits).
In recent years, researchers and organisational psychologists have
denounced these approaches in the South African context, rather
endorsing the use of techniques and instruments to assess competencies
and to evaluate learning potential (Saunders, 2000; Taylor, 1992).
Responding to people’s potential entails providing them with a learning
opportunity through a developmental programme. In other words, these
tools assess people in terms of their potential and competencies and
provide an analysis of their strengths and development areas so that
interventions can be designed accordingly. Given the past disadvantages
faced by the majority of people in this country, Saunders (2000) suggests
that in the South African workplace the focus of psychological
assessment should be a person’s potential to be modified by learning.
Foxcroft and Roodt (2005) also note that assessment results are only one
source of information and that they need to be integrated with
information from other sources to be fully meaningful.

Counselling
Barkhuizen et al. (2014) note that organisational psychology is essentially
general psychology applied in the workplace. As such, it is essential that
organisational psychologists are well trained in counselling
methodology. To assist in incorporating this in the training curriculum,
Barkhuizen et al. (2014) argue that counselling should be included in the
scope of practice for organisational psychologists. Only in this way can
organisational psychologists contribute effectively to what is at the core
of their profession: the well-being of employees in the workplace.
McLeod (2010) notes many organisations are now offering counselling
services to their employees. McLeod (2010) reviewed the effectiveness of
these interventions and found that overall, ‘counselling is generally
effective in alleviating psychological problems, has a significant impact
on sickness absence, and has a moderate effect on attitudes to work’.
Workers bring a wide variety of past and current experiences into the
workplace; thus, counselling interventions/programmes in the
workplace focus on a wide range of issues. ese include career choices,
traumatic experiences, adjustment problems, HIV/AIDS, stress and
work–family conflict. Several of these application areas are discussed to
illustrate the role that organisational psychologists may assume at the
level of intervention.

HIV/AIDS
South Africa has an extremely high incidence of HIV/AIDS capitals of the
African continent and recent figures show that one in four adults
between 25 and 49 years are living with AIDS (Shisana, Rehle, Simbayi et
al., 2014). e direct and indirect costs to organisations have been widely
documented. ese include the strain on employee benefit packages,
recruitment of new employees, loss of productivity, poor morale, loss of
skills, and high levels of absenteeism (ILO in UNAIDS/WHO, 2002).
Despite these costs, organisations in South Africa have under-invested
in employee assistance programmes (EAPs). In relation to HIV/AIDS,
these programmes include voluntary testing, counselling, treatment and
support to workers. As a health care practitioner, the organisational
psychologist is equipped to help organisations manage the HIV/AIDS
pandemic through designing and implementing EAPs, and through
offering counselling services. (See Chapter 23 for a broader discussion of
the HIV/AIDS pandemic.)

Careers
e 21st-century organisation is characterised by responsibility,
autonomy, risk and uncertainty. is scenario has implications for career
choice and career management. e challenge for individuals is to
remain flexible and also to be engaged in continuous learning and skills
development.
Vocational counselling in this context is mainly concerned with the
issues that affect individuals in their initial choice and subsequent
development of their careers, as well as the changes in organisations that
affect individual careers (e.g. technological developments, market forces
and management styles). In recent years, psychologists writing in the
field of career psychology in South Africa have critiqued traditional
approaches to career development for both its emphasis on
individualism, and for assuming that career choice is a given. is
traditional perspective does not view the individual in dynamic
interaction with the sociopolitical, economic and cultural context and
the constraints inherent in this context.
Alternative ways of approaching the field have been proposed, for
example using a hermeneutic-dialogical approach to career
development (Mkhize & Frizelle, 2000; Watson & Stead, 2002). is
approach emphasises the exploration of lived experience. It involves
exploring the various contextual factors that constrain and inform career
choices and development. For example, in the South African context,
many school-leavers complete matric but have limited skills and
opportunities.
e organisational psychologist is trained to provide career
assessments, career counselling and career education. In practice, the
call for a more meaningful approach to the field needs to be heeded so
that people are treated justly in their work contexts (Watson & Stead,
2002). Stead and Watson (2006) caution against the wholesale
application of Euro-American perspectives and they argue for
indigenisation of career psychology in South Africa, including an effort to
identify psychological universals. ey also note that people from one
 culture may hold multiple perspectives, including diverse attitudes,
beliefs and behaviours.

Stress and burnout

Not all stress is detrimental or harmful to the individual. However,
psychological stress is an individual’s response to a stressor that they find
taxing because the available resources to cope with a situation have been
exceeded. is is thought to have a detrimental effect on a person’s
psychological, social and physical well-being, and consequently results
in direct and indirect costs for organisations.
Organisational psychologists are trained to design and implement
stress management programmes, to provide individual counselling
where necessary, and to identify individual, group and organisational
factors that impact on an employee’s psychological well-being.

SUMMARY

• The aim of contemporary industrial psychology remains to increase the fit between the workforce
and the workplace. However, both the workforce and the workplace have changed significantly in
recent decades.
• The workforce is more diverse; the workplace is more global, and service and knowledge based.
These changes require more flexibility from workers and organisations.
• These changes have also shifted and expanded the roles of organisational psychologists. The
connection between people’s work lives and personal lives is increasingly recognised with the
discipline taking a more holistic and systemic approach to both people and organisations.
• One significant role is conducting psychological assessments for predicting performance, selection
and skills development. In South Africa, the focus has shifted to competency-based assessments.
• South African legislation requires tests to be reliable and valid, fairly applied and unbiased. There is
increasing awareness of some of the problems with testing (e.g. labelling; ignoring contextual
variables).
• Organisational psychologist are also involved in counselling on a wide range of issues (e.g.
HIV/AIDS; career choice; stress/burnout management) and performance counselling.

Burnout is a special form of stress that applies particularly to workers

who work with other people; this includes teachers, police personnel,
nurses – and psychologists. Schaufeli, Leiter and Maslach (2009, p. 205)
note that the term is a metaphor which ‘describes the exhaustion of
employee’s capacity to maintain an intense involvement that has a
meaningful impact at work’. In the 21st century, workers continue to be
vulnerable to burnout and there are two main contributors to this
(Schaufeli et al., 2009):
• a persistent imbalance between work demands and a person’s
resources
• differing values and motivation which can lead to conflict (workers
are increasingly sceptical about organisational missions and visions).

In both of these instances, organisational psychologists can be helpful. In

the first, there could be research into why this imbalance persists,
followed by an intervention with management. In the second, the
organisational psychologist could counsel the worker to clarify their
motivation and values. Other interventions may include preventative
workshops and wider organisational consultancy (Schaufeli et al., 2009).

Performance counselling
In performance counselling, workers are given feedback on how they are
performing at work as well as information and advice about how to
improve their performance within the organisation. Performance
counselling may be part of a regular performance management system,
may follow probation or may be used to assess staff training needs.
Performance counselling is an important part of employee assistance
programmes (EAPs) (Attridge et al., 2010).

Organisational transformation and corporate

culture
Organisational dynamics are fundamentally about the impact of group
membership on individual behaviour and, conversely, how individuals
contribute to the functioning of groups. Most people work within some
organisational context and even people who work on their own have to
interact with others at some point. Although groups may seem to be
simply a collection of individuals, an appraisal of the dynamics or
processes that occur within groups, and between people as members of a
group, reveals that groups are often more than the sum of their parts.
Understanding these dynamics is crucial to achieving both productivity
as well as personal job satisfaction.
e dynamics within a particular group will be influenced by the
organisational culture or the ways in which things are done within a
particular organisation. Culture has been defined in many ways in the
literature. It is viewed as a set of shared core beliefs, basic assumptions, in
terms of ideologies, or as a set of beliefs (Bagraim, 2001). Organisational
psychologists have applied these definitions and thus conceptualise
organisational culture as involving the shared beliefs and values which
may be created by the managers of an organisation and communicated
to the employees (Landy & Conte, 2010). erefore, employees are
socialised into how to behave in relation to communication, teamwork,
loyalty, commitment, and so on. is is discussed and decided on by top
management.
As people become part of an organisation and part of working groups
within it, they are expected to share this framework and be guided by it in
the way they work. People have to learn these ways in order to survive
and succeed in the organisation. e relationship between organisational
culture and individual people is dialectical as people create the culture of
the organisation, developing shared ways of problem solving and
working together, and these shared ways of doing things affect and
constrain the behaviour of people within the organisation. e
development of shared norms, values, attitudes, belief systems and
accepted patterns of behaviour are communicated to other people who
internalise them. us, the organisational culture is created by people,
and it in turn creates people in its own image. Individuals who have
differing views often repress their differences for the ‘common good’. is
is most often a pragmatic choice for the purpose of preserving jobs as
well as securing rewards and promotions.
One of the interests of organisational psychologists is to assess how
individuals become part of such an organisational culture through
playing out particular roles (e.g. worker or manager) according to the
expected and accepted behaviours associated with these roles. ey are
also interested in how these roles are interpreted by individuals and
incorporated into their identity. (e vital contribution of work to our
sense of identity is evident from how frequently people define themselves
and others in terms of what they do. One’s profession or work is very
often second only to one’s name in introductions.)
Because of this focus on the cultural and social dimensions of our
working lives, in some sense organisational psychologists are social
psychologists who specifically restrict their interest to the social context
of work. For example, while social psychologists may be interested in
group dynamics in a variety of contexts, organisational psychologists
would be interested in these group dynamics only in so far as they affect
individuals at work, and would be particularly interested in the kinds of
groups that operate in the workplace.
A range of different methods or tools may be employed in order to
investigate group dynamics, for example attitude surveys or an analysis of
structural dynamics by observing groups at work. Another important
area that is common to both social and organisational psychology is
understanding the process of attitude acquisition and retention, because
attitudes are thought to be one of the major antecedents of human
behaviour in organisations and in life in general. According to Robbins
(2001), attitudes are evaluative statements towards objects, people or
events. ey reflect how we feel about things and influence our
cognition, emotion and ultimately our behaviour.
An attitude survey allows organisational psychologists to discover
how organisational and group pressures impact on human attitudes and
behaviour and, conversely, how people’s attitudes may affect the
organisation’s effectiveness. A culture climate survey is a particular tool
that provides information about employees’ feelings regarding, for
example, the organisation’s approach to management, decision making
or authority. Surveys may also be used to ascertain people’s attitudes
towards various issues such as sexual harassment or affirmative action.
e aim is to use the data obtained to change attitudes and behaviour in
order to make organisations more effective, especially with respect to
communication structures and individual commitment to the
organisation.
e interventions of organisational psychologists are often sought
when organisations are undergoing transformation or a restructuring
process. Organisational transformation is the most commonly used
concept of change of our time, but, according to Doyle (2002), most
change theories and practices are ‘aligned behind a set of unchallenged
assumptions about the nature of organisational change’ and therefore
tend to be superficial (cited in Van Tonder, 2004, p. 53).
Various planned change models have been implemented in the South
African context and their failure rate varies from 65 per cent to 75 per
cent (Van Tonder, 2004). ese models assert that all employees
experience and react to change in a similar manner and therefore
decontextualise individual experience and organisational dynamics.
Fortunately, Van Tonder (2004) notes that there is a shift away from
these traditional models to considering organisational transformation in
a given context as being ‘multi-dimensional, multi-level, qualitative,
discontinuous, radical organisational change involving a paradigmatic
shift’ (Levy & Merry, in Van Tonder, 2004, p. 55). is paradigmatic shift
involves a fundamental change in the organisation’s worldview and
therefore requires a cognitive change. For example, it encourages and
harnesses variations in individual perceptions, diversity of ideas, and
views and different responses to change.
Coping with change is a continuous challenge that people and
organisations face. is is especially the case when organisations want to
eliminate attitudes and behaviours that have been learned in the
organisation, but which are unproductive, or even counterproductive.
Organisational psychology aims to facilitate employee adjustment to
change and to achieve organisational efficiency. A contemporary
example of these kinds of interventions is the move towards creating
learning organisations (Landy & Conte, 2010).
 27.4 CORPORATE CULTURE INTERVENTIONS ADVANCE THE
INTERESTS OF MANAGEMENT
According to Bagraim (2001), corporate culture interventions, in the main, serve to advance the interests
of management. Values, norms, beliefs and ideals are imposed onto employees so that agreement is
reached on issues that concern management. Therefore, corporate culture initiatives strengthen the
influence and control of management. A single culture is endorsed in these initiatives and thereby the
existence of other subcultures is ignored. Instead, change initiatives tend to impose unitary norms
values, beliefs and ideals so that organisations appear to be harmonious social entities (Bagraim, 2001)
So, the organisation is assumed to be uniform in terms of people’s ideas, perceptions and views – spaces
where diversity in all its forms does not really find expression. Bagraim (2001) rightly calls for research to
challenge the assumptions of corporate culture initiatives.

Traditional, bureaucratic organisations disempowered people by

concentrating all authority and decision-making powers at the top of the
organisation. People lower down were thus marginalised by being
excluded from problem-solving, planning or other intellectual activities.
Such marginalised elements of the workforce have thus learned attitudes
and behaviours that fit in with this approach. Because workers are the
ones who must actually get the job done, they may well be aware of more
effective ways of doing things, but are often expected simply (and
passively) to carry out instructions from the top.
One of the aims of the learning organisation is to empower previously
marginalised employees by involving them in all aspects of the
organisation. is obviously requires people to learn new attitudes and
behaviours about responsibility and cooperation. Not only do workers
have to learn attitudes associated with their new roles, but managers also
have to learn new attitudes and behaviours for this approach to work.
us, the aim of creating a learning organisation is getting everyone to
engage in identifying and solving problems, enabling the organisation to
continuously experiment, improve and increase its capability (Landy &
Conte, 2010).
Organisational psychologists are therefore centrally involved in the
development of organisations, facilitating improvement or restructuring
in response to environmental changes. is restructuring may involve
not only changes in people’s attitudes and behaviour, but also structural
changes in all aspects of the organisation: human resources, work
procedures, and/or technological change.

Occupational health and ergonomics

Ergonomics was originally concerned mainly with the design of work
and workstations to suit the physiological characteristics of the
employees and had very little to do with psychology. However, this focus
has evolved into a much broader area concerned generally with issues of
work and health. Ergonomics as an applied science aims at enhancing
the well-being, safety and health of the worker. It draws on
understandings, principles and information from engineering,
physiology and psychology. erefore, ergonomics is interdisciplinary in
nature.
Essentially, the purpose of ergonomics is to adapt work conditions to
the physical and psychological nature of people. us, the focus of
ergonomics is on the design and structure of equipment and the work
process so as to maximise efficiency and minimise physical and mental
stress on the worker. is includes an understanding of the relationship
between machine or tool design, production, and both the physical
actions and psychology of people.
Figure 27.6 Organisations are increasingly aware of hazards in the workplace that expose the
human body to unacceptable levels of risk

Ergonomics operates on the principle that environments are more

flexible than people. erefore the work environment has to be adapted
to the limitations and the physiological and psychological qualities of
human beings. e broad objectives of ergonomics are as follows:
 27.5 RESPIRATORY DISEASE IN DURBAN SOUTH
Source: Cancer Valley pays a high price for South Africa’s oil needs (Mail & Guardian, June 6, 2014)
Communities in the South Durban area are experiencing high rates of respiratory illnesses which they
attribute to the petrochemical refineries in the area. Some 100 000 people live in this area where ‘gases
from industry are funnelled between two ridges that run from north to south’ (Kings, 2014). In addition
to respiratory disease (about 50 per cent of the children in the area suffer from asthma), the area is
known as ‘cancer valley’ and ‘research by the University of KwaZulu-Natal shows that leukaemia is 24
times higher here than anywhere else in the country’ (Kings, 2014). In the early days of apartheid, this
area was rezoned from farmland to mixed industrial use, as well as for black residential use. The two
largest refineries have been in the area for 60 and 50 years, respectively. In 2014, some 70 per cent of
Durban’s factories were situated in this area. Some of these are also responsible for emissions of toxic
chemicals like sulphur dioxide and benzene. However, ‘the refineries have said the high level of illness in
the area is a coincidence and none has been convicted of causing illness there’ (Kings, 2014).

• to fit the demands of work to the efficiency of people and to reduce

physical and psychological stressors
• to design machines, equipment and installations so that they can be
operated with maximum efficiency, accuracy and safety
• to work out proportions and conditions of the workplace to ensure
correct body posture
• to adapt lighting, air conditioning, noise levels and so on to suit
people’s physical requirements.

Stakeholders in organisations are becoming increasingly aware of the

need to prevent accidents and illness at work, not only for employee
safety, but also to preclude the possibility of employee lawsuits in
instances where employees are injured, or become ill because of work.
Organisations are increasingly aware of the hazards that expose the
human body to unacceptable physical risks. ese risks include muscle
fatigue, back problems, occupational asthma and hearing difficulties.
Equally important, however, are the environmental hazards that
organisations are less aware of and these include the effects of noise,
temperature, illumination and toxic substances.
e impact of toxic substances on employee health and well-being is
well documented in South Africa (McCulloch, 2002; Kelly, 1990).
Asbestos-related illnesses, mercury poisoning and byosinosis are a few
occupational diseases that have achieved widespread coverage in the
media. In understanding these diseases holistically, it is clear that
sociopolitical and economic factors have intersected with biological
processes to produce these diseases. For example, Oosthuizen, John and
Somerset (2010) found that people exposed to mercury in the course of
small-scale informal mining operations were at risk for mercury
poisoning. It is no accident that it was primarily black African workers
who were exposed to mercury poisoning. It is also not an accident that a
large percentage of Indian, African, and coloured children who live near
the refineries and paper mill in the Durban South Basin have asthma
(Rajen Naidoo, personal communication, 2005) (see Box 27.5). Apartheid
town planning has meant that many black communities are located in
townships that are close to industry.

Labour relations
e subject of labour relations concerns the relationship between
employers and employees. Employers and employees often have
divergent views, values, goals and needs and this means that their
relationship is very seldom without conflict. e interest in increased
efficiency, productivity and profits that is pre-eminent for employers may
well not accord with the interests of workers for fair pay, safe working
conditions and job satisfaction.
Despite the increasing recognition that the interests of the
organisation may be best served by creating conditions for a happy and
satisfied workforce, the relationship between management and workers
is complex. Various South African writers have emphasised that the field
of labour relations requires a multidisciplinary approach for
understanding this complex relationship (Finnemore, 2002). is has
largely resulted in the adoption of the systems perspective to the study of
labour relations (Finnemore, 2002).
27.6 LABOUR LAWS DENY FREEDOM OF CHOICE
American economist Susan Anderson wrote an article condemning labour laws as unwanted
government interference in the economy, an interference that she claims harms those it is designed to
help. Below is an extract from the article as it appeared in the Sunday Tribune on 2 October 2005:

The International Monetary Fund (IMF) report on South Africa has again included criticism of the
country’s strict labour legislation, claiming that these laws exacerbate unemployment and impede
overall economic growth … Strong economies are built on the free choices of individuals. Each
person makes decisions based on what they like and dislike, what is most important to them,
what they hope to accomplish in the future, and how they prefer to spend their time. Based on
these preferences, each person is best able to determine for him- or herself where to work and for
how long, what to buy and how much, whether to save, borrow money, invest in education or
training, stay in one place, or move to another. The aggregation of all these different individual
choices is what makes up the economy – it explains why resources of time and money are
allocated the way they are.

Based on these individual choices, business owners and managers decide things like: whether they wil
make cheaper or higher quality goods, specialise in one thing or many things, pay employees to create
their products and run the business, or buy capital – that is, machines, computers, and such things to do
the job.
The freedom of individuals to choose becomes constrained when governments try to arrive at a
different outcome. This could be because politicians agree that people cannot decide what is best for
themselves and therefore force people through laws to ‘choose’ what the politicians think is best for
them. Or, alternatively, because certain groups with political power do not like the aggregate outcome
of the choices people are making, and exert pressure on legislators to enact laws that limit the choices
of businesses and individuals to something that will provide more benefit to themselves.
In the case of labour laws, minimum wages, government mandated benefits, and restrictions on
working hours all take away the freedom of individuals to make employment decisions for themselves
When government steps in and doesn’t allow the wage to go below a certain price, companies are
unlikely to continue to employ as many workers at a higher wage.
Some workers will be better off because the government mandate will provide them with higher
wages. But many more individuals will be worse off because they will be denied the choice to work at
all. Even if they would have been prepared to work to accept a wage that is lower than the imposed
minimum wage, they are prohibited from doing so. Someone else has decided for them that they are
better off unemployed, or working in the informal sector, than they are taking a lower than minimum
wage. The problem is that the aggregation of individual choices, when they are constrained by laws, is
no longer based on what each individual wants – it is a distortion. When businesses decide between
labour and capital in order to make their products, they base the decision on the cost of each. When the
companies start capitalising, that is, replacing labour with capital, it is usually an indication that labour
has become very expensive … When labour becomes too expensive, capitalisation is a good thing – it
reduces costs and frees up labour to be more productive elsewhere. But if hiring employees has
become very expensive because of laws that raise the price of labour, the consequence is to make
people artificially unemployed … People must be given the choice to decide for themselves what
wages and conditions of work are acceptable to them if the large numbers of currently unemployed
South Africans are to get jobs.
Labour relations is an intensely legislated area, especially in South Africa.
Bendix (2010, p. 24) sees the employment relationship as three-cornered,
with the ‘corners being occupied by employers, the employees and the
State’. Organisational psychologists who work in this field need to be
familiar with legislation such as the Labour Relations Act 66 of 1995, the
Basic Conditions of Employment Act, the Skills Development Act, the
Skills Development Levies Act and the Employment Equity Act. ey also
have to be familiar with the institutions that act as watchdogs to ensure
that employee rights are not being abused. ese include the
Commission for Conciliation, Mediation and Arbitration (CCMA), the
Labour Court and the Department of Labour.
Present-day labour relations in South Africa has developed out of a
context of social engineering in the form of apartheid policy and
legislation (Venter et al., 2011). Matters began to shift after the Soweto
riots in 1976 with the appointment of the Wiehahn Commission in 1979.
is Commission recommended ‘radical changes to the government’s
labour policies’ (Venter et al., 2011, p. 55). Black workers only gained the
vote after democratisation in 1994 and this was followed by the series of
Acts referred to above. However, strikes and protests continue to disrupt
the South African economy.
 27.7 MARIKANA
As predicted by Crafford et al. (2006), South Africa has seen some major labour relations conflicts but
none has been as extreme, destructive and far-reaching as the long-lasting strike at Lonmin platinum
mine which resulted in the deaths of 34 people. According to Alexander (2013), the miners went on
strike on 10 August 2012, demanding R12 000 per month in wages. This was up to three times their net
salaries. The strike was ‘unprotected’; this meant that the workers had not followed the procedures of
the Labour Relations Act for industrial action and thus they could be dismissed. Nevertheless, most of
the 28 000 workers were on strike by the following day (Alexander, 2013). Apart from issues over pay, the
workers raised other grievances, including the danger of the work, hazards to physical and menta
health from the work environment, and disrespectful management (Alexander, 2013).
Some of the longer-term precipitants of the miners’ grievances included:
poor and divisive treatment of workers by the mining industry
the government’s failure to implement the Mining Charter, aimed at sustainable transformation and
development
labour movement ineffectiveness due to internal and inter-union conflict and division
government and police ineffectiveness in addressing national labour unrest (Twala, 2012).

In the days following the initial strike, several workers were killed. The reports are conflicting in terms of
which parties were responsible. On the 16th August, police using automatic weapons opened fire on
strikers, killing 34 and injuring at least 78 others. This was the most lethal police action against South
African civilians since Sharpeville in 1960.
The events at Marikana have ‘had a significant impact on the labour relations landscape in South
Africa’ (Twala, 2012, p. 66). For example, Alexander (2013) suggests there has been a shift in the attitudes
of workers, in terms of labour demands and frequency of strikes. In addition, the new labour union
which emerged in this period was opposed to political alignment and this contributed to divisions
within COSATU (Congress of South African Trade Unions), which is aligned with the ANC government
(Alexander, 2013). Marikana also had political consequences in that it spurred the rise of a new politica
party aimed at disaffected youth, the Economic Freedom Fighters (EFF) (Alexander, 2013).

Organisational psychologists who specialise in labour relations are

interested in issues such as cooperation and conflict between parties,
resolution of disputes in the workplace, and bargaining and negotiation
of agreements between various interest groups in the organisation. ey
concern themselves with such matters as employee rights, collective
bargaining, and conflict management and dispute settlement
(Muchinsky, 2006).
An understanding of conflict is a cardinal issue in the study of labour
relations and, given the political history in South Africa, it is highly likely
that there will be major labour relations conflicts (Crafford et al., 2006).
To date, however, theoretical approaches to conflict arising in labour
management relations seldom adopt a meaningful psychological analysis
that is embedded in a sociopolitical and economic context. e various
social psychology theories of conflict from intergroup research are
primarily individualistic in nature. ey include: social identity theory
(Tajfel, 1981; Hutnik, 1991); realistic group conflict theory (Sherif et al.,
1988); and cognitive psychological approaches (Gillespie, 1992; Harre &
Gillet, 1994). However, these theories on their own cannot explain
conflict, since ‘when cultural differences coincide with economic and
political differences between groups, this can cause deep resentment that
may lead to violent struggles’ (Stewart & Brown, 2007, p. 222).

SUMMARY

• Organisational dynamics involve the impacts the organisation has on workers and vice versa.
This is a dialectical relationship.
• Organisational culture refers to the ways things are done within a particular organisation.
Employees are socialised into how to behave in relation to communication, teamwork, loyalty,
commitment, etc.
• Organisational psychologists are interested in how individuals become part of such an
organisational culture and how the related roles become incorporated into individuals’ identity.
To study this, psychologists use attitude surveys or culture climate surveys.
• Transformations in organisations may also require interventions by organisational
psychologists. Coping with change is a continuous challenge that people and organisations
face.
• Traditional, bureaucratic organisations tend to be hierarchical and disempowering for workers.
Learning organisations aim to engage all workers in identifying and solving problems, thereby
empowering previously marginalised employees.
• Organisational psychologists are also involved in organisational health and ergonomics. The
latter refers to adapting work conditions for the physical and psychological well-being, safety
and health of the worker. This is important not only for worker safety but also to prevent
litigation.
• Labour relations concerns the relationship between employers and employees. This is often a
conflicted relationship as the views, values, goals and needs of the parties concerned
frequently differ.
• In South Africa, there is extensive labour relations legislation which organisational psychologists
who work in this field must know and understand.
• South Africa’s history has had specific influences on past and present-day labour relations.
These are currently characterised by major conflicts. Traditional individualistic, social
psychological theories are not very helpful in understanding these conflicts – more attention
needs to be paid to contextual factors like inequality between groups.
Conclusion
e nature of work has undergone a number of significant changes throughout history. e
industrialisation of work that gave birth to the discipline of industrial or organisational
psychology does not represent an end to these changes. Modes of production continue to
undergo substantial shifts with the development of new technologies and this, in turn, creates
considerable changes in people’s work and the relations that pertain between people in the
workplace. us, the solutions that organisational psychology produces for problems in one
context become obsolete when the contextual parameters change; new developments create new
problems requiring new solutions.
Assumptions about the nature of human beings and their roles in the workplace have also
changed. In addition to people being accorded wider protections from exploitation and unfair
treatment (in some countries), more and more organisations are attempting to empower people,
to engage and use not only their physical capacity for labour, but also their intellectual capacities
us, people lower down in the organisation are being invited and encouraged to participate in
decision making and strategic planning. Also, organisations are moving away from individualised
work towards more team-based operations. Organisational psychology, therefore, evolves along
with the technology and practice of industry and society, as new solutions are required for novel
problems and dynamic contexts.
However, critics of the discipline (notably Beder, 2000 and Rose, 1990) caution against this
optimism. ey suggest that most organisational renewal initiatives, for example attempts at
teamwork and endeavours to empower workers, are nothing short of manipulations designed to
deceive workers, and in so doing maintain the structural inequalities that characterise capitalist
societies.
If organisational psychology wants to make a concerted effort to vindicate its value to society
and prove these critics wrong, it needs to transcend its traditional, reductionist approach and
show that it is not historically and socially dislocated.

KEY CONCEPTS

alienation: a concept proposed by Karl Marx that suggests that

workers in a capitalist society become impoverished and
dehumanised
Army Alpha: a test developed by Robert Yerkes and other
psychologists that tested general intelligence and literacy among
soldiers during World War I
Army General Classification Test (AGCT): a test developed by
psychologists during World War II that involved sorting new army
recruits into five categories
attitude survey: a survey that allows organisational psychologists to
discover how organisational and group pressures impact on human
attitudes and behaviour and, conversely, how people’s attitudes may
affect the organisation’s effectiveness
bourgeoisie: the capitalist class
capital: machines, goods, land, money and services that can be used
to produce commodities
capitalists: people who own the means of production
corporations: groups of people who pooled their resources for joint
ownership of large industrial units
culture climate survey: a particular tool used by psychologists that
provides information about employees’ feelings regarding, for
example, the organisation’s approach to management, decision
making or authority
Dark Ages: the medieval period in European history, now often
perceived as lacking in culture and technological progress
employee assistance programmes (EAPs): arrangement between an
organisation and its workers whereby the organisation provides a
variety of support programmes which may also help employees with
problems originating outside of the workplace where these impact on
work performance
ergonomics: an applied science that aims at enhancing the well-
being, safety and health of the worker
forces of production: all the things that are necessary for production
to occur
Hawthorne studies: a series of studies conducted between 1924 and
1932 that led to some of the first discoveries regarding the importance
of human behaviour in organisations
hermeneutic-dialogical approach: an approach to career
development that emphasises various contextual factors that
constrain and inform career choices and development
laissez-faire: an economic theory that suggests that the economy and
the market operates most efficiently when there is no interference by
government or anyone else
 mass production: a mode of production where employers sought to
specialise and organise large numbers of workers for a common task
modes of production: different forms of work by which people
maintain and reproduce themselves
optimally organised work: a mode of work that is based on an
analysis of a particular task for the purposes of finding the single most
efficient way to do it
organisational culture: the ways in which things are done within a
particular organisation
organisational psychology (industrial psychology): a sub-
discipline of psychology that focuses on individuals and groups at
work within an organisational context
proletariat: a class of people created by the industrial mode of
production who owned nothing but their own labour
relations of production: the ways in which people relate to each
other that are determined by the mode of production or the forces of
production
scientific management: a workplace practice that proposes selecting
the best people for a job, instructing them in the most efficient
methods to employ in their work, and giving incentives in the form of
higher wages to the best workers
eory X: a theory distilled by McGregor (1960) that takes a negative
and pessimistic view of human nature and employee behaviour,
consistent with the tenets of Taylor’s scientific management
eory Y: a theory distilled by McGregor (1960) that advocates a
more positive and humane approach to people, work and
organisations
time-and-motion studies: close studies of a particular job in order to
eliminate any unnecessary movements so as to minimise inefficiency
and time wasting
working class: the class of people who do not own capital

EXERCISES
Multiple choice questions
1. World War I (1914–1918) was significant in the history of industrial
psychology because:
a) tests were developed to screen recruits
b) methods of placing soldiers in the most suitable jobs were
developed
c) psychology was recognised as a profession that could make a
contribution to society
d) all of the above are correct.

2. During the Medieval period (1000–1750 AD), the most important

development/s was/were:
a) the Black Death of 1349
b) humans beginning to sell their labour in exchange for payment
c) the emergence of towns or centres of commerce
d) b and c.

3. During which era were trade unions first formed?

a) the pre-modern era
b) the industrial era
c) the post-modern era
d) the Medieval era.

4. e first person to make a concerted attempt to move the study of

human work behaviour into the realm of experimental methods was:
a) W. L. Bryan
b) Wilhelm Wundt
c) F. W. Taylor
d) Z. C. Bergh.

5. What is the central principle of scientific management?

a) achieving maximum efficiency from manual labour
b) the rational (optimal) or scientific organisation of work
c) high wages creating high productivity
d) high incentives creating high productivity.
6. Which of the following assumptions about human beings is reflected
in the classical notion of laissez-faire?
a) Human beings are rational and competitive.
b) Human beings will always work hard.
c) Only fit individuals survive.
d) All of the above are correct.

7. What was the main finding of the Hawthorne studies conducted by

researchers from Harvard University?
a) Individual and social processes are not important in the
workplace.
b) Incentives increase productivity.
c) Lighting has no influence on productivity.
d) Human beings are reflexive.

8. e Hawthorne studies led to the emergence of:

a) post-industrial society
b) Maslow’s hierarchy of needs
c) McGregor’s eory X and eory Y
d) the hermeneutic-dialogical approach.

9. According to the Employment Equity Act (1998) an employer is

prohibited from testing an employee if the psychological test being
used is:
a) applied unfairly
b) valid and reliable
c) not biased
d) all of the above are correct.

10. What is the focus of ergonomics?

a) designing equipment
b) enhancing the safety of workers
c) maximising efficiency
d) all of the above are correct.
Short-answer questions

1. Describe the economic theory of laissez-faire and its assumptions

about human nature.
2. What is meant by a post-industrial society?
3. Explain the central ideas of scientific management.
4. What is ergonomics and what are its broad objectives?

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 PART 10

African and Eastern psychologies

 Introduction
Suntosh R. Pillay

This part consists of one chapter that offers a brief introduction to the broad
fields of critical and cultural psychology, focusing on African and Eastern
psychologies. African psychology refers to an international and pan-African
movement that unpacks the experiences of black people, taking into
account how historical injustices such as slavery and racism have impacted
on the psychological well-being of black people. Eastern psychology refers
to belief systems that arise out of Asia and the Middle East. Both African and
Eastern psychologies are forms of indigenous psychologies, which means
they have been developed within the geographical, social and cultural
context in which they will be applied, and are thus not a foreign Western
import. This section introduces some core ideas in African psychology, using
specific examples from Zulu culture in South Africa, and to Eastern
psychology, broadly covering Hindu and Buddhist knowledge systems.
These psychological systems have been historically marginalised in
textbooks and training. However, in understanding worldviews different
from one’s own personal cultural lens, this section argues that we need to
develop a holistic psychology. This means incorporating people’s religious
and cultural beliefs into psychological theories and practices, because these
beliefs impact on how people make meaning in their lives. Psychology can
only hope to understand people if we first understand the histories,
philosophies, rituals and practices that colour people’s views of the world.
 African and Eastern
CHAPTER
psychologies 28
Suntosh R. Pillay & Nandisa Tushini

CHAPTER OUTCOMES
After studying this chapter you should be able to:
• explain why we need indigenous psychologies
• appreciate the need for both an African and an Eastern psychology
• understand the African perspective to psychology and explain why psychology needs to be
more African in an African context
• understand the Eastern perspective to psychology and the specific worldviews of Hinduism and
Buddhism
• understand the basic tenets of the African and Eastern worldviews, and be able to explain
similarities and differences
• explain how a person of African or Eastern origin might understand emotional distress or mental
health problems, and how this differs from mainstream views
• apply the ideas in this chapter to practical applications of psychology in society.

CASE STUDY

Shanti is a student in a first-year psychology class. She has grown up believing that this life is just
one of many lives she will live, and that her soul has been reincarnated many times before this. She
flips through her psychology textbooks and notices that most personality theories assume that we
only live once and seem only to start at childhood, not the previous life. She finds this odd,
considering there are over 500 million Hindus in the world who believe in rebirth, not to mention
the millions of Buddhists who believe the same! Her friend, Zolile, is also a bit confused. He’s been
going through a rough time in his first semester because of personal and family problems. He flips
through his textbooks, thinking that the sections on mental health will offer him some solutions.
He’s surprised to find out that the main style of helping people doesn’t include family or
community involvement, doesn’t acknowledge certain rituals that might help, and doesn’t even
talk about appeasing the ancestors! Both of them are also confused by the absence of words that
are commonly used in their cultures, such as karma in Hinduism and ubuntu in African cultures.
They wonder if seeing a psychologist would be at all beneficial to someone in either of their
cultures. Would the psychologist understand their people or their beliefs, and if not, what help
could he/she really provide?
Introduction
Most students when asked why they chose to do a module in psychology,
would answer by stating their desire either to help people, or to
understand them. is is a large part of what psychology tries to do. But
there are many problems, even injustices, in how the field has gone about
this.
ere is such diversity in the world that it is rather unfortunate that the
discipline of psychology has relied almost exclusively on theories and
explanations developed in North America and Europe to understand and
help human beings. Centuries of colonialism and cultural imperialism
are partly to blame. is is because scientific ideas were valued if they
originated in the so-called first world, the West and North, and ignored or
undervalued if they originated in the East and South.
As a result, the indigenous psychologies of Africa and Asia are largely
absent from our textbooks and classrooms, which still echo the ideas of
Freud, Pavlov and Skinner. However, long before these grandfathers of
modern day Western psychology told us about ourselves, the power of
our thoughts, behaviour and feelings was well known by tribal villages in
Africa, meditative yogis of India, and the monks and lamas of Tibet,
among others, who had ancient, elaborate theories of mind and
behaviour that served both philosophical and pragmatic purposes. An
example of this is lucid dreaming, where you are aware you are
dreaming and can control what happens in your dream. is was
dismissed as nonsense by Western psychologists until LaBerge (1985), a
Stanford University researcher, showed evidence of lucid dreaming
through his experiments.
Apartheid in South Africa allowed this cultural imperialism to
continue, and many psychologists perpetuated bad science, unethical
practice, and ineffective assessment and treatment plans on oppressed
people whose worldviews were completely different from the foreign
theories of personality, motivation, health and illness developed in a
foreign context (Nicholas & Cooper, 1993; Holdstock, 1979, 1981). To
remedy this, a revival is currently taking place in psychological science
where ancient forms of knowledge are now being integrated into
universities and practices.
Some South African psychologists are writing about the value of
African, Eastern and other indigenous ways of seeing the world
(Edwards, Hlongwane, wala & Robinson, 2011; Kruger, Lifschitz &
Baloyi, 2007; Laher, 2014; Mkhize, 2004), and we are beginning to learn
from the hidden wisdom of sangomas, sanyassis, monks and energy
healers. is is part of developments in the broad fields of critical
psychology, which tries to expose ideological and cultural biases in
knowledge (Hook, 2004), or cultural psychology that embraces more
diverse forms of knowledge, including the infusion of religious concepts
(Tarakeshwar, Stanton & Pargament, 2003).
By understanding worldviews different from our own personal
cultural lenses, we may appreciate better the diversity, differences and
commonalities in South Africa’s various groups of people. As suggested
above, we need to develop a holistic psychology; however, this
cannot develop in isolation from people’s religious and cultural beliefs,
because these impact on their views of themselves, others, the world, and
the meaning of health and illness, and how their problems ought to be
properly solved.
Edwards (2014, p. 526) makes the case for a holistic psychology in
South Africa, reminding us of the following:
e great wisdom traditions taught that all is one, one is all; with everything interrelated in
an undivided universe. e healing professions such as psychiatry, psychology and social
work still typically begin with the assumption of a human being as an integrated bio-
psycho-socio-cultural-spiritual-ecological unity. For millennia the perennial philosophy of
the great major wisdom and/or spiritual traditions, including ancestor reverence, Judaism,
Hinduism, Buddhism, Taoism, Christianity, and Islam, recognised a holistic form of
psychology that included different levels of consciousness, from subconscious to self-
conscious and beyond.
Figure 28.1 Religions of the world

‘African psychology’ is an umbrella term for an international and pan-

African movement that focuses on the experiences of black people,
taking into account historical injustices. ‘Eastern psychology’ usually
refers to belief systems that arise out of Asia and the Far East.
Confucianism, Shinto, Taoism and Buddhism are most common in
China, Japan, Tibet, Mongolia and Nepal; Hinduism and Jainism are
most common in India, Sri Lanka and Bangladesh; Islam is common in
Pakistan and Afghanistan, and predominant in the Far East, which
includes Iran, Iraq, Saudi Arabia and Syria. Africa and the East are not
homogenous geographical areas with clearly defined cultural groups, but
are rich in diversity and have stark differences, inconsistencies and
paradoxes among them.
ere is no neat, single type of African or Eastern psychology, and
neither are people from Africa and the East easily described in such a
short chapter. It is hoped that interested students will engage with these
subjects in more detail by reading the suggested texts.
28.1 WHY DO WE NEED INDIGENOUS PSYCHOLOGIES?
Source: Steve Edwards, PhD, Emeritus Professor, University of Zululand
At the very least, this question requires both conceptual and pragmatic answers. Conceptually we need
to define terms because definitions have theoretical and practical implications. The original meaning of
the Greek term ‘psychology’ implies the study and use (logos) of breath, energy, consciousness, soul or
spirit (psyche) of life that leaves a person at death and continues in some other form. This definition
recognises a universal, perennial, holistic, psychological form that has existed for many centuries
certainly long before such people as William James and Wilhelm Wundt established scientific
laboratories in America and Europe just over a hundred years ago.
The plural ‘psychologies’ recognises differential psychological forms. These include indigenous
cultural, folk, traditional and local psychologies as well as other contemporary proliferations and their
applications, as found in this textbook. Thus, a conceptual answer is that we need indigenous
psychologies because they provide the source and context for so-called modern scientific psychology.
Practically, ‘modern scientific psychology’, although globally established, is itself an indigenous
psychology since it has been developed in specific American and European contexts. For example
cognitive-behavioural therapy is particularly effective with specific disorders prevalent in economically
developed countries. However, when considered within the total international context, these
applications remain supported by medical aid schemes as band-aid quick fixes. More comprehensive,
equitable and effective applications are needed globally and locally.
People in less economically developed countries, especially in rural regions in Africa and Asia which
lack in modern health care, make effective use of alternative and complementary health care. This
includes the practise of indigenous psychologies, typically by consulting indigenous healers in loca
community contexts. Yet even in wealthier countries, where modern healthcare is readily available, there
has been a trend towards holistic, alternative and complementary health care approaches. Thus, a
pragmatic answer is that indigenous psychologies are needed to complement other approaches
throughout planet Earth.
 SUMMARY

• A major goal of psychology is to understand and help people.

• In a diverse global world, it is unfortunate that, due to centuries of colonialism and cultural
imperialism, mainstream psychology still relies on theories and explanations developed in North
America and Europe.
• As a result, indigenous psychologies of Africa and Asia are under-valued.
• In apartheid South Africa, oppressed people were subjected to assessment and treatment which
did not reflect their worldview.
• As part of developments in critical psychology, ancient forms of knowledge are now being
integrated into universities and psychological practices.
• There is a need to develop a holistic psychology which caters for people’s diverse religious and
cultural beliefs.
• African psychology focuses on the experiences of black people; Eastern psychology refers to belief
systems that arise out of Asia and the Middle East. Both systems accommodate the great diversity
in these areas.

Introduction to African psychology

Zolile is 18 years old and a first-year student. After only a few months of university, he has been
experiencing what he recognises as bad spirits. He often does not sleep well at night because the
spirits ‘press him down’ (uyacinde-zeleka). In the mornings he is tired and cannot concentrate
well in his classes. He also feels uneasy most of the time, and is constantly aware that there are
neighbours in his community who are not happy about his success, and have reason to harm him.
His mother has advised him to wait until the end of the term so that she can mix some herbs for
him to bathe in. She is aware of the situation, and since they have been recently bereaved, they
have to wait until the right time to have a cleansing ceremony that will get rid of these symptoms.

is scenario is one of many that face psychologists working in the

African context. With the diaspora of African people, there have also been
difficulties faced by mental health practitioners in Australia, Europe and
other parts of the world. is is because of African immigrants in the
diaspora who suffer from mental health problems but are unsatisfied by
current psychological interventions that ignore their social, cultural and
spiritual worldviews. African psychology has therefore been a response to
many difficulties that are faced within research, intervention and
understanding of the spiritual bases of African problems. It is a growing
paradigm in psychology that is seeking theoretical, clinical and critical
relevance. Although African psychology is still in the process of freeing
itself from the colonial shackles of intellectual imperialism and cultural
oppression, its goal is to be relevant not only for the African person in
Africa, but a psychology that can adapt to globalisation and
acculturation and the fluid experiences of African people in the global
village.
African psychology, or Afrocentricism, is first and foremost informed
by the lived experiences of African people in Africa, as well as the world
(Magwaza, 2013; Mkhize, 2004; Motsemme, 2003, Nsamenang, 1999).
Here, ‘African’ refers to people who identify as being of African origin or
descent. Although there is currently no uniform definition of African
psychology, the discipline began as an exploration of how the historical
conditions of slavery and racism led to a certain type of psyche of
Africans living in the US, and how this psyche can be understood.
However, Nwoye (2014) suggests that African psychology can go
beyond the historical nature of African psyches to study the current
issues pertaining to African mentalities. He further states that African
psychology must incorporate the ‘systematic and informed study of the
complexities of human mental life, culture and experience in the pre-
and post-colonial African world’ (Nwoye, 2014, p. 57). e aim is to
identify and to understand those important rituals, theories and
techniques that are so salient in African indigenous communities, and
study the effect of these on the psyche of African people.
Asante (1988, p. 45) asserted that ‘Afrocentricity questions your
approach to every conceivable human enterprise. It questions the
approach you make to reading, writing, jogging, running, eating, keeping
healthy, seeing, studying, loving, struggling, and working’. Psychology is a
changing field, and as the changes occur, there is a need to incorporate
multiple worldviews in understanding the behaviour of human beings.
Mazama (2001, p. 388) states:
e Afrocentric idea rests on the assertion of the primacy of the African experience for
African people. Its aim is to give us our African, victorious consciousness back. In the
process, it also means viewing the European voice as just one among many and not
necessarily the wisest one.
In order to understand African psychology, we have to understand
African cultural worldviews. In the other chapters of this book, most of
the theory, philosophy and concepts used to understand the world are
based on Western principles. In this chapter, we attempt to see the world
differently by imagining that the person we are trying to understand is
specifically a black African adult or child. How can psychology be made
relevant here?

The Afrocentric worldview

African traditional thought has much to say about the lived experiences
of the people in all aspects of their lives. is includes their personality,
their drives, their thoughts, their psyche, spirituality, values, morals and
relationships. It is the business of African traditional thought systems to
explain behaviour and thereafter help people change those behaviours
that do not contribute to their highest values and morals. e morals and
values refer to becoming umuntu, that is, becoming a person or, in
traditional psychological words, the development of personality
(although personality in its individualistic form is not the only facet to
which we refer). In this process, specific values must be actualised, and
this can take a lifetime. As a result, illness, disharmony and/or
disequilibrium are all spaces where the process of becoming umuntu is
being disturbed and healing is sought for such disturbances.
African societies generally conceptualise life in an interdependent
manner and all aspects of life are impacted by the spiritual world
(Bojuwoye, 2005; Graham, 1999; Holdstock, 2000; Mkhize, 2004).
Interventions that seek to assist people of African descent need to be
cognisant of the nature of the worldview of the people that they seek to
assist.
An African worldview has God as the source, energy and strength. If
we were to illustrate this worldview using a flower, its roots would be its
spiritual nature and the soil the balance and harmony that strengthen the
roots and hold it firm. e stem would represent the rituals and
ceremonies often practised by most African people – the stability of the
worldview. e petals would represent the beauty that we eventually see
in an ideal community, where all the different tenets, or building blocks,
come together. e basic building blocks of the African worldview, and
therefore the building blocks of an African psychology, include the
interconnectedness and interdependence of all beings; the spiritual
nature of human beings; the communal self; the validity of affective
knowledge; the oneness of mind, body and spirit; and the value of
interpersonal relationships. Noting and understanding the interaction of
these factors help us to formulate our understanding of health, illness
and treatment for African people suffering from psychological distress.
ese tenets are defined below.

The interconnectedness and interdependence of

all beings
According to Graham (1999), there is great importance given by African
people to the relationship between living, non-living and other elements
of the universe: people, animals and inanimate objects. ese are all
dependent on each other within a specific hierarchy of beings (Mkhize,
2004). According to Wessels and Monteiro (2006), in rural areas, people
attribute events in the visible world to events in the invisible world of the
ancestors.
Wessels and Monteiro (2006) also say that, having a spiritual
cosmology, rural people often regard spiritual stresses as primary even
though their trauma narrative offers little insight into the spiritual nature
of the problem. For example, often when greeted they respond with ‘All is
well, except a little flu’. One may think that the ‘flu’ speaks of a physical
ailment within the individual, whereas it may actually refer to some kind
of conflict within the family, the cause of which often is the result of
bewitchment. us, many of the ailments, whether physical, emotional
or even psychological, are believed to be primarily spiritual. Within this
view, Graham (1999) believes that the relationships in which everything
is interconnected provide individuals with a sense of purpose and
connection with their families and community. Aspects of personality,
such as self-esteem and social competence, are then positively
developed through harmonious social relationships.
The spiritual nature of human beings
Many authors (Bojuwoye & Edwards, 2011; Dei, 1994; Edwards, 2011;
Mkhize, 2004; Nwoye, 2005; Phillips, 1990; Schiele, 1990, 1996) all agree
that a critical tenet of African cosmology and psychology is the spiritual
nature of human beings. is applies to the make-up of personality,
motivation, lived experiences and behaviour. ese are all propelled by
the spiritual world which is active in the life of the person and family.
Rituals to appease the spiritual world and petitions to the spiritual realm
are all a natural part of life; in addition, the veneration of ancestors in the
spiritual world is of great importance. According to Dei (2002, p. 341), to
be spiritual involves acknowledging ‘the power of the inner will to know
and understand the self and to be able to interact with the outer world
and the collective’, while being non-spiritual, in contrast, is the ‘failure to
show individual humility and to work with the knowledge that comes
from knowing the self and inner spirit’. In African terms, this is a failure to
act in ubuntu.
It therefore makes sense that when there is illness or disharmony of
any kind, the individual will express this as having come via his/her
spirit. Zolile’s experience, for example, of spirits pressing him down when
he sleeps is a symptom not only of the physical attribute of insomnia, but
of distress in the spiritual realm. Although he may relate this as a dream
that he was having, it is dealt with as if it was reality, and physical
washings are then carried out to cleanse him on a spiritual level.
Furthermore, the cleansing ritual recognises and represents the fact that
Zolile is still in a spiritually vulnerable space because of his recent
bereavement. Since this ‘dark cloud’ is hovering over him, it is expected
that both spiritual as well as physical symptoms will manifest.

The communal self

According to Nwoye (2006), the idea of the communal self is used to refer
to the relational (or dialogical) and inclusive character of the African self.
e notion common in African communities is the self as a participant in
the lives of others. is places emphasis on the phenomenon of social
solidarity or mutual dependence of selves, including the living and the
dead (the ancestors). It can be said that this idea is distinct from the idea
of interconnection in that this is the basis upon which an African
personality can be understood. Whereas interconnection is a
philosophical understanding of why things are as they are, the idea of the
communal self gives us the understanding of the behavioural patterns of
individuals.
is implies that part of the centre of gravity of the African self is a
dialectic connecting him/her and members of his/her community. If
one has been cast away from the community, part of the self is no longer
there (Nwoye, 2006). is notion of collective identity focuses on human
similarities and commonalities, over individual differences, thus
emphasising collective responsibility when living in community. e
axiom ‘umuntu ngumuntu ngabantu’ has been cited many times to
illustrate this idea. Loosely translated, this is an isiZulu saying that means
‘a person is a person through other people’, or ‘I am because you are, and
since you are, therefore I am’. is saying illustrates one’s responsibility
towards others, and the community’s responsibility towards the
individual.
is valuing of one’s space in the community brings to the individual a
consciousness of others, and a sense of connection and mutual
participation in each other’s lives. Total separation and independence
from one’s family home or community are not valued, as is common in
Western cultures. Many Western developmental theories see the purpose
of a person’s life stages as gradually achieving independence from one’s
family and moving towards self-reliance.

The validity of affective knowledge

African ways of knowing are cognisant of the fact that personal
subjectivity and emotionality must be legitimised (Dei, 2002; Schiele,
1990). As such, although humans are rational beings, with the ability to
think rationally and to make objective, mechanistic and scientifically
sound decisions, African psychology takes a position that this is a limited
view. Owing to the interdependence of all things, the subject (e.g. the
scientist, psychologist or person) is never truly separate and autonomous
from their object of knowledge (the topic being researched, understood
or theorised).
Instead, Schiele (1990) believes that human behaviour is influenced
by a multitude of positive and negative experiences resulting from social
interactions. erefore, our emotions (affective experiences) can drive
our behaviour resulting in specific decisions, actions and more feelings.
Knowledge, therefore, is always affected by the knower’s values, beliefs,
ways of making meaning and emotional states. Consequently, affective
decision making and knowledge are incorporated as an integral learning
component that affects the way we experience and understand the world
and generate knowledge.
Traditional African thought considers that emotional states affect
one’s whole outlook to life and living. An emotional state (feeling sad,
depressed, happy, jealous, etc.) can easily be used as a measure of the
wellness of the person, family and community. In fact, Schiele (1990)
contends that the only way for one to directly experience the self is
through affect. is way of thinking contradicts the dichotomous ways in
which the West sees the world. e subjectivity/objectivity,
rationality/irrationality splits are challenged. Instead, any level of
objectivity or rationality is offset by a means of knowing through affect
(Schiele, 1990). When intimately connected to spirituality, affective
knowledge becomes an important source of knowing (Dei, 2002).

The oneness of mind, body and spirit

e idea that the mind, body and spirit are separate entities is unheard of
in an African understanding of life. Any division of the mind, body and
spirit indicates a limited view of people, because each is given equal
value and is believed to be interrelated in African psychology (Graham,
1999). African people are careful not to separate these aspects of self
because they believe that this may cause neglect of some aspects, such as
the spiritual self.
Looking at Zolile, for example, if we only focus on his lack of
concentration at lectures, we may miss other aspects. According to an
African perspective, Zolile’s mind is probably sidetracked by the death of
his father. His body is also not coping. To help him, a cleansing ritual
must be performed because his problems may be linked to what
Ngubane (1976) describes as pollution. Ngubane (1976, p. 274) explains
pollution as umnyama, which means ‘darkness of the night’ or a ‘dark
cloud’ hovering over a person. She says that darkness is symbolically
seen as representing death. Pollution for Zulu people can be seen as a
marginal state believed to exist between life and death. It is
conceptualised as a mystical force, which diminishes resistance to
disease, creates conditions of misfortunes, disagreeableness and
repulsiveness, showing disequilibrium among the family or community
(Ngubane, 1976).
Considering the above, the promotion of optimal health must include
all aspects of the self, that is, the mind, body and spirit. All these aspects
must be at harmony and balance, and many rituals are performed to
ensure this.

The value of interpersonal relationships

Interpersonal relationships are not only valued, but enhanced through
numerous rituals and ceremonies in many African communities. ere is
pre-eminent value in enhancing relationships and maintaining them.
One has only to look at the efforts which African people will make to
emphasise success, attend functions that are far away, have extravagant
funerals, have prolonged marriage ceremonies etc. All this is done to
sustain relationships within the community. e idea is that when
interpersonal relationships are maintained in a community, the end
result is the preservation of that community (Schiele, 1990). According to
Phillips (1990), the maintenance of harmony, balance and equilibrium
are the focus of African perspectives. As such, the inclusive nature of
rituals and ceremonies moves people towards harmony with each other
and the universe. is provides fertile ground for the development and
success of the people within the community.
 SUMMARY

• African psychology has developed in response to difficulties (based in slavery and racism) faced by
people of the African diaspora; it is now aimed both at these people and the African person in
Africa.
• African psychology needs to adapt to globalisation and acculturation while also understanding the
important rituals, theories and techniques salient in African indigenous communities.
• An Afrocentric approach is needed in order to understand African cultural worldviews while
focusing on the primacy of the African experience for African people.
• African traditional thought informs the lived experiences of African people in all aspects of their
lives and aims to ensure moral behaviour (becoming umuntu).
• Illness, disharmony and/or disequilibrium indicate that the process of becoming umuntu is being
disturbed; healing is sought for such disturbances.
• African societies conceptualise life in an interdependent manner; all aspects of life are impacted by
the spiritual world.
• In an African worldview, God is the source, energy and strength; rituals enable stability and
harmony.
• There are a number of building blocks to the African worldview:
» The interconnectedness and interdependence of all beings (all living, non-living and other
elements of the universe are dependent on each other within a specific hierarchy of beings)
» The spiritual nature of human beings (this is a critical tenet of African cosmology and psychology)
» The communal self (this is the relational – or dialogical – and inclusive character of the African self
which is connected in a dialectic with members of the community)
» The validity of affective knowledge (African psychology goes beyond the rational to incorporate
personal subjectivity and emotionality)
» The oneness of mind, body and spirit (these are interrelated and of equal value in African
psychology; they must be kept in harmony and balance through rituals)
» The value of interpersonal relationships (these are enhanced and maintained through rituals and
ceremonies).

A critical look at ubuntu

Ubuntu, according to Kamwangamalu (1999), is an Nguni term which
translates as ‘personhood and humanness’. He goes on to say that not
only is this concept found in many African languages (Kikuya and
Kimeru in Kenya; kiSukuma and kiHaya in Tanzania; shiTsonga and
shiTswa in Mozambique; Bobangi, kiKongo and giKwese in the
Democratic Republic of Congo), it is also a concept that defines the ideal
way of life for Africans, and is an integral part of African language and
culture (Kamwangamalu, 1999).
 A failure to treat all persons with dignity, respect and regard is a failure
at being umuntu (a person). As such, many authors regard ubuntu to be a
philosophy of life that is one’s testimony to being human, reflecting one’s
fundamental need to show oneself as qualifying to be human. An
example of this is showing such characteristics as an ability to lead in
issues pertaining to African heritage, culture, customs, beliefs, value
systems and extended family structures and beliefs. Authoring this
chapter is a statement of ubuntu, as is a good disposition towards others,
and giving of alms.
However, a common critique of ubuntu is that if African people have
such a good philosophy on life and living, then why is Africa faced with
so many social ills? One only has to Google ‘Africa’ and the first results
relate to violence. In South Africa, there were 46 253 reported rapes and
17 068 reported murders in 2013/4 (Africa Check, 2014). Unethical
leadership also plagues the post-1994 government, with R700 billion lost
to corruption in 20 years (SAPA, 2015). e 2015 State of the Nation
address was brought to a halt by opposition parties asking the president
to pay back money ‘owed’ by himself to the country for the expenses
incurred by his extravagant Nkandla home.
In Nigeria, 14-year-old boys and young girls are forcibly involved in
the war between the government and Boko Haram. ese children are
either kept as hostages, or used as soldiers for either party. Other
examples include terrorism that continues in the Democratic Republic of
Congo, the persecution of sexual minorities in Uganda, racism that
continues in South Africa, the increasing gap between the rich and the
poor throughout the continent, and the ever-shrinking economy of
Zimbabwe which leaves its citizens impoverished, desperate and
demoralised.
In light of the above, one may say that this idealised concept is a
romanticism of both African psychology and ubuntu itself. However, it is
well worth noting that a philosophy should not be measured only by its
weaknesses, but by its strengths. Our aim is to maximise on the potential
of the philosophy to help Africans respond to African problems using a
philosophy that best resonates with them.
Let us consider nepotism as an example. Nepotism in business or
politics is patronage or favouritism shown on the basis of family
relationships. Many African leaders have been accused of nepotism.
What would influence one’s decision to favour a friend or family
member? Assuming that the individual in question uses ubuntu as the
yardstick that measures morality, he/she is obliged to work hard enough
to be able to favour family members and friends in positions that will
eventually help that family or community financially. Using this
communitarian ethic, one could controversially argue that this is the
moral thing to do, notwithstanding the criminal nature of the act
according to the law. In fact this speaks to all the aspects of being a truly
moral person, for whom the status of being umuntu can be bestowed.

African psychology – reflection

To conclude this section, consider Mazama’s (2001, p. 388) plea to
African scholars:
e challenge is monumental: Our liberation and Afrocentricity contends and rests upon
our ability to systematically displace European ways of thinking, being, feeling, and so forth
and consciously replace them with ways that are germane to our own African cultural
experience.

New initiatives, such as the creation of the Forum for African Psychology
(FAP), a division of the Psychological Society of South Africa (PsySSA),
are helping advance this paradigm (Magwaza, 2013). Additionally, the
first Pan-African Psychology Union (PAPU) workshop was held in Accra,
Ghana on 26–27 April 2013. It was hosted by the Ghanian Psychological
Association, the University of Ghana and the International Union of
Psychological Science (IUPsyS). Participants included presidents and
representatives of psychology associations in Cameroon, Ghana, Egypt,
Liberia, Nigeria and South Africa. e International Union of
Psychological Science (IUPsyS) was represented by two South African
psychologists – former Robben Island prisoner and current IUPsyS
president, Professor Saths Cooper, and Secretary-General Ann Watts. e
speakers urged the mobilisation of African capacities, knowledge, voices
and wisdom to inform human development not just on the continent, but
also globally. How can you, a university student who is an emerging
researcher, practitioner or social scientist, also take up this challenge?
 SUMMARY

• Ubuntu represents personhood and humanness; it is an integral part of African language and
culture.
• All persons should be treated with dignity, respect and regard.
• Ubuntu seems to have broken down in many parts of Africa; the concept seems to be idealised and
romanticised.
• The philosophy needs to be maximised to help Africans respond to African problems in a way
which resonates with them.
• New initiatives are helping to advance African psychology with the aim of mobilising African
capacities, knowledge, voices and wisdom globally.

Introduction to Eastern psychologies

What we call ‘normal’ in psychology is really a psychopathology of the average, so
undramatic and so widely spread that we don’t even notice it.
Maslow (1968, p. 21)

The Hindu worldview

Hinduism is an ancient Indian philosophy which lays claim to being the
oldest living religion. is section is based largely on the works of
Compton (2012), Dass (2004), Knott (1998), Prabhupada and Dasi (1999)
and Prabhupada (1972) and will show that Hinduism is also an elaborate
psychological system, aimed at helping people achieve greater self-
discipline and self-awareness.
Originally called Sanatana Dharma, the eternal way, its scriptures are
collectively known as the Vedas and were passed down orally for
thousands of years before being written in the Sanskrit language from
about 1400 BCE (Rosen, 2002). e world, according to Hinduism, has
gone through four cycles, or yugas. Satya Yuga (Golden Age of truth)
emphasised meditation; Treta Yuga (Silver Age) emphasised sacrifices;
Dvapara Yuga (Bronze Age), emphasised worship of deities; and the
present fourth and final age, the Kali Yuga (Iron Age of darkness),
emphasises the chanting of holy names. is age is described as an
epoch of moral and social decay, in which righteousness, truth,
happiness, peace, wisdom and spirituality will be at an all-time low.
What does this mean for the psychology of our humanity?
On the one hand, the picture is rather bleak. Depression, anxiety,
materialism, ignorance, environmental destruction, wars and other
negativities will permeate our existence and deepen our malaise. On the
other hand, it seems obvious that the incentives to escape this world
once and for all are many. is creates a kind of spiritual optimism,
because Hindus believe that the world as we perceive it is an illusion, or
maya. e goal of life is to escape this maya and to liberate oneself and
move onto the next level of existence. ere are methods for this which
are outlined in the Vedas, and specifically in a story called the
Mahabharatta. Inside this epic is a shorter dialogue between Arjuna, a
warrior, and Krishna, his friend (who is actually God in disguise, an
avatar). is conversation is called the Bhagavad Gita, or Song of the
Divine, and succinctly summarises Hindu philosophy and its major
concepts (Prabhupada, 1972).
e setting for the dialogue is a battlefield, with both sides ready to
attack. Here, Arjuna is in a state of despair, conflicted about what to do
because his loved ones are on both sides of the combat. Win or lose, he
will have harmed people he cares for. If he avoids the war and spares
himself the trauma and guilt of killing his loved ones, he will have to
endure the shame and indignity of abandoning his duties. Krishna and
Arjuna then have an intense, quite psychotherapeutic conversational
encounter, wherein Krishna advises Arjuna on how to approach this
dilemma. Bhatia, Madabushi, Kolli, Bhatia and Madaan (2013, p. 316)
comment that ‘Arjuna’s dilemma is an allegory of our lives where our
internal conflicts related to positive and negative dynamisms are fought
on the battlefield of our minds’. e key concepts covered in the Gita
(atman, reincarnation, karma, maya, yoga, dharma and moksha) are
summarised below.

Atman
Krishna’s major point is that death is not the end of life. e soul, or
atman, is an indestructible life force that resides inside the body. e
body is animated and given life by the soul, which enters the body at
conception and leaves the body at death. People therefore exist beyond
their physical bodies. e soul, being indestructible, is like energy –
neither created nor destroyed, only transferred. e soul has none of the
material qualities of the body, such as a sex or species, so this
transformation involves the reincarnation of a soul into a new form of
existence, which could be another human body, an animal, a plant or
even a demi-god.

Reincarnation
e theory of reincarnation states that your current existence is part of an
ongoing cycle of birth, death and rebirth. Your material, physical body
may die and perish, but your soul lives on forever, transmigrating into
new forms of life. e reason for this is karma.
Figure 28.2 A reincarnation symbol

Karma
e theory of karma states that for every single action there is an opposite
and equal reaction. is means that no thought, feeling or behaviour that
you experience will go unaccounted for in the grand scheme of the
universe. If you cheat on a test or examination, you are bound to
experience in living form events that compel you to understand why
cheating is wrong. If you harm someone else, you will be harmed one
day. If you lie to your partner, you will be lied to one day. Karma is your
spiritual bank balance, constantly being credited and debited by your
every action.

Figure 28.3 Karma

is cosmic justice system ensures universal fairness among all

creatures, because you will be equally rewarded and punished for every
single good and bad action respectively. But karmic reactions may be not
be fulfilled in one lifetime, so you may carry karmic baggage into your
next life, though you will not remember it. e soul carries this spiritual
baggage, and the soul is only freed from reincarnation once all good and
all bad karma is settled. e only way for this to happen is for a person to
begin a conscious path of spiritual self-realisation, a process called yoga,
and relinquish all types of positive and negative rewards and see life for
the façade that is it – maya, a material illusion.

Maya
Maya means illusion, and although winning the lottery may seem like a
pretty good illusion, and getting cancer may be seem extremely unfair,
maya induces us to look at both these experiences similarly – part of the
superficial materiality of the world. Our spiritual purpose would be to
stop accruing good and bad karma and finally escape this maya.
Attachment to maya is the root of suffering and anxiety because it creates
desires that can never be fulfilled permanently. Like an intense movie
that reels us in and makes us laugh or cry or feel scared, we participate in
the movie-watching experience while knowing that it is not really
happening. It will end, and we can go back to our ‘real life’. However, to
avoid being stuck in this unreal movie forever, to end the reincarnation
cycle, specific methods are prescribed in the Vedas.

Yoga
e media and gyms have popularised yoga as secularised body exercises
and meditation poses, but yoga is much more than this. Yoga means
‘union with God’ (White, 2012). Different personality types may follow
different pathways to transcend maya and achieve moksha, spiritual
liberation. Krishna elaborates four main yogas in the Gita:
• Jnana yoga is for the intellectual types who want to rigorously study
the philosophy and nature of existence.
• Karma yoga is for the practical types who want to do acts of kind
service motivated by compassion.
• Raja yoga is for the disciplined types, who want to learn to control
their thoughts, body, breathing and sensory desires.
• Bhakti yoga focuses on wholeheartedly loving God through
devotional practices.

Additionally, the sage Patanjali’s Yoga Sutras are spiritual texts for
additional methods to practice yoga (Compton, 2012):
• Hatha yoga focuses on strengthening and purifying one’s body
though specific postures and exercises.
• Mantra yoga focuses on sacred sounds to improve concentration
during meditation, such as the OM/ AUM syllable.
• Laya yoga focuses on disciplined sitting.
• Kundalini yoga focuses on awakening the seven spiritual energy
centres throughout the body, called chakras.
Figure 28.4 The OM/AUM symbol

Different people can choose different paths, but they all lead to the same
result. Likewise, even across religions, Hindus believe that all religions
and genuine spiritual practices, be they Christianity, Islam, Jainism, etc.
will all lead to the same place eventually. Hindus value different religious
systems as different truths for the same purpose of spiritual liberation.

Dharma
ese yogic pathways to escape maya do not mean becoming a recluse
who meditates on the Himalayan hilltops in a saffron robe away from
civilisation – though this is certainly an option for the dedicated. One can
escape maya while participating in it, but – and here is the key – with an
attitude of detachment. is means performing one’s duty, or dharma,
but acknowledging that this is all temporary and only one level of one’s
existence. Your dharma as a student, an employee, a parent, a citizen and
a spiritual seeker should be dutifully fulfilled without becoming attached
to the results. Service without attachment is called seva, a term also used
to describe genuinely charitable actions. Dharma ensures a larger social
and moral order beyond the individual person. It keeps the system
balanced.

Moksha
Finally, once the soul has reincarnated hundreds of thousands of times,
accrued and lived out all its karma, and successfully navigated its yogic
path, the person reaches a state of total union with God and the soul is
freed from rebirth. is moment of transcendence is called moksha, or
liberation.
28.2 HINDUISM AND FEMALE DIVINITY
By Alleyn Diesel, PhD (1998) (Formerly of University of KwaZulu-Natal)
Hinduism is the only living religion which practises veneration of divinity in female form. This uniquely
women-focused tradition encapsulates in its characteristics and mythology the potential for the
empowerment of contemporary women. This is particularly true in the ancient Dravidian Amman
(Mother) tradition of south India which appears to have pre-patriarchal roots extending back to the
Indus Valley civilisation. These Earth Mother Goddesses are revered as creator and sustainer of the
fertility and wellbeing of the earth, animals and humans, manifest in all creation.
Hinduism venerates not only the mild, consort goddesses, partners of male divinities (such as Parvati
Lakshmi, Sarasvati), but also these potent female divinities, independent of male control (Draupadi,
Durga). The powerful mythology of these goddesses relates multiple incidents of sexual assault, abuse
and false accusations, but these determined, courageous women are eventually vindicated, sometimes
only after death, and elevated to divine status. These suffering Mothers therefore understand the pain of
their human daughters, offering potentially liberating role models for women.
Highlighting these images of divine motherhood – correcting the imbalance of the traditionally
accepted male divinity – can challenge gender injustice, and encourage the promotion of feminine
values, such as creativity, nurturing, compassion and reverence for all creation. In our present moral crisis
of violence and abuse of fellow humans and the environment, particularly apparent against women and
children, this worldview could assist in defining a gentler way for women and men to engage with a
new spiritual consciousness, rather than perpetuating the competitive violence, destruction and
materialism too often fostered by our consumerist societies.
 SUMMARY

• Hinduism claims to be the oldest living religion; it is also an elaborate psychological system, aimed
at helping people achieve greater self-discipline and self-awareness.
• The Hindu scriptures are known as the Vedas.
• According to Hinduism, the world has gone through four cycles or yugas.
• Hindus believe that the world as we perceive it is an illusion, or maya. The goal of life is to escape
this maya and the methods to achieve this are outlined in the Vedas.
• Included in the Vedas is the Mahabharatta which contains the Bhagavad Gita; this summarises
Hindu philosophy and its major concepts.
• The key concepts covered in the Gita are as follows:
» Atman (the indestructible life force/soul that resides inside your body; upon physical death this is
reincarnated in another physical form)
» Reincarnation (your physical body dies, but your soul lives on in a new life form)
» Karma (a system of cosmic justice: every action you make results in an opposite and equal reaction)
» Maya (the illusions of life; attachment to these is the root of suffering and anxiety; the Vedas tell
you how to end the reincarnation cycle)
» Yoga (means ‘union with god’; the four main yogas in the Gita are Jnana, Karma, Raja and Bhakti.
Other yoga methods are Hatha, Mantra, Laya and Kundalini yogas)
» Dharma (the duty to serve without attachment)
» Moksha (a state of total union with God in which the soul is freed from rebirth)

The buddhist worldview

Buddhism is a moral philosophy/religion based upon the teachings of
Siddhartha Gautama (566–486 BCE), popularly known as the Buddha,
‘the awakened one’. A wealthy prince, he once had all the riches he
needed, but was unhappy; he then renounced his wealthy life and lived a
pauper’s life but was still unhappy. He came to realise that a middle path
of self-control – neither hedonistic nor ascetic – was the path to self-
liberation. Buddhism teaches a process for self-enlightenment and
awakening to the true nature of reality called nirvana (absolute
truth/bliss). Although Hinduism and Buddhism share many similar
beliefs, such as karma, maya and reincarnation, there are also stark
differences described in more detail elsewhere (Compton, 2012).
Figure 28.5 The Tian Tan Buddha

Buddha’s teachings are collectively called the Pali Canon, written in

the Pali language. His liberating insights revealed ‘Four Noble Truths’
that are the foundation of Buddhism:
• Life is suffering.
• Desire causes suffering.
• Suffering can end.
• Use the eightfold path to end suffering.

ey all highlight dukkha, anxiety or suffering, and explain ways to end
it. ey are discussed further in the sections below.

The human condition involves suffering

Buddhists contend that nothing is permanent; everything will end, fade,
or cease to be. Since death is inevitable, we will lose everything
eventually. Physically and psychologically, pain and suffering are
inescapable as we experience life, its temporary joys and sorrows, grow
old and eventually die.
Suffering is caused by our desire and attachments
Since nothing is permanent – none of our happiness or unhappiness –
life is seen as an endless cycle of temporary gains and losses. Attachment
to pleasures, aversion to pain and ignorance of the nature of reality, are
the three main origins of suffering. As long as we are stuck in this cycle,
aimlessly craving our desires, we are suffering, because the world as we
perceive it is a material illusion and our cravings can never be
permanently satisfied. Desires for wealth, fame, titles, possessions, sex,
food, image, identity, etc. keep us clinging to the vicious cycle of
submission to material things.
Table 28.1 The eight-fold path of Buddhism
 Seeing the world as it really is, not as
you believe or desire it to be; this
means a deeper perception beyond
Right understanding the material surface. This is like
looking at a map and actually
understanding what the map is
telling you about that area.
This is an emotional, heartfelt need,
Right intent or deep desire to want to embark on
the journey of self-realisation
This is thoughtful communication by
speaking kindly and avoiding all
Right speech
forms of abusive, slanderous, unkind
speech towards others.
This is ethical, non-violent living that
Right action does not harm others or wrong
others in any way.
Your job or livelihood should not
Right livelihood harm others, either humans or
animals, directly or indirectly.
This is a focused, determined attitude
Right effort that enthusiastically propels you
forward.
This a specific type of heightened
awareness, where you intentionally
pay attention to yourself, your
Right mindfulness feelings, thoughts, bodily reactions
and environment, and notice more
deeply what is going on, inside and
outside of you.
Right concentration An uncluttered, mindful mind that is
easily able to go into a deep state of
 meditation and awareness.

End all desires and attachments to stop suffering

If desires cause suffering, then the simple solution is to stop desiring. If
being attached to temporary things causes suffering, live with
detachment. is solution means changing our attitudes towards
negative and positive experiences, because all emotions and experiences
are transient, so we should not over-invest or get too excited or depressed
about a particular feeling, thought or event. e mantra for this attitude
would be ‘It is what it is, for now’. is leads to equanimity: calmness,
balance, stability and self-control.

Eight strategies to end suffering

Buddha further recommended ‘the noble eight-fold path’ that
emphasises ethical living. ese are right understanding, right intent,
right speech, right action, right livelihood, right effort, right mindfulness
and right concentration (see Table 28.1). e outcomes of these eight
paths should be loving kindness and compassion towards all. In
Buddhism, wisdom and compassion are twin virtues. A wise person is a
compassionate person and vice versa.
Like Hinduism, the path to self-realisation may take many lifetimes of
reincarnation, and each re-birth carries the karmic debts and benefits of
the previous lives. However, Buddhism differs sharply by stating that we
do not have souls that transmigrate after death. Instead, it is
consciousness that continues to exist even after the material body dies,
and this consciousness and life energy is what gets reincarnated into new
forms. An example commonly used in Buddhism is that of a wave in an
ocean. Once the wave hits the shore, the wave appears to exist no longer.
However, the wave is merely reintegrated back into the vast ocean and
eventually reaches the shore again. is process of becoming a wave and
reintegrating back into the ocean is analogous to the Buddhist version of
rebirth (Compton, 2012).

Dependent origination
A tricky but logical conclusion of Buddhist thinking is that even our ‘self’
does not exist and is temporary – there is no ‘self’ outside of our
perception of it. Buddhists reject the idea of an inner self, soul or mind.
Buddhists argue that this false belief in an independent self creates
harmful thoughts of ‘me’, ‘mine’ and ‘I’, causing individualistic desires
that increase attachments and deepen suffering by leading to greed,
power, fame, fortune and other temporary highs and lows that are the
origins of dukkha.
To better explain this concept of no-self, take the example of a car.
What is it that makes up a car? Is it the wheels? e engine? e radiator?
e metal casing? e fuel? It is all of this together, right? When we say
‘car’, we are actually referring to the sum total of all these parts, but we
never refer to just one part alone as the car. Although each part co-
creates the car, no part on its own could ever be a car.
Similarly, our perception of the ‘self’ is a temporary network of
interconnected parts that could never exist by themselves. ‘I’, ‘me’, ‘self’,
‘soul’, and so on are just convenient labels for a temporary arrangement
of elements. is is dependent origination. Buddhists call these
elements the five skandhas:
• form or matter, such as our physical body
• sensations or feelings, which arise from our interaction with matter,
producing pleasure or pain
• perceptions, which allow us to make sense of, recognise and organise
information
• impulses or mental formations, which trigger actions towards things
• consciousness, which is the dynamic interaction of the preceding
skandhas that creates the illusion of a stable, permanent self.

ere is no separate, independent self outside these five skandhas. All

have total interdependence and everything, internal or external, is
causally connected in the universe.
A common, cynical criticism of Buddhism is that it seems to negate
and diminish the value of a person to nothing. However, this is not the
case, as Mosig (2006, p. 45) reminds us:
 … it [Buddhism] empowers the individual by erasing the boundaries of separateness that
limit the personal ego or self. e person becomes transformed from an isolated and
powerless individual struggling against the rest of the world, into an interconnected integral
part of the universe. e person’s boundaries dissolve, and the person becomes the
universe.

Realising our universal oneness should therefore generate universal

compassion and kindness because wisdom is compassion and
compassion is wisdom in Buddhism. is becomes a psychological
therapy of the everyday variety; it helps alleviate everyday suffering: the
pathology of merely being human. is is the reason for the quote by
Maslow at the start of this section. Unlike mainstream Western
psychotherapy that encourages talking as a means of understanding
one’s self, Buddhism argues that reality is inexpressible, and a direct
experience of reality is best achieved through non-verbal means, such as
meditation. ese meditation processes cultivate mindfulness, which is a
deep form of awareness and insight into the world around us and the true
nature of ourselves. is process of ‘fine-tuning’ our perceptual cognitive
awareness creates an evolved level of consciousness, which facilitates
both spiritual and psychological maturation.

Eastern psychologies – reflection

Eastern psychologies offer us a theory of universal interconnectedness of
all beings, and describe people as inherently spiritual in nature. In these
aspects, they share similarities with African psychologies. e goal of life
in both Hinduism and Buddhism is to progress on pathways of self-
discovery. However, the end goals are rather different. For the Hindu,
who believes in an eternal soul that will reincarnate until final liberation,
the end is a release of their soul to merge within the ultimate spiritual
abode of God. For the Buddhist, who rejects the soul and any inner self,
the end is a state of blissful awareness of our essential emptiness, in
addition to cosmic unification with everything, leading to universal
compassion and wisdom.
Eastern philosophy has shown relevance for our contemporary social
problems and current psychological practice. For example, mindfulness-
based meditation, which has Buddhist roots, has been secularised and
 become part of mainstream psychotherapy approaches. Davis and Hayes
(2011) reviewed the scientific evidence and found numerous benefits to
both patients and practitioners who practise mindfulness, including
improved empathy, compassion and counselling skills during
psychotherapy. Additionally, in a world dominated by technology and
the constant expectation that people be available electronically,
mindfulness meditation and other ‘Eastern escapes’ have become
popular mental detox strategies.

SUMMARY

• Buddhism is a moral philosophy/religion based on the teachings of Siddhartha Gautama (the

Buddha).
• Although Hinduism and Buddhism share many similar beliefs, there are also significant differences.
• Buddha’s teachings are collectively called the Pali Canon.
• The ‘Four Noble Truths’ are the foundation of Buddhism: » Life is suffering (death is inevitable).
» Desire and attachment cause suffering.
» Suffering can end (through giving up our desires and attachments).
» The eightfold path can be used to end suffering (right understanding, right intent, right speech,
right action, right livelihood, right effort, right mindfulness and right concentration).
• Buddhism believes in karma and reincarnation but does not believe in a soul that transmigrates
after death. Instead, consciousness continues to exist after the material body dies and it is this that
is reincarnated.
• Buddhist thinking implies that there is no ‘self’ outside of our perception of it.
• Buddhists reject the idea of an inner self, soul or mind.
• The five skandas of dependent origination are:
» form or matter (our physical body)
» sensations or feelings (arise from our interaction with matter)
» perceptions (allow us to manage information)
» impulses or mental formations (trigger our actions towards things)
» consciousness (the dynamic interaction of the above skandhas that creates the illusion of a stable,
permanent self ).
• Buddhism has been criticised in that it seems to negate and diminish the value of a person.
• Unlike mainstream Western psychotherapy, Buddhism argues that reality is inexpressible, and a
direct experience of reality is best achieved through non-verbal means, such as meditation.
• Eastern psychologies are similar to African psychologies as they offer us a theory of universal
interconnectedness of all beings, and describe people as inherently spiritual in nature.
• Hinduism and Buddhism do differ, however, in their end goals.
• Eastern philosophy has shown relevance for contemporary social problems and current
psychological practice.
Future directions
Indigenising psychology
ink back to Freud’s view of personality, or Skinner’s view of human
behaviour, or Erikson’s life stages, or Maslow’s hierarchy of needs. Do
these theories fit comfortably with the African and Eastern views of life?
Do they match up with the types of thoughts and feelings a Hindu or
Buddhist or African person may have when faced with emotional
problems or when diagnosed with a dreaded disease or after the death of
a loved one?
Chances are, when we take into account issues of spirituality,
community, cosmic unity, karma, yoga or the other pillars of Eastern and
African belief systems, the typical psychological theories we are
accustomed to, or the usual expert advice we might see in magazines and
TV shows, will not quite resonate anymore. It is no surprise, therefore,
that traditional healers are more popular among the majority of South
Africans, who prefer consulting someone who empathises with their
frame of reference.
Interestingly, the gap between traditional healers and professional
psychologists is rather small. In one study, Edwards (2011) found that
although healers and psychologists worked quite differently, they were in
significant agreement when rank ordering biological, psychological,
sociocultural and religious aspects of diagnosis and treatment in the
same group of psychiatric patients. ese patients even rated traditional
healers and psychologists as equally helpful. Similarly, Mkhwanazi
(1989) found that empathy, warmth and genuineness (the main qualities
in Carl Rogers’ humanistic therapy) were also present in isangoma
therapy sessions between diviners and their clients. Kekae-Moletsane
(2008) provides an interesting example of successfully using a South
African seSotho game (masekitlana) in child psychotherapy.
Psychology, therefore, can only benefit from being as indigenous as
possible. In their international analysis of indigenous psychologies, Diale
and Fritz (2007) and Moodley and West (2005) agree with Allwood and
Berry (2006, p. 266) that they ‘are an exciting and creative addition to
contemporary psychology’.

Embracing psycho-spiritual approaches

e need for a spiritual psychology is long overdue (Miovic, 2004). For
example, Eastern and African traditions both see the person as being
made up of different parts, usually physical, cognitive and spiritual, all
interacting in an environment made up of rational, visible beings, and
unseen, intangible forces. is dynamic communication of mind, body
and spirit differs from the Western idea of a mind and body being
distinct, separate entities, usually devoid of spirit. When the equilibrium
or equanimity is disrupted in Eastern or African systems, especially in the
unseen supernatural realm, spiritual illnesses may develop (Laher, 2014).
Although physical and mental illnesses such as epilepsy, bipolar
mood disorder or schizophrenia are not denied, African and Eastern
traditions recognise an additional category of ‘spiritual illnesses’ caused
by a disruption in the supernatural environment (Mkhize, 2004). ese
spiritual illnesses can be categorised as spirit possession, black magic or
ill-will (Laher, 2014). ese do not replace Western diagnostic categories,
but exist in parallel. However, even beyond conceptualisations of
illnesses, the field of transpersonal psychology provides an example of
modern-day psychology incorporating diverse forms of spirituality and
mysticism into its research and practice. Transpersonal psychology
explores the spiritual and transcendent aspects of human existence
(Wilber, 2000). Earlier psycho-spiritual approaches in modern-day
psychology can be seen in the Eastern-oriented work of the Swiss
psychoanalyst Carl Jung (1961).

Growing Afro-Eastern connections

Edwards (2014, p. 527) argues that ‘psychology may be viewed as a
relationship science that connects all the other sciences from
biochemistry to mysticism, anthropology to sociology’. is
interconnectivity bodes well for both African and Eastern approaches,
which also need to connect with each other more strongly, as they have
developed rather separately in psychological thought and writings,
despite many shared metaphysical and cultural assumptions. For
example, Capra (1975) says the essence of the Eastern worldview is the
awareness of the unity and mutual inter-relation of all things and events
as interdependent and inseparable parts of this cosmic whole, while
Markus and Kitayama (1991) argue that the defining feature
distinguishing Eastern and Western lifestyles is that the East values
interdependence of self in community, while the West values
independence of self from community. ese are indeed defining
features of Afrocentric thinking as well.
e way forward is to start thinking about how the East, West and
Africa can co-exist equally, interact meaningfully, and work towards
benefitting humanity.

28.3 WHAT IS THE FUTURE OF AFRICAN PSYCHOLOGY?

Prof. Augustine Nwoye (University of KwaZulu-Natal), responding to a question about the future of
African psychology states the following (Nwoye, 2014, p. 61):

Although, currently, not many students and scholars of psychology in Africa have identified with
the urgent call for the Africanisation of psychology, one can still say that the future of African
psychology is indeed very bright. The anticipated future directions would be along the lines of
continued mapping, elucidation, and consolidation of the field in African universities. … [F]uture
directions will go along the lines of producing relevant theories targeted at improving our
understanding of human beings as cultural beings. Original and creative researches are also
expected, which will aim at generating data to improve the denigrated African image and identity
arising from the regrettable caricature propagated in the literatures of colonial psychology and
psychiatry in which Africa and its peoples are represented as victims of negation and absence. It is
envisaged too that some visionary and forward-looking African universities will soon go beyond
the mere exercise of mounting degree courses in African psychology at the undergraduate level
to the higher initiative of establishing research chairs and graduate programs in African
psychology.
 SUMMARY

• Traditional Western psychological theories do not seem to fit comfortably with African and Eastern
views of life.
• Perhaps as a result, many South Africans prefer to consult with traditional healers, who empathise
with their frame of reference.
• Traditional healers and professional psychologists tend to work differently although they may agree
on various aspects of diagnosis and treatment.
• It will be useful to indigenise psychology as much as possible.
• The need for a spiritual psychology is long overdue.
• Eastern and African traditions are both concerned with the dynamic communication of mind, body
and spirit; this differs from the Western idea of a mind and body being distinct, separate entities,
usually devoid of spirit.
• African and Eastern traditions recognise an additional category of ‘spiritual illnesses’ caused by a
disruption in the supernatural environment.
• African and Eastern approaches also need to connect with each other more strongly, as both value
interdependence of self in community.
• In future, we need to consider how the East, West and Africa can co-exist equally, interact
meaningfully, and work towards benefitting humanity.

Conclusion
is chapter has argued that psychology in South Africa has been skewed in its development, its
teaching and its practice, because it has uncritically imported Western theories of personality,
health, illness, motivation, identity and cognition, resulting in an absence of culturally relevant
theories. African psychology has been the response, with a rallying call to students, scholars and
health professionals to use Afrocentric ideas in their theorising about human beings. Additionally,
the worldviews of Asian people have also been marginalised in the literature, resulting in the
development of Eastern psychology. Together, both African and Eastern psychology represent a
movement towards the indigenisation of psychology and the creation of a more ethical, fair and
contextually relevant field of study and practice.

KEY CONCEPTS

acculturation: the process whereby different cultures meet and are

influenced by each other, resulting either in one culture dominating
another, or an infusion across both
African psychologies: a body of psychological ideas whose initial
focus was on how the historical experiences of Africans in America
had affected their psyches, but has now shifted to understanding the
psyches of people of African descent all over the world
atman: the Sanskrit term for ‘soul’; in Hinduism, the soul is a life force
that animates one’s material body and exists even after the death of
the body
colonialism: the process whereby Western nations established their
rule in parts of the world away from their home territories by
economically, politically and culturally dominating another country
communal self: the idea that individuals cannot be understood
separately from other people, emphasising human similarities and
commonalities rather than individual differences
critical psychology: a field of study that both critiques modern
psychology and attempts to develop new, critical methods of
theorising and practising psychology
cultural imperialism: cultural rule over indigenous people by other
cultures, which transforms their ideas and institutions to suit those of
the ruling culture, and often results in political control and economic
dependence
cultural lenses: a way of perceiving and interacting in the world
through one’s culture, which is influenced by culturally appropriate
norms, thoughts, beliefs and behaviours
cultural psychology: a branch of psychology that studies the
relationship between the psyche and cultural and social practices
dependent origination: a Buddhist law stating that everything in this
universe is inter-related and interdependent, and that nothing
originates independently of related cause and effects
dharma: a complex, Sanskrit term which generally refers to one’s
duty to fulfil religious, social and moral obligations
dialectic: in African psychology, the internal tension or conflict and
interaction of different aspects of the self that are felt in the internal
world of the individual, causing him/her to act in accordance to what
is best for the family and/or community
dialogical: in African psychology, the relational nature of
communication between the self and others or two separate entities
dukkha: a Sanskrit term used in Buddhism to refer to the anxiety and
suffering caused by one’s attachment to things that are not real, such
as a permanent self or material belongings
Eastern psychologies: an umbrella term to refer to a range of
religious, philosophical, social, cultural and psycho-spiritual belief
systems that arise from eastern parts of the world, mainly the Asian
continent; includes Hinduism, Buddhism and Taoism
globalisation: the process of international integration and
interdependence between different peoples, regions and countries in
the world as social, cultural and economic relationships are
stretching worldwide
independent self: a sense of self contained within an individual’s
beliefs, will and behaviour that does not affect the whole family, and
is separate from that of the community
indigenous psychologies: psychological theories and practices that
have been developed within the geographical, social and cultural
context in which they will be applied
intellectual imperialism: a process whereby one set of ideas
dominates over other sets of ideas, leading to oppressive knowledge
production
interdependent self/communal self: a sense of being that enhances
one’s understanding of self as dependent on others, and as such is
considered as one with others and the community
karma: a Sanskrit term in Hinduism and Buddhism that refers to the
moral and spiritual principle of cause and effect, whereby every good
or bad action has an equal, consequent effect back to the person, as a
universal cosmic reward and justice system
lucid dreaming: being aware within a dream that you are dreaming
maya: a Sanskrit term that means ‘illusion’; in Hinduism, the illusory
sensory experience of the material world that appears real but is
merely obscuring the true spiritual nature of reality which one must
aspire to see clearly
moksha: a Sanskrit term in Hinduism that refers to liberation from
the endless cycles of death and rebirth in the material world, and is
the ultimate goal of a Hindu person’s life
nirvana: a Sanskrit term used in Buddhism and Hinduism to refer to
a state of mind that has transcended all illusory material conditions
and attained peace, bliss and enlightenment
pan-African: the idea that African people, both in Africa and in the
diaspora, share a history and a common destiny, and as such ought to
work towards the African agenda
post-colonial: the period after a colonising country formally ends its
domination of a country
reincarnation: the theory of rebirth; in Hinduism, the movement of
the soul from one material body into another, with the type of body
and consequent quality of life depending on one’s karma; in
Buddhism, the continuation of consciousness or life energy into new
forms, because Buddhists believe in a soul inside one’s body
skandhas: a Sanskrit term used in Buddhism to refer to the
aggregates of human experience, or the five components that make
up the human being: matter/material forms, sensation/feelings,
perceptions, impulses/mental formations, and consciousness
subjectivity: personal feelings, emotions and thoughts. It is
contrasted with objectivity that tries to erase or limit a person’s
affective, personal perspective. Western psychology values
objectivity, while African and Eastern psychologies value both
objective and subjective approaches.
ubuntu: the indigenous African idea of growing into wholeness
through relationships, compassion, hospitality and generosity, and
treating all human beings with respect and dignity
Vedas: the collective term for the large volumes of Hindu scriptures; a
concept is Vedic if it originates from the Vedas
Western psychologies: Euro-American understandings of human
behaviour, research and practice that inform most psychological
theory, also known as traditional psychology
worldview: a particular philosophy of life or conception of the world
which often depends on culture and/or religious beliefs
yoga: a Sanskrit term that means ‘union with God’
yugas: a Sanskrit term that refers to an era or period of time
EXERCISES
Multiple choice questions
1. Why is it possible to learn about African and Eastern psychologies in
one chapter?
a) ey have both been marginalised by Western psychology.
b) ey are both indigenous psychologies missing in most
psychology textbooks in South Africa.
c) ey both embrace spiritual aspects of life.
d) All of the above are correct.

2. Which of the following factors have led to a lack of teaching of

indigenous psychologies in South African universities?
a) apartheid
b) colonialism
c) cultural imperialism
d) all of the above are correct.

3. In which continent did African psychology begin as an exploration of

how the historical conditions of slavery and racism led to a certain
type of psyche of Africans living?
a) America
b) Africa
c) Asia
d) Europe.

4. Which of the following statements is NOT an important aspect of

African philosophy?
a) ere is an expectation that when one is blessed with a job, they
will thank their ancestors for their job through rituals.
b) One’s child is everybody’s responsibility in the entire community.
c) An individual’s actions do not affect the whole community.
d) God is the source of everything.

5. Which of the following statements is true?

 a) African psychology does not address the effects of colonialism
and racism on the psyche of African people, whereas traditional
psychology does.
b) Traditional psychology has a better and more advanced body of
knowledge, and as such is better for practice.
c) While traditional psychology has made considerable efforts at
assisting the whole world with its interventions, there are yet gaps
for practitioners working with people of African and Eastern
descent.
d) None of these is true.

6. Rituals in African traditional thought are important because:

a) animals are always slaughtered, and African people like to eat
meat
b) there is a belief that the ritual has the power to connect the people
to each other and to God
c) the rituals maintain harmony, balance and equilibrium in the
family or community
d) b and c.

7. Having understood basic issues that pertain to African and Eastern

perspectives to psychology, it can be said that:
a) ere are some gaps in knowledge, such that Eurocentric and
American psychology cannot be taken as the only truth.
b) Spirituality is not an important aspect of psychology; it is too
complicated and should be left to shamans, izangoma and
religious leaders.
c) Illness narratives in African and Eastern contexts are so imbued
with spirituality that for a mental health worker to assist, he/she
has to have a basic understanding of these issues.
d) a and c.

8. Reincarnation is:
a) a theory of rebirth unique to Hinduism
b) the upward movement of the soul into better bodies
 c) the purpose of life in Buddhism
d) none of the above is true.

9. Which of the following beliefs is NOT shared by both Hinduism and

Buddhism?
a) ere is a soul inside our physical bodies.
b) e material world is maya, an illusion that obscures the true
nature of reality.
c) It may take many lifetimes to reach a state of enlightenment.
d) Feeling attached to material things creates anxiety because
material desires can never be fulfilled permanently.

10. Which one of the following is NOT relevant to Buddhism?

a) the middle path
b) the Four Noble Truths
c) the four yugas
d) the eight-fold path.

Short-answer questions
1. Interview or chat to someone who subscribes to the African or
Eastern worldviews discussed here. How do they apply their
worldview to their everyday lives and what are some of the
similarities and differences to your own worldview?
2. Choose another chapter in this textbook and notice who is mainly
referenced or cited as authorities in these fields (e.g. Freud on
personality). Google their names and research the contexts in which
they grew up, lived and studied. Discuss whether their life
experiences and the contexts in which their studies took place,
including the types of people they used to produce their theories, can
be generalised to people in Africa and Asia. How applicable are their
theories in your own life context?
3. Psychology in South Africa is often accused of being out of touch with
the majority of the population because its mental health
interventions are primarily based on private, individual counselling
sessions. is is an unusual way of dealing with problems in African
 and Eastern cultures. Find out how these cultures helped people deal
with emotional distress long before psychology developed as a field,
and find out how people from these cultures continue to seek help
when they are in distress.
4. Currently there is a growing list of social problems in South Africa,
such as unemployment, crime and teenage pregnancy. ink about
ways in which psychology could respond to this problem, based on
the principles you have learned in this chapter.
5. Most interventions in African religions are based on practical changes
that can be made to one’s life, that are displayed through ceremonies
and rituals, as opposed to abstract ideas around behaviour change.
With this in mind, think of some ways in which peace building in
Africa can be a reality. Do you think that it is possible to use African
perspectives on behaviour change (i.e. the African worldview) to
bring peace to the continent?
6. How has your own cultural and/or religious worldview been affected
by globalisation and acculturation?
7. Research and compare how both Eastern and African traditions deal
with a particular life issue (e.g. birth, marriage, coming of age or
death) and then illustrate how this relates to the worldview of each
and how this differs from modern psychological theory.

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 Answers

PART 1: INTRODUCTION

Chapter 1: Finding out about people

MCQ answers:
1 = c, 2 = a, 3 = d, 4 = d, 5 = b, 6 = b, 7 = a, 8 = d, 9 = c, 10 = c

Short answers:
1. e information needed to answer this question may be found
under ‘Introduction’, starting on p. 3.
2. e information needed to answer this question may be found
under ‘Finding out about psychology’, starting on p. 6.
3. e information needed to answer this question may be found
under ‘Psychological terminology’, starting on p. 7.
4. e information needed to answer this question may be found
under ‘Ethics in psychology’, starting on p. 9.
5. e information needed to answer this question may be found in
Box 1.3 ‘A brief history of psychology’, starting on p. 11.
6. e information needed to answer this question may be found
under ‘Contemporary perspectives in psychology’, starting on p. 14.

Chapter 2: Research methods in psychology

MCQ answers:
1 = a, 2 = b, 3 = c, 4 = b, 5 = b, 6 = c, 7 = c, 8 = d, 9 = a, 10 = d

Short answers:
1. e information needed to answer this question may be found on p.
27 under ‘Using variables in the design of a quantitative research
study’.
2. e information needed to answer this question may be found on p.
38 under ‘Measures of central tendency’. You should provide a
different and appropriate example than the one provided in the text.
3. e information needed to answer this question may be found on p.
39 under ‘ematic analysis, narrative analysis and discourse
analysis’.
4. e information needed to answer this question may be found on p.
41 under ‘Finding errors’ and ‘Finding bias’.
5. e information needed to answer this question may be found on p.
39 under ‘Verification of qualitative data’.

PART 2: DEVELOPMENTAL PSYCHOLOGY

Chapter 3: Early and middle childhood

MCQ answers:
1 = b; 2 = d; 3 = b; 4 = d; 5 = d; 6 = c; 7 = b; 8 = a; 9 = c; 10 = a

Short answers:
1. e information needed to answer this question may be found on p.
54 under ‘e embryonic stage’, and on p. 55 under ‘Maternal
conditions’.
2. e information needed to answer this question may be found in
Box 3.2 on p. 57.
3. e information needed to answer this question may be found on
pp. 57–58 under ‘Perceptual development’. You should cite the
research described in Box 3.1.
4. e information needed to answer this question may be found on
pp. 61–62 under ‘Language development’ and in Box 3.4.
5. e information needed to answer this question may be found on
pp. 71–72 under ‘Parenting styles’.
6. e information needed to answer this question may be found
starting on p. 59 under ‘Middle childhood’.
7. e information needed to answer this question may be found
starting on p. 75 under ‘Erikson’s psychosocial stage of development
in middle childhood’.
8. e information needed to answer this question may be found on p.
73 under ‘Play in the preschool years’.

Chapter 4: Adolescence, adulthood and aging

MCQ answers:
1 = b; 2 = a; 3 = a; 4 = a; 5 = d; 6 = c; 7 = c; 8 = b; 9 = c; 10 = a

Short answers:
1. When answering this question, you are expected to raise key areas of
development and/or crises/conflicts that you have experienced in
your own adolescence. Your answers should pick up on the key
issues raised in the chapter and may therefore relate to individual
changes and challenges, such as issues concerning sexuality, gender
identity, and relationships with peers and families, or
environmental challenges related to the impact of poverty, racism or
gender inequalities in the South African context. Your answer
should also reflect an understanding of physical, cognitive,
emotional and interpersonal developmental change.
2. An answer to this question should consist of a brief overview of how
traditional psychological theory has understood adolescence. You
should then provide a subjective picture of your local community’s
understandings and expectations of adolescence, and assess the
relationship between the two. You should include in your answer
some critical understanding of adolescence as a socially
constructed, and therefore fluid, stage of development that is not
universally common.
3. Your answer should show how HIV/AIDS may impact on adolescent
development. Key issues to focus on include sexuality and risk-
taking as well as gender. (For example, the imperative for
 adolescents, especially males, to take risks and be exploratory with
respect to sexuality will clearly impact on adolescents’ vulnerability
to infection.)
4. Your answer should refer to some of the information presented on p.
94 and should relate this to your own experience.
5. e information needed to answer this question may be found on
pp. 85–88 under ‘Physical development’. It is important to note that
the decline in physical attributes from early to late adulthood is
determined by both biological and environmental factors.
6. e information needed to answer this question may be found
under the three ‘Health risks’ sections on pp. 86–88. It is important
to note that many factors, including the progressive degeneration of
the body, as well as socio-economic status and gender, influence the
individual’s health status throughout adulthood.
7. e information needed to answer this question may be found on
pp. 90–91 under ‘Cognitive development’.
8. e information needed to answer this question may be found on
pp. 97–98 under ‘Marriage and partnerships’ and ‘Parenthood’ and
on p. 98 under ‘Late adulthood’ and ‘Family and social roles’) and in
Box 4.8. You will need to integrate the relevant information from
these sections into a critical reflection of how HIV/ AIDS has
affected the social roles and responsibilities of adults.

PART 3: PERSONALITY

Chapter 5: Theories of personality

MCQ answers:
1 = d, 2 = c, 3 = a, 4 = b, 5 = d, 6 = b, 7 = b, 8 = a, 9 = b, 10 = d

Short answers:
1. e information needed to answer this question may be found on p.
117 under ‘e id, the ego and the superego structures’.
2. e information needed to answer this question may be found on
pp. 123–124 under ‘e psychosocial stages of personality
 development’.
3. e information needed to answer this question may be found on
pp. 125–126 under ‘Respondent behaviour’ and ‘Operant behaviour’.
Your answer to this question should not merely describe respondent
behaviour and operant behaviour, but should clearly describe the
difference/s between these two behaviours.
4. e information needed to answer this question may be found on
pp. 128–129 under ‘Maslow’s view on personality development’.
5. e information needed to answer this question may be found on p.
131 under ‘Modelling and observational learning’.

Chapter 6: Personality assessment

MCQ answers:
1 = d, 2 = d, 3 = d, 4 = d, 5 = d, 6 = b, 7 = b, 8 = a, 9 = d, 10 = c

Short answers:
1. e information needed to answer this question may be found on
pp. 144–148 under ‘Ways to assess personality’. Your answer should
not merely describe the three popular methods of assessing
personality, but should include an indication of how these methods
differ.
2. e information needed to answer this question may be found on p.
146, within Box 6.1.
3. e information needed to answer this question may be found on
pp. 149–150 under ‘Reliability’. Your answer should begin by briefly
defining ‘reliability’; then you should choose three of the four types
of reliability and describe them briefly.
4. e information needed to answer this question may be found on
pp. 150–151 under ‘Validity’. Your answer should begin by briefly
defining validity; then you should choose three of the four types of
validity and describe them briefly.

PART 4: BRAIN AND BEHAVIOUR

Chapter 7: Biological and neuropsychology

MCQ answers:
1 = c; 2 = b; 3 = d; 4 = a; 5 = a; 6 = d; 7 = a; 8 = d; 9 = c; 10 = a

Short answers:
1. e information needed to answer this question may be found on p.
171 under ‘Types of neurotransmitters’. You will need to select the
three neurotransmitters involved in mood from the five described.
2. e information needed to answer this question may be found on p.
162 under ‘e forebrain’. You will need to begin your answer by
situating the limbic system within the forebrain, then go on to
explain its function. Box 7.1 on p. 161 provides information about
what would happen if this area were damaged.
3. See the Table on the next page.
4. e information needed to answer this question may be found on
pp. 164–165 under ‘e left hemisphere and the right hemisphere of
the brain’.
5. e information needed to answer this question may be found on
pp. 172–173 under ‘e endocrine system’, and on pp. 168–169 under
‘e transmission of nerve impulses’.
6. e information needed to answer this question may be found on
pp. 174–176 under ‘Research methods in neuropsychology’.
7. e information needed to answer this question may be found on p.
174 under ‘e early history of neuropsychology’.

Chapter 8: Sensation and perception

MCQ answers:
1 = b, 2 = d, 3 = a, 4 = a, 5 = d, 6 = a, 7 = c, 8 = c, 9 = b, 10 = a

Short answers:
1. e information needed to answer this question may be found on p.
187 under ‘Discriminating between stimuli’. Your answer must focus
on auditory stimuli.
 e information needed to answer this question may be found on p.
2.
192 under ‘Colour vision’.
3. e information needed to answer this question may be found on p.
198 under ‘eories explaining how we hear pitch’. Your answer
must not merely describe the two theories, but must provide an
evaluation of the relative accuracy of each of them.
4. e information needed to answer this question may be found on
pp. 200–201 under ‘Touch’.

PART 5: COGNITIVE PSYCHOLOGY

Chapter 9: Learning and conditioning

MCQ answers:
1 = d, 2 = b, 3 = c, 4 = d, 5 = a, 6 = a, 7 = d, 8 = d, 9 = c, 10 = b

Answer to Chapter 7, Question 3.

Short answers:
1. is is an example of classical conditioning – the UCS (Nosipho’s
parents leaving) is a stimulus that elicits an unconditioned response
(crying) without previous conditioning. e conditioned stimulus or
CS (the babysitter) is a previously neutral stimulus that has acquired
the capacity to elicit a conditioned response through association
with the UCS (parents leaving). e conditioned response or CR
(crying to the babysitter) is a learnt reaction to a conditioned
stimulus. rough repeated pairing of the parents leaving (UCS) and
the babysitter arriving (CS) Nosipho has learnt that the arrival of her
babysitter means her parents are leaving, thus she cries.
2. Albert Bandura outlined the theory of observational learning. In
observational learning, vicarious conditioning occurs by an
organism watching another organism (a model) being conditioned.
Observational learning can occur for both classical and operant
conditioning. In order for observational learning to take place, four
key processes are at work. Firstly, the organism must pay attention
to the model, retain the information observed, and be able to
reproduce the behaviour. en an observed response is unlikely to
be reproduced unless the organism is motivated to do so, i.e., they
believe there will be a pay off. According to Bandura, reinforcement
influences which responses will be performed more, which then
influences the acquisition of new responses.
3. a. US=food, UR=approach, CS=tin opener sound, CR=approach
b. US=stress caused by studying, UR=negative feelings, CS=bed,
CR=negative feelings
c. US=pain from rubber band, UR=fear, CS=swearing, CR=fear
while performing swearing
d. US=loud noise from dogs, UR=fear, CS=route, CR=fear from
route
e. US=sad movie, UR=sad feelings, CS=bowl of chips CR=becoming
weepy.

Chapter 10: Motivation and emotion

MCQ answers:
1 = b, 2 = b, 3 = d, 4 = c, 5 = a, 6 = c, 7 = b, 8 = d, 9 = c, 10 = b

Short answers:
1. e information needed to answer this question may be found on
pp. 224–225 under ‘Introduction’.
2. e information needed to answer this question may be found on p.
227 under ‘Homeostasis and brain mechanisms’.
3. e information needed to answer this question may be found on
pp. 228–229 under ‘Types of motives’.
4. e information needed to answer this question may be found on p.
233 under ‘Emotion – the other side of motivation’.
5. e information needed to answer this question may be found on
pp. 236–236 under ‘eories of emotion’.

Chapter 11: Thinking

MCQ answers:
1 = d, 2 = a, 3 = d, 4 = b, 5 = a, 6 = d, 7 = d, 8 = c, 9 = b, 10 = a

Short answers:
1. e information needed to answer this question may be found on
pp. 241–242 under ‘Concepts’.
2. e information needed to answer this question may be found on p.
248 under ‘Comparing the thinking of experts and novices’.
3. e information needed to answer this question may be found on
pp. 250–251 under ‘Everyday thinking’, and on p. 246–247, within
Box 11.3. Your answer will need to incorporate the socio-historical
approach to thinking.
4. e information needed to answer this question may be found on p.
249, within Box 11.6.
5. e information needed to answer this question may be found on
pp. 244–245 under ‘Piaget’s perspective on the development of
thinking in childhood and adolescence’.

Chapter 12: Attention

MCQ answers:
1 = d, 2 = d, 3 = c, 4 = a, 5 = d, 6 = b, 7 = c, 8 = a, 9 = b, 10 = b

Short answers:
1. e information needed to answer this question may be found on
pp. 256–257 under ‘Broadbent’s filter theory of attention’.
2. e information needed to answer this question may be found on p.
262 within Box 12.2.
3. e information needed to answer this question may be found on
pp. 261–262 under ‘Early-selection models versus late-selection
models of attention’.
4. e information needed to answer this question may be found on
pp. 262–263 under ‘Top-down versus bottom-up control of
attention’.

Chapter 13: Memory

MCQ answers:
1 = d, 2 = c, 3 = b, 4 = b, 5 = b, 6 = b, 7 = d, 8 = d, 9 = b, 10 = a

Short answers:
1. You should begin this answer by describing the shortcomings of
STM. ereafter compare the two memory models. e information
you will need may be found on pp. 270–273 under ‘Short-term and
long-term memory’ and ‘Working memory’.
2. e information that will help you to answer this question may be
found on p. 274 under ‘Meaning and memory’.

Chapter 14: Language

MCQ answers:
1 = b, 2 = a, 3 = b, 4 = d, 5 = d, 6 = c, 7 = a, 8 = c, 9 = b, 10 = c

Short answers:
1. e information needed to answer this question may be found on p.
284, within Box 14.1.
2. e information needed to answer this question may be found on p.
283 under ‘Language and thought’.
3. e information needed to answer this question may be found on
pp. 286–289 under ‘e components of language’, including ‘Sounds’,
‘Words’, ‘Sentences’ and ‘Pragmatic context’.
4. e information needed to answer this question may be found on
pp. 289–290 under ‘e process of language acquisition’.
5. e information needed to answer this question may be found on
pp. 290–291 under ‘Learning-theory accounts of language
acquisition’.

Chapter 15: Intelligence

MCQ answers:
1 = b, 2 = d, 3 = b, 4 = d, 5 = b, 6 = a, 7 = c, 8 = c, 9 = d, 10 = a

Short answers:
1. e information needed to answer this question may be found on
pp. 300–302 under ‘e measurement of intelligence’.
2. e information needed to answer this question may be found on p.
305 under ‘e learning-potential theories of intelligence’.
3. e information needed to answer this question may be found on
pp. 307–308 under ‘e issues of race and culture in intelligence-
testing’.
4. e information needed to answer this question may be found on
pp. 307–308 under ‘e issues of race and culture in intelligence-
testing’. is answer requires you to be very selective in extracting
information relating to validity only. You will then need to apply this
information to issues of race and culture in intelligence-testing.

PART 6: SOCIAL PSYCHOLOGY

Chapter 16: Interpersonal attraction

MCQ answers:
1 = b, 2 = d, 3 = c, 4 = c, 5 = c, 6 = c, 7 = d, 8 = d, 9 = c, 10 = c

Short answers:
1. e information needed to answer this question may be found on p.
333 under ‘Attachment styles in adult relationships’, within Table
16.1.
2. e information needed to answer this question may be found on
pp. 324–328 under ‘e internal and external determinates of
attraction’.
3. e information needed to answer this question may be found on
pp. 331–332 under ‘Types of love’.
4. e information needed to answer this question may be found on p.
326 under ‘Similarity’.
5. e information needed to answer this question may be found on p.
330 under ‘Socio-cultural theory’.

Chapter 17: Group concepts

MCQ answers:
1 = c, 2 = a, 3 = d, 4 = a, 5 = b, 6 = c, 7 = b, 8 = d, 9 = d, 10 = a

Short answers:
1. You should begin your answer to this question with a definition of
‘social identity’ and ‘social-identity formation’, which can be found
on p. 347 under ‘Positional-level explanations of intergroup
relations’. You should then describe what you perceive your own
social identity to be and relate this to the types of social groups to
which you belong. Information on types of social groups may be
found on p. 339 under ‘Types of social groups’.
2. e information needed to answer this question may be found on p.
343 under ‘Dynamics within a small group’, and on pp. 344–345
under ‘Social influence’. You should use the information in these
sections to specifically address the possible dynamics and
influences that may operate within a jury.
 e information needed to answer this question may be found on
3.
pp. 346–348 under ‘Explaining intergroup relations by focusing on
different levels of analysis’. You should begin your answer with a
brief description of the levels of analysis and then choose and
expand upon two theories from any of the four levels that can be
found on p. 346 under ‘Levels at which social influence can be
analysed’.

Chapter 18: Poverty and ethnicity

MCQ answers:
1 = c, 2 = d, 3 = a, 4 = d, 5 = b, 6 = b, 7 = c, 8 = a, 9 = c, 10 = b

Short answers:
1. e information needed to answer this question may be found on
pp. 357–358, where three ways in which the question of poverty is
important to the study and practice of psychology are explained.
2. e information needed to answer this question may be found on
pp. 354–356 under ‘e negative effects of poverty’. You will need to
be selective with the information in this section by focusing on the
impact of poverty on mental health. You should conclude with a
brief explanation of why we should be careful not to stereotype poor
people as ‘mentally unhealthy’.
3. e information needed to answer this question may be found on p.
358 under ‘Alienation from “mainstream” society’.
4. e information needed to answer this question may be found on
pp. 358–359 under ‘e other side of the coin’.
5. e information needed to answer this question may be found on
pp. 358–359 under ‘e other side of the coin’.
6. e aim of this exercise is to promote critical thinking about the
intersection between race and ethnicity during two significant eras
in South African history: pre- and post-apartheid. You should be
able to explore the link between ideology and ethnicity, the link
between ‘race’ as an ideological construct and ethnicity, the
practical manner in which this manifested itself in population
 classification, and everyday discourses related to labelling in
apartheid South Africa. In addition, you need to articulate whether
ethnic labels, groups and identities continue to exist in post-
apartheid South Africa, and whether and in what way the meanings
associated with these labels, groups and identities are the same or
different to those that existed in apartheid South Africa.
7. is exercise requires that you conduct independent research on
China or India. You should choose one of these contexts and focus
your reading on the historical and contemporary differentiation of
ethnicity in that context. You will then need to apply your
understanding of the contents of the chapter to assess the degree to
which ethnicity in the context you have chosen operates differently
(or similarly) to the examples given in the text. Rather than requiring
an absolute answer, this exercise provides an opportunity for you to
think critically in relation to the subject matter.

Chapter 19: Sex, gender and sexuality

MCQ answers:
1 = b, 2 = d, 3 = b, 4 = d, 5 = c, 6 = c, 7 = d, 8 = c, 9 = b, 10 = b

Short answers:
1. e information needed to answer this question may be found on
pp. 377–378 under ‘Social-learning theory’.
2. e information needed to answer this question may be found
within Box 19.3 on p. 378.
3. e information needed to answer this question may be found on p.
377 under ‘Psychoanalytic theory’.
4. e information needed to answer this question may be found on
pp. 378–379 under ‘Cognitive-developmental approaches’.

Chapter 20: Violence and traumatic stress, peacemaking and

peacebuilding

MCQ answers:
1 = c, 2 = c, 3 = d, 4 = d, 5 = a, 6 = d, 7 = c, 8 = c, 9 = d, 10 = d

Short answers:
1. e information needed to answer this question may be found on p.
389 under ‘What precisely is violence?’
2. You will need to begin the answer to this question with a brief
description of a violent act you may have witnessed or read about.
en refer to information on pp. 391–392 under ‘eories of
violence’ to explain why you think the people who perpetrated this
act behaved in the way they did.
3. e information needed to answer this question may be found on p.
393 under ‘Fragmentation’ and ‘Disempowerment’. You must relate
this information to a child being beaten at school.
4. e information needed to answer this question may be found on
pp. 395–396 under ‘Violence prevention and recovery’. You must
relate this information to a child being beaten at school.
5. e information needed to answer this question may be found on p.
397 within Box 20.4.
6. e information needed to answer this question may be found on p.
399 under ‘Conflict resolution’.
7. e information needed to answer this question may be found on
pp. 401–403 under ‘Peacebuilding’.
8. Before attempting to answer this question, you will need to conduct
some independent research on the Arab-Israeli conflict or the India-
Pakistan conflict. en recall what you learnt on pp. 403–404 under
‘Actions that psychologists can employ to promote peace’, and apply
this to either of these conflicts.
9. e information needed to answer this question may be found on p.
402 under ‘e honouring of multiple voices and the co-
construction of social change’.

PART 7: PSYCHOLOGY AND HEALTH

Chapter 21: Risk behaviour and stress

MCQ answers:
1 = b, 2 = c, 3 = a, 4 = a, 5 = a, 6 =d, 7 = c, 8 = a, 9 = d, 10 = c

Short answers:
1. e information needed to answer this question may be found on p.
420 under ‘An ecological-systems approach to understanding risk
behaviour’.
2. e information needed to answer this question may be found on p.
420 under ‘An ecological-systems approach to understanding risk
behaviour’.
3. e information needed to answer this question may be found on p.
420 under ‘An ecological-systems approach to understanding risk
behaviour’.
4. e information needed to answer this question may be found on
pp. 421–425 under ‘e individual level’ and ‘e interpersonal
level’. Your answer should begin by briefly summarising the models
of understanding risk behaviour at the individual and interpersonal
level. ereafter the main criticisms of these models should be
described.
5. e information needed to answer this question may be found on p.
427 under ‘Cultural perspectives’.
6. e information needed to answer this question may be found on
pp. 429–430 under ‘Defining stress’.
7. e information needed to answer this question may be found on p.
432 under ‘Types of stress’.
8. e information needed to answer this question may be found on p.
435 under ‘Stress and illness’.

Chapter 22: Substance abuse and psychopharmacology

MCQ answers:
1 = b, 2 = c, 3 = c, 4 = a, 5 = d, 6 = d, 7 = b, 8 = c, 9 = a, 10 = c

Short answers:
1. e information needed to answer this question may be found on
pp. 445–448 under ‘e risk and resilience approach to substance
use disorders among adolescents’.
2. e information needed to answer this question may be found on
pp. 445–448 under ‘e risk and resilience approach to substance
use disorders among adolescents’. You should reproduce Figure 22.6
to illustrate your answer.
3. e information needed to answer this question may be found on
pp. 445–446 under ‘Biological factors’. 4. e information needed to
answer this question may be found on p. 446 under ‘Factors located
at the level of interpersonal functioning’.
5. e information needed to answer this question may be found on p.
449, within Box 22.4.
6. e information needed to answer this question may be found on p.
449 under ‘Psychopharmacology’.
7. e information needed to answer this question may be found on p.
450 under ‘Drug potency, efficacy and dose’.
8. e information needed to answer this question may be found on p.
450 under ‘Drug potency, efficacy and dose’.
9. e information needed to answer this question may be found on p.
444 under ‘Drug dependence and tolerance’.

Chapter 23: Nutrition, HIV/AIDS, TB and parasites

MCQ answers:
1 = d, 2 = c, 3 = d, 4 = b, 5 = b, 6 = a, 7 = d, 8 = d, 9 = b, 10 = d

Short answers:
1. e information needed to answer this question may be found on
pp. 460–461 under ‘Nutrition during infancy and early childhood’.
2. e information needed to answer this question may be found on
pp. 461–463 under ‘Nutrition during the pubertal growth spurt and
adolescence’.
3. e information needed to answer this question may be found on
pp. 461–463 under ‘Nutrition during the pubertal growth spurt and
 adolescence’ and within Box 23.5 on p. 465.
4. e information needed to answer this question may be found on p.
463 under ‘Nutrition at older ages’. 5. e information needed to
answer this question may be found on pp. 470–471 under ‘Nutrition
for people living with HIV/AIDS’.
6. e information needed to answer this question may be found on
pp. 469–470 under ‘Voluntary counselling and testing’.
7. e information needed to answer this question may be found on p.
470 under ‘e impact of HIV/AIDS on mental health’.
8. e information needed to answer this question may be found on
pp. 472–473 under ‘Contributions of psychology to the prevention
and control of TB’. You will need to extract the relevant information.
9. e information needed to answer this question may be found on
pp. 475–476 under ‘Bio-psychosocial influences that increase
vulnerability to parasitic infections’.

PART 8: MENTAL HEALTH

Chapter 24: Psychopathology

MCQ answers:
1 = b, 2 = c, 3 = d, 4 = c, 5 = a, 6 = b, 7 = d, 8 = c, 9 = b, 10 = c

Short answers:
1. You will need to begin by identifying a behaviour that you consider
abnormal. You should then justify your choice by referring to the
criteria that would separate it from normal behaviour. You will find
the relevant information on pp. 492–493 under ‘Statistical deviance’,
‘Maladaptiveness’ or ‘Personal distress’.
2. e information needed to answer this question may be found on
pp. 498–500 under ‘Classification of mental illness’. You should be
selective in the information you use from this section by focusing on
the advantages and disadvantages of the DMS system.
3. e information needed to answer this question may be found on
pp. 503–504 under ‘e community psychology perspective’.
4. You will need to begin your answer to this question by
distinguishing between positive and negative symptoms (see
pp. 507–509). ereafter the information needed to list the positive
symptoms of schizophrenia may be found on p. 507.

Chapter 25: Psychotherapies

MCQ answers:
1 = c, 2 = b, 3 = c, 4 = d, 5 = b, 6 = b, 7 = c, 8 = c, 9 = a, 10 = b

Short answers:
1. e information needed to answer this question may be found on
pp. 515–517 under ‘erapeutic techniques and procedures’.
2. e information needed to answer this question may be found on p.
518 under ‘Cognitive distortions and the roots of psychological
distress’. You should provide your own examples and not merely
repeat those offered in the text.
3. e information needed to answer this question may be found on p.
521 under ‘Key ideas’.
4. e information needed to answer this question may be found on
pp. 523–524 under ‘erapeutic techniques and procedures’.
5. e information needed to answer this question may be found on p.
527 under ‘Indigenous therapies’.

Chapter 26: Community mental health

MCQ answers:
1 = d, 2 = d, 3 = c, 4 = c, 5 = c, 6 = b, 7 = a, 8 = a, 9 = b, 10 = b

Short answers:
1. To answer this question you should begin by describing the
hierarchical structure and ecological interdependence of mental
health or well-being. Information on definitions of mental health is
on pp. 534–535 under ‘Defining mental health’ and ‘Dimensions of
 mental health’. e dimensions of mental health should then be
situated appropriately in this ecological framework.
2. e information needed to answer this question may be found on p.
535 within Box 26.2.
3. e information needed to answer this question may be found on
pp. 537–538 under ‘Protective factors and risk factors’. Your answer
must include examples of protective factors and risk factors that you
can identify as operating in the community where you live.
4. e information needed to answer this question may be found on p.
541 under ‘A model of community intervention’.
5. You should begin the answer to this question by describing
historical and current mental health services in South Africa. e
information needed to do this may be found on pp. 538–539 under
‘Mental health services in South Africa’. You should then describe
what a primary health care approach entails (see p. 539) and suggest
ways that this approach may impact on the provision of mental
health services to all South Africans.

PART 9: ORGANISATIONAL PSYCHOLOGY

Chapter 27: Organisational psychology

MCQ answers:
1 = d, 2 = d, 3 = b, 4 = c, 5 = a, 6 = a, 7 = c, 8 = c, 9 = a, 10 = d

Short answers:
1. e information needed to answer this question may be found on p.
555 within Box 27.2.
2. e information needed to answer this question may be found on
pp. 555–556 under ‘An emerging post-industrial world’.
3. e information needed to answer this question may be found on
pp. 556–557 under ‘e early years: scientific management’.
4. e information needed to answer this question may be found on
pp. 566–567 under ‘Occupational health and ergonomics’.
PART 10: AFRICAN AND EASTERN PSYCHOLOGIES

Chapter 28: African and Eastern psychologies

MCQ answers:
1 = d; 2 = d; 3 = a; 4 = c; 5 = c; 6 = d; 7 = d; 8 = d; 9 = a; 10 = c

Short answers:
1. is experiential exercise must show an understanding of
‘worldviews’, (see Introduction on pp. 577–579 and African/Hindu
worldviews). Students should go beyond theoretical explanation
and show how their interviewees apply these concepts and critically
discuss similarities and differences with their own. For example,
how is Ubuntu practised in reality? How is karma taken into account
during decision-making? How is reincarnation factored into lifestyle
choices?
2. is experiential exercise needs to demonstrate research and
understanding of how knowledge production and psychological
theories are context-dependent. Contrast European/North
American contexts with African and Eastern contexts. Concepts like
intellectual imperialism, post-colonialism and Western
psychologies need to be understood here.
3. is experiential exercise needs to demonstrate research and critical
thinking. (See Textbox 28.1 by Prof. Steve Edwards on p. 579 and
‘Future Directions’ on pp. 591–592). Answer must refer to use of
breathing, dance, music, communal story-telling, involving families,
etc. as healing modalities.
4. Briefly outline principles of Afrocentric psychology (see Afrocentric
Worldview on pp. 580–583), then link particular principles to social
problems in question. For example, crime is problematic for
Africans because life is no longer seen as sacred, affecting the
interconnection of people, causing families and community
members to be imprisoned, thus affecting the spiritual world of the
ancestors as well as the physical world. As a psychologist working in
 an African setting, one would have to acknowledge and use this fact
as a basis for intervention.
5. Show an understanding of the origins of violence and violent
behaviour and how rituals communicate to individuals the
importance of learning to live in peace and harmony. Show why
rituals, ceremonies, the communal self and oneness of mind, body,
spirit are important in African thought. (See example of Zolile in
‘e spiritual nature of human beings’ on p. 580.)
6. is is a self-reflective exercise requiring research on globalisation
and acculturation, and critical application of these concepts by
finding examples in students’ own life. Examples may include eating
mainly Western foods, speaking English, incorporating Christianity
into African traditional religions, consuming and producing
Western-oriented knowledge, etc.
7. is requires application of either Eastern or African worldviews
and concepts to a particular life issue. Students need to have done a
reasonable amount of research into how African/Eastern life issues
have not been accommodated in Western theory (e.g. extended
mourning periods in Hinduism; circumcision of Xhosa boys as
rituals into manhood; receiving the calling to be a sangoma, etc.).
 Index

Page numbers in italics indicate information contained in tables or

illustrations.

A
accommodation 60, 244
acetylcholine 171
action potential 169
activism 402
activity theory 102
adaptation 118, 244, 431–432
addiction 442see also under substance
adolescence 83–84
cognitive development 89–90
nutrition 461–463
physical development 84–85
adolescence, social and emotional
development 91
Erikson’s psychosocial stage 91
gender, sexual identity 94, 95
identity formation 92–93
relationships with others 93–94
risk-taking behaviours 94–97
adrenal gland 173
adulthood 84
adulthood, early
cognitive development 90
physical development 85–86
 social, emotional development 97–98
adulthood, late
cognitive development 91
physical development 87–88, 463
social, emotional development 99–102
adulthood, middle
cognitive development 90
physical development 86–87
social, emotional development 98–99
affect 582
and attraction 324, 325
African psychology 576, 577–580, 584
future of 592
ubuntu135, 583–584
African tradition, psychopathology 496–497
African understandings of personality 136, 136–138
Synoptic theory, modern African self 137–138
Afrocentric worldview 580–583
Afro-Eastern connections 592
alarm reaction 432
alienation 358, 554
Alzheimer’s disease 91, 171
amygdala 162, 162
anal-aggressive/retentive personalities 118–119
anal stage of development 118
ancient times 11, 494
androgyny 381
animism 61
animus and anima 121
anorexia nervosa 85, 462
anti-depressants 452
anti-Islamism 366, 368
anti-psychiatry 497
anti-psychotics 452–453
anti-Semitism 366, 368
anxiety 117, 235, 515
 castration anxiety 119
central nervous system depressants 451
choice anxiety 434
existential anxiety 520
and HIV 470
and incongruence 521
separation anxiety 68
anxious/ambivalent attachment 333
apartheid 30, 32–33, 405, 568
and identity 364, 365, 524
and personality 134
and violence 96, 390, 392, 395, 403
arbitrary inferences 518
archetypes 121–122
arousal symptoms 394
assimilation 60, 244
association areas, cerebrum 162–163
asylum era 495
atman 585
attachment 68
in adulthood 99
biological foundations 68–69
phases in the development 69
reciprocal behaviours 69
security of 69
attachment styles 332, 333
attention 255, 259–260
and the brain 264
Broadbent’s filter theory 256, 256–258
divided 262
Duncan’s theory of selective visual attention 260–261
early/late-selection models 261–262
to fear-provoking stimuli 263
Gray and Wedderburn’s revised dichotic listening task 257–258
information-processing models 256–261
multitasking 265
 one/multiple attention system/s 263
Rapid Serial Visual Presentation task 261
selective attention 256
sensory memory store 257
shadowing 256
top–down/bottom–up control of 262–263
Treisman’s attenuation theory 259
Treisman’s feature-integration theory 259–260
attitudes 361–362
attraction see interpersonal attraction
authoritarian parenting styles 71–72
authoritative parenting styles 72
automatic thoughts 518
autonomic nervous system 166
and stress 430, 431
autonomy vs shame and doubt 70
avoidance 229–230, 434, 435, 436, 527
avoidance symptoms 394
avoidant attachment 333

B
Bandura, Albert 131–132, 221–222
basal ganglia 162
basic needs see under Maslow
Beck, Aaron 518
behavioural perspective 14–15
behavioural therapy 496
behaviourism see under Skinner
belonging 149, 324
and groups 338
bias 148
bilharzia 474, 475, 476
Binet-Simon Scale 297
biochemistry and depression 453
biology and attachment 68–69
biomedical model
 mental health 494, 498, 499, 532
psychopathology 500
biopsychological perspective 16
bio-psychosocial approach 532, 534
Birth to Twenty study 463
black consciousness 134, 365
bonding 449
bonding and neonatal development 67, 68
and infant’s appearance 67–68
and a sensitive period 68
and social, economic conditions 68
Bowlby, John 68–69
brain 160, 160, 161
abnormalities 501
forebrain 162, 162–164
hemispheres 164, 164–165
hindbrain 161–162
lobes 162–164
midbrain 162
Broadbent, Donald 256, 256–258
Broca’s area 163, 163, 174
Bronfenbrenner, U 420, 428
bulimia nervosa 85
burnout 559, 563–564

C
Cannon-Bard theory of emotion 236
castration anxiety 119
categorical variable 28
Cattell, Raymond 126–127, 128
causal relationship, variables 28
central nervous system 160–165
depressants 451
cerebellum 161
cerebral cortex 162
cerebrum 162, 163, 163–164
 lobes of 162–164
chemical substances and foetus 57
see also under substance
child development studies 284–285
childhood, early and middle 53–54
cognitive development 60–66
physical development 54–59
social and emotional development 66–77
see also under adolescence; preschool
childhood, early, nutrition 460–461
childhood, middle, cognitive development 62
moral development 65, 65, 66
Piaget’s stage 63
Vygotsky’s theory of cognitive development 63, 64, 64–65
see also under adolescence
childhood, middle, physical development 59
childhood, middle, social and emotional
development 75
environmental influences and girls 77
Erikson’s psychosocial stage 75–76
importance of schools in 77
and play 76
and self-concept, self-esteem 76–77
see also under adolescence
choice 92–93, 131, 252, 520
of work 563, 589
choice anxiety 434
Chomsky, Noam 291–292
chunking, memory 274
classical conditioning 15, 125, 212, 212–231
in everyday life 214–216
factors affecting 213–214
clinical interview 144–146
Code of Conduct 9–10
cognitive approach see under Piaget
cognitive-behaviour perspective
 on psychopathology 503
on therapy 517–520
cognitive development
and gender identity 378–379
see also under specific development stages
cognitive distortions 518
cognitive load 262
cognitive maps 221, 242
distortions 243
cognitive psychology 210
and neuropsychology 174
cognitive theories of intelligence 303–304
cohesiveness in groups 342
collective unconscious 120–121
collectivism and individualism 17, 134, 135–136
colonialism 360, 364, 367, 577
commitment and identity formation 92–93, 93
communal self 581–582
communication networks 341
community mental health 531–532, 540
intervention 541, 541–542
see also mental health
community psychology perspective 17
on psychopathology 503–504
compensation in development 63
compliance 345
computerised tomographic scanning 175, 175
concentration 131
concepts in thinking 241–242
concrete operational stage, development 63
conditioned stimulus/response 213
conditioning
higher-order 214
vicarious 216
see also classical conditioning; learning and conditioning; operant
conditioning
conflict resolution 399see also peace psychology
conformity 344
congruence/incongruence 16, 521–522
consciousness 164
conscious, preconscious, unconscious levels 116, 116–117
conservation in development 61, 63
constant errors, data 41
constructionist/essentialist debate 382
constructivist approach to thinking 245–246
consumer culture 358–359
contiguity 213
continuity theory 102
continuous traumatic stress 395
continuous variable 28
convenience sampling 31
corporate culture 564–566
corpus callosum 164
correlation, variables 28
counselling, workplace 562–564
courts of law 10
cross-cultural studies 285–286
cross-dressing 375
cultural context
of peacemaking 399–400
in psychopathology 503–504
cultural imperialism 17, 18–19, 359, 577
cultural relativism 361
cultural tools and cognitive development 64
culture 361
and cognitive development 63, 64–65, 66
and homosexuality 361
in intelligence testing 307–309
and language 285–286
and locus of control 136
and memory 276–277
and personality 134, 134–137, 138–139
 and personality assessment 148
and prevention, HIV/AIDS 426
and risk behaviour 427
and stress 436
and therapy 525, 527
culture-fair personality testing 329
culture-free personality testing 329
cyber bullying 392

D
data analysis 36–40
central tendency, variability 38
descriptive 37–38
entering into database 36
mean, median, mode 38, 38
qualitative data 39–40
quantitative data 36–38
reliability and validity 37
transcription 39
verification of qualitative data 39–40
data analysis, reporting findings 41
bias, errors 41
objectivity and reflexivity 42
research reports 43–44
data collection 33
levels of measurement 33
methods for 33–35, 35, 36
death and dying 101
death instincts 116
debt trap 358–359
decentration in development 63
defence mechanisms 502, 515
dehumanisation 148, 149, 554, 557
deindividuation 340
de-institutionalisation 17
denial 502
dependent variable 28
depression 7, 75, 235, 392
anti-depressants 452
and biochemistry 453
and cognitive therapy 519
and HIV 470
and psychoanalytic therapy 516
descriptive study 26
despair vs integrity 101
determinism 15
developmental psychology 52
dharma 587
Diagnostic and statistical manual of mental disorders 498–499, 500
discourse analysis of data 39
discriminating sociability 69
discrimination 214, 363see also
prejudice
disempowerment 393
disengagement theory 102
disorganised attachment 69
displacement 502
domestic violence 390
dopamine 171
dop system 447
dream analysis 516
drug dependence 444see also under
substance
drug tolerance 444
Duncan, J 260–261
dynamic assessment 307

E
early childhood development programmes 73–74
Eastern psychology 576, 577, 579, 590
Buddhism 588–590
Hinduism 585–587
eating disorders 85, 462
Ecstasy (drug) 170
ego 117, 120–121
egocentric stage of development 64
egocentrism 61, 89
Electra complex 119
embodied self 137
embryonic stage, physical development 54
emotion 226, 233
cognitive aspect of 234–235
theories of 236–237
types of 233–234, 234
emotional development see under specific development stages
emotional intelligence theories 305–306
emotion and negotiation 349
empathy 522
employee assistance programmes 559
empowerment 28, 28, 396, 403, 427
endocrine system 172, 172–173
and stress 430–431
Enlightenment philosophy 12
entitativity 338
environmental influences 5
behavioural perspective 14–15
child development 58, 59, 60, 61, 71, 75
community mental health 541
intelligence 304
personality development 125–126, 131
schools 77
social development of girls 77
stress 429
substance use 442, 445–448
equity theory 347
equity theory of attraction 329
ergonomics 566–567
Erikson, Erik 70, 70–71
 adolescence, social and emotional development 91
late adulthood 101
middle childhood social, emotional development 75–76
personality development 123–124
preschool social, emotional development 70, 70–71
erogenous zones 118
eros116
essentialist/constructionist debate, gender 382
ethics 9–10
in research 42
ethics-of-care 66
ethnicity 360–361
as contested 364–365
and ideology 366
politicisation of 368–369
and poverty 359–360
racialisation of 366–367
and racism 367–368
related psychological concepts 361–363
as social and psychological 363–364
and social inequality during conflict 365
and sociocultural symbols 364
and violence 363
see also race
ethnocentrism 361
eugenics 309
evolutionary psychology, motivation 231
evolutionary theory of attraction 330
existential therapy 520
experiential therapies 520–522
experimental hypothesis 29
exploration and identity formation 92–93, 93
exploratory study 26
extinction and spontaneous recovery 213–214
extraversion 122
F
Facebook 332
family
and adolescents 93–94
and Freud 119
and social roles, elderly 100–101
therapy 524–525
and well-being 535
family factors, drug use 446
feminism 382–383
feminist therapies 524
filter theory, attention 256, 256–258
foetal stage, physical development 55, 55–57
folk-sector healing 527
food aversions 215–216
formal operational thinking 89
fragmentation 393
free association 14, 515–516
freedom and responsibility 520
Freud, Sigmund 3–4, 5, 14see also under psychoanalytic
frustration 434
frustration–aggression theory 346
functionalism 11

G
game theory 232
gamma amino butyric acid 171
gang violence 96
Garcia effect 216
Gardner, Howard 304–305
gender 9, 374
differences and play 124
environmental influences and girls 77
essentialism 376
essentialist/constructionist debate 382
masculinity 383–384
 and play 124
and psychology 376
and sex 374, 375
and sexual identity 94, 95
in society 380–384
stereotypes 378
theories accounting for differences 376–379, 380
see also women; see also under feminism
gender-based violence 40
gender identity
preschool 71
psychoanalytic perspective on 377
and social learning theory 377–378
gender schema theory 379
general adaptation syndrome 431–432
generalisations 3
and classical conditioning 214
and culture 18–19
generative self 137
genetic predisposition, psychopathology 500–501
genital stage 119
genocide 364
germinal stage 54
gestalt psychology 16
Gilligan, Carol 66
GINI coefficient 355, 355
grandmothers and orphans 100
Gray and Wedderburn’s listening task 257–258
group polarisation 343
groups 337–338
definitions 338–339
reasons for belonging 338
types of social groups 339–340
see also social influence
groups, small
characteristics of 340–342
 dynamics within 343
stages of formation 342
groupthink 343
guilt vs initiative 70

H
health belief model 421, 421–422
health psychology 418
hearing 198
the ear 198–199, 199
locating sounds 200
pathway to the brain 199
sound 198, 198
theories of 199–200
hearing, neonatal 58
Hebb, Donald 16
heuristic bias 243
hippocampus 162, 162
Hippocrates 494, 494
HIV/AIDS 465
children 72
culture and prevention 426
early adulthood 86
and mental health 470
nutrition and 470–471
prevalence by sex, age, SA 87
prevention, management of 467–468
psychology and prevention, control 468–469
transmission and course of 466
voluntary counselling, testing 469–470
vulnerability 466–467
homosexuality 361, 374, 493
hopelessness and poverty 357
Hopkins Symptom Checklist 147
hormones and maternal behaviour 235
humanist approach 15–16
 motivation 230
personality development 128
psychotherapy 521
and work 560
humanitarian crisis response 398
human sciences 4
hunger mechanisms 227
hypothalamus 162, 162, 227
hypotheses 28–30
hypothetico-deductive thinking 89

I
id, ego and superego 117
identity
sexual, adolescence 94, 95
vs identity confusion 91
identity achievement 92
identity and relationship 520
identity diffusion 93
identity formation, adolescence 92–93, 93
identity moratorium 93
ideology 348, 366
imagery in thinking 242
imaginary audience 89
incongruence 16, 521–522
indigenising psychology 591
indigenous knowledge systems 17
indigenous psychologies 577–579
indigenous theories, psychopathology 496–497
indigenous therapies, African 525, 527
individualistic/collectivistic approaches 17, 134, 135–136
individual vs group, social behaviour 349
industrialisation 553
industrial revolution 554
industrial world, modern 555
infancy
 nutrition 460–461
see also under neonatal
inferiority vs industry 75–76
information, assessing 6–7
in-groups and out-groups 339
insecure-avoidant attachment 69
insulin 173
integrity vs despair 101
intellectual disability 505
intellectualisation 502
intelligence 296–297
brief history of testing 297–299
cognitive theories of 303–304
eclectic theories of 304–305
emotional intelligence 305–306
and environment 304
fluid and crystallised 90
learning potential 305
measurement of 300–302
psychometric theories 296, 302–303
theoretical approach to 297
triarchic theory of 303
uses of tests 302
intelligence quotient (IQ) 300
intelligence testing 297–302
race and culture in 307–309
interconnectedness, interdependence 581
internalisation 117
International Classification of Disorders 499
internet 6, 332
interpersonal attraction 323
attachment styles 332–333
and basic needs 324
external determinants 326–328
internal determinants 324–325
loneliness 333–334
 and physical attractiveness 327–328
and proximity 326
reciprocity effect 328
romantic love 331–332
and similarity 326–327
theories of 329–331
interpersonal relationships, African psychology 583
interpersonal violence and adolescence 96
interpretation, psychotherapy 516
intersex 375
interval sampling 31
interval scales 33
interviews 34, 35
introversion 122
invincibility fable 89
isiXhosa 62, 286

J
James-Lange theory of emotion 236
jargon 7
journals 6, 25–26
Jung, CG 120–122

K
karma 586
Kelly, George 129–130
kinaesthetic sense 203
knowledge production in psychology 12
and culture 18–19
knowledge, validity of affective 582
Kohlberg, Lawrence 65–66
Kraepelin, Emil 495, 495

L
labelling 518
labour relations 567–569
language 282
and animals 284
and child development studies 284–285
components of 286–289
and cross-cultural studies 285–286
pragmatic context of 288–289
qualities of 283
in SA society 293
and thought 283
language acquisition 289–290, 292
and learning theory 290
and learning theory 290–291
and multilingualism, SA 293
nativist accounts of 291–292
and speech errors 292
language acquisition device 291
language development, neonatal, preschool 61–62
latency 119
learning and conditioning 211–212
alternative theories 223
defining learning 212
social learning 221–222
see also conditioning
learning theory and language 290
liberation psychology 402
libido 120
life changes, events 433–434
life cycle squeeze 99
life expectancy 88
life instincts 116
life span approach see under Erikson
limbic system 162, 162
liminal self 137
linguistic determinism 285
linguistic relativism 285–286
literature, reviewing existing 25–26
localisations 174
logical age 300
loneliness 333–334
Lorenz, Konrad 67–68
Luria, AR 174

M
magnetic resonance imaging 175, 175, 176, 176
magnification/minimisation 518
maladaptiveness 492
malaria 474, 476
malnutrition 59, 459, 460, 470–471
Marcia, James 92–93
Marikana 569
marriage and partnerships 97–98
Marx, Karl 552, 554, 554
masculinity 383–384
Maslow, Abraham 15–16
and emotions and moods 324–325
hierarchy of needs 15–16, 128–129, 230
and interpersonal attraction 324
and motivation 230
and personality development 128–129
maternal behaviour and hormones 235
maternal conditions and the foetus 55–57
maya 586
meaning 520
meliorisric self 137
memorisation 131, 222
memory 268
accuracy of 275
context of 275–277
critical approach to research 277–278
ecological approach 275–276, 277
explicit, implicit 272
forgetting 273–274
 and information-processing 269–274
input, storage and output 269
learned or innate? 278
and learning, motivation 229
long-term 270–273
meaning and 274–275
primacy/recency effects 273
short-/long-term 270–271
and society and culture 276–277
working memory 271–272, 272
menstrual cycle 84–85
mental/chronological age 300
mental health 534
dimensions of 534–536
and HIV/AIDS 470
protective, risk factors 536–538
services, SA 538–540
and social interdependence 534–535, 535
see also community mental health
mental illness
brief history 494–496
classification 498–499
common disorders, SA 506–508
prevention 533, 540, 541
see also psychopathology
metabolic tolerance 444
Middle Ages 11, 494
Milgram, Stanley 9
minimisation/magnification 518
Minnesota Multiphasic Personality
Inventory 146
misattribution of arousal 236–237
modelling and observational learning 131–132
modelling behaviours 131
moral development 65, 65, 66
motivation 226–227
 approach or avoid? 229–230
and evolutionary psychology 231
game theory 232
homeostasis and brain mechanisms 227
humanist approach 230
and memory and learning 229
studies in 229
types of motive 228–229
motivational processes 131, 222
motor cortex 163
motor reproduction processes 131
motor skills 58–59
multilingualism 293
multiple-intelligence theory 304–305
multiple sclerosis 168
multitasking 265
Muslims 363, 364
anti-Islamism 366, 368
myelin sheath 167–168

N
narrative analysis of data 39
narratological self 137
nationalism and ethnicity 368–369
nature and nurture 5, 61
needs, hierarchy of see under Maslow
neonatal physical development 57–58
nutrition 460–461
neonatal, preschool cognitive development 60
language development 61–62
Piaget’s stages 60–61
neonatal social and emotional development 66–68
neopsychoanalytic approach 120
nervous system 160, 166
central nervous system 160–165
peripheral nervous system 165–166
neural transmission 168–170, 168–171
neurological disease 173
neurons 167, 167, 167–168
neuropsychologists, roles of 177
neuropsychology 160, 173–174
and cognitive psychology 174
early history of 174
qualitative, quantitative approaches 176–177
research methods in 174–176
in South Africa 178
neuroses 515
Neuroticism-Extraversion-Openness Personality Inventory 146
neurotransmitters 170, 170–171, 452, 453
and psychopathology 501
nominal scales 33
non-organic failure to thrive 461
non-participant observation 33–34
non-probability sampling 31
norepinephrine 171
norms 340
null hypothesis 29
nutrition 458–459
across developmental stages 460–464
HIV/AIDS and 470–471
under- and over-nutrition 459–460
Nwoye, Augustine 137–138, 580, 581–582, 592

O
obedience 65, 345, 349
obesity 459, 462
objective personality tests 146–147
object permanence 60
object relations and psychopathology 503
observational learning 131–132
observation and data collection 33–34
occipital lobes 163, 164
occupational health 566–567
Oedipus complex 119
old age see adulthood, late
oneness of mind, body, spirit 582–583
operant conditioning 15, 217, 221
learning an operant response 217–218
punishment 220–221
reinforcement 219–220, 220
shaping 218
operational definition of variables 28, 28
oral-passive/aggressive types 118
oral stage of development 118
ordinal scales 33
organisational psychologists 561–569
organisational psychology 551–552
changing work/workforce 561
contemporary 561–569
effect of World War II 560
history of 556–560
history of work 552–556
professionalisation of 558
organisational transformation 564–566
othering 360
outcomes-based education 64–65
overextension in speech 289
overgeneralisation 290, 518
oxytocin 235

P
parasites 474–477
parasympathetic nervous system 166
parenthood 98
parenting styles 71–72
parietal lobes 163, 163
participant observation 34
Pavlov, Ivan 14–15, 212–214
peacebuilding 401–403
peacemaking 398–399
cultural context of 399–400
and reconciliation 400–401
peace psychology 397, 399
actions by psychologists 403–404
peer factors, drug use 446
peers of adolescents 93–94
penis envy 119
perception see sensation and perception
perceptual development 57–58
performance counselling 564
permissive parenting styles 72
persona 121
personal distress 492
personalisation 518
personality
African understandings 136, 136–138
and apartheid, Black Consciousness 134
and culture 134, 134–137, 138–139
personality assessment 144, 562
controversies in 149
criticisms of 148
ways of conducting 144–148
see also psychological measurement instruments
personality development, behaviourist
approach 125
operant behaviour 125–126
respondent behaviour 125
Skinner’s view 125–126
personality development, cognitive
approach 129
Kelly’s view 129–130
personal constructs 130
personality development, humanistic
approach 128
 hierarchy of needs 128–129
personality development, life span
approach 123
Erikson’s view 123–124
evaluating 124
psychosocial stages 123–124
personality development, neopsychoanalytic approach 120
archetypes 121–122
ego, personal/collective unconscious 120–121
evaluating 122
Jung’s view 120–122
libido 120
psychological types 122
personality development, psychoanalytic
approach to 116
conscious, preconscious, unconscious levels 116, 116–117
evaluating 119
Freud’s view 116–119
id, ego, superego 117
life/death instinct 116
psychosexual stages 118–119
personality development, social learning
approach 131
Bandura’s view 131–132
modelling and observational learning 131–132
reinforcement 132
self-evaluation 132
personality development, trait
approach 126
Cattell’s view 126–127, 128
five-factor model 127, 128
personality psychology 114
relevance in South Africa 133–139
personality theories 115
personal myths 89
phallic stage of development 119
pharmacodynamic tolerance 444
phobias 214–215
phonetics 287
photographic memory 275
photoreceptors 190–191
physical development see under specific development stages
Piaget, Jean 16
development of thinking 244–245
and language 284
middle childhood cognitive development 63
neonatal, preschool cognitive development 60–61
thinking 244–245
pituitary gland 172
Plaatje, Sol 356, 356
planned behaviour, theory of 423, 423–424
play 73, 76, 124
pleasure principle 117
polarised thinking 518
politics 10, 134, 314, 348, 590
and ethnicity 364–365, 367–369
and psychopathology 503
and violence 399–404, 428
pons 161
positive psychology 16
positive reinforcement 125
positron emission tomography 175, 176
post-industrial world 555–556
post-traumatic stress disorder 506–507
postulates and corollaries 130
poverty 354, 358
and ethnicity 359–360
future of 359
and hopelessness 357
and infant mortality, life expectancy 356–357
negative effects of 354–357
psychological experience of 357–358
 and race 354, 356, 359
preconscious 116, 116–117
prejudice 235, 362–364, 394see also
discrimination
prenatal physical development
factors influencing 55–57
maternal conditions 55–57
nutrition 460
stages of 54, 54–55
preoperational stage of development 60–61
preschool cognitive development 60
language development 61–62
Piaget’s stages 60–61
preschool physical development 58–59
preschool social and emotional development
Early childhood development (ECD) programmes 73–74
Erikson’s psychosocial stages of development 70, 70–71
gender identity 71
parenting styles 71–72
and play 73
promoting resilience 74
separation anxiety and attachment 68–69
prevention, mental illness 533, 540, 541
primary areas of cerebrum 162–163
primary health care 17, 539
primary process thought 117
prisoner’s dilemma 232
privacy 148
probability sampling 30–31
projection 502
projective personality assessment 147–148
protective factors 536–538
prototypes in thinking 242
psyche, structure of 120–121
psychiatry 173
psychoactive drugs 449
 classes, uses and effects 451, 451–454
mechanisms of action 449–450
potency, efficacy and dose 450
psychotropic drugs 496
psychoanalytic approach 14
gender identity 377
personality development 116–119
psychopathology 495–496
psychoanalytic psychotherapy 495–496, 514–517
psychodynamic perspectives, psychopathology 502–503
psychological assessment see personality assessment
psychological measurement instruments 149
reliability 149–150
validity 150–151
psychological processes 130
psychology 3–7
for Africa 18–19
as a belief system 3–4
brief history of 11–13
in careers 4
categories of 13
contemporary perspectives 14–17
and gender 376
in South Africa, history of 12–13
and traditional healers 591
see also African psychology; Eastern psychology
psychopathology 491
alternate understandings 496–498
current perspectives 500–505
defining 492–493
see also mental illness
psychopharmacology 449, 496
psychophysics 186–188
psychosexual stages, personality development 118–119
psychosocial stages of development see under Erikson
psycho-spiritual approaches 591–592
psychostimulants 451–452
psychotherapy 513–514, 514
effectiveness of 525, 526
see also specific therapies
psychotropic drugs 496
puberty 84–86, 94–95
nutrition 461–463
public health service 540
punishment 220–221
purposive sampling 31

Q
qualitative research 26, 27
and hypotheses 29–30
quantitative research 26, 27
variables in the design of 27–28
questionnaires 34–35

R
race
and culture, intelligence testing 307–309
and poverty 354, 356, 359
see also ethnicity
racialisation of ethnicity 366–367
racism 134, 356, 364, 365, 366
and ethnicity 367–368
random errors, data 41
ratio scales 33
reaction formation 502
realistic conflict theory 347, 368
reality principle 117
reasoned action 423, 423–424
reciprocal behaviours 69
rehearsing and memory 271
reincarnation 585
reinforcement 132, 219–220, 220, 445
relationship-oriented therapy 520–522
relative deprivation theory 347, 368
religion 137, 385, 527, 578, 578–579see also specific religions
religious healing 527
Renaissance 11, 494–495
representative samples 30, 32
repression 502
research
cycle 24, 25
ethics in 42
terminology 8
research design, types of 26–29
research methods 6–7, 24, 26–32
planning 25–26
sampling 30–32
theory building 44
time frame of 30
see also under data
research problem, formulating 26, 27
research questions, posing 26
research studies, types of 26
research topic, selecting 25
resilience 74
resistance, psychotherapy 517
retention processes 131, 222
retirement and economic adjustments 100
reversibility in development 63
rights of children 72
risk behaviour 419–420
community level 425–426
ecological-systems approach 420–427, 428
individual level 420–424
interpersonal level 424–425
societal level 426–427
risk factors 420
risk-taking behaviours, adolescent 94–97
rites of passage 85
Rogers, Carl 15–16, 520–521
roles in groups 341
romantic love 331–332

S
sampling 30–32
scaffolding 64
Schachter-Singer’s theory of emotion 236
Schaie, KW 245
schemas 60, 264
gender theory 379, 380
and memory 274–275
and thinking 242–243
schizophrenia 507–508
medication 454
scientific era and mental illness 495–496
scientific management 556–557
alternatives to 559–560
scientific method 4–5
secondary process thought 117
selective abstraction 518
selective attention 256
selective visual attention 260–261
self-actualisation 15
self-administered questionnaires 35
self-awareness 520
self-concept and self-esteem 76–77
self-efficacy 131, 132
self-evaluation 132
self-reinforcement 132
self, the
African 137–138
humanist view of 15–16
Jung’s view 121–122
Seligman, Martin 16
Semenya, Caster 374, 375
semi-structured interview 34, 35, 145
senescence 88
Senior South African Individual Scale 299
sensation and perception 184–186
adaptation to stimuli 188
discriminating between stimuli 187–188, 188
kinaesthetic sense 203
psychophysics 186–188
signal detection theory 187, 187
thresholds 186
vestibular sense 203
see also specific senses
sensorimotor stage of development 60
sensory register 270
separation anxiety 68
seriation in development 63
serotonin 170, 171, 435
sex and gender 374, 375
and sexuality 373–375
sex differences 373–374
theories accounting for 376–379
sexuality 374
sexual orientation 374
sexual violence 390
shadowing 256
shadow, the 121
shame and doubt vs autonomy 70
sign language 286
simple random sampling 31
Skinner, BF 15, 15
and language acquisition 290–291
operant conditioning 217–220
personality development 125–126
smell 58, 201–202, 202
snowball sampling 31
social capital 359, 426
social-cognitive model, risk behaviour 424–425
social constructionism 16
and gender identity 379
psychotherapy 523
social constructs and attraction 331
social context, psychopathology 503
social, economic conditions and bonding 68
social exchange theory 346–347
social identity 347
social influence, groups 344
compliance 345
conformity 344
explaining intergroup relations 346–349
individual vs group influence 349
levels of analysis of 346–349
minority influence 344–345
obedience 345
types of 344–345
social interdependence 534–535, 535
socialisation 377
social learning approach, personality
development 131
social learning theory
and gender identity 377–378
and violence 391
social loafing 343
social psychology 322
Social Readjustment Rating Scale 433, 433–434
social stage of development 64
society and culture and memory 276–277
sociocultural perspective 17
symbols 364
sociocultural theory of attraction 330–331
solution-focused brief therapy 523–524
somatic nervous system 166
somatosensory cortex 163, 163
speech, external and inner 64
spinal cord 160
spirituality see religion; see also specific religions
spiritual psychology 591–592
spiritual self 137
stages of change model 422–423
state–action analysis 248
statistical deviance 492
statistical inference 30
status in groups 341–342
stereotypes 362
gender 378
Sternberg, R 297, 303–304
stigma and mental illness 508
stimulus discrimination 214
stranger anxiety 68
Strange Situation procedure 69
stratified random sampling 31
stress 428–429
coping and stress reduction 435–436
counselling 563
and illness 435
measuring 434
positive stress 430
psychophysiology of 430–432
social and cultural influences 436
types of 432
stressors 433–434
structuralist perspectives, risk behaviour 427
structured interviews 34, 145
subjectivity 582
sublimation 502
substance abuse 441–442, 443
adolescence 95–96, 445
substance dependence 442–443, 443
 and tolerance 444
substance use disorders
causes of 442, 444–448
prevention of 448–449
risk and resilience approach 445
risk factor approach 448–449
superego 117
suppression 502
surface/source traits 127
symbolic representation 60
sympathetic nervous system 166
synaptic transmission 169–170, 170
Synoptic theory of the modern African self 137–138
systemic therapeutic approaches 524–525
systems approach, psychotherapy 523–525

T
taste 201, 201
and smell, neonatal 58
Taylor, FW 556–557
technology and loneliness 333–334
telegraphic speech 62
temperament, neonatal 67
temporal lobes 163, 163
terminology 7–9
thalamus 162, 162
thanatos116
thematic analysis of data 39
thinking 240
thinking, constructivist approach
challenges to 245–246
deductive/inductive reasoning 246–247
Piaget’s perspective 244–245
Schaie’s perspective 245
thinking, information-processing
approach 247–248
 challenges for 249
comparing experts and novices 248
problem solving 249
thinking, representation and 241
categories 241
schemas, scripts, models 242–243
thinking, socio-historical approach 250–251
challenges to 251
everyday thinking 250–251
orndike’s law of effect 217
thyroid gland 172–173
touch 202–203
traditional healers 496
and psychiatry 504
and psychology 591
trait approach, personality 126
transference, psychotherapy 517
transitivity in development 63
traumatic stress 393–395, 398
continuous 395
post-traumatic stress disorder 506–507
trichromatic theory 192
trust vs mistrust 70
Truth and Reconciliation Commission 400–401
tuberculosis 471
early adulthood, physical development 86
factors in 472
impact on mental health 473
psychology in prevention and control 472–473
transmission and course 471–472

U
ubuntu135, 583–584
ukuthwasa504
unconditional positive regard 522
unconditioned stimulus/response 213
unconscious 116, 116–117
personal, collective 120–121
units of analysis 28
universal grammar 291
unstructured interviews 34, 145

V
validity of data 37
variables 27–28, 29
relevance of 29–30
vestibular sense 203
vicarious learning 221–222
vicarious reinforcement 132
violence 388–389
and adolescence 96
effects of 392–393
and ethnicity 363
and masculinity 383
prevention and recovery 395–396
and social learning theory 391
structural 401
theories of 391–392
and traumatic stress 393
against women 381
vision 188
colour vision 192
eye structure 189–190, 190, 191
light 189, 189
pathway to the brain 191, 191–192
visual acuity 192
visual perception 193
vision, brain processing 193
depth perception 196
form perception 195, 195
perceptual constancy 195, 195
perceptual deficits 197
 primary visual areas 193, 194
secondary and tertiary visual areas 194, 194195–198
top–down and bottom–up processing 194–195
visual illusions 196, 196
vision, neonatal development 57
vocational counselling 563
Vygotsky, Lev 16
and language 284–285
middle childhood cognitive development 63, 64, 64–65
and thinking 250–251

W
wealthy people 358–359
Wechsler scales 298, 298, 299, 301
weight 58, 459, 460-461, 463
obesity 459, 462
weight-loss practices 251, 462
well-being 534–535
Wernicke’s area 163, 163
women
female divinity 587
and HIV/AIDS 466–467
violence against 381
see also gender
words 288
work 98see also organisational psychology
Wundt, Wilhelm 11

Y
yoga 586–587

Z
zone of proximal development 63, 64, 64