Contemporary Educational Psychology 37 (2012) 186–194
Contents lists available at SciVerse ScienceDirect
Contemporary Educational Psychology
journal homepage: www.elsevier.com/locate/cedpsych
‘‘Wearing a mask’’ vs. connecting identity with learning
Beverly S. Faircloth ?
School of Education, University of North Carolina at Greensboro, Greensboro, NC 27407, United States
a r t i c l e
i n f o
Article history:
Available online 18 January 2012
Keywords:
Identity
Identity-in-practice
Adolescent
Third space
Hybrid identity
Motivation
Engagement
a b s t r a c t
Contemporary insights regarding identity emphasize its situated, negotiated nature (i.e., identity is
shaped by – and shapes in response – the contexts in which it is formed; Holland, Lachicotte, Skinner,
& Cain, 1998; Lave & Wenger, 1991) Recent work also suggests that this identity/context intersection
holds powerful implications regarding engagement in learning (Brophy, 2008). This pair of qualitative
studies drew from contemporary models connecting learning with identity (Study 1: cultural modeling,
Lee, 2007 and third-space/hybrid-identities, Gutiérrez, 2008; Study 2: Kids’ business inquiry projects,
Fairbanks, 2000) to explore the nature and impact of such connections among disaffected ninth-grade
English students at a high-needs school. Results demonstrate evidence of: (1) a signi?cant connection
between identity and learning; (2) students’ negotiation of engaged patterns of participation; (3) the
relevance of student voice to this process; and (4) the impact of connections between identity and learning on students’ participation in, and affective response to, learning.
Ó 2012 Elsevier Inc. All rights reserved.
1. Introduction
The work of achieving a well-integrated identity has traditionally
been considered a critical developmental task, one that is particularly salient for adolescents and that often preoccupies their energy
and attention (Erikson, 1968). Recent socio-cultural and situated
explorations of identity (e.g., Holland, Lachicotte, Skinner, & Cain,
1998; Lave & Wenger, 1991; Schachter, 2005; Vygotsky, 1978) have
shed important light on this process by bringing attention to the
intersection between the development of identity and the context
of that development; that is, they have highlighted the interplay
of personal, social, critical, and cultural situational factors in our
understanding of identity. In contrast to conceiving of identity as
an achieved understanding of the contours of self and as primarily
a function of individual mental processes (as some have interpreted
Erikson’s work), these theorists conceive of identity as the pattern of
practices and choices that emerge (and potentially shift) within the
interaction of person and context. Identity can be seen therefore as a
type of ongoing negotiation of participation, shaped by – and
shaping in response – the context(s) in which it occurs.
Recent theory and research have also recognized this intersection between identity and context as a potentially signi?cant aspect of student engagement and motivation. For example, Brophy
(2008) reminded us that Dewey (1910) de?ned genuine interest
in learning as actually an identi?cation of the self with a concept
or object, an identi?cation that leads to self-initiated exploration
(i.e., energized engagement) of that Concept or object. Similarly,
Bergin (1999) suggested that individuals develop schemata associ? Corresponding author. Fax: +1 336 334 4120.
E-mail address: bsfaircl@uncg.edu
0361-476X/$ – see front matter Ó 2012 Elsevier Inc. All rights reserved.
doi:10.1016/j.cedpsych.2011.12.003
ated with their identity and are likely to be more engaged with
topics and experiences that resonate with that schema. Flum and
Kaplan (2006) explained that students who intentionally examine
the relevance and meaning of school content and learning with respect to their sense of who they are (or want to become) develop
an exploratory orientation toward learning that involves actively
seeking/processing information. Considering these insights, a vital
next step in understanding student engagement and motivation is
to discern both the nature and impact of such energizing connections between identity and school-based learning and how these
connections might be reliably established and sustained amidst
the daily demands of classroom life. The two complementary,
exploratory, qualitative studies reported here drew from contemporary models connecting learning with student identity (Study
1: cultural modeling, Lee, 2007 and third space/hybrid identities, Gutiérrez, 2008; Study 2: Kids’ Business inquiry projects, Fairbanks,
2000) to clarify the nature and impact of such connections among
two diverse groups of primarily struggling high school students
within the academic demands of their ninth-grade English class.
2. Emerging views of identity development
Traditional conceptions of identity development – exploring,
identifying, and integrating seemingly disparate aspects of the self
to arrive at a sense of personal continuity across time and context –
have historically been attributed initially to Erikson (1968).
Although a thorough understanding of Erikson’s work reveals his
attention to the cultural, historical, and institutional elements of
identity formation, individual mental processes have often been
given primacy in interpretations of his conception of identity
development (Penuel & Wertsch, 1995; see also Cote & Levine,
B.S. Faircloth / Contemporary Educational Psychology 37 (2012) 186–194
1988; Erikson, 1968; Schachter, 2005). One of the most well established elaborations of Erikson’s work, Marcia’s (1980) identity status model, is based on the degree to which an individual explores,
and commits to, particular identities. McAdams’s life story model
of identity (1996) asserted that individuals living in modern societies provide their lives with coherence and purpose by constructing
evolving narratives of the self (i.e. life stories). Each of these perspectives regard identity development as a process of sorting out
(achieving) a reasonably coherent, workable perspective on the
self; each is also framed, to a great degree, as a primarily individual
psychological process.
In an in?uential contribution to our understanding of development, Bronfenbrenner’s ecological theory (1989; Bronfenbrenner &
Morris, 1998) highlighted the relevance of the multiple, embedded
contexts in which individuals ?nd themselves (e.g., home, family,
peer groups, school, community, culture, history), each of which
may wield a potent in?uence on development. Although identity
has been conceptualized in a variety of ways (Brubaker & Cooper,
2000), growing attention to these ecological complexities may provide the most ‘‘realistic and ecologically valid view’’ (Linnenbrink &
Pintrich, 2000, p. 222). McCaslin (2004; 2009) captured the rich
interplay of personal, social, and cultural in?uences on identity
development in her model of co-regulation of emergent identity
(p. 137). She suggested an ongoing reciprocal press among these
three in?uences that together challenge, shape, and guide (i.e.,
co-regulate) identity.
Many contemporary models have emphasized this situated
nature of identity, raising complex and signi?cant issues. For example, Lave and Wenger’s (1991) framework of identity drew from
practice or activity theory to conceive of identity as an individual’s
pattern of choices or practices situated within particular contexts.
According to these theorists, a range of potential participatory
choices exists at any moment within any community; the term
identities-in-practice refers to the patterns of participation individuals choose to adopt. Use of the term identities-in-practice rather
than identities highlights the important contrast between, on the
one hand, a conception of identity as a set of choices and practices
co-constructed between an individual and a speci?c community,
and, on the other hand, an achieved, relatively uniform sense of self.
In a similar, widely cited, contemporary understanding of
identity, Dorothy Holland and her coauthors also highlighted the
reciprocal interplay between identity and context (Holland et al.,
1998). According to these theorists, the way individuals come
to understand themselves is continually negotiated and coconstructed through what is made possible or necessary amid
the daily practices, encounters, discourses, and struggles available
to them within a particular context (Fairbanks & Ariail, 2006;
Wortham, 2006). Holland and her colleagues have raised an important issue regarding context as the site of identity work when they
refer to contexts as ?gured worlds. This term refers to the fact that
contexts are not neutral places, but are ?gured or socially constructed with distinguishable, institutionally endorsed perspectives regarding expected/accepted types of characters, tasks,
values, and styles of interacting (Holland, Lachicotte, Skinner, &
Cain, 1998). Therefore, at any given moment, individuals have
access to a variety of practices, some of which may be imposed;
identity (i.e., identity-in-practice) can be understood as an ongoing
positioning of self re?ected in how individuals receive, resist, or revise those contextual affordances or constraints (Davies, 2000). It
may be important therefore to consider identities as negotiated,
?uid, and multiple, rather than achieved, unitary, or consistent.
3. Identities-in-practice within learning contexts
The concept of identities-in-practice characterizes learning as
participation in a community of practice, involving not just local
187
events of engagement but also the construction of identities in
relation to the practices within those communities (Wenger,
1999). That is, to learn in any community means to become a particular person (i.e., select a particular pattern of participation) with
respect to the possibilities enabled by that community. For example, by negotiating membership (receiving, resisting, or revising
expectations) within a classroom, students are practicing a particular identity in that context (re?ecting and/or refracting who they
are expected to be, to match who they think they are or want to be
in that particular setting). Moll (1990) reminded us that students’
lives are full of rich, historically accumulated and culturally developed bodies of knowledge, skills and resources – referred to as
funds-of-knowledge – that can be drawn on for such negotiations.
McCarthey and Moje (2002) describe this process as an attempt
by students to create identities or stories that allow them to feel
like they belong in their school setting; they ‘‘just want to be part
of the story’’ (p. 232). The ability to craft such connections (i.e., develop a sense of belonging) wields a powerful, possibly essential
in?uence on engagement (Connell & Wellborn, 1991; Faircloth &
Hamm, 2005; Goodenow, 1993; Juvonen, 2006). Identity may
therefore be manifested and engagement empowered as students
craft an identity-in-practice in the classroom.
Given the nature and the value of such classroom identity work,
it is important to consider relevant dimensions of the ?gured world
of schools. Schools typically legitimize certain school practices
while divesting others of status or approval (Bartlett & Holland,
2002; Hatt, 2007; Rubin, 2007; Wortham, 2006). Critical theorists
have long urged educators to construct learning environments that
are meaningful to students (Fine, 1991; Freire, 1970; Greene,
1995). Failure to do so – which is all too common (Hargreaves,
1996; McDermott & Varenne, 1995) – silences student voices and
alienates students from educational experiences (Moll, 1990). A
gap therefore often exists between students’ preferred choices or
practices and school-based expectations; often it is this gap, rather
than students’ intelligence, skills, or abilities, that must be reconciled in order for them to succeed in school (Klos, 2006).
Thus, from an ecological, socio-cultural, situated, or ?gured
world perspective, a student’s negotiation of their identity-in-practice within the context of school (i.e., their participation, or how
they choose to receive, resist, or revise contextual cues) is powerfully positioned to either constrain or nurture their engagement in
learning. The cost is high when students have infrequent opportunities to harness what is important and powerful to them in order
to negotiate meaningful participation in learning (Fairbanks &
Ariail, 2006).
4. Supporting connections between identity and learning
Among motivation scholars, the late Brophy (2004, 2008) has
played a major role in highlighting the intersection between students’ identities and their learning experience as a particularly
powerful site for student engagement. He pointed out that according to Dewey’s (1910) notion of inquiry, it is when the public
curriculum and the students’ personal curriculum become intertwined that students ?nd engagement worthwhile (see also
Guthrie & Anderson, 1999). Similarly, Waterman (2004) reported
that goal-oriented engagement is especially high when activities
connect with an individual’s identity or core sense of being. That
is, the route to making the curriculum desirable, or most engaging,
for students can be summarized in the formula: ‘‘It is desirable to
act in accordance to one’s personal identity’’ (Nisan, 1992, p. 133).
This objective requires creating classroom cultures in which students discover who they are and negotiate connections between
who they are and what they do in school. Flum and Kaplan
(2006) suggested that teachers can support this process by
dialoguing with students about the meaning of school learning,
188
B.S. Faircloth / Contemporary Educational Psychology 37 (2012) 186–194
scaffolding students’ skill at relating material to self-knowledge,
and encouraging students’ sense of self as related to school content
and experiences.
Tan and Calabrese Barton (2008) illustrated how paying close
attention to students’ identities-in-practice amidst the ?gured
world of school provides insight into activities that sustained
minority girls’ active engagement in science. By carefully observing
the classroom practices of sixth grade science students, the
researchers observed students transform from an identity of ‘‘outsider’’ (low levels of engagement) to that of a ‘‘potential scientist’’
(active engagement) within one school year. Such a positive transformation appeared contingent on successes that students experienced when they authored various individually meaningful
identities as a class participant. For example, one student who
saw herself as a budding pop musician wrote (and taught to the
class) a song about course content. Another, who characterized
herself as a leader, moved from problematic to prominent student
as she shared with the class the knowledge that she gained from
voluntary Saturday ?eld trips and became actively involved in eliciting class participation in the ?eld trips. For these students, learning was about gaining a space in the classroom that matched what
they believed they had to offer. The non-commodi?ed (i.e., not traditionally valued, p. 64) funds-of-knowledge inherent in their
backgrounds were used to author new identities-in-practice that
elevated their engagement in learning.
It is this situated, negotiated understanding of identity that informed the current two studies’ exploration of students’ identity
work in relationship to their engagement. The studies drew from
three models for consciously designing connections between students’ identities and school learning: Study 1: cultural modeling
(Lee, 2007) and third space/hybrid identities (Gutiérrez, 2008)
and Study 2: Kids’ Business inquiry projects (Fairbanks, 2000).
4.1. Cultural modeling
Using a process referred to as cultural modeling, Lee (2007) has
suggested that schools must design learning experiences and environments in ways that bridge the differences between schoolbased expectations and students’ funds-of-knowledge. Cultural
strengths/resources suggested by Lee as examples that can be built
on in classroom learning include the rich metaphorical underpinnings of the culturally-valued speech genre known as signifying
or playing the dozens, or a youth’s ability to classify and identify
songs within musical genres as a way of introducing the practice
of naming and classifying in other knowledge ?elds. In a similar
comparison between the ‘‘smartness’’ that students believe characterizes them – and is required for survival – outside of school
(street-smarts) and that which is required to survive inside school
(book smarts), Hatt (2007) agreed that conscious attempts on the
part of schools to blend the ‘‘authentic’’ and ‘‘academic’’ lives of
students can allow youth to stay connected with their identities
(community, cultural, personal) while simultaneously engaging
at school.
4.2. Third space/hybrid identities
One of the most explicit applications of a connection between
identity and learning can be found in the notions of third space/hybrid identities. Gutiérrez and colleagues (Gutiérrez, 2008; Gutiérrez
& Larson, 2007) de?ned third space as a space that blends the
of?cial, traditional de?nition of experiences and expectations at
school, and the unof?cial space of facets of identity that students
hold dear (e.g., from community, culture, family, interests) but
are typically accorded less attention or respect at school. This approach allows students to develop what she refers to as hybrid
identities, which interweave personal perspectives with the values
and demands of school. In a study of urban, Latino high school students, Moje et al. (2004) found that although students had signi?cant funds-of-knowledge available to them from their lives outside
school, these funds-of-knowledge were rarely accessed in the
school settings. The researchers argued that by attending to that
which is relevant and important to the student, teachers could help
students create a hybrid identity that disrupted the negative patterns of academic motivation generated by the marginalization
students experience in traditional school settings. Indeed, research
demonstrates both increased engagement and achievement when
such third spaces are constructed in classrooms (Faircloth, 2009;
Lee, 2007).
4.3. Kids’ business inquiry projects
The idea that school learning should be connected with students’ identity is also closely aligned with current practices offering students a voice in the texts and topics of their schoolwork
(Atwell, 1998; Ivey, 1999; Rief, 1992; Worthy, 1996). Fairbanks
(2000) harnessed this notion by inviting students to investigate
what she referred to as kids’ business – i.e., topics of their own
choosing that had a speci?c connection to their lived experiences.
Students researched self-selected topics, wrote extended research
papers on their topics, and presented their results in formats of
their own choosing. Such personal signi?cance closed the gap between learning and students’ lives, providing them with real reasons to engage in schoolwork.
Drawn from a larger, multi-year study of high school students’
connection with learning, the two studies presented here harnessed these three strategies for crafting connections between students’ identities and their learning experiences in ninth-grade
English. By exploring these issues, this work stands to contribute
to our understanding of how students negotiate an engaged identity-in-practice in the classroom, providing concrete, sustainable,
and transferable avenues for connecting identity and learning.
Moreover, this work explored these issues among primarily disaffected (remedial, repeating or struggling) students in a high-needs,
low-performing school. Given the critical role of such engagement,
especially among struggling students, and the potentially preoccupying nature of identity, these studies offer important insight into
supporting engagement and therefore academic success among
this group of students.
The speci?c research questions explored in each study were:
1. What connections do adolescents report making between issues
and experiences that they ?nd important or authentic (perspectives that may inform their participatory choices, i.e., their identities-in-practice) and their experience in their ninth-grade
English class, given the opportunity to focus on or build such
connections?
2. What evidence exists that students negotiate engaged identities-in-practice in their ninth-grade English class, given the
opportunity to connect learning to issues relevant to identity
choices?
3. What impact on engagement in learning do high school students report as a result of connections to identity within classroom learning experiences?
5. Study 1
It was the goal of Study 1 to employ the parallel concepts of cultural modeling and third space/hybrid identities to explore these
three research questions within two ninth-grade English classes.
Each class met daily for 90 min for one semester. At least once a
week, students wrote about and discussed as a class their sense
of whether a connection existed between their own lives and per-
B.S. Faircloth / Contemporary Educational Psychology 37 (2012) 186–194
189
spectives (i.e., their funds-of-knowledge or issues relevant to their
participatory choices) and the tasks undertaken and topics studied
in their English class. Four lines of data collection were designed to
further inform our understanding of these issues as they emerged
in the classroom and to capture students’ perspectives (see below
for details): (1) student written work; (2) weekly class session
observations by the researcher; (3) qualitative surveys of student
perspectives; and (4) student interviews used to probe student
perspectives.
As part of these strategies, students speci?cally discussed their
suggestions for creating a stronger relationship between school
learning and identity. During their one-semester course, students
from each class section participated in these activities on at least
a weekly basis. Students also completed weekly journaling activities exploring connections between the literature they were reading and self, as well as other related written assignments (e.g., a
narrative project involving researching and reporting some aspect
of their background).
5.1. Method
5.1.3. Study procedures
5.1.3.1. Survey. At the end of their one-semester course, all participants in attendance (n = 73) completed a qualitative survey
exploring their perspectives regarding the relationship between
their sense of their emerging identities (and identity practices in
the classroom) and their learning opportunities. Surveys were
completed in class, during one class session, and independently,
and were untimed. Survey items included: What activities in your
English class have allowed you to relate what you are studying to
things that matter to you?; What did you like and dislike about these
assignments?; and Describe an English assignment that you would be
willing to devote extra time and energy to and explain why. Openended questions were used in an attempt not to con?ne participant
responses to preconceived themes (see Appendix A for complete
survey).
5.1.1. Participants
Participants in Study 1 included 83 ninth-grade students in two
English classes designed primarily for remedial, restart (repeating),
and struggling students at a public high school located in a large
metropolitan area in the southeastern United States; 38% were
African American, 45% European American, 9% Latino/a, 8% other,
and 53% were female. Participants included all students who returned signed parent/guardian consent forms as well as individual
assent forms, and who were present on the days of study activities
and data collection. Attendance, and therefore participation, varied
widely; of the 83 total participants, 67 were present on the days
during which interviews were conducted and 73 were present to
complete the ?nal survey.
5.1.2. Classroom context
The school in which this study was situated was a large (2000
students each year), diverse, public high school with one of the
highest free/reduced lunch rates – and the highest dropout rate –
in its county. Despite this challenging setting, the teacher in these
classrooms – in her second (Study 1) and third (Study 2) years of
teaching – displayed high energy and ?erce devotion to her students. In the classroom, she was acutely aware of what was going
on (i.e., who was engaged, who was distracted) and consistently
legitimized students’ perspectives, choices, and sense of themselves. She often framed class examples and activities around students’ experiences and interests, as well as asking for and valuing
students’ ideas. Even with reluctant students or during class sessions that students did not appear to ?nd motivating, her comments were patient, encouraging, and supportive. Moments of
frustration were de?nitely demonstrated (especially when job demands challenged her focus on her students) as evidenced by relatively frequent, frustrated outbursts such as, ‘‘If I could just
teach!’’
In an effort to support her students’ connection with learning –
beginning in her ?rst year of teaching – this teacher co-designed
activities (with the researcher and one research assistant) intended
to provide students with opportunities to connect learning with issues relevant to their own identity. It was important to the research team also to design activities that were sustainable, by
virtue of being easily reproducible and congruent with the typical
requirements of high school English. Therefore, strategies were
crafted according to three criteria: (a) connecting learning with
students’ lives and perspectives; (b) blending school culture/
requirements with students’ identity/perspectives (i.e., creating a
third space); and (c) aligning activities with traditional ninth-grade
English requirements (literature, writing, journaling, and discourse) as opposed to merely trading school norms for students’
preferences. When studying The Odyssey, students discussed and
wrote about goals they held that they would be willing to devote
a lifetime to (as Odysseus had) and whether there was a relationship between their class work and these personally held goals.
When reading To Kill a Mockingbird, they addressed both the ways
that Atticus Finch resisted racism within his community and their
own personal experiences, ideas and commitments to that issue.
5.1.3.2. Interviews. Participants who were present on the 2 days
(per class) during which interviews were conducted (n = 67) participated in one individual interview with the lead researcher.
Interviews explored in more depth the general issues addressed
in students’ written surveys, allowing the researcher to further
understand students’ perspectives. For example, students were often asked to explain more explicitly general student claims – e.g.,
‘‘What makes a classroom activity ‘fun’ or ‘interesting’?’’ (a frequent
student claim). Interviews took place at the end of the semester.
They were audio-taped but not transcribed, although notes were
taken.
5.1.3.3. Classroom observations. Each class was observed by the lead
researcher once-per-week for the entire semester (for a total of
fourteen 90-min observations per class) and ?eld notes were compiled. Student responses to study activities, the nature of and
changes in engagement, and classroom discourse that illustrated
students’ perspectives were noted.
5.1.3.4. Student work. Copies of any student work that was a direct
product of study activities (e.g., journals, narratives, and related
written assignments) were collected and analyzed as well.
5.1.4. Analysis
Because this investigation was genuinely exploratory in nature,
data analysis did not begin with a predetermined coding scheme.
Through an iterative and constantly comparative process (Glaser
& Strauss, 1967), and construction of matrices for comparing
themes and student statements across data sources and participants (Miles & Huberman, 1994), central themes emerged. Specifically, student responses (written work, surveys, interviews) were
explored by the lead researcher for patterns regarding students’
perceptions of connections made between course content/activities and facets of their identities, as well as the impact of those
connections on their engagement. Notes from classroom observations supported these analyses with evidence of classroom context,
student discourse and engagement. Matrices were constructed that
offered a pro?le, across participants and data sources, of points of
convergence as well as diverse experiences with respect to emerging themes.
190
B.S. Faircloth / Contemporary Educational Psychology 37 (2012) 186–194
Consiste

Needs help with similar assignment?

We are available 24x7 to deliver the best services and assignment ready within 6-12 hours? Order a custom-written, plagiarism-free paper

Order Over WhatsApp Place an Order Online

Module 1
1. Explanatory Fiction – A fictitious or hypothetical variable that other takes the form of another name
for the observed phenomenon it claims to explain and contributes nothing to a functional account
or understand of the phenomenon, such as “intelligence” or “cognitive awareness” as explanations
for why an organism pushes the level when the light is on and food is available but does not push
the level when the light is off and no food is available.
2. Parsimony – The practice of ruling out simple, logical explanations, experimentally or conceptually,
before considering more complex or abstract explanations.
3. Antecedent – An environmental condition or stimulus change existing or curing prior to a behavior of
interest.
4. Automaticity of Reinforcement – Refers to the fact that behavior is modified by its consequence
irrespective of the person’s awareness; a person does not have to recognize or verbalize the relation
between her behavior and a reinforcing consequence, or even know that a consequence has
occurred, for reinforcement to “work.” (Contrast with automatic reinforcement).
5. Discriminative Stimulus (SD) – A stimulus in the presence of which responses of some type have been
reinforced and in the absence of which the same type of responses have occurred and not been
reinforced; this history of differential reinforcement is the reason as sd increases the momentary
frequency of the behavior (See differential reinforcement, stimulus control, stimulus discrimination
training, and stimulus delta)
6. Positive Reinforcement – Occurs when a behavior is followed immediately by the presentation of a
stimulus that increases the future frequency of the behavior in similar conditions (Contrast to
negative reinforcement).
7. Punishment – Occurs when a stimulus change immediately follows a response and decreases the
future frequency of that type of behavior in similar conditions. (See negative punishment, positive
punishment)
8. Reinforcement – Occurs when a stimulus change immediately follows a response and increases the
future frequency of that type of behavior in similar conditions. (See negative reinforcement, positive
reinforcement)
9. Response – A single instance or occurrence of a specific class or type of behavior. Technical
definition: an “action of an organism effector. An effector is an organ at the end of an efferent nerve
fiber that is specialized for altering its environment mechanically, chemically, or in terms of other
energy changes”
10. Three -Term Contingency – The basic unit of analysis in the analysis of operant behavior;
encompasses the temporal and possible dependent relations among an antecedent stimulus,
behavior, and consequence.
Module 2
1. ABC Recording – A form of direct, continuous observation in which the observer records a
descriptive, temporal sequenced account of all behavior(s) of interest and the antecedent
conditions and consequence for those behaviors as those events occur in the client’s natural
environment (also called ABC recording).
2. Social Validity – Refers to the extent to which target behaviors are appropriate, intervention
procedures are acceptable, and important and significant changes in target and collateral behaviors
are produced.
3. Target Behavior – The response class selected for intervention; can be defined either functionally or
topographically.
4. Duration – A measure of the total extent of time in which a behavior occurs.
5. Frequency – A ration of count per observation time; often expressed as count per standard unit of
time (e.g., per minute, per hour, per day) and calculated by dividing the number of responses
recorded by the number of standard units of time in which observations were conducted; used
interchangeably with rate.
6. Momentary Time Sampling – A measurement method in which the presence or absence of behaviors
are recorded at precisely specified time intervals. (Contrast with interval recording.)
7. Partial-Interval Recording – A time sampling method for measuring behavior in which the
observation period is divided into a series of brief time intervals (typically from 5 to 10 seconds). The
observer records whether the target behavior occurred at any time during the interval. Partialinterval recording is not concerned with how many times the behavior occurred during the interval
or how long the behavior was present, just that it occurred at some point during the interval; tends
to overestimate the proportion of the observation period that the behavior actually occurred.
8. Response Latency – A measure of temporal locus; the elapsed time from the onset of a stimulus
(e.g., task direction, cue) to the initiation of a response.
9. Time Sampling – A measurement of the presence or absence of behavior within specific time
intervals. It is most useful with continuous and high rate behaviors. (See momentary time sample,
partial-interval recording, and whole-interval recording).
10. Whole Interval Recording – A time sampling method for measuring behavior in which the
observation period is divided into a series of brief time intervals (typically from 5 to 15 seconds). At
the end of each interval, the observer records whether the target behavior occurred throughout the
entire interval; tends to underestimate the proportion of the observation period that many
behaviors actually occurred.
Module 3
1. Reliability – Refers to the consistency of measurement, specifically, the extent to which repeated
measurement of the same event yields the same values.
2. Validity – The extent to which data obtained from measurement are directly relevant to the target
behavior of interest and to the reason(s) for measuring it.
3. Changing Criterion Design – An experimental design in which an initial baseline phase is followed by
a series of treatment phases consisting of successive and gradually changing criteria for
reinforcement or punishment. Experimental control is evidenced by the extent the level of
responding changes to conform to each new criterion.
4. Multiple Baseline Design – An experimental design that begins with the concurrent measurement of
two or more behaviors in a baseline condition, followed by the application of the treatment variable
to one of the behaviors while baseline conditions remain in effect for the other behavior(s). After
maximum charge has been noted in the first behavior, the treatment variable is applied in
sequential fashion to each of the other behaviors in the design. Experimental control is
demonstrated if each behavior shows similar changes when, and only when, the treatment variable
is introduced.
5. A-B-A Design – A three-phase experimental design consisting of an initial baseline phase (a) until
steady state responding (or countertherapeutic trend) is obtained, an intervention phase in which
the treatment condition (B) is implemented until the behavior has changed and steady state
responding is obtained, and a return to baseline conditions (A) by withdrawing the independent
variables to see whether responding “reverses” to levels observed in the initial baseline phase. (See
A-B-A-B design, reversal design, withdrawal design.)
6. Alternating Treatment Design – An experimental design in which two or more conditions (one of
which may be a no-treatment control condition) are presented in rapidly alternating succession
(e.g., on alternating sessions or days) independent of the level of responding ; differences in
responding between or among conditions are attributed to the effects of the conditions (also called
concurrent schedule design, multielement design, multiple schedule design.)
7. Baseline – A condition of an experiment in which the independent variable is not present; data
obtained during baseline are the basis for determining the effects of the independent variable; a
control condition that does not necessarily mean the absence of instruction or treatment, only the
absence of a specific independent variable of experimental interest.
8. Dependent Variable – The variable in an experiment measured to determine if it changes as a result
of manipulations of the independent variable; in applied behavior analysis, it represents some
measure of a socially significant behavior. (See target behavior; compare with independent
variable.)
9. Extraneous Variable – Any aspect of the experimental setting (e.g., lighting, temperature) that must
be held constant to prevent unplanned environmental variation.
10. Independent Variable – The variable that is systematically manipulated by the researcher in an
experiment to see whether changes in the independent variable produce reliable changes in the
dependent variable. In applied behavior analysis, it is usually an environmental event or condition
antecedent or consequent to the dependent variable. Sometimes called the intervention or
treatment variable. (Compare with dependent variable).
Module 4
1. Continuous Reinforcement (CRF) – A schedule of reinforcement that provides reinforcement for each
occurrence of the target behavior.
2. Fixed Interval (FI) – A schedule of reinforcement in which reinforcement is delivered for the first
response emitted following the passage of a fixed duration of time since the last response was
reinforced (e.g., on a FI 3-minute schedule, the first response following the passage of 3 minutes is
reinforced).
3. Fixed Ration (FR) – A schedule of reinforcement requiring a fixed number of responses for
reinforcement (e.g., an FR 4 schedule reinforcement follows every fourth response).
4. Schedule of Reinforcement – A rule specifying the environmental arrangements and response
requirements for reinforcement; a description of a contingency of reinforcement.
5. Variable Interval (VI) – A schedule of reinforcement that provides reinforcement for the first correct
response following the elapse of variable durations of time occurring in a random or unpredictable
order. The mean duration of the intervals is used to describe the schedule (e.g., on a VI 10-minute
schedule, reinforcement is delivered for the first response following an average of 10 minutes since
the last reinforced response, but the time that elapses following the last reinforced response might
range from 30 seconds or less to 25 minutes or more).
6. Variable Ration (VR) – A schedule of reinforcement requiring a varying number of responses for
reinforcement. The number of responses required varies around a random number; the mean
number of responses required for reinforcement is used to describe the schedule (e.g., on a VR 10
schedule an average of 10 responses must be emitted for reinforcement, but the number of
responses required following the last reinforced response might range from 1 to 30 or more).
7. Negative Reinforcement – Occurs when a behavior is followed immediately by the removal of a
stimulus that increases the future frequency of the behavior in similar conditions (contrast to
positive reinforcement.)
8. Automatic Reinforcement – Reinforcement that occurs independent of the social mediation of
others (e.g., scratching an insect bite relieves the itch.)
9. Positive Reinforcement – Occurs when a behavior is followed immediately by the presentation of a
stimulus that increases the future frequency of the behavior in similar conditions (contrast to
negative reinforcement.)
10. Stimulus Preference Assessment – A variety of procedures used to determine the stimuli that a
person prefers, the relative preference values (high versus low) of those stimuli, the conditions
under which those preference values remain in effect, and their presumed value as reinforcers.
Module 5
1. Contingent Observation – A procedure for implementing timeout in which the person is repositioned
within an existing setting such that observation of ongoing activities remains, but access to
reinforcement is lost.
2. Planned Ignoring – A procedure for implementing time-out in which social reinforcers – usually
attention, physical contact, and verbal interaction – are withheld for a brief period contingent on the
occurrence of the target behavior.
3. Response Cost – The contingent loss of reinforcers (e.g., a fine), producing a decrease of the
frequency of behavior; a form of negative punishment.
4. Time-Out From Positive Reinforcement – The contingent withdrawl of the opportunity to earn
positive reinforcement or the loss of access to positive reinforcement or the loss of access to
positive reinforcers for a specified time; a form of negative punishment (also called time-out).
5. Behavioral Contrast – The phenomenon in which a change in one component of a multiple schedule
that increases or decreases the rate of responding on that component is accompanied by change in
the response rate in the opposite direction on the other, unaltered component of the schedule.
6. Negative Punishment – A response behavior is followed immediately by the removal of a stimulus (or
a decrease in the intensity of the stimulus) that decreases the future frequency of similar responses
under similar conditions; sometimes called Type II punishment. (Contrast with positive punishment).
7. Overcorrection – A behavior change tactic based on positive punishment in which, contingent on the
problem behavior, the learner is required to engage in effortful behavior directly or logically related
to fixing the damage caused by the behavior. Forms of overcorrection are restitutional
overcorrection and positive practice overcorrection. (See positive practice overcorrection,
restitutional overcorrection.)
8. Positive Punishment – A behavior is followed immediately by the presentation of a stimulus that
decreases the future frequency of the behavior; sometimes called Type I punishment. (Contrast with
negative punishment)
9. Response Blocking – A procedure in which the therapist physically intervenes as soon as the learner
begins to emit a problem behavior to prevent completion of the targeted behavior.
10. Unconditioned Punisher – A stimulus change that decreases the frequency of any behavior that
immediately precedes it irrespective of the organisms learning history with the stimulus.
Unconditioned punishers are products of the evolutionary development of the species (phylogeny),
meaning that all members of a species are more or less susceptible to punishment by the
presentation of unconditioned punishers (also called primary or unlearned punishers). (Compare
with conditioned punishers)
Module 6
1. Antecedent Stimulus Class – A set of stimuli that share a common relationship. All stimuli in an
antecedent stimulus class evoke the same operant behavior, or elicit the same respondent behavior.
(See arbitrary stimulus class, feature stimulus class.)
2. Discriminative Stimulus (SD) – A stimulus in the presence of which responses of some type have been
reinforced and in the absence of which the same type of responses have occurred and not been
reinforced; this history of differential reinforcement is the reason an Sd increases the momentary
frequency of the behavior. (See differential reinforcement, stimulus control, stimulus discrimination
training, and stimulus delta (S delta).
3. Feature Stimulus Class – Stimuli that share common physical forms or structures (e.g., made from
wood, four legs, round blue) or common relative relationships (e.g., bigger than, hotter than, higher
than, next to). (Compare to arbitrary stimulus class.)
4. Stimulus Control – A situation in which the frequency, latency, duration, or amplitude of a behavior
is altered by the presence of absence of an antecedent stimulus. (See discrimination, discriminative
stimulus)
5. Stimulus Delta (S delta) – A stimulus in the presence of which a given behavior as not produced
reinforcement in the past. (Contrast with discriminative stimulus (SD).)
6. Stimulus Discrimination Training – The conventional procedure requires one behavior and two
antecedent stimulus conditions. Responses are reinforced in the presence of one stimulus condition,
the SD, but not in the presence of the other stimulus, the SD.
7. Abolishing Operation (AO) – A motivating operation that decreases the reinforcing effectiveness of a
stimulus, object, or event. For example, the reinforcing effectiveness of food is abolished as a result
of food ingestion.
8. Establishing Operation (EO) – A motivating operation that establishes (increases) the effectiveness of
some stimulus, object, or event as a reinforce. For example, food deprivation establishes food as an
effective reinforcer.
9. Motivating Operation (MO) – An environmental variable that (a) alters (increases or decreases) the
reinforcing or punishing effectiveness of some stimulus, object, or event; and (b) alters (increases or
decreases)the current frequency of all behavior that has been reinforced or punished by that
stimulus, object or event. (See abative effect, abolishing operation (AO), behavior-altering effect,
evocative effect, establishing operation (EO), value altering effect.)
10. Value-Altering Effect – An alteration in the reinforcing effectiveness of a stimulus, object, or event as
a result of a motivating operation. For example, the reinforcing effectiveness of food is altered as a
result of food deprivation and food ingestion.
Module 7
1. Backward Chaining – A teaching procedure in which a trainer completes all but the last behavior in a
chain, which is preformed by the learner, who then receives reinforcement for completing the chain.
When the learner shows competence in performing the final step in the chain, the trainer performs
all but the last two behaviors in the chain, the learner emits the final two steps to complete the
chain, and reinforcement is delivered. This sequence is continued until the learner completes the
entire chain independently.
2. Behavior Chain – A sequence of responses in which each response produces a stimulus change that
functions as conditioned reinforcement for that response and as a discriminative stimulus for the
next response in the chain; reinforcement for the last response in a chain maintains the reinforcing
effectiveness of the stimulus changes produced by all previous responses in the chain.
3. Forward Chaining – A method for teaching behavior chains that begins with the learner being
prompted and taught to perform the first behavior in the task analysis; the trainer completes the
remaining steps in the chain. When the learner shows competence in preforming the first step in the
chain, he is then taught to perform the first two behaviors in the chain, with the training completing
the chain. This process is continued until the learner completes the entire chain independently.
4. Task Analysis – The process of breaking a complex skill or series of behaviors into smaller, teachable
units; also refers to the results of this process.
5. Total-Task Chaining – A variation of forward chaining in which the learner receives training on each
behavior in the chain during each session.
6. Differential Reinforcement – Reinforcing only those responses within a response class that meet a
specific criterion along some dimension(s) (i.e., frequency , topography, duration, latency, or
magnitude) and placing all other responses in the class on extinction. See differential reinforcement
of alternative behavior, differential reinforcement of incompatible behavior, differential
reinforcement of other behavior, discrimination training, shaping.)
7. Response Differentiation – A behavior change produced by differential reinforcement: reinforced
members of the current response class occur with greater frequency, and unreinforced members
occur less frequently (undergo extinction); the overall result is the emergence of a new response
class.
8. Shaping – Using differential reinforcement to produce a series of gradual changing response classes;
each response class is a successive approximation toward a terminal behavior. Members of an
existing response class are selected for differential reinforcement because they more closely
resemble the terminal behavior. (See differential reinforcement, response class, response
differentiation, and successive approximations)
9. Imitation – A behavior controlled by any physical movement that serves as a novel model excluding
vocal-verbal behavior, has formal similarity with the model, and immediately follows the occurrence
of the model (e.g., within seconds of the model presentation). An imitative behavior is a new
behavior emitted following a novel antecedent event (i.e., the model). (See formal similarity;
contrast with echoic.)
10. Fading – decreasing the level of assistance needed to complete a task or activity
Module 8
1. Antecedent Intervention – A behavior change strategy that manipulates contingency-independent
antecedent stimuli (motivating operations). See noncontingency reinforcement, high-probability
request sequence, and functional communication training. Contrast with antecedent control, a
behavior change intervention that manipulates contingency-dependent consequence events to
affect stimulus control.)
2. Behavioral Momentum – A methaphor to describe a rate or responding and its resistance to change
following an alteration in reinforcement conditions. The momentum methaphor has also been used
to describe the effects produced by the high-probability (high-p) request sequence.
3. Functional Communication Training (FCT) – An antecedent intervention in which as appropriate
communicative behavior is taught as a replacement behavior for problem behavior usually evoked
by an establishing operation (EO); involves differential reinforcement of alternative behavior (DRA)
4. High-Probability (high-p) Request Sequence – An antecedent intervention in which two to five easy
tasks with a known history of learner compliance (the high-p requests) are presented in quick
succession immediately before requesting the target task, the low-q request. Also called
interspersed request, pretask request, or behavioral momentum.
5. Noncontingent Reinforcement (NCR) – A procedure in which stimuli with known reinforcing
properties are presented on fixed-time (FT) or variable-time (VT) schedules completely independent
of behavior often used as an antecedent intervention to reduce problem behavior. (See fixed-time
schedule (FT), variable-time schedule (VT).)
6. Differential Reinforcement of Alternative Behavior (DRA) – A procedure for decreasing problem in
which reinforcement is delivered for a behavior that serves as a desirable alternative to the behavior
targeted for reduction and withheld following instances of the problem behavior (e.g., reinforcing
completion of academic workshop items when the behavior targeted for reduction is talk-outs).
7. Differential Reinforcement of Incompatible Behavior (DRI) – A procedure for decreasing problem
behavior in which reinforcement is delivered for a behavior that is a topographically incompatible
with the behavior targeted for reduction and withheld following instances of the problem behavior
(e.g., sitting the seat is incompatible with walking around the room).
8. Differential Reinforcement of Other Behavior (DRO) – A procedure for decreasing problem behavior
in which reinforcement is contingent on the absence of the problem behavior during or at specific
times (i.e., momentary DRO); sometimes called differential reinforcement of zero rates of
responding or omission training). (See fixed-interval DRO, fixed-momentary DRO, variable-interval
DRO, and variable-momentary DRO.)
9. Extinction – A procedure in which reinforcement of a previously reinforce behavior is discontinued;
as a result, occurrences of that behavior decrease in the future.
10. Extinction Burst – An immediate increase in the frequency of the response after the removal of the
positive, negative, or automatic reinforcement.
Module 9
1. Descriptive Functional Behavior Assessment – Direct observation of problem behavior and the
antecedent and consequent events under naturally occurring conditions.
2. Functional Analysis – An analysis of the purposes (functions) of problem behavior, wherein
antecedents and consequences representing those in the person’s natural routines are arranged
within an experimental design so that their separate effects on problem behavior can be observed
and measured; typically consists of four conditions: three test conditions – contingent attention,
contingent escape, and alone – and a control condition in which problem behaviors is expected to be
low because reinforcement is freely available and no demands are placed on the person.
3. Functional Behavior Assessment (FBA) – A systematic method of assessment for obtaining
information about the purposes (functions) a problem behavior serves for a person; results are used
to guide the design of an investigation for decreasing the problem behavior and increasing
appropriate behavior.
4. Functionally Equivalent – Serving the same function or purpose; different topographies of behavior
are functionally equivalent if they produce the same consequences.
5. Indirect Functional Assessment – Structured interviews, checklists, rating scales, or questionnaires
used to obtain information from people who are familiar with the person exhibiting the problem
behavior (e.g., teachers, parents, caregivers, and/or the individual him-or herself); used to identify
conditions or events in the natural environment that correlate with the problem behavior.
Module 10
1. Contrived Mediating Stimulus – Any stimulus made functional for the target behavior in the
instructional setting that later prompts or aids the learner in performing the target behavior in a
generalization setting.
2. Multiple Exemplar Training – Instruction that provided the learner with practice with a variety of
stimulus conditions, response variations, and response topographies to ensure the acquisition of
desired stimulus controls response forms; used to promote both setting/situation generalization and
response generalization. (See teaching sufficient examples.)
3. Programming Common Stimuli – A tactic for promoting setting/situation generalization by making
the instructional setting similar to the generalization setting; the two-step process involves (1)
identifying salient stimuli that characterize the generalization setting and (2) incorporating those
stimuli into the instructional setting.
4. Response Generalization – The extent to which a learner emits untrained responses that are
functionally equivalent to the trained target behavior. (Compare to response maintenance and
setting/situation generalization.)
5. Response Maintenance – The extent to which a learner continues to perform the target behavior
after a portion or all of the intervention responsible for the behavior’s initial appearance in the
learner’s repertoire has been terminated. Often called maintenance, durability, behavioral
persistence, and (incorrectly) resistance to extinction. (Compare to response generalization and
setting/situation generalization.)
6. Setting/Situation Generalization – The extent to which a learner emits the target behavior in a
setting or stimulus situation that is different from the instructional sett

Needs help with similar assignment?

We are available 24x7 to deliver the best services and assignment ready within 6-12 hours? Order a custom-written, plagiarism-free paper

Order Over WhatsApp Place an Order Online

For the exclusive use of A. GUPTA, 2021.
Social and Human Factors:
Reactions to Change
E xc e r p t e d fro m
Managing Change and Transition
Harvard Business School Press
Boston, Massachusetts
ISBN-10: 1-4221-0715-9
ISBN-13: 978-1-4221-0715-7
7157BC
This document is authorized for use only by ATUL GUPTA in 2021.
For the exclusive use of A. GUPTA, 2021.
Copyright 2006 Harvard Business School Publishing Corporation
All rights reserved
Printed in the United States of America
This chapter was originally published as chapter 5 of Managing Change and Transition,
copyright 2003 Harvard Business School Publishing Corporation.
No part of this publication may be reproduced, stored in or introduced into a retrieval system,
or transmitted, in any form, or by any means (electronic, mechanical, photocopying,
recording, or otherwise), without the prior permission of the publisher. Requests for
permission should be directed to permissions@hbsp.harvard.edu, or mailed to Permissions,
Harvard Business School Publishing, 60 Harvard Way, Boston, Massachusetts 02163.
You can purchase Harvard Business School Press books at booksellers worldwide.
You can order Harvard Business School Press books and book chapters online at
www.HBSPress.org, or by calling 888-500-1016 or, outside the U.S. and Canada, 617-783-7410.
This document is authorized for use only by ATUL GUPTA in 2021.
For the exclusive use of A. GUPTA, 2021.
5
Social and Human Factors
Reactions to Change
Key Topics Covered in This Chapter
• The rank and ?le, and how they respond to
change
• Change resisters, and how to deal with them
• Change agents—the people who can make
things happen
This document is authorized for use only by ATUL GUPTA in 2021.
For the exclusive use of A. GUPTA, 2021.
O
r g a n i z at i o n s are inherently social systems. The
people in these systems have identities, relationships,
communities, attitudes, emotions, and differentiated
powers. So when you try to change any part of the system, all of
these factors come into play, adding many layers of complexity to a
change process. Successful management of change requires that you
recognize the primacy of people factors and the social systems in
which they operate.
The rank and ?le, the resisters, and the change agents are the
three sets of players typically encountered in a change initiative.
Each has unique characteristics, and each requires a different style
of management.
The Rank and File
If you’ve spent much time observing life in the forest, you’ve probably noticed how animals establish routines. Deer, for example, create
paths between their daytime sleeping areas and the streams, ?elds,
and meadows where they look for food and water after dark.They
stick to those paths as long as they are safe and offer few impediments
to movement.
People also develop routines.Think about your own routine on a
typical Saturday morning. Sleep until 8. Start a load of laundry. Cook
the nice breakfast you never have time to make during the week. Pay
the week’s bills.Take the dog for a walk to the park. Chances are that
This document is authorized for use only by ATUL GUPTA in 2021.
For the exclusive use of A. GUPTA, 2021.
Social and Human Factors
3
you have routines at work as well. Like the woodland deer, people
follow trails that are familiar, comfortable, safe, and satisfying. And
they aren’t eager to change unless given compelling reasons to do
so. People also have “social routines” at work—associations with
coworkers that satisfy their needs as social animals—and changes
that impinge on those routines are equally unwelcome.
Occasional diversions from routines and existing social patterns
add variety and interest—which please us. But diversions may also
create tension, anxiety, discomfort, and even fear. As the late longshoreman-philosopher Eric Hoffer wrote in The Ordeal of Change:“It
is my impression that no one really likes the new. We are afraid of it.”
He notes that even small changes from the routine can be upsetting.
Back in 1936 I spent a good part of the year picking peas. I started out
early in January in the Imperial Valley [of California] and drifted northward, picking peas as they ripened, until I picked the last peas of the
season in June, around Tracy.Then I shifted all the way to Lake County,
where for the ?rst time I was going to pick string beans.And I still remember how hesitant I was that ?rst morning as I was about to address
myself to the string bean vines.Would I be able to pick string beans?
Even the change from peas to string beans had in it elements of fear.
In the case of drastic change the uneasiness is of course deeper and
more lasting.We can never be really prepared for that which is wholly
new.We have to adjust ourselves and every radical adjustment is a crisis
in self-esteem: we undergo a test, we have to prove ourselves. It needs inordinate self-con?dence to face drastic change without inner trembling.1
Certainly no two people feel the same “trembling” described by
Hoffer. And some individuals are absolutely energized by change.
The Myers-Briggs personality framework addresses this broad spectrum. At one end of the spectrum, for example, it describes a person
who likes a planned and organized approach to life (a “judging” person). He or she likes things settled.At the other end of the spectrum
is the “perceiving” person who prefers open options and a ?exible
and spontaneous approach to life.2 You probably have people representing both types in your organization, and as a manager, you need
to learn to deal with the full range of personalities. In particular:
This document is authorized for use only by ATUL GUPTA in 2021.
For the exclusive use of A. GUPTA, 2021.
4
Managing Change and Transition
• Think about the people who will participate in your change
initiative.Who will react negatively to having their routines
disrupted, and who will positively enjoy the experience?
Make a list.
• Once you’ve identi?ed people likely to be uncomfortable with
change, think about their roles in the change initiative.They
probably aren’t the ones you’ll want in key positions where initiative and enthusiasm are needed.Think, too, about how these
individuals can be helped through the process.
• For individuals with pro-change dispositions, consider ways to
optimize the energy they bring to the program, and how they
can work with others.
And don’t forget about yourself. Like everyone else you have a
unique disposition to change. You either love it, hate it, or (more
likely) you’re somewhere between those extremes.
Discovery Learning, Inc. of Greensboro, North Carolina, has developed a helpful methodology for measuring an individual’s disposition to change, indicating where that person is likely to fall on a
“preferred style” continuum.3 In their model, “Conservers” occupy
one end of the continuum.Conservers are people who prefer current
circumstances over the unknown—people who are more comfortable with gradual change than with anything radical. Occupying the
opposite end of the spectrum are the “Originators,” who prefer more
rapid and radical change.“Originators are representative of the reengineering approach to change,” according to Discovery Learning.“The
goal of an Originator is to challenge existing structure, resulting in
fast, fundamentally different, even systemic changes.” 4 Occupying a
middle position between these two extremes are the “Pragmatists”
who support change when it clearly addresses current challenges.
Pragmatists are less wedded to the existing structure than to structures
that are likely to be successful.(See “Change Style Characteristics”for
more on how Discovery Learning generalizes the characteristics of
people who represent these three change style preferences.)
This document is authorized for use only by ATUL GUPTA in 2021.
For the exclusive use of A. GUPTA, 2021.
Social and Human Factors
5
Change Style Characteristics
When Facing Change, Conservers:
• Generally appear deliberate, disciplined, and organized
• Prefer change that maintains current structure
• May operate from conventional assumptions
• Enjoy predictability
• May appear cautious and in?exible
• May focus on details and the routine
• Honor tradition and established practice
When Facing Change, Pragmatists:
• May appear practical, agreeable, ?exible
• Prefer change that emphasizes workable outcomes
• Are more focused on results than structure
• Operate as mediators and catalysts for understanding
• Are open to both sides of an argument
• May take more of a middle-of-the-road approach
• Appear more team-oriented
When Facing Change, Originators:
• May appear unorganized, undisciplined, unconventional,
and spontaneous
• Prefer change that challenges current structure
Continued
This document is authorized for use only by ATUL GUPTA in 2021.
For the exclusive use of A. GUPTA, 2021.
6
Managing Change and Transition
• Will likely challenge accepted assumptions
• Enjoy risk and uncertainty
• May be impractical and miss important details
• May appear as visionary and systemic in their thinking
• Can treat accepted policies and procedures with little regard
source:–W. Christopher Musselwhite and Robyn Ingram, Change Style Indicator (Greensboro, NC:The
Discovery Learning Press, 1999), 5–7. Used with permission.
Knowing where your coworkers stand—and where you stand—
in a change preference continuum such as this one can help you be
more effective in managing the people side of a change initiative.
The Resisters
“The reformer has enemies in all those who pro?t by the old order,”
Machiavelli warned his readers. And what held true in sixteenthcentury Italy remains true today. Some people clearly enjoy advantages that—rightly or wrongly—they view as threatened by change.
They may perceive change as endangering their livelihoods, their
perks, their workplace social arrangements, or their status in the organization. Others know that their specialized skills will be rendered
less valuable. For example, when a supplier of automotive hydraulic
steering systems switched in the late 1990s to electronic steering
technology, employees with expertise in hoses, valves, and ?uid pressure were suddenly less important.The know-how they had developed over long careers was suddenly less valuable for the company.
Any time people perceive themselves as losers in a change initiative, expect resistance. Resistance may be passive, in the form of noncommitment to the goals and the process for reaching them, or
active, in the form of direct opposition or subversion. How will you
deal with that resistance?
This document is authorized for use only by ATUL GUPTA in 2021.
For the exclusive use of A. GUPTA, 2021.
Social and Human Factors
7
Change masters have dealt with resisters in different ways over
the years. French revolutionaries used the guillotine.The Bolsheviks
had resisters shot or packed off to the gulags. Mao and his communist followers sent them to “reeducation” camps. Employment laws
have removed these proven techniques from the corporate change
master’s tool kit, but there are other things you can do.You can begin
by identifying potential resisters and try to redirect them. Here’s
where you can start:
• Always try to answer the question,“Where and how will
change create pain or loss in the organization?”
• Identify people who have something to lose, and try to anticipate how they will respond.
• Communicate the “why” of change to potential resisters. Explain the urgency of moving away from established routines
or arrangements.
• Emphasize the bene?ts of change to potential resisters.Those
bene?ts might be greater future job security, higher pay, and so
forth.There’s no guarantee that the bene?ts of change will exceed the losses for these individuals. However, explaining the
bene?ts will help shift their focus from negatives to positives.
• Help resisters ?nd new roles—roles that represent genuine contributions and mitigate their losses.
• Remember that many people resist change because it represents
a loss of control over their daily lives.You can return some of that
control by making them active partners in the change program.
If these interventions fail, move resisters out of your unit.You cannot afford to let a few disgruntled individuals subvert the progress
of the entire group. But don’t make them “walk the plank.” Do what
you can to relocate them to positions where their particular skills
can be better used.That’s what the innovator of electronic steering
systems did.That company still had plenty of business supplying hydraulic systems to car and truck manufacturers, so it employed its
This document is authorized for use only by ATUL GUPTA in 2021.
For the exclusive use of A. GUPTA, 2021.
8
Managing Change and Transition
hydraulic specialists in those units even as it hired electronic engineers for its expanding new business.
As you consider resisters, don’t forget that your own approach to
initiating or managing change may be contributing to the problem.
We noted in the previous chapter that “technical” solutions imposed
from the outside often breed resistance because they fail to recognize
the social dimension of work. Paul Lawrence made this point many
years ago in his classic Harvard Business Review article “How to Deal
With Resistance to Change.” 5 In looking at interrelationships among
employees Lawrence found that change originating among employees who work closely together is usually implemented smoothly. But
change imposed by outsiders threatens powerful social bonds, generating resentment and resistance. So be sure to evaluate what part you
may be playing in the resistance problem.
Dealing with Passive Resisters
Earlier, we described passive resistance to change as noncommitment
to goals and the process for reaching them. Passive resisters frustrate
managers. While they don’t sabotage the program, they certainly
don’t help the initiative move forward.
The reason that a person won’t change, explain psychologists
Robert Kegan and Lisa Laskow Lahey, is that he or she has a “competing commitment”—a subconscious, hidden goal that con?icts with
the stated commitment.6 For example, a project leader who is dragging
his feet may have an unrecognized competing commitment to avoid
tougher assignments that may come his way if he’s too successful with
the current project. A supervisor who cannot seem to get on board
with the new team-based approach to problem-solving may be worried
that she will be seen as incompetent if she cannot solve problems herself.
Though competing commitments are likely to be lodged deep
in an employee’s psyche, some serious probing on your part can
sometimes get them to the surface, where you and the employee can
deal with them.The most practical advice here is to engage in oneon-one communication with the passive resister.You need to ?nd
out what’s keeping this person from participating in an active way.
This document is authorized for use only by ATUL GUPTA in 2021.
For the exclusive use of A. GUPTA, 2021.
Social and Human Factors
9
The Change Agents
Think for a moment about the big, big changes in the world over the
centuries. Chances are that you can associate individuals with each of
those changes. Copernicus and Galileo ultimately changed our view
of where we stand relative to our neighbors in the solar system. Martin Luther split Christendom in two and contributed indirectly to the
rise of nation states in Europe. Charles Darwin’s theory on natural selection torpedoed the accepted wisdom on humankind’s history.Karl
Marx,a thinker, and Vladimir Lenin,a doer,created a communist movement that, at its apex, held sway over almost half the world. Henry
Ford and his engineers developed a new approach to manufacturing—the assembly line—that fundamentally altered the auto industry and many other industries. In each of these cases, someone who
thought differently had a major impact on human history.None began
with serious resources or backing, all were outsiders, and all faced
substantial opposition.All were what we call change agents.
Change agents are catalysts who get the ball rolling, even if they
do not necessarily do most of the pushing. Everett Rogers described
them as ?gures with one foot in the old world and one in the new—
creators of a bridge across which others can travel.7 They help others
to see what the problems are, and convince them to grapple with
them. Change agents, in his view, ful?ll critical roles.They:
• articulate the need for change;
• are accepted by others as trustworthy and competent (people
must accept the messenger before they accept the message);
• see and diagnose problems from the perspective of their audience;
• motivate people to change;
• work through others in translating intent into action;
• stabilize the adoption of innovation; and
• foster self-renewing behavior in others so that they can “go out
of business” as change agents.
This document is authorized for use only by ATUL GUPTA in 2021.
For the exclusive use of A. GUPTA, 2021.
10
Managing Change and Transition
Who in your organization has these characteristics? Are you
one of them? It is important to identify the change agents so that
you can place them in key positions during a change effort. In a
self-regenerating company, you’ll ?nd change agents in many different operating units and at all different levels. (See “Tips for Identifying Change Agents” for more information.)
Can change agents be created? Perhaps. One German electronics
?rm did so in the 1990s when it faced poor ?nancial performance,
sagging morale, and weak competitiveness.The company was overconsulted and under-managed.Many of its best young employees were
unhappy with consecutive years of losses and dimming prospects.The
company’s rigid corporate hierarchy was partly to blame.Management
recognized that it had to distribute authority and decision making
more broadly. To accomplish this it created a change agent program
that sent two dozen hand-picked employees to the United States for
special training, which included abundant exposure to entrepreneurial
American ?rms. Once the training program was completed, the newly
minted change agents were transferred back to their units, where they
worked to break the mold of the old hierarchical system.
General Motors attempted something very similar in its joint
venture with Toyota: the NUMMI small car assembly plant in California. That plant was run according to Toyota’s world-beating
production methods, and GM rotated manufacturing managers
through the plant to learn Toyota’s methods and, hopefully, bring a
working knowledge of those methods back to Detroit.As described
earlier, furniture maker Herman Miller sought the same result when
it moved managers from its SQA unit into its traditional operating
units; it ?gured that these individuals would infect others with their
faster, more accurate approach to manufacturing and ful?llment.
Your search for change agents shouldn’t necessarily be limited
to company personnel. Every so often it’s wise to look outside for
people who have the skills and attitudes required to stir things up
and get the organization moving in a new and more promising direction. This approach is not without risk, since the outsider’s lack
of familiarity with the company’s culture may result in unforeseen
turmoil. For a discussion of this issue, see “The Insider-Outsider as
Change Agent” and its Harvard Business Review excerpt.
This document is authorized for use only by ATUL GUPTA in 2021.
For the exclusive use of A. GUPTA, 2021.
11
Social and Human Factors
Tips for Identifying Change Agents
• Find out who people listen to. Change agents lead with the
power of their ideas. But be warned:These may not be employees with formal authority to lead.
• Be alert to people who “think otherwise.” Change agents are
not satis?ed with things as they are—a fact that may not endear them to management.
• Take a close look at new employees who have come from
outside the circle of traditional competitors.They may not
be infected with the same mind-set as everyone else.
• Look for people with unusual training or experience. For example, if all your marketing people have business degrees and
heavy quantitative research backgrounds, look for the oddball
liberal arts major who has a degree in social anthropology.
Chances are she sees the world through a different lens.
The Insider-Outsider as Change Agent
Many companies feel that the only way to create change and
make it stick is to bring in outsiders with no ties to the status
quo. Others fear that outsiders who don’t understand the business, its culture, and its values will simply create disruption.
Writing in the Harvard Business Review, Donald Sull recommends that leadership for change be invested in individuals who
represent both sides of the coin: a fresh perspective on the business and a solid appreciation for the company’s culture.
Guiding a company through big changes requires a dif?cult balancing
act.The company’s heritage has to be respected even as it’s being resisted. It’s often assumed that outsider managers are best suited to lead
such an effort since they’re not bound by the company’s historical
Continued
This document is authorized for use only by ATUL GUPTA in 2021.
For the exclusive use of A. GUPTA, 2021.
12
Managing Change and Transition
formula. . . .Typically, outsiders are so quick to throw out all the old
ways of working that they end up doing more harm than good.
The approach I recommend is to look for new leaders from within
the company but from outside the core business. These managers,
whom I call inside-outsiders,can be drawn from the company’s smaller
divisions, from international operations, or from staff functions. . . .
Insider-outsiders have led many of the most dramatic corporate
transformations in recent times. Jack Welch spent most of his career
in GE’s plastics business; Jürgen Schrempp was posted in South
Africa before returning to run [DaimlerChrysler]; and Domenico
De Sole served as the Gucci Group’s legal counsel before leading
that company’s dramatic rejuvenation.
Another alternative is to assemble management teams that leverage the strengths of both insiders and outsiders.When [Lou] Gerstner took over at IBM, he didn’t force out all the old guard. Most
operating positions continued to be staffed by IBM veterans with
decades of experience, but they were supported by outsiders in key
staff slots and marketing roles.The combination of perspectives has
allowed IBM to use old strengths to fuel its passage down an entirely new course.
Finally, inside managers can break free of their old formulas by
imagining themselves as outsiders, as Intel’s executives did in deciding to abandon the memory business. Intel had pioneered the market
for memory chips, and for most of its executives, employees, and customers,Intel meant memory. As new competitors entered the market,
however, Intel saw its share of the memory business dwindle. . . .
Although Intel had built an attractive microprocessor business
during this time, it clung to the memory business until its chairman,
Gordon Moore, and its president, Andy Grove, sat down and deliberately imagined what would happen if they were replaced with
outsiders.They agreed that outsiders would get out of the memory
business—and that’s exactly what Moore and Grove did.While a
company’s competitive formula exerts a tremendous gravitational
pull, thinking like outsiders can help insiders to break free.a
a –Donald N. Sull, “Why Good Companies Go Bad,” Harvard Business Review 77, no. 4 ( July–August
1999): 50.
This document is authorized for use only by ATUL GUPTA in 2021.
For the exclusive use of A. GUPTA, 2021.
Social and Human Factors
13
Summing Up
Change is complicated by the fact that organizations are social systems whose participants have identities, relationships, communities,
routines, emotions, and differentiated powers. Thus managers must
be alert to how a change will con?ict with existing social systems
and individual routines.
This chapter explored the three identity categories that employees typically fall into:
• The rank and ?le is likely to include people who exhibit a spectrum
of reactions to change. This chapter adopted the terms “conservers,”“pragmatists,” and “originators” to describe how different people respond to change. Knowing where your coworkers
stand—and where you stand—in a change preference continuum
such as this one can help you be more effective in managing the
people side of a change initiative.
• Change resisters will either drag their feet or actively attempt to
undermine your efforts. You can identify potential resisters by
determining where and how change will create pain or loss in the
organization. Once you’ve identi?ed them, there are several things
you can do to neutralize their resistance or make them active participants.These include: explaining the urgent need to change, describing how change will produce bene?ts for them, and ?nding
new ways in which they can contribute. People who do not respond to these efforts should be moved out of your unit.
• Change agents see the need for change and articulate it effectively
to others. They are critical catalysts for a change initiative and
should be placed in key positions.This chapter has provided tips
for identifying change agents.
This document is authorized for use only by ATUL GUPTA in 2021.
For the exclusive use of A. GUPTA, 2021.
Notes
Chapter 5
1.–Eric Hoffer,The Ordeal of Change (Cutchogue,NY:Buccaneer Books,
1976), 3.
2.–See the Myers-Briggs Type Indicator®, Consulting Psychologists
Press, Inc.
3.–See W. Christopher Musselwhite and Robyn Ingram, Change Style
Indicator (Greensboro, NC:The Discovery Learning Press, 1999).
4.–Ibid., 4.
5.–Paul R. Lawrence,“How to Deal With Resistance to Change,” Harvard Business Review XLVII ( January–February 1969): 4–12, 166–176.
6.–Robert Kegan and Lisa Laskow Lahey, “The Real Reason People
Won’t Change,” Harvard Business Review 79, no. 10 (November 2001):
84–92.
7.–Everett M. Rogers, Diffusion of Innovation, 3rd ed. (New York: The
Free Press, 1983) 315–316.
14
This document is authorized for use only by ATUL GUPTA in 2021.
For the exclusive use of A. GUPTA, 2021.
Harvard Business Essentials
The New Manager’s Guide and Mentor
The Harvard Business Essentials series is designed to provide comprehensive advice, personal coaching, background information, and
guidance on the most relevant topics in business. Drawing on rich
content from Harvard Business School Publishing and other sources,
these concise guides are carefully crafted to provide a highly practical resource for readers with all levels of experience, and will prove
especially valuable for the new manager. To assure quality and accuracy, each volume is closely reviewed by a specialized content adviser
from a world-class business school. Whether you are a new manager
seeking to expand your skills or a seasoned professional looking to
broaden your knowledge base, these solution-oriented books put reliable answers at your fingertips.
Books in the Series:
Business Communication
Coaching and Mentoring
Creating Teams with an Edge
Crisis Management
Decision Making
Entrepreneur’s Toolkit
Finance for Managers
Hiring and Keeping the Best People
Manager’s Toolkit
Managing Change and Transition
Managing Creativity and Innovation
Managing Employee Performance
Managing Projects Large and Small
Marketer’s Toolkit
Negotiation
Power, Influence, and Persuasion
Strategy
Time Management
This document is authorized for use only by ATUL GUPTA in 2021.

Purchase answer to see full
attachment

For the exclusive use of A. GUPTA, 2021.
EDU F ERRER ALCOVE R
“Pankaj Ghemawat is one of those rare individuals who combines world-class scholarship
with a deep knowledge of business practice. Redefining Global Strategy tackles the crucial
balance between local and global that will often define success in an increasingly globalized
world economy.”
PANKAJ GHEMAWAT—globalization and
business strategist, professor, and speaker—
works with organizations and policy makers
around the world to help them anticipate and
prepare for economic shifts. He is Global
Professor of Management and Strategy and
Director of the Center for the Globalization of
Education and Management at the Stern School
of Business at New York University and the
Anselmo Rubiralta Professor of Global Strategy
at IESE Business School. He is the author of
numerous influential books, including The New
Global Road Map, World 3.0, and The Laws of
Globalization.
—MICHAEL PORTER, Bishop William Lawrence University Professor, Harvard Business School
“Pankaj Ghemawat’s differentiated industry- and company-specific views on globalization offer
essential insights and thought-provoking impulses for today’s decision makers. For anyone who
aims to realize the full potential of globalization, it clearly confirms: the world isn’t flat!”
—PROF. DR. ULRICH LEHNER, Chairman of the Supervisory Board, Deutsche Telekom
and Thyssenkrupp AG
“International firms have to reflect more deeply on how to coordinate their commitments around
the world. Pankaj Ghemawat’s pioneering book offers an innovative approach for how to deal
with this critical challenge.”
—JOSÉ IGNACIO GOIRIGOLZARRI, President, Bankia
“Pankaj Ghemawat’s Redefining Global Strategy has very appropriately identified the world
we live in as only ‘semiglobalized.’ He builds on this definition to present some very valuable
and innovative frameworks for developing strategies for internationalization and global value
creation. The book offers a comprehensive treatment of one of the most important issues
engaging the business community.”
—RATAN TATA, former Chairman, Tata Group
For more, visit Ghemawat.com
Follow @PankajGhemawat on Twitter
JAC K E T D E S I G N : STE P H A N I FINK S
HBR.ORG
ISBN-13: 978-1-63369-606-8
90000
STAY INFORMED. JOIN THE DISCUSSION.
VISIT HBR.ORG
FOLLOW @HARVARDBIZ ON TWITTER
FIND US ON FACEBOOK AND LINKEDIN
9 781633 696068
“This book
deserves to be
a bestseller . . .”
—The Economist
PANKAJ
GHEMAWAT
This document is authorized for use only by ATUL GUPTA in 2021.
REDEFINING
GLOBAL
STRATEGY
—SAMUEL J. PALMISANO, former Chairman of the Board and CEO, IBM Corporation
U S$35.00
H A R VA R D B U S I N E S S R E V I E W P R E S S
“Pankaj Ghemawat has created an important strategic guidebook for leaders of the globally
integrated enterprises of the twenty-first century. His analytical framework is both visionary and
pragmatic—aware of the broad historic trajectories of globalization, but grounded in the real
kinds of decisions business leaders have to make now. His caveats about ‘semiglobalization’
provide a salutary reminder that massive change of this kind doesn’t happen overnight. By
basing his analysis on real-world case studies and a mastery of economic data, Ghemawat helps
CEOs and leaders make smart decisions on one of the most important challenges we all face.”
REDEFINING GLOBAL STRATEGY
and GE Healthcare are adroitly managing crossborder differences. He also shares examples of
other well-known companies that have failed
at this challenge. Crucial for any business
competing across borders, Redefining Global
Strategy will help you make the most of our
semiglobalized world.
MANAGEMENT
GHEMAWAT
(Continued from front flap)
CROSSING BORDERS IN A WORLD
WHERE DIFFERENCES STILL MATTER
NEW TOOLS FOR
SUCCEEDING GLOBALLY
W
hy do so many global strategies
fail—despite companies’ powerful
brands and other border-crossing
advantages? Because a one-size-fits-all strategy
no longer stands a chance.
When firms believe in the illusions of a “flat”
world and the death of distance, they charge
across borders as if the globe were one seamless
marketplace. But cross-border differences are
larger than we assume. Most economic activity—
including trade, real and financial investment,
tourism, and communication—happens locally,
not internationally. In this “semiglobalized”
approach, companies can cross borders more
profitably by basing their strategies on the
geopolitical differences that matter; they must
identify the barriers their strategies have to
overcome, and they must build bridges to cross
those barriers. Based on rigorous research,
Pankaj Ghemawat shows how to create
successful strategies and provides practical
management tools so you can:
• Assess the cultural, administrative, geographic,
and economic differences between regions at
the industry level—and decide which ones
require attention
• Track the implications of the specific bordercrossing actions that will impact your
company’s ability to create value the most
• Generate superior performance through
strategies that are optimized for the three
A’s: adaptation (adjusting to differences),
aggregation (overcoming differences), and
arbitrage (exploiting differences)
Using in-depth examples, Ghemawat reveals
how companies such as Cemex, Toyota, Procter
& Gamble, Tata Consultancy Services, IBM,
(Continued on back flap)
For the exclusive use of A. GUPTA, 2021.
“Most of us do not need much persuading that the world is still
round, but Pankaj Ghemawat redefines its circularity. He shows
how companies can benefit from what he calls semiglobalization, while not falling into the traps unwittingly set by those
who talk glibly about our ‘globalized world.’”
—Sir Howard Davies, Chairman, Royal Bank of Scotland
“An impeccably researched reassessment of the global business
world—not as an ideal but as it really is.”
—Sir Martin Sorrell, CEO, WPP Group
“Now things are clear. Nations and cultures will continue challenging the babel-like perspectives of those who see an irresistibly globalizing world. Pankaj Ghemawat’s refreshing and
thought-provoking book brings us to the real world.”
—Michel Camdessus, former Managing Director,
International Monetary Fund
This document is authorized for use only by ATUL GUPTA in 2021.
00-H7350_FM.indd A
1/12/18 8:41 AM
For the exclusive use of A. GUPTA, 2021.
This document is authorized for use only by ATUL GUPTA in 2021.
00-H7350_FM.indd B
1/12/18 8:42 AM
For the exclusive use of A. GUPTA, 2021.
Redefining
Global
Strategy
This document is authorized for use only by ATUL GUPTA in 2021.
00-H7350_FM.indd i
1/12/18 8:42 AM
For the exclusive use of A. GUPTA, 2021.
This document is authorized for use only by ATUL GUPTA in 2021.
00-H7350_FM.indd ii
1/12/18 8:42 AM
For the exclusive use of A. GUPTA, 2021.
Redefining
Global
Strategy
Crossing Borders in a World Where
Differences Still Matter
Pankaj Ghemawat
HARVARD BUSINESS REVIEW PRESS
BOSTON, MASSACHUSETTS
This document is authorized for use only by ATUL GUPTA in 2021.
00-H7350_FM.indd iii
1/12/18 8:42 AM
For the exclusive use of A. GUPTA, 2021.
HBR Press Quantity Sales Discounts
Harvard Business Review Press titles are available at significant quantity discounts
when purchased in bulk for client gifts, sales promotions, and premiums. Special
editions, including books with corporate logos, customized covers, and letters
from the company or CEO printed in the front matter, as well as excerpts of
existing books, can also be created in large quantities for special needs.
For details and discount information for both print and ebook formats, contact
booksales@harvardbusiness.org, tel. 800-988-0886, or www.hbr.org/bulksales.
Copyright 2018 Harvard Business School Publishing Corporation
All rights reserved
Find more digital content or join the discussion on www.hbr.org.
No part of this publication may be reproduced, stored in or introduced into a retrieval
system, or transmitted, in any form, or by any means (electronic, mechanical, photocopying, recording, or otherwise), without the prior permission of the publisher.
Requests for permission should be directed to permissions@hbsp.harvard.edu, or
mailed to Permissions, Harvard Business School Publishing, 60 Harvard Way, Boston,
Massachusetts 02163.
The web addresses referenced in this book were live and correct at the time of the
book’s publication but may be subject to change.
Library of Congress Cataloging-in-Publication Data
Names: Ghemawat, Pankaj, author.
Title: Redefining global strategy : crossing borders in a world where differences still
matter / by Pankaj Ghemawat.
Description: Boston, Massachusetts : Harvard Business Review Press, [2018] | “With a
new preface”—Title page. | Includes bibliographical references and index.
Identifiers: LCCN 2017051986 | ISBN 9781633696068 (hardcover : alk. paper)
Subjects: LCSH: International business enterprises—Management. | Strategic planning. |
Intercultural communication.
Classification: LCC HD62.4 .G474 2018 | DDC 658.4/012—dc23 LC record available
at https://lccn.loc.gov/2017051986
ISBN: 978-1-63369-606-8
eISBN: 978-1-63369-607-5
This document is authorized for use only by ATUL GUPTA in 2021.
00-H7350_FM.indd iv
1/12/18 8:42 AM
For the exclusive use of A. GUPTA, 2021.
To Anuradha
Who has helped me understand that globalization
does not mean forgetting where I’m from
This document is authorized for use only by ATUL GUPTA in 2021.
00-H7350_FM.indd v
1/12/18 8:42 AM
For the exclusive use of A. GUPTA, 2021.
This document is authorized for use only by ATUL GUPTA in 2021.
00-H7350_FM.indd vi
1/12/18 8:42 AM
For the exclusive use of A. GUPTA, 2021.
Contents
Foreword
Acknowledgments
New Preface
Introduction
Part One
ix
xi
xiii
1
Value in a World of Differences
1
Semiglobalization and Strategy
9
2
Differences Across Countries
33
The CAGE Distance Framework
3
Global Value Creation
65
The ADDING Value Scorecard
Part Two
4
Strategies for Global Value Creation
Adaptation
107
Adjusting to Differences
5
Aggregation
139
Overcoming Differences
6
Arbitrage
169
Exploiting Differences
7
Playing the Differences
197
The AAA Triangle
8
Toward a Better Future
219
Getting Started
Notes
Selected Resources
Index
About the Author
231
247
249
259
This document is authorized for use only by ATUL GUPTA in 2021.
00-H7350_FM.indd vii
1/12/18 8:42 AM
For the exclusive use of A. GUPTA, 2021.
This document is authorized for use only by ATUL GUPTA in 2021.
00-H7350_FM.indd viii
1/12/18 8:42 AM
For the exclusive use of A. GUPTA, 2021.
Foreword
I F I R S T M E T Pankaj Ghemawat in September 1978, when I was look-
ing for a very talented undergraduate to help develop a course for the
then-nascent Harvard Negotiation Project. Ghemawat stood out on account of his international orientation as well as his intellectual gifts and
curiosity. Working with him for a year confirmed my initial sense that he
would go on to do great things.
I watched with interest as Ghemawat sped through his undergraduate
and PhD degrees at Harvard in a total of six years. I was pleased when he
decided to go consult after receiving his PhD. And I was delighted when
he was recruited by Michael Porter to join the Harvard Business School faculty at age twenty-three. He went on to become the youngest professor ever
granted tenure at Harvard Business School, on the strength of a body of
distinguished work on sustainability and competitive dynamics, particularly Commitment, which is my favorite book of his. Or was, until this one.
Redefining Global Strategy is based on a decade of immersion in the strategies of global enterprises. This research has already resulted in a stream of
articles in the Harvard Business Review, of which the two most recent are
“Regional Strategies for Global Leadership” (December 2005), which received HBR’s award for the best article published that year, and “Managing
Differences: The Central Challenge in Global Strategy,” which was published as the lead article in March 2007. But it is only in this book that
Ghemawat fully elaborates and explores the implications of his core proposition: that frontiers matter. Our age, he says, is not one of complete—or
even near-complete—globalization. Rather, the state of the world is more
appropriately characterized as “semiglobalization.”
Ghemawat’s notion of semiglobalization contradicts the current fanfare about frontiers subsiding and creating a flat world in which people
find both work and opportunity without being constrained by their location. For Thomas Friedman, the most prominent purveyor of this view,
“flatness” is forced primarily by technology. For Ted Levitt, writing more
than twenty years before Friedman, it was the result of a demand-side
force, the convergence of tastes. And then there are other variants on this
This document is authorized for use only by ATUL GUPTA in 2021.
00-H7350_FM.indd ix
1/12/18 8:42 AM
For the exclusive use of A. GUPTA, 2021.
x
Foreword
broad vision. But they all naturally lead to an emphasis on size, and on
one-size-fits-all strategies.
Ghemawat is not persuaded. I imagine him, like Galileo Galilei before
the Inquisition, unable to keep from saying, “But it does move around the
sun!” In other words, a flat world may be rhetorically appealing to some,
but extensive empirical observation and analysis suggest that cultural, political, and geographic barriers between countries still loom large—and
have a major influence on global strategy.
If Ghemawat stopped there, he would simply have reminded us that
the world is a complex place and that strategic leadership is difficult.
But he is interested in providing actionable knowledge about global strategies that actually work. So Redefining Global Strategy gives the reader
coherent, powerful frameworks for thinking about the ways in which
borders matter and for evaluating cross-border moves. And perhaps even
more importantly, it develops an array of strategies for dealing with such
differences—strategies that go well beyond one-size-fits-all.
This array of strategies is particularly appealing to me because in twenty
years as a strategy consultant, I have seen many companies fail precisely
because they forgot the distinction between size and strategy. However,
strategy, which was invented both as a word and as a discipline in the battles of Marathon and Salamis between the Persians and the Greeks, is the
art and science of overcoming the advantage of size. Strategy is meant to
allow for victory of the small over the large, and the few over the many,
at least sometimes.
Ghemawat’s concept of semiglobalization not only fits with this broad
view of strategy, it also gives us the tools to advance successful globalization. As the founder of the consulting firm Panthea, and as the senior
executive adviser on strategic leadership to Booz Allen Hamilton, I am
proud that my two firms have recognized the value of these ideas. Their
initial reception by Booz Allen clients has been enthusiastic, and we expect that they will help us better understand the world—and change it for
the better.
—Nikos Mourkogiannis
This document is authorized for use only by ATUL GUPTA in 2021.
00-H7350_FM.indd x
1/12/18 8:42 AM
For the exclusive use of A. GUPTA, 2021.
Acknowledgments
B E H I N D T H I S B O O K is a personal journey from a small city in India,
to Indiana, back to India, then to Cambridge, Massachusetts, and recently
to Barcelona. Professionally, I began to work on the ideas in this book in
the mid-1980s, soon after I had joined the Harvard Business School faculty, when I wrote an early analytical piece on global strategy with Mike
Spence, one of my thesis advisers.
My interest in imbuing my work on strategy with a cross-border perspective was whetted further by a study on India’s competitiveness that
Mike Porter and I undertook in the mid-1990s for the Confederation of
Indian Industry. Shortly after, I was fortunate enough to take over Mike
Yoshino’s Global Strategy and Management course at HBS, which provided an opportunity to synchronize research, course development, and
writings for practitioners on this topic. I have now been focused on issues
related to globalization and global strategy more or less full time for the
better part of a decade. This phase of the journey has yielded about fifty
case studies and papers, this book, and sundry supporting materials such
as a CD on globalization, my Web site (which also lists most of my work
to date), and material for several ongoing projects.
I am particularly grateful to the Harvard Business School, which, under
Deans Kim Clark and Jay Light, has generously supported this program of
study for almost a decade. IESE Business School, under Dean Jordi Canals,
has been a wonderful place to put the finishing touches on this book. I am
also deeply indebted to the Harvard Business Review, where Tom Stewart,
David Champion, and others have helped shape and support my attempts
to communicate with practitioners. And, of course, thanks to Harvard
Business School Press for its work on this book, with particular gratitude
to Melinda Merino and Brian Surette for their counsel. Thanks also to my
agent, Helen Rees, for guiding me, and to my editor, Jeff Cruikshank, for
helping shape a jumble of complex ideas into a book.
My other, mostly content-related, debts are too numerous to acknowledge, including, as they do, learning from scores of colleagues, from the
hundreds of executives I’ve interviewed, and from the thousand-odd
This document is authorized for use only by ATUL GUPTA in 2021.
00-H7350_FM.indd xi
1/12/18 8:42 AM
For the exclusive use of A. GUPTA, 2021.
xii
Acknowledgments
students with whom I’ve worked through the concepts discussed here—as
well as from many excellent writings, not all of which can be cited here.
Still, I must specifically thank people who have generously read and provided comments on recent drafts of part or all of this book: Steve Altman,
Amar Bhide, Dick Caves, Tom Hout, Don Lessard, Anita McGahan, Nikos
Mourkogiannis, Jan Oosterveld, Richard Rawlinson, Denise Rehberg, Jordan Siegel, and Lori Spivey. My long-time assistant at Harvard, Sharilyn
Steketee, did some of the research for the chapters, read through them,
and managed the multiple incarnations of the manuscript. I am also indebted to Ken Mark and Beulah D’Souza for able research assistance. And
last but most important, thank you to my wife, Anuradha Mitra Ghemawat, for the reason explained in the dedication—and for many more.
This document is authorized for use only by ATUL GUPTA in 2021.
00-H7350_FM.indd xii
1/12/18 8:42 AM
For the exclusive use of A. GUPTA, 2021.
New Preface
A D E C A D E H A S P A S S E D since the original release of Redefining Global
Strategy, and I could not be more pleased with how the ideas contained
in this volume have stood the test of time. The material in this book is,
arguably, even more important today than when the first edition came
out. Back in 2007, the common wisdom was that globalization was racing
ahead, flattening borders and erasing the effects of distance. As I write
this new preface, in 2017, many business leaders suspect that globalization has stalled or perhaps even suffered a reversal. This has prompted
rising interest in international strategies designed for a world where borders, geographic distance, and other differences between countries still
constrain international activity—the central theme of this book.
One reason that Redefining Global Strategy has remained so relevant
is that expectations about globalization have long tended to overshoot
reality—in both directions. The flat-world euphoria that prevailed a decade ago was so much removed from reality that I have debunked it as
globaloney.1 And more recently, proclamations that globalization is dead
and multinational firms are in retreat also seem exaggerated.2 When I
wrote this book, I anticipated such oscillations and made sure that my
recommendations could withstand them. In the final chapter, I predicted:
“Looking forward, levels of cross-border integration may increase, stagnate, or even suffer a sharp reversal if the experience between and during
the two world wars is any indication of the possibilities. But given the
parameters of the current situation, it seems unlikely that increases will
anytime soon yield a state in which the differences among countries can
be ignored. Or that decreases could lead to a state in which cross-border
linkages can be forgotten about.”
This book helps firms develop strategies to succeed in a world where
international opportunities and threats are key items on the strategy
agenda, but the markets in which most companies compete are still far
from completely integrated. I refer to this sort of world—which prevailed
in 2007 despite so much hype to the contrary and still prevails today—
as semiglobalized. As this book elaborates, semiglobalization opens up far
more interesting strategic opportunities for firms than would be available
This document is authorized for use only by ATUL GUPTA in 2021.
00-H7350_FM.indd xiii
1/12/18 8:42 AM
For the exclusive use of A. GUPTA, 2021.
xiv
New Preface
in a world where globalization is either negligible or complete. And after
devoting substantial effort in the years since this book was first published
to tracking globalization trends in the DHL Global Connectedness Index
and elsewhere, I am even more confident that the world will remain semiglobalized long into the future. In 2016, I even wrote an academic book
about how the effects of borders and distance are so reliable that they
underpin two scientific laws: the law of semiglobalization and the law of
distance.3
Somewhat less gratifying from an academic perspective, but another
reason why this book remains so relevant, is that most business leaders
are still unaware of how globalized the world really is and what that implies for international strategy. In 2017, I conducted a survey of managers
in three advanced economies (Germany, the United Kingdom, and the
United States) and three emerging economies (Brazil, China, and India).
I asked the participants to estimate several of the globalization metrics
covered in chapter 1. The average manager thought the world was five
times more globalized than it really is! And the evidence on how much
harm such globaloney does has also mounted since the initial publication
of this book. My recent surveys show that managers who have perceptions of globalization that are more exaggerated are more likely to make
some common errors in international strategy. And at the societal level,
my surveys show that more globaloney is associated with more anxiety about globalization’s alleged harmful side effects—effects that I put
into perspective in my 2011 book, World 3.0: Global Prosperity and How to
Achieve It.
As changes in the globalization environment prompt firms to reexamine their international strategies, the material in Redefining Global Strategy
provides a powerful complement to the content of my 2018 book, The
New Global Road Map: Enduring Strategies for Turbulent Times (also from
Harvard Business Review Press). The new book builds on this one but does
not repeat the same material. Redefining Global Strategy is, as indicated by
its title, devoted entirely to strategy, and so it explains my international
strategy frameworks at much greater length. The New Global Road Map,
in contrast, examines how globalization is evolving over various time
frames, and it discusses implications that extend beyond strategy. The
new book also examines choices about where to compete, how to organize, and how to engage better with society.
Redefining Global Strategy is organized in two parts. Part one introduces
the concept of semiglobalization and two key frameworks for thinking
about value creation and value capture in a semiglobalized world. More
specifically, chapter 1 debunks globaloney-induced myths and grounds
the book in a more realistic sense of globalization. Chapter 2 articulates
This document is authorized for use only by ATUL GUPTA in 2021.
00-H7350_FM.indd xiv
1/12/18 8:42 AM
For the exclusive use of A. GUPTA, 2021.
New Preface
xv
the CAGE (cultural, administrative, geographic, and economic) distance
framework, which has come to be widely used and illustrates its power
in business analysis. Chapter 3 provides a scorecard for thinking through
how international moves create or destroy value. The ADDING Value
scorecard encompasses six elements: adding volume or growth, decreasing costs, differentiating or increasing willingness to pay, improving industry attractiveness or bargaining power, normalizing or optimizing risk,
and generating knowledge and other resources and capabilities.
Part two is organized around three fundamental strategies that firms
can employ in a semiglobalized world: adaptation, aggregation, and arbitrage (AAA strategies). Chapter 4 covers adaptation strategies, suggesting a wide array of levers and sublevers that firms can use to adjust to
differences across countries. Chapter 5 discusses aggregation strategies,
which focus on overcoming some cross-country differences to achieve
more economies of scale or scope. Chapter 6 focuses on arbitrage strategies, which treat differences as a source of, rather than a constraint on,
international value creation. Chapter 7 brings these three strategy archetypes together and examines how firms should think about combinations
and trade-offs across them. Chapter 8 concludes with a short step-by-step
guide to help firms apply the key learning points from this book.
To recap, this book articulates a global strategy approach that is
grounded in a clear recognition of the persistent differences across countries and the challenges these differences pose for multinational firms.
The idea is to help businesses cross borders profitably by seeing the world
as it really is, rather than engaging in wishful thinking. To achieve this
objective, the book embodies what might be called the three Rs. First,
it is readable because of its unified point of view, its conciseness, and
its use of numerous examples. Second, the book is relevant for business
policymakers because I have written it around their needs (although it
may also interest leaders in the public sector and others seeking to understand cross-border business) and have kept the discussion grounded
in reality by focusing on value creation and capture. Also important in
this regard is the ease with which companies from different parts of the
world can customize the frameworks presented—which suggests some obvious follow-up exercises. In particular, the tools available on my website
at Ghemawat.com can help practitioners customize and apply this content. And third, the book is rigorous in the sense of drawing on research in
a variety of fields—including international economics, industrial organization, business strategy, and international business—as well as extensive
interactions with business leaders. So use it to your advantage!
This document is authorized for use only by ATUL GUPTA in 2021.
00-H7350_FM.indd xv
1/12/18 8:42 AM
For the exclusive use of A. GUPTA, 2021.
This document is authorized for use only by ATUL GUPTA in 2021.
00-H7350_FM.indd xvi
1/12/18 8:42 AM
For the exclusive use of A. GUPTA, 2021.
Introduction
M Y F I R S T I N T E R N A T I O N A L case-writing experience, in the early
1990s, had me visit a Pepsi plant in the strife-torn Indian state of Punjab.
Given the political environment—a low-grade civil war—many workers
were militants who arrived at the plant each day toting their AK-47s.
Pepsi had set up a system whereby these could be checked in and then
retrieved at the end of a shift. Absolutely no AK-47s inside the building, the
HR director explained forcefully—introducing me to the large differences
with which international business must contend.
This sense of differences has been sharpened by the years I have spent
since then working on globalization and global strategy. As a result, instead of focusing on market size and the illusion of a borderless world,
this book reminds managers that if their businesses want to cross borders
successfully, they need to pay serious attention to the sustained differences between countries in developing and evaluating strategies. And it
provides them with the insights and tools necessary to do so.
To illustrate this perspective on globalization—or what I call semiglobalization—I’ll use football as a metaphor.1 U.S. readers may be disappointed that the kind of football that I have in mind is what they refer
to as soccer, but that itself makes a useful point about the differences between countries. Although football is supposed to be a global phenomenon—former UN secretary general Kofi Annan noted enviously that more
countries belong to FIFA, football’s governing body, than to the United
Nations—its hold on sports fans is very uneven, and the United States
constitutes the single largest exception to its general appeal.2
That said, the game has come a long way since English villagers began
kicking around pigs’ bladders in the Middle Ages. Football began to spread
internationally during the heyday of the British Empire, but the sport’s
globalization went into reverse in the interlude between World Wars I and
II, as authorities restricted the international transfer of players.
This document is authorized for use only by ATUL GUPTA in 2021.
01-H7350_INT.indd 1
1/11/18 10:07 AM
For the exclusive use of A. GUPTA, 2021.
2
Introduction
The years after World War II saw escalating international rivalry, particularly around the World Cup. In the late 1950s and early 1960s, Real Madrid
emerged as the first great European club, with player

Needs help with similar assignment?

We are available 24x7 to deliver the best services and assignment ready within 6-12 hours? Order a custom-written, plagiarism-free paper

Order Over WhatsApp Place an Order Online

INTERPERSONAL RELATIONS AND GROUP PROCESSES
This document is copyrighted by the American Psychological Association or one of its allied publishers.
This article is intended solely for the personal use of the individual user and is not to be disseminated broadly.
Across the Thin Blue Line: Police Officers and Racial Bias in the Decision
to Shoot
Joshua Correll
Bernadette Park and Charles M. Judd
University of Chicago
University of Colorado at Boulder
Bernd Wittenbrink
Melody S. Sadler
University of Chicago
University of Colorado at Boulder
Tracie Keesee
University of Denver
Police officers were compared with community members in terms of the speed and accuracy with which
they made simulated decisions to shoot (or not shoot) Black and White targets. Both samples exhibited
robust racial bias in response speed. Officers outperformed community members on a number of
measures, including overall speed and accuracy. Moreover, although community respondents set the
decision criterion lower for Black targets than for White targets (indicating bias), police officers did not.
The authors suggest that training may not affect the speed with which stereotype-incongruent targets are
processed but that it does affect the ultimate decision (particularly the placement of the decision
criterion). Findings from a study in which a college sample received training support this conclusion.
Keywords: police, race, bias, weapon, training
& Wittenbrink, 2002; Greenwald, Oakes, & Hoffman, 2003;
Payne, 2001). Although social psychologists have only recently
addressed this question, the impact of suspect ethnicity on police
shootings has long been the focus of researchers in other fields of
study, particularly sociology, political science, and law enforcement. Investigators have consistently found evidence that police
use greater force, including lethal force, with minority suspects
than with White suspects (e.g., Inn, Wheeler, & Sparling, 1977;
Smith, 2004; see Geller, 1982, for a review). Data from the
Department of Justice (2001), itself, indicate that Black suspects
are approximately five times more likely than White suspects, per
capita, to die at the hands of a police officer.
One of the most detrimental consequences of police shootings is
the upheaval they can provoke. Shootings of a minority suspect
may engender a sense of mistrust and victimization among community members and give rise to conflict between the community
and police. Weitzer and Tuch (2004) present evidence that members of ethnic minorities often feel that they are mistreated by the
police, even after statistically controlling for factors like personal
and vicarious experiences with the law, exposure to the media, and
neighborhood disadvantage (see also Sunshine & Tyler, 2003).
The implication is that the police are racist and that officers use
excessive force with minority suspects. In response, Black people
may engage in more belligerent behavior, including “talking back”
to police officers, and—in a vicious cycle—this belligerence may
prompt more severe use of force by police (Reisig, McCluskey,
Inspired in part by high-profile police shootings of unarmed
Black men, a flurry of social psychological research has attempted
to assess the influence of a suspect’s race on the use of force,
specifically in terms of the decision to shoot (Correll, Park, Judd,
Joshua Correll, Department of Psychology, University of Chicago;
Bernadette Park, Charles M. Judd, and Melody S. Sadler, Department of
Psychology, University of Colorado at Boulder; Bernd Wittenbrink, Graduate School of Business, University of Chicago; Tracie Keesee, University
of Denver.
Primary support for this work was provided by a grant from the Russell
Sage Foundation. Support for this work also came from National Institute
of Mental Health Grant F31-MH069017 to Joshua Correll and National
Institute of Mental Health Grant R01-45049 to Bernadette Park and
Charles M. Judd.
In the interest of disclosure, we note that Tracie Keesee also serves as
a commander in the Denver Police Department. We thank Chief Gerald
Whitman, the Denver Police Department, Calibre Press, the Denver Department of Motor Vehicles, and (especially) the many officers of the
Denver Police Department and police departments around the country for
their assistance, patience, and participation. We also thank Alinne Barrera,
Heather Coulter, and David M. Deffenbacher for their invaluable assistance with this research and Myron Rothbart for his many helpful comments.
Correspondence concerning this article should be addressed to Joshua
Correll, Department of Psychology, University of Chicago, Chicago, IL
60637. E-mail: jcorrell@uchicago.edu
Journal of Personality and Social Psychology, 2007, Vol. 92, No. 6, 1006 –1023
Copyright 2007 by the American Psychological Association 0022-3514/07/$12.00
DOI: 10.1037/0022-3514.92.6.1006
1006
This document is copyrighted by the American Psychological Association or one of its allied publishers.
This article is intended solely for the personal use of the individual user and is not to be disseminated broadly.
THIN BLUE LINE
Mastrofski, & Terrill, 2004). It is equally important to note that, as
a consequence of this tension, officers who see their job as protecting the community may feel, and to some extent may actually
be, thwarted in their efforts to perform their duty.
Officer-involved shootings, then, can have severe consequences,
not just for the officers and suspects involved, but for the community at large as well. It is of paramount importance to understand and explain why minority suspects are disproportionately
likely to be shot. The sociological literature offers a number of
explanations. Some research suggests that bias in police shootings
stems, at least in part, from the officers’ role as protectors of the
privileged (predominantly White) classes over the less fortunate
(predominantly minority) members of society (Sorenson, Marquart, & Brock, 1993). Others argue that the racial discrepancy in
officer-involved shootings stems from differential minority involvement in criminal activity (Department of Justice, 2001; Inn et
al., 1977) or from the fact that minorities are disproportionately
likely to live and work in low-income, high-crime communities
(Terrill & Reisig, 2003).
A primary strength of the sociological approach is that it examines police use of force directly and in its true context. These
researchers study real locations and real officers, and their dependent variable is the number of suspects who are actually shot. They
thus maintain the richness and complexity of the real world when
analyzing relationships between officer-involved shootings and
variables like race or community disadvantage. At the same time,
the preexisting correlations among these variables confound efforts to assess their independent effects. For example, the relationship between the proportion of Black citizens in a community and
perceptions of disorder (Sampson & Raudenbush, 2004) is inextricably tied to, and cannot be fully separated from, racial discrepancies in officer-involved shootings (Terrill & Reisig, 2003). For
this reason, a social psychological analysis of the problem with
experimental methods is useful not to replace but rather to supplement research of a more naturalistic sort.
Over the past several years, social psychological researchers
have examined the effect of race on shoot/don’t-shoot decisions
using videogame-like simulations. In one paradigm, participants
view a series of images (background scenes and people) and are
instructed to respond to armed targets with a shoot response, and
to unarmed targets with a don’t-shoot response as quickly and as
accurately as possible (Correll et al., 2002; Correll, Park, Judd, &
Wittenbrink, 2007; Correll, Urland, & Ito, 2006). The results of
some 20 studies with this task, with a variety of parameters and
manipulations, consistently show racial bias in both the speed and
accuracy with which such decisions can be made. Participants are
faster and more accurate when shooting an armed Black man
rather than an armed White man, and faster and more accurate
when responding “don’t shoot” to an unarmed White man rather
than an unarmed Black man. The bulk of this research has been
conducted with college students, but the effect has been replicated
with community samples of both White and Black participants,
and conceptually similar effects have been obtained by a number
of other labs (Amodio et al., 2004; Greenwald et al., 2003; Payne,
2001; Payne, Lambert, & Jacoby, 2002; Plant, Peruche, & Butz,
2005). These findings, along with reports from sociological and
related literatures, clearly indicate that race can play an important
role in decisions about the danger or threat posed by a particular
1007
person. But experimental data rarely speak directly to police behavior.
In our literature review, we discovered only two papers that
examine officers in experimental studies of racial bias. Eberhardt,
Goff, Purdie, and Davies (2004) found that priming the concept of
crime served to orient attention to Black (more than White) faces.
This pattern held for officers and civilians alike. Plant and Peruche
(2005) examined training effects among officers on a task where
images of White and Black men appeared with a gun or nongun
object superimposed on the face. They found that officers showed
racial bias in their errors during the first phase of the study (i.e.,
officers were more likely to mistakenly shoot Black targets who
appeared with nongun objects, and to not shoot White targets who
appeared with a gun in the first 80 trials of the task), but that bias
fell to nonsignificant levels in the second phase (i.e., the last 80
trials of the task). These studies suggest that officers, like undergraduates, show racial biases in the processing of crime-related
stimuli.
But there is reason to believe that police will differ from citizens
in shoot/don’t-shoot decisions. Most notably, officers receive extensive experience with firearms during their academy training
(before they are sworn in) and throughout their careers. For example, the Denver Police Department requires that new recruits
spend 72 hr in practical weapons training, and officers must
recertify on a quarterly basis. At the firing range, officers and
recruits make shoot/don’t-shoot decisions for target silhouettes
that appear suddenly, either armed or unarmed; in Firearms Training System simulators (Firearms Training Systems, Inc., Atlanta,
GA), they respond to an interactive video simulation of a potentially hostile suspect; and in simulated searches, they confront live
actors armed with weapons that fire painful but nonlethal ammunition (e.g., paintballs, Simunition, or Air Soft pellets).
An extensive body of research shows that training improves
performance on tasks in which a peripheral cue interferes with a
participant’s response to a central or task-relevant cue. Through
training, participants learn to ignore the irrelevant information and
respond primarily on the basis of the central feature of the stimulus
(e.g., MacLeod, 1998; MacLeod & Dunbar, 1988; Plant & Peruche, 2005). For example, in a Stroop (1935) task, participants
classify the color in which a word is printed (e.g., red). Color is
thus the central cue. This task becomes more difficult if the word
(a peripheral cue) refers to a different color (e.g., the word “blue”
printed in red). Initially, participants have difficulty with this task,
responding slowly and inaccurately when the central and peripheral cues conflict. But with training, judgment improves. Responses occur more quickly and require less effort and less cognitive control. As a result, experts demonstrate reduced
interference in both latencies and errors. Neuroimaging studies
have even documented the shifting patterns of brain activity that
correspond to the development of automatic task performance
(Bush et al., 1998; Jansma, Ramsey, Slagter, & Kahn, 2001; for a
review, see Kelly & Garavan, 2004). During initial performance on
interference tasks, participants recruit brain regions related to
conflict detection and response control (e.g., the anterior cingulate
and medial prefrontal cortexes). With extensive practice, however,
activation in these regions decreases, presumably because an automatic task requires less executive supervision.
But automatization may not characterize all learning on interference tasks. In some cases, training actually promotes controlled
This document is copyrighted by the American Psychological Association or one of its allied publishers.
This article is intended solely for the personal use of the individual user and is not to be disseminated broadly.
1008
CORRELL ET AL.
processing. For example, when participants are continuously challenged by variable task requirements or increasing demands, practice can lead to more extensive recruitment of prefrontal brain
regions (Olesen, Westerberg, & Klingberg, 2004; Weissman,
Woldorff, Hazlett, & Mangun, 2002). Of particular relevance to
shoot/don’t-shoot decisions, this control involves the medial and
middle frontal gyri—areas related to the detection and resolution
of conflicting information and to the maintenance of goal-relevant
representations. In some cases, then, training leads participants to
work harder, in cognitive terms, as they learn to marshal the
attention and control necessary for optimal performance.
When will training promote automaticity in a judgment task, and
when will it promote control? A probable moderator is task complexity (Birnboim, 2003; Green & Bavelier, 2003). On tasks with
simple stimuli (e.g., the words presented in a Stroop task), practice
allows participants to streamline the judgment process, performing
it easily and automatically. Only when the task is difficult (e.g.,
involving visually complex stimuli or ever-changing task requirements) does practice seem to promote control. As Birnboim (2003)
wrote, “automatic processing relies on a reduction of stimulus
information to its perceptual and motor features” (p. 29). When
complexity renders this kind of reduction impossible, controlled
processing may be required to “extract more meaningful information” (p. 29). Consistent with this argument, Green and Bavelier
(2003) have shown that practice on a visually complex video game
(i.e., Medal of Honor; Electronic Arts, Redwood City, CA) improves performance on attention-demanding tasks, but practice on
a visually simple video game (i.e., Tetris; Electronorgtechnica,
Moscow, Russia) does not.
Task complexity has tremendous relevance for the officer engaged in a potentially hostile encounter. Faced with a range of
irrelevant and confusing factors (e.g., darkness, noise, movement,
bystanders), the officer must determine whether or not a small and
relatively inconspicuous weapon is present. On a reduced scale,
our paradigm attempts to simulate this visual and cognitive challenge. The task employs a variety of complex and realistic backgrounds (e.g., parking lots, train stations). By varying backgrounds
and suspect poses (e.g., standing, crouching), as well as the timing
of stimulus onset, we prevent participants from knowing when or
where an object will appear. When the object does appear, it
accounts for roughly 0.2% of the visual field. To respond correctly,
participants must engage in a careful, controlled search for a small
cue amid a complex stimulus array. In contrast to the visually
simple tasks typically employed in research on training, training on
this relatively complex task may not foster automaticity in the
shoot/don’t-shoot decision. In our task—as in a police encounter—
even highly trained experts may need to fully engage executive
control processes to identify the object and execute the appropriate
response (Weissman et al., 2002).
If experts are better able than novices to engage control processes, it stands to reason that police officers, whose training and
on-the-job experiences routinely force them to identify weapons in
complex environments, should make fewer errors in our shoot/
don’t-shoot task and should show reduced racial bias in those
errors (i.e., their expertise should minimize stereotypic errors).
This training-based reduction in bias, which we might call a
“police as experts” pattern, serves as our primary hypothesis (H1).
But control may not entirely eliminate race-based processing. The
necessity of a slow, effortful, and controlled search for the object
leaves open the possibility that even experts will inadvertently
process racial information. Research suggests that racial cues are
often perceived quickly, whether or not the participant intends to
do so (Cunningham et al., 2004; Ito & Urland, 2003), and accordingly, a slow visual search for the object should glean racial
information. By activating stereotypes, these cues may interfere
with the speed of the decision-making process. By virtue of enhanced control, experts may rarely, if ever, shoot an unarmed
Black individual; but because even experts must search (slowly)
for the object, they are likely to perceive the target’s skin color and
facial features, triggering relevant stereotypes. Again, experts may
effectively override this interference and make an unbiased response (“don’t shoot”), but because the weapon judgment is not
automatic, the controlled decision to stereotype incongruent targets
may still take more time. This leads us to predict a dissociation,
such that a target’s race may affect the speed of the expert’s
decisions, even though it has no impact on their accuracy.
To examine this possibility, the present research extends past
work in two critical ways. First, we examine bias in both response
times and errors. In past research (e.g., Correll et al., 2002; Payne,
2001), results from these two measures mirrored one another and
were characterized as more or less interchangeable. But the measures may capture partially distinct aspects of the decision process.
Latency—the time necessary for a participant to respond correctly
to a given target—should depend on the difficulty of processing
the stimulus. The fact that stereotype-incongruent targets (unarmed
Black targets and armed White targets) generally produce longer
latencies suggests that participants have greater difficulty arriving
at a correct decision for these stimuli. Processing difficulty may
also influence error rates, but errors also reflect the participant’s
ultimate decision about which response to make. Particularly from
an officer’s perspective, the distinction between a slow-butaccurate response (e.g., hesitating and then deciding not to fire)
and an incorrect response (e.g., shooting an unarmed suspect)
assumes great importance.
This research also advances our understanding by comparing
police officers with samples of laypeople drawn from the communities those officers serve. Community samples provide a crucial
baseline against which we can compare the police. As we have
already discussed, one of the most damaging consequences of
officer-involved shootings in which a minority suspect is killed is
the implication that police inappropriately use race when making
the decision to fire. However, given the prevalence of bias in the
decision to shoot (which has been documented in all types of
people, from White college students to Black community members), how can we interpret the magnitude of any bias we might
observe among the police? Inhabitants of the community served by
a given police department provide a critical comparison. As members of a common culture, these individuals experience many of
the same influences, whether very global (e.g., national broadcast
media) or very local (e.g., racial and ethnic composition of the
neighborhood, local levels of poverty and crime) in nature. To
fully characterize the presence of any bias among police, it is
therefore critical to examine bias in the communities they serve.
No such comparison is available in existing research. Although we
have elaborated the hypothesis that police will demonstrate less
bias than the community, particularly with respect to their error
rates (H1), we note that the comparison between police and community presents two other possibilities.
This document is copyrighted by the American Psychological Association or one of its allied publishers.
This article is intended solely for the personal use of the individual user and is not to be disseminated broadly.
THIN BLUE LINE
Of course, it is also possible that officers will show more
pronounced bias than community members (H2) or that police and
civilians will show relatively similar patterns of bias (H0). In line
with the former hypothesis, Teahan (1975a, 1975b) presented
evidence that police departments acculturate White officers into
more prejudicial views during their first years on the job. Similarly, the Christopher Commission’s investigation into the Los
Angeles Police Department’s 1991 beating of Rodney King reported that officers who adopted anti-Black attitudes were more
likely to be promoted within the department (Christopher, 1998).
This ostensible culture of bias may find expression in police
officers’ relatively high social dominance orientation (Sidanius &
Pratto, 1999), reflecting support for the group-based (and racebased) hierarchical structure of society (see Sorenson et al., 1993,
for similar conclusions on the basis of police use of force). Given
these findings, we might reasonably expect a “police as profilers”
pattern, with officers relying heavily on racial information when
making their decisions to shoot.
Finally, police officers and community members may show
equivalent levels of racial bias in decisions to shoot. Inasmuch as
police and community members are subject to the same general
cognitive heuristics (Hamilton & Trolier, 1986) and sociocultural
influences (Devine & Elliot, 1995), the two groups may demonstrate similar patterns of behavior in the video game simulation.
This prediction would yield a pattern we might call “police as
citizens.”
Our primary hypothesis derives from the possibility that practice
enables police officers to more effectively exert control over their
behavioral choices (relative to untrained civilians). That is, H1
suggests that officers may more extensively engage in controlled
processing operations during the course of the shoot/don’t-shoot
task. Because of this difference in processing, we predict a divergence between measures of bias that are based on errors and
measures that are based on reaction times. By contrast, H2 and H0
offer no clear reason to predict differences between officers and
civilians in terms of cognitive processing, and (accordingly) they
offer no reason to expect a divergence between error-rate and
reaction-time measures.
Study 1
Method
Overview. Three samples of participants completed a 100-trial
video game simulation in which armed and unarmed White and
Black men appeared in a variety of background images. Participants were instructed that any armed target posed an imminent
threat and should be shot as quickly as possible. Unarmed targets
posed no threat and should be flagged accordingly by pushing the
don’t-shoot button, again as quickly as possible. The speed and
accuracy with which these decisions were made served as our
primary dependent variables, and performance was compared
across three samples: officers from the Denver Police Department,
civilians drawn from the communities those officers served, and a
group of officers from across the country attending a 2-day police
training seminar.
1009
Participants. For the purposes of law enforcement, the city of
Denver is divided into six districts. With the help of the command
staff, officers were recruited for this study from four of these
districts during roll call. Participation was completely voluntary,
and officers were assured that there would be no way to identify
individual performance on the task and that the command staff
would not be informed of who did and did not participate. Officers
were required to complete the simulation during off-duty hours.
Our goal was to recruit primarily patrol officers, and, in this effort,
we were successful: 84% of the sample listed patrol as their job
category. Investigative officers accounted for 9% of the sample,
administrative officers for 2% of the sample, with the remaining
5% of the officers from a mixture of other job categories. A total
of 124 officers participated in the study (9 female, 114 male, 1
missing gender; 85 White, 16 Black, 19 Latina/o, 3 other, 1
missing ethnicity; mean age ? 37.9 years). Each received $50.
To obtain a companion civilian sample, we enlisted the Department of Motor Vehicles (DMV) office in each of the four districts,
recruiting community members to perform the simulation on or
around the same days as the police officers. Several of the DMVs
were in areas with a high concentration of Spanish-speaking citizens. For these areas, a bilingual research assistant recruited and
instructed the participants.1 A total of 135 civilians participated in
the study. Eight participants were dropped from the analyses: 2
because of a computer malfunction and 6 because they had fewer
than five correct trials for at least one of the four cells of the
simulation design. Thus, the reported results for this sample are
based on 127 civilians (51 female, 73 male, 3 missing gender; 39
White, 16 Black, 63 Latina/o, 9 other; mean age ? 35.5 years).
Each received $20.
To collect the national police sample, we attended a training
seminar for officers. This was one of several seminars that officers
voluntarily attend to obtain additional training in some particular
area of law enforcement. The seminars are specifically geared for
patrol officers, rather than administrative personnel. The sample of
officers obtained for this study came from 14 different states, and
only 7% worked in some administrative capacity. The remaining
job categories included patrol officers (58%), investigative officers
(14%), traffic officers (7%), SWAT team members (3%), and a
sprinkling of other categories (11%). Although this clearly is not a
random national sample of officers, it offers a greater diversity of
background than the Denver sample. An announcement regarding
the study was made during the seminar, and officers were invited
to participate on one of two evenings after the conclusion of the
seminar for that day. A total of 113 officers participated in the
study (12 female, 100 male, 1 missing gender; 72 White, 10 Black,
15 Latina/o, 13 other, 3 missing ethnicity; mean age ? 38.4 years).
Each received $50.
Video game simulation. Fifty men (25 Black, 25 White) were
photographed in five poses holding one of a variety of objects,
including four guns (a large black 9 mm, a small black revolver, a
large silver revolver, and a small silver automatic) and four nonguns (a large black wallet, a small black cell phone, a large silver
Coke can, and a small silver cell phone). For each individual, we
1
Many thanks to Alinne Barrera who tirelessly and happily made time
in her busy schedule to accompany us on these sojourns at the Denver
DMVs.
This document is copyrighted by the American Psychological Association or one of its allied publishers.
This article is intended solely for the personal use of the individual user and is not to be disseminated broadly.
1010
CORRELL ET AL.
selected two images, one with a gun and one with an innocuous
object, resulting in 100 distinct images (25 of each type: armed
White, armed Black, unarmed White, and unarmed Black), which
served as the principal stimuli, or targets, in the game. Forty of
these images were drawn from previous work (see Correll et al.,
2002, for example stimuli). The others were added in an effort to
diversify the sample of targets. Using Photoshop, we embedded
targets in 20 otherwise unpopulated background scenes, including
images of the countryside, city parks, facades of apartment buildings, and so on. Each target was randomly assigned to a particular
background, with the restriction that each type of target should be
represented with equal frequency in each background.
Design. The video game, developed in PsyScope (Cohen,
MacWhinney, Flatt, & Provost, 1993), followed a 2 ? 2 withinsubjects design, with Target Race (Black vs. White) and Object
Type (gun vs. nongun) as repeated factors (see Correll et al.,
2002). On any given trial of the game, a random number (0 –3) of
preliminary backgrounds appeared in slideshow fashion. These
scenes were drawn from the set of 20 original unpopulated background images. Each remained on the screen for a random period
of time (500 ms– 800 ms). Subsequently, a final background appeared (e.g., an apartment building), again for a random duration.
This background was replaced by an image of a target person
embedded in that background (e.g., an armed White man standing
in front of the building). From the player’s perspective, the target
simply seemed to appear in the scene. The player was instructed to
respond as quickly as possible whenever a target appeared, pressing a button labeled shoot if the target was armed and pressing a
button labeled don’t shoot if the target was unarmed. The game
awarded points on the basis of performance. Correctly pressing
don’t shoot in response to an unarmed target earned 5 points, but
shooting earned a penalty of 20 points; pressing shoot in response
to an armed target earned 10 points, but pressing don’t shoot
earned a penalty of 40 points (the implication being that the hostile
target shot the player). Failure to respond to a target within 850 ms
of target onset resulted in a penalty of 10 points. Feedback, both
visual and auditory, and point totals were presented at the conclusion of every trial. The game consisted of a 16-trial practice block
and a 100-trial test block.
Procedure. Officers in th

Needs help with similar assignment?

We are available 24x7 to deliver the best services and assignment ready within 6-12 hours? Order a custom-written, plagiarism-free paper

Order Over WhatsApp Place an Order Online