3.1: Theories
Chapter 3 - Theories of Criminology
Theories
Punishments ( like imprisonment, fines, infliction of pain, or death) are imposed by authorities when criminal laws or regulations are broken. These punishments are called criminal sanctions . Views on criminal sanctions vary widely, but what people believe to be appropriate is largely determined by the theory of punishment to which they subscribe. That is, people tend to agree with the theory of punishment that is most likely to generate the outcome they believe is the correct one. This system of beliefs about the purposes of punishment often spills over into the political arena. Politics and correctional policy are intricately related. Many of the changes seen in corrections policy in the United States during this time were a reflection of the political climate of the day. During the more liberal times of the 1960s and 1970s, criminal sentences were largely the domain of the judicial and executive branches of government. The role of the legislatures during this period was to design sentencing laws with rehabilitation as the primary goal. During the politically conservative era of the 1980s and 1990s, lawmakers took much of that power away from the judicial and executive branches. Much of the political rhetoric of this time was about “getting tough on crime.” The correctional goals of retribution, incapacitation, and deterrence became dominate, and rehabilitation was shifted to a distant position.
Rational Choice Theory [43]
It has been a popular notion throughout the ages that fear of punishment can reduce or eliminate undesirable behavior. This notion has always been popular among criminal justice thinkers. These ideas have been formalized in several different ways. The Utilitarian philosopher Jeremy Bentham is credited with articulating the three elements that must be present if deterrence is to work: The punishment must be administered with celerity, certainty, and appropriate severity. These elements are applied under a type rational choice theory . Rational choice theory is the simple idea that people think about committing a crime before they do it. If the rewards of the crime outweigh the punishment, then they do the prohibited act. If the punishment is seen as outweighing the rewards, then they do not do it. Sometimes criminologists borrow the phrase cost-benefit analysis from economists to describe this sort of decision-making process.
When evaluating whether deterrence works or not, it is important to differentiate between general deterrence and specific deterrence. General deterrence is the idea that every person punished by the law serves as an example to others contemplating the same unlawful act. Specific deterrence is the idea that the individuals punished by the law will not commit their crimes again because they “learned a lesson.”
Critics of deterrence theory point to high recidivism rates as proof that the theory does not work. Recidivism means a relapse into crime. In other words, those who are punished by the criminal justice system tend to reoffend at a very high rate. Some critics also argue that rational choice theory does not work. They argue that such things as crimes of passion and crimes committed by those under the influence of drugs and alcohol are not the product of a rational cost-benefit analysis.
As unpopular as rational choice theories may be with particular schools of modern academic criminology, they are critically important to understanding how the criminal justice system works. This is because nearly the entire criminal justice system is based on rational choice theory . The idea that people commit crimes because they decide to do so is the very foundation of criminal law in the United States. In fact, the intent element must be proven beyond a reasonable doubt in almost every felony known to American criminal law before a conviction can be secured. Without a culpable mental state , there is no crime (with very few exceptions).
Incapacitation
Incapacitation is a very pragmatic goal of criminal justice. The idea is that if criminals are locked up in a secure environment, they cannot go around victimizing everyday citizens. The weakness of incapacitation is that it works only as long as the offender is locked up. There is no real question that incapacitation reduces crime by some degree. The biggest problem with incapacitation is the cost. There are high social and moral costs when the criminal justice system takes people out of their homes, away from their families, and out of the workforce and lock them up for a protracted period. In addition, there are very heavy financial costs with this model. Very long prison sentences result in very large prison populations which require a very large prison industrial complex. These expenses have placed a crippling financial burden on many states.
Rehabilitation
Rehabilitation is a noble goal of punishment by the state that seeks to help the offender become a productive, noncriminal member of society. Throughout history, there have been several different notions as to how this help should be administered. When our modern correctional system was forming, this was the dominate model. We can see by the very name corrections that the idea was to help the offender become a non-offender. Education programs, faith-based programs, drug treatment programs, anger management programs, and many others are aimed at helping the offender “get better.”
Overall, rehabilitation efforts have had poor results when measured by looking at recidivism rates. Those that the criminal justice system tried to help tend to reoffend at about the same rate as those who serve prison time without any kind of treatment. Advocates of rehabilitation point out that past efforts failed because they were underfunded, ill-conceived, or poorly executed. Today’s drug courts are an example of how we may be moving back toward a more rehabilitative model, especially with first time and nonviolent offenders.
Retribution
Retribution means giving offenders the punishment they deserve. Most adherents to this idea believe that the punishment should fit the offense. This idea is known as the doctrine of proportionality . Such a doctrine was advocated by early Italian criminologist Cesare Beccaria who viewed the harsh punishments of his day as being disproportionate to many of the crimes committed. The term just desert is often used to describe a deserved punishment that is proportionate to the crime committed.
In reality, the doctrine of proportionality is difficult to achieve. There is no way that the various legislatures can go about objectively measuring criminal culpability. The process is one of legislative consensus and is imprecise at best.
A Racist System?
The United States today can be described as both multiracial and multiethnic. This has led to racism . Racism is the belief that members of one race are inferior to members of another race. Because white Americans of European heritage are the majority, racism in America usually takes on the character of whites against racial and ethnic minorities. Historically, these ethnic minorities have not been given equal footing on such important aspects of life as employment, housing, education, healthcare, and criminal justice. When this unequal treatment is willful, it can be referred to as racial discrimination . The law forbids racial discrimination in the criminal justice system, just as it does in the workplace.
Disproportionate minority contact refers to the disproportionate number of minorities who come into contact with the criminal justice system. Disproportionate minority contact is a problem in both the adult and juvenile systems at every level of those systems. As the gatekeepers of the criminal justice system, the police are often accused of discriminatory practices.
Courts are not immune to cries of racism from individuals and politically active groups. The American Civil Liberties Union (2014), for example, states, “African-Americans are incarcerated for drug offenses at a rate that is 10 times greater than that of whites.”
The literature on disproportionate minority sentencing distinguishes between legal and extralegal factors . Legal factors are those things that we accept as legitimately, as a matter of law, mitigating or aggravating criminal sentences. Such things as the seriousness of the offense and the defendant’s prior criminal record fall into this category. Extralegal factors include things like class, race, and gender. These are regarded as illegitimate factors in determining criminal sentences.
One way to measure racial disparity is to compare the proportion of people that are members of a particular group (their proportion in the general population) with the proportion or that group at a particular stage in the criminal justice system. In 2013, the Bureau of the Census (Bureau of the Census, 2014) estimated that African Americans made up 13.2% of the population of the United States. According to the FBI, 28.4% of all arrestees were African American. From this information we can see that the proportion of African Americans arrested was just over double what one would expect.
The disparity is more pronounced when it comes to drug crime. According to the NAACP (2014), “African Americans represent 12% of the total population of drug users, but 38% of those arrested for drug offenses, and 59% of those in state prison for a drug offense.”
There are three basic explanations for these disparities in the criminal justice system. The first is individual racism . Individual racism refers to a particular person’s beliefs, assumptions, and behaviors. This type of racism manifests itself when the individual police officer, defense attorney, prosecutor, judge, parole board member, or parole officer is bigoted. Another explanation of racial disparities in the criminal justice system is institutional racism . Institutional racism manifests itself when departmental policies (both formal and informal), regulations, and laws result in unfair treatment of a particular group. A third (and controversial) explanation is differential involvement in crime. The basic idea is that African Americans and Hispanics are involved in more criminal activity. Often this is tied to social problems such as poor education, poverty, and unemployment.
While it does not seem that bigotry is present in every facet of the criminal and juvenile justice systems, it does appear that there are pockets of prejudice within both systems. It is difficult to deny the data: Discrimination does take place in such areas as use of force by police and the imposition of the death penalty. Historically, nowhere was the disparity more discussed and debated than in federal drug policy. While much has recently changed with the passage of the Fair Sentencing Act of 2010 , federal drug law was a prime example of institutional racism at work.
Under former law, crimes involving crack cocaine were punished much, much more severely than powder cocaine. The law had certain harsh penalties that were triggered by weight, and a provision that required one hundred times more powder than crack. Many deemed the law racist because the majority of arrests for crack cocaine were of African Americans, and the majority of arrests for powder cocaine were white. African American defendants have appealed their sentences based on Fourteenth Amendment equal protection claims.
Biosocial Theory [44]
A biological theoryof deviance proposes that an individual deviates from social norms largely because of their biological makeup.
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A biological theory of deviance proposes that an individual deviates from social norms largely because of their biological makeup. The theory primarily pertains to formal deviance, using biological reasons to explain criminality, though it can certainly extend to informal deviance.
Cesare Lombroso
A biological interpretation of formal deviance was first advanced by the Italian School of Criminology, a school of thought originating from Italy during the mid-nineteenth century. The school was headed by medical criminologist Cesare Lombroso, who argued that criminality was a biological trait found in some human beings. Enrico Ferri and Raffaelo Garofalo continued the Italian School as Lombroso’s predecessors. The Italian School was interested in why some individuals engaged in criminal behavior and others did not. Their explanation was that some individuals had a biological propensity for crime.
The term Lombroso used to describe the appearance of organisms resembling ancestral forms of life is atavism. He believed that atavism was a sign of inherent criminalities, and thus he viewed born criminals as a form of human sub-species. Lombroso believed that atavism could be identified by a number of measurable physical stigmata - protruding jaw, drooping eyes, large ears, twisted and flattish nose, long arms relative to the lower limbs, sloping shoulders, and a coccyx that resembled “the stump of a tail. ” The concept of atavism was glaringly wrong, but like so many others of his time, Lombroso sought to understand behavioral phenomena with reference to the principles of evolution as they were understood at the time.
Enrico Ferri
Lombroso’s work was continued by Erico Ferri’s study of penology, the section of criminology that is concerned with the philosophy and practice of various societies in their attempt to repress criminal activities. Ferri’s work on penology was instrumental in developing the “social defense” justification for the detention of individuals convicted of crimes. Ferri argued that anyone convicted of a crime should be detained for as long as possible. According to Ferri’s line of thought, if individuals committed crimes because of their biological constitution, what was the point of deterrence or rehabilitation? For Ferri, none of these therapeutic interventions could change the offender’s biology, making them pointless. After an individual had been convicted of a crime, the state ‘s responsibility was to protect the community and prevent the criminal from doing more harm—as his biology determined he would do.
Raffaelo Garofalo
Garofalo is perhaps best known for his efforts to formulate a “natural” definition of crime. Classical thinkers accepted the legal definition of crime uncritically; crime is what the law says it is. This appeared to be rather arbitrary and “unscientific” to Garofalo, who wanted to anchor the definition of crime in something natural. Most significant was Garofalo’s reformulation of classical notions of crime and his redefinition of crime as a violation of natural law, or a human universal.
A human universal is a trait, characteristic, or behavior that exists across cultures, regardless of the nuances of a given context. A famous example of a universal is the incest taboo. Exempting a very small number of small communities, all human cultures have a taboo against incest in some form. Garofalo’s presentation of crime as a violation of a human universal allows for one to characterize criminals as unnatural. As soon as criminals are marked as inhuman or unnatural, the public has license to think of an individual convicted of a crime as completely unlike the rest of society; a whole new range of punishments are authorized, including serious social stigmatization.
Biological Theories Today
Italian School biological explanations have not resonated in criminal justice systems in America. However, some traces still exist. Now, the conversation about crime and biological explanations focuses more on the relationship between genetics and crime than the relationship between phenotypic features and crime. Because the modern emphasis is on actual genetics rather than phenotypic expressions of genes, stereotyping of individuals with “criminal” traits or propensities is more difficult. For example, when walking down the street, you can tell who has a protruding jaw, but you can’t tell who has the genetic combination that increases one’s propensity for aggression. Though the debate has mutated, a biological explanation for deviance and crime is still commonplace.
Psychological Theories
Psychodynamic Theory [47]
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Sigmund Freud (1856–1939) is probably the most controversial and misunderstood psychological theorist. When reading Freud’s theories, it is important to remember that he was a medical doctor, not a psychologist. There was no such thing as a degree in psychology at the time that he received his education, which can help us understand some of the controversy over his theories today. However, Freud was the first to systematically study and theorize the workings of the unconscious mind in the manner that we associate with modern psychology.
In the early years of his career, Freud worked with Josef Breuer, a Viennese physician. During this time, Freud became intrigued by the story of one of Breuer’s patients, Bertha Pappenheim, who was referred to by the pseudonym Anna O. (Launer, 2005). Anna O. had been caring for her dying father when she began to experience symptoms such as partial paralysis, headaches, blurred vision, amnesia, and hallucinations (Launer, 2005). In Freud’s day, these symptoms were commonly referred to as hysteria. Anna O. turned to Breuer for help. He spent 2 years (1880–1882) treating Anna O. and discovered that allowing her to talk about her experiences seemed to bring some relief of her symptoms. Anna O. called his treatment the “talking cure” (Launer, 2005). Despite the fact the Freud never met Anna O., her story served as the basis for the 1895 book, Studies on Hysteria , which he co-authored with Breuer. Based on Breuer’s description of Anna O.’s treatment, Freud concluded that hysteria was the result of sexual abuse in childhood and that these traumatic experiences had been hidden from consciousness. Breuer disagreed with Freud, which soon ended their work together. However, Freud continued to work to refine talk therapy and build his theory on personality.
Levels of Consciousness
To explain the concept of conscious versus unconscious experience, Freud compared the mind to an iceberg. He said that only about one-tenth of our mind is conscious, and the rest of our mind is unconscious. Our unconscious refers to that mental activity of which we are unaware and are unable to access (Freud, 1923). According to Freud, unacceptable urges and desires are kept in our unconscious through a process called repression. For example, we sometimes say things that we don’t intend to say by unintentionally substituting another word for the one we meant. You’ve probably heard of a Freudian slip, the term used to describe this. Freud suggested that slips of the tongue are actually sexual or aggressive urges, accidentally slipping out of our unconscious. Speech errors such as this are quite common. Seeing them as a reflection of unconscious desires, linguists today have found that slips of the tongue tend to occur when we are tired, nervous, or not at our optimal level of cognitive functioning (Motley, 2002).
According to Freud, our personality develops from a conflict between two forces: our biological aggressive and pleasure-seeking drives versus our internal (socialized) control over these drives. Our personality is the result of our efforts to balance these two competing forces. Freud suggested that we can understand this by imagining three interacting systems within our minds. He called them the id, ego, and superego ( [link] ).
The unconscious id contains our most primitive drives or urges and is present from birth. It directs impulses for hunger, thirst, and sex. Freud believed that the id operates on what he called the “pleasure principle,” in which the id seeks immediate gratification. Through social interactions with parents and others in a child’s environment, the ego and superego develop to help control the id. The superego develops as a child interacts with others, learning the social rules for right and wrong. The superego acts as our conscience; it is our moral compass that tells us how we should behave. It strives for perfection and judges our behavior, leading to feelings of pride or—when we fall short of the ideal—feelings of guilt. In contrast to the instinctual id and the rule-based superego, the ego is the rational part of our personality. It’s what Freud considered to be the self, and it is the part of our personality that is seen by others. Its job is to balance the demands of the id and superego in the context of reality; thus, it operates on what Freud called the “reality principle.” The ego helps the id satisfy its desires in a realistic way.
The id and superego are in constant conflict, because the id wants instant gratification regardless of the consequences, but the superego tells us that we must behave in socially acceptable ways. Thus, the ego’s job is to find the middle ground. It helps satisfy the id’s desires in a rational way that will not lead us to feelings of guilt. According to Freud, a person who has a strong ego, which can balance the demands of the id and the superego, has a healthy personality. Freud maintained that imbalances in the system can lead to neurosis (a tendency to experience negative emotions), anxiety disorders, or unhealthy behaviors. For example, a person who is dominated by their id might be narcissistic and impulsive. A person with a dominant superego might be controlled by feelings of guilt and deny themselves even socially acceptable pleasures; conversely, if the superego is weak or absent, a person might become a psychopath. An overly dominant superego might be seen in an over-controlled individual whose rational grasp on reality is so strong that they are unaware of their emotional needs, or, in a neurotic who is overly defensive (overusing ego defense mechanisms).
Defense Mechanisms
Freud believed that feelings of anxiety result from the ego’s inability to mediate the conflict between the id and superego. When this happens, Freud believed that the ego seeks to restore balance through various protective measures known as defense mechanisms (learn more about Freud's ego defense mechanisms ). When certain events, feelings, or yearnings cause an individual anxiety, the individual wishes to reduce that anxiety. To do that, the individual’s unconscious mind uses ego defense mechanisms, unconscious protective behaviors that aim to reduce anxiety. The ego, usually conscious, resorts to unconscious strivings to protect the ego from being overwhelmed by anxiety. When we use defense mechanisms, we are unaware that we are using them. Further, they operate in various ways that distort reality. According to Freud, we all use ego defense mechanisms.
While everyone uses defense mechanisms, Freud believed that overuse of them may be problematic. For example, let’s say Joe Smith is a high school football player. Deep down, Joe feels sexually attracted to males. His conscious belief is that being gay is immoral and that if he were gay, his family would disown him, and he would be ostracized by his peers. Therefore, there is a conflict between his conscious beliefs (being gay is wrong and will result in being ostracized) and his unconscious urges (attraction to males). The idea that he might be gay causes Joe to have feelings of anxiety. How can he decrease his anxiety?  This way, Joe’s unconscious impulses are further submerged.
There are several different types of defense mechanisms. For instance, in repression, anxiety-causing memories from consciousness are blocked. As an analogy, let’s say your car is making a strange noise, but because you do not have the money to get it fixed, you just turn up the radio so that you no longer hear the strange noise. Eventually you forget about it. Similarly, in the human psyche, if a memory is too overwhelming to deal with, it might be repressed and thus removed from conscious awareness (Freud, 1920). This repressed memory might cause symptoms in other areas.
Another defense mechanism is reaction formation, in which someone expresses feelings, thoughts, and behaviors opposite to their inclinations. In the above example, Joe made fun of a homosexual peer while himself being attracted to males. In regression, an individual acts much younger than their age. For example, a four-year-old child who resents the arrival of a newborn sibling may act like a baby and revert to drinking out of a bottle. In projection, a person refuses to acknowledge her own unconscious feelings and instead sees those feelings in someone else. Other defense mechanisms include rationalization, displacement, and sublimation.
Stages of Psychosexual Development
Freud believed that personality develops during early childhood: Childhood experiences shape our personalities as well as our behavior as adults. He asserted that we develop via a series of stages during childhood. Each of us must pass through these childhood stages, and if we do not have the proper nurturing and parenting during a stage, we will be stuck, or fixated, in that stage, even as adults.
In each psychosexual stage of development, the child’s pleasure-seeking urges, coming from the id, are focused on a different area of the body, called an erogenous zone. The stages are oral, anal, phallic, latency, and genital (learn more about psychosexual stages of development ).
Freud’s psychosexual development theory is quite controversial. To understand the origins of the theory, it is helpful to be familiar with the political, social, and cultural influences of Freud’s day in Vienna at the turn of the 20th century.  Given that sex was a taboo topic, Freud assumed that negative emotional states (neuroses) stemmed from suppression of unconscious sexual and aggressive urges. For Freud, his own recollections and interpretations of patients’ experiences and dreams were sufficient proof that psychosexual stages were universal events in early childhood.
Table 3.1 Freud’s Stages of Psychosexual Development
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Stage |
Age (years) |
Erogenous Zone |
Major Conflict |
Adult Fixation Example |
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Oral |
0–1 |
Mouth |
Weaning off breast or bottle |
Smoking, overeating |
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Anal |
1–3 |
Anus |
Toilet training |
Neatness, messiness |
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Phallic |
3–6 |
Genitals |
Oedipus/Electra complex |
Vanity, overambition |
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Latency |
6–12 |
None |
None |
None |
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Genital |
12+ |
Genitals |
None |
None |
Oral Stage
In the oral stage (birth to 1 year), pleasure is focused on the mouth. Eating and the pleasure derived from sucking (nipples, pacifiers, and thumbs) play a large part in a baby’s first year of life. At around 1 year of age, babies are weaned from the bottle or breast, and this process can create conflict if not handled properly by caregivers. According to Freud, an adult who smokes, drinks, overeats, or bites her nails is fixated in the oral stage of her psychosexual development; she may have been weaned too early or too late, resulting in these fixation tendencies, all of which seek to ease anxiety.
Anal Stage
After passing through the oral stage, children enter what Freud termed the anal stage (1–3 years). In this stage, children experience pleasure in their bowel and bladder movements, so it makes sense that the conflict in this stage is over toilet training. Freud suggested that success at the anal stage depended on how parents handled toilet training. Parents who offer praise and rewards encourage positive results and can help children feel competent. Parents who are harsh in toilet training can cause a child to become fixated at the anal stage, leading to the development of an anal-retentive personality. The anal-retentive personality is stingy and stubborn, has a compulsive need for order and neatness, and might be considered a perfectionist. If parents are too lenient in toilet training, the child might also become fixated and display an anal-expulsive personality. The anal-expulsive personality is messy, careless, disorganized, and prone to emotional outbursts.
Phallic Stage
Freud’s third stage of psychosexual development is the phallic stage (3–6 years), corresponding to the age when children become aware of their bodies and recognize the differences between boys and girls. The erogenous zone in this stage is the genitals. Conflict arises when the child feels a desire for the opposite-sex parent, and jealousy and hatred toward the same-sex parent. For boys, this is called the Oedipus complex, involving a boy’s desire for his mother and his urge to replace his father who is seen as a rival for the mother’s attention. At the same time, the boy is afraid his father will punish him for his feelings, so he experiences castration anxiety . The Oedipus complex is successfully resolved when the boy begins to identify with his father as an indirect way to have the mother. Failure to resolve the Oedipus complex may result in fixation and development of a personality that might be described as vain and overly ambitious.
Girls experience a comparable conflict in the phallic stage—the Electra complex. The Electra complex, while often attributed to Freud, was actually proposed by Freud’s protégé, Carl Jung (Jung & Kerenyi, 1963). A girl desires the attention of her father and wishes to take her mother’s place.  While Freud initially embraced the Electra complex as a parallel to the Oedipus complex, he later rejected it, yet it remains as a cornerstone of Freudian theory, thanks in part to academics in the field (Freud, 1931/1968; Scott, 2005).
Following the phallic stage of psychosexual development is a period known as the latency period (6 years to puberty). This period is not considered a stage, because sexual feelings are dormant as children focus on other pursuits, such as school, friendships, hobbies, and sports. Children generally engage in activities with peers of the same sex, which serves to consolidate a child’s gender-role identity.
Genital Stage
The final stage is the genital stage (from puberty on). In this stage, there is a sexual reawakening as the incestuous urges resurface. The young person redirects these urges to other, more socially acceptable partners (who often resemble the other-sex parent). People in this stage have mature sexual interests, which for Freud meant a strong desire for the opposite sex. Individuals who successfully completed the previous stages, reaching the genital stage with no fixations, are said to be well-balanced, healthy adults.
While most of Freud’s ideas have not found support in modern research, we cannot discount the contributions that Freud has made to the field of psychology. It was Freud who pointed out that a large part of our mental life is influenced by the experiences of early childhood and takes place outside of our conscious awareness; his theories paved the way for others.
Summary
Sigmund Freud presented the first comprehensive theory of personality. He was also the first to recognize that much of our mental life takes place outside of our conscious awareness. Freud also proposed three components to our personality: the id, ego, and superego. The job of the ego is to balance the sexual and aggressive drives of the id with the moral ideal of the superego. Freud also said that personality develops through a series of psychosexual stages. In each stage, pleasure focuses on a specific erogenous zone. Failure to resolve a stage can lead one to become fixated in that stage, leading to unhealthy personality traits. Successful resolution of the stages leads to a healthy adult.
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Behavioral/Social Learning Theory [51]
Behavioral Learning Theory
Operant Conditioning and Repeating Actions
Operant Conditioning is another learning theory that emphasizes a more conscious type of learning than that of classical conditioning. A person (or animal) does something (operates something) to see what effect it might bring. Simply said, operant conditioning describes how we repeat behaviors because they pay off for us. It is based on a principle authored by a psychologist named Thorndike (1874–1949) called the law of effect. The law of effect suggests that we will repeat an action if it is followed by a good effect.
Skinner and Reinforcement
B.F. Skinner (1904–1990) expanded on Thorndike’s principle and outlined the principles of operant conditioning. Skinner believed that we learn best when our actions are reinforced.  Skinner believed that almost anything could be reinforced. A reinforcer is anything following a behavior that makes it more likely to occur again. It can be something intrinsically rewarding (called intrinsic or primary reinforcers), such as food or praise, or it can be something that is rewarding because it can be exchanged for what one really wants (such as money to buy a cookie). Such reinforcers are referred to as secondary reinforcers or extrinsic reinforcers.
Positive and Negative Reinforcement
Sometimes, adding something to the situation is reinforcing as in the cases we described previously with cookies, praise, and money. Positive reinforcement involves adding something to the situation in order to encourage a behavior. Other times, taking something away from a situation can be reinforcing. For example, the loud, annoying buzzer on your alarm clock encourages you to get up so that you can turn it off and get rid of the noise. Children whine in order to get their parents to do something and often, parents give in just to stop the whining. In these instances, negative reinforcement has been used.
Operant conditioning tends to work best if you focus on trying to encourage a behavior or move a person into the direction you want them to go rather than telling them what not to do. Reinforcers are used to encourage a behavior; punishers are used to stop behavior. A punisher is anything that follows an act and decreases the chance it will reoccur. But often a punished behavior doesn’t really go away. It is just suppressed and may reoccur whenever the threat of punishment is removed. For example, a motorist may only slow down when the highway patrol is on the side of the freeway. Another problem with punishment is that when a person focuses on punishment, they may find it hard to see what the other does right or well. And punishment is stigmatizing; when punished, some start to see themselves as bad and give up trying to change.
Reinforcement can occur in a predictable way, such as after every desired action is performed, or intermittently, after the behavior is performed a number of times or the first time it is performed after a certain amount of time. The schedule of reinforcement has an impact on how long a behavior continues after reinforcement is discontinued. So, a parent who has rewarded a child’s actions each time may find that the child gives up very quickly if a reward is not immediately forthcoming. Think about the kinds of behaviors you may have learned through classical and operant conditioning. You may have learned many things in this way. But sometimes we learn very complex behaviors quickly and without direct reinforcement. Bandura explains how. (6)
Social Learning Theory
Albert Bandura is a leading contributor to social learning theory. He calls our attention to the ways in which many of our actions are not learned through conditioning; rather, they are learned by watching others (1977). Young children frequently learn behaviors through imitation. Sometimes, particularly when we do not know what else to do, we learn by modeling or copying the behavior of others. An employee on his or her first day of a new job might eagerly look at how others are acting and try to act the same way to fit in more quickly. Adolescents struggling with their identity rely heavily on their peers to act as role models. Newly married couples often rely on roles they may have learned from their parents and begin to act in ways they did not while dating and then wonder why their relationship has changed. Sometimes we do things because we’ve seen it pay off for someone else. They were operantly conditioned, but we engage in the behavior because we hope it will pay off for us as well. This is referred to as vicarious reinforcement (Bandura, Ross and Ross, 1963).
Do Parents Socialize Children or Do Children Socialize Parents?
Bandura (1986) suggests that there is interplay between the environment and the individual. We are not just the product of our surroundings; rather, we influence our surroundings. There is interplay between our personality and the way we interpret events and how they influence us. This concept is called reciprocal determinism. An example of this might be the interplay between parents and children . Parents not only influence their child’s environment, perhaps intentionally through the use of reinforcement, etc., but children influence parents as well. Parents may respond differently with their first child than with their fourth. Perhaps they try to be the perfect parents with their firstborn, but by the time their last child comes along they have very different expectations both of themselves and their child. Our environment creates us, and we create our environment.
Other social influences: TV or not TV? Bandura (et al. 1963) began a series of studies to look at the impact of television commercials on the behavior of children. Are children more likely to act out aggressively when they see this behavior modeled? What if they see it being reinforced? Bandura began by conducting an experiment in which he showed children a film of a woman hitting an inflatable clown or “bobo” doll. Then the children were allowed in the room where they found the doll and immediately began to hit it. This was without any reinforcement whatsoever. Later children viewed a woman hitting a real clown and sure enough, when allowed in the room, they too began to hit the clown! Not only that, but they found new ways to behave aggressively. It’s as if they learned an aggressive role. (6)
Strictly speaking, behavioral theories are not developmental theories. Both Freud and Erikson were interested in developmental stages and how we change across time. Behavioral theories believe that reinforcers and punishers function the same regardless of age or stage of development, which is why they are psychological theories, but not developmental theories. (1)
Cognitive Theory [52]
When applied to explaining why people commit crimes, cognitive psychology focuses on how people learn to solve social problems.
Piaget (1932) was the first cognitive psychologists to argue that people’s reasoning abilities develop in a predictable, orderly way. He believed that during the first stage of development (what he called the “sensor-motor stage”), children respond to their social environment in a simple way by focusing their attention on interesting objects and developing motor skills. By the final stage of the development (what he called the “formal operations stage”), children have developed into mature adults who are capable of complex reasoning and abstract thought.
Kohlberg
In 1969, Kohlberg applied this concept of moral development to criminal behavior. According to his work, there are six fundamental stages in moral development. The most basic type of moral development is avoiding the prohibited behavior out of fear of punishment. By the time the person reaches the sixth and final stage, universal principles such as justice, concern for others, and a sense of equity motivate behavior. According to Kohlberg’s research findings, violent youth had stunted moral development when compared to nonviolent youth. This relationship held even when the social background of participants was controlled statistically. Simply put, people who have empathy and concern for others are much less likely to commit crimes of violence than those who avoid violence merely because they fear punishment.
This in essence holds that the criminal calculus of the Utilitarians actually does play a role in criminal behavior, but it is the simplest and least dependable behavioral drive when it comes to criminality. Kohlberg’s research also connected higher levels of moral development to prosocial behaviors such as altruism and generosity. Such individuals can be counted on to act according to social norms regardless of what formal social controls are in place. Those with lower levels of moral reasoning will act more in accordance with perceived self-interest, and formal social controls will play a much larger role in predicting their behavior. They are likely to engage in crime when they calculate that they can “get away with it.” Society can depend on those with high levels of moral development to do the right thing simply because it is the right thing to do.
Other researchers from the field of cognitive psychology have considered the role of information processing in criminality. A large body of research in this field suggests that when people make decisions, they engage in a series of complex thought processes. The basic model of behavior from this perspective is that a stimulus occurs in the person’s environment; the person then decodes and interprets the stimuli. They then must search for a proper reaction to the stimuli, and when one is decided upon, the person acts on the decision. Some researchers in this field have hypothesized that violent behavior may be the result of the individual using information incorrectly to make decisions. I person with a history of violence, for example, may tend to see others as more aggressive or more dangerous than is appropriate. This may in turn evoke a violent response with only minimal provocation. An aggressive person, the theory suggest, would tend toward hypervigilance and suspicion of others. This in turn would increase the occurrence of violent behavior. Very few individual self-report violence against another person merely out of spite or rage; while this does happen, the majority of violent individuals explain that their actions were taken in self-defense. A more rational analysis of the circumstances preceding the act of violence may reveal that the level of threat was grossly exaggerated in the mind of the actor. It has been further suggested that many violent, predatory criminals fail to realize—because of information processing errors—that their behavior is as harmful as it is to victims. They simply do not recognize the harm that they are causing.
Personality Theory [53]
In personality theory, the problem lies not in unconscious motivation, but in the content of the person’s personality. The basic proposition here is that criminals have abnormal, inadequate personality traits that differentiate them from law-abiding people.
One version Explains criminal behavior as an expression of such deviant personality traits as impulsiveness, aggressiveness, sensation seeking, rebelliousness, hostility, and so on.
Another Version Claims that criminals differ from law-abiding persons in basic personality type. Conformity reflects a normal personality. Serious criminal violations spring from an aberrant personality, variously labeled as psychopathic, antisocial, or sociopath personality. These labels are applied to self-centered persons who have not been properly socialized into prosocial attitudes and values, which have developed no sense of right and wrong, and no empathy with others, no remorse for wrongs committed.
Evaluation is problematic: The concept is so broad that it can be applied to anyone who violates the law. Estimates range from 10% to 80% of offenders, depending on the definition. Some definitions use measures of criminal activity to determine personality disorders—creating a tautology.
The research using personality inventories and other methods of measuring personality characteristics have not been able to produce findings to support personality variables as major causes of criminal and delinquent behavior.
According to this perspective, criminals should be treated as sick people who are not responsible in any rational sense. Punishment will not help; only create more guilt and make things worse. Once underlying emotional problems are fixed criminality will go away.
Psychoanalytic treatment: The criminal must undergo psychoanalytic treatment to help him uncover the repressed causes of the behavior, which lies hidden in the unconscious. The objective is to reveal to the person’s conscious mind the deep-seated unconscious motivations driving criminality—then it can be handled by the conscious mind.
Social Structure Theories [54]
Social structure theories all stress that crime results from the breakdown of society’s norms and social organization. They trace the roots of crime to problems in the society itself rather than to biological or psychological problems inside individuals. By doing so, they suggest the need to address society’s social structure in order to reduce crime. Several social structure theories exist.
Strain Theory [55]
Strain theories assume people will commit crime because of strain, stress, or pressure. Depending on the version of strain theory, strain can come from a variety of origins. Strain theories also assume that human beings are naturally good; bad things happen, which “push” people into criminal activity.
Emile Durkheim viewed economic or social inequality as natural and inevitable. Furthermore, inequality and crime were not correlated unless there was also a breakdown of social norms. According to Durkheim, when there is rapid social change (like moving from an agrarian society to an industrial society) social norms breakdown. There is too much too fast, and society needs to reevaluate normative behaviors. He referred to the decline of social norms, or “normlessness,” as “anomie.” Moreover, social forces have a role in dictating human thought and behaviors. He thought anomie was an inability of societies to control or regulate individuals’ appetites. Although Durkheim was interested in looking at how societies change, other researchers adapted his idea of anomie. In the previous section, Shaw and McKay retained the spirit of Durkheim’s anomie but focused on neighborhoods instead of societies at large. Robert K. Merton also utilized Durkheimian anomie.
Merton (1938) thought many human appetites originated in the culture of American society rather than naturally. [1] Moreover, the “social structure” of American society restricts some citizens from attaining it. Most, if not all, Americans know of the “American Dream.” No matter how you conceptualize the dream, most people would define the American dream as achieving economic success in some form. The culturally approved method of obtaining the American dream is through hard work, innovation, and education. However, some people and groups are not given the same opportunities to achieve the cultural goal. When there is a disjunction between the goals of a society and the appropriate means to achieve that goal, a person may feel pressure or strain. Everyone is aware of the definition and promotion of the American dream. When someone does not achieve this goal, he or she may feel strain or pressure. A person could be rejected or blocked from achieving a cultural goal. Merton claimed there were five personality adaptations between the goals of a society and the means to achieve them.
Table 3.2 Personality Adaptations
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Personality Adaptation |
Cultural Goals |
Institutionalized Means |
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I. Conformity |
+ |
+ |
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II. Innovation |
+ |
– |
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III. Ritualism |
– |
+ |
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IV. Retreatism |
– |
– |
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V. Rebellion |
+ / – |
+ / – |
Conformists are the most common adaptation. Without it, societal norms and values would undermine the cultural goals. Conformists accept the goals and legitimate means to achieve the goal. Innovators accept the goal, but they reject the means or have their means blocked. Thus, they innovate ways to meet society’s goal. Ritualists conform to the predominant means of achieving wealth and success through hard work, but they may be blocked from achieving success, or they drop the social goal. For example, some people work hard for the sake of working hard. They want their children to see the significance of work ethic above all else, including monetary achievement. Retreatists do not share the shared values of society. Thus, they adjust by dropping out of conventional society. Drug addicts, alcoholics, and vagrants are just some examples who select this adjustment. Finally, rebels reject the current goals and means of society, but they want to replace them with new goals and standards. They seek to establish a new social order.
Even though Merton’s theory could explain any strain, he emphasized economic strains. Cohen (1955) claimed stress could come from a lack of status. [2] Cohen wanted to know why most juvenile crimes occurred in groups. He explained that many youths, especially those in lower class families, rejected education and other middle-class values. Instead, many teenagers would seek status and self-worth as a new value system. When teens have no status, reputation, or self-worth, it led to severe strain. To achieve status, youths commit a crime to gain status among their peer group. Cloward and Ohlin (1960) claimed more serious delinquents sought “fast cars, fancy clothes, and well dames” (p. 97). [3] Assuming youths had no legitimate opportunities to improve their economic position, youths would join gangs to pursue illegitimate opportunities to achieve financial success. Criminal gangs provided youths illicit opportunities to gain money, conflict gangs permitted youths to vent their frustrations, and retreatist gangs were double failures; they had no legitimate or illegitimate means to increase income.
The general strain theory, by Robert Agnew, claimed strains come from myriad sources. Agnew defined strain as any event that a person would rather avoid. Three types of strains include the failure to achieve a positively valued stimulus, the removal of a positively valued stimulus, and the confrontation of negative stimuli. Examples include parental rejection, child abuse, bullying, loss of job, loss of a loved one, discrimination, and criminal victimization. However, the characteristics of some strains are more likely to lead to crime. When a person views a strain as high in magnitude and unjust, and the pressure promotes criminal coping mechanism, people with minimal social control are more likely to commit a crime. Strains lead to negative emotions such as anger, depression, and fear. Some people without prosocial coping mechanisms may commit a crime to vent, which can create social control issues (trouble in school, parents, employers) as well as facilitate social learning (joining peers who also need to vent their frustration). Overall, criminal behavior serves a purpose – to escape strain, stress, or pressure.
|
|
Think About It… Coping Mechanisms Every-one feels stress and each of us copes with stress, pressure, or shame differently. Shame can motivate us to change for the better. For example, if you did poorly on an exam, you may start to study better. When you feel stress, what do you do? When I ask students how they deal with stress, many go for a run or a walk, lift weights, cry, talk, or eat ice cream.  When I feel stress, I write. Sometimes, I write angry emails and then delete them. Fortunately, I have never accidently sent one. |
Cultural Deviance Theory [56]
Cultural deviance theory suggests that conformity to the prevailing cultural norms of lower-class society causes crime. Researchers Clifford Shaw and Henry McKay (1942) studied crime patterns in Chicago in the early 1900s. They found that violence and crime were at their worst in the middle of the city and gradually decreased the farther someone traveled from the urban center toward the suburbs. Shaw and McKay noticed that this pattern matched the migration patterns of Chicago citizens. New immigrants, many of them poor and lacking knowledge of the English language, lived in neighborhoods inside the city. As the urban population expanded, wealthier people moved to the suburbs and left behind the less privileged.
Shaw and McKay concluded that socioeconomic status correlated to race and ethnicity resulted in a higher crime rate. The mix of cultures and values created a smaller society with different ideas of deviance, and those values and ideas were transferred from generation to generation.
The theory of Shaw and McKay has been further tested and expounded upon by Robert Sampson and Byron Groves (1989). They found that poverty, ethnic diversity, and family disruption in given localities had a strong positive correlation with social disorganization. They also determined that social disorganization was, in turn, associated with high rates of crime and delinquency—or deviance. Recent studies Sampson conducted with Lydia Bean (2006) revealed similar findings. High rates of poverty and single-parent homes correlated with high rates of juvenile violence.
Social Process Theories
Social Conflict Theory [57]
Conflict theory sees society as a dynamic entity constantly undergoing change as a result of competition over scarce resources.
|
Learning Objective |
|
|
Key Points |
|
|
Key Terms |
|
The conflict perspective, or conflict theory, derives from the ideas of Karl Marx, who believed society is a dynamic entity constantly undergoing change driven by class conflict. Whereas functionalism understands society as a complex system striving for equilibrium, the conflict perspective views social life as competition.  Competition over scarce resources is at the heart of all social relationships. Competition, rather than consensus, is characteristic of human relationships. Broader social structures and organizations (e.g., religions, government, etc.) reflect the competition for resources and the inherent inequality competition entails; some people and organizations have more resources (i.e., power and influence), and use those resources to maintain their positions of power in society.
C. Wright Mills is known as the founder of modern conflict theory. In his work, he believes social structures are created because of conflict between differing interests. People are then impacted by the creation of social structures, and the usual result is a differential of power between the ” elite ” and the “others”. Examples of the “elite” would be government and large corporations. G. William Domhoff believes in a similar philosophy as Mills and has written about the “power elite of America”.
Sociologists who work from the conflict perspective study the distribution of resources, power, and inequality. When studying a social institution or phenomenon, they ask, “Who benefits from this element of society? ”
Conflict Theory and Change
While functionalism emphasizes stability, conflict theory emphasizes change. According to the conflict perspective, society is constantly in conflict over resources, and that conflict drives social change. For example, conflict theorists might explain the civil rights movements of the 1960s by studying how activists challenged the racially unequal distribution of political power and economic resources. As in this example, conflict theorists generally see social change as abrupt, even revolutionary, rather than incremental. In the conflict perspective, change comes about through conflict between competing interests, not consensus or adaptation. Conflict theory, therefore, gives sociologists a framework for explaining social change, thereby addressing one of the problems with the functionalist perspective.
Criticism of Conflict Theory
Predictably, conflict theory has been criticized for its focus on change and neglect of social stability. Some critics acknowledge that societies are in a constant state of change but point out that much of the change is minor or incremental, not revolutionary. For example, many modern capitalist states have avoided a communist revolution, and have instead instituted elaborate social service programs. Although conflict theorists often focus on social change, they have, in fact, also developed a theory to explain social stability. According to the conflict perspective, inequalities in power and reward are built into all social structures. Individuals and groups who benefit from any particular structure strive to see it maintained. For example, the wealthy may fight to maintain their privileged access to higher education by opposing measures that would broaden access, such as affirmative action or public funding.
Developmental Theory [58]
The defining feature of developmental theory is its focus on offending in relation to changes over time in individuals and their life circumstances, with most research being focused in practice on childhood and adolescence.
As you probably realize by now, most theories and discussions of socialization concern childhood. However, socialization continues throughout the several stages of the life course, most commonly categorized as childhood, adolescence, adulthood, and old age. Within each of these categories, scholars further recognize subcategories, such as early adolescence and late adolescence, early adulthood and middle adulthood, and so forth. This section sketches some important aspects of the major life course stages.
Childhood
Despite increasing recognition of the entire life course, childhood (including infancy) certainly remains the most important stage of most people’s lives for socialization and for the cognitive, emotional, and physiological development that is so crucial during the early years of anyone’s life. We have already discussed what can happen if an infant does not receive “normal” socialization from at least one adult, and feral children are a sad reminder that socialization is necessary to produce an entity that not only looks human but really is human in the larger sense of the word.
 In regard to education, health, and other outcomes, many children do not fare well during childhood. Moreover, how well they do fare often depends on their social location—their social class, their race and ethnicity, and their gender. The Federal Interagency Forum on Child and Family Statistics regularly publishes a report called America’s Children: Key National Indicators of Well-Being (including a shorter version in some years). This report provides an annual update of how children are faring on more than three dozen measures. The Forum’s latest report, published in July 2010, provided some disturbing facts about children’s well-being, and it also showed the difference that social location makes for their well-being (Federal Interagency Forum on Child and Family Statistics, 2010).
In one important finding, only about 55% of children aged 3–5 and not in kindergarten had a family member read to them daily. This figure varied by income level. Only 40% of children in families below the poverty level profited in this way, compared to 64% of children whose families’ incomes were at least twice as high as the poverty level.
In other important findings, about one-fifth of U.S. children lived in poverty in 2008, a figure that rose to more than 30% of African American and Latino children. As well, slightly more than one-fifth of children were in families that sometimes were “food insecure,” meaning they had trouble providing food for at least one family member. More than 40% of households with children in 2007 were characterized by crowded or physically inadequate conditions.
What happens during childhood can have lifelong consequences. Traumatic experiences during childhood—being neglected or abused, witnessing violence, being seriously injured, and so forth—put youngsters at much greater risk for many negative outcomes. They are more likely to commit serious delinquency during adolescence, and, throughout the life course, they are more likely to experience various psychiatric problems, learning disorders, and substance abuse. They are also less likely to graduate high school or attend college, to get married or avoid divorce if they do marry, and to gain and keep a job (Adams, 2010). The separate stages of the life course are really not that separate after all.
Adolescence
As many readers may remember, adolescence can be a very challenging time. Teenagers are no longer mere children, but they are not yet full adults. They want their independence, but parents and teachers keep telling them what to do. Peer pressure during adolescence can be enormous, and tobacco, alcohol, and other drug use become a serious problem for many teens.
These are all social aspects of adolescence, but adolescence also is a time of great biological change—namely, puberty. Puberty obviously has noticeable physiological consequences and, for many adolescents, at least one very important behavioral consequence—sexual activity. But early puberty also seems to have two additional effects: among both boys and girls, it increases the likelihood of delinquency and also the likelihood of becoming a victim of violence (Schreck, Burek, Stewart, & Miller, 2007). These twin consequences are thought to happen for at least two reasons. First, early puberty leads to stress, and stress leads to antisocial behavior (which can also result in violence against the teen committing the behavior). Second, teens experiencing early puberty ( early maturers ) are more likely to hang out with older teens, who tend to be more delinquent because they are older. Because their influence “rubs off,” early maturers get into trouble more often and are again more likely to also become victims of violence.
Romantic relationships, including the desire to be in such a relationship, also matter greatly during adolescence. Wishful thinking, unrequited love, and broken hearts are common. Dating multiple partners is thought to contribute to delinquency and substance abuse, in part because dating occurs at parties and in other unsupervised settings where delinquency and drug use can occur, and in part because the emotional problems sometimes accompanying dating may result in delinquency, drug use, or both (Seffrin, Giordano, Manning, & Longmore, 2009).
As the discussion on childhood suggested, social class, race and ethnicity, and gender continue to affect the experiences of individuals during adolescence. Adolescence can certainly be an interesting stage of the life course, but how we fare during adolescence is often heavily influenced by these three fundamental aspects of our social location.
Emerging Adulthood
2008 was a year of financial upheaval in the United States. Rampant foreclosures and bank failures set off a chain of events sparking government distrust, loan defaults, and large-scale unemployment. How has this affected the United States’ young adults?
Millennials, sometimes also called Gen Y, is a term that describes the generation born during the early eighties to early nineties. While the recession was in full swing, many were in the process of entering, attending, or graduating from high school and college. With employment prospects at historical lows, large numbers of graduates were unable to find work, sometimes moving back in with their parents and struggling to pay back student loans.
According to the New York Times , this economic stall is causing the Millennials to postpone what most Americans consider to be adulthood: “The traditional cycle seems to have gone off course, as young people remain untethered to romantic partners or to permanent homes, going back to school for lack of better options, traveling, avoiding commitments, competing ferociously for unpaid internships or temporary (and often grueling) Teach for America jobs, forestalling the beginning of adult life” (Henig 2010). The term Boomerang Generation describes recent college graduates, for whom lack of adequate employment upon college graduation often leads to a return to the parental home (Davidson, 2014).
Emerging adulthood, as exemplified by the experience of many Millennials, is a relatively recent phase of the life span located between the adolescence and full-fledged adulthood. The term describes young adults who do not have children, do not live in their own home, or do not have sufficient income to become fully independent. Jeffrey Arnett (2000) suggests emerging adulthood is the distinct period between 18 and 25 years of age where adolescents become more independent and explore various life possibilities. Arnett argues that this developmental period can be isolated from adolescence and young adulthood. Emerging adulthood is proposed as a new developmental stage centered on “identity exploration, instability, self-focus, and feeling in-between”. Arnett called this period “roleless role” because emerging adults do a wide variety of activities but are not constrained by any sort of “role requirements”.
The five milestones that define adulthood, Henig writes, are “completing school, leaving home, becoming financially independent, marrying, and having a child” (Henig 2010). These social milestones are taking longer for Millennials to attain, if they’re attained at all. Sociologists wonder what long-term impact this generation’s situation may have on society as a whole.
Adulthood
Adulthood is usually defined as the 18–64 age span. Obviously, 18-year-olds are very different from 64-year-olds, which is why scholars often distinguish young adults from middle-age adults. In a way, many young adults, including most readers of this book, delay entrance into “full” adulthood by going to college after high school and, for some, then continuing to be a student in graduate or professional school. By the time the latter obtain their advanced degree, many are well into their 30s, and they finally enter the labor force full time perhaps a dozen years after people who graduate high school but do not go on to college. These latter individuals may well marry, have children, or both by the time they are 18 or 19, while those who go to college and especially those who get an advanced degree may wait until their late 20s or early to mid-30s to take these significant steps.
One thing is clear from studies of young adulthood: people begin to “settle down” as they leave their teenage years, and their behavior generally improves. At least two reasons account for this improvement.  For example, the frontal lobe, the region of the brain that governs reasoning and the ability to consider the consequences of one’s actions, is not yet fully formed, leaving teenagers more impulsive. As the brain matures into the mid- and late 20s, impulsiveness declines and behavior improves (Ruder, 2008).
Second, as sociologists recognize, young adulthood is a time when people’s “stakes” in society and conformity become stronger. Many get married, some have children, and most obtain their first full-time job. These “turning points,” as they are called, instill a sense of responsibility and also increase the costs of misbehavior. If you are married, your spouse might not be very happy to have you go barhopping every weekend night or even more often; if you are employed full time, your employer might not be very happy to have you show up hung over. Marriage and employment as turning points thus help account for the general improvement in behavior that occurs after people reach adulthood (Laub, Sampson, & Sweeten, 2006).
Social class, race and ethnicity, and gender continue to affect how people fare during adulthood.


5.2: Introduction to Physical Development in Early Childhood
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Children in early childhood are physically growing at a rapid pace. If you want to have fun with a child at the beginning of the period, ask them to take their left hand and use it to go over their head to touch their right ear. They cannot do it. Their body proportions are such that they are still built very much like an infant with a very large head and short appendages.  They can accomplish the task easily because of these physical changes.


4.9: Suggested Resources
4.1 Tools for Creativity and Innovation
The World’s 25 Best Design Schools: https://www.businessinsider.com/the-...chools-2012-11
Open Innovation Community: http://openinnovation.net/
The Seven All-Time Greatest Ideation Techniques: http://www.innovationmanagement.se/2...on-techniques/
Ideation Method: Mash-Up: https://www.ideou.com/pages/ideation-method-mash-up
LUMA Institute’s LUMA System of Innovation: www.youtube.com/watch?v=qDyElJ0xe2o
Ideation Method: Top Five: http://www.designkit.org/methods/15
4.3 Developing Ideas, Innovations, and Inventions
Additional information about product development: https://www.smartsheet.com/all-about...opment-process
A summary of various leadership styles and traits that are essential for a changing business environment: https://www.christinespeaks.com/mana...mic-leadership


14.8: Communication and Management
- Describe the components of the communication-process model.
- Recognize common missteps in communication.
- Differentiate between formal and informal communication networks.
Mathias Mendez had recently been hired as the manager of the purchasing department of an online retailer. His appointment was announced through an e-mail to all company employees, and his department was expecting his arrival. His managers told him his first task was to try to cut costs in the department. Mathias hadn’t determined exactly what to do, but he had determined that he could reach the target cuts through a combination of a freeze on new hiring, cutting all but critical travel, reducing training, and cutting back on the use of temporary and contract workers.
He was anxious to show his superiors that he was working on the problem, so he sent an e-mail to his managers and employees that said he would be announcing cost-cutting measures soon. Unfortunately, employees interpreted this to mean there would be layoffs. Rumors soon started flying about how “Matt the Knife” had been hired to outsource the department and that everyone was going to be laid off. Morale plunged and people started using their time to polish their resumes and apply for jobs. The employees distrusted Mathias and he was cut off from all but routine communication with them.
Communication and management are closely linked. Communication refers to the process by which information is exchanged between two or more people (increasingly, machines are also included in communication, but we limit the discussion here to communication between people). Each of the management roles—planning, organizing, leading, and controlling—depends on effective communication. Managers must be able to receive accurate information to determine plans, and they must be able to send accurate information for the plans to be implemented. When information is accurately sent and received, everyone in an organization can be informed. As we see in the earlier example, however, when information is misinterpreted or when incorrect information spreads, communications can create significant problems in organizations.
The Role of Communication in Management
The role of management is to accomplish the goals of an organization. To do this, managers create a plan that defines what needs to be done, when it will be done, and how it will be done. To implement the plan, managers must convey this information to everyone in the organization. That is, they must communicate the plan to members of the organization. However, managers need to do much more than just inform people what they need to do to support the plan. They also must motivate people to support the plan, build commitment to the organization, establish rapport and collaboration, and keep everyone informed of events and actions that affect the organization. Good communication not only informs but also helps to create a culture that makes people feel like they belong to and want to support the organization. The opening example shows what can result from poor communication. Following are some of the benefits of effective communication.
- Provides clarity. Confusion, uncertainty, and ambiguity make people uncomfortable and uncooperative. Making roles, responsibilities, and relationships clear gives everyone the information they need to do their jobs and to understand their contributions to the organization. Effective communication reduces the cost associated with conflicts, misunderstandings, and mistakes.
- Builds Relationships. A culture that promotes open communication reduces tension between hierarchical levels of employees, both professionally and socially. In a trusting and collaborative culture, people are more likely to seek help with problems and to suggest solutions and improvements. Effective communication creates a collegial culture that fosters teamwork and encourages cooperation.
- Creates commitment. Effective communication involves not only sending information but also receiving it. By listening to employees’ concerns, allowing them to have input on their work and their workplace, and giving consideration to their suggestions, managers can make everyone in the organization feel like they are valued contributors. When employees feel like they are valued in the organization, they will likely be more engaged and motivated. Effective communication creates support and commitment.
- Defines expectations. When people are uncertain about what is expected of them and how they will be evaluated, they can’t do their jobs well. Performance reviews are difficult because the employee does not know the performance standards they are expected to meet. And if corrective measures are necessary, the employee may be resentful if he can’t see how his behaviors reduced his effectiveness. When expectations and standards are clear, employees know what they need to do to get a positive review and the benefits that come with it.
These are just a few of the many benefits that come from effective communications. Managers can only reach organizational goals when the people in the organization are committed to the goals. People perform much better when they are informed and involved.
The Communication-Process Model
The communication process may seem simple: one person sends a message and others receive it. The process becomes more complex, however, because the information in the message must be sent and received accurately. The communication-process model describes how the information is sent and received.
The following diagram shows this model.
It is easiest to understand the model when one person is communicating with another person. The person initiating the communication, the sender , has information he wants the other person, the receiver , to know. However, before it can be sent, the information has to be encoded into a form that can be transmitted. In a simple case, the information is put into words spoken to the receiver. Or the information may be converted into printed text, tables, charts, or graphs given to the receiver. In a more complicated case, the information is encoded into words or images that are then converted into electronic signals sent to the receiver. The channel is the medium through which the information is conveyed. It could be air conveying sound waves, paper conveying text and images, or wires or magnetic fields conveying electronic signals. (We will discuss channels in more detail later in this module.) In the opening example, the management had information that Mathias had been hired and when he would start. They wanted the employees in the company to have that information so they put it in a message and sent it to employees.
The receiver reverses the process. She receives the encoded message and then decodes it. That means she converts the message back into information that can be understood. In the opening example, an employee reads the message and knows who has been hired and when he will start. Information has been transferred from managers to employees. In an interactive communication process, the receiver can send feedback to the sender to indicate that the message has been received and how it has been interpreted. This can start an interactive back-and-forth exchange that can assure the sender that the message has been received and understood correctly.
The two-person model can be generalized to the case of one person communicating with many others. It could be a person making a presentation to a roomful of people, a manager sending an e-mail to employees, a Facebook post to friends, or a tweet to hundreds of followers.
The following video provides a helpful overview of the communication process and some of the barriers that can arise during communication:
You can view the transcript for “How the Communication Process Works” here (opens in new window) .
Common Missteps in Communication
Each step in the communication-process model introduces the potential for missteps to occur. In the opening scenario, two e-mail messages were described. They were both internal to the company, but they achieved much different results. What was different about the messages that caused the different outcomes?
The first misstep can occur when the information to be communicated is not encoded correctly. Consider the e-mail sent by management to announce Mathias’s appointment. Management had clear information to convey, and a simple e-mail conveyed it.
Mathias’s e-mail had a different purpose. He wanted to convey to his superiors that he was following their directions and was working on a plan to cut costs. But when he put the information into text, he didn’t encode it well. He wanted to convey that he was working on the problem but had not made any decisions. What he actually conveyed was that he was going to cut costs by whatever means necessary and soon. Because the information was not encoded accurately, the wrong information was sent.
The first step in good communications is being able to clearly and concisely convey information, whether written, spoken, graphic, or numerical. If information is not encoded properly, nothing else matters. Later on we will look at specific suggestions for how to tailor messages to take the needs of the receivers into consideration
Missteps also occur during decoding when the receiver interprets the message differently than the sender intended. In Mathias’s case, the message he sent was “I’m thinking about ways to cut costs and I will let you know when I have a plan.” But employees interpreted the message as “I’m going to do whatever I have to in order to cut costs.”
Because feedback is a message sent in the opposite direction, from the receiver to the sender, all of these problems can occur during feedback. In many cases feedback is not important and is not wanted. Much information that is communicated is intended to keep people informed, and acknowledgement or response is not expected. When management sent the notice about Mathias’s appointment it did not expect every employee to respond. Sometimes, though, feedback is important to be certain that both the sender and receiver have the same information and interpret it the same way. The initial sender must be sure that she understands the feedback provided by the sender, asks questions to clarify any misinterpretation, and responds to any questions. The last step in good communication is to be a good listener. In the following sections we will look more closely at the issues of miscommunication and ways to collect feedback.
Formal and Informal Communication Systems
In most organizations there are both formal and informal information systems. Formal communication systems are the methods used to convey information necessary for conducting the business of the organization. Formal communications conform to rules and regulations prescribed by the profession or law (for example, formal reporting procedures for tracking injuries in the workplace). This is information that flows within the chain of command or within task responsibilities. The message may be procedures to provide regular progress reports to managers. It may be scheduled meetings to exchange information on the status of a project. Human resources may arrange seminars to convey new policies and procedures. The formal communication system makes sure necessary information flows through the organization and that dissemination of this information is controlled. Not everyone in an organization has access to progress reports or attends project meetings. Formal communication systems ensure that information is available to those who need it and not to others.
Not all communication in an organization is formal, and not all communication is controlled. Informal communication systems are outside of the formal system. Informal systems can connect almost anyone in an organization to anyone else. They skip over hierarchical levels and between departments and functions. In the opening scenario we saw how misinformation spread through the informal system can harm an organization. However, informal communication systems are not necessarily disruptive. In many organizations, the informal network is the primary way information is spread and work gets done. There are some organizations where getting a job done depends more on who you know than what you know.
There are two main types of informal communication systems: social networks and the grapevine .
A social network is a system of personal relationships that cross hierarchical, departmental, and organizational boundaries. A simple social network system is shown in the following diagram.
In a social network, an individual can reach out to anyone else in his network for information or assistance. Through the linking member, he can also seek help from another group. People with large social networks have access to much information, and linking individuals can spread information through an organization. Linking individuals can be very influential in an organization.
The grapevine is how gossip is spread through an organization. Another term for a grapevine is a rumor mill. Almost everyone engages in gossip in some manner, so it is a very effective way of spreading information. In fact, information often spreads faster through the grapevine than through formal information channels. Unfortunately, the information is not controlled, and it can be distorted or even totally fabricated. The grapevine is particularly important when formal communications are inadequate. People don’t like to be uncertain about conditions that affect them. When information is not provided by the formal system, they seek and spread information through the grapevine.
Unlike a social network, a grapevine is unstructured and transitory, although the grapevine can follow social network links. Information flows in the grapevine through chance encounters, informal meetings, and overheard conversations. Electronic communication and social media has greatly increased the speed and spread of grapevines.
Contributors and Attributions
- Communication and Management. Authored by : John/Lynn Bruton and Lumen Learning. License : CC BY: Attribution
- Communication-Process Model. Authored by : Lumen Learning. License : CC BY: Attribution
- Social Networks. Authored by : Wykis. Located at : https://commons.wikimedia.org/wiki/File:Social-network.svg . License : Public Domain: No Known Copyright
- Video: How the Communication Process Works. Authored by : Alanis Business Academy. Located at : https://www.youtube.com/watch?v=q6u0AVn-NUM . License : All Rights Reserved . License Terms : Standard YouTube License