What is Psychological Trauma?

Introduction

Psychological trauma (mental trauma, psychotrauma, or psychiatric trauma) is an emotional response caused by severe distressing events that are outside the normal range of human experiences, such as experiencing violence, rape, or a terrorist attack. The event must be understood by the affected person as directly threatening the affected person or their loved ones with death, severe bodily injury, or sexual violence; indirect exposure, such as from watching television news, may be extremely distressing and can produce an involuntary and possibly overwhelming physiological stress response, but does not produce trauma per se.

Short-term reactions such as psychological shock and psychological denial are typically followed. Long-term reactions and effects include bipolar disorder, uncontrollable flashbacks, panic attacks, insomnia, nightmare disorder, difficulties with interpersonal relationships, and post-traumatic stress disorder (PTSD). Physical symptoms including migraines, hyperventilation, hyperhidrosis, and nausea are often developed.

As subjective experiences differ between individuals, people react to similar events differently. Most people who experience a potentially traumatic event do not become psychologically traumatised, though they may be distressed and experience suffering. Some will develop PTSD after exposure to a traumatic event, or series of events. This discrepancy in risk rate can be attributed to protective factors some individuals have, that enable them to cope with difficult events, including temperamental and environmental factors, such as resilience and willingness to seek help.

Psychotraumatology is the study of psychological trauma.

Signs and Symptoms

People who experience trauma often have problems and difficulties afterwards. The severity of these symptoms depends on the person, the types of trauma involved, and the support and treatment they receive from others. The range of reactions to trauma can be wide and varied, and differ in severity from person to person.

After a traumatic experience, a person may re-experience the trauma mentally and physically. For example, the sound of a motorcycle engine may cause intrusive thoughts or a sense of re-experiencing a traumatic experience that involved a similar sound e.g. gunfire. Sometimes a benign stimulus (e.g. noise from a motorcycle) may get connected in the mind with the traumatic experience. This process is called traumatic coupling. In this process, the benign stimulus becomes a trauma reminder, also called a trauma trigger. These can produce uncomfortable and even painful feelings. Re-experiencing can damage people’s sense of safety, self, self-efficacy, as well as their ability to regulate emotions and navigate relationships. They may turn to psychoactive drugs, including alcohol, to try to escape or dampen the feelings. These triggers cause flashbacks, which are dissociative experiences where the person feels as though the events are recurring. Flashbacks can range from distraction to complete dissociation or loss of awareness of the current context. Re-experiencing of symptoms is a sign that the body and mind are actively struggling to cope with the traumatic experience.

Triggers and cues act as reminders of the trauma and can cause anxiety and other associated emotions. Often the person can be completely unaware of what these triggers are. In many cases, this may lead a person with a traumatic disorder to engage in disruptive behaviours or self-destructive coping mechanisms, often without being fully aware of the nature or causes of their own actions. Panic attacks are an example of a psychosomatic response to such emotional triggers.

Consequently, intense feelings of anger may frequently surface, sometimes in inappropriate or unexpected situations, as danger may always seem to be present due to re-experiencing past events. Upsetting memories such as images, thoughts, or flashbacks may haunt the person, and nightmares may be frequent. Insomnia may occur as lurking fears and insecurity keep the person vigilant and on the lookout for danger, both day and night. A messy personal financial scene, as well as debt, are common features in trauma-affected people. Trauma does not only cause changes in one’s daily functions, but could also lead to morphological changes. Such epigenetic changes can be passed on to the next generation, thus making genetics one of the components of psychological trauma. However, some people are born with or later develop protective factors such as genetics that help lower their risk of psychological trauma.

The person may not remember what actually happened, while emotions experienced during the trauma may be re-experienced without the person understanding why (see Repressed memory). This can lead to the traumatic events being constantly experienced as if they were happening in the present, preventing the subject from gaining perspective on the experience. This can produce a pattern of prolonged periods of acute arousal punctuated by periods of physical and mental exhaustion. This can lead to mental health disorders like acute stress and anxiety disorder, prolonged grief disorder, somatic symptom disorder, conversion disorders, brief psychotic disorder, borderline personality disorder, adjustment disorder, etc. Obsessive-compulsive disorder is another mental health disorder with symptoms similar to that of psychological trauma, such as hyper-vigilance and intrusive thoughts. Research has indicated that individuals who have experienced a traumatic event have been known to use symptoms of obsessive- compulsive disorder, such as compulsive checking of safety, as a way to mitigate the symptoms associated with trauma.

In time, emotional exhaustion may set in, leading to distraction, and clear thinking may be difficult or impossible. Emotional detachment, as well as dissociation or “numbing out” can frequently occur. Dissociating from the painful emotion includes numbing all emotion, and the person may seem emotionally flat, preoccupied, distant, or cold. Dissociation includes depersonalisation disorder, dissociative amnesia, dissociative fugue, dissociative identity disorder, etc. Exposure to and re-experiencing trauma can cause neurophysiological changes like slowed myelination, abnormalities in synaptic pruning, shrinking of the hippocampus, cognitive and affective impairment. This is significant in brain scan studies done regarding higher-order function assessment with children and youth who were in vulnerable environments.

Some traumatized people may feel permanently damaged when trauma symptoms do not go away and they do not believe their situation will improve. This can lead to feelings of despair, transient paranoid ideation, loss of self-esteem, profound emptiness, suicidality, and frequently, depression. If important aspects of the person’s self and world understanding have been violated, the person may call their own identity into question. Often despite their best efforts, traumatized parents may have difficulty assisting their child with emotion regulation, attribution of meaning, and containment of post-traumatic fear in the wake of the child’s traumatisation, leading to adverse consequences for the child. In such instances, seeking counselling in appropriate mental health services is in the best interests of both the child and the parent(s).

Causes

Situational Trauma

Trauma can be caused by human-made, technological and natural disasters, including war, abuse, violence, vehicle collisions, or medical emergencies.

An individual’s response to psychological trauma can be varied based on the type of trauma, as well as socio-demographic and background factors.

There are several behavioural responses commonly used towards stressors including the proactive, reactive, and passive responses. Proactive responses include attempts to address and correct a stressor before it has a noticeable effect on lifestyle. Reactive responses occur after the stress and possible trauma has occurred and is aimed more at correcting or minimising the damage of a stressful event. A passive response is often characterized by an emotional numbness or ignorance of a stressor.

There is also a distinction between trauma induced by recent situations and long-term trauma which may have been buried in the unconscious from past situations such as child abuse. Trauma is sometimes overcome through healing; in some cases this can be achieved by recreating or revisiting the origin of the trauma under more psychologically safe circumstances, such as with a therapist. More recently, awareness of the consequences of climate change is seen as a source of trauma as individuals contemplate future events as well as experience climate change related disasters. Emotional experiences within these contexts are increasing, and collective processing and engagement with these emotions can lead to increased resilience and post-traumatic growth, as well as a greater sense of belongingness. These outcomes are protective against the devastating impacts of psychological trauma.

Stress Disorders

All psychological traumas originate from stress, a physiological response to an unpleasant stimulus. Long-term stress increases the risk of poor mental health and mental disorders, which can be attributed to secretion of glucocorticoids for a long period of time. Such prolonged exposure causes many physiological dysfunctions such as the suppression of the immune system and increase in blood pressure. Not only does it affect the body physiologically, but a morphological change in the hippocampus also takes place. Studies showed that extreme stress early in life can disrupt normal development of hippocampus and impact its functions in adulthood. Studies surely show a correlation between the size of hippocampus and one’s susceptibility to stress disorders. In times of war, psychological trauma has been known as shell shock or combat stress reaction. Psychological trauma may cause an acute stress reaction which may lead to post-traumatic stress disorder (PTSD). PTSD emerged as the label for this condition after the Vietnam War in which many veterans returned to their respective countries demoralized, and sometimes, addicted to psychoactive substances.

The symptoms of PTSD must persist for at least one month for diagnosis to be made. The main symptoms of PTSD consist of four main categories: trauma (i.e. intense fear), reliving (i.e. flashbacks), avoidance behaviour (i.e. emotional numbing), and hypervigilance (i.e. continuous scanning of the environment for danger). Research shows that about 60% of the US population reported as having experienced at least one traumatic symptom in their lives, but only a small proportion actually develops PTSD. There is a correlation between the risk of PTSD and whether or not the act was inflicted deliberately by the offender. Psychological trauma is treated with therapy and, if indicated, psychotropic medications.

The term continuous posttraumatic stress disorder (CTSD) was introduced into the trauma literature by Gill Straker (1987). It was originally used by South African clinicians to describe the effects of exposure to frequent, high levels of violence usually associated with civil conflict and political repression. The term is also applicable to the effects of exposure to contexts in which gang violence and crime are endemic as well as to the effects of ongoing exposure to life threats in high-risk occupations such as police, fire, and emergency services.

As one of the processes of treatment, confrontation with their sources of trauma plays a crucial role. While debriefing people immediately after a critical incident has not been shown to reduce incidence of PTSD, coming alongside people experiencing trauma in a supportive way has become standard practice.

Moral Injury

Moral injury is distress such as guilt or shame following a moral transgression. There are many other definitions some based on different models of causality.  Moral injury is associated with post-traumatic stress disorder but is distinguished from it.  Moral injury is associated with guilt and shame while PTSD is correlated with fear and anxiety.

Vicarious Trauma

Normally, hearing about or seeing a recording of an event, even if distressing, does not cause trauma; however, an exception is made to the diagnostic criteria for work-related exposures. Vicarious trauma affects workers who witness their clients’ trauma. It is more likely to occur in situations where trauma related work is the norm rather than the exception. Listening with empathy to the clients generates feeling, and seeing oneself in clients’ trauma may compound the risk for developing trauma symptoms. Trauma may also result if workers witness situations that happen in the course of their work (e.g. violence in the workplace, reviewing violent video tapes.) Risk increases with exposure and with the absence of help-seeking protective factors and pre-preparation of preventive strategies. Individuals who have a personal history of trauma are also at increased risk for developing vicarious trauma. Vicarious trauma can lead workers to develop more negative views of themselves, others, and the world as a whole, which can compromise their quality of life and ability to work effectively

Theoretical Models

Shattered Assumptions Theory

Janoff-Bulman, theorises that people generally hold three fundamental assumptions about the world that are built and confirmed over years of experience: the world is benevolent, the world is meaningful, and I am worthy. According to the shattered assumption theory, there are some extreme events that “shatter” an individual’s worldviews by severely challenging and breaking assumptions about the world and ourself. Once one has experienced such trauma, it is necessary for an individual to create new assumptions or modify their old ones to recover from the traumatic experience. Therefore, the negative effects of the trauma are simply related to our worldviews, and if we repair these views, we will recover from the trauma.

In Psychodynamics

Psychodynamic viewpoints are controversial, but have been shown to have utility therapeutically.

French neurologist, Jean-Martin Charcot, argued in the 1890s that psychological trauma was the origin of all instances of the mental illness known as hysteria. Charcot’s “traumatic hysteria” often manifested as paralysis that followed a physical trauma, typically years later after what Charcot described as a period of “incubation”. Sigmund Freud, Charcot’s student and the father of psychoanalysis, examined the concept of psychological trauma throughout his career. Jean Laplanche has given a general description of Freud’s understanding of trauma, which varied significantly over the course of Freud’s career: “An event in the subject’s life, defined by its intensity, by the subject’s incapacity to respond adequately to it and by the upheaval and long-lasting effects that it brings about in the psychical organization”.

The French psychoanalyst Jacques Lacan claimed that what he called “The Real” had a traumatic quality external to symbolization. As an object of anxiety, Lacan maintained that The Real is “the essential object which isn’t an object any longer, but this something faced with which all words cease and all categories fail, the object of anxiety par excellence”.

Fred Alford, citing the work of object relations theorist Donald Winnicott, uses the concept of inner other, and internal representation of the social world, with which one converses internally and which is generated through interactions with others. He posits that the inner other is damaged by trauma but can be repaired by conversations with others such as therapists. He relates the concept of the inner other to the work of Albert Camus viewing the inner other as that which removes the absurd. Alford notes how trauma damages trust in social relations due to fear of exploitation and argues that culture and social relations can help people recover from trauma. 

Diana Fosha, a pioneer of modern psychodynamic perspective, also argues that social relations can help people recover from trauma, but specifically refers to attachment theory and the attachment dynamic of the therapeutic relationship. Fosha argues that the sense of emotional safety and co-regulation that occurs in a psychodynamically oriented therapeutic relationship acts as the secure attachment that is necessary to allow a client to experience and process through their trauma safely and effectively.

Diagnosis

As “trauma” adopted a more widely defined scope, traumatology as a field developed a more interdisciplinary approach. This is in part due to the field’s diverse professional representation including: psychologists, medical professionals, and lawyers. As a result, findings in this field are adapted for various applications, from individual psychiatric treatments to sociological large-scale trauma management. While the field has adopted a number of diverse methodological approaches, many pose their own limitations in practical application.

The experience and outcomes of psychological trauma can be assessed in a number of ways. Within the context of a clinical interview, the risk of imminent danger to the self or others is important to address but is not the focus of assessment. In most cases, it will not be necessary to involve contacting emergency services (e.g. medical, psychiatric, law enforcement) to ensure the individuals safety; members of the individual’s social support network are much more critical.

Understanding and accepting the psychological state of an individual is paramount. There are many misconceptions of what it means for a traumatized individual to be in psychological crisis. These are times when an individual is in inordinate amounts of pain and incapable of self-comfort. If treated humanely and respectfully the individual is less likely to resort to self harm. In these situations it is best to provide a supportive, caring environment and to communicate to the individual that no matter the circumstance, the individual will be taken seriously rather than being treated as delusional. It is vital for the assessor to understand that what is going on in the traumatised person’s head is valid and real. If deemed appropriate, the assessing clinician may proceed by inquiring about both the traumatic event and the outcomes experienced (e.g. post-traumatic symptoms, dissociation, substance abuse, somatic symptoms, psychotic reactions). Such inquiry occurs within the context of established rapport and is completed in an empathic, sensitive, and supportive manner. The clinician may also inquire about possible relational disturbance, such as alertness to interpersonal danger, abandonment issues, and the need for self-protection via interpersonal control. Through discussion of interpersonal relationships, the clinician is better able to assess the individual’s ability to enter and sustain a clinical relationship.

During assessment, individuals may exhibit activation responses in which reminders of the traumatic event trigger sudden feelings (e.g. distress, anxiety, anger), memories, or thoughts relating to the event. Because individuals may not yet be capable of managing this distress, it is necessary to determine how the event can be discussed in such a way that will not “retraumatise” the individual. It is also important to take note of such responses, as these responses may aid the clinician in determining the intensity and severity of possible post traumatic stress as well as the ease with which responses are triggered. Further, it is important to note the presence of possible avoidance responses. Avoidance responses may involve the absence of expected activation or emotional reactivity as well as the use of avoidance mechanisms (e.g. substance use, effortful avoidance of cues associated with the event, dissociation).

In addition to monitoring activation and avoidance responses, clinicians carefully observe the individual’s strengths or difficulties with affect regulation (i.e. affect tolerance and affect modulation). Such difficulties may be evidenced by mood swings, brief yet intense depressive episodes, or self-mutilation. The information gathered through observation of affect regulation will guide the clinician’s decisions regarding the individual’s readiness to partake in various therapeutic activities.

Though assessment of psychological trauma may be conducted in an unstructured manner, assessment may also involve the use of a structured interview. Such interviews might include the Clinician-Administered PTSD Scale, Acute Stress Disorder Interview, Structured Interview for Disorders of Extreme Stress, Structured Clinical Interview for DSM-IV Dissociative Disorders – Revised, and Brief Interview for post-traumatic Disorders.

Lastly, assessment of psychological trauma might include the use of self-administered psychological tests. Individual scores on such tests are compared to normative data in order to determine how the individual’s level of functioning compares to others in a sample representative of the general population. Psychological testing might include the use of generic tests (e.g. MMPI-2, MCMI-III, SCL-90-R) to assess non-trauma-specific symptoms as well as difficulties related to personality. In addition, psychological testing might include the use of trauma-specific tests to assess post-traumatic outcomes. Such tests might include the post-traumatic Stress Diagnostic Scale, Davidson Trauma Scale, Detailed Assessment of post-traumatic Stress, Trauma Symptom Inventory, Trauma Symptom Checklist for Children, Traumatic Life Events Questionnaire, and Trauma-related Guilt Inventory.

Children are assessed through activities and therapeutic relationship, some of the activities are play genogram, sand worlds, colouring feelings, self and kinetic family drawing, symbol work, dramatic-puppet play, story telling, Briere’s TSCC, etc.

Definition

The Diagnostic and Statistical Manual of Mental Disorders, Fifth Edition (DSM-5) defines trauma as the symptoms that occur following exposure to an event (i.e., traumatic event) that involves actual or threatened death, serious injury, or sexual violence. This exposure could come in the form of experiencing the event or witnessing the event, or learning that an extreme violent or accidental event was experienced by a loved one. Trauma symptoms may come in the form of intrusive memories, dreams, or flashbacks; avoidance of reminders of the traumatic event; negative thoughts and feelings; or increased alertness or reactivity. Memories associated with trauma are typically explicit, coherent, and difficult to forget. Due to the complexity of the interaction between traumatic event occurrence and trauma symptomatology, a person’s distress response to aversive details of a traumatic event may involve intense fear or helplessness but ranges according to the context. In children, trauma symptoms can be manifested in the form of disorganised or agitative behaviours.

Trauma can be caused by a wide variety of events, but there are a few common aspects. There is frequently a violation of the person’s core assumptions about the world and their human rights, putting the person in a state of extreme confusion and insecurity. This is seen when institutions depended upon for survival violate, humiliate, betray, or cause major losses or separations instead of evoking aspects like positive self worth, safe boundaries and personal freedom.

Psychologically traumatic experiences often involve physical trauma that threatens one’s survival and sense of security. Typical causes and dangers of psychological trauma include harassment, embarrassment, abandonment, abusive relationships, rejection, co-dependence, physical assault, sexual abuse, partner battery, employment discrimination, police brutality, judicial corruption and misconduct, bullying, paternalism, domestic violence, indoctrination, being the victim of an alcoholic parent, the threat or the witnessing of violence (particularly in childhood), life-threatening medical conditions, and medication-induced trauma. Catastrophic natural disasters such as earthquakes and volcanic eruptions, large scale transportation accidents, house or domestic fire, motor collision, mass interpersonal violence like war, terrorist attacks or other mass victimisation like sex trafficking, being taken as a hostage or being kidnapped can also cause psychological trauma. Long-term exposure to situations such as extreme poverty or other forms of abuse, such as verbal abuse, exist independently of physical trauma but still generate psychological trauma.

Some theories suggest childhood trauma can increase one’s risk for mental disorders including post-traumatic stress disorder (PTSD), depression, and substance abuse. Childhood adversity is associated with neuroticism during adulthood. Parts of the brain in a growing child are developing in a sequential and hierarchical order, from least complex to most complex. The brain’s neurons change in response to the constant external signals and stimulation, receiving and storing new information. This allows the brain to continually respond to its surroundings and promote survival. The five traditional signals (sight, hearing, taste, smell, and touch) contribute to the developing brain structure and its function. Infants and children begin to create internal representations of their external environment, and in particular, key attachment relationships, shortly after birth. Violent and victimising attachment figures impact infants’ and young children’s internal representations. The more frequently a specific pattern of brain neurons is activated, the more permanent the internal representation associated with the pattern becomes. This causes sensitization in the brain towards the specific neural network. Because of this sensitization, the neural pattern can be activated by decreasingly less external stimuli. Child abuse tends to have the most complications, with long-term effects out of all forms of trauma, because it occurs during the most sensitive and critical stages of psychological development. It could lead to violent behaviour, possibly as extreme as serial murder. For example, Hickey’s Trauma-Control Model suggests that “childhood trauma for serial murderers may serve as a triggering mechanism resulting in an individual’s inability to cope with the stress of certain events.”

Often, psychological aspects of trauma are overlooked even by health professionals: “If clinicians fail to look through a trauma lens and to conceptualize client problems as related possibly to current or past trauma, they may fail to see that trauma victims, young and old, organize much of their lives around repetitive patterns of reliving and warding off traumatic memories, reminders, and affects.” Biopsychosocial models offer a broader view of health problems than biomedical models.

Effects

Evidence suggests that a minority of people who experience severe trauma in adulthood will experience enduring personality change. Personality changes include guilt, distrust, impulsiveness, aggression, avoidance, obsessive behaviour, emotional numbness, loss of interest, hopelessness and altered self-perception.

Treatment

A number of psychotherapy approaches have been designed with the treatment of trauma in mind—EMDR, progressive counting, somatic experiencing, biofeedback, Internal Family Systems Therapy, and sensorimotor psychotherapy, and Emotional Freedom Technique (EFT) etc. Trauma informed care provides a framework for any person in any discipline or context to promote healing, or at least not re-traumatizing.

There is a large body of empirical support for the use of cognitive behavioural therapy for the treatment of trauma-related symptoms, including post-traumatic stress disorder. Institute of Medicine guidelines identify cognitive behavioural therapies as the most effective treatments for PTSD. Two of these cognitive behavioural therapies, prolonged exposure and cognitive processing therapy, are being disseminated nationally by the Department of Veterans Affairs for the treatment of PTSD. A 2010 Cochrane review found that trauma-focused cognitive behavioural therapy was effective for individuals with acute traumatic stress symptoms when compared to waiting list and supportive counselling. Seeking Safety is another type of cognitive behavioural therapy that focuses on learning safe coping skills for co-occurring PTSD and substance use problems. While some sources highlight Seeking Safety as effective with strong research support, others have suggested that it did not lead to improvements beyond usual treatment. Recent studies show that a combination of treatments involving dialectical behaviour therapy (DBT), often used for borderline personality disorder, and exposure therapy is highly effective in treating psychological trauma. If, however, psychological trauma has caused dissociative disorders or complex PTSD, the trauma model approach (also known as phase-oriented treatment of structural dissociation) has been proven to work better than the simple cognitive approach. Studies funded by pharmaceuticals have also shown that medications such as the new antidepressants are effective when used in combination with other psychological approaches. At present, the selective serotonin reuptake inhibitor (SSRI) antidepressants sertraline (Zoloft) and paroxetine (Paxil) are the only medications that have been approved by the Food and Drug Administration (FDA) in the United States to treat PTSD. Other options for pharmacotherapy include serotonin-norepinephrine reuptake inhibitor (SNRI) antidepressants and antipsychotic medications, though none have been FDA approved.

Trauma therapy allows processing trauma-related memories and allows growth towards more adaptive psychological functioning. It helps to develop positive coping instead of negative coping and allows the individual to integrate upsetting-distressing material (thoughts, feelings and memories) and to resolve these internally. It also aids in the growth of personal skills like resilience, ego regulation, empathy, etc.

Processes involved in trauma therapy are:

  • Psychoeducation: Information dissemination and educating in vulnerabilities and adoptable coping mechanisms.
  • Emotional regulation: Identifying, countering discriminating, grounding thoughts and emotions from internal construction to an external representation.
  • Cognitive processing: Transforming negative perceptions and beliefs about self, others and environment to positive ones through cognitive reconsideration or re-framing.
  • Trauma processing: Systematic desensitization, response activation and counter-conditioning, titrated extinction of emotional response, deconstructing disparity (emotional vs. reality state), resolution of traumatic material (in theory, to a state in which triggers no longer produce harmful distress and the individual is able to express relief.)
  • Emotional processing: Reconstructing perceptions, beliefs and erroneous expectations, habituating new life contexts for auto-activated trauma-related fears, and providing crisis cards with coded emotions and appropriate cognition. (This stage is only initiated in pre-termination phase from clinical assessment and judgement of the mental health professional.)
  • Experiential processing: Visualisation of achieved relief state and relaxation methods.

A number of complementary approaches to trauma treatment have been implicated as well, including yoga and meditation. There has been recent interest in developing trauma-sensitive yoga practices, but the actual efficacy of yoga in reducing the effects of trauma needs more exploration.

In health and social care settings, a trauma informed approach means that care is underpinned by understandings of trauma and its far-reaching implications. Trauma is widespread. For example, 26% of participants in the Adverse Childhood Experiences (ACEs) study were survivors of one ACE and 12.5% were survivors of four or more ACEs. A trauma-informed approach acknowledges the high rates of trauma and means that care providers treat every person as if they might be a survivor of trauma. Measurement of the effectiveness of a universal trauma informed approach is in early stages and is largely based in theory and epidemiology.

Trauma informed teaching practice is an educative approach for migrant children from war-torn countries, who have typically experienced complex trauma, and the number of such children entering Canadian schools has led some school jurisdictions to consider new classroom approaches to assist these pupils. Along with complex trauma, these students often have experienced interrupted schooling due to the migration process, and as a consequence may have limited literacy skills in their first language. One study of a Canadian secondary school classroom, as told through journal entries of a student teacher, showed how Blaustein and Kinniburgh’s ARC (attachment, regulation and competency) framework was used to support newly arrived refugee students from war zones. Tweedie et al. (2017) describe how key components of the ARC framework, such as establishing consistency in classroom routines; assisting students to identify and self-regulate emotional responses; and enabling student personal goal achievement, are practically applied in one classroom where students have experienced complex trauma. The authors encourage teachers and schools to avoid a deficit lens to view such pupils, and suggest ways schools can structure teaching and learning environments which take into account the extreme stresses these students have encountered.

Society and Culture

Some people, and many self-help books, use the word trauma broadly, to refer to any unpleasant experience, even if the affected person has a psychologically healthy response to the experience. This imprecise language may promote the medicalisation of normal human behaviours (e.g. grief after a death) and make discussions of psychological trauma more complex, but it might also encourage people to respond with compassion to the distress and suffering of others.

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What is Psychological Resilience?

Introduction

Psychological resilience is the ability to cope mentally and emotionally with a crisis, or to return to pre-crisis status quickly.

The term was popularised in the 1970s and 1980s by psychologist Emmy Werner as she conducted a forty-year-long study of a cohort of Hawaiian children who came from low socioeconomic status backgrounds.

Numerous factors influence a person’s level of resilience. Internal factors include personal characteristics such as self-esteem, self-regulation, and a positive outlook on life. External factors include social support systems, including relationships with family, friends, and community, as well as access to resources and opportunities.

People can leverage psychological interventions and other strategies to enhance their resilience and better cope with adversity. These include cognitive-behavioural techniques, mindfulness practices, building psychosocial factors, fostering positive emotions, and promoting self-compassion.

Brief History

The first research on resilience was published in 1973. The study used epidemiology—the study of disease prevalence—to uncover the risks and the protective factors that now help define resilience. A year later, the same group of researchers created tools to look at systems that support development of resilience.

Emmy Werner was one of the early scientists to use the term resilience. She studied a cohort of children from Kauai, Hawaii. Kauai was quite poor and many of the children in the study grew up with alcoholic or mentally ill parents. Many of the parents were also out of work. Werner noted that of the children who grew up in these detrimental situations, two-thirds exhibited destructive behaviours in their later-teen years, such as chronic unemployment, substance abuse, and out-of-wedlock births (in girls). However, one-third of these youngsters did not exhibit destructive behaviours. Werner called the latter group resilient. Thus, resilient children and their families were those who, by definition, demonstrated traits that allowed them to be more successful than non-resilient children and families.

Resilience also emerged as a major theoretical and research topic in the 1980s in studies of children with mothers diagnosed with schizophrenia. A 1989 study showed that children with a schizophrenic parent may not obtain an appropriate level of comforting caregiving—compared to children with healthy parents—and that such situations often had a detrimental impact on children’s development. On the other hand, some children of ill parents thrived and were competent in academic achievement, which led researchers to make efforts to understand such responses to adversity.

Since the onset of the research on resilience, researchers have been devoted to discovering protective factors that explain people’s adaptation to adverse conditions, such as maltreatment, catastrophic life events, or urban poverty. Researchers endeavour to uncover how some factors (e.g. connection to family) may contribute to positive outcomes.

Overview

A resilient person uses “mental processes and behaviours in promoting personal assets and protecting self from the potential negative effects of stressors”. Psychological resilience is an adaptation in a person’s psychological traits and experiences that allows them to regain or remain in a healthy mental state during crises/chaos without long-term negative consequences.

It is difficult to measure and test this psychological construct because resilience can be interpreted in a variety of ways. Most psychological paradigms (biomedical, cognitive-behavioural, sociocultural, etc.) have their own perspective of what resilience looks like, where it comes from, and how it can be developed. There are numerous definitions of psychological resilience, most of which centre around two concepts: adversity and positive adaptation. Positive emotions, social support, and hardiness can influence a person to become more resilient.

A psychologically resilient person can resist adverse mental conditions that are often associated with unfavourable life circumstances. This differs from psychological recovery which is associated with returning to those mental conditions that preceded a traumatic experience or personal loss.

Research on psychological resilience has shown that it plays a crucial role in promoting mental health and well-being. Resilient people are better equipped to navigate life’s challenges, maintain positive emotions, and recover from setbacks. They demonstrate higher levels of self-efficacy, optimism, and problem-solving skills, which contribute to their ability to adapt and thrive in adverse situations.

Resilience is a “positive adaptation” after a stressful or adverse situation. When a person is “bombarded by daily stress, it disrupts their internal and external sense of balance, presenting challenges as well as opportunities.” The routine stressors of daily life can have positive impacts which promote resilience. Some psychologists believe that it is not stress itself that promotes resilience but rather the person’s perception of their stress and of their level of control. The presence of stress allows people to practice resilience. It is unknown what the correct level of stress is for each person. Some people can handle more stress than others.

Stress is experienced in a person’s life course at times of difficult life transitions, involving developmental and social change; traumatic life events, including grief and loss; and environmental pressures, encompassing poverty and community violence.

Resilience is the integrated adaptation of physical, mental, and spiritual aspects to circumstances, and a coherent sense of self that is able to maintain normative developmental tasks that occur at various stages of life. The Children’s Institute of the University of Rochester explains that “resilience research is focused on studying those who engage in life with hope and humor despite devastating losses”.

Resilience is not only about overcoming a deeply stressful situation, but also coming out of such a situation with “competent functioning”. Resiliency allows a person to rebound from adversity as a strengthened and more resourceful person.

Some characteristics associated with psychological resilience include: an easy temperament, good self-esteem, planning skills, and a supportive environment inside and outside of the family.

When an event is appraised as comprehensible (predictable), manageable (controllable), and somehow meaningful (explainable) a resilient response is more likely.

Process

Psychological resilience is commonly understood as a process. It can also be characterized as a tool a person develops over time, or as a personal trait of the person (“resiliency”). Most research shows resilience as the result of people being able to interact with their environments and participate in processes that either promote well-being or protect them against the overwhelming influence of relative risk. This research supports the model in which psychological resilience is seen as a process rather than a trait—something to develop or pursue, rather than a static endowment or endpoint.

Ray Williams believes that there are three basic ways people may react when faced with a difficult situation.

  • Respond with anger or aggression
  • Become overwhelmed and shut down
  • Feel the emotion about the situation and appropriately handle the emotion

He believes the third option helps a person promote wellness and demonstrate resilience. People who take the first or second options tend to label themselves as victims of circumstance or blame others for their misfortune. They do not effectively cope with their environment but become reactive, and they tend to cling to negative emotions. This often makes it difficult to focus on problem solving or to recover. Those who are more resilient respond to their conditions by coping, bouncing back, and looking for a solution. Williams believes that resilience can be aided by supportive social environments (such as families, communities, schools) and social policies.

Resilience can be viewed as a developmental process (the process of developing resilience), or as indicated by a response process. In the latter approach, the effects of an event or stressor on a situationally relevant indicator variable are studied, distinguishing immediate responses, dynamic responses, and recovery patterns. In response to a stressor, more-resilient people show some (but less than less-resilient people) increase in stress. The speed with which this stress response returns to pre-stressor levels is also indicative of a person’s resilience.

Biological Models

“Resilience, conceptualized as a positive bio-psychological adaptation, has proven to be a useful theoretical context for understanding variables for predicting long-term health and well-being”.

Three notable bases for resilience—self-confidence, self-esteem and self-concept – each have roots in a different nervous system—respectively, the somatic nervous system, the autonomic nervous system, and the central nervous system.

Research indicates that, like trauma, resilience is influenced by epigenetic modifications. Increased DNA methylation of the growth factor GDNF in certain brain regions promotes stress resilience, as do molecular adaptations of the blood–brain barrier.

The two neurotransmitters primarily responsible for stress buffering within the brain are dopamine and endogenous opioids, as evidenced by research showing that dopamine and opioid antagonists increased stress response in both humans and animals. Primary and secondary rewards reduce negative reactivity of stress in the brain in both humans and animals. The relationship between social support and stress resilience is thought to be mediated by the oxytocin system’s impact on the hypothalamic-pituitary-adrenal axis.

Trait Resilience

Temperamental and constitutional disposition is a major factor in resilience. It is one of the necessary precursors of resilience along with warmth in family cohesion and accessibility of prosocial support systems. There are three kinds of temperamental systems that play part in resilience: the appetitive system, defensive system, and attentional system.

Trait resilience is negatively correlated with the personality traits of neuroticism and negative emotionality, which represent tendencies to see and react to the world as threatening, problematic, and distressing, and to view oneself as vulnerable. Trait resilience is positively correlated with the personality traits of openness and positive emotionality, that represent tendencies to engage with and confront the world with confidence in success and a fair value to self-directedness.

Resilience traits are personal characteristics that express how people approach and react to events that they experience as negative. Trait resilience is generally considered via two methods: direct assessment of traits through resilience measures and proxy assessments of resilience in which existing cognate psychological constructs are used to explain resilient outcomes. Typically, trait resilience measures explore how individuals tend to react to and cope with adverse events. Proxy assessments of resilience, sometimes referred to as the buffering approach, view resilience as the antithesis of risk, focusing on how psychological processes interrelate with negative events to mitigate their effects. Possibly an individual perseverance trait, conceptually related to persistence and resilience, could also be measured behaviourally by means of arduous, difficult, or otherwise unpleasant tasks.

Developing and Sustaining Resilience

There are several theories or models that attempt to describe subcomponents, prerequisites, predictors, or correlates of resilience.

Fletcher and Sarkar found five factors that develop and sustain a person’s resilience:

  • The ability to make realistic plans and being capable of taking the steps necessary to follow through with them
  • Confidence in one’s strengths and abilities
  • Communication and problem-solving skills
  • The ability to manage strong impulses and feelings
  • having good self-esteem

Among older adults, Kamalpour et al. found that the important factors are external connections, grit, independence, self-care, self-acceptance, altruism, hardship experience, health status, and positive perspective on life.

Another study examined thirteen high-achieving professionals who seek challenging situations that require resilience, all of whom had experienced challenges in the workplace and negative life events over the course of their careers but who had also been recognised for their great achievements in their respective fields. Participants were interviewed about everyday life in the workplace as well as their experiences with resilience and thriving. The study found six main predictors of resilience: positive and proactive personality, experience and learning, sense of control, flexibility and adaptability, balance and perspective, and perceived social support. High achievers were also found to engage in many activities unrelated to their work such as engaging in hobbies, exercising, and organising meetups with friends and loved ones.

The American Psychological Association, in its popular psychology-oriented Psychology topics publication, suggests the following tactics people can use to build resilience:

  • Prioritise relationships.
  • Join a social group.
  • Take care of your body.
  • Practice mindfulness.
  • Avoid negative coping outlets (like alcohol use).
  • Help others.
  • Be proactive; search for solutions.
  • Make progress toward your goals.
  • Look for opportunities for self-discovery.
  • Keep things in perspective.
  • Accept change.
  • Maintain a hopeful outlook.
  • Learn from your past.

The idea that one can build one’s resilience implies that resilience is a developable characteristic, and so is perhaps at odds with the theory that resilience is a process.

Positive Emotions

The relationship between positive emotions and resilience has been extensively studied. People who maintain positive emotions while they face adversity are more flexible in their thinking and problem solving. Positive emotions also help people recover from stressful experiences. People who maintain positive emotions are better-defended from the physiological effects of negative emotions, and are better-equipped to cope adaptively, to build enduring social resources, and to enhance their well-being.

The ability to consciously monitor the factors that influence one’s mood is correlated with a positive emotional state. This is not to say that positive emotions are merely a by-product of resilience, but rather that feeling positive emotions during stressful experiences may have adaptive benefits in the coping process. Resilient people who have a propensity for coping strategies that concretely elicit positive emotions—such as benefit-finding and cognitive reappraisal, humour, optimism, and goal-directed problem-focused coping—may strengthen their resistance to stress by allocating more access to these positive emotional resources. Social support from caring adults encouraged resilience among participants by providing them with access to conventional activities.

Positive emotions have physiological consequences. For example, humour leads to improvements in immune system functioning and increases in levels of salivary immunoglobulin A, a vital system antibody, which serves as the body’s first line of defence in respiratory illnesses. Other health outcomes include faster injury recovery rate and lower readmission rates to hospitals for the elderly, and reductions in the length of hospital stay. One study has found early indications that older adults who have increased levels of psychological resilience have decreased odds of death or inability to walk after recovering from hip fracture surgery. In another study, trait-resilient individuals experiencing positive emotions more quickly rebounded from cardiovascular activation that was initially generated by negative emotional arousal.

Social Support

Social support is an important factor in the development of resilience. While many competing definitions of social support exist, they tend to concern one’s degree of access to, and use of, strong ties to other people who are similar to oneself. Social support requires solidarity and trust, intimate communication, and mutual obligation both within and outside the family.

Military studies have found that resilience is also dependent on group support: unit cohesion and morale is the best predictor of combat resiliency within a unit or organisation. Resilience is highly correlated with peer support and group cohesion. Units with high cohesion tend to experience a lower rate of psychological breakdowns than units with low cohesion and morale. High cohesion and morale enhance adaptive stress reactions. War veterans who had more social support were less likely to develop post-traumatic stress disorder.

Cognitive Behavioural Therapy

A number of self-help approaches to resilience-building have been developed, drawing mainly on cognitive behavioural therapy (CBT) and rational emotive behaviour therapy (REBT). For example, a group cognitive-behavioural intervention, called the Penn Resiliency Programme (PRP), fosters aspects of resilience. A meta-analysis of 17 PRP studies showed that the intervention significantly reduces depressive symptoms over time.

In CBT, building resilience is a matter of mindfully changing behaviours and thought patterns. The first step is to change the nature of self-talk—the internal monologue people have that reinforces beliefs about their self-efficacy and self-value. To build resilience, a person needs to replace negative self-talk, such as “I can’t do this” and “I can’t handle this”, with positive self-talk. This helps to reduce psychological stress when a person faces a difficult challenge. The second step is to prepare for challenges, crises, and emergencies. Businesses prepare by creating emergency response plans, business continuity plans, and contingency plans. Similarly, an individual can create a financial cushion to help with economic stressors, maintain supportive social networks, and develop emergency response plans.

Language Learning and Communication

Language learning and communication help develop resilience in people who travel, study abroad, work internationally, or in those who find themselves as refugees in countries where their home language is not spoken.

Research conducted by the British Council found a strong relationship between language and resilience in refugees. Providing adequate English-learning programmes and support for Syrian refugees builds resilience not only in the individual, but also in the host community. Language builds resilience in five ways:

  • Home language and literacy development: Development of home language and literacy helps create the foundation for a shared identity. By maintaining the home language, even when displaced, a person not only learns better in school, but enhances their ability to learn other languages. This improves resilience by providing a shared culture and sense of identity that allows refugees to maintain close relationships to others who share their identity and sets them up to possibly return one day.
  • Access to education, training, and employment: This allows refugees to establish themselves in their host country and provides more ease when attempting to access information, apply to work or school, or obtain professional documentation. Securing access to education or employment is largely dependent on language competency, and both education and employment provide security and success that enhance resilience and confidence.
  • Learning together and social cohesion: Learning together encourages resilience through social cohesion and networks. When refugees engage in language-learning activities with host communities, engagement and communication increases. Both refugee and host community are more likely to celebrate diversity, share their stories, build relationships, engage in the community, and provide each other with support. This creates a sense of belonging with the host communities alongside the sense of belonging established with other members of the refugee community through home language.
  • Addressing the effects of trauma on learning: Additionally, language programs and language learning can help address the effects of trauma by providing a means to discuss and understand. Refugees are more capable of expressing their trauma, including the effects of loss, when they can effectively communicate with their host community. Especially in schools, language learning establishes safe spaces through storytelling, which further reinforces comfort with a new language, and can in turn lead to increased resilience.
  • Building inclusivity: This is more focused on providing resources. By providing institutions or schools with more language-based learning and cultural material, the host community can learn how to better address the needs of the refugee community. This feeds back into the increased resilience of refugees by creating a sense of belonging and community.

Another study shows the impacts of storytelling in building resilience. It aligns with many of the five factors identified by the study completed by the British Council, as it emphasizes the importance of sharing traumatic experiences through language. It showed that those who were exposed to more stories, from family or friends, had a more holistic view of life’s struggles, and were thus more resilient, especially when surrounded by foreign languages or attempting to learn a new language.

Development Programmes

The Head Start programme promotes resilience, as does the Big Brothers Big Sisters Programme, Centred Coaching & Consulting, the Abecedarian Early Intervention Project, and social programmes for youth with emotional or behavioural difficulties.

The Positive Behaviour Supports and Intervention programme is a trauma-informed, resilience-based program for elementary age students. It has four components:

  • Positive reinforcements such as encouraging feedback;
  • Understanding that behaviour is a response to unmet needs or a survival response;
  • Promoting belonging, mastery, and independence; and
  • Creating an environment to support the student through sensory tools, mental health breaks, and play.

Tuesday’s Children, a family service organisation that made a long-term commitment to people who lost loved ones to 9/11 and terrorism around the world, works to build psychological resilience through programmes such as Mentoring and Project Common Bond, an eight-day peace-building and leadership initiative for people aged 15–20, from around the world, who have been directly impacted by terrorism.

Military organisations test personnel for the ability to function under stressful circumstances by deliberately subjecting them to stress during training. Those students who do not exhibit the necessary resilience can be screened out of the training. Those who remain can be given stress inoculation training. The process is repeated as personnel apply for increasingly demanding positions, such as special forces.

Other Factors

Another protective factor is related to moderating the negative effects of environmental hazards or a stressful situation in order to direct vulnerable individuals to optimistic paths, such as external social support. One study distinguished three contexts for protective factors:

  • Personal attributes, including outgoing, bright, and positive self-concepts
  • The family, such as having close bonds with at least one family member or an emotionally stable parent
  • The community, such as receiving support or counsel from peers

A study of the elderly in Zurich, Switzerland, illuminated the role humour plays to help people remain happy in the face of age-related adversity.

Research has also been conducted into individual differences in resilience. Self-esteem, ego-control, and ego-resiliency are related to behavioural adaptation. Maltreated children who feel good about themselves may process risk situations differently by attributing different reasons to the environments they experience and, thereby, avoiding negative internalised self-perceptions. Ego-control is “the threshold or operating characteristics of an individual with regard to the expression or containment”  of their impulses, feelings, and desires. Ego-resilience refers to the “dynamic capacity, to modify his or her model level of ego-control, in either direction, as a function of the demand characteristics of the environmental context” 

Demographic information (e.g. gender) and resources (e.g. social support) also predict resilience. After disaster women tend to show less resilience than men, and people who were less involved in affinity groups and organisations also showed less resilience.

Certain aspects of religions, spirituality, or mindfulness could promote or hinder certain psychological virtues that increase resilience. However, as of 2009 the “there has not yet been much direct empirical research looking specifically at the association of religion and ordinary strengths and virtues”. In a review of the literature on the relationship between religiosity/spirituality and PTSD, about half of the studies showed a positive relationship and half showed a negative relationship between measures of religiosity/spirituality and resilience. The United States Army was criticised for promoting spirituality in its Comprehensive Soldier Fitness programme as a way to prevent PTSD, due to the lack of conclusive supporting data.

Forgiveness plays a role in resilience among patients with chronic pain (but not in the severity of the pain).

Resilience is also enhanced in people who develop effective coping skills for stress. Coping skills help people reduce stress levels, so they remain functional. Coping skills include using meditation, exercise, socialization, and self-care practices to maintain a healthy level of stress.

Bibliotherapy, positive tracking of events, and enhancing psychosocial protective factors with positive psychological resources are other methods for resilience building. Increasing a person’s arsenal of coping skills builds resilience.

A study of 230 adults, diagnosed with depression and anxiety, showed that emotional regulation contributed to resilience in patients. The emotional regulation strategies focused on planning, positively reappraising events, and reducing rumination. Patients with improved resilience experienced better treatment outcomes than patients with non-resilience focused treatment plans. This suggests psychotherapeutic interventions may better handle mental disorders by focusing on psychological resilience.

Other factors associated with resilience include the capacity to make realistic plans, self-confidence and a positive self image, communications skills, and the capacity to manage strong feelings and impulses.

Children

Adverse childhood experiences (ACEs) are events that occur in a child’s life that could lead to maladaptive symptoms such as tension, low mood, repetitive and recurring thoughts, and avoidance of things associated with the adverse event.

Maltreated children who experience some risk factors (e.g. single parenting, limited maternal education, or family unemployment), show lower ego-resilience and intelligence than children who were not maltreated. Maltreated children are also more likely to withdraw and demonstrate disruptive-aggressive and internalised behaviour problems. Ego-resiliency and positive self-esteem predict competent adaptation in maltreated children.

Psychological resilience which helps overcome adverse events does not solely explain why some children experience post-traumatic growth and some do not.

Resilience is the product of a number of developmental processes over time that allow children to experience small exposures to adversity or age appropriate challenges and develop skills to handle those challenges. This gives children a sense of pride and self-worth.

Two “protective factors”—characteristics of children or situations that help children in the context of risk—are good cognitive functioning (like cognitive self-regulation and IQ) and positive relationships (especially with competent adults, like parents). Children who have protective factors in their lives tend to do better in some risky contexts. However, children do better when not exposed to high levels of risk or adversity.

There are a few protective factors of young children that are consistent over differences in culture and stressors (poverty, war, divorce of parents, natural disasters, etc.):

  • Capable parenting
  • Other close relationships
  • Intelligence
  • Self-control
  • Motivation to succeed
  • Self-confidence and self-efficacy
  • Faith, hope, belief life has meaning
  • Effective schools
  • Effective communities
  • Effective cultural practices

Ann Masten calls these protective factors “ordinary magic”—the ordinary human adaptive systems that are shaped by biological and cultural evolution. In her book, Ordinary Magic: Resilience in Development, she discusses the “immigrant paradox”, the phenomenon that first-generation immigrant youth are more resilient than their children. Researchers hypothesize that “there may be culturally based resiliency that is lost with succeeding generations as they become distanced from their culture of origin.” Another hypothesis is that those who choose to immigrate are more likely to be more resilient.

Neurocognitive Resilience

Trauma is defined as a emotional response to distressing event, and PTSD is a mental disorder the develops after a person has experienced a dangerous event, for instance car accident or environmental disaster. The findings of a study conducted on a sample of 226 individuals who had experienced trauma indicate a positive association between resilience and enhanced nonverbal memory, as well as a measure of emotional learning. The findings of the study indicate that individuals who exhibited resilience demonstrated a lower incidence of depressed and post-traumatic stress disorder (PTSD) symptoms. Conversely, those who lacked resilience exhibited a higher likelihood of experiencing unemployment and having a history of suicide attempts. The research additionally revealed that the experience of severe childhood abuse or exposure to trauma was correlated with a lack of resilience. The results indicate that resilience could potentially serve as a substitute measure for emotional learning, a process that is frequently impaired in stress-related mental disorders. This finding has the potential to enhance our comprehension of resilience.

Young Adults

Sports provide benefits such as social support or a boost in self confidence. The findings of a study investigating the correlation between resilience and symptom resolution in adolescents and young adults who have experienced sport-related concussions (SRC) indicate that individuals with lower initial resilience ratings tend to exhibit a higher number and severity of post-concussion symptoms (PCSS), elevated levels of anxiety and depression, and a delayed recovery process from SRC. Additionally, the research revealed that those who initially scored lower on resilience assessments were less inclined to describe a sense of returning to their pre-injury state and experienced more pronounced exacerbation of symptoms resulting from both physical and cognitive exertion, even after resuming sports or physical activity. This finding illustrates the significant impact that resilience can have on the process of physical and mental recovery.

Role of the Family

Family environments that are caring and stable, hold high expectations for children’s behaviour, and encourage participation by children in the life of the family are environments that more successfully foster resilience in children. Most resilient children have a strong relationship with at least one adult (not always a parent), and this relationship helps to diminish risk associated with family discord.

Parental resilience—the ability of parents to deliver competent high-quality parenting, despite the presence of risk factors—plays an important role in children’s resilience. Understanding the characteristics of quality parenting is critical to the idea of parental resilience. However, resilience research has focused on the well-being of children, with limited academic attention paid to factors that may contribute to the resilience of parents.

Even if divorce produces stress, the availability of social support from family and community can reduce this stress and yield positive outcomes.

A family that emphasizes the value of assigned chores, caring for brothers or sisters, and the contribution of part-time work in supporting the family helps to foster resilience.

Some practices that poor parents utilise help to promote resilience in families. These include frequent displays of warmth, affection, and emotional support; reasonable expectations for children combined with straightforward, not overly harsh discipline; family routines and celebrations; and the maintenance of common values regarding money and leisure. According to sociologist Christopher B. Doob:

“Poor children growing up in resilient families have received significant support for doing well as they enter the social world—starting in daycare programs and then in schooling.”

The Besht model of natural resilience-building through parenting, in an ideal family with positive access and support from family and friends, has four key markers:

  • Realistic upbringing
  • Effective risk communications
  • Positivity and restructuring of demanding situations
  • Building self efficacy and hardiness

In this model, self-efficacy is the belief in one’s ability to organize and execute the courses of action required to achieve goals and hardiness is a composite of interrelated attitudes of commitment, control, and challenge.

Role of the School

Resilient children in classroom environments work and play well, hold high expectations, and demonstrate locus of control, self-esteem, self-efficacy, and autonomy. These things work together to prevent the debilitating behaviours that are associated with learned helplessness.

Research on Mexican–American high school students found that a sense of belonging to school was the only significant predictor of academic resilience, though a sense of belonging to family, a peer group, and a culture can also indicate higher academic resilience. “Although cultural loyalty overall was not a significant predictor of resilience, certain cultural influences nonetheless contribute to resilient outcomes, like familism and cultural pride and awareness.” The results “indicate a negative relationship between cultural pride and the ethnic homogeneity of a school.” The researchers hypothesize that “ethnicity becomes a salient and important characteristic in more ethnically diverse settings”.

A strong connection with one’s cultural identity is an important protective factor against stress and is indicative of increased resilience.[citation needed] While classroom resources have been created to promote resilience in students, the most effective ways to ensure resilience in children is by protecting their natural adaptive systems from breaking down or being hijacked. At home, resilience can be promoted through a positive home environment and emphasizing cultural practices and values. In school, this can be done by ensuring that each student develops and maintains a sense of belonging to the school through positive relationships with classroom peers and a caring teacher. A sense of belonging—whether it be in a culture, family, or another group—predicts resiliency against any given stressor.

Role of the Community

Communities play a role in fostering resilience. The clearest sign of a cohesive and supportive community is the presence of social organisations that provide healthy human development. Services are unlikely to be used unless there is good communication about them. Children who are repeatedly relocated do not benefit from these resources, as their opportunities for resilience-building community participation are disrupted with every relocation.

Outcomes in Adulthood

Patients who show resilience to adverse events in childhood may have worse outcomes later in life. A study in the American Journal of Psychiatry interviewed 1420 participants with a Child and Adolescent Psychiatric Assessment up to 8 times as children. Of those 1,266 were interviewed as adults, and this group had higher risks for anxiety, depression and problems with work or education. This was accompanied by worse physical health outcomes. The study authors posit that the goal of public health should be to reduce childhood trauma, and not promote resilience.

Specific Situations

Divorce

Cultivating resilience may be beneficial to all parties involved in divorce. The level of resilience a child will experience after their parents have split is dependent on both internal and external variables. Some of these variables include their psychological and physical state and the level of support they receive from their schools, friends, and family friends. Children differ by age, gender, and temperament in their capacity to cope with divorce. About 20–25% of children “demonstrate severe emotional and behavioral problems” when going through a divorce, compared to 10% of children exhibiting similar problems in married families. Despite this, approximately 75–80% of these children will “develop into well-adjusted adults with no lasting psychological or behavioural problems”. This goes to show that most children have the resilience needed to endure their parents’ divorce.

The effects of the divorce extend past the separation of the parents. Residual conflict between parents, financial problems, and the re-partnering or remarriage of parents can cause stress. Studies have shown conflicting results about the effect of post-divorce conflict on a child’s healthy adjustment. Divorce may reduce children’s financial means and associated lifestyle. For example, economising may mean a child cannot continue to participate in extracurricular activities such as sports and music lessons, which can be detrimental to their social lives.

A parent’s re-partnering or remarrying can add conflict and anger to a child’s home environment. One reason re-partnering causes additional stress is because of the lack of clarity in roles and relationships; the child may not know how to react and behave with this new quasi-parent figure in their life. Bringing in a new partner/spouse may be most stressful when done shortly after the divorce. Divorce is not a single event, but encompasses multiple changes and challenges. Internal factors promote resiliency in the child, as do external factors in the environment. Certain programs such as the 14-week Children’s Support Group and the Children of Divorce Intervention Programme may help a child cope with the changes that occur from a divorce.

Bullying

Beyond preventing bullying, it is also important to consider interventions based on emotional intelligence when bullying occurs. Emotional intelligence may foster resilience in victims. When a person faces stress and adversity, especially of a repetitive nature, their ability to adapt is an important factor in whether they have a more positive or negative outcome.

One study examining adolescents who illustrated resilience to bullying found higher behavioural resilience in girls and higher emotional resilience in boys. The study’s authors suggested the targeting of psychosocial skills as a form of intervention. Emotional intelligence promotes resilience to stress and the ability to manage stress and other negative emotions can restrain a victim from going on to perpetuate aggression. Emotion regulation is an important factor in resilience. Emotional perception significantly facilitates lower negative emotionality during stress, while emotional understanding facilitates resilience and correlates with positive affect.

Natural Disasters

Resilience after a natural disaster can be gauged on an individual level (each person in the community), a community level (everyone collectively in the affected locality), and on a physical level (the locality’s environment and infrastructure).

UNESCAP-funded research on how communities show resiliency in the wake of natural disasters found that communities were more physically resilient if community members banded together and made resiliency a collective effort. Social support, especially the ability to pool resources, is key to resilience. Communities that pooled social, natural, and economic resources were more resilient and could overcome disasters more quickly than communities that took a more individualistic approach.

The World Economic Forum met in 2014 to discuss resiliency after natural disasters. They concluded that countries that are more economically sound, and whose members can diversify their livelihoods, show higher levels of resiliency. As of 2014 this had not been studied in depth, but the ideas discussed in this forum appeared fairly consistent with existing research.

Individual resilience in the wake of natural disasters can be predicted by the level of emotion the person experienced and was able to process during and following the disaster. Those who employ emotional styles of coping were able to grow from their experiences and to help others. In these instances, experiencing emotions was adaptive. Those who did not engage with their emotions and who employed avoidant and suppressive coping styles had poorer mental health outcomes following disaster.

Death of a Family Member

As of 2006 little research had been done on the topic of family resilience in the wake of the death of a family member. Clinical attention to bereavement has focused on the individual mourning process rather than on the family unit as a whole. Resiliency in this context is the “ability to maintain a stable equilibrium” that is conducive to balance, harmony, and recovery. Families manage familial distortions caused by the death of the family member by reorganising relationships and changing patterns of functioning to adapt to their new situation. People who exhibiting resilience in the wake of trauma can successfully traverse the bereavement process without long-term negative consequences.

One of the healthiest behaviours displayed by resilient families in the wake of a death is honest and open communication. This facilitates an understanding of the crisis. Sharing the experience of the death can promote immediate and long-term adaptation. Empathy is a crucial component in familial resilience because it allows mourners to understand other positions, tolerate conflict, and grapple with differences that may arise. Another crucial component to resilience is the maintenance of a routine that binds the family together through regular contact and order. The continuation of education and a connection with peers and teachers at school is an important support for children struggling with the death of a family member.

Professional Settings

Resilience has been examined in the context of failure and setbacks in workplace settings. Psychological resilience is one of the core constructs of positive organisational behaviour and has captured scholars’ and practitioners’ attention. Research has highlighted certain personality traits, personal resources (e.g. self-efficacy, work-life balance, social competencies), personal attitudes (e.g. sense of purpose, job commitment), positive emotions, and work resources (e.g. social support, positive organisational context) as potential facilitators of workplace resilience.

Attention has also been directed to the role of resilience in innovative contexts. Due to high degrees of uncertainty and complexity in the innovation process, failure and setbacks happen frequently in this context. These can harm affected individuals’ motivation and willingness to take risks, so their resilience is essential for them to productively engage in future innovative activities. A resilience construct specifically aligned to the peculiarities of the innovation context was needed to diagnose and develop innovators’ resilience: Innovator Resilience Potential (IRP). Based on Bandura’s social cognitive theory, IRP has six components: self-efficacy, outcome expectancy, optimism, hope, self-esteem, and risk propensity. It reflects a process perspective on resilience: IRP can be interpreted either as an antecedent of how a setback affects an innovator, or as an outcome of the process that is influenced by the setback situation. A measurement scale of IRP was developed and validated in 2018.

Cultural Differences

There is controversy about the indicators of good psychological and social development when resilience is studied across different cultures and contexts. The American Psychological Association’s Task Force on Resilience and Strength in Black Children and Adolescents, for example, notes that there may be special skills that these young people and families have that help them cope, including the ability to resist racial prejudice. Researchers of indigenous health have shown the impact of culture, history, community values, and geographical settings on resilience in indigenous communities. People who cope may also show “hidden resilience” when they do not conform with society’s expectations for how someone is supposed to behave (for example, in some contexts aggression may aid resilience, or less emotional engagement may be protective in situations of abuse).

Resilience in individualist and Collectivist Communities

Individualist cultures, such as those of the US, Austria, Spain, and Canada, emphasize personal goals, initiatives, and achievements. Independence, self-reliance, and individual rights are highly valued by members of individualistic cultures. The ideal person in individualist societies is assertive, strong, and innovative. People in this culture tend to describe themselves in terms of their unique traits—”I am analytical and curious”. Economic, political, and social policies reflect the culture’s interest in individualism.

Collectivist cultures, such as those of Japan, Sweden, Turkey, and Guatemala, emphasize family and group work goals. The rules of these societies promote unity, brotherhood, and selflessness. Families and communities practice cohesion and cooperation. The ideal person in collectivist societies is trustworthy, honest, sensitive, and generous—emphasizing intrapersonal skills. Collectivists tend to describe themselves in terms of their roles—”I am a good husband and a loyal friend”.

In a study on the consequences of disaster on a culture’s individualism, researchers operationalised these cultures by identifying indicative phrases in a society’s literature. Words that showed the theme of individualism include, “able, achieve, differ, own, personal, prefer, and special.” Words that indicated collectivism include, “belong, duty, give, harmony, obey, share, together.”

Differences in Response to Natural Disasters

Natural disasters threaten to destroy communities, displace families, degrade cultural integrity, and diminish an individual’s level of functioning. Comparing individualist community reactions to collectivist community responses after natural disasters illustrates their differences and respective strengths as tools of resilience.

Some suggest that because disasters strengthen the need to rely on other people and social structures, they reduce individual agency and the sense of autonomy, and so regions with heightened exposure to disaster should cultivate collectivism. However, interviews with and experiments on disaster survivors indicate that disaster-induced anxiety and stress decrease one’s focus on social-contextual information—a key component of collectivism. So disasters may increase individualism.

In a study into the association between socio-ecological indicators and cultural-level change in individualism, for each socio-ecological indicator, frequency of disasters was associated with greater (rather than less) individualism. Supplementary analyses indicated that the frequency of disasters was more strongly correlated with individualism-related shifts than was the magnitude of disasters or the frequency of disasters qualified by the number of deaths.

Baby-naming is one indicator of change. Urbanisation was linked to preference for uniqueness in baby-naming practices at a one-year lag, secularism was linked to individualist shifts in interpersonal structure at both lags, and disaster prevalence was linked to more unique naming practices at both lags. Secularism and disaster prevalence contributed mainly to shifts in naming practices.

Disaster recovery research focuses on psychology and social systems but does not adequately address interpersonal networking or relationship formation and maintenance. One disaster response theory holds that people who use existing communication networks fare better during and after disasters. Moreover, they can play important roles in disaster recovery by organising and helping others use communication networks and by coordinating with institutions.

Building strong, self-reliant communities whose members know each other, know each other’s needs, and are aware of existing communication networks, is a possible source of resilience in disasters.

Individualist societies promote individual responsibility for self-sufficiency; collectivist culture defines self-sufficiency within an interdependent communal context. Even where individualism is salient, a group thrives when its members choose social over personal goals and seek to maintain harmony, and where they value collectivist over individualist behaviour.

The Concept of Resilience in Language

While not all languages have a direct translation for the English word “resilience”, nearly every culture has a word that relates to a similar concept, suggesting a common understanding of what resilience is. Even if a word does not directly translate to “resilience” in English, it relays a meaning similar enough to the concept and is used as such within the language.

If a specific word for resilience does not exist in a language, speakers of that language typically assign a similar word that insinuates resilience based on context. Many languages use words that translate to “elasticity” or “bounce”, which are used in context to capture the meaning of resilience. For example, one of the main words for “resilience” in Chinese literally translates to “rebound”, one of the main words for “resilience” in Greek translates to “bounce” (another translates to “cheerfulness”), and one of the main words for “resilience” in Russian translates to “elasticity,” just as it does in German. However, this is not the case for all languages. For example, if a Spanish speaker wanted to say “resilience”, their main two options translate to “resistance” and “defense against adversity”. Many languages have words that translate better to “tenacity” or “grit” better than they do to “resilience”. While these languages may not have a word that exactly translates to “resilience”, English speakers often use the words tenacity or grit when referring to resilience. Arabic has a word solely for resilience, but also two other common expressions to relay the concept, which directly translate to “capacity on deflation” or “reactivity of the body”, but are better translated as “impact strength” and “resilience of the body” respectively. A few languages, such as Finnish, have words that express resilience in a way that cannot be translated back to English. In Finnish, the word and concept “sisu” has been recently studied by a designated Sisu Scale, which is composed of both beneficial and harmful sides of sisu. Sisu, measured by the Sisu Scale, has correlations with English language equivalents, but the harmful side of sisu does not seem to have any corresponding concept in English-language-based scales. Sometimes sisu has been translated to “grit” in English; sisu blends the concepts of resilience, tenacity, determination, perseverance, and courage into one word that has become a facet of Finnish culture.

Measurement

Direct Measurement

Resilience is measured by evaluating personal qualities that reflect people’s approach and response to negative experiences. Trait resilience is typically assessed using two methods: direct evaluation of traits through resilience measures, and proxy assessment of resilience, in which related psychological constructs are used to explain resilient outcomes.

There are more than 30 resilience measures that assess over 50 different variables related to resilience, but there is no universally accepted “gold standard” for measuring resilience.

Five of the established self-report measures of psychological resilience are:

  • Ego Resiliency Scale: Measures a person’s ability to exercise control over their impulses or inhibition in response to environmental demands, with the aim of maintaining or enhancing their ego equilibrium.
  • Hardiness Scale: Encompasses three main dimensions: (1) commitment (a conviction that life has purpose), (2) control (confidence in one’s ability to navigate life), and (3) challenge (aptitude for and pleasure in adapting to change)
  • Psychological Resilience Scale: Assesses a “resilience core” characterized by five traits (purposeful life, perseverance, self-reliance, equanimity, and existential aloneness) that reflect an individual’s physical and mental resilience throughout their lifespan
  • Connor-Davidson Resilience Scale: Developed in a clinical treatment setting that conceptualized resilience as arising from four factors: (1) control, commitment, and change hardiness constructs
  • Brief Resilience Scale: Assesses resilience as the capacity to bounce back from unfavourable circumstances

The Resilience Systems Scales was produced to investigate and measure the underlying structure of the 115 items from these five most-commonly cited trait resilience scales in the literature. Three strong latent factors account for most of the variance accounted for by the five most popular resilience scales, and replicated ecological systems theory:

  • Engineering resilience: The capability of a system to quickly and effortlessly restore itself to a stable equilibrium state after a disruption, as measured by its speed and ease of recovery.
  • Ecological resilience: The capacity of a system to endure or resist disruptions while preserving a steady state and adapting to necessary changes in its functioning.
  • Adaptive capacity: The ability to continuously adjust functions and processes in order to be ready to adapt to any disruption.

‘Proxy’ Measurement

Resilience literature identifies five main trait domains that serve as stress-buffers and can be used as proxies to describe resilience outcomes:

  • Personality: A resilient personality includes positive expressions of the five-factor personality traits such as high emotional stability, extraversion, conscientiousness, openness, and agreeableness.
  • Cognitive abilities and executive functions: Resilience is identified through effective use of executive functions and processing of experiential demands, or through an overarching cognitive mapping system that integrates information from current situations, prior experience, and goal-driven processes.
  • Affective systems, which include emotional regulation systems: Emotion regulation systems are based on the broaden-and-build theory, in which there is a reciprocal relationship between trait resilience and positive emotional functioning through emotional management, coping, and regulation achieved by means of attention control, cognitive reappraisal, and coping strategies.
  • Eudaimonic well-being: resilience emerges from natural well-being processes (e.g. autonomy, purpose in life, environmental mastery) and underlying genetic and neural substrates and acts as a protective resilient factor across life-span transitions.
  • Health systems: This also reflects the broaden-and-build theory, where there is a reciprocal relationship between trait resilience and positive health functioning through the promotion of feeling capable to deal with adverse health situations.

Mixed Model

A mixed model of resilience can be derived from direct and proxy measures of resilience. A search for latent factors among 61 direct and proxy resilience assessments, suggested four main factors:

  • Recovery: Resilience scales that focus on recovery, such as engineering resilience, align with reports of stability in emotional and health systems. The most fitting theoretical framework for this is the broaden-and-build theory of positive emotions. This theory highlights how positive emotions can foster resilient health systems and enable individuals to recover from setbacks.
  • Sustainability: Resilience scales that reflect “sustainability,” such as engineering resilience, align with conscientiousness, lower levels of dysexecutive functioning, and five dimensions of eudaimonic well-being. Theoretically, resilience is the effective use of executive functions and processing of experiential demands (also known as resilient functioning), where an overarching cognitive mapping system integrates information from current situations, prior experience, and goal-driven processes (known as the cognitive model of resilience).
  • Adaptability resilience: Resilience scales that assess adaptability, such as adaptive capacity, are associated with higher levels of extraversion (such as being enthusiastic, talkative, assertive, and gregarious) and openness-to-experience (such as being intellectually curious, creative, and imaginative). These personality factors are often reported to form a higher-order factor known as “beta” or “plasticity”, which reflects a drive for growth, agency, and reduced inhibition by preferring new and diverse experiences while reducing fixed patterns of behaviour. These findings suggest that adaptability can be seen as a complement to growth, agency, and reduced inhibition.
  • Social cohesion: Several resilience measures converge to suggest an underlying social cohesion factor, in which social support, care, and cohesion among family and friends (as featured in various scales within the literature) form a single latent factor.

These findings point to the possibility of adopting a “mixed model” of resilience in which direct assessments of resilience could be employed alongside cognate psychological measures to improve the evaluation of resilience.

Criticism

As with other psychological phenomena, there is controversy about how resilience should be defined. Its definition affects research focuses; differing or imprecise definitions lead to inconsistent research. Research on resilience has become more heterogeneous in its outcomes and measures, convincing some researchers to abandon the term altogether due to it being attributed to all outcomes of research where results were more positive than expected.

There is also disagreement among researchers as to whether psychological resilience is a character trait or state of being. Psychological resilience has also been referred to as ecological concept, ranging from micro to macro levels of interpretation.

However, it is generally agreed upon that resilience is a buildable resource. There is also evidence that resilience can indicate a capacity to resist a sharp decline in other harm even though a person temporarily appears to get worse. Adolescents who have a high level of adaptation (i.e. resilience) tend to struggle with dealing with other psychological problems later on in life. This is due to an overload of their stress response systems. There is evidence that the higher one’s resilience is, the lower one’s vulnerability.

Brad Evans and Julian Reid criticise resilience discourse and its rising popularity in their book, Resilient Life. The authors assert that policies of resilience can put the onus of disaster response on individuals rather than publicly coordinated efforts. Tied to the emergence of neoliberalism, climate change, third-world development, and other discourses, Evans and Reid argue that promoting resilience draws attention away from governmental responsibility and towards self-responsibility and healthy psychological effects such as post-traumatic growth.

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What is Flourishing?

Introduction

Flourishing, or human flourishing, is the complete goodness of humans in a developmental life-span, that somehow includes positive psychological functioning and positive social functioning, along with other basic goods.

The term has gained more usage and interest in recent times, but is rooted in ancient philosophical and theological usages. Aristotle’s term eudaimonia is one source for understanding human flourishing. The Hebrew Scriptures, or the Old Testament, also speak of flourishing, as they compare the just person to a growing tree. Christian Scriptures, or the New Testament, build upon Jewish usage and speak of flourishing as it can exist in heaven. The medieval theologian Thomas Aquinas drew from Aristotle as well as the Bible, and utilised the notion of flourishing in his philosophical theology. More recently, the Positive Psychology of Martin Seligman, Corey Keyes, Barbara Fredrickson, and others, have expanded and developed the notion of human flourishing.

Empirical studies, such as those of the Harvard Human Flourishing Program, and practical applications, indicate the importance of the concept and the increasingly widespread use of the term in business, economics, and politics. In positive psychology, flourishing is “when people experience positive emotions, positive psychological functioning and positive social functioning, most of the time,” living “within an optimal range of human functioning.” It is a descriptor and measure of positive mental health and overall life well-being, and includes multiple components and concepts, such as cultivating strengths, subjective well-being, “goodness, generativity, growth, and resilience.” In this view, flourishing is the opposite of both pathology and languishing, which are described as living a life that feels hollow and empty.

Etymology and Definition

Although “flourishing” could refer to the general healthy state of a plant as it grows, properly speaking it is the stage in a vascular plant’s morphogenesis, specifically the stage of growth when it develops flowers.

Etymology

The English term “flourish” comes from the Latin florere, “to bloom, blossom, flower,” from the Latin flos, “a flower.” To contrast the term with a plant’s lack of full development, “flourish” came to indicate growth or development with vigour. Around 1597, the term came to include the notion of prosperity, insofar as a to bear flowers is an indication of the fullness of life and productivity.

Definitions

As an obvious consequence of the widespread use of the term “flourishing” in different fields and by different authors, there is not a general consensus about a definition of flourishing.

For instance, there is also a lot of debate about the mutual relations between flourishing and some related concepts, as the Aristotelian concept of eudaimonia, and the concepts of happiness and well-being. According to a Neo-Aristotelian view, the concept of human flourishing offers an explanation of the human good that is objective, inclusive, individualized, agent-relative, self-directed and social. It views human flourishing objectively because it is desirable and appealing. Flourishing is a state of being rather than a feeling or experience. It comes from engaging in activities that both express and produce the actualization of one’s potential.

According to some voices in Positive Psychology, flourishing is a “descriptor of positive mental health.” According to Fredrickson and Losada, flourishing is living:”

…within an optimal range of human functioning, one that connotes goodness, generativity, growth, and resilience.”

According to the Mental Health Foundation of New Zealand (Fredrickson & Lahoda, 2005), flourishing:”

…is a state where people experience positive emotions, positive psychological functioning and positive social functioning, most of the time. In more philosophical terms this means access to the pleasant life, the engaged or good life and the meaningful life […] It requires the development of attributes and social and personal levels that exhibit character strengths and virtues that are commonly agreed across different cultures (Seligman, Steen, Park and Peterson, 2005). On the other hand languishing includes states of experience where people describe their lives as “hollow” or “empty”.

According to Keyes, mental health does not imply an absence of mental illness. Rather, mental health is a “separate dimension of positive feelings and functioning.” Individuals described as flourishing have a combination of high levels of emotional well-being, psychological well-being, and social well-being. Flourishing people are happy and satisfied; they tend to see their lives as having a purpose; they feel some degree of mastery and accept all parts of themselves; they have a sense of personal growth in the sense that they are always growing, evolving, and changing; finally, they have a sense of autonomy and an internal locus of control, they chose their fate in life instead of being victims of fate.

Psychologist Martin Seligman, one of the founding fathers of happiness research, wrote in his book, Flourish, a new model for happiness and well-being based on positive psychology. This book expounds on simple exercises that anyone can do to create a happier life and to flourish. Flourish, is a tool to understand happiness by emphasizing how the five pillars of Positive Psychology, also known as PERMA, increase the quality of life for people who apply it to their lives.

According to Fredrickson and Losada (2005), flourishing is characterised by four main components: goodness, generative, growth, and resilience.

According to Keyes, only 18.1% of Americans are actually flourishing. The majority of Americans can be classified as mentally unhealthy (depressed) or not mentally healthy or flourishing (moderately mentally healthy/languishing).

Tyler J. VanderWeele, a prominent epidemiologist and expert in biostatistics who has extensively studied human flourishing, has proposed the following, quite different, definition:

Flourishing itself might be understood as a state in which all aspects of a person’s life are good. We might also refer to such a state as complete human well-being, which is again arguably a broader concept than psychological well-being. Conceptions of what constitutes flourishing will be numerous and views on the concept will differ. However, I would argue that, regardless of the particulars of different understandings, most would concur that flourishing, however conceived, would, at the very least, require doing or being well in the following five broad domains of human life: (i) happiness and life satisfaction; (ii) health, both mental and physical; (iii) meaning and purpose; (iv) character and virtue; and (v) close social relationships. All are arguably at least a part of what we mean by flourishing. […]If, however, we think about flourishing not only as a momentary state but also as something that is sustained over time, then one might also argue that a state of flourishing should be such that resources, financial and otherwise, are sufficiently stable so that what is going well in each of these five domains is likely to continue into the future for some time to come.[…] I would in no way claim that these domains above entirely characterize flourishing. […] I would only argue here that, whatever else flourishing might consist in, these five domains above would also be included, and thus these five domains above may provide some common ground for discussion.

Summary

To summarise the definitions above: Human flourishing is the ongoing fulfilment of human capacities within given contexts by advancing one’s own good and the common good.

In order to better understand this synthesis, one has to keep in mind that, in the view of Aristotle and Thomas Aquinas, a capacity of a being is a potential stemming from its nature to perform certain kinds of activities, or to undergo certain kinds of changes in accordance with its inner dynamism. For instance, the capacity to bear fruit or the capacity to grow are within a tree’s natural potential. On the other hand, the common good is some good—whether material or non-material—that has four characteristics: it is specific, in the sense that it is not general good-in-itself; it is objective, that is, it exists outside of the individual and is independent from the existence of any particular person; it is collective, for it exists only within some community; it is shareable, that is, many people can participate, enjoy, or use it simultaneously.

Aristotle and Flourishing

Aristotle and Biology

The Greek philosopher, Aristotle, contributed greatly to a deeper understanding of flourishing as a model for human life. Better-known for his work in metaphysics and logic, he was nevertheless a biologist first and foremost. His understanding of the development of flora and fauna, seen especially in his work Generation of Animals, provided a scientific background for recognising a similar development in the human being.

Eudaimonia

Aristotle’s term for the optimal state of the human being is eudaimonia (Greek: εὐδαίμονία). He gives various definitions and descriptions of eudaimonia, in the Nicomachean Ethics, the Eudemian Ethics, and in his Politics, among which:

  • “The active exercise of his soul’s faculties in conformity with excellence or virtue, or if there be several human excellences or virtues, in conformity with the best and most perfect among them. Moreover this activity must occupy a complete lifetime; for one swallow does not make spring, nor does one fine day; and similarly one day or a brief period of happiness does not make a man supremely blessed and happy.”
  • “Happiness therefore is co-extensive in its range with contemplation: the more a class of beings possesses the faculty of contemplation, the more it enjoys happiness, not as an accidental concomitant of contemplation but as inherent in it, since contemplation is valuable in itself. It follows that happiness is some form of contemplation.”
  • “So, as the function of the soul and of its excellence must be one and the same, the function of its excellence is a good life. This, then, is the final good, that we agreed to be happiness. It is evident from our assumptions (happiness was assumed to be the best thing, and ends-the best among goods-are in the soul; but things in the soul are states or activities), since the activity is better than the disposition, and the best activity is of the best state, and virtue is the best state, that the activity of the virtue of the soul must be the best thing. But happiness too was said to be the best thing: so happiness is the activity of a good soul. Now as happiness was agreed to be something complete, and life may be complete or incomplete-and this holds with excellence also (in the one case it is total, in the other partial)-and the activity of what is incomplete is itself incomplete, happiness must be activity of a complete life in accordance with complete virtue.”
  • “Happiness is the complete activity and employment of virtue, and this not conditionally but absolutely. When I say ‘conditionally’ I refer to things necessary, by ‘absolutely’ I mean ‘nobly: for instance, to take the case of just actions, just acts of vengeance and of punishment spring it is true from virtue, but are necessary, and have the quality of nobility only in a limited manner (since it would be preferable that neither individual nor state should have any need of such things), whereas actions aiming at honours and resources are the noblest actions absolutely; for the former class of acts consist in the removal of something evil, but actions of the latter kind are the opposite – they are the foundation and the generation of things good.”

Sometimes eudaimonia is translated as “happiness”; other times, as “welfare” or “well-being,” showing that no translation is fully adequate to capture its meaning in Greek.

Philosopher Joe Sachs emphasizes the importance of the activity of eudaimonia, a “being-at-work” of the human soul. This indicates that “flourishing” can adequately translate eudaimonia, insofar as the term signifies the dynamism of the principle of life and growth within a human.

Positive Psychology and Flourishing

Brief History

“Flourishing” as a psychological concept has been developed by Corey Keyes and Barbara Fredrickson.

Keyes collaborated with Carol Ryff in testing her Six-factor Model of Psychological Well-being, and in 2002 published his theoretical considerations in an article on The Mental Health Continuum: From Languishing to Flourishing. qualified by Fredrickson as “path-breaking work that measures mental health in positive terms rather than by the absence of mental illness.”

Barbara Fredrickson developed the broaden-and-build theory of positive emotions. According to Fredrickson there is a wide variety of positive effects that positive emotions and experiences have on human lives. Fredrickson notes two characteristics of positive emotions that differ from negative emotions:

  1. Positive emotions do not seem to elicit specific action tendencies the same way that negative emotions do. Instead, they seem to cause some general, non-direction oriented activation.
  2. Positive emotions do not necessarily facilitate physical action, but do spark significant cognitive action. For this reason, Fredrickson conceptualises two new concepts: thought-action tendencies, or what a person normally does in a particular situation, and thought-action repertoires, rather an inventory of skills of what a person is able to do.

Previous theories of emotion stated that all emotions are associated with urges to act in particular ways, called action-tendencies. According to Fredrickson, most positive emotions do not follow this model of action-tendencies, since they do not usually occur in life-threatening circumstances and thus do not generally elicit specific urges. Fredrickson proposes that instead of one general theory of emotions, psychologists should develop theories for each emotion or for subsets of emotions.

The broaden-and-build theory of positive emotions proposed by Fredrickson states that while negative emotions narrow thought-action tendencies to time tested strategies as handed down by evolution, positive emotions broaden thought-action repertoires. Positive emotions often cause people to discard time-tested or automatic action tendencies and pursue novel, creative, and often unscripted courses of thought and action. These positive emotions and thought-action repertoires can be seen as applicable to the concept of flourishing because flourishing children and adults have a much wider array of cognitive, physical, and social possibilities, which results in the empirical and actual successes of a flourishing life.

The concept has also been used by Martin E.P. Seligman, the founder of positive psychology, in his 2011 publication Flourish. Seligman, usually considered the father of positive psychology, characterizes human flourishing as excellence in 5 fields: positive emotion, engagement, relationships, meaning, and achievement. Consequently, his model of human flourishing is usually called the PERMA model. He claims also that health is an essential element of flourishing, but he presents a quite vast notion of health, including biological assets (e.g. the hormone oxytocin, longer DNA telomeres), subjective assets (e.g. optimism, vitality), and functional assets (good marriage, rich friendships, engaging work). Although Seligman’s PERMA model is certainly useful for psychological studies on flourishing, it doesn’t capture the essence of human flourishing, since it may allow us to consider as flourishing evidently evil people, as brutal dictators, if they test good in these five fields. To avoid this misunderstanding of human flourishing, Seligman himself, and also other thinkers as Christopher Peterson, have also discussed what they call “character strengths” or “virtues.”. Seligman gives the following definition of flourishing:

To flourish is to find fulfilment in our lives, accomplishing meaningful and worthwhile tasks, and connecting with others at a deeper level—in essence, living the “good life”.

Measurement and Diagnostic Criteria

With the concept of flourishing, psychologists can study and measure fulfilment, purpose, meaning, and happiness. Flourishing can be measured through self-report measures. Individuals are asked to respond to structured scales measuring the presence of positive affect, absence of negative affect, and perceived satisfaction with life. Participants are specifically asked about their emotions and feelings because scientists theorize that flourishing is something that manifests itself internally rather than externally.

Keyes has operationalized symptoms of positive feelings and positive functioning in life by reviewing dimensions and scales of subjective well-being and, therefore, creating a definition of flourishing. To complete, or “operationalize”, the definition of what it means to be functioning optimally, or flourishing, diagnostic criteria have been developed for a flourishing life:

  1. Individual must have had no episodes of major depression in the past year
  2. Individual must possess a high level of well-being as indicated by the individuals meeting all three of the following criteria
    • High emotional well-being, defined by 2 of 3 scale scores on appropriate measures falling in the upper tertile.
      • Positive affect
      • Negative affect (low)
      • Life satisfaction
    • High psychological well-being, defined by 4 of 6 scale scores on appropriate measures falling in the upper tertile.
      • Self-acceptance
      • Personal growth
      • Purpose in life
      • Environmental mastery
      • Autonomy
      • Positive relations with others
    • High social well-being, defined by 3 of 5 scale scores on appropriate measures falling in the upper tertile.
      • Social acceptance
      • Social actualisation
      • Social contribution
      • Social coherence
      • Social integration

Major Empirical Findings

Positive emotional feelings such as moods, and sentiments such as happiness, carry more personal and psychological benefits than just a pleasant, personal subjective experience. Flourishing widens attention, broaden behavioural repertoires, which means to broaden one’s skills or regularly performed actions, increase intuition, and increase creativity. Secondly, good feelings can have physiological manifestations, such as significant and positive cardiovascular effects, such as a reduction in blood pressure. Third, good feelings predict healthy mental and physical outcomes. Also, positive affect and flourishing is related to longevity. In a 2022 study of intrusive thoughts and flourishing, Jesse Omoregie and Jerome Carson found that people who experience flourishing would usually experience minimal intrusive thoughts. Omoregie and Carson further concluded that flourishing is a variable that helps in the reduction of psychological problems such as anxiety, depression, and intrusive thoughts.

The many components of flourishing elicit more tangible outcomes than simply mental or physiological results. For example, components such as self-efficacy, likability, and prosocial behaviour encourage active involvement with goal pursuits and with the environment. This promotes people to pursue and approach new and different situations. Therefore, flourishing adults have higher levels of motivation to work actively to pursue new goals and are in possession of more past skills and resources. This helps people to satisfy life and societal goals, such as creating opportunities, performing well in the workplace, and producing goods, work and careers that are highly valued in American society. Authors, Robert Kegan and Lisa Laskow Lahey, in their book, An Everyone Culture, “argues that organizations do best when they build an environment that encourages constant personal development among their employees.” This success results in higher satisfaction and reinforces Frederickson’s Broaden and Build model, for more positive adults reap more benefits and, are more positive, which creates an upward spiral.

Studies have shown that people who are flourishing are more likely to graduate from college, secure “better” jobs, and are more likely to succeed in that job. One reason for this success can be seen in the evidence offered above when discussing languishing: those that flourish have less work absenteeism, cited by Lyubomirsky as “job withdrawal.” Finally, those that are flourishing have more support and assistance from co-workers and supervisors in their workplace.

Flourishing has been found to impact more areas than simply the workplace. In particular community involvement and social relationships have been cited as something that flourishing influences directly. For example, those that flourish have been found to volunteer at higher levels across cultures. Moreover, in terms of social support and relationships, studies have shown that there is an association between flourishing and actual number of friends, overall social support, and perceived companionship.

Applications

The definition or conceptualisation of mental health under the framework of flourishing and languishing describes symptoms that can cooperate with intervention techniques aimed at increasing levels of emotional, social, and psychological well-being. Furthermore, as Keyes implies, in a world full of flourishing people, all would be able to reap the benefits that this positive mental state and life condition offers.

Education

Keyes mentions children as well as adults. He says that children are directly affected by maternal depression, and points out that the flourishing or languishing of teachers and the effect on students have not been studied. Keyes also speculates that teacher retention may be associated with the students’ frames of mind. Furthermore, if students can be made to flourish, the benefits to the education process are greater, as flourishing can increase attention and thought-action repertoires.

Engagement

Flourishing also has many applications to civic duty and social engagement. Keyes believes that most people do not focus enough on those aspects of life and focus instead on personal achievement. Keyes suggests that people should provide encouragement to children, and adults, to participate socially. People that exhibit flourishing are engaged in social participation and people that are engaged in social participation exhibit flourishing. Therefore, he suggests that people should give their kids a purpose, which creates a sense of contribution and environmental mastery that enhances feelings of well-being and fulfilment.

Criticisms

This psychological concept of flourishing is built on Fredrickson’s broaden-and-build theory of positive emotions, but some researchers have suggested that there are other functions of positive emotions. Mackie and Worth propose that positive emotions diminish cognitive capabilities. They showed that when exposed to a persuasive message for a limited amount of time, subjects experiencing a positive mood showed reduced processing as compared with subjects in a neutral mood. Others have suggested that positive emotions diminish the motivation but not the capacity for cognitive processing. Flourishing is still a newly developing subject of study and, more tests need to be done to fully define, operationalise, and apply the concept of flourishing; this lack of research is also one criticism of the concept of flourishing.

Contemporary Flourishing Research

Global Flourishing Study

It is a longitudinal study about human flourishing, involving data collection of individuals of 22 countries all around the world. It is carried out by scholars at the Human Flourishing Program at Harvard and Baylor’s Institute for Studies of Religion, in partnership with Gallup and the Centre for Open Science. Its preparation began in 2018 and its first data are expected by the summer of 2023.

Johns Hopkins: Paul McHugh Programme for Human Flourishing

This programme based at Johns Hopkins University, founded in 2015, and directed by Margaret S. Chisolm, aims at bringing the results of interdisciplinary research on health and human flourishing to an audience of both clinicians and clinicians-in-training.

Harvard Human Flourishing Programme

This programme was founded in 2016 at Harvard’s Institute for Quantitative Social Science and directed by Tyler J. VanderWeele. Its aim is to study and promote human flourishing.

University of Pennsylvania: Positive Psychology Centre and Flourishing and Humanities Project

This interdisciplinary research project, based at the University of Pennsylvania’s Positive Psychology Centre, directed by James Pawelski and founded in 2014, studies the relations of the arts and humanities with human flourishing.

Humanity 2.0

The Humanity 2.0 Foundation mission is to identify impediments to human flourishing and then work collaboratively across sectors to remove them by sourcing and scaling bold and innovative solutions. To support this mission, the Humanity 2.0 Institute integrates global research on key questions: What is human flourishing? What are the pathways to achieve human flourishing? What obstacles block these pathways? What are practical solutions to remove these obstacles? Research partners include the Human Flourishing Programme at Harvard University, the Pontifical Gregorian University and the University of Pennsylvania Positive Psychology Centre and Flourishing Humanities Project.

This page is based on the copyrighted Wikipedia article < https://en.wikipedia.org/wiki/Flourishing >; it is used under the Creative Commons Attribution-ShareAlike 3.0 Unported License (CC-BY-SA). You may redistribute it, verbatim or modified, providing that you comply with the terms of the CC-BY-SA.

What is the Behavioural Despair Test?

Introduction

The behavioural despair test (or Porsolt forced swimming test) is a test, centred on a rodent’s response to the threat of drowning, whose result has been interpreted as measuring susceptibility to negative mood. It is commonly used to measure the effectiveness of antidepressants, although significant criticisms of its interpretation have been made.

An ‘interesting’ way to test the effectiveness of antidepressants!

Method

Animals are subjected to two trials during which they are forced to swim in an acrylic glass cylinder filled with water, and from which they cannot escape. The first trial lasts 15 minutes. Then, after 24-hours, a second trial is performed that lasts 5 minutes. The time that the test animal spends in the second trial without making any movements beyond those required to keep its head above water is measured. This immobility time is decreased by various types of antidepressants and also by electroconvulsive shock. Another common variant of this behavioural test specifically used for mice is conducted only for one trial and lasts six minutes. Modern implementations of the test score swimming and climbing behaviours separately, because swimming behaviour has been shown to be increased by selective serotonin reuptake inhibitors, while climbing behaviour is increased by selective norepinephrine reuptake inhibitors such as desipramine and maprotiline.

Controversy in Interpretation

Classically, immobility in the second test has been interpreted as a behavioural correlate of negative mood, representing a kind of hopelessness in the animal. Rodents given antidepressants swim harder and longer than controls (which forms the basis for claims of the test’s validity). However, there is some debate between scientists whether increased immobility instead demonstrates learning or habituation, and would therefore be a positive behavioural adaptation: the animal is less fearful because it is now familiar with the environment of the test. This interpretation is supported by the fact that even rats who are first put into a container from which they can escape (and therefore do not experience despair) show reduced mobility in the second test.

Some pharmacological compounds that influence motor movement, like stimulants and sedatives, may cause animals to swim for different amounts of time that are unrelated to the antidepressant properties of the compound. Researchers need to assess locomotor activity in the animal’s homecage or by a locomotor test. If locomotion is altered compared to controls then other animal antidepressant models should be used.

The term “behavioural despair test” bears an anthropomorphic connotation and is a somewhat subjective description as it is uncertain whether the test reliably gauges mood or despair. Strictly speaking, the descriptive term “forced swimming test” is preferred by researchers. The use of forced swimming tests is criticised by animal rights groups, notably PETA.

My Comments

  • I cannot believe some of the shi**y things researchers will do to animals.
  • Can you imagine being arbitrarily thrown into a container full of water, not knowing what is going on, not being able to touch the bottom, and no means of getting out of the container? Would you have a low mood or be in despair at your situation?
  • I see why they changed the name of the ‘test’, to sooth their conscience rather than that of the mice.

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Who was Edward Bibring?

Introduction

Edward Bibring (1894–1959) was an Austrian American psychoanalyst. He studied philosophy and history at the University of Czernowitz until the First World War.

After his military service he went to study medicine at the University of Vienna, and later was accepted for training by the Vienna Psychoanalytic Society, in which he became an associate member from 1925, and then a full member in 1927. He was closely associated with Sigmund Freud. He was an co-editor of the Internationale Zeitschrift für Psychoanalyse for a brief period. In 1921 he married his fellow analyst Grete L. Bibring, and in 1941 the pair emigrated to the US.

Writings

His publishing’s focused on scientific contributions to the theory of psychoanalytic therapy, the study of depression, and the history of psychoanalysis.

Bibring’s early writings included studies of the instincts, and of the repetition compulsion. He also wrote a pair of articles on paranoia in schizophrenia, including a case study of a woman who believed herself to be persecuted by someone called “Behind”, a figure onto whom she had projected aspects of her own rear.

Ernest Jones reported with approval Bibring’s measured disagreement with Freud’s concept of the death drive:

“Instincts of life and death are not psychologically perceptible as such; they are biological instincts whose existence is required by hypothesis alone…[&] ought only to be adduced in a theoretical context and not in discussion of a clinical or empirical nature”.

While struggling with writer’s block in the States, Bibring did publish a 1954 article on the role of abreaction in what he called “emotional reliving” – a theme later developed by Vamik Volkan in his re-grief therapy.

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Who was Edmund Bergler (1899-1962)?

Introduction

Edmund Bergler (20 July 1899 to 06 February 1962) was an Austrian-born American psychoanalyst whose books covered such topics as childhood development, mid-life crises, loveless marriages, gambling, self-defeating behaviours, and homosexuality. He has been described as the most important psychoanalytic theorist of homosexuality in the 1950s.

Biography

Edmund Bergler was born in Kolomyia, in today’s Ukraine, in 1899 into a Jewish family. Bergler fled Nazi Austria in 1937–1938 and settled in New York City, where he worked as a psychoanalyst. Bergler wrote 25 psychology books along with 273 articles that were published in leading professional journals. He also had unfinished manuscripts of dozens of more titles in the possession of the Edmund and Marianne Bergler Psychiatric Foundation. He has been referred to as “one of the few original minds among the followers of Freud“. Delos Smith, science editor of United Press International, said Bergler was “among the most prolific Freudian theoreticians after Freud himself”.

Work

Summarising his work, Bergler said that people were heavily defended against realization of the darkest aspects of human nature, meaning the individual’s emotional addiction to unresolved negative emotions. He wrote in 1958, “I can only reiterate my opinion that the superego is the real master of the personality, that psychic masochism constitutes the most dangerous countermeasure of the unconscious ego against the superego’s tyranny, that psychic masochism is ‘the life-blood of neurosis’ and is in fact the basic neurosis. I still subscribe to my dictum, ‘Man’s inhumanity to man is equaled only by man’s inhumanity to himself.'”

Sexuality

Bergler was the most important psychoanalytic theorist of homosexuality in the 1950s. According to Kenneth Lewes, a gay psychiatrist, “…Bergler frequently distanced himself from the central, psychoanalytical tradition, while at the same time claiming a position of importance within it. He thought of himself as a revolutionary who would transform the movement.” Near the end of his life, Bergler became an embarrassment to many other analysts: “His views at conferences and symposia were reported without remark, or they were softened and their offensive edge blunted.” However, it is unknown where did Lewes got this information, because there is no published autobiography of Bergler.

Bergler was highly critical of sex researcher Alfred C. Kinsey, and rejected the Kinsey scale, deeming it to be based on flawed assumptions. In an article published in the peer-reviewed medical journal Psychiatric Quarterly, Bergler criticized Alfred C. Kinsey: “Statistically speaking, Kinsey avoids with 100 percent completeness even the smallest concession to the existence of the dynamic unconscious. According to the “taxonomic approach,” to which Kinsey adheres, the “human animal,” as Kinsey calls homo sapiens, seems not yet to have developed the unconscious part of his personality…” “Derogatory remarks about Freudian psychoanalysis are mainly based on ignorance or resistance, or both. When this pair of characteristics occurs in biased laymen, one explains it away as typical resistance to acceptance of unconscious facts. The reason for this attitude in biased scientists is, of course, identical, though less defensible.” Bergler also states that: “Psychoanalytically, we know today that a complicated inner defence is involved. Homosexuals approve of their perversion because such acceptance of it – corresponding to a defence mechanism – enables them to hide unconsciously their deepest conflict, oral-masochistic regression. Since the homosexual who has not been treated has no inkling of the real state of affairs, he clings “proudly” to his defence mechanism. Only in cases in which a portion of inner guilt is not satiated by the real difficulties (hiding, social ostracism, extortion) which every homosexual experiences does the problem of changing come up.”

He is noted for his insistence on the universality of unconscious masochism. He is remembered for his theories about both homosexuality and writer’s block – a term he coined in 1947. Bergler, who did more work on the subject than any other psychoanalyst, argued that all gamblers gamble because of “psychic masochism”.

Legacy

Novelist Louis Auchincloss named his book The Injustice Collectors (1950) after Bergler’s description of the unconscious masochist of that type.

Bergler’s Homosexuality: Disease or Way of Life? (1956) was cited in Irving Bieber et al.’s Homosexuality: A Psychoanalytic Study of Male Homosexuals (1962). Bieber et al. mention Bergler briefly, noting that like Melanie Klein, he regarded the oral phase as the most determining factor in the development of homosexuality.

The philosopher Gilles Deleuze cited Bergler’s The Basic Neurosis (1949) in his Masochism: Coldness and Cruelty (1967), writing that, “Bergler’s general thesis is entirely sound: the specific element of masochism is the oral mother, the ideal of coldness, solicitude and death, between the uterine mother and the Oedipal mother.”

Arnold M. Cooper, former professor of psychiatry at Cornell University Medical College and a past president of the American Psychoanalytic Association, said of Bergler’s work: “I have adapted my model for understanding masochism from the work of Bergler, who regarded masochism as the basic neurosis from which all other neurotic behaviors derive. As long ago as 1949 . . . he felt, and I agree, [that the mechanism of orality] is paradigmatic for the masochistic character.”

Freud critic Max Scharnberg has given Bergler’s writings as an example of what he sees as the transparent absurdity of much psychoanalytic work in his The Non-Authentic Nature of Freud’s Observations (1993), writing that few present-day psychoanalysts would defend Bergler. Scharnberg disapprovingly notes Bergler’s claim that all homosexuals “are subservient when confronted with a stronger person, merciless when in power, unscrupulous about trampling on a weaker person.”

Bergler’s theories, with their assumption that the preservation of infantile megalomania or infantile omnipotence is of prime importance in the reduction of anxiety, have been seen as anticipating Heinz Kohut’s self psychology.

Psychotherapist Mike Bundrant has based much of his work on Bergler’s early theory of psychic masochism, although Bundrant has distanced himself from Bergler’s views on homosexuality, claiming Bergler was victim to his own prejudice in this area, or simply mistaken. Bundrant discusses inner masochism in the form of “psychological attachments” that fit consistent patterns over time.

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Who was Donald Meltzer (1922-2004)?

Introduction

Donald Meltzer (1922–2004) was a Kleinian psychoanalyst whose teaching made him influential in many countries.

He became known for making clinical headway with difficult childhood conditions such as autism, and also for his theoretical innovations and developments. His focus on the role of emotionality and aesthetics in promoting mental health has led to his being considered a key figure in the “post-Kleinian” movement associated with the psychoanalytic theory of thinking created by Wilfred Bion.

Life and Work

Meltzer was born in New York City and studied medicine at Yale University. He practised in St. Louis as a psychiatrist, before moving to England in 1954 to have analysis with Melanie Klein. He joined the “Kleinian group”, became a teaching analyst of the British Psychoanalytical Society (BPS) and took on British citizenship. In the early 1980s disagreements about the mode of training led him to withdraw from the BPS. Meltzer worked with both adults and children. Initially his work with children was supervised by Esther Bick, who was creating a new and influential mode of psychoanalytic training at the Tavistock Clinic based on mother-child observation and following the theories of Melanie Klein. As a result of the regular travels and teaching of Meltzer and Martha Harris, his third wife, who was head of the Child Psychotherapy Training Course at the Tavistock Clinic, this model of psychoanalytic psychotherapy training became established in the principal Italian cities, in France and Argentina.

Meltzer taught for many years at the Tavistock Clinic, and practised privately in Oxford until his death. Owing to having left the BPS, his ideas remained controversial. He supervised psychoanalytically-oriented professionals in atelier-style groups throughout Europe, Scandinavia and South America, and his visits also included New York and California. Since his death in 2004 his reputation has increasingly regained ground also in his adoptive country. Several international congresses have focussed on his work: in London (1998), Florence (2000), Buenos Aires (2005), Savona (2005), Barcelona (2005) and Stavanger, Norway (2007).

Imago Group

Meltzer was a member of the Kleinian Imago Group founded by the Kleinian aesthete Adrian Stokes for discussing applied psychoanalysis. The group included among others Richard Wollheim, Wilfred Bion, Roger Money-Kyrle, Marion Milner and Ernst Gombrich. With Stokes he wrote a dialogue “Concerning the social basis of art”. Meltzer’s aesthetic interests, combined with the mother-baby model of early learning processes, led to seeing psychoanalysis itself as an art form. His later works describe the relationship between analyst and analysand as an aesthetic process of symbol-making. This has had an influence on the philosophical view of the relation between art and psychoanalysis.

Overview

Some of Meltzer’s significant and widely used developments of Kleinian object relations theory are as follows:

  • The aesthetic conflict, the foundation for normal development, based on the internal mother-baby relationship, was formulated in Meltzer and Harris Williams (1988) The Apprehension of Beauty
  • Intrusive identification, a form of projective identification associated with life in the Claustrum (narcissistic pathology), first formulated in early seminal papers “The relation of anal masturbation to projective identification” and “The delusion of clarity of insight”, and expanded in The Claustrum (1992)
  • Pseudo-maturity, a common clinical manifestation of arrested development
  • Adhesive identification and dismantling in two-dimensional autistic states, formulated in a work documenting Meltzer’s experience with 5 colleagues in treating autistic children, Explorations in Autism (1975)
  • The preformed transference, first described in The Psychoanalytical Process (1967), referring to the patient’s initial preconceptions about a psychoanalytic relationship which have to be overcome before a genuine transference and countertransference can be established
  • A reappraisal of Melanie Klein’s discovery of the combined internal object, which stresses its beneficial nature as a basis for mental development, begun in Richard Week-by-Week, Part II of The Kleinian Development (1978).

The Claustrum

In his final work, The Claustrum: An Investigation of claustrophobic phenomena (1988), Donald Meltzer developed a theory of claustrophobia. Meltzer offers a Kleinian/Bionian appreciation of the phenomenon of claustrophobia, arguing that the claustrum emerges as a failure of integration in early childhood development. If there occurs massive projective identification, that the child cannot sustain, its understanding both of its own corporeality, and that of others is severely impacted. It is a result of maternal failure in the reverie and leads to an incorrect construction of the internal mother. Claustrophobia in that sense “means to be imprisoned in a state of mind without getting out”, it has do with being trapped in the projective identification of others.

As a Teacher

Meltzer was well known internationally as a teacher and supervisor. He favoured an atelier-style system for the teaching and selection of candidates for psychoanalytical training, adumbrated in his paper, “Towards an atelier system”.

His method was to ask supervisees to present sessions of unedited clinical material, rather than finished papers. Several of his groups and individual supervisees have documented their experiences:

  • Castella, R., Farre, L., Tabbia, C. (2003) Supervisions with Donald Meltzer. London: Karnac.
  • Emanuel, R. (2004) “A personal tribute to Donald Meltzer”, Bulletin of the Association of Child Psychotherapists 149, 11–14
  • Fisher, J. (2000) “Reading Donald Meltzer: identification and intercourse as modes of reading and relating”, Exploring the Work of Donald Meltzer ed. Cohen and Hahn. London: Karnac, 188–202
  • Hoxter, S. (2000) “Experiences of learning with Donald Meltzer”, Exploring the Work of Donald Meltzered. Cohen and Hahn. London: Karnac,12–26
  • Psychoanalytic Group of Barcelona (2000), “A Learning Experience”, Exploring the Work of Donald Meltzer ed. Cohen and Hahn. London: Karnac, 203–14
  • Psychoanalytic Group of Barcelona (2002) Psychoanalytic Work with Children and Adults. London: Karnac
  • Psychoanalytic Group of Barcelona (2007) De un Teller psicoanalitico, a partir de Donald Meltzer. Barcelona: Grafein (in Spanish)
  • Oelsner, M. and Oelsner, R. (2005) “About supervision: an interview with Donald Meltzer”, British Journal of Psychotherapy, 21 (3).
  • Racker Group of Venice (2004) Transfert, Adolescenza, Disturbi del Pensiero. Armando (in Italian)

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Who was David H. Malan (1922-2020)?

Introduction

David Huntingford Malan (21 March 1922 to 14 October 2020) was a British psychoanalytic psychotherapy practitioner and researcher recognised for his contribution to the development of psychotherapy.

He promoted scientific spirit of inquiry, openness, and simplicity within the field. He is also noted for his development of the Malan triangles, which became a rubric in which therapists can reflect upon what they are doing and where they are in relational space at any given moment.

Early Life

Malan was born in Ootacamund in the province of Tamil Nadu in India on 21 March 1922. His father was English, working in the Indian Civil service as Paymaster General of Madras State, and his mother Isabel (née Allen)was American. When Malan was seven years old his father died from pneumonia and Malan and his mother came to England. They moved into a house in Hartley Wintney which served as Malan’s home throughout his life. This early experience of grief was formative for his later work.

At preparatory boarding school Malan particularly enjoyed learning Latin and Greek, but as a scholar at Winchester he became interested in chemistry which he then studied, winning a scholarship to Balliol College, Oxford. He graduated in 1944 with a 1st class Honours degree in chemistry.

During the World War II, Malan was seconded to the Special Operations Executive (S.O.E), initially to develop devices for Resistance fighters, and later incendiary bombs for use in the Far East.

He was unable to partake in active service due to a foot injury. After the war he studied medicine at The London Hospital qualifying in 1952 and then trained in psychiatry at the Maudsley Hospital. Malan began his training in psychoanalysis whilst at Medical School. His initial analysis was with Michael Balint and then with Winnicott.

After a year at Courtaulds doing fundamental research, he knew he wanted to become a Psychotherapist.

Career

After qualifying from the London Hospital in 1952, he worked as a casualty officer, then as a psychiatrist at the Maudsley before transferring to the Tavistock Clinic in 1956. From 1956 to 1982, he remained at the Tavistock Clinic as a consultant psychiatrist, psychotherapist and psychoanalyst.

In 1956, at the Tavistock Clinic, Balint asked him to join his Brief Psychotherapy research group investigating whether brief focal therapy was effective. Malan analysed the results which were highly encouraging. During his early years as a psychotherapist, he already advocated the accurate, reproducible clinical descriptions, as well as the prediction of desirable outcomes prior to the process of therapy or an “intention to treat”, which are then followed by unbiased evaluation post-treatment. This approach was met with suspicion during the 1950s within the analytic community, including Malan’s colleagues at the Tavistock Clinic.

In 1967 Malan developed the Brief Psychotherapy workshop which all trainees were required to attend for one year and treat a patient under his supervision. It attracted students internationally as well as nationally. The aim was to achieve effective therapeutic results in the shortest possible time and to research the factors that made this happen.

The therapy was actively interpretive, using the elements of the Two Triangles – the Triangle of Conflict and the Triangle of Person – as the basis for many of the interventions that the therapists made.

The outcome data exploded the Myth of Superficiality whereby critics claimed that Brief Psychotherapy could only be helpful with superficially ill patients, that the technique used should be superficial and that only superficial improvements can be achieved.

At this time Malan lectured nationally and internationally many times in the US, Canada, Norway, Switzerland, Italy and Greece, describing his active interpretive approach and his investigation of the factors that made Brief Psychotherapy most effective. He received the highest medical Merit award for this work.

In 1974, Davanloo showed his tapes of Intensive Short-Term Dynamic Psychotherapy to Malan who was convinced by the evidence that the technique used was extremely effective. They began a twelve-year collaboration, doing workshops and lectures together with Davanloo showing his tapes of therapy and Malan outlining the concepts and explaining the principles of the technique.

In 1979, Malan wrote Individual Psychotherapy and the Science of Psychodynamics pub. Butterworth-Heinnemann which outlines the principles of Dynamic Psychotherapy from the most elementary to the most profound, using true case histories to illustrate each concept. It has been translated into 8 languages and following a second edition in 1995 is still in print as a classic textbook for psychotherapists.

Private Life

He was married to Muriel (née Still) from 1959 to about 1982, with whom he had a son called Peter. He later married Jennifer (Jennie) Ann (née Stead). He enjoyed travelling in the countryside with his wife Jennie including in Scotland, New Zealand and India.

Retirement and Death

After his retirement, Malan continued to write and lecture extensively on Brief Psychotherapy and Intensive Short Term Dynamic Therapy (ISTDP), publishing his last book “Lives Transformed”, in 2006, which he co-authored with Patricia Coughlin. He also put on Conferences in Oxford in 2006 and 2008 to demonstrate the effectiveness of ISTDP as a method of Brief Psychotherapy. Following these conferences, core training courses developed, and therapists, who completed them and have become experienced, have continued to lecture and teach subsequent core trainings.

In 2005, Malan received a Career Achievement Award in recognition of his contribution to Psychotherapy from the International Experiential Dynamic Therapy Association, of which he was Emeritus President since its inception. He died in 2020.

Brief Psychotherapy

Although trained as an analyst, initially using analysis in therapy, and recognising the validity of analytic insights, Malan has always been concerned that analysis takes too long and too few patients can be treated.

His research and writing therefore focussed on finding the most effective treatment that can help more patients in the shortest possible time.

Balint’s Brief Therapy Research Group

In 1956, after becoming a psychotherapist at the Tavistock Clinic, Malan was invited by Balint to join his Brief Psychotherapy research group investigating whether brief focal therapy was effective. Patients were treated using a radical interpretive approach and the results were evaluated against specified criteria and, in general, they were extremely good. Malan analysed the results in his Oxford DM thesis and subsequently developed the ideas in A Study of Brief Psychotherapy: Tavistock publications 1963. Other publications analysing aspects of the results were The Frontier of Brief Psychotherapy and Toward the Validation of Dynamic Psychotherapy – both published by Plenum in 1976.

Brief Psychotherapy Workshop

Following his appointment as a Consultant in the Adult dept., Malan introduced a Brief Psychotherapy workshop which all trainees were required to attend. They presented cases where they had used the principles of Brief Psychotherapy under his supervision. The aim was to achieve effective therapeutic results in the fewest sessions and to research the factors that made this possible.

In the workshop the technique was actively interpretive. The work was initially focussed on the presenting problems but became more wide-ranging with responsive patients and demonstrated deep and lasting changes.

An account of twenty-four therapies completed by trainees as part of the Brief Psychotherapy Workshop is summarised in ‘Psychodynamics, Training and Outcome’ by Malan and Osimo, pub. Butterworth –Heinemann 1992. It is based not only on the sessions but on the follow-up of a series of patients, and shows that good therapeutic results can be achieved by trainees under supervision.

The Two Triangles

A key element of therapy is the linking of the Two Triangles – the Triangle of Conflict (Defence, Anxiety and Hidden Feeling) and the Triangle of Persons (Current, Transference/Present and Past). The Triangle of Conflict illustrates the relation between anxiety, defences and the underlying impulses or feelings. The Triangle of Persons shows the links between the relationship with the therapist, with current people in the patient’s life, and with people from their past.

Malan always acknowledges that each Triangle was independently devised by Ezriel (1952) and Menninger (1958) respectively, but he showed how, when put together, the relation between them for the patient at any given moment in therapy, can form a reliable basis for many of the interventions that the therapist makes. Ref: Individual Psychotherapy and the Science of Psychodynamics (p. 80)

As early as 1963 in his analysis of cases in Balint’s workshop, Malan had identified that good outcome correlated with a high frequency of interpretations making a link between the transference and childhood, but the full significance and usefulness of the concept of linking the Triangles came later.

The Myth of Superficiality

Research from the workshop exploded the ‘myth of superficiality’ whereby critics maintain that Brief Psychotherapy is a superficial treatment that can only be effective with superficially ill patients, bringing about superficial results. Malan maintains that the aim of every session is to ‘put the patient in touch with as much of their true feelings as they can bear and that the long-term outcome should demonstrate deep and lasting changes.’ The work does not have to be focal and limited to specific problems and should lead to therapeutic changes that are wide-ranging, deep-seated and permanent. This has been shown in many of Malan’s follow-up studies where Brief Therapy and Intensive Short-term Dynamic Psychotherapy have been used.

Collaboration with Habib Davanloo

In 1974 Davanloo presented videotapes of his therapeutic work using Intensive Short-term Dynamic Psychotherapy (ISTDP) at the Tavistock Clinic. The essence of ISTDP is to enable the patient to reach and experience their hitherto buried, and often unconscious feelings, which have been governing their emotional responses leading to deep-seated neurotic patterns of behaviour that in many cases have crippled their lives. He does this by challenging the defences that the patient has been using to avoid painful feelings of loss, grief, anger, hate and guilt about people who they loved and /or needed when children.

Although aspects of Davanloo’s challenging and sometimes abrasive technique were antipathetic to him, Malan recognised that the challenge was to the defences, not to the patient directly, and results were conclusive and convincing. The videotapes showed undeniable evidence that patients could be treated in a relatively few sessions (40 or fewer) and fully recover from a range of longstanding emotional and psychosomatic illnesses.

Malan and Davanloo collaborated for twelve years from 1974, doing many Conferences and Workshops worldwide. Davanloo showed his tapes of therapy while Malan outlined the rationale and objectives of the technique and explained the elements of the therapy. After his retirement, Malan wrote many books and articles about Davanloo’s concepts and technique.

Subsequent Developments using Intensive Short-Term Dynamic Psychotherapy.

It became apparent that the abrasive element when challenging the defences is not necessary, and the same results can be achieved by blocking them much more gently but persistently until they disintegrate. Malan recognised that as long as the patient reaches and experiences the buried, often previously unconscious painful feelings, they no longer have the power to govern their emotional responses. It is the avoidance of these feelings that underlies many neurotic and psychosomatic symptoms.

Malan has worked with many of Davanloo’s ex-trainees lecturing and writing extensively. In 2006 he co-authored with Patricia Coughlin ‘Lives Transformed – a Revolutionary Method of Dynamic Psychotherapy’ pub. Karnac.

In order to introduce Intensive Short-term Dynamic Psychotherapy to the UK, Malan organised two Conferences in Oxford in 2006 and 2008, where video-tapes of therapies were shown. Following these Core Training groups were established. Subsequent Conferences have been held demonstrating ISTDP and currently there are Core trainings in London and the North of England. Malan hopes ISTDP will become available as a treatment method on the NHS as it so effective, but it is difficult to learn and challenging to do.

Scientific Principles and Brief Psychotherapy

A hallmark of Malan’s work is his scientific approach to research in Psychotherapy. He is convinced that psychodynamic processes can and should be scientifically studied, and he rigorously insists on long-term follow-ups to see how effective therapy really has been and what factors contributed to this.

Outcome Studies

Malan believes that one of the most important tools for this ‘objective study of subjective matter’ is long-term follow-up interviews to obtain reliable psychodynamic outcome data. He considers that questionnaires are useless, and proper follow-up interviews are necessary based on the initial criteria the therapist sets for the complete resolution of the presenting problems. To this end he has carried out many such follow-ups and trained others to do so. These outcome studies are actually process and outcome studies as they analyse the process of change as well as the long-term results. He published papers throughout his career evaluating outcome data which showed that the results of Brief Psychotherapy are as good as, or better than, those found in long-term therapy.

This page is based on the copyrighted Wikipedia article < https://en.wikipedia.org/wiki/David_H._Malan >; it is used under the Creative Commons Attribution-ShareAlike 3.0 Unported License (CC-BY-SA). You may redistribute it, verbatim or modified, providing that you comply with the terms of the CC-BY-SA.

Who was Cyril Burt (1883-1971)?

Introduction

Sir Cyril Lodowic Burt, FBA (03 March 1883 to 10 October 1971) was an English educational psychologist and geneticist who also made contributions to statistics. He is known for his studies on the heritability of IQ.

Shortly after he died, his studies of inheritance of intelligence were discredited after evidence emerged indicating he had falsified research data, inventing correlations in separated twins which did not exist, alongside other fabrications.

Childhood and Education

Burt was born on 03 March 1883, the first child of Cyril Cecil Barrow Burt (b. 1857), a medical practitioner, and his wife, Martha Decina Evans. He was born in London (some sources give his place of birth as Stratford-upon-Avon, probably because his entry in Who’s Who gave his father’s address as Snitterfield, Stratford; in fact the Burt family moved to Snitterfield when he was ten).

Burt’s father initially kept a chemist shop to support his family while he studied medicine. On qualifying, he became the assistant house surgeon and obstetrical assistant at Westminster Hospital, London. The younger Cyril Burt’s education began in London at a Board school near St James’s Park.

In 1890, the family briefly moved to Jersey then to Snitterfield, Warwickshire, in 1893, where Burt’s father opened a rural practice. Early in Burt’s life he showed a precocious nature, so much so that his father often took the young Burt with him on his medical rounds.

One of the elder Burt’s more famous patients was Darwin Galton, brother of Francis Galton. The visits the Burts made to the Galton estate not only allowed the young Burt to learn about the work of Francis Galton, but also allowed Burt to meet him on multiple occasions and to be strongly drawn to his ideas; especially his studies in statistics and individual differences, two defining characters of the London School of Psychology whose membership includes both Galton and Burt.

He attended King’s (now known as Warwick) School, in the county town, from 1892 to 1895, and later won a scholarship to Christ’s Hospital, then located in London, where he developed his interest in psychology.

From 1902, he attended Jesus College, Oxford, where he studied Classics and took an interest in philosophy and psychology, the latter under William McDougall. McDougall, knowing Burt’s interest in Galton’s work, taught him the elements of psychometrics, thus helping Burt with his first steps in the development and structure of mental tests, an interest that would last the rest of his life. Burt was one of a group of students who worked with McDougall, which included William Brown, John Flügel, and May Smith, who all went on to have distinguished careers in psychology.

Burt graduated with second-class honours in Literae Humaniores (Classics) in 1906, taking a special paper in Psychology in his Final Examinations. He subsequently supplemented his BA with a teaching diploma.

In 1907, McDougall invited Burt to help with a nationwide survey of physical and mental characteristics of the British people, proposed by Francis Galton, in which he was to work on the standardization of psychological tests. This work brought Burt into contact with eugenics, Charles Spearman, and Karl Pearson.

In the summer of 1908, Burt visited the University of Würzburg, Germany, where he first met the psychologist Oswald Külpe.

Work in Educational Psychology

In 1908, Burt took up the post of Lecturer in Psychology and Assistant Lecturer in Physiology at Liverpool University, where he was to work under the famed physiologist Sir Charles Sherrington. In 1909 Burt made use of Charles Spearman’s model of general intelligence to analyse his data on the performance of schoolchildren in a battery of tests. This first research project was to define Burt’s life’s work in quantitative intelligence testing, eugenics, and the inheritance of intelligence. One of the conclusions in his 1909 paper was that upper-class children in private preparatory schools did better in the tests than those in the ordinary elementary schools, and that the difference was innate.

In 1913, Burt took the part-time position of a school psychologist for the London County Council (LCC), with the responsibility of picking out the “feeble-minded” children, in accordance with the Mental Deficiency Act of 1913. He notably established that girls were equal to boys in general intelligence. The post also allowed him to work in Spearman’s laboratory, and receive research assistants from the National Institute of Industrial Psychology, including Winifred Raphael.

Burt was much involved in the initiation of child guidance in Great Britain and his 1925 publication The Young Delinquent led to opening of the London Child Guidance Clinic in Islington in 1927.[11] In 1924 Burt was also appointed part-time professor of educational psychology at the London Day Training College (LDTC), and carried out much of his child guidance work on the premises.

Later Career

In 1931 Burt resigned his position at the LCC and the LDTC after he was appointed Professor and Chair of Psychology at University College London, taking over the position from Charles Spearman, thus ending his almost 20-year career as a school psychological practitioner. One of his students, Reuben Conrad, recalled that he once arrived at the university with a chimpanzee that he had borrowed from London Zoo, though Conrad could not recall what point Burt was trying to make. While at London, Burt influenced many students, including Raymond Cattell and Hans Eysenck, and toward the end of his life, Arthur Jensen and Chris Brand. Burt was a consultant with the committees that developed the 11-plus examinations. This issue, and the allegations of fraudulent scholarship against him, are discussed in various books and articles listed below, including Cyril Burt: Fraud or Framed and The Mismeasure of Man.

Despite his lasting reputation as a statistical psychologist Cyril Burt was also involved in psychoanalysis. He was a member of the Tavistock Clinic Council in the early 1930s and of the British Psychoanalytical Society. In The Young Delinquent, he expressed the view that “nearly every tragedy of crime is in its origin a drama of domestic life.”

In 1942 Burt was elected President of the British Psychological Society. In 1946 he became the first British psychologist to be knighted for his contributions to psychological testing and for making educational opportunities more widely available, according to an account by J. Philippe Rushton. Burt was a member of the London School of Differential Psychology, and of the British Eugenics Society. Because he had suggested on radio in 1946 the formation of an organization for people with high IQ scores, he was made honorary president of Mensa in 1960. He officially joined Mensa soon thereafter.

Burt retired in 1951 at the age of 68, but continued writing articles and books. He died of cancer at age 88 in London on 10 October 1971.

Fraud Accusations

Burt published numerous articles and books on a host of topics ranging from psychometrics through philosophy of science to parapsychology. It is his research in behaviour genetics, most notably in studying the heritability of intelligence (as measured in IQ tests) using twin studies, that has created the most controversy, frequently referred to as “the Burt Affair.”

Shortly after Burt died it became known that all of his notes and records had been burnt, and he was accused of falsifying research data. From the late 1970s, it has been generally accepted that “he had fabricated some of the data, though some of his earlier work remained unaffected by this revelation.” This was due in large part to research by Oliver Gillie (1976) and Leon Kamin (1974).

The 2007 Encyclopædia Britannica noted it is widely acknowledged that his later work was flawed and many academics agree that data were falsified, though his earlier work is generally accepted as valid.

The possibility of fabrication was first brought to the attention of the scientific community when Kamin noticed that Burt’s correlation coefficients of monozygotic and dizygotic twins’ IQ scores were the same to three decimal places, across articles – even when new data were twice added to the sample of twins. Leslie Hearnshaw, a close friend of Burt and his official biographer, concluded after examining the criticisms that most of Burt’s data from after World War II were unreliable or fraudulent. William H. Tucker argued in a 1997 article that: “A comparison of his twin sample with that from other well documented studies, however, leaves little doubt that he committed fraud.”

Two other psychologists Arthur Jensen and J. Philippe Rushton, themselves involved in controversy for their views on race, have claimed that the contentious correlations reported by Burt are in line with the correlations found in other twin studies.

Rushton (1997) wrote that five different studies on twins reared apart by independent researchers corroborated Cyril Burt’s findings and had given almost the same heritability estimate (average estimate 0.75 vs. 0.77 by Burt). Jensen argued that “[n]o one with any statistical sophistication, and Burt had plenty, would report exactly the same correlation, 0.77, three times in succession if he were trying to fake the data.” Burt’s statistical sophistication was, however, called into question by his student Charlotte Banks, who in a foreword to Burt’s last book, published posthumously, wrote that he combined samples gathered from schoolchildren in different earlier years in his later papers without comment. A paper Burt published in 1943, Burt states an average IQ of 153.2 for the parents in the higher professional or administrative classes, at a time when there were no standardised IQ tests for adults in the upper ranges of IQ. In 1961, Burt revised this figure to 139.7 and, in other papers, noted that he had arrived at such figures by “assessment”, or guesswork, rather than testing.

According to Earl B. Hunt, it may never be found out whether Burt was intentionally fraudulent or merely careless. Noting that other studies on the heritability of IQ have produced results very similar to those of Burt’s, Hunt argues that Burt did not harm science in the narrow sense of misleading scientists with false results, but that in the broader sense science in general and behaviour genetics in particular were profoundly harmed by the Burt Affair, leading to a general rejection of genetic studies of intelligence and a drying up of funding for such studies.

Gillie’s 1976 article in The Sunday Times, reprinted in The Phi Delta Kappan in 1977, summarised attempts to trace two of Burt’s supposed collaborators, Margaret Howard and J. Conway. Publications attributed to these two were published in a journal edited by Burt between 1952 and 1959, including a joint paper of Burt and Howard, remarkable as one of the few, if not the only, research paper not authored solely by Burt. The papers in the names of Howard or Conway were published after Burt’s retirement from University College although their affiliations were said to be with University College, Howard’s specifically with its Psychology Department. No-one with these names was registered as a member of staff or student at University College between 1914 and 1976, or in any other institution within the University of London, and its Psychology Department could not trace either of them. Between 1952 and 1959, Burt lived in London and had two associates, Charlotte Banks and Gertrude Keir, neither of who ever met Howard or Conway. Although they suggested to Gillie that Burt may have corresponded with the two, there was no trace of any such correspondence in Burt’s papers. Burt’s housekeeper from 1950 recalled to Gillie that she had questioned Burt on why he had written papers in the names of Howard and Conway; his response was that they had done the research and should be credited. He explained their absence and lack of contact by adding that both had emigrated and he had lost their addresses. Based on his investigation, Gillie considered it likely that neither Howard nor Conway existed, but were a fantasy of the ageing Burt himself.

Arthur Jensen was given the opportunity to respond to Gillie’s article in the same issue of the same journal, and described the claims as libellous, without evidence and driven by opposition to Burt’s theories. However, he does not address the central issue, that Burt wrote scientific papers and published them as editor of a journal under false names and without the consent of the supposed authors.

In response to articles by Fletcher, claiming that his biography of Burt and attacks by others were motivated by ideological or political malice, Hernshaw added to Gillie’s claims by stating that Burt’s detailed records of visitors contained no records of visits by Howard or Conway in the years they were supposed to have collaborated with him on collecting and testing 32 pairs of separated monozygotic twins, that his papers contained no correspondence with or written material from them, and that no one close to Burt had met them. He added that testing separated twins was expensive: Burt had no research funds to pay research workers and his own finances were too stretched to pay for it himself. Further, he instanced two other example of what he terms Burt’s deviousness ignored by Fletcher. The first was Burt’s falsification of the early history of factorial analysis and his untruthful claim to have been the first to use that technique. The second was that Burt could not have obtained the results on the declining levels of scholastic attainments in the 1950s and 1960s that he claimed to have. Finally, Hernshaw claimed that Burt’s failings in his years of retirement went far beyond carelessness.

In his 1991 book, Fletcher questioned Gillie’s claim of the lack of independent articles published by Howard or Conway in scientific journals other than the Journal of Statistical Psychology edited by Burt, claiming Howard was also said to be mentioned in the membership list of the British Psychological Society, John Cohen was said to have remembered her well during the 1930s, and Donald MacRae had personally received an article from her in 1949 and 1950. According to Ronald Fletcher, there is documentary evidence of the existence of Conway. Other writers have suggested that Howard and Conway may have existed, but that Burt had simply used their names to support his research, as he had been shown to have done with another named so-called researcher.

Robert Joynson (in 1989) and Ronald Fletcher (in 1991) published books in support of Burt. However Joynson accepted that Burt frequently used assumed names to publish (in the journal Burt edited, the Journal of Statistical Psychology) papers that Burt had written himself: the names he used included those of Howard and Conway. Burt’s defenders have claimed that everyone knew that, after his retirement, Burt’s data was flawed and that he published articles under pseudonyms, adding that the British Psychological Society could have stopped this if it had violated accepted ethical norms of the time. However, although it is clear that some individual members of the British Psychological Society were aware of Burt’s questionable conduct, the reason why he was not censured were as likely to be that it would have been in bad taste to call such a great man to public account, a fault of a profession and its members that could tolerate at the time, and apologise later, for Burt’s behaviour.

Nicholas Mackintosh edited Cyril Burt: Fraud or Framed?, which was presented by the publisher as arguing that “his defenders have sometimes, but by no means always, been correct, and that his critics have often jumped to hasty conclusions. In their haste, however, these critics have missed crucial evidence that is not easily reconciled with Burt’s total innocence, leaving the perception that both the defence and prosecution cases are seriously flawed.” W. D. Hamilton claimed in a 2000 book review shortly before Hamilton’s death that the claims made by his detractors in the so-called “Burt Affair” had been either wrong or grossly exaggerated.

However, Mackintosh himself, then Emeritus Professor of Experimental Psychology at the University of Cambridge, summed up the evidence against Burt in 1995, saying that the data Burt presented were “so woefully inadequate and riddled with error”, that consequently “no reliance (could) be placed on the numbers he present(ed)”, and went on to confirm his agreement with Kamin’s original conclusion, that Burt had fabricated his data.

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Who is C. Sue Carter?

Introduction

C. Sue Carter is an American biologist and behavioural neurobiologist. She is an internationally recognised expert in behavioural neuroendocrinology. In 2014 she was appointed Director of The Kinsey Institute and Rudy Professor of Biology at Indiana University. Carter was the first person to identify the physiological mechanisms responsible for social monogamy.

Background

Carter studied biology at Drury College in Springfield, Missouri. She completed a PhD in Zoology at the University of Arkansas in Fayetteville.

Carter is a Fellow of the American Association for the Advancement of Science.

She is married to Stephen Porges, and has two children: Eric Carter Porges (currently a graduate student at the University of Chicago in Integrative Neuroscience) in Jean Decety’s Social Cognitive Neuroscience Laboratory, and Seth Porges (currently an editor at Maxim magazine in New York City, and previously an editor at Popular Mechanics magazine).

Academic Achievements

Carter studies social bonding, male and female parental behaviour, the social control of stress reactivity and the social control of reproduction, often using animal models such as the socially monogamous prairie vole. Carter’s research focuses on neuropeptide and steroid hormones, including oxytocin, vasopressin, corticotropin-releasing hormone, and oestrogen. Her research program has discovered important new developmental functions for oxytocin and vasopressin, and implicated these hormones in the regulation of long-lasting neural and effects of early social experiences. She also has a long-standing concern regarding the consequences of medical manipulations for human development and parent-child interactions, including the use of “pitocin” – a synthetic version of oxytocin – to induce labour and consequences of breastfeeding for the mother and child.

Most recently she has been examining the role of oxytocin and vasopressin in mental disorders such as autism, schizophrenia, anxiety and depression. Carter is also known for research on the physiological basis of social behaviour, including studies that implicated oxytocin, vasopressin and hormones of the hypothalamic-pituitary-adrenal (“stress”) axis in the traits of monogamy including pair-bond formation. She pioneered the physiological study of socially monogamous mammals, including the prairie vole. In collaboration with zoologist Lowell Getz, Carter documented the occurrence of social monogamy in prairie voles. Her studies in rodents helped to lay the foundation for the studies of behavioural and developmental effects of oxytocin and vasopressin in humans which are in progress. In collaboration with psychiatrist Margaret Altemus she conducted some of the first studies documenting the importance of breastfeeding in the regulation of maternal physiology.

Honours

Carter is a Fellow and Past-President of the International Behavioural Neuroscience Society and a recipient of the Matthew J. Wayner-NNOXe Pharmaceuticals Award for distinguished lifetime contributions to behavioural neuroscience.

Criticism

Author and LGBT activist Dan Savage claimed the announcement of Carter’s appointment to Director of the Kinsey Institute was “packed with bad news for anyone interested in sex research and/or conducting sex research (particularly those conducting sex research at the Kinsey Institute)” and “Carter’s pseudo-scientific/pseudo-empathetic moralizing plays right into the hands of the kind of conservative politicians who have been trying to kill the Kinsey Institute for decades.” Savage criticised Carter’s view that, “I think human sexuality must be viewed in the context of relationships,” countering, “Not all human sexuality exists in the context of relationships. You can argue, if you’re a moralist, that human sexuality should only be expressed in the context of a relationship. But that is a moral position, not a scientific one.”

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