The Oxford Handbook of Human Motivation

Second Edition
Oxford Library of Psychology

Area Editors:

Clinical Psychology
David H. Barlow

Cognitive Neuroscience
Kevin N. Ochsner and Stephen M. Kosslyn

Cognitive Psychology
Daniel Reisberg

Counseling Psychology
Elizabeth M. Altmaier and Jo-Ida C. Hansen

Developmental Psychology
Philip David Zelazo

Health Psychology
Howard S. Friedman

History of Psychology
David B. Baker

Methods and Measurement

Todd D. Little

Neuropsychology
Kenneth M. Adams

Organizational Psychology
Steve W. J. Kozlowski

Personality and Social Psychology

Kay Deaux and Mark Snyder
 OX F O R D L I B R A RY O F P S YC H O LO G Y

The Oxford Handbook

of Human Motivation
Second Edition
Edited by
Richard M. Ryan

1
2019
1
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Library of Congress Cataloging-in-Publication Data
Names: Ryan, Richard M., editor.
Title: The Oxford handbook of human motivation / edited by Richard M. Ryan.
Description: Second Edition. | New York : Oxford University Press, [2019] |
Revised edition of The Oxford handbook of human motivation, c2012.
Identifiers: LCCN 2018053782 | ISBN 9780190666453 (hardcover : alk. paper)
Subjects: LCSH: Motivation (Psychology)
Classification: LCC BF503 .O94 2019 | DDC 153.8—dc23
LC record available at https://lccn.loc.gov/2018053782

9 8 7 6 5 4 3 2 1
Printed by Sheridan Books, Inc., United States of America
S H O RT C O N T E N T S

About the Editor  vii

Contributors ix

Table of Contents  xiii

Chapters 1–532

Index  533

v
A B O U T T H E E D I TO R

Richard  M.  Ryan is a Professor at the Institute for Positive Psychology

and  Education at Australian Catholic University. He is a clinical psychologist
and ­co-developer of self-determination theory, with over four hundred papers and
books in the areas of human motivation, personality, and psychological well-being.
He earned his Ph.D. in clinical psychology from the University of Rochester and
B.A.  in philosophy from the University of Connecticut. Ryan has lectured in
hundreds of universities worldwide, received many distinguished career awards,
held several editorial posts, consulted with numerous organizations, schools, and
clinics, and served as an expert on health-care and education initiatives. He is a
Fellow of the American Psychological Association, the American Educational
Research Association, and the Society for Self and Identity among others, and is
an Honorary Member of the German Psychological Society (DGP). He has also
been a James McKeen Cattell and Leverhulme Fellow and a visiting scientist at
the National Institute of Education in Singapore, the University of Bath, UK, and
the Max Planck Institute, Berlin. Ryan is among the most cited and influential
researchers in psychology and social sciences today, and many of his research
papers have been cited in prominent media outlets such as New York Times,
Washington Post, Huffington Post, BBC News, and CNN.

vii
 C O N T R I B U TO R S

Henk Aarts Stefano I. Di Domenico

Utrecht University Australian Catholic University
Utrecht, the Netherlands Sydney, Australia
Mark D. Alicke James Diefendorff
Ohio University Department of Psychology
Athens, OH, USA University of Akron
Emma L. Bradshaw Akron, OH, USA
Australian Catholic University Jacquelynne S. Eccles
Sydney, Australia University of California, Irvine
Jacek Buczny Irvine, CA, USA
SWPS University of Social Sciences and Andrew J. Elliot
Humanities University of Rochester
Warsaw, Poland; Rochester, NY, USA
Vrije Universiteit Amsterdam Sarah M. Espinoza
Amsterdam, the Netherlands University of Minnesota
Jenna Cambria Minneapolis, MN, USA
University of Arkansas Channing E. Everidge
Fayetteville, AR, USA Department of Psychological
Joseph Carpini Sciences
Management and Organisations College of William and Mary
Department Williamsburg, VA, USA
University of Western Australia Alexandra M. Freund
Crawley, WA, Australia Department of Psychology
Charles S. Carver University of Zurich
Department of Psychology Zurich, Switzerland
University of Miami Guido H. E. Gendolla
Coral Gables, FL, USA University of Geneva
James F. M. Cornwell Geneva, Switzerland
Department of Behavioral Sciences and Peter M. Gollwitzer
Leadership Department of Psychology
United States Military Academy New York University
West Point, NY, United States New York, NY, USA
Ruud Custers Martin S. Hagger
Utrecht University Psychological Sciences
Utrecht, the Netherlands; University of California, Merced
University College London Merced, CA, USA
London, UK Marie Hennecke
Edward L. Deci Department of Psychology
University of Rochester University of Zurich
Rochester, NY, USA Zurich, Switzerland

ix
E. Tory Higgins Erika A. Patall
Department of Psychology University of Southern California
Columbia University Los Angeles, CA, USA
New York, NY, USA Eva M. Pomerantz
Martin grosse Holtforth University of Illinois, Urbana–Champaign
University of Bern Champaign, IL, USA
Bern, Switzerland Tom Pyszczynski
Pelin Kesebir University of Colorado, Colorado Springs
University of Wisconsin Colorado Springs, CO, USA
Madison, WI, USA Lili Qin
Lindsay E. Kipp National University of Singapore
Texas State University Singapore
San Marcos, TX, USA Markus Quirin
Julius Kuhl Stanford University
University of Osnabrück Stanford, CA, USA
Osnabrück, Germany Johnmarshall Reeve
Kyle F. Law Australian Catholic University
The State University of New York at Albany Sydney, Australia
Albany, NY, USA K. Ann Renninger
Woogul Lee Department of Educational Studies
Korea National University of Education Swarthmore College
Cheongju, South Korea Swarthmore, PA, USA
McKenzie Lockett Michael Richter
University of Colorado, Colorado Springs Liverpool John Moores University
Colorado Springs, CO, USA Liverpool, UK
Johannes Michalak Tomi-Ann Roberts
Witten/Herdecke University The Colorado College
Witten, Germany Colorado Springs, CO, USA
Mark Muraven Richard M. Ryan
The State University of New York at Albany Australian Catholic University
Albany, NY, USA Sydney, Australia
Kou Murayama William S. Ryan
University of Reading Department of Psychology
Reading, UK University of Toronto, ON, CA
Maida Mustafić Michael F. Scheier
School of Applied Psychology Department of Psychology
University of Applied Sciences and Arts Carnegie Mellon University
Northwestern Switzerland Pittsburgh, PA, USA
Olten, Switzerland Abigail A. Scholer
Jeanne Nakamura University of Waterloo
Quality of Life Research Center Waterloo, ON, CA
Claremont Graduate University Dale H. Schunk
Claremont, CA, USA School of Education
Gabriele Oettingen University of North Carolina, Greensboro
Department of Psychology Greensboro, NC, USA
New York University Constantine Sedikides
New York, NY, USA Center for Research on Self and Identity

x Contributors
 Psychology Department University of Kentucky
University of Southampton Lexington, KY, USA
Southampton, UK Anja van den Broeck
Shannon Shankland Department of Work and Organization
Quality of Life Research Center Studies
Claremont Graduate University KU Leuven
Claremont, CA, USA Leuven, Belgium;
Paul J. Silvia Opentia Research Program
Department of Psychology North West University
University of North Carolina at Greensboro Vanderbijlpark, South Africa
Greensboro, NC, USA Stefan Vermeent
Yoon Young Sim Utrecht University
Department of Psychology Utrecht, the Netherlands
College of William and Mary Lena M. Wadsworth
Williamsburg, VA, USA Department of Psychological Sciences
Cecilia Sin-Sze Cheung College of William and Mary
University of California, Riverside Williamsburg, VA, USA
Riverside, CA, USA Xiaoqing Wan
Stephanie Su Department of Psychological Sciences
Apollo English Vietnam College of William and Mary
Hai Phong, Vietnam Williamsburg, VA, USA
Todd M. Thrash Patricia L. Waters
Department of Psychology The Colorado College
College of William and Mary Colorado Springs, CO, USA
Williamsburg, VA, USA Maureen R. Weiss
Mattie Tops University of Minnesota
Vrije Universiteit Amsterdam Minneapolis, MN, USA
Amsterdam, the Netherlands Stefan Westermann
Dwight C. K. Tse University of Bern
Quality of Life Research Center Bern, Switzerland
Claremont Graduate University Allan Wigfield
Claremont, CA, USA University of Maryland
Lara Turci Faust College Park, MD, USA
University of Maryland Rex A. Wright
College Park, MD, USA University of North Texas
Ellen L. Usher Denton, TX, USA
College of Education

Contributors xi
TA B L E O F C O N T E N T S

Part One  • Introduction

1.  Inside the Black Box: Motivational Science in the 21st Century  3
Richard M. Ryan

Part Two  •  General Theories of Human Motivation

2.  Social Cognitive Theory and Motivation  11
Dale H. Schunk and Ellen L. Usher
3.  A Self-Regulatory Viewpoint on Human Behavior  27
Charles S. Carver and Michael F. Scheier
4.  Regulatory Focus Theory and Research: Catching Up and
Looking Forward After 20 Years  47
Abigail A. Scholer, James F. M. Cornwell, and E. Tory Higgins
5.  A Terror Management Theory Perspective on Human Motivation  67
Tom Pyszczynski, Pelin Kesebir, and McKenzie Lockett
6.  The Nature and the Conditions of Human Autonomy and Flourishing:
Self-Determination Theory and Basic Psychological Needs  89
Richard M. Ryan, William S. Ryan, Stefano I. Di Domenico,
and Edward L. Deci

Part Three  •  Motivational Processes

7.  Ego Depletion: Theory and Evidence  113
Mark Muraven, Jacek Buczny, and Kyle F. Law
8.  The Complex Role of Choice in Human Motivation and
Functioning 135
Erika A. Patall
9.  Curiosity and Motivation  157
Paul J. Silvia
10.  Flow: The Experience of Intrinsic Motivation  169
Jeanne Nakamura, Dwight C. K. Tse, and Shannon Shankland
11.  Implicit–Explicit Motive Congruence and Moderating Factors  187
Todd M. Thrash, Lena M. Wadsworth, Yoon Young Sim, Xiaoqing Wan,
and Channing E. Everidge
12.  Interest and Its Development, Revisited  205
K. Ann Renninger and Stephanie Su

xiii
Part Four  •  Goals and Motivation
13.  Achievement Goals  229
Kou Murayama and Andrew J. Elliot
14.  Goal Attainment  247
Peter M. Gollwitzer and Gabriele Oettingen
15.  Does Goal Pursuit Require Conscious Awareness?  269
Ruud Custers, Stefan Vermeent, and Henk Aarts
16.  On Gains and Losses, Means and Ends: Goal Orientation and
Goal Focus Across Adulthood  285
Alexandra M. Freund, Marie Hennecke, and Maida Mustafić

Part Five  •  Motivation in Relationships

17.  The Five Pillars of Self-Enhancement and Self-Protection  307
Constantine Sedikides and Mark D. Alicke
18.  The Gendered Body Project: Sexual and Self-Objectification as Motivated
and Motivating Processes  321
Tomi-Ann Roberts and Patricia L. Waters
19.  Relatedness Between Children and Parents: Implications for Motivation  337
Eva M. Pomerantz, Cecilia Sin-Sze Cheung, and Lili Qin

Part Six  •  Biological Perspectives

20.  Motivational Neuroscience  355
Johnmarshall Reeve and Woogul Lee
21.  Advancing Issues in Motivation Intensity Research: Updated Insights from the
Cardiovascular System  373
Guido H. E. Gendolla, Rex A. Wright, and Michael Richter
22.  Autonomous Motivation, Internalization, and the Self:
A Functional Approach of Interacting Neuropsychological Systems  393
Markus Quirin, Mattie Tops, and Julius Kuhl

Part Seven  •  Motivation in Application

23.  Motivation in Psychotherapy  417
Stefan Westermann, Martin grosse Holtforth, and Johannes Michalak
24.  Motivation in Education  443
Allan Wigfield, Lara Turci Faust, Jenna Cambria, and Jacquelynne S. Eccles
25.  Advances in Motivation in Exercise and Physical Activity  463
Martin S. Hagger
26.  Motivational Processes in Youth Sport and Physical Activity  487
Maureen R. Weiss, Lindsay E. Kipp, and Sarah M. Espinoza
27.  Work Motivation: Where do the Different Perspectives Lead Us?  507
Anja van den Broeck, Joseph Carpini, and James Diefendorff

xiv Table of Contents

Part Eight  • Epilogue
28.  Envisioning Progress and Perils: Musings on the Future of Motivation Research
in a Rapidly Evolving World  527
Richard M. Ryan and Emma L. Bradshaw

Index 533

Table of Contents xv
 P A R 
T
1
Introduction
 CH A PT ER

1 Inside the Black Box

Motivational Science in the 21st Century

Richard M. Ryan

Abstract

Historical trends in the study of human motivation reveal a movement away from an exclusive focus on
external reinforcements and punishments in shaping behavior and toward the understanding, first, of
internal mediating mechanisms and processes, and second, of the internal sources of motivation
reflecting our evolved propensities and natures. The contributions in this volume are especially strong
regarding these internal sources of motivation and mediational processes, with contributions focused
on biological underpinnings, the dynamics of intrinsic and extrinsic motivations, implicit and explicit
cognition and self-appraisals, the roles of expectancies and goals, and the environmental and social
factors that influence or moderate these motivation-relevant mechanisms and processes. Contributions
also highlight the applied significance of contemporary motivation research, which is influencing
practice and outcomes in domains such as parenting, education, physical activity, sport, work and
organizations, and psychotherapy.
Keywords:  human motivation, behaviorism, cognitive mediation, intrinsic motivation, neuroscience,
applied psychology

Just over a century ago a revolution was happening b­ ehaviorism that would dominate, and indeed
in the science of motivation. It was clamorous and define, the nature of motivation science for most of
controversial, and it reshaped the entire field. This the remaining 20th century. Watson, and later other
Handbook of Human Motivation, Second Edition, behaviorists, famously specified that psychology
reflects a quieter turn of events, but one just as must become an objective science. In this view
revolutionary. It reflects a strong turn within our events inside the organism were not particularly rel-
21st-century motivational science toward a detailed evant to a science of behavior. Even more strongly,
understanding of the internal psychological processes some behaviorists denigrated the world of ideas and
and biological mechanisms underpinning behavior. experiences as determinative of action. As Skinner
It is a direction of research that would send some of (1953) put it, “No matter how defective a behavioral
our forerunners reeling, but one that is nonetheless account may be, we must remember that mentalis-
essential to our continuing progress as a science. tic explanations explain nothing” (p. 246). It was not
In what follows, the outlines of these historical trends only psychological constructs that were eschewed;
are highlighted as they relate to the ideas of the neurological and physiological explanations were
field-leading theorists and researchers who have also sidelined. Instead, the focus was on the func-
contributed to this volume. tional control of behavior by external events and
reinforcements.
The 20th Century’s Behaviorist Revolution Behaviorism was not only a concept of what not
Just over 100 years ago, John Watson (1917) pub- to study, but also a guide to where the important
lished a book introducing a new approach called action is—in the environment. Outside the organism

3
are the contingencies of reinforcement of which all between inputs and outputs (Skinner, 1953). There
complex behavior was understood to be a function. was simply little need to enter the black box, either
Because any behaviors that recurred were posited to through phenomenology or through mechanistic
be “under the control of” reinforcement processes, the research, to understand and control behavior.
focus of research was on the most effective schedules
of reinforcement for increasing and maintaining Behavioral Science Today: Motives,
­response rates over time. In this behaviorist world- Mechanisms, and Mediation
view, the inner workings of self and personality One hundred years after Watson, motivational
­represent “at best a repertoire of behavior” that is ­science no longer embraces that black box view.
“imparted by an organized set of contingencies” In fact, motivational science in the early 21st century
(Skinner, 1953, p. 164). Accordingly, the search for is very much occupied with what is going on inside
motivation was focused almost exclusively on the the box. The major frameworks for understanding
nature of the contingencies that affect the probabil- behavior and its motivations are all about under-
ity of behavior. standing people’s goals, purposes, and meanings
One explanation for the long-term dominance and pinpointing the mediators and mechanisms,
of behavioristic theories in the field of motivation cognitive, emotional, and biological, underpinning
lies in the relative ease in which that model can be complex behaviors. These trends are richly expressed
applied. Manipulating facets of the environment in the explanatory and empirical frameworks to be
and looking for changes in output are operations that found in the chapters that follow.
are readily doable in laboratory settings. Internal
variables and mediators are not so easily isolated and Cognitive Mediation
varied. Thus, even researchers who may not techni- The revolt against the black box model most certainly
cally be behaviorist in orientation find the presenta- began with, and continues to be undergirded by, a
tions of external rewards and punishments a practical concern with cognitive mediators between environ-
inroad into motivational processes. Unfortunately, mental inputs and behavioral outputs. The harbinger
too often theorists unwittingly have generalized of this approach was in fact a contemporary of
this capacity of strong contingencies to change be- Watson and Skinner, namely Edward Chase Tolman,
havior in controlled settings to the idea that this is a brilliant experimenter who was often ignored in
how organismic motivational processes normally his time. But his work came to be reflected in subse-
work (McCall,  1977; Ryan, Legate, Niemiec, & quent thinking by researchers like Rotter (1954),
Deci, 2012). who helped seed this revolution by asserting that it
is the expectancy of reinforcement that determines the
The Black Box View probability of responding. Rotter showed that changes
This behavioristic orientation that dominated most in expectancy can alter probabilities of response
of the 20th century of psychological science has ­independent of actual histories of reinforcement.
been characterized as black box thinking. In fields Further, Rotter emphasized that reinforcement value
such as computing and engineering, a black box also matters. Indeed, both expectancies and values
model is one in which a system is analyzed exclu- represented critical cognitive mediators between the
sively in terms of its inputs and outputs. In behav- environment and behavioral responses.
ioral science, this model was applied not because of Several frameworks in this volume are anchored
any lack of curiosity about how organisms work, by a focus on these mediators of expectance and
but rather because of a more principled idea. Watson value. Most notably, Schunk and Usher (2019,
(1917) for example, believed that the contents of Chapter  2) begin the major theories section by
mind were simply inaccessible to proper scientific ­reviewing the social cognitive approach to motivation
methods. Skinner (1953) not only echoed Watson’s pioneered by Albert Bandura. Although Bandura’s
dismissal of mentalisms, but also described such in- work itself dates well back into the 20th century,
terests as having the appeal of the “arcane, the occult, (e.g., Bandura & Walters, 1963), the importance of
the hermetic, the magical” (p. 178). Furthermore, expectancies of reinforcement and value for outcomes
beyond concern with the difficulties of observing continues to be apparent in basic and applied
psychological events, even the physical mechanisms ­motivational research. Especially emphasized is the
of the brain, which presumably mediate behavior, import of feelings of self-efficacy in sustained behavior.
were seen as largely irrelevant to a functional view of This emphasis on expectancies and value as media-
behavior, which could focus simply on the relations tors of behavior is also explicitly at the center of the

4 INSIDE THE BLACK BOX: MOTIVATIONAL SCIENCE IN THE 21ST CENTURY

goal perspective of Gollwitzer and Oettingen (2019, of seemingly constructive and meaningful human
Chapter  14), to which they add features of our behaviors. Roberts and Waters (2019, Chapter 18)
­reflective capacity for evaluating goals and probabil- describe how humans objectify one another, and
ities of attainment. Expectancies and value are also at sometimes themselves, and how such dehumaniza-
the core of the applied work in education reviewed tion impacts motivation and wellness. Sedikides
by Wigfield, Turci, Cambria, and Eccles (2019, and Alicke (2019, Chapter 17) highlight a universal
Chapter 24). aspect of human concern, namely, self-esteem, as
Cognitive mediation is in fact a major concern of motivating human action and psychological defense.
several theorists in this volume. At the heart of work Nakamura, Tse, and Shankland (2019, Chapter 10)
by Scholer, Cornwell, and Higgins (2019, Chapter 4) focus on the phenomenological experience of flow,
is the view that cognitive orientations toward pro- indicative of intrinsic motivations, the existence of
motion versus prevention mediate and/or moderate which behaviorists have frequently denied (e.g.,
relations between contexts and behaviors. These Carton, 1996). Patall (2019, Chapter 8) reviews the
­individual differences in motivational orientation also literature of choice and how choice can positively
color human experience and affect motivation and influence volitional persistence and intrinsic moti-
wellness. Carver and Scheier (2019, Chapter 3) review vation, even as it often requires cognitive resources.
their cybernetically informed and dynamic theory Related to the theme of intrinsic motivation and
of self-regulation, demonstrating how cognitive and people’s spontaneous motivations to engage their
affective structures alter trajectories of persistence and environments are chapters by Renninger and Su
functional capacities. These self-regulatory structures (2019, Chapter  12) on interest and Silvia (2019,
operate through neural processes that both constrain Chapter 9) on curiosity. Both interest and curiosity
and energize continuing actions toward goals. are experiential phenomena, and both are under-
Murayama and Elliot (2019, Chapter 13) build on stood as deeply evolved human functionalities
a  history of work on achievement motivation and ­underpinning learning and engagement. Alongside
approach and avoidance motivation, showing how these is our own chapter on self-determination
goals toward task mastery versus outperforming theory (Ryan, Ryan, Di Domenico, & Deci, 2019,
others affect achievement outcomes. Further, taking Chapter 6), in which motivation is seen as varying
a life-span perspective, Freund, Hennecke, and in its relative autonomy, and basic psychological
Mustafić (2019, Chapter 16) underscore the changing need satisfactions for autonomy, competence, and
landscape of human goals and capacities across relatedness lie at the heart of human wellness.
development and the trade-offs in social and emo-
tional functioning one inevitably makes with age. Motivation and Mechanisms
Across these theories, it is important to recognize Whereas many chapters herein emphasize psycho-
that cognition does not require conscious or explicit logical constructs such as meaning, interests, goals,
structures. Cognitive mediators can be implicit (e.g., expectancies, and the like, several also include concern
see Custers, Vermeent, & Aarts, 2019, Chapter 15; with biological mechanisms that mediate environ-
Thrash, Wadsworth, Sim, Wan, & Everidge, 2019, ment and behavior relations. When one thinks of
Chapter  11) and more or less well integrated into motivation, one thinks of an organism that is mobi-
adaptive behavior and experience. These and other lized to act. But such mobilization requires energy, as
creative theories in this volume show the impor- Muraven, Buczny, and Law’s review of the rich liter-
tance of cognitive variables in the predication, con- ature on ego depletion (2019, Chapter  7) so surely
trol, and coherence of human action. confirms. Such energy is not just about positive
­expectancies per se (although they help), but also
Meanings, Interests, and Motivation requires some biological supports.
Some major theories represented here go beyond In this volume, several chapters are especially
cognition per se to address variables that would be ­focused on these biological supports. Reeve and Lee
particularly troublesome to our behaviorist fore- (2019, Chapter 20) discuss the “two-way street” of
runners in the 20th century. Terror management research developing between modern brain sciences
theory, here reviewed by Pyszczynski, Kesebir, and and behavioral studies in the field of motivation.
Lockett (2019, Chapter  5), ventures into deeply Included in their discussion are the neurological
­existential issues, especially focusing on humans’ bases of the phenomena considered mysterious
unique awareness of mortality and how protecting by behaviorists, such as intrinsic motivation, will,
ourselves from this awareness of death drives a host and volitional action. Similarly, Quirin, Tops, and

RYAN 5
Kuhl (2019, Chapter 22) apply personality systems It is my hope that the varied contributions within
interaction theory to focus on autonomy and volition this second edition of the Oxford Handbook of
as supported by both mechanisms in central reward Human Motivation further facilitate these advances,
systems and the executive functions of the prefrontal serving as guideposts for this incredible journey into
cortex. This new emphasis on the neuropsychology of the inner workings of people as they act within this
autonomous and intrinsic motives in humans clearly material world.
represents a new frontier in motivational studies
(Di Domenico & Ryan, 2017).
Although the brain is the most celebrated organ References
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of human motivation, it cannot by itself support
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is a review by Gendolla, Wright, and Richter (2019, Carton, J. S. (1996). The differential effects of tangible rewards
Chapter 21) emphasizing the cardiovascular supports and praise on intrinsic motivation: A comparison of cognitive
for effortful action, seen as dynamically affected by evaluation theory and operant theory. Behavior Analyst, 19,
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Carver, C. S., & Scheier, M. F. (2019). A self-regulatory viewpoint
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is especially critical. There is no persistent action neuroscience of intrinsic motivation: A new frontier in self-
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Freund, A. M., Hennecke, M., & Mustafić, M. (2019). On gains
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Gendolla, G.  H.  E., Wright, R.  A., & Richter, M. (2019).
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­institutional policies aimed at ­optimizing people’s University Press.
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performance and wellness. These chapters show
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affair—its validity and utility are continuously being Theory and evidence. In R.  M.  Ryan (Ed.), The Oxford
critically tested in real-world settings. handbook of human motivation (2nd ed.). New York, NY:
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RYAN 7
 PA RT  
2
General Theories of
Human Motivation
 CH A PT ER

2 Social Cognitive Theory and Motivation

Dale H. Schunk and Ellen L. Usher

Abstract

Social cognitive theory is a theory of human behavior that emphasizes learning from the social
environment. This chapter focuses on Bandura’s social cognitive theory, which postulates reciprocal
interactions among personal, behavioral, and social/environmental factors. Persons use various
vicarious, symbolic, and self-regulatory processes as they strive to develop a sense of agency in their
lives. Key motivational processes are goals and self-evaluations of progress, outcome expectations,
values, social comparisons, and self-efficacy. People set goals and evaluate their goal progress. The
perception of progress sustains self-efficacy and motivation. Individuals act in accordance with their
values and strive for outcomes they desire. Social comparisons with others provide further information
on their learning and goal attainment. Self-efficacy is a critical influence on motivation and affects task
choices, effort, persistence, and achievement. Recommendations are made for future research.
Keywords:  social cognitive theory, vicarious processes, symbolic processes, self-regulatory processes,
goals, self-evaluations of progress, outcome expectations, values, social comparisons, self-efficacy

Introduction and consequences of behaviors. People are motivated

Contemporary perspectives of motivation postulate to act in accordance with their beliefs about their
that cognitive and affective variables (e.g., thoughts, capabilities and the expected outcomes of actions.
beliefs, emotions) underlie motivation. As used in From its inception, social cognitive theory has
this chapter, motivation refers to the process whereby emphasized the importance of motivation in human
goal-directed activities are instigated and sustained behavior. Rotter’s (1954) social learning theory, for
(Schunk, Meece, & Pintrich, 2014). Current cogni- example, included two prominent motivational
tive and constructivist theories contrast with earlier variables: expectancy, or one’s belief about the likeli-
views that linked motivation with individual differ- hood of a particular reinforcement occurring follow-
ences in instincts and traits and with behavioral ing a specific behavior, and reinforcement value, or
theories that construed motivation as an increased how much one values a given outcome relative to
or continued level of responding to stimuli caused other potential outcomes. Bandura’s 1960s studies
by reinforcements. on modeling were based on theoretical predictions
In this chapter, we discuss motivation from the of his social learning theory (Bandura & Walters,
perspective of social cognitive theory. Social cognitive 1963), which included motivation as a key influence
theory emphasizes the idea that much human learn- on observational learning through modeling.
ing and behavior occurs in social environments. By Although there are various social cognitive
interacting with others, people acquire knowledge, ­perspectives on motivation, this chapter focuses on
skills, strategies, beliefs, and attitudes. Through their Bandura’s (1977b, 1986, 1997, 2001) theory, which
observations and interactions with others, individu- underscores the key roles of vicarious, symbolic, and
als also learn about the appropriateness, usefulness, self-regulatory processes in human learning and

11
behavior (Schunk,  2012). This social cognitive among three sets of influences: personal (e.g.,
framework often is employed by researchers to ­cognitions, beliefs, skills, affect), behavioral, and
­explore the operation and outcomes of cognitive social/environmental factors (Figure  2.1). These
and affective motivational processes. reciprocally interacting influences are illustrated
­
The next section describes the conceptual frame- using self-­efficacy—a personal factor. With respect

(person → behavior), much research shows that

work of social cognitive theory to include the to the interaction of self-efficacy and behavior
­important roles played by vicarious, symbolic, and
self-regulatory processes. Some key social cognitive self-efficacy influences achievement behaviors such
motivational processes are discussed, including goals as task choice, effort, persistence, and use of effective
and self-evaluations of progress, outcome learning strategies (Schunk & DiBenedetto, 2016;

(behavior → person). As students work on tasks

­expectations, values, social comparisons, and self- Usher, 2015). These behaviors also affect self-efficacy
efficacy. A separate section is devoted to discussing
self-efficacy, or one’s perceived capabilities for learning and observe their learning progress, their self-efficacy
or performing actions at designated levels (Bandura, for continued learning is enhanced.

factors (person → social/environment) can be illus-

1977a,  1997), given its centrality to learning and The link between personal and environmental
motivation. We conclude the chapter with future
research recommendations. trated with students with learning disabilities, many
of whom hold low self-efficacy for performing well
Conceptual Framework (Licht & Kistner,  1986). Instructors in such envi-
This section discusses central features of the concep- ronments may base their reactions to these students
tual framework of Bandura’s social cognitive theory. on perceived attributes about the students (e.g., low
Of particular importance are reciprocal interactions skills) rather than on students’ actual capabilities.

self-efficacy (social/environment → person), such as

among personal, behavioral, and social/environmental In turn, environmental feedback can affect students’
factors; the distinction between enactive and vicari-
ous learning; and the roles of vicarious, symbolic, when a teacher tells a student, “You can do this”
and self-regulatory processes in psychological (Butz & Usher, 2015).
functioning. The interaction between behaviors and envi-
ronmental factors is seen in many instructional

­behaviors (social/environment → behavior), as when

Reciprocal Interactions sequences. Environmental factors can direct
A central tenet of Bandura’s (1977b,  1986, 1997,
2001) social cognitive theory is that human behavior a teacher points to a display and says, “Look at this,”
operates within a framework of reciprocal interactions which students do without much conscious effort.

Behavioral
Factors

Personal Factors Social/Environmental

(cognitions, beliefs, skills, affects) Factors

Figure 2.1  Reciprocal interactions in social cognitive theory.

12 SOCIAL COGNITIVE THEORY AND MOTIVATION

environments (­behavior → social/environment).
Students’ behaviors can alter their instructional Vicarious, Symbolic, and Self-Regulatory
Processes
When teachers ask questions and students give Social cognitive theory stresses that people possess
­incorrect answers, teachers are apt to reteach the capabilities that distinguish them as humans and
material rather than continue with the lesson. motivate them to strive for a sense of agency. Three
Social cognitive theory emphasizes the impor- prominent types of capabilities involve vicarious,
tance of human agency in which individuals attempt symbolic, and self-regulatory processes.
to exert a large degree of control over their thoughts,
feelings, and actions (Schunk, 2012). In reciprocal Vicarious Processes
fashion, people affect and are influenced by their The capability for learning vicariously allows indi-
actions and environments. But given social cognitive viduals to acquire beliefs, cognitions, affects, skills,
theory’s grounding in the social environment, the strategies, and behaviors from observations of others
scope of this reciprocal influence includes groups as in their social environments. This capability not
well as individuals. Collective agency refers to people’s only saves people time over what would be required
shared perceived capabilities of attaining group out- if all learning had to be demonstrated at the time of
comes (Schunk & Usher,  2012). Like individuals, learning but also allows people to shape their lives as
groups also affect and are influenced by their actions they attend to environmental features. A theory of
and environments. human agency recognizes that, although some social
environments are imposed, others are selected or cre-
Enactive and Vicarious Learning ated by individuals (Bandura, 2001). Thus, students
In social cognitive theory, learning occurs enactively who want to become musicians enroll in music
through actual doing and vicariously through observ- ­programs and put themselves in situations where
ing models (e.g., live, filmed, symbolic; Bandura, they can learn vicariously, such as by attending classes,
1977b). Enactive learning involves learning from observing and working with teachers, playing in
the consequences of one’s actions, which can inform orchestras, watching videos, attending concerts, and
and motivate. Actions convey information about so forth. The models in individuals’ environments are
the accuracy or appropriateness of one’s behaviors. important sources of information and motivation.
People rewarded for their actions understand that This section discusses the relevance of vicarious pro-
they are performing well; punishments signal behav- cesses for learning and motivation.
ioral inappropriateness. Individuals are motivated
to learn and perform behaviors that they believe will Types of Vicarious Processes
have desirable consequences and to avoid learning Bandura (1986) distinguished three types of vicari-
behaviors that they believe will be punished. ous processes: response facilitation, inhibition and
Much human learning occurs vicariously and disinhibition, and observational learning. Response
does not require actual performance by learners. facilitation refers to modeled actions that serve as
Vicarious learning offers an efficient alternative to social motivators for observers to act in the same
learning by doing. Human learning would be fashion. Response facilitation effects are common in
­inefficient if actions always were required. Vicarious everyday life. An individual walking down a street
learning also saves people from undesirable conse- who encounters a group of people looking in a store
quences. For example, observing or reading about window may be motivated to stop and look in the
safety techniques saves individuals from acting in window.
potentially dangerous ways. As with enactive learning, Response facilitation effects do not represent
observers are motivated to learn actions that lead to learning because people already know how to per-
successes. People attend to successful models who form the actions. The behaviors of others motivate
demonstrate actions that they believe may benefit observers’ actions. Some research evidence shows
them (Schunk, 1987). that r­ esponse facilitation effects can occur without
Learning of complex skills typically occurs both conscious awareness (Chartrand & Bargh,  1999;
enactively and vicariously. By observing teacher Heyes, 2011). Inhibition and disinhibition effects
models, students may learn some aspects of a skill. result when models strengthen or weaken observers’
As they practice the skills, teachers provide feedback tendencies to act in given ways. Inhibition can
and corrective instruction as needed. Observation, happen when models are punished for their actions,
practice, and feedback are needed for all but simple whereas disinhibition can result when models
skills (Bandura, 1986). ­perform threatening or prohibited actions without

SCHUNK AND USHER 13

negative consequences. Classroom misbehavior f­ eatures through observation. They refine their skills
may be disinhibited when students observe other through practice and feedback that may include
students misbehaving without being reprimanded additional modeling (e.g., worked examples; see
­
by the teacher, whereas a sudden reprimand may Renkl, 2014).
inhibit further misbehavior. Motivation is a key process in observational
Like response facilitation, inhibition and disin- learning because onlookers are more apt to attend
hibition represent motivational effects on behavior, to, retain, and produce modeled actions that they
not new learning. A difference between these two believe are important. People are selective; they do
categories is that response facilitation involves behav- not learn or perform everything that they observe.
iors that are socially acceptable, whereas inhibition Rather, they attempt to learn those actions that
and disinhibition involve actions that have moral or they believe will lead to desirable outcomes and
legal implications (e.g., breaking rules) or involve help them attain their goals, and they avoid those
strong emotions (e.g., fears). Favorable or unfavora- actions that they believe will result in dissatisfying
ble portrayals by the media can affect an observer’s outcomes. As they observe the actions of others,
moral standards and self-sanctions (Bandura, 2016). people form outcome expectations about antici-
For example, watching, listening to, or reading pated outcomes of behaviors, which are based on
about someone’s aggressive behavior that results in their observations of models and their own experi-
no adverse consequences may disinhibit others who ences. Their learning and performances are based in
might take similar aggressive actions. part on these expectations.
Observational learning through modeling occurs
when observers perform behaviors that they had not Model Characteristics
learned prior to exposure to the models (Bandura, Researchers have investigated the characteristics of
1986). Observational learning has four component effective models. For example, perceived similarity
processes: attention, retention, production, and between models and observers is a key variable
motivation. that affects modeling (Schunk, 1987). Similarity in
Observational learning requires that observers ­important ways serves as a source of information
attend to relevant features so that they can be per- for determining behavioral appropriateness, form-
ceived. Certain features of models and situations ing outcome expectations, and assessing one’s self-
command better attention. Observers are more efficacy. Age similarity between model and observer
motivated to attend to models who have status and is important for gauging behavioral appropriateness
credibility, such as teachers (Bandura,  1997). Task but less so for actual learning, which is enhanced
features can affect attention, as when teachers use more by models who observers believe are compe-
bright colors, oversized features, and interactive tent. When competence and age similarity do not
materials. Attention also is influenced by observers’ match (e.g., a younger model is more competent
beliefs about the functional value of the modeled than a same-age model), children are swayed more
behaviors. Modeled activities that observers believe by the competent model. Viewing a similar peer
are important and likely to lead to desirable out- successfully perform a task may raise observers’
comes motivate them to pay attention. Students’ self-efficacy and motivate them to learn because
attention should be raised when teachers provide they are apt to believe that if the model could learn,
verbal markers, such as when they announce that they can as well (Butz & Usher,  2015; Schunk,
students will be tested on the material they are about 1987). Model gender can influence modeling by
to cover. conveying information about task appropriateness.
Retention involves cognitively organizing, re- In general, observing a same-gender peer model
hearsing, coding, and transforming information for perform a behavior without negative consequences
storage in memory. Relative to the other processes conveys that the action is appropriate. Model
of observational learning, social cognitive theory gender is less important in learning academic skills
devotes less attention to this process. Theorists and and strategies (Schunk, 1987).
researchers in the information processing tradition Researchers have also explored the effects of
have addressed this aspect in depth (Radvansky & ­exposing students to mastery and coping models
Ashcraft,  2014). The third process—production— (Schunk, 1987). Mastery models demonstrate fault-
involves translating cognitive conceptions of modeled less performance from the outset. Coping models
actions into behaviors. Especially with complex initially have difficulty learning skills, but through
behaviors, observers often will learn only some effort gradually improve their skills and eventually

14 SOCIAL COGNITIVE THEORY AND MOTIVATION

perform as well as mastery models. Research shows Self-Regulatory Processes
that children who have experienced previous diffi- Social cognitive theory assigns a prominent role to
culties learning may benefit more from observing self-regulatory processes (Bandura,  1986; Schunk,
coping models (Schunk & Hanson, 1985). Such chil- 2012; Usher & Schunk, 2018). Self-regulation refers
dren may perceive themselves as more similar in to the processes that individuals use to activate and
competence to coping models, which can raise their sustain behaviors, cognitions, and affects, which are
self-efficacy and motivation for learning. Viewing systematically oriented toward attainment of goals
one’s own performances, or self-modeling, can facilitate (Zimmerman,  2000). Prior to beginning a task,
learning and motivation. Carroll and Bandura (1982) people set goals and determine which strategies to
had adults view models performing a motor skill and use. As they work on tasks, they assess their goal
then attempt to reproduce the skill. Performances of progress and decide whether to continue or alter
some learners were taped and learners were allowed their strategies. During breaks and when tasks are
to watch this concurrent visual feedback while per- complete, they reflect on their experiences, seeking
forming. Visual feedback given before learners had to make sense of them and to determine what their
formed a mental model of the skill had no effect on next steps should be. As they reflect on what they
performance, but once learners had formed such a have done, their belief that they have learned and
mental model, the visual feedback enhanced their made progress strengthens their self-efficacy and
production of the skill. The self-modeled feedback motivates them to continue learning. We elaborate
may reduce discrepancies between learners’ mental on these motivational processes next.
models and actual performances.
Observational learning is enhanced when mod- Motivational Processes
eled displays contain explanations and demonstra- The preceding sections showed how observational,
tions (cognitive modeling). In an early study, Schunk symbolic, and self-regulatory processes can have
(1981) compared the effects of cognitive modeling motivational effects on individuals (Schunk &
with those of didactic instruction on children’s long- Usher, 2012). Among the most critical motivational
division self-efficacy and achievement. Children who processes are goals and self-evaluations of progress,
lacked division skills received instruction and practice outcome expectations, values, social comparisons,
over sessions. Cognitive-modeling children observed and self-efficacy (Table  2.1). These processes are
an adult model explain and demonstrate division covered in the following sections.
solution strategies while applying them to problems.
Didactic-instruction children received written in- Goals and Self-Evaluations of Progress
structional material that explained and demonstrated Goals, or what people are consciously trying to attain,
the operations. Compared with didactic instruction, involve symbolic and self-regulatory processes that
cognitive modeling promoted division achievement people use to instigate and sustain actions. Initially,
and accuracy of perceived division capabilities (i.e., people must make a commitment to attempt to
self-efficacy was better aligned with demonstrated attain goals because goals do not affect behavior
skills). without commitment (Locke & Latham, 2002).
As people work on a task, they compare their current
Symbolic Processes performance with their goals. Positive self-evaluations
In addition to their capability for vicarious learning, of progress strengthen self-efficacy and sustain
individuals possess the capacity for symbolic repre- motivation. A perceived discrepancy between ­present
sentations, which involve language, mathematical performance and the goal may create dissatisfac-
and scientific notation, iconography, and cognition tion, which can raise effort. Goals motivate people
and which help people adapt to and alter their to  expend the necessary effort and persist at the
­environments (Bandura, 1986). They use symbolic task (Locke & Latham, 2015). Greater effort and
processes to interpret actions and outcomes and
guide future actions. People do not simply react to Table 2.1  Social Cognitive Motivational Processes
events in their lives, but rather generate new courses
of actions for solving problems based on their capa- •  Goals and self-evaluations of progress
bilities to symbolize. Symbolic processes also foster •  Outcome expectations
communications with others (e.g., in person, on the • Values
•  Social comparisons
phone, electronically, in writing), which promote
• Self-efficacy
further learning.

SCHUNK AND USHER 15

persistence typically lead to better performance. motivation are sustained as learners work toward
Goals also help to direct people’s attention to rele- their goals and assess their progress (Schunk, 1996).
vant task features, behaviors to be performed, and In contrast, performance goals focus attention
possible outcomes of their actions, which can affect on completing tasks. They may not highlight the
how people process information. importance of the processes and strategies underly-
Although goals are important motivational pro- ing task completion or raise self-efficacy for learning.
cesses, their effects depend on their properties: spec- As students engage in a task, they may be less likely
ificity, proximity, and difficulty. Goals that include to determine their progress by comparing their
specific performance standards (e.g., “Read 10 pages”) ­present and past performances. Performance goals
are more likely to activate self-evaluations of progress can lead to social comparisons with the work of
and enhance motivation and learning than are gen- others to determine progress. These comparisons can
eral goals (e.g., “Read some pages”; Bandura, 1986). lower self-efficacy among students who experience
Specific goals indicate the amount of effort needed learning difficulties, which adversely affects moti-
to succeed, and evaluating progress toward specific vation and learning.
goals is straightforward. Goals also are distinguished Research supports these hypothesized effects of
by how far they project into the future. Proximal, learning and performance goals (Anderman &
short-term goals (e.g., “Read 10 pages in the next Wolters, 2006). For example, Schunk (1996) con-
hour”) enhance motivation and learning better than ducted two studies in which elementary-age chil-
do distant, long-term goals (“Read 10 pages by the dren with low fraction skills received instruction
end of the week”) because people often put off what and practice on fractions over sessions. Children
they do not have to do soon (Schunk, 2012). worked under conditions involving either a learning
Goal difficulty, which refers to the level of task goal of how to solve problems or a performance goal
proficiency required as assessed against a standard, of solving them. In the first study, half of the students
influences the amount of effort that people expend. in each goal condition completed a self-evaluation
In general, people work harder to attain goals at the end of each instructional session in which
­perceived to be difficult than goals thought to be they evaluated their progress in learning to solve the
easier; however, perceived difficulty and motivation types of problems covered during that session. The
do not bear an unlimited positive relation to one learning goal with or without self-evaluation and
another. Goals that people believe are overly diffi- the performance goal with self-evaluation led to
cult do not motivate because people hold low self- higher motivation, self-efficacy, and achievement.
efficacy for attaining them. The opposite may also In the second study, all students evaluated their
be true. Although people may feel efficacious for learning progress at the end of the last instructional
attaining goals perceived as very easy, these goals session. The learning goal led to higher motivation
may not ­motivate because people often procrasti- and achievement outcomes than did the perfor-
nate in ­attempting them. The best goals are those mance goal.
people view as challenging but attainable (Locke & Schunk and Ertmer (1999) conducted two stud-
Latham, 2015). ies with college undergraduates as they worked on
Another distinction is between learning and computer projects over sessions. Students received a
­performance goals. A learning goal refers to what goal of learning computer applications or a goal of
knowledge, behavior, skill, or strategy students performing them. In the first study, half the students
are  to acquire; a performance goal refers to what in each goal condition evaluated their learning
task ­students are to complete. These goals can progress midway through the instructional program.
have ­differential effects on achievement behaviors The learning goal led to higher self-efficacy, self-
(Anderman & Wolters, 2006). Learning goals focus evaluated progress, and self-regulatory competence
students’ attention on processes and strategies that and strategy use. The opportunity to self-evaluate
help them acquire competence and improve their progress promoted self-efficacy. In the second study,
skills. Focusing on knowledge and skill acquisition students in the self-evaluation condition assessed their
motivates behavior and sustains attention to impor- progress after each instructional session. Frequent
tant features. Students in pursuit of a learning goal self-evaluation produced comparable results when
are apt to feel self-efficacious for attaining it and be linked with a learning or performance goal. These
motivated to work hard, persist, and use effective results suggest that infrequent self-evaluation of one’s
learning strategies (Huang, 2016). Self-efficacy and progress complements learning goals, but frequently

16 SOCIAL COGNITIVE THEORY AND MOTIVATION

evaluating one’s progress can outweigh the benefits expectations, although the latter results were
of learning goals and raise motivation and achieve- ­significant and added to the prediction of achieve-
ment outcomes. This is another example of students’ ment. This study also found that self-efficacy and
personal influences on their motivation and behav- outcome expectations in each domain related sig-
ior through self-regulatory processes. nificantly to achievement in the other domain, which
suggests that improvements in students’ self-efficacy
Outcome Expectations and outcome expectations in one literacy area may
Outcome expectations are beliefs about the expected generalize to other areas.
outcomes of actions. They can refer to external out- Values are individuals’ perceptions of the impor-
comes (e.g., “If I study hard, I should do well on tance and utility of learning and acting in given ways.
the  test”), to internal outcomes (e.g., “If I study The role of values in motivation has been explored
hard, I will feel good about myself”), and to progress extensively by achievement motivation researchers
in learning (e.g., “If I study hard, I will learn more”). (Wigfield, Rosenzweig, & Eccles,  2017; Wigfield,
People form outcome expectations about the likely Tonks, & Klauda, 2016). Values enter prominently
consequences of given actions based on personal in a social cognitive account of motivation and
­experiences and observations of models (Bandura, ­behavior (Bandura, 1997, 2016). People who value
1986; Schunk, 2012; Schunk & Zimmerman, 2006). attaining a sense of agency believe that they can
Outcome expectations constitute a source of moti- exert significant control over important elements in
vation. Individuals act in ways they believe will be their lives and are motivated to do so.
successful and attend to models who they believe Individuals act in ways to bring about the out-
will teach them valued skills. comes they value and avoid actions leading to
Outcome expectations can sustain behaviors ­outcomes that are inconsistent with their values.
over long periods when people believe their actions They are motivated to learn when they believe that
will eventually produce desired outcomes. Students learning is important. For instance, students who
who feel self-efficacious for succeeding and believe value mathematics may do so for various reasons,
that their actions will lead to positive outcomes are such as because they want to become mathematics
motivated to continue working even when progress teachers or because they believe that mathematics
occurs slowly. Conversely, those whose self-efficacy has many uses in everyday life. Valuing mathemat-
is weaker may, when they encounter difficulties, ics may lead them to take more mathematics
work lackadaisically or give up. This situation can courses and expend greater effort to succeed.
be demotivating; students may believe that positive Investigations by achievement motivation research-
outcomes could result but that they personally lack ers (e.g., Wigfield et al., 2016,  2017) have shown
the self-efficacy to motivate themselves to continue. that values and e­ xpectancy beliefs such as self-efficacy
For example, they may believe that if they studied relate positively to students’ achievement. When
hard they would do well on the test, but may doubt both expectancy beliefs and values are used to pre-
their self-efficacy to study hard. dict achievement, expectancy beliefs are significant
Shell, Murphy, and Bruning (1989) obtained predictors, whereas values are not. In contrast,
­evidence of the influential role of outcome expecta- values are better predictors of students’ intentions
tions. College students completed measures of self- to take future courses and actual enrollment in
efficacy and outcome expectations for reading and those courses than are expectancy beliefs. Values
writing, as well as reading and writing achievement seem most important as contributors to individu-
tests. For the self-efficacy assessment, students judged als’ choices, which are key motivational outcomes.
their competencies for performing various reading
and writing tasks. For the outcome expectation Social Comparisons
measure, students judged the importance of reading Given its emphasis on learning from the social envi-
and writing for achieving life goals, such as getting a ronment and reciprocal interactions among per-
job, being financially secure, and being happy. sonal, behavioral, and social/environmental variables,
Self-efficacy and outcome expectations related social cognitive theory underscores the importance
positively to achievement in both domains, although of social comparisons, or comparing ourselves with
the relations were stronger for reading than for others on some criterion (Wheeler & Suls, 2005).
writing. In both domains, self-efficacy related Although people often compare their performances
more strongly to achievement than did outcome with objective standards, they also socially evaluate

SCHUNK AND USHER 17

their capabilities, especially when objective standards similar and average peers could imply that they, too,
are unclear or unavailable. Comparisons indicating are average and therefore have no reason to feel highly
that one is improving or more competent than others self-efficacious. On the other hand, self-efficacy can
can raise self-efficacy and motivation; comparisons decline when students socially compare themselves
that result in negative self-evaluations can diminish to high-achieving peers (Usher, 2015). Self-efficacy
these outcomes. and motivation may increase more predictably from
The most accurate self-evaluations arise from providing students with objective information indi-
comparisons with others who people believe are cating that they are making learning progress without
similar to themselves in the particular ability or referring to peers’ accomplishments.
characteristic being evaluated (Schunk, 2012). The
more alike observers are to models, the greater Self-Efficacy
the  probability that similar actions by observers Self-efficacy is a critical variable affecting learning
will produce comparable results (Schunk,  1987). and motivation (Bandura,  1997). This section
Model–observer perceived similarity in competence ­discusses how self-efficacy develops and changes,
can improve learning (Braaksma, Rijlaarsdam, & the consequences of self-efficacy, research on self-­
van den Bergh,  2002). Observing similar others efficacy in achievement situations, and collective
succeed can raise observers’ self-efficacy and self-efficacy.
­motivate them to try the task. Similarity may be
especially influential with persons who have expe- Sources of Self-Efficacy Information
rienced difficulties and possess self-doubts about People acquire information to assess their self-­
performing well. efficacy from four primary sources: their mastery
Although social comparisons can motivate experiences (interpretations of actual performances),
­individuals, their effects are not automatic. Among vicarious (modeled) experiences, forms of social
elementary school children, Schunk (1983a) found persuasion, and physiological indexes (Bandura, 1997;
that providing children with social comparative Table 2.2). One’s actual performances constitute the
information about how their performances com-
­
most reliable information because they typically are
pared with that of others promoted their motivation interpreted as tangible indicators of one’s capabilities
but that pursuing goals enhanced their self-efficacy. (Schunk & DiBenedetto,  2016; Schunk & Usher,
Giving children both goals and comparative informa- 2012). Successful performances raise self-efficacy
tion led to the best learning. Schunk (1983b) showed whereas failures may lower it, although an occasional
that difficult goals raised children’s academic failure or success after many successes or failures
­motivation more than easier goals, that persuasive should not have much impact.
self-efficacy feedback (e.g., “You can work 25 The influence of actual performances on self-­
problems”) raised self-efficacy more than feedback efficacy depends on one’s interpretations of vari-
indicating how children’s performances compared ables such as task difficulty, effort expended, aid
to that of peers, and that difficult goals plus per- received, and preconceptions of one’s capabilities
suasive feedback led to the highest achievement. (Bandura, 1997). For example, a high-achieving
The effects of social comparisons on self-efficacy student who makes an external task attribution for
and motivation depend on the abilities of the com- success (e.g., “I did well because the test was easy”)
parison peers. Guay, Boivin, and Hodges (1999) will not n­ ecessarily feel highly self-efficacious. The
found that the relation between children’s perceived cognitive interpretations of the results of one’s
competence (analogous to self-efficacy) and achieve- ­actions, not the actions themselves, determine how
ment was stronger when best friends’ achievement past performances affect self-efficacy. Meeting the
was low than when it was high. Students’ social minimum requirements for passing geometry may
comparisons with close friends’ achievement may not boost the mathematics self-efficacy of a student
make students’ own performances look worse than
they really are. In contrast, learners may assess their Table 2.2  Informational Sources of Self-Efficacy
capabilities more accurately when they have low-
achieving friends because they rely less on social • Mastery experiences (interpretations of actual
comparison and more on objective assessments of ­performances)
•  Vicarious (modeled) experiences
their progress and performances.
•  Forms of social persuasion
On the one hand, social comparisons that focus
•  Physiological indexes
students’ attention on the accomplishments of

18 SOCIAL COGNITIVE THEORY AND MOTIVATION

who holds extraordinarily high personal standards The third source of self-efficacy information is
and who longs to be an engineer. For another student social persuasion by others (e.g., “I know you can
whose values and interests are different, an average do this”; Bandura, 1997). Social persuasions must
performance in geometry may boost self-efficacy be credible for learners to believe that success is
and lead to continued motivation in mathematics ­attainable. Although positive feedback can raise
classes. Failures can also serve an important func- individuals’ self-efficacy, the increase will not endure
tion when they lead to better strategies that if students subsequently perform poorly (Schunk
strengthen self-efficacy. & DiBenedetto,  2016). Factors that influence
As noted in the previous section, individuals ­persuasiveness include source credibility, valence
­acquire much information about their capabilities of the message, and frequency. Highly credible
through social comparisons with others (Bandura, sources such as parents and teachers typically affect
1997). Observing similar others succeed can raise students’ self-efficacy more than do less credible
observers’ self-efficacy and motivation when they sources. Ahn, Bong, and Kim (2017) found that
believe that if others can perform well, they can too. messages from teachers but not from parents or
But a vicarious increase in self-efficacy can be negated peers were influential sources of self-efficacy among
by subsequent failure. Persons who observe similar Korean high school and college students. Self-efficacy
peers fail may believe they lack the competence to may be affected more from negative remarks than
succeed, which can negatively affect motivation. from positive ones (Bandura, 1997). Students who
Students commonly compare themselves to class- hear messages often or from multiple sources that
mates who are engaged in similar learning ­activities. they are incapable may come to believe it.
Surpassing one’s peers builds self-efficacy, whereas People are more likely to attend to social messages
inferior performances lower it. Despite these ten- about their capabilities when they lack adequate
dencies, the influence of peer models on one’s self- knowledge of what is required to succeed in a
efficacy cannot be reliably predetermined (Usher, domain. To be most effective and motivating, per-
2009). Whether an observed performance raises or suasive messages from others must be matched to
lowers self-efficacy depends on how the o­ bserver the individuals’ current skill level. Students are quick
interprets and judges the circumstances surrounding to dismiss empty praise. Those who are most skilled
the performance. Such circumstances include the at building students’ self-efficacy couple p ­ositive
models one selects for comparison, how similar the feedback about students’ capabilities with scaffolded
models are perceived to be, the models’ attitudes, tasks that build mastery (Butz & Usher, 2015).
and disparities between the observers’ and models’ Individuals also can acquire self-efficacy informa-
achievement and progress. Individual differences tion from physiological and emotional reactions such
might also make modeled experiences more salient. as anxiety and stress (Bandura,  1997). Strong emo-
For example, one study found that adolescent girls tional reactions provide cues about anticipated success
were more likely than boys to attribute changes in or failure. On the one hand, for example, a student
their mathematics and reading self-efficacy to social who experiences fear when heading to advanced
influences such as relative ability comparisons with chemistry may interpret that fear as a sign of personal
peers (Butz & Usher, 2015). inefficacy. When people experience negative thoughts
Teaching practices can increase the frequency and fears about their capabilities (e.g., feeling nervous
with which students compare their performances when thinking about taking a test), those affective
to those of others. Schools create comparative struc- reactions can lower self-efficacy. On the other hand,
tures when they group students according to ability positive affect or excitement in learning can motivate.
levels as measured by achievement test scores or Learners who feel energized by challenging academic
similar criteria. Such practices can send students work likely hold high self-efficacy for succeeding.
a  public message about their capabilities. Because When people notice their stress abating (e.g., feeling
­exposure to multiple skilled models sustains learn- less anxious while taking a test), they may experience
ing self-efficacy, students who find themselves higher self-efficacy for performing well.
among highly talented peers may reap long-term self- These informational sources do not affect self-
efficacy benefits, whereas those surrounded by less efficacy automatically (Bandura, 1997). Individuals
skilled peers may harbor self-doubts. Students who interpret the results of events, and these interpreta-
establish their own strong personal standards may tions provide the impetus for upward or downward
be less prone to making unfavorable comparisons shifts in their self-efficacy (Schunk & DiBenedetto,
to others (Pajares, 2006). 2016). People weigh and combine information from

SCHUNK AND USHER 19

the various sources to form self-efficacy judgments. lack the needed skills to succeed (Schunk &
Many factors influence the ways in which students DiBenedetto,  2016). Discussed earlier was the
interpret and integrate this information when form- ­importance of other motivating factors such as
ing their self-efficacy and motivation-related beliefs. outcome expectations and values (Bandura,  1997;
For some individuals, the accumulation of informa- Wigfield et al., 2017). Even learners who feel highly
tional sources enhances self-efficacy. Other people efficacious about their mathematical skills will not
tend to rely on information from one source more become mathematics majors in college if they do
than from others. In a study of the sources of aca- not value a career as a mathematician, and they typ-
demic self-efficacy among middle school students, ically engage in activities that they believe will result
girls and African American students seemed more in positive outcomes and avoid actions that they be-
attuned to social persuasions when forming their lieve may lead to negative outcomes. Nonetheless,
self-efficacy than did boys and White students given requisite skills, positive values, and outcome
(Usher & Pajares,  2006). The social and cultural expectations, self-efficacy is a key determinant of indi-
­environment in which individuals live can partly viduals’ motivation, learning, self-regulation, and
determine what information is most salient to learn- achievement (Schunk & DiBenedetto, 2016).
ers in the development of self-efficacy (Usher & Self-efficacy can have diverse effects in achieve-
Weidner, 2018). ment contexts (Bandura,  1997). It can influence
The influence of these sources of self-efficacy also ­various motivational outcomes including choice of
might be interactive. For example, students who tasks, effort, and persistence. Individuals are apt to
have had few mastery experiences in a given domain select tasks and activities at which they feel compe-
may be more likely to rely on what others tell them tent and avoid those at which they do not. Self-
than would students who have had ample opportu- efficacy can affect how much effort people expend
nities for mastery (Usher,  2009). Beliefs in one’s on an activity, how long they persist when they
personal efficacy for learning might also follow a ­encounter difficulties, and their levels of learning
transformational experience. A meaningful individ- and achievement. On the one hand, people with
ual encounter with a caring teacher might have a high self-efficacy tend to set challenging goals, work
more profound influence on one’s self-efficacy than diligently, persist in the face of failure, and recover
a year’s worth of school. A disparaging remark can their sense of efficacy after setbacks. As a conse-
also leave a lasting bruise on one’s sense of efficacy quence, they develop competence. On the other
and undermine subsequent motivation. We now hand, those with low self-efficacy may set easier
turn to the many outcomes that are influenced by goals, expend little effort to succeed, give up readily
these important self-beliefs. when they experience difficulties, and feel dejected
after they encounter failure, all of which negatively
Effects of Self-Efficacy affect learning (Usher, 2015).
Within a social cognitive system of triadic recipro- Self-efficacy also influences one’s level of
cality, self-efficacy is hypothesized to influence behav- self-­
regulation (Schunk & DiBenedetto,  2016;
iors and environments and, in turn, be affected by Zimmerman & Cleary,  2009). Those with higher
them (Bandura, 1986, 1997). Self-efficacy exerts its self-efficacy for learning set challenging goals, employ
influence through cognitive, motivational, affective, what they believe are effective strategies, self-monitor
and selection processes. Students who feel efficacious their learning goal progress, make strategy adjust-
about learning should have thoughts and perform ments and seek help as needed, and create an effec-
actions that improve their learning, such as setting tive work environment. As formal and informal
goals, using effective learning strategies, monitoring learning environments become increasingly techno-
their comprehension, evaluating their goal progress, logical, one’s capabilities to minimize distractions
and creating effective environments for learning. In and operate efficiently are at a premium. In turn, these
turn, self-efficacy is influenced by the outcomes of activities result in better performance and higher
one’s behaviors (e.g., goal progress, achievement) self-efficacy for continued improvement. We next
and by input from one’s environment (e.g., feed- highlight some specific research findings on the
back from teachers, social comparisons with peers; sources and effects of self-efficacy.
Schunk & DiBenedetto, 2016).
Despite its benefits, self-efficacy is not the only Research Evidence
influence on behavior. No amount of self-efficacy will Researchers have explored the operation of self-­
produce a competent performance when individuals efficacy in various domains (e.g., education, health,

20 SOCIAL COGNITIVE THEORY AND MOTIVATION

business) and among individuals differing in age, react to dissatisfaction by developing more adaptive
developmental level, and cultural background. This strategies for future performance.
research has shown that self-efficacy is a strong Self-efficacy also relates well to career choices
predictor of individuals’ motivation, achievement,
­ (Lent & Brown,  2013). Social cognitive career
self-regulation, and life decisions in diverse contexts theorists have demonstrated that basic social cog-
(Bandura,  1997; Honicke & Broadbent,  2016; nitive variables, including self-efficacy, outcome
Klassen & Usher,  2010; Multon, Brown, & Lent, expectations, and goals, help explain career
1991; Pajares,  1997; Schunk & Usher,  2012; decision-­making and development (S.  D.  Brown
Stajkovic & Luthans, 1998). & Lent, 2006). As learners develop and are given
For example, much research shows that self-­ more choices over their decisions and activities,
efficacy correlates with motivation, learning, and they are apt to select activities that involve capa-
achievement (Schunk & DiBenedetto, 2016; Usher, bilities they believe they can develop and shun
2015). Using meta-analysis, Multon et al. (1991) areas in which they have doubts. They also develop
found that self-efficacy was related to academic per- beliefs about their career decision-making skills,
formance and accounted for 14% of the variance. which have been shown to predict career choice,
Stajkovic and Luthans (1998) found that self-efficacy social support, and career-related outcome expecta-
resulted in a 28% gain in work performance. In tions (Choi et al., 2012).
their systematic review, Richardson, Abraham, and In addition to documenting the effects of self-
Bond (2012) examined 50 possible correlates of efficacy, researchers have examined the influence of
college students’ success and found that self-­
­ the four hypothesized sources on self-efficacy devel-
efficacy was among the strongest and most consistent opment. Researchers have shown that mastery
predictors. ­experiences are the most powerful and consistent
Self-efficacy is an important process during self- predictors of self-efficacy across academic domains
regulated learning. Self-efficacy for self-regulated and age levels (Usher & Pajares, 2008; van Dinther,
learning refers to self-efficacy to generate thoughts, Dochy, & Segers, 2011). Scaffolding instruction to
feelings, and behaviors that are systematically oriented provide for frequent successes offers learners many
toward the attainment of learning goals (Zimmerman, opportunities to build self-efficacy. The relative
2000). Self-regulated learning involves students predictive power of the other three sources has been
­setting goals and pursuing goal-directed activities, variable across studies conducted in different con-
such as focusing on task demands, applying effec- texts. For example, in a comparison of the sources
tive strategies to learn, establishing productive social of self-efficacy of adolescents in Korea, the United
and work environments, assessing learning progress, States, and the Philippines, Ahn, Usher, Butz, and
and making strategic adjustments as needed. A sense Bong (2016) found that students in the more col-
of self-efficacy for self-regulated learning motivates lectivist cultures may rely more heavily on social
learners and promotes their learning (Cleary & messages from family members than on other s­ ocially
Zimmerman, 2012; Usher & Schunk, 2018). conferred information. In an analysis of data from
Researchers have explored the link between self- over 2,500 upper elementary and middle school stu-
efficacy and self-regulatory processes. As students dents, Butz and Usher (2015) found evidence that
regulate their cognitions, affect, and behaviors, students describe different key sources of self-efficacy
they also can regulate their self-efficacy (Wolters & in mathematics and reading. Klassen (2004) also
Taylor,  2012), such as by reminding themselves found that Indo-Canadian students reported
that they are capable of learning. Efficacious students greater reliance on vicarious experiences and social
set ambitious goals and plan specific goal-directed persuasions than did Anglo-Canadian students. These
activities to accomplish those goals (Wigfield, findings demonstrate important contextual differ-
Klauda, & Cambria, 2011). Self-efficacy can affect ences in how individuals form their self-efficacy.
students’ monitoring of their performances, resisting Experimental research has shown that instruc-
distractions, and managing time (Klassen, Krawchuk, tional and social processes that convey information
& Rajani, 2008). Efficacious students are likely to to students that they are making learning progress and
­attribute their performances to factors they can becoming more competent raise self-efficacy, moti-
control (e.g., effort) and make adaptations to
­ vation, and achievement (Schunk & DiBenedetto,
future actions such as expending greater effort 2016). Common instructional ways to build students’
(McPherson & Renwick,  2011). Self-efficacy for self-efficacy include having students pursue proximal
self-regulated learning also can lead students to and specific goals, using social models in instruction,

SCHUNK AND USHER 21

providing social comparative information indicating Relatively less research attention has been given to
competence, and having students self-monitor and the collective efficacy beliefs of students. Klassen
evaluate their learning progress (Schunk & Ertmer, and Krawchuk (2009) showed that the collective
2000). A noncompetitive classroom climate can lower ­efficacy beliefs of early adolescents working in small
students’ anxiety, which can lead to a more favorable groups became more strongly related to the group’s
evaluation of their own capabilities (Pajares, 2006). success on an interdependent task over time.
Collective efficacy researchers have explored the Experimental evidence from college students’ group
operation of collective efficacy beliefs, or individu- work showed that student groups with higher initial
als’ beliefs about their capabilities as a group to collective efficacy beliefs reported a higher level of
learn or produce desired actions (Bandura, 1997). task engagement over three tasks than did groups with
Collective efficacy perceptions are not simply the a lower sense of collective efficacy (Vera, Le Blanc,
sum or average of the self-efficacy of individual group Taris, & Salanova,  2014). Perceived collective effi-
members; rather, they reflect individuals’ percep- cacy also depends on group members believing that
tions of the capabilities of the group as a whole. others are working on their behalf. Consistent with
In  educational settings, collective teacher efficacy Bandura’s (1997) contention, however, even high self-
denotes the perceptions of the faculty as a whole to efficacy will not lead to performance changes unless
influence student outcomes (Fives & Buehl, 2016; the environment in which groups function provides
Henson, 2002). appropriate opportunities for success.
The influence of collective efficacy beliefs on
group motivation may depend on the level of or- Conclusion
ganizational coupling (Henson,  2002). In units Social cognitive theory stresses the role of the social
that are loosely knit, collective efficacy beliefs may environment in motivation and learning. The con-
not predict outcomes well; individual self-efficacy ceptual focus of Bandura’s (1986) social cognitive
may be a better predictor. But in more tightly knit theory postulates reciprocal interactions among per-
units—such as many elementary schools—the sonal, behavioral, and social/environmental factors.
­collective efficacy beliefs of teachers may be a better Social cognitive researchers have investigated the
predictor of the efforts of the faculty as a whole to operation of vicarious, symbolic, and self-regulatory
improve student learning (Tschannen-Moran, processes in the various ways that individuals inter-
Salloum, & Goddard, 2015). act with their environments and one another.
The same four sources are important for the A key point underlying social cognitive theory is
­development of collective self-efficacy: performance that persons are motivated to develop a sense of
attainments, vicarious experiences, social persuasion, agency for being able to largely control the impor-
and physiological indicators. Group members rely tant events in their lives. Among the influential
on what they know about the capabilities of each variables affecting motivation are goals and self-
group member, as well as the group’s collective evaluations of progress, outcome expectations, values,
­capacity, when evaluating what they can do together social comparisons, and self-efficacy. Important
(Bandura,  1997). When members work together questions remain to be addressed by researchers,
successfully to implement changes, learn from one which will further clarify the role of social cognitive
another and from other successful groups, receive theory in human motivation.
encouragement for change from supervisors and
others, and cope with difficulties and alleviate stress, Future Research Directions
their beliefs about what they can do will be raised Researchers continue to test the predictions of social
(Goddard, Hoy, & Woolfolk Hoy, 2004). Individuals cognitive theory with respect to motivation. Several
who believe in their group’s collective capabilities research areas should be addressed. In particular, we
will be more motivated to work on the group’s recommend research on sociocultural influences,
behalf to implement innovative ideas. Educational technology, and out-of-school settings.
research shows that collective self-efficacy is impor-
tant for teachers’ job satisfaction and motivation to Sociocultural Influences
remain in teaching. Researchers have found that Social cognitive theory underscores the importance
teachers’ collective self-efficacy bears a significant of the social environment for motivation. The influ-
and positive relation to their job satisfaction in ences postulated by the theory (personal, behavioral,
­various contexts (Caprara, Barbaranelli, Borgogni, environmental) are affected by various sociocultural
& Steca;  2003; Klassen, Usher, & Bong,  2010). variables such as culture and gender.

22 SOCIAL COGNITIVE THEORY AND MOTIVATION

 Culture refers to the beliefs and value systems of discrimination can hinder the choices students
people that can influence motivation and learning make in deciding which classes to take in college and
(McInerney,  2011). Although research globally is what careers to ultimately pursue (C.  B.  Brown,
­increasing, social cognitive theory has been most 2017). Greater research on how gender and other
widely applied in Western cultures. Research is group identities (e.g., social class, race, nationality)
needed to investigate how cultural variables may influence the development of self-efficacy should
affect theoretical predictions. And the situation help to clarify differences and suggest ways to improve
often is complex such that easy generalizations are students’ perceived capabilities to pursue different
not warranted. For example, in parts of East Asia, careers.
some people follow Confucianism whereas others
follow Buddhism. Even though both groups are from Technology
a collectivist society—and thus the principle of With the widespread use of technology in the early
­collective efficacy may be most relevant—they differ 21st century, it is imperative that students develop
from one another in values and customs (Bandura, skills and positive beliefs about their capabilities to
1997). Although social cognitive constructs such use and regulate technologies effectively. A number
as  self-efficacy have been found to be universal of personal, behavioral, and environmental factors
(Schunk & DiBenedetto,  2016), how they are can influence students’ use of technology, such
formed and changed can be affected by cultural dif- as  access, familiarity, cognitive demand, teacher
ferences (Usher & Weidner, 2018). For example, some ­encouragement, self-efficacy, and attitudes.
cultures may stress modesty in making personal For example, a proliferation of research into
judgments whereas others do not. In this case, game-based learning has shown that games can be
­students in the former culture would likely judge used to increase and sustain motivation and help
self-efficacy lower than those in other cultures. students make connections to real-life situations
Researchers must consider the many cultural (Foster, 2008; Mayer, 2014). Learning games offer
values that influence any individual. Many learners’ many opportunities for player feedback and success,
cultural identities are complex, as are the environ- typically presenting a player with challenges that
ments in which they learn. These complexities mean match the user’s current skill level. This built-in
that researchers should consider how both personal scaffolding can support learner self-efficacy. Games
and environmental factors influence learners’ per- also take advantage of learners’ increased attention
ceptions and behaviors. These intersections make it by exposing them to avatars (models) that represent
unlikely that psychologists will reach universal the players or other characters. Interactive simulations
­prescriptions, but they also offer an opportunity for and video games can lead to improved cognitive gains
refining theory as it relates to complex social envi- over traditional instruction (Vogel et al., 2006).
ronments (Rosenthal, 2016). Additional research in Technologies also permit learners to become active
varied contexts will help to clarify cultural differ- players in a range of symbolic environments. Medical
ences (Usher & Weidner, 2018). students can treat “patients” in virtual reality labs;
Many researchers have investigated the role of students can simulate real-life circumstances while
gender in motivation; for example, a number of forgoing the risks. In one recent study, middle school
­research findings point to differences in self-efficacy science students who took part in a multiuser vir-
due to gender (Meece & Painter,  2008). Results tual environment related to ecosystems developed
from a meta-analysis of 187 studies of academic greater interest and self-efficacy in science (Chen
self-efficacy suggest that these differences depend et al., 2016). Simulations can enable students to gain
on academic domain and other factors (Huang, social skills, too. Clearly, more research attention is
2013). Female students tend to report higher self- needed on how virtual and gaming environments
efficacy in language arts and music, whereas male support (or do not support) learners’ sense of agency.
students report higher self-efficacy in mathematics, Technology-enhanced environments offer fertile
computer science, and social sciences. Other re- ground for testing many predictions of social cog-
searchers have examined teachers’ stereotypical nitive theory in novel contexts.
perceptions of students’ capabilities (Riegle-Crumb &
Humphries, 2012). Gender disparities in self-efficacy Out-of-School Settings
are important because they can affect career Research is needed on the operation of social
­trajectories (Bandura, 1997; Tellhed, Bäckström, & cognitive variables in out-of-school settings. Much
Björklund,  2017). Group-based stereotyping and ­research in education has been conducted in regular

SCHUNK AND USHER 23

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26 SOCIAL COGNITIVE THEORY AND MOTIVATION

 CH A PT ER
A Self-Regulatory Viewpoint
3 on Human Behavior

Charles S. Carver and Michael F. Scheier

Abstract

This chapter describes a set of ideas bearing on the structure of action and emotion and how they are
regulated. Some of the ideas are associated with the terms feedback control and cybernetics. Those
ideas have roots in many sources, including the concept of homeostasis and the creation of mechanical
devices to serve as governors for engines. With respect to motivation, the ideas yield a viewpoint in
which action is goal directed and reflects a hierarchy of control processes. The creation and reduction
of affect are seen as reflecting another set of feedback processes. The portion of the model devoted to
affect is of particular interest because it generates two predictions that differ substantially from those
deriving from other theories. The first prediction is that both approach and avoidance can give rise to
both positive and negative feelings; the second is that positive affect leads to coasting, a reduction in
effort regarding the pursued goal. The latter suggests a way in which positive affect is involved in
priority management when many goals are in play concurrently. Recent interest in dual process models,
which distinguish between top-down guidance of goal pursuit and reflexive responses to cues of the
moment, has caused a reexamination of some previous assumptions and consideration of the possibility
that behavior emerges in two distinct ways. This line of thought has also recently been applied to
conceptualizing diverse types of psychopathology. The chapter closes with brief consideration of how
the ideas considered here might be compatible with other viewpoints on motivation.
Keywords:  cybernetic, feedback loop, control theory, affect, dual process models

This chapter describes several aspects of a viewpoint electronic, or living systems) regulate some current
on the guidance of behavior that we have used condition so as to stay on course or keep the current
throughout our careers in psychology (for a partly condition at a level that is acceptable. The idea that
overlapping, but differently focused discussion, see such systems also underlie the behaviors we engage
Carver & Scheier, 2017). This viewpoint has roots in throughout our waking lives is one theme of this
in several places. One source is the broad concep- chapter. We amplify this idea shortly, but first pro-
tion of homeostatic mechanisms, mechanisms that vide a bit more background.
regulate diverse aspects of the body’s physiological Cybernetic ideas had a brief heyday in motiva-
functioning (Cannon,  1932). Another source is tional psychology in the 1950s through the 1970s.
ideas about mechanical governors and computing Probably the best known example of this viewpoint
machines (e.g., Ashby, 1940; Rosenblueth, Wiener, & was an engaging book by Miller, Galanter, and
Bigelow, 1943; Wiener, 1948). In the middle of the Pribram (1960). This book introduced the acronym
20th century, Wiener (1948) coined the term cyber- TOTE, which stands for test–operate–test–exit, a
netic (from the Greek word meaning “steersman”) to sequence of events that describe the behavior of a
characterize the overall functioning of this type of cybernetic control system. Miller et al. (1960) were
system. Cybernetic systems (whether mechanical, not the only people to use cybernetic concepts

27
during this period (ideas with a similar character Feedback Control
were ­proposed, for example, by MacKay,  1956, What is a feedback control system? The term feedback
1966), but Miller et al. (1960) received the most control is abstract and can seem forbidding. An easy
attention from psychologists. To some extent this point of entry into the logic behind it, however, is
may be attributable to the fact that the operation the goal concept. People have many goals, at varying
of a TOTE unit paralleled the operation of the levels of abstraction and importance. Goals energize
basic element of a computer. Computers (which were and guide activities. Most goals can be reached in
fairly new at the time) were starting to influence many ways, creating the potential for complexity in
people’s thinking about the nature of cognition. the organization of action. The idea that goals guide
Thus, Miller et al.’s book was very much in the spirit action is a view that is easy and familiar for most
of its time. people, and it is part of the conceptual landscape of
Today when people use the word cybernetic, they contemporary motivational psychology. From there,
generally are referring either to robotics or to the the transition to thinking about cybernetic control
World Wide Web. It is also common to associate the is relatively straightforward.
ideas we describe here with the discipline of engi-
neering, partly because of its heritage in devices that Feedback Processes
govern engines and partly because of the usefulness The basic unit of cybernetic control is the feedback
of control theory in engineering applications. It loop. A feedback loop can be broken into four
is important, though, to keep in mind that the ideas pieces (Miller et al., 1960; MacKay, 1966; Powers,
have ties that extend well beyond engineering. As 1973; Wiener, 1948): an input function, a reference
noted, they pertain to homeostatic controllers of the value, a comparison process, and an output. Think of
body, which accounts for their prominent position the input function as perception. The input brings
in medical textbooks. They also pertain to complex in information of some sort about present circum-
systems in nature. stances. Think of the reference value as a goal. The
Thirteen years after Miller et al.’s (1960) intriguing perceived input is compared to this value to deter-
volume came another book that had a particularly mine whether a difference exists. If this comparison
strong impact on our thinking. This book, written detects a discrepancy, what is called an error signal
by William Powers (1973), was an extremely ambi- arises. The output function is a response to any
tious undertaking. Powers set out to portray how ­detected error (we treat the output as behavior, but
human behavior might reflect a hierarchy of cyber- sometimes the behavior is an internal signal rather
netic control processes. That is, he tried to account than a physical movement).
for how the nervous system creates the physical If the comparison detects no discrepancy, the
movements by which intentions and even abstract output remains as it was. If the comparison detects
human values are expressed in action. At center a discrepancy, the effect on output depends on
stage in his account was the feedback loop, the basic what kind of loop it is. There are two kinds of loops.
unit of cybernetic control. Powers set out to map In a discrepancy-reducing loop (also called negative,
several layers of feedback processes to aspects of for negating), the output acts to reduce (or eliminate)
the nervous system. Perhaps even more than Miller the discrepancy. Homeostatic systems are examples
et al. (1960), Powers made a compelling case for the of discrepancy-reducing loops. For example, if your
idea that the feedback construct was up to the chal- internal temperature sensors detect that your body
lenge of accounting for the complexity of behavior, temperature is elevated above normal, processes are
not as one loop, but as an interwoven network of engaged that reduce body temperature so that it
loops, dealing with regulation of diverse properties ­returns to that reference value. For example, sweat
simultaneously. might be released, which cools the body as it evapo-
Years ago we took up the Powers (1973) model rates. If the sensors detect a deviation below normal,
as a conceptual heuristic (Carver & Scheier, 1981). rather than above, you shiver, which generates heat
It helped us interpret a literature in personality and via muscle contractions.
social psychology in which we were immersed at Discrepancy-enlarging feedback loops also
the time (Carver & Scheier, 2012). And it provided exist, in which the output serves not to counter a
a reference point for us for the next nearly 40 years. discrepancy but to enlarge it. One might think of
In some ways it is the conceptual backbone of the reference value in this kind of loop as an anti-
this chapter. goal. Discrepancy-enlarging loops of some kinds

28 A SELF-REGULATORY VIEWPOINT ON H UMAN BEHAVIOR

are unstable. Unless they are overridden, they can Contribution of Cybernetic Concepts
enlarge discrepancies without end. A cybernetic approach to motivation applies feedback
Some people believe that such loops are always principles to behavioral goals, with discrepancies
problematic and dysfunctional (Powers,  1973). that are reduced by overt actions (Miller et al., 1960;
Others have argued that they are an important part Powers, 1973; Toates, 2006). Discrepancy-reducing
of complex systems (DeAngelis, Post, & Travis, feedback processes, as applied to behavior, represent
1986; Maruyama, 1963; McFarland, 1971; Tsai et al., the engagement of effort to reach a valued goal,
2008), but that in living systems, the effect of this maintain a desired condition, or conform to some
kind of loop is limited in some way or other. There salient standard. Goal-directed behavior entails know-
may be a natural endpoint (e.g., sexual arousal ing (at some level) the desired end that one wants to
prompts further increase in arousal to the point of reach, perceiving what the present condition is with
orgasm, which ends the increase). Alternatively, the respect to that desired end, and being able to decide
discrepancy-enlarging function may be constrained whether the present condition does or does not
by a discrepancy-reducing function. To put it dif- match the desired end. It is necessary to be able to
ferently, avoidance of one reference point can give create actions that will cause the present condition
way to approach of another reference point. The to change in desired ways. But being able to change
avoidance loop tries to distance from an antigoal. present conditions would be of little help in itself if
But an approach goal may be available that is the other functions were not also operating.
­incompatible with the antigoal. If the person adopts In a way, this is the essence of what a cybernetic
that approach goal, the tendency to avoid the anti- view brings to the table: It forces the realization that
goal is joined by the tendency to move toward the all those functions are necessary for successful goal
approach goal. The approach loop pulls the behav- pursuit, not just the capacity to act. It forces the
ior into its orbit. This pattern of dual influence ­realization that action occurs in service to changing
describes what is often termed active avoidance. In the input (Powers,  1973). It creates the sense that
active avoidance, an organism confronting a feared approach and avoidance are regulatory activities
stimulus picks a relatively safe location to escape to rather than just reflexes.
and actively approaches that location.
Antigoals for behavior are conditions or states Further Issues
that one wants to avoid. An example is a feared or At least a couple additional issues should be noted
disliked possible self (Carver, Lawrence, & Scheier, before we move on. One of them concerns a common
1999; Markus & Nurius,  1986; Ogilvie,  1987), misconception about the nature of feedback pro-
which one tries to not-be. Another example is a cesses. The other concerns a somewhat disconcert-
scene of public humiliation, which most people try ing reality about the nature of feedback processes.
to avoid. As described earlier, homeostasis is often used as
Social and personality psychology also have an illustration of the feedback principle, because it
­examples of avoidance constrained by approach. This is easily understood. Another common illustration
pattern seems embodied in Higgins’s (1996) con- is the thermostat, which senses deviations from a
cept of the ought self (Carver et al., 1999) and in temperature set point and engages devices that
Ryan and Deci’s (2000) concept of introjected counter them. Because of the common use of these
values. In both cases, the initial impetus to behavior illustrations, people sometimes incorrectly infer
is the desire to avoid social sanction of some sort. that feedback loops can act only to create and main-
Thus, the starting point is an effort to create dis- tain steady states. Some reference values (and goals)
tance from an antigoal. However, a good way to are indeed static end states or stable preferred condi-
avoid the sanction is to locate a socially approved tions (e.g., to own one’s home, to arrive at the end
value that is different from (or even opposite to) the of the month with a balance above zero in one’s
disapproved value and move toward it. By approach- checking account). But other values are dynamic
ing the positive value, one simultaneously escapes and evolving (e.g., experiencing the pleasures of a
the feared or disliked value. Thus, both ought selves month’s vacation, raising children to become good
and introjects are values to conform to, but the citizens). In such cases, the goal is the process of
motivational dynamic underlying them is more traversing the trajectory of the activity, not just the
complex than is the dynamic underlying other arrival at the endpoint. Feedback processes apply
positive values. perfectly well to such moving targets (Beer, 1995).

CARVER AND SCHEIER 29

 It is not hard to portray the elements of a feedback enough that they are executed all at a piece without
loop conceptually. In some specific instances (e.g., in much monitoring, they probably are no longer pro-
artificial electronic systems), it is also easy to point grams, but instead have become sequences.
to the physical existence of each element. In other Programs are sometimes enacted in the service
instances, however, this is harder to do (this is the of broader guiding principles. Principles are more
disconcerting part). In particular, sometimes feed- abstract. They can provide a basis for making deci-
back loops have no explicit representation of a ref- sions at choice points within programs, and they
erence value. The system regulates around a value, can suggest that particular programs be undertaken
but the value is not represented anywhere as a goal or be refrained from. The term principle refers to
(Berridge,  2004; Carver & Scheier,  1999b,  2002; the sorts of qualities that social psychologists often
Ramsay & Woods,  2014). This raises some very call values (Schwartz & Bilsky, 1990; Schwartz &
interesting and difficult questions, which we will Rubel, 2005). What defines a principle its abstract-
sidestep for now. ness and applicability to diverse behaviors. Being a
principle does not imply what actual behavior results.
Levels of Abstraction For example, one principle leads people to support
Let’s return to cases with explicit reference points, affirmative action, and a different principle (but still
or goals, since they are the focus of most of what we a principle) leads people to oppose it (Reyna, Henry,
have to say. Goals vary considerably in how concrete Korfmacher, & Tucker, 2006).
or abstract they are. You can have the goal of being Even values are not the end of potential complexity
a good citizen, but you can also have the goal of and abstraction, however. Patterns of values coa-
­recycling—a narrower goal that contributes to being lesce to form the essence of a person’s sense of desired
a good citizen. Recycling, in turn, entails other, more (and undesired) self or a person’s sense of desired (and
concrete goals: placing newspapers or bottles and undesired) community. These properties are very
cans into containers and moving them to a pickup broad points of reference (goals).
location. The fact that goals have subgoals promotes
the idea that goals form a hierarchy (Powers, 1973; Hierarchy of Processes in Action
Toates, 2006; Vallacher & Wegner, 1987). Abstract Powers (1973) argued that, in a hierarchical organi-
goals are attained by the process of attaining the zation, high-level control loops “behave” by setting
concrete goals that help define the abstract ones and changing reference values for loops at the next
(Carver & Scheier, 1998, 1999a, 1999b, 2003). lower level of control. Those loops, in turn, act by
It can be useful to characterize goals at different setting reference values for lower levels, and so on
levels of abstraction, and Powers (1973) did so. Some (Figure 3.1). At the lowest level, the output is changes
kinds of relatively low-level goals are defined by in muscle tensions. Thus, for a person to act in a
brief sequences of action: for example, picking up a pen way that is intended to exemplify a particular prin-
or walking across the room. Such sequences (Powers, ciple also requires the simultaneous involvement of
1973) are fairly simple (although each one can be all layers of control lower than the principle level.
broken down further into subcomponents of motor
control, e.g., Rosenbaum, Meulenbroek, Vaughan, &
Jansen,  2001). Sequences have something of a
Output 1 and
self-contained quality about them, and they require Reference Reference 2 Output 2 and
Reference 3
little or no monitoring once they are triggered. C1
C2
Such sequences can be organized into more elab- C3
orate strings of actions, which Powers (1973) called
programs. These strings of action are more planful. Input Input Input Output
They often require choices to be made at various
points along the way, which depend on conditions
that are encountered at those points. Programs are
the level of the Powers hierarchy that most closely
resembles Miller et al.’s (1960) TOTE construct,
Figure 3.1  Three-level hierarchy of feedback loops.
because of the sequencing of steps and subroutines
The output from the comparison in a given loop is the reference
that programs contain. There is some blurring value for the next lower level, and so on. The final (motoric)
between levels, however. Programs can become
­ output creates a change in input that is (at varying levels of
­familiar from repetition. If they become familiar abstraction) relevant to all levels involved.

30 A SELF-REGULATORY VIEWPOINT ON H UMAN BEHAVIOR

 In his statement about hierarchical organization Feedback Processes and Affect
of feedback processes, Powers (1973) devoted most of Motivation is partly about how people move from
his attention to levels of abstraction that are even one place to another. However, it is also partly about
more basic than sequences. As personality–social psy- the degree of urgency behind the action. A sense of
chologists, we have not found those lower levels to be urgency or intensity implies the involvement of affect,
of much direct interest. However, the argument that feelings that occur in the course of experience.
control of behavior relies on a single mechanism What is affect? Where does it come from? Affect
instantiated at multiple levels of abstraction is very is a positive or negative feeling. Affect is the core of
interesting because it has a high degree of parsimony. the experience of emotion, though the term emotion
Knowledge of the nervous system has progressed often incorporates connotations of physiological
enormously since 1973, and parts of the picture that changes that frequently accompany hedonic experi-
Powers (1973) created are doubtlessly contradicted ences. A truism is that affect pertains to whether
by later evidence. However, the viability of the core one’s desires are being met (Clore, 1994; Frijda, 1986,
idea that action reflects feedback processes engaged 1988; Ortony, Clore, & Collins, 1988). But what is
simultaneously at multiple levels of abstraction the internal mechanism by which feelings arise?
need not depend entirely on specific details.
From the point of view of personality–social psy- Mechanism
chology, goals from the ideal self, down through Many different kinds of answers to this question can
sequences, can be thought of as being typical start- be posed, ranging in nature from neurobiological
ing points for self-regulation. All of them serve as (e.g., Davidson, 1992) to cognitive (Ortony et al.,
classes of values to try to approximate or to deviate 1988). We have proposed an answer that focuses on
from. Any of them might be taken as the focal point what appear to be some of the functional properties of
for a given behavior (that is, the person could affect (Carver & Scheier, 1990, 1998, 1999a, 1999b,
­attempt to self-regulate at any of these levels). Once 2013). In suggesting this answer, we used feedback
that value is adopted, lower levels are engaged auto- control as an organizing principle. Now, however,
matically by the engagement of that one. the control bears on a different quality.
Thus, it is easy to imagine cases in which a person We suggested that feelings arise as a consequence
is behaving according to a principle (e.g., a moral or of a feedback loop that operates simultaneously
ethical value), and it is also easy to imagine cases in with the behavior-guiding loop and in parallel to it.
which a person is behaving according to a plan or We regard its operation as automatic. The easiest
program. It is also easy, however, to imagine cases in characterization of what this second process is doing
which the person is acting impulsively and sponta- is that it is checking on how well the first process
neously, without regard to either principle or plan, (the behavior loop) is doing. The input for this
but simply emitting a behavioral sequence. In all second loop thus is the rate of discrepancy reduction
these cases, the physical movements involved are in the action system over time.
being managed by systems automatically engaged Consider a physical analogy. Action implies change
by whichever level of control is in charge. Later in between states. Difference between states is distance.
the chapter we reexamine this idea and consider An action loop thus controls the psychological analog
some potentially important differences among these of distance. If the affect loop assesses the action
various levels of abstraction. loop’s progress, then the affect loop is dealing with
the psychological analog of velocity, the first deriva-
Approach and Avoidance tive of distance over time. To the degree that this
As the preceding discussion indicates, the concepts analogy is meaningful, the input to the affect loop
of feedback control can be mapped nicely onto the should be the first derivative over time of the input
general form of approach and avoidance processes. used by the action loop.
Incentives are approached by systems that close Input (how well you seem to be doing) does not
­discrepancies between present conditions and the by itself create affect, because a given rate of prog-
incentives. Threats are avoided by systems that ­enlarge ress has different affective consequences in different
discrepancies between present conditions and the contexts. We argue that this input is compared to a
threats. The logic of feedback processes thus provides reference value (cf. Frijda, 1986, 1988), just as in other
a way to think about this fundamental ­dichotomy feedback loops. In this case, the value is an acceptable
among motivations, a dichotomy that plays a key or expected rate of behavioral discrepancy reduc-
role in many other ideas about motivation. tion. As in other feedback loops, the comparison

CARVER AND SCHEIER 31

checks for deviation from the standard. If there is a
discrepancy, the error signal causes a change in the
output function. Secondary
output
We think the error signal in this loop is manifest
subjectively as affect, a sense of positive or negative Reference
Comparator
valence. A rate of progress below the criterion yields
negative affect. A rate high enough to exceed the
criterion yields positive affect. If the rate is not dis- Input Output
tinguishable from the criterion, there is no valence.
In essence, the argument is that feeling a positive
valence means you are doing better at something
than you intend to, and feeling a negative valence Figure 3.2  Recalibration of a feedback system as gradual
means you are doing worse than you intend to adjustment of its reference value by a secondary output function.
(for details see Carver & Scheier, 1998, Chapters 8 Overshoots of the reference value gradually induce increases in
its level and undershoots gradually induce decreases.
and  9; Carver & Scheier,  2013). The absence of
affect means being neither ahead nor behind.
We want to make a couple of clarifications about the criterion, and continuing undershoots result in
what we do not mean: We are not arguing for a a downward drift (see Carver & Scheier,  2000).
­deliberative thinking through of whether rate con- Thus, the system recalibrates over repeated events
forms to the criterion rate. We assume that the testing (Figure 3.2). A (somewhat ironic) consequence of
is continuous and automatic. Nor are we arguing such recalibration would be to keep the balance of
for a deliberative thinking about what the affective a person’s affective experiences (positive to negative,
valence per se means. We assume that the meaning across a span of time) relatively similar, even if the
(i.e., being ahead versus behind) is intrinsic to the rate criterion changes considerably.
affect’s valence, which itself arises automatically.
One implication of this line of argument is that Two Kinds of Action Loops, Two
the affects that might potentially exist regarding any Dimensions of Affect
given action should fall on a bipolar dimension. By implication, thus far we have addressed approach
That is, it should be the case that affect can be posi- loops. But the view just outlined was that positive
tive, neutral, or negative for any given goal-directed feeling exists when a behavioral system is making
action, depending on how well or poorly the action more than adequate progress doing what it is organ-
seems to be doing at attaining the goal. ized to do. The systems addressed so far are organized
to approach reference values. Yet there seems no
Reference Criterion obvious reason why the principle should not apply to
What determines the criterion? There doubtless are systems that avoid reference values. If such a system
many influences. Further, how a person thinks about is making rapid enough progress attaining its ends,
an action can induce a framing that may change the there should be positive affect. If it is doing poorly,
criterion (Brendl & Higgins, 1996). What is used as there should be negative affect.
a criterion is probably quite flexible when the activ- The idea that affects of both valences are possible
ity is unfamiliar. If the activity is highly familiar, the concomitants of behavior seems applicable to both
criterion is likely to reflect the person’s accumulated approach and avoidance. Both approach and avoid-
experience, in the form of an expected rate (the ance can potentially induce positive feelings (by
more experience you have, the more you know what doing well), and both can potentially induce nega-
is reasonable to expect). Whether desired or expected tive feelings (by doing poorly). But doing well at
or needed or intended is most accurate as a depiction of approaching an incentive is not quite the same expe-
the criterion rate may depend greatly on the context. rience as doing well at moving away from a threat.
The criterion can also change, sometimes readily, Thus, there may be differences between the two
sometimes less so. The less experience the person positives and between the two negatives.
has in a domain, the easier it is to substitute one Drawing on the work of Higgins (e.g.,  1987,
criterion for another. We believe, however, that 1996), we have argued for two bipolar dimensions of
change in rate criterion in a relatively familiar affect, one bearing on approach, the other on avoid-
domain generally occurs slowly. Continuing over- ance (Carver, 2001; Carver & Scheier, 1998, 2013).
shoots result automatically in an upward drift of Approach-related affect includes such positive affects

32 A SELF-REGULATORY VIEWPOINT ON H UMAN BEHAVIOR

as elation, eagerness, and excitement and such ­negative systems. Affect causes people’s responses to be quicker
affects as frustration, anger, and sadness (Carver, (because this system is time sensitive); as long as the
2004; Carver & Harmon-Jones, 2009). Avoidance- affective system is not overresponsive, the responses
related affect includes such positive affects as relief, are also stable.
serenity, and contentment (Carver, 2009) and such Our focus here is on how affects influence
negative affects as fear, guilt, and anxiety. ­behavior, emphasizing the extent to which they are
interwoven. However, note that the behavioral
Affect and Action: Two Facets of ­responses that are linked to the affects also lead to
One Event in Time reduction of the intensity of the affects, returning them
This two-layered viewpoint implies a natural con- to the set point. We thus suggest that the affect
nection between affect and action. That is, if the input system is, in a basic sense, self-regulating (cf. Campos,
function of the affect loop is a sensed rate of prog- Frankel, & Camras,  2004). It is undeniable that
ress in action, the output function of the affect loop people engage in voluntary efforts to regulate their
must be a change in the rate of progress resulting emotions (e.g., Gross,  2007; Ochsner & Gross,
from that action. Thus, the affect loop has a direct 2008), but the affect system does a good deal of that
influence on what occurs in the action loop. self-regulation on its own.
Some changes in rate output are straightforward.
If you are lagging behind, you try harder. Some Further Issues Regarding Affect
changes are less straightforward. The rates of many This view of affect differs from most other theories
“behaviors” are defined not by pace of physical action bearing on emotion in at least two ways. One differ-
but in terms of choices among potential actions, or ence concerns the idea of a dimensional structure
entire programs of action. For example, increasing underlying affects (Carver, 2001).
your rate of progress on a project at work may mean
choosing to spend a weekend working rather than Two Underlying Bipolar Dimensions
playing with family and friends. Increasing your Some emotion theories (though not all) place
rate of being kind means choosing to do an act that ­affects on dimensions. Our view has this character
reflects kindness when an opportunity arises. Thus, (Figure  3.3). As noted earlier, it holds that affect
change in rate must often be translated into other generated during approach has the potential to range
terms, such as concentration, or allocation of time from positive (joy) through neutral to negative
and effort. (anger, sadness); affect generated during avoidance
The idea of two feedback systems functioning also has the potential to range from positive (relief )
jointly is something we stumbled onto. It turns out, through neutral to negative (fear, anxiety).
however, that this idea is common in control engi- Most dimensional models, however, are quite
neering (e.g., R. N. Clark, 1996). Engineers have long different from this one. They are unipolar. They
recognized that having two systems functioning ascribe affects with positive valence (varying in
­together—one controlling position, one controlling ­intensity) to an approach system and they ascribe
velocity—permits the device they control to respond affects with negative valence to an avoidance system
in a way that is both quick and stable, without over- (e.g., Cacioppo, Gardner, & Berntson, 1999; Lang,
shoots and oscillations. Bradley, & Cuthbert, 1990; Watson, Wiese, Vaidya,
The combination of quickness and stability in & Tellegen, 1999).
responding is desirable in many of the devices engi- There is at least some support for our view. There
neers deal with. It is also highly desirable in human is evidence, albeit limited, that positive feelings of
beings. A person with very reactive emotions is prone calmness and relief (as situationally relevant) relate
to overreact and oscillate behaviorally. A person who to avoidance motivation (Carver,  2009; Higgins,
is emotionally unreactive is slow to respond, even to Shah, & Friedman, 1997). There is far more evidence
urgent events. A person whose reactions are between linking sadness to failure of approach (for reviews
those extremes responds quickly but without behav- see Carver,  2004; Higgins,  1996). There is also a
ioral overreaction and subsequent oscillation. good deal of evidence linking the approach system
For biological entities, being able to respond to the negative affect of anger (Carver & Harmon-
quickly yet accurately confers a clear adaptive Jones, 2009). Although it is clear that diverse negative
­advantage. We believe this combination of quick and feeling qualities coalesce with one another in mood
stable responding is a consequence of having both states (Watson,  2009), they appear differentiable
behavior-managing and affect-managing control with regard to situation-specific affects.

CARVER AND SCHEIER 33

 Approach: nor positive affect. Either quality (deviation from
doing well the standard in either direction) would represent an
elation, joy
“error” and lead to change in output that would
eventually reduce it. This view argues that people
who exceed the criterion rate of progress (and who
Avoidance/ Avoidance/ thus have positive feelings) will automatically tend
relief, anxiety,
withdrawal: calm fear withdrawal: to reduce subsequent effort in this domain. They
doing well doing poorly
will coast a little—ease back.
Expending greater effort to catch up when
behind and coasting when ahead are both presumed
anger, depression to be specific to the goal domain to which the affect is
Approach: attached, usually the goal from which the affect
doing poorly arises in the first place. We do not argue that posi-
Figure 3.3  Dimensions of approach-related and withdrawal-
tive affect creates a tendency to coast in general, but
related affects postulated by Carver and Scheier (1998, 2008). with respect to the activity producing the positive
The crossing point in this diagram represents neutral points on feelings. We should also be clear that we are talking
both dimensions. about the current, ongoing episode of action. We
are not arguing that positive affect makes people less
This issue is important because it has implications likely to do the behavior later.
for any attempt to identify a conceptual mechanism Does positive affect lead to coasting? There is not
underlying creation of affect. Theories positing two a great deal of evidence on this question, but there
unipolar dimensions assume that greater activation is some. To test the idea requires generating positive
of a system translates to more affect of that valence affect (or creating the perception of being ahead of
(or more potential for affect of that valence). If the one’s reference point) with respect to one behavioral
approach system relates both to positive and to neg- domain and then measuring behavior in the same
ative feelings, however, this direct transformation of domain. Many studies have created positive affect in
system activation to affect is not tenable. A concep- one context and assessed its influence on another
tual mechanism is needed that naturally addresses task or in another context (e.g., Isen, 1987, 2000;
both valences within the approach function (and, Schwarz & Bohner, 1996). However, that does not
separately, the avoidance function). The mechanism test this particular question.
described here does so. We know of three published sources of evi-
dence. One study found that professional basket-
Counterintuitive Effect of Positive Affect ball teams were more likely to lose after a playoff
A second issue also differentiates this model from victory than after a defeat (Mizruchi, 1991). Although
most other views (Carver, 2003; Carver & Scheier, this is consistent with coasting after winning, it is
2009, 2013). Recall our argument that affect reflects also ambiguous. It is impossible to tell whether
the error signal from a comparison in a feedback the pattern reflects coasting after success, renewed
loop. If this is so, affect is a signal to adjust rate of effort after failure, or both. Less ambiguous, a series
progress. This would be true whether the rate is above of three studies by Louro, Pieters, and Zeelenberg
the mark or below it—that is, whether affect is (2007) found consistent evidence that positive affect
­positive or negative. For negative feelings, this is induces coasting, but only when goal attainment
fairly intuitive. The first response to having negative was imminent.
feelings about something is usually to try harder. A more recent experience-sampling study had
If  the person tries harder—and if more effort (or participants make a set of ratings pertaining to each
better effort) increases progress—the negative affect of three goals, three times a day, for 21 days (Fulford,
diminishes or ceases. Johnson, Llabre, & Carver,  2010). The ratings
For positive feelings, prediction is counterintui- ­included reports of effort toward the goal during the
tive. In the model, positive feelings arise when things previous time block, perceived progress toward it
are going better than they need to. But the feelings during the previous time block, and expected prog-
still reflect a discrepancy (albeit a positive one), and ress in the forthcoming time block. Multilevel mod-
the function of a negative feedback loop is to keep eling revealed that instances of progress exceeding
discrepancies small. Such a system is organized in expectation were followed by reduction in effort
such a way that it “wants” to see neither negative toward that goal in the next time period.

34 A SELF-REGULATORY VIEWPOINT ON H UMAN BEHAVIOR

 Skepticism about the idea that positive affect (or another way for priority ordering to shift: The focal
getting ahead) leads to coasting stems in part from goal can relinquish its place. Perhaps positive feelings
the fact that it is hard to see why a process would be also pertain to reprioritization, but rather than a call
built into the organism that limits positive feelings— for higher priority, they reflect reduction in priority.
indeed, dampens them. We see at least two reasons. Positive affect regarding avoidance (relief or tran-
The first lies in a basic biological principle: It is quility) indicates that a threat has dissipated, no
adaptive not to spend energy needlessly. Coasting longer requires so much attention, and can take a
prevents this. Indeed, Brehm built an entire motiva- lower priority. Positive feelings regarding approach
tional theory around the argument that people (happiness, joy) indicate that an incentive is being
engage only as much effort as is needed to accom- attained and could temporarily be put on hold be-
plish a given task and no more (e.g., Brehm & cause you are doing so well; thus, this goal can take
Self, 1989; Wright & Kirby, 2001). a lower priority (see Carver, 2003).
A second basis for such an arrangement stems
from the fact that people have multiple simultane- Priority Management and Feelings
ous concerns. Given multiple concerns, people of Depression
generally do not optimize their outcome on any One more aspect of priority management must be
one of them, but satisfice (Simon,  1953)—do a addressed, concerning the idea that some goals are
good enough job on each concern to deal with it best abandoned. Sufficient doubt about goal attain-
satisfactorily. This permits them to handle the ment yields a tendency to disengage from effort and
many concerns adequately, rather than just any even to disengage from the goal itself. This is cer-
one of them. Coasting facilitates satisficing. A ten- tainly a kind of priority shift, in that the abandoned
dency to coast with respect to some goal virtually goal now has an even lower priority than it had
defines satisficing regarding that goal. A tendency before. But how does this case fit the ideas described
to coast also fosters satisficing for a broader set of thus far?
goals by allowing easy shifts to other domains at This case seems at first to contradict Simon’s
little or no cost (Carver, 2003). (1967) view that negative affect is a call for higher
priority. But there is an important difference b­ etween
Affects and Priority Management two classes of negative affect related to ­approach
This line of argument brings up a broad function that (Carver, 2003, 2004; in this discussion we disregard
deserves further attention: the shifting from one avoidance). Some of these affects coalesce around
goal to another as focal in behavior (Dreisbach & frustration and anger. Others coalesce around sad-
Goschke, 2004; Shallice, 1978). This basic and very ness, depression, and dejection. The former relate to
important phenomenon is often overlooked. People an increase in priority and the latter to a decrease
typically have many goals under pursuit simultane- (Figure 3.4).
ously, but only one has top priority at a given moment. Earlier in this section we characterized our
People need to shield and maintain intentions that view as placing approach-related affects on a bipolar
are being pursued (cf. Shah, Friedman, & Kruglanski, dimension. However, the dimension does not yield
2002), but they also need to be able to shift flexibly a simple monotonic function. Progress below the
among goals (Shin & Rosenbaum, 2002). criterion creates negative affect, as the incentive
The issue of priority management was addressed slips away. Inadequate movement gives rise to frus-
very creatively many years ago by Simon (1967), tration, irritation, and anger, prompting more effort
who proposed that emotions are calls for reprioriti- to overcome obstacles and elevate the inadequate
zation. He suggested that emotion arising with progress. But efforts sometimes do not change the
­respect to a goal that is out of awareness eventually situation. Indeed, a loss precludes future approach.
induces people to interrupt their behavior and give In this case, the feelings are sadness, depression,
that goal a higher priority than it had. The stronger ­despondency, and hopelessness. Behaviors also differ
the emotion, the stronger is the claim that the in this case. The person tends to disengage from—
­unattended goal should have higher priority than give up on—further effort.
the goal that is currently focal. In the first case, feelings of frustration and anger
Simon’s discussion focused on cases in which a are a call for an upgrade in priority, an increase in
nonfocal goal demands a higher priority and intrudes effort, a struggle to gain the incentive despite set-
on awareness. By strong implication, his discussion backs. In the second case, feelings of sadness and
dealt only with negative affect. However, there is depression accompany reduction of effort and a

CARVER AND SCHEIER 35

 Affect: Blissful Happy Frustrated Dejected
Eager Angry Sad
Delighted Despondent

Extent of
engagement
or effort

Above Criterion Below

Figure 3.4  Hypothesized approach-related affects as a function of doing well versus doing poorly compared to a criterion velocity.
A second (vertical) dimension indicates the degree of behavioral engagement posited to be associated with affects at different degrees
of departure from neutral.
Adapted from C. S. Carver, 2004, “Negative Affects Deriving From the Behavioral Approach System,” Emotion, 4, 3–22.

downgrade in priority. As described earlier, both the speed is needed (as when the situation is emotionally
upgrade and the downgrade have adaptive functions charged). The rational system evolved later, providing
in the appropriate situations. a more cautious, analytic, planful way of proceeding.
Operating planfully has important advantages, pro-
Shifts in the Theoretical Landscape: Two vided there is sufficient time and freedom from
Modes of Functioning pressure to think things through. Both systems are
We now turn to an entirely different issue. During presumed to be always at work, jointly determining
the past 2 decades or more, changes have occurred in behavior, though the extent of each one’s influence
how people view cognition and action. The implicit can vary by situation and disposition.
assumption that behavior is generally managed in Dual process thinking has also been influential
a  top-down, directive way has been challenged. in other aspects of psychology. One theory that has
Questions have been raised about what role is influenced our thinking comes from developmental
played by consciousness in many kinds of action. psychology. Rothbart and her colleagues argue for
Interest has arisen in the idea that the mind has the existence of three temperament systems: two for
both explicit and implicit representations. These reactive approach and reactive avoidance and a third
various issues have also influenced how we think termed effortful control (e.g., Derryberry & Rothbart,
about ideas we have been using. 1997; Rothbart, Ahadi, & Evans, 2000; Rothbart &
Posner, 1985; see also Nigg, 2000). Effortful control,
Dual Process Models which is superordinate to approach and avoidance
Several literatures have developed around the idea temperaments, concerns (in part) the ability to sup-
that there exist two distinguishable modes of proc- press approach when it is situationally inappropriate.
essing (Carver, Johnson, & Joormann,  2008). In This view of effortful control greatly resembles
personality psychology Epstein (e.g.,  1973,  1994) ­depictions of the deliberative or reflective mode of
long advocated such a view. He said that what he other dual process models.
called a rational system operates mostly consciously,
uses logical rules, is verbal and deliberative, and thus Hierarchicality Reexamined
is fairly slow. In contrast, an experiential system is Several sources of theory, then, suggest that the
intuitive and associative in nature. It provides a quick mind functions in two ways (for broader discussion
and dirty way of assessing and reacting to reality. see Carver & Scheier, 2017). They all promote the
It  relies on salient information and uses shortcuts view that a deliberative mode of functioning uses
and heuristics. It functions automatically and quickly. symbolic and sequential processing and thus is
It is considered nonverbal and emotional (or at least ­relatively slow; all suggest that a more impulsive or
very responsive to emotions; see Metcalfe & Mischel, reactive mode of functioning uses associationistic
1999, for a similar view). processing and is relatively fast. Many of the theories
The experiential system is presumably older and suggest that the two modes are semiautonomous in
more primitive neurobiologically. It dominates when their functioning, competing with each other to

36 A SELF-REGULATORY VIEWPOINT ON H UMAN BEHAVIOR

influence actions. Indeed, many point to situational framed over many years in terms of concepts such as
variables that influence which mode dominates at a delay of gratification, planfulness, and id versus ego
given time. (Freud,  1962). Impulsiveness is a broad concept
These kinds of ideas have influenced how we (e.g., Parker, Bagby, & Webster, 1993; Smith et al.,
think about the hierarchy of control proposed by 2007; Whiteside & Lynam, 2001), and the term is
Powers (1973) that was discussed earlier in the used differently in different contexts. But its core
chapter. We said that programs of action entail de- seems to be that people sometimes confront situations
cisions. They seem to be managed from the top down, in which they can immediately, reflexively express
using effortful processing. Planfulness, an element an impulse or desire (or whim) or they can instead
of programs, is also a common characterization of take a broader view that might result in different
behavior managed by the reflective system. It seems behavior.
reasonable to map program-level control onto the Both impulse and constraint have valuable char-
deliberative, reflective mode of functioning. acteristics in relevant contexts (Block & Block, 1980;
In contrast to this deliberative quality, well-learned Bocanegra & Hommel,  2014; Otto, Gershman,
sequences occur in a relatively automatic stream once Markman, & Daw, 2013). When it is manifested as
they are triggered. Sequences (along with lower spontaneity, impulsiveness brings a sense of vigor and
levels of control) are necessarily called up during the freedom to life (e.g., Dickman,  1990; Hansen &
execution of programs. However, perhaps sequences Breivik, 2001). Impulsive action is also adaptive in
can also be triggered more autonomously, without environments that are unpredictable (e.g., Tops,
being specified by efforts toward a higher goal. Boksem, Luu, & Tucker, 2010) and especially where
Sequences may be triggered by the activation of the future availability of resources is unknown (e.g.,
strong associations in memory. In such cases, the del Giudice, 2014).
operating characteristics would seem akin to those However, impulses can also create problems.
of the reactive mode of functioning. They can interfere with attainment of longer term
In the past we have often noted that the level of goals (e.g., spending today rather than saving for the
control that is functionally superordinate can vary future). They can promote violation of social norms
by situations and persons (e.g., Carver & Scheier, (Cooper, Wood, Orcutt, & Albino, 2003; Lynam,
1998, 1999a). As we said earlier, it is easy to imagine 1996) and thus help generate interpersonal conflict.
cases in which a person is behaving according to a Being able to control impulsive reactivity when it
principle (e.g., a moral or ethical value), and it is easy is  desirable to do so is generally seen as crucial to
to ­imagine cases in which the person is behaving ­successful self-management (Daly, Delaney, Egan, &
­according to a plan or program. It is also easy, how- Baumeister, 2015; Vohs & Baumeister, 2016).
ever, to imagine cases in which the person is acting What tips the balance between impulse and
impulsively and spontaneously, without regard to constraint? At least two conceptual mechanisms
­
either principle or plan. have been applied to this question. One account rests
In making this point in the past, our emphasis entirely on approach and avoidance (e.g., Gray, 1982,
generally focused simply on how sequences and 1994). The stronger the tendency to approach cues
programs differed. Now we are inclined to wonder of incentives, the greater the likelihood of impulsive
if this particular differentiation is not perhaps more approach. If there are threat cues, though, the threat
important than we had realized. Perhaps we have system becomes engaged, stifling ongoing approach.
underappreciated the extent to which lower levels The stifling of approach represents constraint. In this
of self-regulatory structures can be triggered auton- view, only acts of approach can be impulsive. Either
omously and their outputs enter the stream of those acts are executed or they are restrained.
­ongoing action, without oversight from higher levels, There are reasons to suspect, however, that
and potentially even in conflict with values at higher ­competition between approach and avoidance is not
levels. This seems an important question for further the entire story. For example, in today’s dominant
exploration. trait models of personality, the trait that is generally
seen as reflecting approach (Extraversion) and the
Impulse and Control trait that is generally seen as reflecting avoidance
Dual process models also speak to another broad (Neuroticism) are both distinct from traits that r­ eflect
issue in psychology that has reemerged as important constraint. Impulse versus constraint is reflected
in recent years. This issue is the tension between ­instead in the trait of disinhibition versus constraint
­impulsiveness and constraint. The tension has been in L. A. Clark and Watson’s (1999) three-factor model

CARVER AND SCHEIER 37

and the trait of conscientiousness in the five-factor don’t really want to (Sansone, Wiebe, & Morgan,
model (see also Depue & Collins, 1999; Zelenski & 1999). Thus, exerting effortful control can move a
Larsen, 1999). person toward either restraint or action, depending
on what reactive response is being overcome (Kieras,
Tobin, Graziano, & Rothbart, 2005; Rick, Cryder, &
Application of Dual Process Models Loewenstein, 2008).
A second way of thinking about constraint follows This general view casts a somewhat different
from dual process models. Consider the version from light on the concept of impulsiveness than the view
developmental psychology (Kochanska & Knaack, ­described first. The aspect of impulsiveness empha-
2003; Nigg, 2000, 2003; Rothbart, Ahadi, Hershey, sized in this view is that impulses are reactive: rela-
& Fisher, 2001; Rothbart, Ellis, Rueda, & Posner, tively reflexive responses to some stimulus in disregard
2003). It posits approach and avoidance tempera- of other considerations. In this view, what matters is
ments that act reflexively in the presence of incentive not whether the outward display is of action or inac-
and threat cues, respectively. In acting reflexively, tion. The key is that the action property that emerges
they are said to exert reactive control. If unimpeded, is a reactive, automatic association to some stimulus.
they can dominate behavior (Figure 3.5A).
Later to develop is a third temperament, often Dual Process Models: Impulse and Control
termed effortful control (equivalent to what others in Psychological Problems
have referred to as reflective or deliberative proc- These ideas about impulse and control have also been
essing). It is viewed as superordinate to approach applied to topics in psychopathology (see also Carver
and avoidance temperaments (e.g., Ahadi & Rothbart, & Johnson,  2018; Carver, Johnson, & Timpano,
1994; L. A. Clark, 2005) and thus in some sense 2017). Dual process models suggest that the reactive
has the potential to supersede them (Figure 3.5B), mode acts reflexively and is very responsive to emo-
though it does not always do so. tions. But these are “operating characteristics” of that
Although restraint of approach impulses is the mode of function. How the operating characteristics
most obvious manifestation of this process, other are manifested behaviorally depends on what emo-
potential manifestations are equally important. tions the person is experiencing and what reactive
Effortful control can also override what might be action impulse thereby is being triggered. The result
thought of as a reflexive tendency toward avoid- can be a great divergence in outcomes.
ance when an avoidance temperament is especially To some extent, this view is intuitive. It has been
active. Thus, for example, with sufficient effortful recognized for a long time that externalizing prob-
control, you can remain in a stressful social situa- lems are related to impulsivity (e.g., Krueger &
tion rather than flee from it. If a person’s approach Markon, 2006). However, the view described here
temperament is weak or inactive, effortful control suggests that internalizing disorders such as depres-
can override a reflexive tendency toward inaction. sion may also be related to impulsivity, a view that is
For example, it can get you to go exercise when you far less intuitive. How could that be true?

(B)

(deliberative) effortful control

(A)

(reflexive) (reflexive) (reflexive) (reflexive)

reward punishment reward punishment
sensitivity sensitivity sensitivity sensitivity

Figure 3.5  Three temperamental influences on behavior.

(A) A reactive system for approaching rewards and a reactive system for avoiding threats or punishment compete for ascendance; in
the absence of effortful control, the resultant of that competition is expressed in behavior. (B) The engagement of an effortful control
system permits another influence to compete with that resultant, thus dampening the role of the reactive systems in determining
behavior. Adapted from statements by Rothbart, Eisenberg, and others.

38 A SELF-REGULATORY VIEWPOINT ON H UMAN BEHAVIOR

 The answer lies in the differing nature of different (mostly negative) emotions, the other overt behavioral
emotion. Most emotions call for outward action. ­reactivity to emotions of both valences. (The remain-
Anger promotes attack. Fear promotes avoidance. ing factor did not refer to emotional triggers.) Persons
But a call for outward action does not characterize diagnosed with lifetime major depressive disorder
all emotions. Intense sadness—the affective core of had higher scores on both emotional-reactivity f­actors
depression—is a call for passivity (Frijda, 1986). It is than did persons with negative diagnoses (Carver
a deactivating emotion, a signal of failure. An over- et al., 2013).
responsiveness to emotion, applied to sadness, would Longitudinal evidence also indicates the impor-
promote behaviors cued by sadness. The behavior tance of emotion-related impulsivity to depression.
triggered by intense sadness is inaction. Thus, de- Smith, Guller, and Zapolski (2013) followed a
pressed behavior often reflects passivity and apparent group of fifth graders for a year, assessing diverse
difficulty in initiating action. According to the defi- markers of psychopathology over time. They found
nition posed earlier, in which reflexive reactivity is that a measure of urgency (reflecting impulsive
what defines impulsivity, this would be impulsive. ­reactions to both negative and positive emotions)
Paradoxically, then, a single functional property— predicted increase in relative depression over that
impulsive behavioral reactivity to emotion—can year, after controlling for a wide range of external-
help release bursts of violence or other antisocial izing symptoms.
behavior, but may also help create essentially the The available evidence does appear to suggest,
opposite profile of behavior, in response to a different then, that both vulnerability to externalizing prob-
emotion. lems and vulnerability to depression are linked to a
If people who are vulnerable to impulsive violence tendency to be impulsive.
and people who are vulnerable to depression both
have impulsive tendencies, they must differ in some Transdiagnostic Vulnerability
other fundamental way. The most obvious candidate The possibility that the broad spectrum of psycho-
is sensitivity of the approach system (Carver, Johnson, pathologies may be characterized by a more limited
Joormann, & Scheier, 2015). When poor deliberative number of features that are actually transdiagnostic
oversight is combined with a very reactive approach has been raised in a number of places in recent years
system, the result is approach-related impulsiveness (e.g., Harvey, Watkins, Mansell, & Shafran, 2004;
(including aggression). When poor deliberative over- Johnson-Laird, Mancini, & Gangemi, 2006). It seems
sight is combined with a blunted approach system, worth asking whether an impulsive overreactivity to
the result is impulsive inaction. In both cases, the emotions may be one such transdiagnostic feature
effects of reactive incentive sensitivity (high and low, (see also a related argument made by Johnson-Laird
respectively) are amplified by the absence of deliber- et al., 2006, about the role of emotional overrespon-
ative processing. siveness in psychopathology).
This line of reasoning assumes that depression Some additional information is available on
actually entails impulsivity, particularly overreactiv- this  question and more is accumulating. The three
ity to emotions. Is there empirical evidence of this? ­impulsivity factors described above have also been
Yes. Three studies (Ekinci, Albayrak, & Caykoylu, studied in other psychopathology-related contexts,
2011; Henna et al., 2013; Peluso et al., 2007) have albeit with nonclinical levels of symptoms. One study
associated a diagnosis of major depressive disorder (Johnson, Carver, Mulé, & Joormann, 2013) found
with self-reports of motor impulsivity on the Barratt that manic temperament, measured by the Hypomanic
Impulsiveness Scale (Barratt,  1965); two of them Personality Scale, correlated significantly with
(Ekinci et al.,  2011; Henna et al.,  2013) found a emotion-triggered impulsivity. Similar associations
similar effect for attentional impulsivity. have been found between a measure of impulsive
Another recent project explored the possibility responsiveness to positive affect and both mania
that depression would be linked more explicitly with vulnerability (Giovanelli, Johnson, Gruber, & Hoerger,
reactivity to emotions (Carver, Johnson, & Joormann, 2013) and bipolar I diagnostic status (Muhtadie,
2013). It used a variety of questionnaires bearing Johnson, Carver, Gotlib, & Ketter, 2014). Thus,
on impulsiveness; a subsample also completed a reports of an overresponsiveness to positive emotions
diagnostic interview for lifetime major depressive and emotions in general relate to mania vulnerability
disorder. The impulse-related questionnaires were dis- as well as to depression.
tilled to three factors, two of which reflect respon- Yet another set of analyses found associations
sivity to emotion: one mostly cognitive reactivity to ­between both emotion-reactivity factors and a wider

CARVER AND SCHEIER 39

range of problem behavioral tendencies, including that is compatible with many other theories that are
anxiety, depression, suicidality, alcohol problems, described in this book, standing alongside them
aggressive tendencies, and borderline personality traits rather than in place of them. In that sense, these ideas
(Johnson, Carver, & Joormann, 2013). As a group, may be less a theory than a metatheory, a very general
these findings are consistent with the notion that an way of conceptualizing interwoven functions, a dec-
impulsive overreactivity to emotions represents a laration of belief about how complex systems work.
feature common to a great many psychopathologies However, this is a viewpoint that is primarily
(for further findings see Berg, Latzman, Bliwise, & about the how of motivated behavior rather than the
Lilienfeld, 2015; Kaiser, Bonsu, Charnigo, Milich, & what. It bears on control of actions that are selfish
Lynam, 2016; Pearson, Combs, Zapolski, & Smith, and control of actions that are well socialized. Those
2012; Riley, Combs, Jordan, & Smith, 2015). actions differ not in their structure but in the con-
The notion of transdiagnostic vulnerability has tent of the principles and programs (and perhaps
been given additional credibility by a series of the self ) that exist in the persons who engage in the
studies that have isolated a general factor of actions. This view thus is very different from views of
­psychopathology (Caspi et al., 2014; Castellanos- motivation that address (for example) what specific
Ryan et al., 2016; Laceulle, Vollebergh, & Ormel, core motives may underlie human growth and opti-
2015; Lahey et al., 2012, 2015; Snyder, Young, & mal functioning (e.g., Ryan & Deci, 2000, 2001). It
Hankin,  2017; Tackett et al.,  2013; Waldman, was never the explicit goal of the feedback approach
Poole, van Hulle, Rathouz, & Lahey, 2016). The to speak to those issues.
studies that make this case measured diverse aspects On the other hand, it is also possible to stretch
of psychopathology and extracted factors from the these ideas a bit more, to speak to at least some of
resulting data matrices. A common factor emerged, those issues. It is inherent in a hierarchical organ-
which relates to a wide range of disorders, both ization of values that the values have some degree
externalizing and internalizing. of compatibility. If there is too much inconsist-
The next question is what that factor might ency among goals, effort toward one of them en-
­represent. One way of interpreting it in functional larges discrepancies with respect to another. This
terms is that it represents individual differences in is bad enough when the goals are simply in com-
impulsive responses to emotion (Carver, Johnson, petition for devotion of time and resources to their
& Timpano, 2017) or perhaps individual differences attainment (for example, when taking extra time
in the balance of influence of the two modes of to work on a project at the office takes time away
processing more generally. When combined with from engagement with one’s family). It is even
one sort of temperamental substrate, this impul- more problematic if the goals are intrinsically in
siveness yields externalizing; when combined with conflict (for example, when a father wants to give
­another substrate, the result is internalizing. If this his child freedom to explore but also wants to keep
analysis were supported in future research, it would his child safe).
perhaps represent an important step in conceptual- To the extent that the biological blueprint of a
izing a range of problems in behavior. This is another human being incorporates species-wide imperatives,
topic that we expect to continue to receive attention goals at various lower levels of abstraction must be
in the coming years. brought into at least some degree of compatibility
with those imperatives. Precisely what species-wide
The How Versus the What of Motivation imperatives are contained in that blueprint is a
We turn now to one more set of issues. We began question on which there is a good deal of debate.
this chapter by describing some of the ideas of The establishment of dominance hierarchies is one
­cybernetics, as a way of thinking about issues in imperative; emotional connection to at least some
motivation. The cybernetic approach to motivational other humans is another.
issues is primarily about the structure and dynamics The upshot of this set of issues is that a model of
of behavior rather than the content of behavior. It is hierarchical organization of the self and its goals
a depiction of relations among processes that occur ­appears to entail continuing pressure toward com-
as people negotiate the psychological and behavioral patibility among the values that define the self and
space of their lives. We think these principles are one’s view of community. The attainment of lower
informative both about adaptive functioning and order goals is the process by which higher order goals
about problems in functioning. We also believe the are realized, all the way to the highest values the
ideas described in this chapter represent a viewpoint person has.

40 A SELF-REGULATORY VIEWPOINT ON H UMAN BEHAVIOR

Where Do New Goals Come From? In many cases, new activities are undertaken
The principle that lower order goals have links to precisely because they have been preidentified as
higher order ones also has implications for how new ­potentially relevant to a higher order goal in the
goals arise and are adopted as reference values (for person’s life. For example, a person who is high in
broader treatment, see Carver & Scheier,  1999b). Openness, who likes to explore diversity in life, may
A  person’s repertoire of goals changes in many decide to take a vacation tour of Asia, or try scuba
ways over time. Some changes are very simple and diving, or experiment with bicycle racing. In such
restricted; other cases involve the adoption of goals cases, the new activity is approached because it is
that are very new. identified as a possible means to satisfy the desire
Sometimes the change is limited to shifting level (the goal) of exploration.
of aspiration. Goals that are not being attained are Exploration provides an easy illustration, but it
scaled back to be less demanding. Goals that are being certainly is not the only higher level desire that can
attained too easily are raised to be more demanding. lead to new activities. Any time someone says, “You
Such changes allow the person to continue in the ought to try this—I think you might enjoy it,” an
same general domain of activity at a level that is both inference is being made that the activity will satisfy
challenging and attainable. When such a change has a broader desire the person has. Any time people
been made, the goal is not quite the same as it was contemplate undertaking new activities, they are
before, though. considering how the activities might fit into their
Another small step in the direction of new goals current patterns of preferences.
would be cases in which a person engages in an In these examples a link is prespecified between
activity for one purpose (e.g., going to a gym to work the “new” goal and an existing one. Sometimes,
out, with the goal of staying healthy) and inadvert- though, an activity seems to come together without
ently finds that the activity also satisfies a second much forethought or planning and (when it occurs)
purpose (making new friends). The activity thereby is found to be enjoyable. In such cases, the person
acquires a second kind of usefulness and becomes may actively seek to identify the activity’s essence, so
connected to a different higher level goal than it as to make the positive experience repeatable by
was connected to before (Figure 3.6). This behavior ­intention. Thus, it becomes a new goal. That is, to
has evolved a new link upward in the goal hierarchy. make the experience repeatable, the person encodes
The activity itself (going to the gym and exercising) its nature in memory in a manner that renders it
already was in place as a goal and thus it is not new accessible to top-down use later. In this sort of case,
itself. But its broader implications are now different— a bottom-up self-assembly (component elements
perhaps quite different—than they were. This change coming together without an explicit higher level ref-
in a goal’s connectedness to other aspects of the self- erence value) leads to synthesis of a new reference
structure also implies newness. value at a higher level.

Ideal self

physical connection
Principles
health to others

Programs go to gym

Sequences

Figure 3.6  Attainment of a goal at a relatively lower level of abstraction often can contribute to more than one goal at the next
higher level.
An example, discussed in text, is that going to the gym can contribute to the maintenance of physical health, and it can also be a way
of making friends, thus enhancing connection to others.

CARVER AND SCHEIER 41

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The answer is fairly simple. Scientists in diverse components: Form follows function. Journal of Personality
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Acknowledgment Psychologist, 73, 1067–1078.
Preparation of this chapter was supported by grants from the Carver, C.  S., Johnson, S.  L., & Joormann, J. (2008).
National Institute of Mental Health (MH110477), the National Serotonergic function, two-mode models of self-regulation,
Institute of Nursing Research (NR016838), and the Bankhead– and vulnerability to depression: What depression has in
Coley Biomedical Research Program of Florida. common with impulsive aggression. Psychological Bulletin,
134, 912–943.
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46 A SELF-REGULATORY VIEWPOINT ON H UMAN BEHAVIOR

 CH A PT ER

4 Regulatory Focus Theory and Research

Catching Up and Looking Forward After 20 Years

Abigail A. Scholer, James F. M. Cornwell, and E. Tory Higgins

Abstract

This chapter explores the motivational dynamics of the promotion and prevention systems outlined
in regulatory focus theory (Higgins, 1997). It includes a review of the core tenets of the theory—
identifying and responding to important and frequently asked questions—in discussing significant
research of the past two decades since the theory made its debut. In particular, the chapter includes a
discussion of what defines each system, how regulatory focus orientations are commonly measured
and manipulated, what differentiates promotion and prevention motivation from approach and avoidance
motivation, what characterizes the trade-offs of each system, and newer developments in research on
regulatory fit, group dynamics, and motivational flexibility. Throughout, avenues for future research
are suggested.
Keywords:  regulatory focus, promotion, prevention, motivation, self-regulation, regulatory fit

Any stroll across the Internet or down the self-help 1997; Ryan & Deci, 2000). In this chapter, we
aisle in a bookstore makes it obvious that people ­explore how regulatory focus theory (Higgins, 1997)
are hungry to understand motivation. People want addresses these issues and discuss how the motiva-
to know how to motivate themselves, their part- tional distinctions it introduces contribute to a richer
ners, their children, their employees. People want understanding of the dynamics of goal pursuit.
answers to big questions: Why do I engage in In the 20 years since regulatory focus theory
­behaviors that go against long-term interests? Why was introduced (Higgins, 1997, 1998), it has gen-
is change so hard? Why does she see the glass as half erated many new studies on motivation science.
full and I see it as half empty? Motivation science The discoveries from these studies have led to de-
researchers have grappled with these same ques- velopments in the theory itself, provided evidence
tions and addressed these issues from many valua- to support novel implications of the theory, and
ble perspectives: investigating how people navigate suggested new questions to explore. On this 20th
conflicts between fleeting desires and long-term anniversary of the theory, this chapter provides
goals (e.g., Fujita, 2011; Mischel, Cantor, & Feldman, an  opportunity to take stock, look back at what
1996), studying factors that increase goal commit- research has revealed over this period, and probe
ment and performance (e.g., Locke & Latham, new developments and future horizons in testing
1990; Zhang & Huang,  2010), examining what the theory. We have organized our discussion by
makes an effective parent (e.g., Sears, Maccoby, & responding to the fundamental and frequently
Levin, 1957) or leader (e.g., Bass, 1985; Burns, 1978), asked questions that people often have when en-
and exploring the fundamental motivations that countering this theory, highlighting in each section
make us tick, effectively or otherwise, across the what we see as exciting opportunities for future
many challenges we face (Gray,  1970; Higgins, ­research.

47
What Is Regulatory Focus Theory? 1997; Higgins, Roney, Crowe, & Hymes, 1994;
Regulatory focus theory distinguishes between two Liberman, Molden, Idson, & Higgins, 2001; Molden
coexisting motivational systems (promotion, pre- & Higgins, 2005; Wang & Lee, 2006). Promotion-
vention) that serve essential but different survival related eagerness is reflected in many types of tactics
needs (Higgins, 1997). Although the systems differ and behaviors, such as considering multiple alterna-
in multiple ways, as we will discuss, the two core tives (Liberman et al., 2001), emphasizing positive
differences between the systems concern differences possibilities (Scholer, Ozaki, & Higgins, 2014; Zhang
in what fundamentally motivates goal pursuit (growth & Mittal, 2007), focusing on the forest over the trees
and advancement for promotion versus s­ ecurity and (Semin, Higgins, de Montes, Estourget, & Valencia,
safety for prevention) and which regulatory strategies 2005), prioritizing speed (Förster, Higgins, & Bianco,
are preferred in goal pursuit (eagerness for promotion 2003), and general openness to change (Cornwell &
versus vigilance for prevention). Psychological theo- Higgins, 2013; Higgins, 2008).
ries have long recognized growth (i.e., to develop
and be nurtured) and security as fundamental needs What Is Prevention Motivation?
(Bowlby, 1969, 1973; Higgins, 1987; Mowrer, 1960). Individuals with a prevention focus are sensitive to
Thus, people need both systems to be maximally security-related concerns such as maintaining safety
effective in the world. However, as we will discuss and upholding duties and responsibilities. This sen-
in more detail, in any given moment, the concerns sitivity to the absence and presence of negative out-
of one system may predominate over the other comes is reflected in greater assigned significance to
­because of either chronic or situational differences the difference between 0 and −1 than to the difference
in accessibility. between 0 and +1 (Brendl & Higgins, 1996; Higgins,
1997; Higgins & Tykocinski, 1992). In other words,
What Is Promotion Motivation? prevention-focused individuals are maximally sensi-
Individuals with a promotion focus are sensitive to tive to nonlosses versus losses. Important nonlosses are
growth-related concerns such as advancement and those related to maintaining safety and doing what
progress. They dream big and broadly, aspiring for you ought to do (fulfilling duties and responsibilities).
the next big leap, pursuing ideals. Given these con- Therefore, success for a prevention-focused individ-
cerns, promotion-focused individuals are maximally ual is captured by maintaining a satisfactory state,
sensitive to two different outcomes: gains versus by holding onto 0 (a nonloss). Failure is reflected in
nongains. This difference between gains and non- the inability to maintain 0, being less than 0 at −1 (a
gains reflects what counts as success and failure loss). Importantly, as we discuss in more detail in
within the promotion system. Success is reflected in the section on system level differences, this means
gains, positive deviations from the status quo or neu- that a satisfactory status quo of 0 has a very different
tral state—the difference between 0 and +1. Thus, meaning within the prevention system than the
even when all is going well, promotion-focused promotion system; it is a positive nonloss in preven-
­individuals are looking around to see how things tion but a negative nongain in promotion (Higgins
could go better. Promotion-focused individuals are & Cornwell, 2016).
less sensitive to negative deviations from the status These prevention-focused concerns with moving
quo or neutral state—the difference between 0 and −1 toward nonlosses and away from losses are best
(Brendl & Higgins, 1996; Higgins, 1997; Higgins served using vigilant avoidance strategies in goal
& Tykocinski, 1992). Instead, failure for a promotion- pursuit—avoiding mismatches to desired end
focused individual is captured simply by remain- states or nonlosses and avoiding matches to unde-
ing at 0 and failing to advance. Even if 0 is a satis- sired end states or losses (Crowe & Higgins, 1997;
factory state, it is not enough to simply hold onto Higgins et al., 1994; Liberman et al., 2001; Molden
it within the promotion system. It does not repre- & Higgins, 2005; Wang & Lee, 2006). Prevention-
sent the gains that define success (Higgins & related vigilance is generally reflected in many
Cornwell, 2016). types of tactics and behaviors, such as carefully vet-
These promotion-focused concerns with moving ting the alternatives one considers (Liberman et al.,
toward gains and away from nongains are best served 2001), emphasizing the possibility that things
using eager approach strategies in goal pursuit—­ might go wrong (Scholer et al., 2014), focusing on
enthusiastically approaching matches to desired the trees over the forest (Förster & Higgins, 2005),
end states or gains and approaching mismatches to prioritizing accuracy (Förster et al.,  2003), and
undesired end states or nongains (Crowe & Higgins, generally e­mbracing norms and the status quo

48 REGULATORY FOCUS THEORY AND RESEARCH

(Zhang, Cornwell, & Higgins,  2014; Zhang, gains/nongains versus losses/nonlosses, from leaders
Higgins, & Chen, 2011). who focus on aspirations and ideals versus duties and
oughts, from tasks that highlight growth versus
Where Does Regulatory Focus Motivation security, from goal stages that emphasize progress
Come From? versus maintenance, and from broader cultural
Different styles of caretaker–child interactions contexts that emphasize moving beyond versus
­contribute to individual differences in the chronic ­embracing the status quo (Fulmer et al.,  2010).
strength of the promotion and prevention systems Relatively little research has examined how interac-
(Higgins,  1987,  1997; Keller,  2008; Manian, tions between chronic and temporary tendencies
Papadakis, Strauman, & Essex,  2006; Manian, may play out in behavior, but there are suggestions
Strauman, & Denney,  1998). The caretaker–child that individuals may sometimes face conflict between
interactions that contribute to children developing a predominant personal chronic orientation that is
a promotion focus emphasize desired end states as at odds with a temporarily or institutionally acti-
ideals (hopes, wishes, and aspirations) and making vated situational concern (Lisjak, Molden, &
advancements that move to a better state. Caretakers Lee,  2012). Investigating these interactions is an
communicate, explicitly and implicitly, that what important direction for future research.
matters is making progress, making gains. Instructional Recent work also highlights the dynamic ways
scaffolding to support children’s progress in learning in which an individual’s motivational orientation is
is a classic example of promotion-focused caretaking. shaped by relationship-specific identities (Boldero &
In contrast, the caretaker–child interactions that con- Francis, 2000; Browman, Destin, & Molden, 2017).
tribute to children developing a prevention focus Browman et al. (2017) found not only that indi-
emphasize desired end states as  oughts (duties, viduals show significant variability in the strength
­responsibilities, and obligations) and maintaining a of regulatory focus motivations across identities
satisfactory state rather than a worse state. Caretakers (e.g., as a student versus as a close relationship
communicate that what matters is to maintain safety partner), but also that these identity-specific regu-
and security, to be p­ repared for what might jeopardize latory focus motivations are better predictors of
the current s­atisfactory condition. Teaching children domain-specific goals than domain-general regula-
good ­ manners and proper social practices are tory focus orientations. For instance, the strength
­examples of prevention-focused caretaking. of an individual’s student-identity regulatory focus
Both prospective and retrospective studies pro- was a better predictor of the likelihood of endorsing
vide evidence that nurturing and bolstering parenting promotion versus prevention academic goals relative
styles (e.g., the child receives lot of encouragement) to an individual’s domain-general regulatory focus.
are associated with stronger ideal self-guides in chil- Furthermore, Browman et al. provided evidence
dren (Manian et al., 2006) and stronger p ­ romotion that experimentally activating a particular identity
focus in adults (Keller, 2008), whereas punitive and (e.g., student versus best friend) led to increased
controlling parenting styles (e.g., the child must accessibility of the regulatory focus motivation
follow specific rules for obedience) are associated ­associated with that identity. In other words, if an
with stronger ought self-guides in children (Manian individual has a promotion motivational orientation
et al., 2006) and stronger prevention focus in adults associated with her boss, but a prevention motiva-
(Keller, 2008). Notably, and importantly, children tional orientation associated with her romantic
can receive both promotion and prevention care- partner, her likelihood of approaching current
taking styles and thereby develop both strong tasks with an eager or vigilant orientation may
promotion and strong prevention systems of self-­ depend, in part, on who she just saw for lunch
regulation. However, what it means to strongly (respectively, her boss or her romantic partner).
develop both systems rather than one system being These findings are also consistent with work on
dominant is still not fully understood and needs social cognitive transference that suggests that
more research. ­encountering new individuals who resemble sig-
Just as caretakers can establish a world that nificant others can influence whether the promotion
strengthens promotion versus prevention sensitivi- versus prevention system is activated. For instance,
ties, so too can situations temporarily activate pro- Reznik and Andersen (2007) provide evidence
motion versus prevention concerns. Situational that transference processes can lead to the activation
forces may arise from the structure of incentive sys- of promotion-relevant or prevention-relevant self-
tems that emphasize the distinction between discrepancies associated with significant others.

SCHOLER, CORNWELL, AND HIGGINS 49

In one study, participants expected to interact with i­nformation about the accessibility of these systems,
a target individual who resembled a parent who but do not reveal an individual’s history of success/
held a self-guide for them from which they were failure within the system.
­discrepant (Reznik & Andersen,  2007). Although Other measures to assess chronic differences
all individuals evaluated the target more positively in  regulatory focus have also been developed
when the target resembled the individuals’ parent (Cunningham, Raye, & Johnson, 2005; Lockwood,
than when he or she did not, the individuals also Jordan, & Kunda,  2002; Ouschan, Boldero,
experienced more depressed affect if they had ideal Kashima, Wakimoto, & Kashima,  2007; Wallace,
(promotion) self-discrepancies associated with that Johnson, & Frazier, 2009). These measures differ in
parent and experienced more hostile/agitated affect the extent to which they capture the core facets of
if they had ought (prevention) self-discrepancies the regulatory focus systems, as has been highlighted
associated with that parent. Furthermore, individuals by Summerville and Roese (2008) and Haws,
with ought discrepancies were more likely to want Dholakia, and Bearden (2010). In a comprehensive
to avoid interaction with the target, whereas indi- analysis of measures that researchers often use to
viduals with ideal discrepancies were more likely to assess regulatory focus, Haws et al. (2010) concluded
want to approach interaction with the target. that the Regulatory Focus Questionnaire was the
top-performing scale. It not only had adequate
How Is Regulatory Focus Motivation ­internal consistency and stability, but also had the
Measured and Manipulated? best predictive validity.
As noted earlier, promotion and prevention orien- However, Haws et al. (2010) also discussed cases
tations can arise either from chronic accessibility in which other scales may be particularly useful given
(personality differences or institutionalized situa- the interests and predictions of the researchers.
tional differences) or from temporary accessibility Indeed, as discussed in the prior section, there may be
(momentary situational factors). The systems are cases where it is preferable to assess domain-­specific
orthogonal, such that at a chronic level, individu- regulatory focus motivations (Browman et al., 2017;
als can simultaneously have strong promotion and Wallace et al.,  2009) or differences in cultural or
prevention systems. However, at any given moment, institutional orientations (Fulmer et al., 2010). Given
one system is likely to predominate—as a result of the broad scope of regulatory focus theory, we see this
chronic and/or momentary factors—and guide as an exciting area for future research. For example,
­behavior. Because we believe that what ultimately under what conditions would particular facets of
matters in terms of predicting behavior is the each system—a history of successful regulation versus
­motivational state that one is currently in, whether sensitivity to gains/nonlosses versus accessibility of
that arises from chronic or temporary accessibility ideals/oughts—be the best predictor of behavior?
(Higgins, 1999), we review both how regulatory Promotion and prevention regulatory states can
focus can be assessed as a chronic variable and how also be temporarily induced. As with chronic meas-
it can be situationally manipulated. ures of regulatory focus, several different approaches
Two commonly employed measures to assess for manipulating regulatory focus have been em-
chronic differences in regulatory focus are the ployed. Promotion and prevention orientations can
­regulatory focus strength measure (Higgins, Shah, be induced by framing an identical set of task pay-
& Friedman,  1997) and the Regulatory Focus offs for success or failure as involving gain/nongain
Questionnaire (Higgins et al., 2001). The Regulatory (promotion) or nonloss/loss (prevention; e.g., Shah
Focus Questionnaire captures differences in indi- & Higgins, 1997; Shah, Higgins, & Friedman, 1998)
vidual histories of being successful in the promotion or by having individuals remember episodes from
versus prevention systems. Thus, a higher score on their past when they were successful either within
the promotion scale reflects promotion pride—a the promotion system or within the prevention
subjective history of success with promotion-related system (Higgins et al., 2001). Promotion and pre-
eagerness and a higher score on prevention pride vention states can also be induced by priming ideals
­reflects a subjective history of success with prevention- or oughts or by having participants complete a maze
related vigilance. In contrast, the regulatory focus that highlights nurturance versus security concerns
strength measure assesses differences in the chronic (Friedman & Förster, 2001).
accessibility and sensitivity of the promotion or Another common regulatory focus induction is
prevention system. Scores on strength provide to ask individuals to reflect on current ideals or

50 REGULATORY FOCUS THEORY AND RESEARCH

oughts (Freitas & Higgins, 2002) or how current the  importance of differentiating among levels of
ideals and oughts have changed since childhood self-regulation (Cantor & Kihlstrom, 1987; Carver &
(Higgins et al.,  1994; Liberman et al.,  2001). Scheier, 1998; Elliot, 2006; Elliot & Church, 1997;
Analyses of responses using this measure have Kruglanski et al., 2002; G. A. Miller, Galanter, &
shown that participants’ essays do not differ in the Pribram, 1960; Pervin, 1989; Vallacher & Wegner,
use of positive or negative affective words, but do 1987). Although these approaches differ in the
differ in ­expected ways in the use of promotion ways that they parse levels of the hierarchy, they all
(e.g., ideal/ideally, hope, wish, advance/advancement, emphasize the importance of recognizing that the
hit, ­ promote/promotion, aspiration/aspire, add, levels of self-regulation are defined by different
maximize, open, attain/attainment, support, nurture, concerns (e.g., goals, strategies, behaviors) and are
challenge/challenging, new, and novel) versus pre- independent (e.g., there is more than one behavior
vention words (e.g., ought, responsibility, n ­ ecessity, that can serve a given goal). The distinctions among
prevent/prevention, vigilant/vigilance, protect/pro- different levels of the hierarchy that have been em-
tection, cautious, careful, duty, obligation, defend, phasized within regulatory focus (system, strategy,
safety, security, must, should, omit, and stable) tactic) are critical for understanding the relation
(Scholer, Zou, Fujita, Stroessner, & Higgins, 2010). between promotion/prevention and approach/
Recently, researchers (e.g., Kanze, Huang, Conley, avoidance motivations (see also Higgins,  1997;
& Higgins, 2018) have begun to use more sophisti- Scholer & Higgins, 2008, 2013).
cated content analysis techniques to assess the
­accessibility of promotion and prevention constructs. System Level: Promotion and
These analytic techniques involve both computer- Prevention Goals
aided textual analysis and manual coding to assess The system level defines an individual’s overarching
qualitative and quantitative differences in regulatory motivational concerns and goals. Goals serve as the
focus language. These analytic techniques can be end states, standards, or references points that guide
­applied to many sources of data (recorded conversa- behavior (Austin & Vancouver,  1996; Kruglanski
tions, formal speeches, advertising posters, tweets, et al., 2002). One of the most common distinctions
websites, books). Via these techniques, for instance, made at the system level is about approach versus
it would be possible to assess an individual’s current avoidance motivation—whether individuals are
motivational orientation as captured in his or her regulating in relation to a desired end state (e.g., a
speech patterns, regardless of its chronic or situational goal to achieve professional success) or undesired
origin. Because these techniques can also be applied end state (e.g., a goal to avoid being a professional
to existing text, they provide new avenues for utilizing failure). Further, and importantly, the system level
rich sources of big data. also reflects what type of desired and undesired end
states individuals are regulating. As reviewed above,
Are Promotion and Prevention Different both promotion focus and prevention focus operate
From Approach and Avoidance? within each aspect of the system level. Individuals in
One of the most common questions and confusions a promotion focus are concerned with approaching
about regulatory focus theory is whether promotion gains, ideals, and growth and avoiding nongains
and prevention motivations are simply redundant and nonfulfillment. Individuals in a prevention
with approach and avoidance motivation. The short focus are concerned with approaching nonlosses,
answer is no. The longer answer involves a discus- oughts, and safety and avoiding losses and danger.
sion of the nature of self-regulatory hierarchies and Thus, at the system level, regulatory focus theory
the different ways in which approach and avoid- is orthogonal to the distinction between approaching
ance can unfold at different levels in a hierarchy. In desired end states and avoiding undesired end
this section, we introduce the conceptual frame- states (Higgins, 1997).
work that differentiates promotion and prevention The distinction between approach/avoidance and
from approach and avoidance. We also review promotion/prevention motivations at the system
empirical evidence that supports distinguishing
­ level has been supported empirically in many different
between promotion/prevention and approach/ ways. Confirmatory factor analyses provide evidence
avoidance motivations. that measures of system-level approach/avoidance
Regulatory focus theory joins other self-regulatory (e.g., Behavioral Inhibition Scale/Behavior Avoidance
models that have emphasized in different ways Scale; Carver & White,  1994) are distinct from

SCHOLER, CORNWELL, AND HIGGINS 51

measures of regulatory focus (Cornwell & Higgins, Francis, 2005; Higgins, Bond, Klein, & Strauman,
2015).1 The “goal looms larger” effect—motivation 1986; Strauman, 1989; Strauman & Higgins, 1987)
increasing as individuals draw closer to the desired or activated by encountering someone who resembles
end state—occurs for both promotion and prevention a significant other who holds ideals or oughts for
goals (Förster, Higgins, & Idson, 1998). Additional that individual (Reznik & Andersen,  2007; Shah,
evidence comes from studies that hold constant 2003). Being socially rejected (a prevention negative
whether individuals are regulating the approach of state) leads to increased anxiety and withdrawal, but
desired end states or the avoidance of undesired end being socially ignored (a promotion nongain) leads to
states, showing differences in the regulation of pro- sadness and attempts to reengage (Molden, Lucas,
motion versus prevention end states. These studies Gardner, Dean, & Knowles,  2009). Furthermore,
provide evidence that achieving or failing to achieve whereas promotion-focused individuals are more
promotion versus prevention desired end states have motivated to perform well when imagining potential
distinct emotional signatures, result in distinct dejection, prevention-focused individuals are more
patterns of neural activation, and differentially motivated to perform well when imagining potential
engage or threaten individuals who are chronically agitation (Leone, Perugini, & Bagozzi, 2005).
promotion or prevention focused. We explore these
distinctions in more detail next. Distinct Patterns of Neural Activation
Promotion and prevention desired end states are also
Success and Failure Feel Different associated with distinct patterns of neural ­activation
Success in the promotion system reflects the presence (Strauman et al., 2013). In an initial experimental
of a positive outcome (gain), leading to cheerfulness- session, 2 months prior to engaging in a functional
related emotions such as happiness and joy. Failure magnetic resonance imaging task, all participants
in a promotion focus reflects the absence of a posi- provided information about two types of desired
tive outcome (nongain), leading to dejection-related end states: the kind of person they ideally wanted
emotions such as sadness and disappointment. In to be (promotion goals) and the kind of person they
contrast, success in the prevention system reflects the believed it was their obligation to be (prevention
absence of a negative outcome (maintaining non- goals). Thus, all participants provided information
loss), leading to quiescence-related emotions such as about positively valenced, desired end states that
peacefulness and calm. Failure in a prevention focus they wanted to approach. These were idiographic,
reflects the presence of a negative outcome (loss), such that the same goal content (being kind) could
resulting in agitation-related emotions such as anxiety be an ideal for one individual and an ought for
and worry (Higgins, 1997, 2001; Shah & Higgins, ­another. However, these goals differed in terms of
2001). Indeed, individuals in a promotion focus are the regulatory focus concerns they represented for
faster at appraising how cheerful or dejected a given a given individual. Two months later, participants
object makes them feel, whereas individuals in a completed a priming task in the functional mag-
prevention focus are faster at appraising how quies- netic resonance imaging scanner in which they
cent or agitated an object makes them feel (Shah & were primed with their own ideal and ought goals
Higgins, 2001). as well as yoked ideal and ought goals from other
More broadly, the representation of success as a participants. Promotion and prevention goal prim-
gain or nonloss and the representation of failure as ing led to distinct patterns of activation. Promotion
a nongain or loss matters for predicting someone’s goal priming was associated with bilateral activa-
emotional response. Priming ideal (promotion) dis- tion in the occipital pole and lingual gyrus as well
crepancies leads to increases in dejection, whereas as predominantly left-sided activation of the cau-
priming ought (prevention) discrepancies leads to date and thalamus. In contrast, prevention goal
increases in agitation, whether those discrepancies priming was associated with activation in the
are directly activated (Boldero, Moretti, Bell, & left and right precuneus cortex and left and right
­posterior cingulate cortex. In addition, and impor-
tantly, individual differences in regulatory focus,
1
 Conceptually and empirically, distinctions between the but not more general approach/avoidance disposi-
behavioral inhibition system and the behavioral activation
system often refer not only to system-level differences, but also to
tions (Carver & White, 1994) predicted the strength
tactical and behavioral differences. For more extended discussion, of activation in response to promotion and prevention
see Scholer and Higgins (2008). priming.

52 REGULATORY FOCUS THEORY AND RESEARCH

Different Types of Desired End States promotion-focused answers, this led to the men
Engage the System raising more than five times as much money as the
As another illustration of the ways in which each women. What this clearly shows is that there are
regulatory system is sensitive to different positive nontrivial effects of pursuing qualitatively different
outcomes, Cesario, Corker, and Jelinek (2013) desired end states.
­manipulated both regulatory focus and outcome
sensitivities in a persuasive message they presented Different Types of Undesired End States
to participants. Participants were first induced into Threaten the System
a promotion or prevention focus before reading a Regulatory focus also influences what types of
persuasive message about the importance of dental undesired end states are problematic. Cortes,
­
hygiene. They then had to imagine they had $5 and Scholer, Kohler, and Cavallo (2018) examined how
were deciding how much to pay for a bottle of regulatory focus contributes to the ways in which
mouthwash. In both conditions, participants were individuals define success and failure in romantic
told that their current dental hygiene was at an relationships, hypothesizing that relationship growth
­acceptable level. In the gains condition, participants and gains would be particularly important for
were asked to think about how buying the mouth- promotion-focused individuals but not prevention-­
wash could advance their hygiene from acceptable focused individuals and that a lack of growth
to excellent, whereas in the nonloss condition, par- would be a problem for relationship well-being for
ticipants were asked to think about how buying the promotion-focused but not prevention-focused
mouthwash would maintain their dental hygiene. ­individuals. In one study, all participants first com-
Whereas participants in the promotion-focused pleted a lengthy questionnaire about their current
condition offered significantly more money for the relationship. They then received (bogus) feedback
mouthwash when the message was framed in terms about their relationship quality. As part of this
of gain versus nonloss, the opposite pattern was feedback, participants received information about
observed for participants in the prevention-focused the “growth potential” of their relationship. Some
condition. participants were told that their relationship had
Although research such as this makes clear that reached its peak amount of growth and would
there can be more than one type of desired end state, likely not develop further (growth threat), whereas
it does not mean that the implications of pursuing other participants were told that their relationship
gains versus nonlosses are equivalent. Indeed, a recent had significant room to grow further (growth
finding illustrates just how powerful the conse- ­opportunity). As predicted, Cortes et al. found
quences can be when people are asked what they are that this gain/nongain information was irrelevant
doing to win versus not lose. Kanze et al. (2018) for prevention-focused individuals in that it did
examined the transcripts of investor/entrepreneur not predict subsequent relationship well-being. In
question-and-answer sessions at Techcrunch Disrupt, contrast, and as predicted, promotion-focused par-
one of the largest venues for the debut of new tech- ticipants reported higher relationship well-being
nology start-ups. Given the stated importance of when they believed there was room for future gains
combating gender bias in the tech industry, it is no- but not when they experienced the growth threat
table that male entrepreneurs were offered far more of facing a future of nongains.
money than their female counterparts. Interestingly,
however, a regulatory focus analysis of these interac- The How of Goal Pursuit: Strategies
tions revealed that this was due, at least in part, to and Tactics
the answers investors were eliciting through the types Whereas the system level captures the nature of the
of questions that they asked. Whereas investors end states that individuals are regulating, lower
tended to ask men promotion-focused questions levels in the hierarchy capture the means or plans
(e.g., What is your plan to succeed?), they tended to that ­individuals are using to pursue these goals
ask women prevention-focused questions (e.g., What (i.e., the how of goal pursuit). Within regulatory
is your plan to not fail?); the entrepreneurs tended to focus theory, we have focused on the differences
respond in kind (e.g., matching prevention-focused between two levels of how—strategies and tactics
questions with prevention-focused answers). Because (Higgins, 1997; Scholer & Higgins, 2008; Scholer,
entrepreneurs who gave prevention-focused answers Stroessner, & Higgins, 2008; Scholer et al., 2010).
generally received less money than those who gave Strategies are the links between goals at a higher

SCHOLER, CORNWELL, AND HIGGINS 53

level and tactics or behavior at a lower level. and motivational concerns. For instance, one can
Strategies reflect the general plans or means for protect and maintain a vigilant strategy by imagin-
goal pursuit. Tactics are the instantiation of a strategy ing the possibility of failure or by deflating positive
in a given context, capturing the means or process self-evaluations. One can boost eagerness by opti-
at a more concrete, in-context level (Cantor & mistically imagining success or by inflating positive
Kihlstrom, 1987; Higgins, 1997). self-evaluations (Grant & Higgins, 2003; Scholer
et al., 2014).
Regulatory Focus Strategies In the past decade, there have been significant
As noted earlier, at the strategic level differences developments in understanding the ways in which
between promotion and prevention motivation eager and vigilant strategies are enacted tactically.
relate to preferences for using, respectively, eager Early work in regulatory focus suggested that eager
approach strategies (approaching matches to desired strategies would typically result in risky approach
end states, approaching mismatches to undesired tactics and vigilant strategies would typically result
end states) or vigilant avoidance strategies (avoiding in conservative avoidance tactics (Crowe & Higgins,
mismatches to desired end states, avoiding matches 1997). However, more recent developments with both
to undesired end states) (Crowe & Higgins, 1997; human and nonhuman animals provide evidence
Liberman et al., 2001; Molden & Higgins, 2005). that depending on the nature of the situation, both
In other words, at the strategic level of how indi- risky or conservative tactics can support both pro-
viduals engage in goal pursuit, promotion and motion and prevention concerns (Franks, Higgins, &
prevention motivation are aligned with strategic Champagne, 2012; Franks et al., 2013; Scholer et al.,
­approach and avoidance motivation. Thus, it is not 2008,  2010; Stroessner, Scholer, Marx, & Weisz,
that there is no relationship between regulatory 2015; Zou, Scholer, & Higgins, 2014).
focus and approach/avoidance. Rather, it is that this Specifically, to predict whether eagerness or
alignment occurs at the strategic, as opposed to vigilance will result in risky or conservative tactics,
system, level. Therefore, depending on the level at it is necessary to consider where an individual cur-
which an approach–avoidance researcher is measur- rently is in relation to the status quo 0 point. As we
ing or manipulating these motivations, it may or reviewed earlier, 0 has very different meaning within
may not intersect with regulatory focus research (for the promotion and prevention systems; it is a state
more extensive discussion of the importance of to approach within the prevention system and a state
clearly defining the levels of approach and avoid- to avoid within the promotion system. Therefore,
ance, see Scholer & Higgins, 2008, 2013). prevention-focused individuals are motivated to
The eager strategic means preferred by individuals maintain this state, whereas promotion-focused
in a promotion focus reflect their concerns with individuals are motivated to move away from it. Risky
­advancement and progress, their pursuit of ideals tactics are more likely to move individuals away
and gains, and their relative sensitivity to the differ- from their current state, making them more appealing
ence between 0 and +1. The vigilant strategic means for promotion- versus prevention-focused individuals
preferred by individuals in a prevention focus reflect at the 0 point. Indeed, research that has examined
their concerns with safety and responsibility, their preferences for risky or conservative tactics at the 0
need to guard against mistakes, and their relative point find that promotion motivation is associated
sensitivity to the difference between 0 and −1. with a risky bias, whereas prevention motivation
As  promotion- and prevention-focused individuals is associated with a conservative bias (Crowe &
draw closer to desired end states, strategic eagerness Higgins, 1997; Florack & Hartmann, 2007; Levine,
increases for promotion-focused individuals and
­ Higgins, & Choi, 2000).
strategic vigilance increases for prevention-focused The associations between promotion and preven-
individuals (Förster, Grant, Idson, & Higgins, 2001; tion and riskiness change when the current state is
Förster et al., 1998). below versus at or above the status quo 0 point. As
discussed earlier, prevention-focused individuals are
Regulatory Focus Tactics particularly sensitive to the difference between 0
Eagerness and vigilance are enacted in specific situ- and −1 because this represents the difference between
ations by the tactics that individuals adopt. Individuals success (nonloss) and failure (loss) within this system.
may adopt different supporting tactics because of In contrast, promotion-focused individuals are not
differing situational opportunities or constraints or especially sensitive to this difference because both
because a particular tactic better supports strategic states represent failure within this system. At −1,

54 REGULATORY FOCUS THEORY AND RESEARCH

consequently, the meaning of risky tactics differs participants are unaffected by this threat manipulation
­between promotion- and prevention-focused indi- (Stroessner et al., 2015).
viduals. When individuals experience a change in Similar patterns of risky tactics in the service
status from 0 to −1, this engages the prevention of prevention motivation have been observed in re-
system. In this current state of failure, prevention- search on regulatory focus motivation in nonhuman
focused vigilance leads individuals to do whatever is animals (Franks et al., 2012, 2013). For instance, in
necessary—including taking risks—to move to a one study with Long–Evans rats, Franks et al. (2012)
state of nonloss. classified rats as those that were particularly moti-
Consistent with this motivational approach, we vated by safety and nonloss (darkness) versus those
have found that prevention motivation, not pro- that were motivated by nurturance and gains (food
motion motivation, predicts a liberal (risky) bias rewards). They observed rats in an open enclosure
in a signal detection framework when the stimuli and recorded the relative amount of time they spent
are negative (versus neutral) and risk-seeking (versus pursuing darkness versus food rewards. In a separate
risk-averse) choice when individuals have experi- testing session, separated in time by 6 months, the
enced financial loss and the risky option is the only rats were exposed to a noxious novel object in prox-
one that can restore the status quo (Scholer et al., imity to their satisfactory, safe home cage (i.e., a
2008, 2010). Importantly, the research reveals that change from 0 to −1). Approaching the novel object
prevention-motivated risk-seeking below the status is a risky behavior that can operate in the service of
quo is clearly only a tactic used to restore safety: maintaining safety—to eliminate the threat, the rats
Prevention-focused individuals do not choose the can approach and bury the object. Just as has been
risky option unless it is necessary. After experienc- observed with human animals, Franks et al. (2012)
ing a loss, prevention-focused individuals did not found that rats who exhibited a tendency to pursue
choose the risky option if the conservative option safety in the open enclosure (prevention motiva-
could restore their lost status quo or if neither tion) spent the longest time with the noxious novel
option could return them to safety (Scholer et al., object. The tendency to pursue gains in the open
2010). Indeed, when the risky option is the only way enclosure (promotion motivation) did not predict
to restore the lost status quo, prevention motivation time spent with the noxious novel object.
does not predict increased liking, but does predict Interestingly, prevention motivation to uphold
decreased disliking of the risky option (Scholer obligations may sometimes lead individuals to engage
et  al.,  2010). In other words, riskiness is a tactic in risky behaviors that seem at odds with maintain-
that is selected not because it is liked, but because it ing safety. Beck, Scholer, and Schmidt (2017) had
is instrumental for serving the underlying prevention participants engage in an air traffic simulation in
motivation. which participants could route planes through pre-
Prevention-focused risky tactics under a state of determined flight paths (no risks) or through risky
loss or threat can manifest in several ways. For shortcut zones in which there was the possibility of
­example, under conditions of nonthreat, preven- accidents and near misses (coming too close to
tion focus is associated with decreased bias toward ­another object). Participants could earn money by
out-group members (Stroessner et al., 2015). However, meeting the goal of landing a target number of
if prevention-focused individuals perceive a threat airplanes within a prescribed amount of time, but
to their own group, they may engage in risky tactics payouts were negatively influenced by whether par-
(i.e., risky errors of commission—assuming an out- ticipants experienced near misses. Beck et al. ma-
group member is dangerous) that are likely to lead nipulated whether efficiency (vs. safety) was framed
to increased bias toward out-group members to as an obligation in the task. Participants for whom
ensure safety and security. For example, when efficiency was an obligation were more likely to use
threat is low, White prevention-focused individuals risky shortcut behaviors to manage high workloads
do not advocate different treatment for a suspicious compared both to individuals for whom safety was
White versus Arab airline passenger. However, under an obligation and to individuals for whom effi-
conditions of heightened threat, White prevention- ciency was an opportunity. Individuals for whom
focused individuals are more likely to advocate that efficiency was an obligation (vs. opportunity) were also
an Arab individual should be subject to invasive more likely to resume the use of shortcut behaviors
airport screening, whereas they do not advocate this following a near miss. When individuals experienced
treatment for a similarly suspicious White individual. the possibility of not meeting their goals—in this
In contrast, the judgments of promotion-focused case, the goal of efficiency rather than safety—risks

SCHOLER, CORNWELL, AND HIGGINS 55

were embraced to uphold important obligations. choice has the potential to make real progress, then
These findings demonstrate the power of shared ought promotion-focused individuals will be motivated
goals in guiding choices, even over safety, where the to make the risky choice. Consistent with this argu-
power of shared oughts has a history in our sociali- ment, Zou and Scholer (2016) found, in an exami-
zation with significant others. nation of risk-seeking preferences across different
Just as the sensitivities of prevention motivation decision domains (e.g., social, financial, recreational),
predict tactical switches between risky and con- that promotion motivation was associated with risky
servative options in changes between 0 and −1, so preferences only in domains in which participants
too do the sensitivities of promotion motivation perceived true potential for progress (a gain:loss
predict tactical switches between risky and con- ratio exceeding 1). Thus, for promotion-focused
servative options in changes between 0 and +1. individuals to make the risky choice, they must
Within the promotion system this represents the ­believe both that not enough progress has been made
difference between failure (nongain) and success yet and that the risky choice has the potential to
(gain). In contrast, prevention-focused individuals make real progress. Indeed, the reason that promo-
are not especially sensitive to this difference because tion-focused individuals tend to make a conserva-
both states represent success. At 0 and +1, conse- tive choice, rather than a risky choice, after they per-
quently, the meaning of risky tactics differs between ceive having made real progress (i.e., to reach +1)
promotion- and prevention-focused individuals. could be because they no longer believe that they
When individuals are currently at 0 or experience can make any additional real gain given the high
a change in status from 0 to +1, this engages the level of their current condition. This possibility
promotion system. Success is about the presence of needs to be examined in future research.
gains and the experience of progress; risky tactics
are embraced when promotion-focused individuals Is One Type of Motivation Better
feel stuck in nongains. If promotion-focused indi- Than the Other?
viduals have just experienced significant progress, Depending on where you stand—your own chronic
however, the motivation to take risks diminishes. levels of promotion or prevention motivation,
Consistent with these predictions, we have whether you hail from Osaka or Oakland—your
found that promotion motivation, not prevention biases regarding the question of whether promotion
motivation, predicts risky choice when individuals versus prevention motivation is superior are likely to
receive feedback that a financial investment has become apparent. To the consummate promotion-
­resulted in no change from their initial state (Zou focused individual, it may seem incomprehensible
et al., 2014). However, if they receive feedback that that a vigilant focus on what might go wrong could
their investment has returned a large gain, they are ever be better than eagerly focusing on the potential
more likely to choose the conservative versus risky for upsides. To the quintessential prevention-focused
option. Furthermore, simply framing a financial gain individual, nothing could be more apparent than all
as low or high progress results in the same pattern the ways that the world has fallen apart when unre-
of results. If a financial gain is framed as low prog- alistic eagerness has been employed rather than
ress, promotion motivation predicts risky choice; grown-up vigilance. However, as we will discuss in
if the same financial gain is framed as high prog- detail below, one of the key (bipartisan) tenets of
ress, promotion motivation predicts the choice of regulatory focus theory is that both motivations are
a conservative option (Zou et al.,  2014). Indeed, essential. In contrast to motivational theories that
the preference for a conservative rather than a risky focus primarily on how some types of motivation
option following a large gain for promotion-focused are more functional than others, regulatory focus
individuals was mediated by perceptions of progress, theory highlights the trade-offs of both promotion
such that it was precisely those who believed that and prevention motivation. Neither is generally
they had made substantial progress in the gains ­superior or inferior. It depends on the individual,
they achieved who switched from a risky to a con- the situation, and the outcomes examined.
servative tactic. Research in the past 2 decades has given us
Therefore, it is this perception of progress (move- greater understanding of these trade-offs of pro-
ment from nongains to gains) that may be critical motion and prevention motivation, inspiring new
for understanding the tactics that individuals in a research directions. We begin by briefly highlighting
promotion focus will embrace. If people perceive some of the trade-offs of both systems (for a more
that not enough progress has been made and a risky extended review, see Scholer & Higgins, 2012).

56 REGULATORY FOCUS THEORY AND RESEARCH

We then discuss three areas of research that showcase students. Individuals with social phobia also have
how consideration of these trade-offs is useful and higher actual–ought discrepancy scores relative to
generative: (a) work on regulatory fit theory, (b) depressed or control participants (Strauman, 1989).
work on group dynamics, and (c) work on meta- Although research on the emotional trade-offs of
motivation. regulatory focus motivations has tended to focus on
emotional vulnerabilities, an important direction
Trade-Offs in Promotion and for future research is to further examine the ways in
Prevention Motivation which the different highs of the two systems (joy
Different Highs, Different Lows and peace) may result in distinct ways of experienc-
As reviewed earlier, success and failure have distinct ing the “good life.” For instance, some research has
emotional signatures for promotion and prevention found that whereas promotion themes in life narra-
goals. These differences not only result in distinct tives are related to greater reported life satisfaction,
vulnerabilities within each system, but also mean prevention themes are unrelated (Manczak, Zapata-
that how it feels to attain the good life in promotion Gietl, & McAdams, 2014). Part of examining this
versus prevention is not the same. Both prevention- may depend on how the good life is measured; suc-
and promotion-focused individuals experience a cessful promotion and prevention motivation may
sense of well-being when they successfully attain a be related to different positive outcomes. It may also
goal and a sense of dissatisfaction when they do not be, as we discuss in the next section, that the aspects
(e.g., Grant & Higgins, 2003; Molden et al., 2009). of life that keep a promotion-focused individual en-
However, whereas promotion goals expose individ- gaged (i.e., eagerness and optimism) are consonant
uals to the upside of joy and the downside of depres- with a sense of well-being, whereas the aspects of life
sion, prevention goals expose individuals to the that keep a prevention-focused individual engaged
upside of calm and the downside of anxiety (Idson, (i.e., vigilance and defensive pessimism) can, at
Liberman, & Higgins, 2000, 2004). times, work against a sense of well-being. But, once
Several studies support the link between failures again, there can be potential biases, including ideo-
in the promotion system and depression (Eddington logical biases, in how we measure well-being.
et al., 2009; Jones, Papadakis, Hogan, & Strauman,
2009; A. K. Miller & Markman, 2007; Papadakis, Engaged by Failure Versus Success
Prince, Jones, & Strauman, 2006; Strauman et al., Although both promotion- and prevention-focused
2006; Vieth et al.,  2003) and suicidal ideation individuals pursue success and avoid failure, the dis-
(Cornette, Strauman, Abramson, & Busch, 2009). tinct preferences for eager and vigilant strategies have
Indeed, it is when the motivational system is partic- important implications for how anticipated and
ularly strong (when promotion really matters) that experienced success and failure work within each
individuals are most vulnerable to failures within system. Eagerness is difficult to maintain when one
the system (Higgins et al., 1997; Strauman, 2002). is feeling dejected after failure; vigilance is difficult
Self-systems theory, a structured psychotherapy to to maintain when one is feeling calm after success.
treat the depression that is associated with individu- Thus, eagerness is bolstered by reflecting on possible,
als who are failing to meet chronic promotion goals, past, and current success. Vigilance is bolstered by
has been shown to be particularly effective at reduc- reflecting on possible, past, and current failure. For
ing symptoms for depression for these individuals example, Idson and Higgins (2000) found that
(Strauman et al., 2006; Vieth et al., 2003). promotion-focused individuals showed a decline in
Similarly, strong prevention motivation creates performance after failure feedback relative to success
possible vulnerability to anxiety disorders (Klenk, feedback, whereas prevention-focused individuals
Strauman, & Higgins,  2011). Individuals with showed the opposite pattern—better performance
chronic actual–ought discrepancies are more likely after failure feedback than after success feedback
to experience anxiety (Scott & O’Hara,  1993; (see also Förster et al., 2001; Idson et al., 2000, 2004;
Strauman, 1989; Strauman et al., 2001). For instance, van-Dijk & Kluger,  2004). Promotion-focused
Scott and O’Hara (1993) found that university individuals persist longer when reflecting on potential
students diagnosed with any one of a number of strengths, whereas prevention-focused individuals
anxiety disorders (generalized anxiety disorder, panic persist longer when reflecting on potential weak-
attacks, agoraphobia, social phobia, or obsessive– nesses (Scholer et al., 2014).
compulsive disorder) had higher actual–ought These dynamics result in system-specific vulner-
­discrepancy scores than nonanxious or depressed abilities. Although increasing eagerness tends to feel

SCHOLER, CORNWELL, AND HIGGINS 57

good, its closer coupling with success versus failure Idson, Camacho, & Higgins, 1999) and, in general,
feedback means it can become untethered from reduced openness to change (Higgins, 2008; Leikas,
­reality. Because promotion-focused individuals may Lönnqvist, Verkasalo, & Lindeman, 2009; Vaughn,
be less attentive to failure and areas that need Baumann, & Klemann, 2008). In the political realm,
­improvement, this has the potential to reduce the prevention motivation is associated with ­attachment
effectiveness of learning. Promotion-focused indi- to the status quo/binding morality (Boldero &
viduals protect themselves against negative feedback Higgins, 2011; Cornwell & Higgins, 2013). When
by being generally optimistic (Grant & Higgins, making decisions or comparing options, prevention-
2003) and having high self-esteem (Higgins, 2008). focused individuals consider relatively few alternatives
Promotion-focused individuals are also more likely (Crowe & Higgins, 1997; Liberman et al., 2001;
to develop illusions of control regarding uncontrolla- Molden & Higgins, 2004), also paying less attention
ble outcomes (Langens, 2007). Promotion-focused to romantic alternatives than promotion-focused
individuals may, at times, be overly optimistic and participants (Finkel, Molden, Johnson, & Eastwick,
overeager (even manic), when being realistic would 2009). One reason for the consideration of fewer
serve them well. alternatives may be that prevention-focused indi-
Vigilance, in contrast, can be emotionally and viduals are relatively more content with moderate,
cognitively exhausting even if it keeps a firmer grip on “safe” options that promise neither extreme highs
possible failures. Prevention-focused individuals are nor lows (Zhang & Mittal,  2007). Prevention-
more likely to generate subtractive (vigilant) coun- focused (but not promotion-focused) individuals are
terfactuals when reflecting on past failures (Roese, also susceptible to the endowment effect, in which
Hur, & Pennington, 1999), and they perform better people value an object more simply because they
on subsequent tasks when they employ counterfac- possess it (Chernev, 2004; Liberman et al., 1999).
tuals that sustain vigilance (Markman, McMullen, This maintenance focus has its upsides. By lim-
Elizaga, & Mizoguchi,  2006). To maintain their iting the paths that they consider, prevention-focused
vigilance, prevention-focused individuals respond to individuals have a better chance of protecting
­
failure by lowering expectancies even more (Förster commitments they have already made. Prevention-
et al.,  2001). This means that they may be overly focused individuals who are chronically or tempo-
attentive to negative signals; they may not give rarily concerned about health issues are more likely
themselves or others enough credit for success and to engage in health care-taking behaviors (Uskul,
may be less likely to adopt those positive illusions Keller, & Oyserman, 2008) and are more success-
that can buffer against a number of negative ful at maintaining changes after successful initiation
health outcomes (Taylor, Lerner, Sherman, Sage, & (e.g., weight loss) than are promotion-focused
McDowell, 2003). Strategic vigilance taken too far ­individuals (Fuglestad, Rothman, & Jeffery, 2008).
may be problematic, even to the extent of producing The downside of this devotion to the status quo and a
pathological generalized anxiety disorder (Higgins, restricted option set can be increased errors and/or
2006; Klenk et al., 2011). missed opportunities. Prevention-focused individuals
may miss opportunities to improve their situation
Commitment Versus Exploration because they are content with “good enough”—
Effective self-regulation involves the capacity to they are content with nonlosses being satisfactory
commit and exploit that which is in front of you as and gains not being necessary. Furthermore, percep-
well as a willingness and capacity to change direc- tions of current states can be amiss, and prevention-
tion and explore new horizons when necessary. The focused individuals may be more likely to stay in
prevention system, all else being equal, excels at or perpetuate suboptimal states that they have cat-
commitment. The promotion system, all else being egorized as nonlosses even though, in fact, they are
equal, excels at exploration. Indeed, Cornwell and negative. Indeed, research suggests that prevention-
Higgins (2015) found that promotion and preven- focused individuals are more likely to anoint past
tion were the strongest indicators of openness values behaviors and experiences as a status quo that
and conservation values, respectively, even more needs to be maintained, regardless of whether
than measures of system-level approach/avoidance. these ­behaviors are ethical (Zhang et al., 2014) or
Several studies support the idea that prevention desirable (Zhang et al., 2011).
focus is associated with commitment to the status Unlike prevention-focused individuals, promotion-
quo (Chernev, 2004; Crowe & Higgins, 1997; Jain, focused individuals are eager to seek new horizons.
Lindsey, Agrawal, & Maheswaran, 2007; Liberman, Promotion motivation is positively correlated with

58 REGULATORY FOCUS THEORY AND RESEARCH

openness to experience (Higgins, 2008; Vaughn et al., orientation (Higgins,  2000). When a promotion-­
2008) and negatively associated with values related focused individual employs eager strategies and a
to stability and tradition (Cornwell & Higgins, 2015; prevention-focused individual employs vigilant strate-
Leikas et al., 2009). Promotion-focused participants gies, they experience regulatory fit (Higgins, 2000).
keep their options open by employing a greater Hundreds of studies show that when people use
number of categories when sorting objects relative strategies that fit their underlying goal orientation,
to prevention-focused participants (Crowe & Higgins, they are more engaged in goal pursuit, they feel
1997; Liberman et al.,  2001; Molden & Higgins, right about what they are doing, and the value of
2004). Promotion-focused individuals also value the decisions and behaviors is intensified (Higgins,
desired end state of having all the latest and greatest 2000,  2006). A recent meta-analysis provided
technology more than prevention-focused individuals ­evidence that the regulatory fit effect is robust and
(Herzenstein, Posavac, & Brakus,  2007; Higgins, ­reliable as assessed by changes in evaluations, behav-
2002; Stam & Stanton, 2010). Relative to prevention- ioral intentions, and behavior (Motyka et al., 2014).
focused individuals, promotion-focused individuals To illustrate both the power and the subtlety of
are more willing to give up an activity they are many of these regulatory fit effects, we discuss an
working on or an object they currently possess for a early and classic regulatory fit paradigm (Higgins,
new activity or object (Chernev,  2004; Crowe & Idson, Freitas, Spiegel, & Molden,  2003). In the
Higgins, 1997; Liberman et al., 1999). In search of study, chronic differences in regulatory focus strength
the ultimate gain, promotion-focused individuals were measured prior to participants making a choice
prefer extreme highs, even at the risk of some e­ xtreme between an attractive coffee mug and a cheap dis-
lows, rather than a middling experience (Zhang & posable pen. In making their choice, half of the par-
Mittal, 2007). ticipants were told to think about what they would
Being able to see the good in multiple paths can gain by choosing the mug and what they would gain
bring challenges to one’s current commitments. As by choosing the pen (eager approach strategy). The
maximizers (Hughes & Scholer, 2017), promotion- other half of the participants were told to think
focused individuals are more likely to ask them- about what they would lose by not choosing the mug
selves whether their present circumstances are and what they would lose by not choosing the pen
acceptable. Promotion-focused individuals report
­ (vigilant avoidance strategy). Thus, in both conditions
paying more attention to romantic alternatives and participants were thinking about the same kind of
being more proactive about pursuing them relative positive attributes (e.g., I would gain a cool vessel
to prevention-focused individuals (Finkel et al., for drinking coffee if I choose the mug; I would lose
2009). Promotion-focused individuals who tend to a cool vessel for drinking coffee if I do not choose
be chronic thrill-seekers are more likely to engage in the mug), and in both conditions making the choice
health-detrimental behaviors, such as using stimu- itself resulted in a desired end state (owning the posi-
lants to push through an illness (Uskul et al., 2008). tive attributes of the mug they selected). The critical
Promotion-focused individuals may not as easily dependent variable was how much money partici-
resist tempting distractions (Freitas & Higgins, pants were willing to spend to purchase the mug.
2002; Sengupta & Zhou, 2007). Although promo- Consistent with regulatory fit theory, the price
tion-focused individuals may be less likely to miss offered to buy the mug was almost 70% higher under
­opportunities (Galinsky, Leonardelli, Okhuysen, & regulatory fit than under nonfit (Higgins et al.,
Mussweiler, 2005), they run the risk of never being 2003; Study 2). Thus, although all participants were
truly content with accepting their circumstances as approaching a desired end state, the strategic means
they are. they used had a significant effect on their experience
of the decision activity, which in turn intensified the
It Is the Fit That Counts value of the mug. It is notable that there was no
At this point, it should be clear that both promotion main effect of regulatory focus goal orientation and
and prevention motivational systems have upsides no main effect of the strategic means in these studies.
and downsides. To understand when and why cer- In other words, it was not better overall to be pro-
tain motivational strategies are effective, it is critical motion or prevention oriented or to use eager or
to consider the interrelations among levels in the vigilant strategies. Rather, it was the interaction that
hierarchy. Specifically, as developed in regulatory fit mattered.
theory, a key determinant of the effectiveness of a Current research into the dynamics of regulatory
given strategy is how it fits the underlying goal fit and nonfit are examining how the mechanisms of

SCHOLER, CORNWELL, AND HIGGINS 59

regulatory fit can differ depending on how much Research on regulatory focus complementarity
the decision or activity at hand matters to an indi- in romantic relationships suggests that its benefits
vidual (Avnet, Laufer, & Higgins, 2013), the con- are apparent in situations in which partners have
ditions under which nonfit may actually lead to shared goals. When partners have complementary
benefits to performance or decision-making (Fridman, regulatory focus orientations, individuals can adopt
Scherr, Glare, & Higgins,  2016), and whether the their preferred strategy (e.g., promotion-focused
manner in which regulatory fit is created differen- partner eagerly dreaming of retirement travel) while
tially affects downstream outcomes (Motyka et al., their partner can still implement his or her preferred
2014). Researchers are also starting to examine more strategy (e.g., prevention-focused partner vigilantly
fully how the extent to which an individual’s moti- ensuring that all financial matters are in order).
vational orientation fits or does not fit with the Consistent with these predictions, Bohns et al.
dominant cultural orientation (at the national or (2013) found that among couples with high goal
organizational level) influences goal pursuit and congruence (i.e., “I’m confident that my partner
well-being. For instance, Fulmer et al. (2010) found and I generally share the same goals for our relation-
that culture can act as an intensifier of the relation ship”), regulatory focus complementarity led to
between individual differences and well-being, such greater relationship satisfaction. For individuals
that the relation between promotion motivation and with low goal congruence, regulatory focus comple-
well-being was stronger in cultures that were pre- mentarity was unrelated to relationship satisfaction.
dominantly promotion oriented. It is also possible This boundary condition for the benefits of reg-
that when individuals are in cultures that fit their ulatory focus complementarity suggests potentially
predominant orientation, this may afford more interesting tensions between the benefits of simi-
opportunities to engage in situations (e.g., aligned larity and complementarity in dyads and groups.
incentive and feedback systems) that naturally lead Although complementarity may be beneficial for
to fit. allowing individuals to employ preferred strategies,
complementarity may create challenges when dyads
Group Dynamics or groups are still establishing core priorities or
The dynamics of promotion and prevention moti- ­defining success and failure. Given the differences in
vation not only influence intraindividual effective- how promotion- and prevention-focused individuals
ness, but also play a role in the effectiveness and define success, for instance, complementary couples
well-being of dyads and groups. Research in recent may sometimes experience conflicting perspectives
years suggests that regulatory focus complementarity on whether their romantic relationship is satisfying
in relationships (e.g., one predominantly promotion- (Cortes et al., 2018). Understanding the conditions
focused partner, one predominantly prevention- under which similarity and complementarity are
focused partner) may be linked to enhanced beneficial or problematic is an exciting direction for
well-being (Bohns & Higgins,  2011; Bohns et al., future work.
2013). Complementarity may be especially likely to
lead to well-being and effective performance to the Metamotivation
extent that the partners have a common goal and As we have discussed throughout this chapter, the
tasks can be divided in a way that individuals can relative strengths and vulnerabilities of promotion
specialize in the strategies and goals at which they and prevention goals and strategies depend on the
excel and for which they care most about (Bohns & dynamics of a given situation. Recently, researchers
Higgins, 2011). Regulatory focus complementarity have begun to investigate the extent to which indi-
may also engender higher performance to the extent viduals understand and can take advantage of the
that the vulnerabilities of each system constrain qualitative trade-offs of these motivational states, a
each other (e.g., deeper consideration of both neg- component of metamotivation. Building on earlier
ative and positive possibilities, concern for both work in educational psychology on motivation
speed and accuracy). Although empirical work on regulation (Boekaerts, 1995; Corno, 1993) and inte-
the benefits of regulatory focus complementarity grating insights from the cognitive, developmental,
on performance is relatively lacking, recent research and educational psychology literatures on metacog-
on the group dynamics of complementarity in reg- nition (Dunlosky & Metcalfe, 2009; Wolters, 2003),
ulatory mode motivational orientations (Mauro, researchers conceptualize metamotivation as the
Pierro, Mannetti, Higgins, & Kruglanski,  2009) knowledge and management of one’s motivational
provides promising paradigms and guidance. states—both quality and quantity—in the pursuit

60 REGULATORY FOCUS THEORY AND RESEARCH

of one’s goals (Miele & Scholer,  2018; Scholer & ­ erform promotion-inducing recall activities before
p
Miele,  2016). Metamotivation encompasses two engaging in tasks requiring eager strategies.
­reciprocal sets of processes: metamotivational moni- Furthermore, they consistently expected prevention-
toring and metamotivational control. Monitoring inducing recall activities and incentives (but not
involves assessing the quantity and quality (e.g., promotion-inducing activities and incentives) to
promotion versus prevention) of one’s motivation result in better performance on tasks requiring
to pursue a particular goal, while control involves ­vigilant as opposed to eager processing strategies.
using these assessments to select and execute strategies On the other hand, these studies revealed that North
that bolster or change one’s motivation. Within the American participants also held beliefs about the
context of regulatory focus, initial research has strong utility of promotion motivation, such that
started to examine the extent to which individuals they generally expected to perform better, regardless
recognize how different situations offer distinct of task type, when engaging in activities that induce
­motivational affordances. promotion motivation. Given cross-cultural differ-
For instance, situations that are typically best ences in promotion versus prevention predominance,
performed with eager motivation may be character- it would be interesting in future research to examine
ized by one or all of the following: associative, individuals’ general expectations in nations outside
­divergent, and flexible thinking (e.g., a creative North America (e.g., China, Japan, South Korea).
brainstorming task; Friedman & Förster,  2001); a Research in this area offers promising new direc-
focus on the abstract or big picture (e.g., developing tions for understanding how people attempt to
a company’s vision statement; Förster & Higgins, manage their own (and others’) motivational states.
2005; Semin et al., 2005); incentive structures in It is not yet known what types of means people
which gains are prevalent and rewarded (e.g., bonuses might spontaneously use to induce a desired moti-
based on bigger-than-expected profits (Higgins vational state, the cultural factors that might influ-
et al., 1997); and situations when having fun and ence whether individuals tend to see promotion or
indulgence are the primary goal (e.g., a fun vaca- prevention motivation as more generally useful, and
tion; Dholakia, Gopinath, Bagozzi, & Nataraajan, the conditions that facilitate versus hinder the trans-
2006). In contrast, situations that are typically best lations of accurate metamotivational knowledge
performed with vigilance motivation are character- into behavior. However, just as prior research has
ized by convergent, analytic thinking (e.g., Graduate shown the central role that the direct management
Record Examination logic problems; Seibt & of cognition, emotions, and behavior has in goal
Förster, 2004), a focus on concrete or local details pursuit, this area suggests novel possibilities of
(e.g., quality control inspections; Förster & Higgins, understanding how people may directly manage
2005; Semin et al., 2005), incentive structures in motivational states, including those outlined in
which potential losses are prevalent and costly regulatory focus theory.
(e.g., military surveillance; Higgins et al., 1997);
and times when lapses in attention are problematic Concluding Thoughts
(e.g., avoiding temptations; Freitas, Liberman, & The past 2 decades have broadened and deepened
Higgins, 2002). Individuals commonly must juggle our understanding of the promotion and preven-
different situations that involve eager versus vigilant tion motivational systems, as well as their impacts
motivation. Even within the same goal (e.g., rolling on the thoughts, feelings, decisions, and behaviors
out a new marketing campaign), each motivational of both human and nonhuman animals. We also
strategy can be optimal at different stages in the have a better understanding of the systems’ opera-
process (e.g., being eager when initially brainstorm- tion and development across the life span, as well as
ing the campaign, being vigilant when reviewing advances in the measurement of chronic regulatory
the final press release). focus and the variety of methods by which it can be
Scholer and Miele (2016) found that many experimentally induced in state form.
­individuals in North America appeared to hold two However, there is still much more to learn about
competing metamotivational beliefs. On the one these systems, with each discovery generating new
hand, individuals exhibited some awareness of questions concerning how these two systems con-
task–motivation fit: They said they would prefer tribute to our surviving and thriving as motivated
to  perform prevention-inducing recall activities animals. Research on regulatory focus has qualified
before engaging in tasks requiring vigilant as opposed our thinking about approach and avoidance moti-
to  eager processing strategies, but would prefer to vation, throwing three distinct motivational levels

SCHOLER, CORNWELL, AND HIGGINS 61

into stark relief, highlighting how promotion self-regulation across distinct situations. Journal of
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 CH A PT ER
A Terror Management Theory
5 Perspective on Human Motivation

Tom Pyszczynski, Pelin Kesebir, and McKenzie Lockett

Abstract

The capacity for self-reflection, which plays an important role in human self-regulation, also leads
people to become aware of the limitations of their existence. Awareness of the conflict between one’s
desires (e.g., to live) and the limitations of existence (e.g., the inevitability of death) creates the potential
for existential anxiety. This chapter reviews how this anxiety affects human motivation and behavior in
a variety of life domains. Terror management theory and research suggest that transcending death and
protecting oneself against existential anxiety are potent needs. This protection is provided by an
anxiety-buffering system, which provides people a sense of meaning and value that function to shield
them against these concerns. The chapter reviews evidence regarding the role of death and other
existential concerns in four domains of existence: physical, personal, social, and spiritual. Because
self-awareness is a prerequisite for existential anxiety, escaping or changing the nature of self-awareness
can also be an effective way to manage the problems of life and death.
Keywords:  terror management theory, experimental existential psychology, death anxiety, existential
anxiety, motivation

Unlike any other animal, we humans live our lives The motives for meaning and self-esteem through
starkly aware that, despite our fervent desires, death which people transcend death are uniquely human.
will sooner or later come to us. This knowledge, Although other animals react with fear to clear and
which is an inevitable consequence of our uniquely present dangers to their continued existence, only
human sophisticated cognitive capacities, pro- humans have the cognitive sophistication and self-­
foundly influences the answers that people gener- awareness that make them aware of the inevitability of
ate for questions about the meaning, value, and death. This awareness of death, which resulted from
purpose of existence. Terror management theory the evolution of sophisticated intelligence in response
(TMT; Greenberg, Pyszczynski, & Solomon, 1986; to other adaptive challenges, changed the way moti-
Solomon, Greenberg, & Pyszczynski,  2015) is an vational systems operate. Existential motives operate
attempt to explain the role that awareness of death on other more basic motive systems—­co-opting
plays in diverse aspects of human life. The central them to meet new needs and changing the way other
tenet of TMT is that the desire to transcend the needs are pursued. We start by considering how the
fragility of human existence by construing oneself emergence of the capacity for self-­awareness changed
as a valuable contributor to a meaningful universe the human condition.
plays an important role in most other human
­motives. In this chapter, we discuss what TMT Self-Awareness: A Blessing and a Curse
and research have revealed about existential anxi- Awareness of self is a tremendously adaptive cognitive
ety and its effects on human motivation, behavior, capacity that exponentially increases the flexibility
and experience. of the system through which humans regulate their

67
behavior (Becker, 1971; Duval & Wicklund, 1972; conceptualization of a hierarchy of standards that
Leary, 2004; Pyszczynski, Greenberg, Solomon, & integrates concrete physical actions and the even
Hamilton, 1990). Self-awareness refers to the capac- more concrete biological, chemical, and electrical
ity of the human self to become an object of its own changes through which these actions are accom-
attention. Although some other species are capable plished, with the more abstract goals, identities, and
of a rudimentary form of self-recognition, they lack sense of self-worth that these actions (and their lower
the linguistic abilities to conceive of an abstract self level components) are oriented toward achieving.
and use it to structure their experiences and behavior From this perspective, all behavior functions to
(Mitchell, 2003). Self-awareness enables humans to ­simultaneously meet multiple hierarchically organ-
step back, reflect on their current state and circum- ized goals, and this organization gives coherence
stances, weigh multiple options for how to meet and flexibility to human action. The standard at any
their needs and the chances of each one succeeding, given level of abstraction is simultaneously a behavior
and then select the option they judge to be most through which the standard at the next higher level
likely to enable them to achieve their goals. It of abstraction is met. For example, writing a paper
greatly expands one’s options for how to behave and for a college class is a behavior through which the
gives one greater executive control over one’s actions. standard of getting a good grade in the class is met;
Along with other uniquely human capacities, such as getting a good grade in the class is the behavior
language, symbolic thought, causal thinking, and through which the more abstract standard of getting
imagination, self-awareness has been critical to the a college degree is met; getting a college degree is the
formation of complex human society and culture as behavior through which the more abstract standard
we know it today. As Leary put it, “science, philos- of getting a good job is met; getting a good job is the
ophy, government, education, and health care would behavior through which the more abstract standard
all be impossible if people could not consciously of having a successful career is met; and having a
self-reflect” (2004, p. 12). successful career is the behavior through which the
Contemporary thinking about the role of self-­ even more abstract goal of being a valuable person is
awareness in human behavior was stimulated by met. One could also move down the hierarchy to
Duval and Wicklund’s (1972) objective self-awareness consider the component behaviors through which
theory. They pointed out that conscious attention writing a paper, gathering information, reading arti-
can be directed either externally, toward the envi- cles to provide that information, and moving the
ronment, or internally, toward the self. Directing focus of one’s eyes across the words on the page are
attention toward the self instigates a self-evaluative accomplished, and so on, down to the biological
process, in which one’s current state on whatever and chemical changes underlying these actions.
­dimension is currently salient is compared with sali- Flexibility in behavior is provided by the fact
ent standards for that dimension. The detection of that there are usually multiple behaviors through
discrepancies between current state and standards which any given standard can be met. For example,
produces the potential for affect, which motivates self-esteem can be achieved by means of success in
people to either reduce any discrepancies detected one’s career, relationships, community activities, or
or escape the self-focused state. Research has been family. And there are many ways to succeed in any
highly supportive of these propositions (for reviews, of these more specific endeavors, just as there are
see Carver & Scheier, 1981 Duval & Silvia, 2001). many routes through which any particular success
Carver and Scheier (1981) integrated these ideas with could be attained. Self-awareness sets in motion a
a very general cybernetic model of self-regulation in variety of executive processes through which choices
which this process of comparing the self ’s current among these multiple routes to goals at these various
state to standards, which increases efforts to reduce levels of abstraction are met. This is a very complex
any discrepancies that are detected, is viewed as the system and we can provide only a brief overview
central process through which the self regulates its here. For a more thorough presentation, see Carver
own actions. Self-awareness thus adds multiple layers and Scheier (1981). For the present purposes, our
of sophistication and flexibility to the simple system goal is to make clear the central role and adaptive
of comparing and matching to standards through utility that self-awareness and hierarchical organiza-
which all self-regulating systems operate. tion of standards and behavior play in human
One of the most important innovations that ­motivation and behavior. Put simply, self-awareness
Carver and Scheier (1981) brought to their synthe- increases the human capacity for freedom and will-
sis of self-awareness and self-regulation was their ful self-determined behavior.

68 A TERROR MANAGEMENT THEORY PERSPECTIVE ON HUMAN MOTIVATION

 Although self-awareness opened the door to of individual character and societal institutions was
many new opportunities for humans, it also set the to deny death and avert this terror. He viewed
stage for some uniquely human challenges. Perhaps human striving for a sense of value and unshakable
the most basic problematic consequence of self-­ meaning as the primary defense against the terror-
awareness is the recognition of one’s limits, one’s inducing awareness of mortality, and he conceptual-
perpetual vulnerability, and one’s ultimate mortality. ized this striving as taking place within the context
Human beings, compelled by their sophisticated of the cultural worldviews to which people sub-
mental abilities to be aware of their own existence, scribe. Becker proposed that participating in and
had to face the basic conditions of life and their contributing to a cultural system of meaning that
limitations in the face of them. The juxtaposition of imbues existence with order, purpose, and perma-
what humans were born into and what they naturally nence provides equanimity in the face of death.
desired created certain existential dilemmas with Terror management theory was initially devel-
which they had to contend. oped to answer three fundamental questions about
For most of the still-brief history of psychology, human nature: Why do people need self-esteem?
the existential subdiscipline was synonymous with Why do people need to believe that out of the mul-
existential psychotherapy; its concepts and theories titude of ways that people construe reality, theirs
were scattered in a piecemeal fashion within the happens to be the one that is ultimately correct?
­existing literature; and it had little interaction with And why are interpersonal and intercultural relations
empirically oriented psychological science (Jacobsen, so frequently ridden with conflict and violence?
2007). The methodology of existential psychologi- Becker’s ideas offered potential answers to these and
cal research was qualitative and descriptive, with an many other questions. Terror management theory
emphasis on phenomenology. Notwithstanding the was an attempt to simplify Becker’s ideas and inte-
rich insights these methods are capable of yielding, grate them with ideas and knowledge from social,
causal inferences regarding the effect of existential personality, developmental, cognitive, and motiva-
realities on human motivation can be made only tional psychology in a way that would generate test-
through rigorous experimental research. This is why able hypotheses about the functions of self-esteem
TMT’s application of experimental methods to and culture. Terror management theory posits that
­existential psychological questions has been an knowledge of inevitable mortality, when combined
­invigorating contribution to this domain, resulting with evolved biological and psychological systems
in the prolific subfield of social psychology, experi- that sustain life, creates a potential for paralyzing
mental existential psychology (see Greenberg, Koole, terror. To function effectively in the world, people
& Pyszczynski,  2004; Pyszczynski, Sullivan, & must keep this terror at bay. Protection from this
Greenberg, 2014). potential for terror is provided by self-esteem and
faith in one’s cultural worldview (Solomon, Greenberg,
Terror Management Theory & Pyszczynski, 1991). These two psychological en-
Terror management theory was inspired by cultural tities function to buffer death-related anxiety.
anthropologist Ernest Becker’s (1971,  1973,  1975) Later research revealed close interpersonal relations
attempts to integrate and synthesize what he viewed as an additional component of the anxiety-buffering
as the most important insights into the human con- system (Mikulincer, Florian, & Hirschberger, 2003).
dition provided by the social and natural sciences, This makes good theoretical sense, because the
as well as the humanities. Building on the work of capacity of worldviews and self-esteem to manage
thinkers such as Freud, Rank, Mead, Fromm, anxiety is thought to develop from attachment pro-
Kierkegaard, Heidegger, and Sartre, Becker built on cesses that develop very early in life. According to
the premise that the idea of death is unbearable to a Bowlby (1969), children are born with a propensity
self-aware animal: “To have emerged from nothing, to experience and express distress when their needs
to have a name, consciousness of self, deep inner are not met and their survival is threatened. Parents
feelings, an excruciating inner yearning for life are predisposed to respond to signs of their offspring’s
and self-expression—and with all this yet to die” distress by providing tactile comfort and addressing
(1973, p.87). To Becker, the terror inherent in this their needs. Thus, starting early in life, children
knowledge haunts humans like nothing else and is a associate parental love with relief from distress. As
mainspring of human activity: “Of all things that children develop and their capacities increase,
move man, one of the principal ones is his terror of parents show more affection when children behave
death” (1973, p. 11). In Becker’s view, a major function in ways that demonstrate competence in line with

PYSZCZYNSKI, KESEBIR, AND LOCKETT 69

cultural standards and less affection when they do The Terror Management Theory
things that deviate from these standards. As the Research Strategy
self-concept emerges, usually during the second year Terror management theory research has been focused
of life, the sense of security provided by the parents’ on three general hypotheses that have been combined
affection becomes increasingly linked to the child’s in various ways to assess the basic propositions of
sense that he or she is living up to these standards of the theory and applied to a diverse array of behav-
value. As verbal and conceptual capacities develop, iors and social problems to document the generality
parents provide concepts, values, and explanations and generativity of the theory. The earliest TMT
for the workings of the world that provide additional studies (Greenberg et al., 1990; Rosenblatt, Greenberg,
respite from the child’s anxieties. As awareness of Solomon, Pyszczynski, & Lyon, 1989) used the mor-
the inevitability of death emerges, the child’s own tality salience (MS) hypothesis to assess the theory’s
self-evaluation and emerging worldview become propositions, which has remained the most common
increasingly important sources of emotional security. approach to testing TMT. Indeed, according to a
But attachment to close others remains a vital source meta-analysis of 238 empirical TMT journal articles
of security and protection against anxiety through- reporting 277 experiments, 83% directly tested this
out life. hypothesis (Burke, Martens, & Faucher, 2010). The
Terror management theory posits that awareness MS hypothesis states that to the extent a psycholog-
of the inevitability of death is a powerful motivating ical structure (self-esteem, faith in one’s cultural
force that influences the human motives for meaning, worldview, attachments) provides protection against
self-esteem, and close relationships. The precursors death anxiety, reminders of death should intensify
of these motives probably initially evolved because the need for this structure and therefore lead to
they solved practical problems of living that increased more positive reactions to people and ideas that
our ancestors’ chances of passing on their genes by support that structure and more negative reactions
staying alive, mating, and caring for their offspring. to those that threaten it. In a typical MS study, an
However, once human intelligence evolved to the experimental group is exposed to a reminder of
point that awareness of death emerged, the anxiety death and then compared to a control group that
this awareness created led people to start using their has not been reminded of death on a dependent var-
emerging systems of meaning and value to shield iable hypothesized to buffer existential anxiety.
themselves from this fear. From this point on, people The most common MS induction entails asking
no longer simply needed meaning systems that helped participants two open-ended questions about their
them procure the tangible necessities of life—now, own mortality: “Please briefly describe the emo-
their meaning systems also needed to help manage tions that the thought of your own death arouses in
existential anxiety. The value of accuracy and practical you” and “Please jot down as specifically as you can
utility of the meaning systems was usurped by the what you think will happen to you as you physi-
value of death transcendence, and from this point on, cally die and once you are physically dead.” In the
the pursuits of truth and emotional security were control condition, participants respond to similarly
often in conflict with each other. worded questions regarding a neutral (e.g., watching
Hundreds of studies conducted in over 30 coun- television) or negative topic not related to death
tries worldwide have tested and supported hypoth- (e.g., dental pain, paralysis, social exclusion, mean-
eses derived from TMT. These studies helped expand inglessness, uncertainty). Other techniques to ma-
the theory beyond its initial focus and applied it to nipulate MS include having participants complete
topics as varied as religion and spirituality, terrorism, fear-of-death scales, watch car crash or holocaust
legal decision-making, nostalgia, human sexuality, videos, read an essay about cancer or the 9/11 attacks,
romantic love, creativity, fascination with fame, mate- be exposed to subliminal death primes, death-related
rialism, and psychopathology. The fact that existential banners on Internet websites, or be interviewed in
concerns have been shown to affect human behavior front of a funeral home or cemetery. Findings have
across so many domains suggests that existential anxi- been highly consistent across these different MS
ety is a central motivating force for the human psyche. inductions.
In the next sections, we provide an overview of TMT In their meta-analysis, Burke and colleagues
findings that support this claim; however, we first de- (2010) found that MS manipulations yielded moder-
scribe the logic of the methods commonly employed ate to large effects (r = .35, d = .75) on a wide range
in TMT studies. of attitudinal, behavioral, and cognitive dependent

70 A TERROR MANAGEMENT THEORY PERSPECTIVE ON HUMAN MOTIVATION

variables. This effect size reaches the top quartile of replicated this finding with different m ­ anipulations
effects for psychology in general and the 80th per- of self-esteem and threat and physiological measures
centile for theories in social psychology (Lipsey & of anxiety; research also showed that both experimen-
Wilson,  1993; Richard, Bond, & Stokes-Zoota, tally elevated and dispositionally high self-esteem
2003). The same meta-analysis revealed that a longer led to lower levels of death-denying defensive dis-
delay between MS manipulation and the dependent tortions, presumably because of the anxiety-buffering
variable assessment yields larger effect sizes. This effect of high self-esteem (Greenberg et al., 1993).
highlights an important discovery regarding how Still other studies combined the anxiety-buffer and
people react to reminders of death—death-related MS hypotheses to show that bolstering self-esteem,
thoughts elicit more worldview defense when they faith in one’s worldview, or close personal relation-
are no longer in current focal attention but are still ships eliminates the increase in defensiveness that
accessible. MS otherwise produces (e.g., Florian, Mikulincer,
This led to a distinction between the types of & Hirschberger, 2002; Harmon-Jones et al., 1997).
­defenses people use to cope with conscious and A third approach to assessing TMT is the death-
nonconscious death-related thoughts (Pyszczynski, thought accessibility (DTA) hypothesis: To the extent a
Greenberg, & Solomon,  1999). People deal with psychological structure provides protection against
conscious thoughts of death with proximal defenses death anxiety, weakening this structure would
that operate in a relatively direct and rational ­increase, and strengthening it would decrease, the
­fashion—for example, by reminding themselves of accessibility of death-related thoughts. Death-thought
their excellent health or the “longevity gene” running accessibility is usually assessed with either word-
in their family, by resolving to eat better, exercise fragment completions, some of which can be com-
more, etc. Nonconscious thoughts of death, that pleted in either death-related or death-unrelated ways
is, thoughts that are highly accessible but not in (e.g., SK—L can be completed as skull or skill), or
current focal attention, lead to distal defenses that a lexical decision task in which faster responses to
cope with the problem in a more indirect, sym- death-related words indicate greater accessibility.
bolic manner. These distal defenses emerge only when The successful use of the word-stem measure in
thoughts of mortality have faded to the fringes of ­languages other than English, including Hebrew,
consciousness. Research showing that the removal Chinese, French, and Dutch, attests to the construct
of delay and distraction tasks eliminates effects of validity and generality of the method. A review by
MS on worldview defense and self-esteem striving Hayes, Schimel, Arndt, and Faucher (2010) of over
supports this dual process model of defense 80 published DTA studies at that time concluded
(Greenberg, Arndt, Simon, Pyszczynski, & Solomon, there is strong evidence that threats to worldview,
2000). Hence, delay/distraction tasks (e.g., word self-esteem, and close relationships increase DTA
puzzles, prose) between the MS induction and and that bolstering these entities decrease DTA.
measures of the dependent variable are essential Some of these studies showed that these effects do
for testing the MS hypothesis. not emerge for aversive thoughts unrelated to death.
A second hypothesis derived from TMT is the Death-thought accessibility studies, were essential
anxiety-buffer hypothesis: To the extent that a psy- to the development of TMT because they revealed
chological structure buffers anxiety, then strength- that the anxiety buffer does not operate only when
ening it should lead to less anxiety in threatening death thoughts are activated by external events (as
situations and weakening it should lead to more studies testing the MS hypothesis show), but that
anxiety. In the initial test of the anxiety-buffer hy- they are continuously functioning to keep death-
pothesis (Greenberg, Simon, Pyszczynski, Solomon, related thoughts beneath consciousness.
& Chatel, 1992), participants were given bogus pos- In our view, the most convincing aspect of the
itive or neutral personality profiles to either increase evidence for TMT is the high degree of consistency
their self-esteem or have no effect on it. They then and convergence in findings across different hypoth-
watched a graphic video of death-related scenes or eses and methods. Although in some cases it may be
a neutral film, after which their state anxiety was possible to offer alternative explanations for specific
assessed. Although the death-related video led to findings, we have yet to encounter an attempt to
significantly elevated levels of anxiety in the neutral provide an alternative account of the converging
self-esteem condition, it had no effect on anxiety in evidence provided by these diverse methods. We
the self-esteem boost condition. Follow-up studies now discuss evidence obtained with these and other

PYSZCZYNSKI, KESEBIR, AND LOCKETT 71

methods that reveals the role of existential anxiety For example, Goldenberg and colleagues (2001)
in energizing and directing human behavior. demonstrated that MS leads to increased preference
for an essay that describes humans as distinct from
Evidence for the Motivational Role of animals over one that emphasizes human–animal
Existential Anxiety similarities. They also found that MS increases dis-
In presenting the findings on the diverse ways that gust regarding bodily products (e.g., “seeing a bowel
death anxiety affects human behavior, we use a movement left unflushed in a public toilet”) and
­taxonomy widely used by existential psychologists ­animals (e.g., “seeing maggots on a piece of meat in
(van Deurzen-Smith,  1984). This framework cate- an outdoor garbage pail”). In a similar vein, viewing
gorizes humankind’s experience of the world into pictures of bodily wastes has been found to increase
four dimensions, commonly referred to by their the accessibility of death-related thoughts (Cox,
German names: physical dimension (Umwelt), Goldenberg, Pyszczynski, & Weise,  2007). Other
personal dimension (Eigenwelt), social dimension research has shown that intimations of the frailty of
(Mitwelt), and spiritual dimension (Überwelt). The the human body, as in the case of elderly people
first three dimensions are drawn from the work of (Martens, Greenberg, Schimel, & Landau, 2004)
Swiss psychiatrist Ludwig Binswanger (1946). Based or persons with physical disabilities (Hirschberger,
on the writings of Buber (1923), Jaspers (1931), and Florian, & Mikulincer, 2005), spontaneously increase
Tillich (1952), existential psychotherapist van the accessibility of death thoughts.
Deurzen-Smith (1984) proposed a fourth, spiritual Ironically, the salience of death-related thoughts
dimension. According to van Deurzen-Smith (1997), often poses a barrier to health-promoting behaviors
all these dimensions have their own paradoxes and that could actually forestall death (Goldenberg &
tensions, their own human objectives and aspirations, Arndt,  2008). Research has shown, for example,
and their own ideals and evils. They create a com- that when mortality is salient, reminders of crea-
plex four-dimensional field of forces that encompass tureliness decrease women’s willingness to conduct
the major aspects of human experience. The four breast self-examinations (Goldenberg, Arndt, Hart,
dimensions are obviously interrelated, with the self & Routledge, 2008).
at the center of one’s entire network of physical, Interestingly, thoughts of death increase health-
social, personal, and spiritual relations. promoting behavior when they are in current focal
attention, but decrease such behavior when they
The Physical Dimension are on the fringes of consciousness. This is consist-
The physical dimension is concerned with how ent with the TMT distinction between proximal
people relate to their bodies, the natural environ- defenses, which deal with the problem of death in a
ment, and material possessions (van Deurzen, 2002). rational way and emerge when one is consciously
How do existential motives shape human behavior thinking about death, and distal defenses, which
and experience on the physical dimension? deal with the problem of death symbolically by
boosting one’s sense of meaning and value and
The Problem of the Body emerge when such thoughts are accessible but not
Human beings are condemned to a dual existence: in focal attention. For example, Routledge, Arndt,
They are half animal and half symbolic—to use and Goldenberg (2004) found that immediately
Becker’s colorful metaphor, they are “gods with after reminders of death people were more inter-
anuses” (1973, p. 51). The capacity for self-reflection ested in using a sunscreen that provided a high level
that distinguishes humankind so sharply from the of protection (to reduce their chances of skin
rest of the animal kingdom ironically also leads to cancer), but after a delay and distraction, they were
the realization that humankind is ultimately part of more interested in sunscreen with a lower level of
nature and subject to the same ultimate fate of death protection (to get a better tan, which increases their
and decay. The knowledge that one is “up in the stars attractiveness and self-esteem). Similarly, the salience
and yet housed in a heart-pumping, breath-gasping of death thoughts was found to affect whether a
body” (Becker,  1973, p. 26) and the awareness of participant was willing to pay more money for a
one’s common fate with all creatures explain why bottle of water endorsed by a medical doctor versus
people are often ill at ease with their own corporeality. a celebrity (McCabe, Vail, Arndt, & Goldenberg,
Indeed, research has shown that reminders of death 2014). Immediately after a death reminder, people
intensify the desire to distance oneself from other were willing to pay more for the water endorsed
animals and from one’s own body. by the medical doctor, suggesting that thoughts of

72 A TERROR MANAGEMENT THEORY PERSPECTIVE ON HUMAN MOTIVATION

death increased their interest in a healthy water tendency to objectify women. Research has shown
option. After a delay and distraction, however, people that reminders of death lead women to self-objectify
were willing to pay more for the water endorsed by when women’s reproductive features (e.g., viewing a
the celebrity, illustrating that when death thoughts picture of a pregnant woman; the experimenter
are out of focal attention (yet still accessible), people asking the participant for a tampon) were made
prefer a product that will benefit their status rather salient (Morris, Goldenberg, & Heflick,  2014).
­
than their health. The researchers replicated this find- Likewise, Morris and Goldenberg (2015) found that
ing in an additional study demonstrating that par- reminders of death increased men’s ratings of attrac-
ticipants drank more water endorsed by the medical tiveness for objectified women (whose images were
doctor immediately after reminders of death, whereas literally fused with inanimate objects) but not non-
when a distraction and delay were used, they drank objectified women.
more water endorsed by the celebrity. For a review of Confrontations with the natural world at its wild-
research on how death reminders affect health-related est can induce a similar sense of discomfort. Studies
behaviors, see Arndt and Goldenberg (2017). reveal that people have more death thoughts in
According to TMT, the great efforts individuals ­wilderness settings compared to cultivated nature or
and societies put into denying and disguising the urban settings and that death reminders reduce the
body’s physicality are motivated, to a large extent, perceived beauty of wild landscapes and increase the
by distress generated by the creaturely aspects of perceived beauty of cultivated landscapes (Koole &
existence. This is perhaps nowhere more apparent van den Berg, 2005). This helps explain the appeal of
than in the domain of human sexuality, which is a carefully mowed lawns and manicured gardens and
potent reminder of the fundamentally animal side the many hours that people devote to imposing un-
of human nature. As Cole Porter put it, “birds do it, natural order on their natural environment.
bees do it, even educated fleas do it.” Supporting the Research has also shown that death reminders
argument that sex is threatening when it is closely affect attitudes regarding environmental preservation.
associated with creatureliness, research found that Selimbegović, Chatard, el Rafiy, and Pyszczynski
when similarities between humans and animals were (2016) found that both MS and images of the
salient, MS decreased attraction to the physical, but Fukushima nuclear disaster increased support for the
not romantic (and hence uniquely human), aspects use of nuclear energy in France among those with low
of sex (Goldenberg, Cox, Pyszczynski, Greenberg, & levels of support for environmental preservation.
Solomon, 2002). And when participants were primed Similarly, research has shown that support for envi-
with human–animal similarities, thinking about ronmental action is moderated by the degree to
physical, but not romantic, aspects of sex increased which participants derive self-esteem from caring
DTA. These findings suggest that construing human about the environment. Participants who reported
sex as indistinguishable from animal copulation can they derived self-esteem from caring about the envi-
be uncomfortable because of the mortality concerns ronment increased support for environmental
it arouses. action after MS, whereas participants who reported
Discomfort with human sexuality extends into that caring for the environment was unimportant to
the realm of reproduction, where reminders of their self-esteem decreased such support after MS
reproduction—such as pregnancy, breastfeeding,
­ (Vess & Arndt, 2008). Fritsche, Jonas, Kayser, and
and menstruation—act as reminders of our own Koranyi (2010) found that when proenvironmental
creatureliness. For example, research has shown that norms are made salient, reminders of death increase
reminders of creatureliness increased negative reac- proenvironmental attitudes. Interestingly, it was
tions to pregnant celebrities, but not nonpregnant the combination of death reminders and norm sali-
celebrities (Goldenberg, Goplen, Cox, & Arndt, ence that yielded these results—when participants
2007). Similarly, reminders of death decreased were not reminded of death, proenvironmental norms
­approval of breastfeeding in public (Cox, Goldenberg, did not increase proenvironmental attitudes; likewise,
Arndt, & Pyszczynski, 2007). Roberts, Goldenberg, salience of proenvironmental norms were related to
Power, & Pyszczynski (2002) demonstrated that attitudes only after death reminders. Finally, it has
after a female confederate “accidentally” dropped a been found that MS increases people’s desire to fly,
wrapped tampon in front of them, both male and whereas engaging in flight fantasies mitigates defen-
female participants evaluated her more negatively. sive reactions to MS. These findings suggest that
Goldenberg (2013) subsequently argued that wom- fantasies of flight can serve a terror management
en’s prominent role in reproduction may explain the function by helping people to transcend physical

PYSZCZYNSKI, KESEBIR, AND LOCKETT 73

confines, albeit in imagination only (Solomon, see Pyszczynski, Greenberg, Solomon, Arndt, &
Greenberg, Pyszczynski, Cohen, & Ogilvie, 2009). Schimel, 2004). According to the theory, self-esteem
is attained by meeting or exceeding the standards of
Materialism value of one’s cultural worldview; it is the sense that
Materialism, the importance a person attaches to one is a valuable contributor to a meaningful uni-
worldly possessions (Belk, 1985), has frequently been verse. Although the standards on which self-esteem
recognized by scholars as a way to secure meaning is ­contingent vary across cultures and individuals,
and transcend death. Irvin Yalom, for example, the underlying need for self-esteem is universal.
wrote that accumulating material wealth can become A large body of research supports the proposition
“a way of life which effectively conceals the mortal that self-esteem provides a buffer against existential
questions churning below” (1980, p. 121). Others anxiety. In the first test of this hypothesis, Greenberg
contend that the American ideology of affluence is and colleagues (1992) showed that boosting self-­
driven by the pursuit of secular personal immortality esteem through bogus positive personality feedback
through material means (Hirschman, 1990) and leads to lower self-reported anxiety in response to
that death concerns are a significant motivating graphic depictions of death and physiological arou-
force for collectors (e.g., Pearce, 1992). sal when anticipating painful electric shocks. Other
Research provides support for these ideas. Kasser research shows that both artificially enhanced and
and Sheldon (2000) demonstrated that participants dispositionally high self-esteem are associated with
primed with mortality reported higher financial lower levels of worldview defense and lower DTA in
­expectations for themselves 15 years in the future response to MS (Harmon-Jones et al., 1997), as well
and became greedier and less environmentally sen- as lower levels of defensive distortions that deny
sitive in a forest-management simulation. Mandel one’s vulnerability to early death (Greenberg et al.,
and Heine (1999) found MS to increase preference 1993). Studies also demonstrate that DTA increases
for high-status products such as Lexus automobiles when people think about their “undesired self ”
or Rolex watches. Rindfleisch, Burroughs, and Wong (Ogilvie, Cohen, & Solomon, 2008) or when their
(2009) similarly showed that the strong connections self-esteem is directly threatened (Hayes, Schimel,
materialistic individuals form with their brands Faucher, & Williams,  2008). Conversely, having
protect against existential insecurity. Other research participants affirm their most important values
has shown that MS increases estimates of the physi- ­reverses the effect of self-esteem threat on DTA
cal size of money and that handling money reduces (Hayes et al., 2008).
reports of death anxiety (Zaleskiewicz, Gasiorowska, Research also shows that death reminders increase
Kesebir, Luszczynska, & Pyszczynski, 2013). These people’s striving for self-esteem. In one dramatic
findings suggest that people often use material objects ­experiment, Israeli soldiers engaged in more risky
as protection from existential anxiety. driving behavior after MS, but only to the extent
they derived self-esteem from their driving ability
The Personal Dimension (Taubman Ben-Ari, Florian, & Mikulincer, 1999).
The personal dimension refers to how individuals Further support for the notion that existential anxi-
relate to themselves (van Deurzen, 2002). It includes ety increases striving for self-esteem in domains in
views about their identity, character, past experience, which one is invested comes from studies showing
and future possibilities. In this section we examine that MS improved grip strength among individuals
how existential concerns affect human behavior and invested in strength training, but had no impact on
experience on the personal dimension, particularly individuals who were not invested (Peters,Greenberg,
in the context of self-esteem and psychopathology. & Williams, 2005). Similarly, MS increased identi-
fication with one’s body and interest in sex among
Self-Esteem people high in body self-esteem, but not among those
Self-esteem refers to people’s evaluations of them- with low body self-esteem (Goldenberg, McCoy,
selves, and large bodies of evidence document the Pyszczynski, Greenberg, & Solomon, 2000).
various ways that people strive for positive self-­ Existential anxiety also amplifies self-serving biases,
esteem (e.g., Greenberg et al.,  1986; Tesser,  1988). perhaps the most commonly researched manifesta-
The question of why people need self-esteem was tion of the need for self-esteem. Research shows, for
one of the original questions that led to terror man- example, that in achievement-related tasks, partici-
agement theory. The theory posits that self-esteem pants reminded of their mortality are especially
functions to keep death anxiety at bay (for a review, likely to attribute positive outcomes to i­nternal,

74 A TERROR MANAGEMENT THEORY PERSPECTIVE ON HUMAN MOTIVATION

stable, and global causes and negative o­ utcomes to After the bare requisites of living and reproducing, man
external, unstable, and specific causes compared to wants most to leave some record of himself, a proof,
participants in a control condition (Mikulincer & perhaps, that he has really existed. He leaves his proof
Florian, 2002). Increased DTA in response to death on wood, on stone, or on the lives of other people.
reminders is mitigated when participants are given This deep desire exists in everyone, from the boy
the opportunity to provide causal attributions ex- who scribbles on a wall to the Buddha who etches
cusing their failure. his image in the race mind.
Research suggests that, although people from (1995, p. 49)
different cultures bolster their self-esteem in dif-
Lifton (1979) elaborated on the various ways in
ferent ways, increased self-esteem striving in re-
which humans strive for symbolic immortality, the
sponse to MS emerges across diverse cultures. For
most common of which seem to be living on through
example, one study investigated the role of encul-
one’s progeny and through one’s works. Research
turation in a sample of Japanese students’ views of
has supported this tendency to use one’s children as
personal success after reminders of death (Wakimoto,
a source of symbolic immortality by showing that
2006). Students who reported strong enculturation
MS increases the desire for offspring and that
to the interdependent Japanese culture viewed per-
thoughts of one’s children eliminate the increased
sonal success more negatively after reminders of
in-group bias that otherwise occurred in response to
death, whereas students who reported less encultu-
MS (Fritsche et al., 2007; Wisman & Goldenberg,
ration to the Japanese worldview responded with
2005). This tendency is complicated by the conflict
positive views of personal success. Terror manage-
between career and family faced by many women in
ment theory ­research has illustrated that people
contemporary societies: Mortality salience led to a
are inclined to defend their social and cultural
desire for more offspring only among women who
­affiliations after reminders of death, regardless of
were not heavily invested in their careers, unless
cultural background. This has been demonstrated
they were exposed to an essay arguing that caring
in Turkey, where reminders of death increased
for children is compatible with career success.
negative evaluations of an essay criticizing the par-
Research has shown an inverse correlation
ticipants’ university (Kökdemir & Yeniçeri, 2010).
­between self-reports of symbolic immortality and
Likewise, Chinese participants preferred those who
fear of personal death (Florian & Mikulincer, 1998).
praised their nation over those who c­ riticized it after
In the same study, a high sense of symbolic immor-
reminders of death (Tam, Chiu, & Lau,  2007).
tality reduced participants’ tendency to respond to
Kashima, Halloran, Yuki, and Kashima (2004)
MS with increased worldview defense. Interestingly,
demonstrated that reminders of death increased
the desire for symbolic immortality may at times
individualism among Australian college students
even trump the desire for life. In a study reported in
but decreased it among Japanese college students.
The Economist, more than half of 198 Olympic-level
This research illustrates that although ­individuals
American athletes said that they would take a
from interdependent cultures may respond to re-
banned drug if they knew that by taking it they
minders of death differently than individuals from
would win every competition for the next 5 years
individualistic cultures, these responses are consist-
but then die from the substance’s side effects
ent with cultural values in a way that maximizes
(“Superhuman Heroes,” 1998). The case of suicide
self-esteem.
bombers is another illustration of how the quest for
Though individuals from East Asian cultures are
symbolic immortality can paradoxically lead to
especially likely to increase their identification with
­suicide (Kruglanski, Chen, Dechesne, Fishman, &
other people as a way of staving off existential
Orehek,  2009). Research has shown that MS
­anxiety, this tendency is found in individualistic
­increases willingness to die for one’s country, but
cultures, too, albeit to a lesser extent. Family, nation,
that this effect is eliminated when participants are
religion, science, and art can all serve as avenues for
reminded of other ways of attaining symbolic im-
a person to find meaning and value in a vast arena
mortality (Routledge & Arndt, 2008).
that will not be shattered by one’s death. These ave-
nues for self-expansion provide the person with Psychopathology
symbolic immortality—the sense that one is a valu- Existential psychologists argue that psychological
able part of something larger, more significant, and disorders reflect extreme, graceless, or inefficient
longer lasting than one’s individual existence. In the ways of dealing with existential anxiety (Becker, 1971,
words of John Steinbeck, 1973; Lifton,  1979; Yalom,  1980). Becker (1973)

PYSZCZYNSKI, KESEBIR, AND LOCKETT 75

posited that mental illness results when efforts at brought to the surface by the traumatic event. As a
death transcendence fail. Psychiatrist Irvin Yalom consequence, they are flooded with anxiety, leading
similarly noted, to hyperarousability, intrusive thoughts, avoidance
behavior, and negative self-referent thoughts, the
Either because of extraordinary stress or because of
primary clusters of PTSD symptoms. Recent re-
an inadequacy of available defensive strategies, the
search has supported the hypothesis that if PTSD
individual who enters the realm called “patienthood”
involves a disrupted anxiety buffer, PTSD-afflicted
has found insufficient the universal modes of dealing
individuals would not respond to death reminders in
with death fear and has been driven to extreme
the way that psychologically healthier individuals
modes of defense. These defensive maneuvers, often
with functional anxiety buffers do. A study con-
clumsy modes of dealing with terror, constitute the
ducted in the aftermath of the 2005 Zarand earth-
presenting clinical picture.
quake in Iran showed that individuals with high
(1980, p. 111)
PTSD symptom severity 2 years after the earth-
This suggests that psychological disturbances would quake did not respond to MS with typical worldview
be associated with problems managing death anxiety. defenses, and this lack of typical terror management
Recent TMT studies provide empirical support defense mediated the relationship between dissocia-
for the proposition that psychological disorders are tion measured 1 month posttrauma and symptoms
associated with mismanaged death anxiety (for a 2 years later (Abdollahi, Pyszczynski, Maxfield, &
review, see Yetzer & Pyszczynski,  2019). Mortality Luszczynska, 2011). Another study conducted with
reminders have been found to exacerbate anxiety survivors of the Ivory Coast civil war (Chatard et
symptoms in those who suffer from anxiety disor- al., 2012) revealed that participants with high levels
ders such as phobia and obsessive–compulsive dis- of PTSD symptoms did not respond to MS with
order (Strachan et al., 2007). In one study, clinically the typical immediate suppression of death-related
diagnosed spider phobics spent less time looking at thoughts, whereas those with low PTSD symptom
pictures of spiders presented on a computer screen levels did (see also Edmondson, 2009; Kesebir,
and rated the spiders in the pictures as more threat- Luszczynska, Pyszczynski, & Benight, 2011). More
ening after mortality reminders. No such effect of direct evidence of ineffective anxiety-buffer function-
MS was observed among nonphobic participants. ing was recently provided by Vail, Morgan, and Kahle
In a similar vein, MS led college students who (2017), who found that although self-affirmation
scored high on a measure of contamination obses- (thought to both increase self-esteem and affirm one’s
sion and compulsive hand-washing to use more worldview) reduced DTA among participants with
water to wash their hands after they had been soiled low levels of PTSD symptoms, it had no effect among
with gooey electrode gel. Other studies have shown those with high levels of symptoms.
that neuroticism, an enduring tendency to experi- Although the well-functioning individuals who
ence negative emotional states that is robustly asso- have been studied in the vast majority of TMT
ciated with a broad array of psychological disorders studies have shown little sign of the abject terror of
(Malouff, Thorsteinsson, & Schutte, 2005), makes death posited by the theory, presumably because
it more difficult for individuals to manage death their anxiety-buffer systems are intact, this terror is
anxiety (e.g., Arndt & Solomon, 2003; Goldenberg, easy to see in those whose anxiety buffers are
Pyszczynski, McCoy, Greenberg, & Solomon, 1999; ­malfunctioning. Juhl and Routledge (2016) recently
Goldenberg, Routledge, & Arndt, 2009). reviewed evidence of adverse emotional reactions to
Terror management theory has also been applied reminders of death among those with low levels of
to the problem of posttraumatic stress disorder important anxiety-buffer elements but not among
(PTSD; Pyszczynski & Kesebir,  2011). Anxiety- those with high levels. Expanded use of TMT to
buffer disruption theory posits that PTSD results understand psychological disorders seems a promis-
from a breakdown in one’s anxiety-buffering system, ing line of inquiry for the future.
which normally provides protection from anxiety in
general and death anxiety in particular. Encounters The Social Dimension
with trauma undermine core assumptions about The social dimension refers to relationships with
the world as a benevolent place and oneself as other people, the society in which we live, and the
immune from tragedy. When the anxiety buffer groups that make up the social fabric of daily life.
stops functioning effectively, people become unable The need to belong and affiliate is a powerful,
to manage the incapacitating fear and anxiety ­fundamental, and extremely potent human motive

76 A TERROR MANAGEMENT THEORY PERSPECTIVE ON HUMAN MOTIVATION

(Baumeister & Leary,  1995). Although this need worldviews. The first evidence of the role of death
may have initially evolved because of the evolutionary concerns in intergroup conflict came from a study
advantages that group living provides, TMT argues by Greenberg and colleagues (1990), which showed
that with the evolution of sophisticated intelligence, that MS led American Christians to evaluate a fellow
it took on the existential function of helping people Christian student more positively and a Jewish stu-
manage death-related anxiety. Here, we first review dent more negatively. Other studies found that MS
how existential motivation affects relating to the increases preference for an author with pro-American
groups to which people belong (and do not belong) views over one with anti-American views among
and then the role of existential motivation in close American students (Greenberg, Pyszczynski, Solomon,
personal relationships. Simon, & Breus, 1994) and increases criticism of an
anti-Japan essay writer among Japanese students
Group Belonging and Worldview (Heine, Harihara, & Niiya, 2002). Conversely, when
Validation participants heavily invested in their Canadian
According to TMT, faith in one’s cultural worldview identity were exposed to derogation of Canadian
is a potent buffer against existential anxiety. Terror culture or fundamentalist Christians were exposed
management theory defines cultural worldviews to arguments in favor of human evolution, they ex-
as personally and culturally held assumptions and hibited increased DTA (Schimel, Hayes, Williams,
­beliefs about the nature of existence. They are theories & Jahrig, 2007).
of reality that explain what life is and how it should Further corroborating the existential function
be lived. Cultural worldviews also provide the norms, served by one’s in-group, research found that MS
values, and standards that must be met for a person increased peoples’ identification with their ethnic
to attain self-esteem. As such, they imbue existence identities as Italians, their belief in the entitativity of
with meaning, purpose, structure, and permanence, this identity, and their in-group bias (Castano,
thereby managing anxiety. Though cultures provide Yzerbyt, Paladino, & Sacchi, 2002); other research
the beliefs and values that constitute worldviews, found MS to lead participants to view their in-group
individuals construct their own individualized world- as more human than out-groups (Vaes, Heflick, &
views as they go through life by combining the ­beliefs Goldenberg,  2010). Mortality salience intensifies
and values of the individuals with whom they inter- in-group favoritism (e.g., Castano et al., 2002; Tam
act, the groups to which they belong, and the broader et al., 2007), and this occurs even when the group
society that surrounds them. Though in the past membership is based on minimally meaningful cri-
most people lived in relatively homogeneous groups teria such as aesthetic preferences (Harmon-Jones,
where there was a high degree of consensus regarding Greenberg, Solomon, & Simon, 1996). Mortality sali-
these beliefs and values, modern cultures are more ence also increases preference for national symbols,
complex and diverse, providing a wide array of often such as the Deutschemark among Germans (Jonas,
conflicting ideas about life and how to live it. Fritsche, & Greenberg, 2005), and makes people
Though people rely on their cultural worldviews more uncomfortable handling cultural symbols such
for managing anxiety and navigating through life, it as flags and crucifixes in disrespectful ways (Greenberg,
is impossible to definitively confirm the veracity or Simon, Porteus, Pyszczynski, & Solomong, 1995).
validity of one’s own worldview. Thus, certainty It is important to note that TMT implies that
­regarding one’s worldview depends on social con- groups should provide existential protection only
sensus (Hardin & Higgins, 1996). The wide diversity to the extent that they are a source of value and
of extant worldviews is a constant reminder of other meaning. Harmon-Jones and colleagues (1996)
ways of understanding life, which further exacer- found that MS did not increase in-group bias when
bates the difficulty of maintaining faith in one’s own group assignment was entirely random. Similarly,
worldview. Terror management theory posits that participants reminded of their own death exhibited
this is the primary reason people are attracted to reduced identification with their college football
those who share their cherished beliefs and values team after the team’s loss (Dechesne, Greenberg,
and, conversely, are uncomfortable around, and at Arndt, & Schimel, 2000); and Mexican American
times hostile toward, those who do not. participants primed with death decreased affiliation
If cultural worldviews protect against existential with their ethnicity when exposed to a negative
terror, then death reminders would intensify the ­example of their group by reading about a Mexican
need to cling to one’s in-group and worldview drug cartel chief (Arndt, Greenberg, Schimel,
and defend them against out-groups and rival Pyszczynski, & Solomon, 2002).

PYSZCZYNSKI, KESEBIR, AND LOCKETT 77

 A perceived threat to one’s cherished beliefs can Jonas and colleagues (2008) demonstrated, for
undermine the much-needed sense of meaning, value, ­instance, that whereas MS led people to become
and existential security, propelling people to defend harsher toward a moral transgressor when conserv-
their worldview and even resort to violence. That is ative values were made salient, a benevolence prime
why existential anxiety is associated with a host of counteracted this effect. Other research shows
unsavory behaviors such as out-group derogation, that the violence-promoting effects of death-related
stereotyping, aggression, prejudice, and discrimina- thought can be attenuated or reversed when reli-
tion. Reminders of death increase stereotypic think- gious values of compassion or shared humanity are
ing about an out-group and preference for those who salient (Motyl et al., 2011; Rothschild, Abdollahi, &
confirm one’s stereotypes (Schimel et al., 1999), as Pyszczynski,  2009) or the nobility of warfare is
well as punitive behavior toward those who violate stripped away by reading about similar behavior in
one’s moral/cultural values (Rosenblatt et al., 1989). chimpanzees (Motyl, Hart, & Pyszczynski,  2010).
The outrage felt at worldview-threatening others This line of research suggests possible strategies for
can also motivate people to resort to violence, as promoting peace in the face of ongoing intractable
­exemplified by a study in which MS led partici- war and violence.
pants to administer a larger amount of hot sauce to
a person who disparaged his or her political ideol- Close Personal Relationships
ogy and disliked hot sauce (McGregor et al., 1998). As Bowlby (1969) pointed out, human infants are
There is also evidence that the annihilation of born with a readiness to form attachments to their
worldview-threatening others can mollify death parents or caregivers and stay close to them when
anxiety. Hayes, Schimel, and Williams (2008) stressed. To survive, children need caregivers to
found that although Christian participants responded provide protection and ensure that their needs are
with increased DTA to a news article reporting the met. The attachment relationship enables children
Muslimization of Nazareth, informing them that to manage distress and feel secure, even before they
many Muslims had died in a plane crash on their possess the cognitive complexity to develop a sense
way to Nazareth eliminated this effect. Other studies of self or a concept of death. In the past decade,
revealed that existential fears can heighten support for TMT research has demonstrated that the anxiety-
violence committed against worldview-threatening buffering role of interpersonal attachments continues
others. Pyszczynski, Abdollahi, Solomon, Greenberg, well into adulthood (Hart, Shaver, & Goldenberg,
Cohen, and Weise (2006) documented that mor- 2005; Mikulincer et al.,  2003). Parents continue
tality reminders increased Iranian college students’ to function as a safe haven in the face of death
support for martyrdom attacks against the United thoughts, as revealed by studies showing that acti-
States and that reminders of either death or the vating thoughts of one’s parent in combination
9/11 terrorist attacks made politically conservative with mortality reminders reduces DTA and world-
American college students more accepting of ex- view defense (Cox et al.,  2008). Close personal
treme military action in the war on terror, including relationships—be they with family members, ro-
the use of nuclear and chemical weapons and the mantic partners, or friends—work in concert with
killing of thousands of civilians as collateral damage. faith in one’s worldview and self-esteem in a dynamic,
Others studies have shown MS to increase conserv- interrelated system to provide protection against
ative Israelis’ view that violence against Palestinians existential anxiety.
is justified (Hirschberger & Ein-Dor, 2006). In support of the anxiety-buffering function of
These findings imply that the psychological personal relationships, MS has been found to increase
­protection that cultural worldviews provide often people’s willingness to initiate social interactions
comes at the price of increased intergroup conflict and decrease their sensitivity to rejection (Taubman
and violence. Fortunately, the link between existential Ben-Ari, Findler, & Mikulincer, 2002). In a related
anxiety and intergroup conflict is neither automatic vein, Cox and Kersten (2016) have shown that MS
nor inevitable. An early study showed that a increases language-style matching in dyadic inter-
chronically high or temporarily heightened level of actions, a sign of desire for positive interaction.
tolerance can eliminate negative reactions toward Mortality salience also leads to reports of increased
dissimilar others induced by MS (Greenberg et al., commitment to one’s romantic partner (Florian
1992). More recent research has revealed that the et al., 2002) and increased belief that one’s partner
effect of MS on reactions to threatening others is committed to the relationship as well (Cox &
­depends on the norms that are salient to the person. Arndt, 2012). Conversely, inducing participants to

78 A TERROR MANAGEMENT THEORY PERSPECTIVE ON HUMAN MOTIVATION

think about relationship problems (Florian et al., we review research on how death concerns affect
2002) or fear of intimacy (Taubman-Ben-Ari, 2004) ­behavior on the spiritual dimension, with a focus on
increases DTA, but thinking about one’s partner’s issues of meaning, religion, and spirituality.
commitment to the relationship decreases DTA. Human beings require meaning, both to navigate
Consistent with the idea that close personal attach- through the mundane tasks of daily life and to
ments buffer death anxiety, writing about one’s imbue their lives with purpose and transcendent value
romantic commitment can eliminate the need to (Frankl,  1963). Terror management theory posits
resort to worldview defense after death reminders that believing that things are as they are supposed to
(Florian et al., 2002). be—that the mundane ways of life make sense and
Research also shows that individual differences that human existence fits into some overall mean-
in attachment style predict how people respond to ingful pattern—provides the coherence, structure,
existential threats. While correlational studies docu- and security that protect people against death anxiety.
ment that securely attached individuals report less Indeed, cultural worldviews and personal relation-
fear of death than insecurely attached individuals ships can succeed as existential anxiety buffers only
(Mikulincer, Florian, & Tolmacz,  1990), experi- to the extent they provide the individual with this
ments show that chronic attachment styles moder- sense of meaning.
ate terror management defenses. Mikulincer and Supporting the notion that maintaining a mean-
Florian (2000), for example, found that MS led to ingful view of reality is essential for protection against
harsher judgments about moral transgressions among existential anxiety, research finds, for example, that
insecurely attached, but not securely attached, indi- reminders of death increase distaste for apparently
viduals. In contrast, MS increased the sense of meaningless art, particularly among those who dis-
symbolic immortality and desire for intimacy positionally prefer unambiguous knowledge (Landau,
among securely attached persons but not insecurely Greenberg, Solomon, Pyszczynski, & Martens, 2006).
attached persons. This body of research suggests Similarly, Vess, Routledge, Landau, and Arndt
that close personal relationships are an integral part (2009) documented that death reminders bolster
of the anxiety-buffering system, intimately related perceptions of life’s meaningfulness among people
to self-esteem and worldview validation needs, but with a high personal need for structure—those who
distinct from them. It may be that, in and of them- prefer simple and unambiguous interpretations of
selves, interpersonal attachments reflect more reality. Mortality salience also leads people to imbue
proximal biologically based mechanisms, but also everyday actions with more meaning and to judge
contribute to the more distal forms of defense by their current actions as more connected to their long-
providing validation of one’s worldview and term goals (Landau, Kosloff, & Schmeichel, 2010).
self-esteem (Wisman & Koole, 2003). The desire to see the world as a just and orderly
The social dimension encompasses an extraordi- place (Lerner, 1980) is another manifestation of the
narily broad and important aspect of the human need for meaning, structure, and comprehensibility.
­experience—heaven, as well as hell, is indeed other In line with this, Landau and colleagues (2004) found
people. As we have seen, the groups to which we that for participants high in need for structure, MS
belong and the people with whom we relate provide increased preference for narratives that imply a just
meaning, value, security, and the hope of transcend- world and a benevolent causal order of events in the
ing death, thereby acting as a powerful balm against social world (see also Hirschberger, 2006).
existential fear. Death-related thoughts also intensify the need to
find meaning on a larger scale, a so-called cosmic
The Spiritual Dimension meaning—the sense that “life in general or at least
The spiritual dimension entails the human proclivity human life, fits into some overall coherent pattern”
to connect with something greater than oneself, (Yalom, 1980, p. 423). In Becker’s words, “man cannot
typically involving supernatural, magical, or divine endure his own littleness unless he can translate it
beings or entities. It encompasses our beliefs, values, into meaningfulness on the largest possible level”
and ideals pertaining to these entities as well as the (1973, p. 196). Belief in a superordinate design to life
experiences and altered states of consciousness that and that each person has an important role to play in
are often part of these relationships. From an exis- this design can be an extraordinary source of comfort.
tential perspective, the spiritual dimension helps Historically, religions have been the major sources
people transcend the limitations of human existence of cosmic meaning, and despite the increased popu-
in general and mortality in particular. In this section, larity of atheistic worldviews (e.g., Dawkins, 2006;

PYSZCZYNSKI, KESEBIR, AND LOCKETT 79

Harris, 2004; Hitchens, 2007), this is true for the Milburn, 1999). These attitudes are mediated by the
vast majority of people in the early 21st century absolutist authoritarian structure of the funda-
as  well. Religions typically offer a comprehensive mentalist’s belief system (Laythe et al.,  2001; Vail,
meaning schema, according to which the world and Motyl, & Arndt,  2009). A rigid black-and-white
human life are part of a divinely ordained plan. This orientation to truth makes beliefs that deviate from
includes stories about the origin of the universe, one’s own especially threatening and thus encourages
clear moral guidelines, and theodicies that help more vigorous assertion of the correctness of those
people explain and endure suffering—all of which beliefs—derogation of and violence toward those
make the inevitability of death easier to handle. with different beliefs function to bolster confidence
American historian and philosopher Will Durant in the veracity of one’s own beliefs.
talked about the “eternal hunger of mankind for Intrinsic religious orientation, in contrast, seems
­supernatural consolations” (1932, p. 36). Terror to have more benefits and fewer costs. Batson,
management theory suggests that this hunger stems Schoenrade, and Ventis (1993) found that intrinsic
largely from the need to deal with the overwhelm- religious beliefs are associated with less death anxi-
ing reality of death (for a comprehensive review of ety and greater existential well-being; van Tongeren
the terror management function of religion, see Vail et al., (2017) found that this relationship was
et al., 2010). ­mediated by greater sense of meaning in life. Other
Religions, unlike any other institution, are research suggests that believing in meaning that
­capable of promising literal immortality to their continues after death decreases DTA relative to
­believers—in the form of heaven, reincarnation, or imbuing meaning to life itself (van Tongeren &
some other form of afterlife—which can be a pow- Green, 2018). Research also shows that people high
erful tool in mollifying death anxiety. Research in intrinsic religiousness do not engage in some forms
shows, for example, that among those who believe of worldview defense after reminders of mortality
in an afterlife, reminders of death increase this and experience lessened DTA following MS if they
belief (Osarchuk & Tatz, 1973). Dechesne and col- are given a chance to affirm their religious beliefs
leagues (2003) found that exposure to scientific- (Jonas & Fischer, 2006).
looking ­evidence that near-death experiences imply Becker (1973) notes the distinctive human need
that life continues after physical death eliminates “to spiritualize human life, to lift it onto a special
the increased worldview defense and striving for immortal plane, beyond the cycles of life and death
self-­esteem that MS typically produces. Mortality that characterize all other organisms” (p. 231).
salience has also been shown to intensify faith in Although religions can effectively address this need
supernatural agents. Norenzayan and Hansen (2006) for some people, others prefer less clearly structured
found that MS led people, particularly those who forms of spirituality. Spirituality can be defined as a
were religiously affiliated, to display stronger belief “personal quest for understanding answers to ulti-
in God and divine intervention and even show mate questions about life, about meaning, and about
greater belief in spiritual entities associated with relationship to the sacred or transcendent” (Koenig,
cultures other than their own. McCullough, & Larson,  2001, p. 18). The idea of
Research also suggests that different orientations the sacred is the distinctive core of spirituality (e.g.,
to religious faith have different psychological conse- Pargament, 1999); people fervently desire to live in
quences. Whereas a fundamentalist orientation a “sacralized cosmos” (Eliade, 1959). By providing a
has been shown to be associated with a variety of sense of transcendence, boundlessness, ultimate
socially undesirable tendencies, an intrinsic orienta- value, and purpose, the sacred can alleviate the pain
tion appears to be especially effective in managing accompanying one’s awareness of creatureliness,
death-related fears. Religious fundamentalism refers powerlessness, and ultimate finitude. Supporting
to the belief that there is one absolute truth and that this notion, studies show that construing different
all other belief systems are wrong and evil. A large aspects of the world (e.g., nature, children, music)
body of research has found religious fundamental- in sacred terms can protect the individual against
ism to be positively associated with racial prejudice death anxiety and its possibly destructive effects
(e.g., Altemeyer,  2003; Altemeyer & Hunsberger, such as out-group hostility and materialism (Kesebir,
1992; Laythe, Finkel, & Kirkpatrick, 2001), religious Chiu, & Pyszczynski,  2010). In a related vein,
ethnocentrism (Altemeyer, 2003), and support for ­research has shown that Korean Buddhist monks do
militarism (e.g., Henderson-King, Henderson-King, not show the same increases in pro-Korean bias in
Bolea, Koches, & Kauffman,  2004; Nelson & response to MS found among Korean lay people

80 A TERROR MANAGEMENT THEORY PERSPECTIVE ON HUMAN MOTIVATION

(Park & Pyszczynski,  2017); whether this reflects to obviate the problem of thoughts of death. Indeed,
­acceptance of death and a general lack of defensive- research has shown that participants induced to
ness about it, or simply less investment in national write about death spend less time on the task when
identity as a source of meaning, is unclear from they are made to feel self-aware (Arndt, Greenberg,
these findings. Simon, Pyszczynski, & Solomon, 1998). This indi-
The human predilection for a sacred, magical, cates that self-awareness makes thoughts of death
divinely inspired view of reality can also manifest either more accessible or more threatening.
itself in affection for charismatic leaders, hero According to self-awareness theory (Duval &
worship, and fascination with celebrities. Mortality Wicklund,  1972), self-focused attention triggers
salience intensifies support for both hypothetical evaluative processes in which people compare them-
charismatic leaders who proclaim the superiority selves to whatever standards and values are currently
of  one’s in-group (Cohen, Solomon, Maxfield, salient. If they perceive themselves as falling short of
Pyszczynski, & Greenberg,  2004) and real-world these standards, they either change their behavior
leaders who do this, such as George  W.  Bush in the direction of the standards or attempt to resolve
and  Donald Trump (Cohen, Ogilvie, Solomon, their distress by escaping self-awareness (Carver &
Greenberg, & Pyszczynski, 2005; Cohen, Thompson, Scheier,  1981; Duval & Wicklund,  1972). Terror
Solomon, & Pyszczynski, 2017). Cultural heroes, as management theory suggests that self-awareness
well as famous people who represent individually leads to comparison with standards and to behavior
and collectively held values, tend to be perceived as aimed at reducing any discrepancies that are detected,
symbolically and literally immortal, which might because self-awareness opens the doors to existential
help their admirers to vicariously transcend death terror. To buffer this terror, self-awareness drives
and insignificance. In support of the existential people to strive to increase their self-esteem by meet-
function of famous people, Kesebir and Chiu (2010) ing their standards of value (Pyszczynski et al., 1990).
demonstrated that after mortality reminders, par- That is why self-awareness causes people to compare
ticipants expect famous people to be remembered themselves with standards. Indeed, self-awareness
for a longer time in the future, and this effect is has been shown to lead to a host of behaviors that
moderated by how much the famous people repre- are also induced by death ­ reminders—behaviors
sent cultural values. Similarly, the more a famous more in tune with both p ­ ersonal and social stan-
person was perceived to represent his or her culture’s dards of value (Diener & Wallbom, 1976; Scheier &
values, the less likely people thought that a plane he Carver, 1988; Wicklund, 1975) or behaviors aimed
or she boarded would crash. These findings suggest at maintaining self-esteem such as the self-serving
that charismatic, heroic, or famous people might be attributional bias (Duval & Silvia,  2002; Federoff
construed as transcending the ordinary limits of & Harvey, 1976).
human existence. The human eagerness to lose self-awareness, escape
Our review suggests that knowledge of the inev- consciousness, or enter a state of forgetfulness of
itability of death intensifies people’s striving for existence is another common response to existen-
meaning, value, and security on all four dimensions tial anxiety. Terror management theory suggests
of human experience—the physical, social, psycho- that underlying the desire to escape self-awareness
logical, and spiritual. The breadth and depth of is something even deeper than the wish to escape
phenomena that have been subjected to research by thoughts of one’s shortcomings or the modern cul-
TMT and shown to be affected by existential con- ture’s emphasis on and fascination with selfhood
cerns testify to the prominent role that existential (Baumeister,  1991)—it is the need to evade con-
motivation plays in human life. frontation with the existential reality of death and
the potential for terror this invokes. A variety of
Transcending Death by Escaping or behaviors have been shown to reduce levels of
Transforming Self-Awareness self-awareness, including alcohol consumption (Hull,
Becker (1971, 1973) argued that self-awareness is a 1981), binge eating (Heatherton & Baumeister,
prerequisite for experiencing existential anxiety. In 1991), television viewing (Moskalenko & Heine,
support of this claim, research shows that simple 2003), and sexual masochism (Baumeister,  1988).
self-awareness manipulations, such as viewing one- In principle, any absorbing activity can provide
self in a mirror, increase the accessibility of thoughts escape. Csikszentmihalyi’s concept of flow, which
about both life and death (Silvia, 2001). This sug- he characterizes as a process that produces optimal
gests that escaping self-awareness would be one way human experience, similarly entails a loss of

PYSZCZYNSKI, KESEBIR, AND LOCKETT 81

self-consciousness, a merging of action and awareness, most likely to lead to self-escapist behaviors when
and a transformation of one’s perception of time people perceive the gap between their actual self and
(Csikszentmihalyi,  1975). It appears that avenues ideal self as unbridgeable or when they are having
for escaping self-awareness include a broad range of extreme difficulties finding meaning in their lives
possibilities from the most sadly self-destructive to or  reconciling their worldviews with their life
the most spiritually exalted, and according to TMT, ­experiences. In other words, people resort to escap-
they all help shield the individual from the existen- ism in the face of existential anxiety, when their
tially problematic implications of self-awareness. ­anxiety buffers are—temporarily or chronically—
Support for the idea that escaping self-awareness not strong enough to provide protection. The most
is another approach to coping with existential extreme, irreversible form of flight from the self
­concerns comes from research showing that death is suicide (Baumeister, 1990), and in our analysis,
reminders increase consumers’ desire to purchase people would be more likely to attempt suicide
larger quantities of food products and to actually eat when their anxiety buffers have stopped functioning
more, particularly among those with low self-esteem entirely and the ensuing terror is overwhelming.
(Mandel & Smeesters, 2008). Similarly, Hirschberger Consistent with this view, research has shown that
and Ein-Dor (2005) found that eating a tasty snack both failure and self-­focused attention increase the
eliminated the effects of MS on defensive responses, accessibility of suicide-related thoughts (Chatard &
suggesting that the sensual pleasure of taste may Selimbegović, 2011; Selimbegović & Chatard, 2013).
reduce self-awareness and the resulting existential An existence devoid of any meaning, value, or hope
anxiety. Anecdotal evidence suggests that after the would turn self-awareness into an unbearable state
9/11 attacks, Americans resorted to drinking, gam- and might make suicide an appealing escape.
bling, renting videos, watching television, and shop- Ironically, dying may be the only certain way to rid
ping as ways of dealing with the shock (Pyszczynski, oneself of existential anxiety for good (Greenberg,
Solomon, & Greenberg,  2003). The New York Solomon, & Arndt, 2008).
Times, for example, reported that “the dramatic rise Another approach to severing the link between
in consumption of alcoholic beverages immedi- self-awareness and existential anxiety might be med-
ately after Sept. 11 was a nationwide phenomenon” itation. Park and Pyszczynski (2019) found that
(Burros, 2001). This could be interpreted as reflect- an initial breathing meditation experience had the
ing attempts to flee the massive existential insecu- ­immediate effect of eliminating the increased world-
rity produced by the 9/11 attacks. Studies show that view defense that MS otherwise produced among
among restrained eaters, self-esteem threats increase both South Koreans and American college students.
the amount eaten (Heatherton, Herman, & Polivy, A follow-up study showed that meditation also
1991; Polivy, Herman, & McFarlane,  1994), sug- ­reduces the immediate suppression of DTA that is
gesting that a threat to one’s anxiety buffer might typically found in MS studies and that this medi-
intensify the desire to lose self-awareness. Research ated the reduced worldview defense that meditation
in Israel showed that MS increases alcohol con- produced. This is consistent with the idea that med-
sumption among drinkers (Ein-Dor et al.,  2014) itation encourages people to observe their thoughts
and the desire to get high among cannabis users and without judgment and, therefore, not respond to
that cannabis consumption reduces DTA (Nagar & them in defensive ways. Perhaps mediation produces
Rabinovitz, 2015). its effects by enabling people to focus attention on
Under what conditions would existential anxiety their internal experience without the comparison
drive people to shut off self-awareness, and under with standards that self-focus typically produces—a
what conditions would it lead to a more active striv- focus on the I rather than the me.
ing for meaning, value, and security? This question is In sum, the capacity for existential anxiety is a
critical, considering that people’s attempts to escape consequence of self-awareness and one’s existential
self-awareness sometimes occur through e­ xtremely burden is felt most deeply when one is self-aware. In
self-destructive means. Previous research suggests some instances, particularly when the anxiety buffer
that avoidance of self-awareness occurs primarily is doing a poor job staving off existential anxiety,
when people perceive the discrepancy between their people might choose to avoid self-awareness as a
current state and ideal state to be unlikely to be way to make the problem of existence disappear.
­reduced (Duval, Duval, & Mulilis, 1992). Drawing a Given the costs of these destructive escape strate-
parallel, we might predict that existential anxiety is gies, this topic is worthy of additional investigation.

82 A TERROR MANAGEMENT THEORY PERSPECTIVE ON HUMAN MOTIVATION

Conclusion self-focused state. Personality and Social Psychological Bulletin,
24, 1216–1227.
In the preceding sections, we presented myriad studies
Arndt, J., & Solomon, S. (2003). The control of death and the
demonstrating how existential concerns—and par- death of control: The effects of mortality salience, neuroticism,
ticularly death anxiety—affect human motivation and worldview threat on the desire for control. Journal of
and behavior in diverse life domains. Despite the Research in Personality, 37, 1–22.
problems that result from human awareness of the Batson, C. D., Schoenrade, P., & Ventis, W. L. (1993). Religion
and the individual: A social–psychological perspective. New York,
inevitability of death, many thinkers have argued
NY: Oxford University Press.
that life’s limited duration is what gives life its inten- Baumeister, R. F. (1988). Masochism as escape from self. Journal
sity and value. We echo these sentiments in suggest- of Sex Research, 25, 28–59.
ing that, though agonizing, heightened awareness of Baumeister, R. F. (1990). Suicide as escape from self. Psychological
death—rather than a forgetfulness or denial of it— Review, 97, 90–113.
Baumeister, R. F. (1991). Escaping the self: Alcoholism, spirituality,
might ultimately lead us to happier, wiser, more
masochism, and other flights from the burden of selfhood.
­authentic lives. Although the picture that emerges New York, NY: Basic Books.
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Burke, B. L., Martens, A., & Faucher, E. H. (2010). Two decades
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 The Nature and the Conditions of
CH A PT ER

6 Human Autonomy and Flourishing

Self-Determination Theory and Basic Psychological Needs

Richard M. Ryan, William S. Ryan, Stefano I. Di Domenico, and Edward L. Deci

Abstract

Human beings have fundamental psychological propensities toward growth, integrity, and wellness.
Yet, historically, many approaches to motivation have ignored these inner propensities, focusing instead
on how external contingencies shape expectancies and behaviors. This chapter reviews recent work
in self-determination theory, an organismic approach in which people’s intrinsic, growth-oriented
propensities are a central focus. Self-determination theory argues that people have basic psychological
needs to experience competence, autonomy, and relatedness to others. Satisfaction of these basic
needs facilitates autonomous motivation and wellness, whereas the frustration of these needs contributes
to ill-being and is associated with lower quality, and often highly controlled, forms of motivation.
Autonomous and controlled forms of motivation differ in their antecedents, neurological underpinnings,
and outcomes. Although most of the experimentation and evidence base of self-determination theory
has focused on proximal relationships (e.g., families, dyads, classrooms, teams, or workgroups), recent
research is extending self-determination theory to address pervasive contexts (e.g., cultural or economic
systems) and how they both directly and indirectly affect need satisfaction and motivation, thereby
impacting people’s development and wellness. Pervasive contexts also influence people’s aspirational
horizons and the life goals they pursue, further influencing both individual and community wellness.
More need-supportive contexts conduce to more authentic living and intrinsic aspirations, which in
turn promote more prosocial attitudes and actions and greater personal and societal wellness.
Keywords:  self-determination theory, autonomy, motivation, control, intrinsic motivation, life goals,
aspirations, political contexts, economic contexts

As living entities, we are born to flourish. From the from outside the organism using potent contin-
standpoint of organismic theories within all indi- gencies of reinforcement (see R. M. Ryan, Bradshaw,
viduals there is a natural propensity to actively engage, & Deci, in press). Because this approach could
assimilate, and master one’s environments. There is produce powerful experimental results in controlled
a desire to learn, to grow, and, where possible, to laboratory conditions, it led to an emphasis on
develop and express capacities, talents, and interests. the malleability of behavior and contributed to a
Finally, as social creatures, humans have a need to “standard social science model” (Tooby & Cosmides,
connect with others in sharing, love, work, and 1992), in which behavior was seen as something
meaning. stamped in by social environments and cultures,
Many of the major theories and traditions in rather than being grounded in basic or inherent
­behavioral science have grappled poorly with these needs or strivings. Often denigrating the significance
clearly built-in human propensities. In part, this is of inner experience (e.g., Skinner, 1953, 1971), the
the heritage of decades of behaviorism, in which theoretical focus of behaviorists thus enabled
the primary focus was on how to control behavior decades of scientific neglect of natural human
­

89
­ ropensities toward growth and research on what
p Ryan, 2018). But having proximal social supports,
supports and hinders their ­expression. especially in family, friendship, and community
Self-determination theory (SDT; Deci & Ryan, ­settings, for being oneself is critical to wellness in
1985; R. M. Ryan & Deci, 2017) stands in contrast everyday life (e.g., Legate, Ryan, & Weinstein, 2012).
to behaviorist and, more generally, standard social Beyond these proximal interpersonal settings, how-
science models in its strong assumptions about the ever, autonomy can be supported or undermined by
nature of humans. As an organismic perspective, larger institutional, economic, and cultural forces.
SDT begins by assuming an active human nature For example, societal institutions and laws can
that ­entails a specific direction of movement toward ­support or hinder people’s rights (Rawls, 2001) and
growth, coherence, and wellness. People are under- capabilities (Sen, 1999) to pursue what matters most
stood as inherently prone to develop toward greater to them, impacting autonomy, competence and
capacities for self-regulation and integrity, and much relatedness, and ultimately psychological and physical
empirical evidence supports SDT’s claims concerning wellness (DeHaan, Hirai, & Ryan, 2016; R. M. Ryan
the spontaneity and pervasiveness of these hypoth- & Deci, 2017). Across history people have fought to
esized tendencies. Yet even more important within escape oppressive rule and to protect or gain rights
SDT is the idea that these propensities toward growth and resources and, thus, to better actualize valued
and integrity are not automatic. Instead, SDT argues aims and ideals (Welzel, 2013). Such struggles con-
that propensities toward flourishing are more or less tinue in the early 21st century, with respect to both
robustly expressed as a function of particular social totalitarian regimes and the controlling forces of
conditions. Social contexts that support basic psy- wealth, power, and ideology wherever they subju-
chological needs foster flourishing, whereas those in gate or disenfranchise individuals or groups.
which these needs are thwarted derail the integrative
trajectory of human development and move indi- Contexts and Basic Psychological Needs
viduals toward defense and self-protection. Thus, in Social contexts exert their impact on individual
SDT self-actualization is understood as dynamic, with motivation and wellness by facilitating versus
­
propensities to flourish catalyzed by some social ­impairing satisfaction of basic psychological needs.
environments and suppressed by others, a dynamic Within SDT, needs are defined as organismic neces-
that can be studied at levels of analyses from inter- sities for health. Basic psychological needs are a
personal settings to broader cultural, political, and subset of these necessities, those that are essential for
economic contexts. psychological growth, integrity, and wellness. Three
specific needs have been widely researched with the
Motivation and Wellness Within theory, namely, the need for competence, or to feel
Self-Determination Theory capable and effective in negotiating important life
Again, the organismic perspective is that in healthy tasks and experiences; the need for relatedness, or to
development, individuals move in the direction of feel connected to, significant, and cared for by
greater autonomy and self-regulation. This entails others; and the need for autonomy, or to experience
internalizing and integrating external regulations of one’s behavior as self-determined and volitional. To
behavior and learning to manage drives and emo- the extent that these needs are satisfied, people
tions, while staying connected within a social world. thrive, but to the extent that the need satisfactions
As well, it means maintaining intrinsic motivation are blocked or frustrated, negative experiential and
and interest, which are vital to assimilating new ideas functional outcomes accrue. Self-determination
and experiences. When people are more autono- theory focuses on how social contexts at each level
mously regulated, they exhibit greater engagement of proximity, from interpersonal interactions to per-
and vitality in activities, relationships, and life vasive cultural conditions, facilitate versus impede
­projects. Thus, autonomy is an integral aspect of satisfaction of basic psychological needs.
full functioning and wellness at every age. It is worth noting that these three postulated
Yet autonomy is not just an individual affair. needs—competence, relatedness, and autonomy—
Across the life span, autonomy develops within were not simply assumed or formulated based on
the context of family and other social institutions, “armchair” theorizing, but were instead derived
which may or may not be supportive. Indeed, living both empirically and deductively. Though SDT has
autonomously is often a struggle, as individual always been open to considering additional basic
­authenticity can require courage (W.  S.  Ryan & psychological needs (e.g., see Martela & Ryan, 2016),

90 THE NATURE AND THE CONDITIONS OF HUMAN Autonomy and FLOURISHING

it is these three that have been empirically validated. of internalizing information, values, and attitudes
On the inductive or empirical side, these three needs and ­behaviors from the external world, as well as inte-
emerged as the critical variables needed to explain grating the regulation of internal forces (e.g., drives
various phenomena such as the undermining of and emotions).
intrinsic motivation by tangible rewards (Deci,
­ Intrinsic motivation involves doing an activity
Koestner, & Ryan, 1999), the effects of social con- because it is interesting and enjoyable. It is often
trols and supports on the internalization of extrinsic said that when people are intrinsically motivated,
motivation (R. M. Ryan & Connell, 1989), and the the activity in which they are engaged is its own
impact of goal contents and lifestyles on people’s reward. Yet, the inherent satisfactions associated
well-being (Kasser & Ryan, 1996). Once the func- with intrinsic motivation derive primarily from
tional importance of the need satisfaction was estab- experiences of competence, autonomy, and, in some
lished, subsequent research has continued to examine cases, relatedness.
the import of these needs across developmental Intrinsically motivated behavior is exemplified in
(e.g., Kloos, Trompetter, Bohlmeijer, & Westerhof, children’s spontaneous play. In play, children are
2018; Laurin & Joussemet,  2017), cultural (e.g., often wholly absorbed in activities, experiencing a
Chirkov, Ryan, Kim, & Kaplan, 2003), and socio- sense of interest and joy as they manipulate objects
economic contexts (Di Domenico & Fournier, 2014), and explore their environments. As this occurs,
demonstrating that those who experience greater their basic psychological needs for competence and
satisfaction of these basic needs also display greater autonomy are being met, as they self-organize their
psychological health and more optimal functioning. actions and experience what White (1959) described
On the deductive side, these three needs together as effectance. Through such play, children grow and
capture the essential attributes of thriving in social learn, even though these adaptive outcomes are not
organisms, which must include abilities to self- their conscious goal (Di Domenico & Ryan, 2017).
regulate, to act effectively, and to connect and coop- For adults as well, most learning continues to be
erate with other individuals. ­intrinsically motivated (Wlodkowski & Ginsberg,
In what follows, we first discuss the nature of 2017). People read, play sports, explore, travel, and
autonomous and controlled motivation, highlight- create art, with learning being a natural accompani-
ing the differences in processes and outcomes asso- ment of these interest-driven activities. Intrinsically
ciated with these different kinds of motivation. We motivated learning also tends to be lasting. When
review studies illustrating these differences across children (Grolnick & Ryan,  1987; Yamauchi &
multiple life domains, including home, school, work, Tanaka, 1998) or adults (Benware & Deci,  1984;
leisure, and health care settings, and across devel- Choi & Medalia, 2010) are intrinsically motivated
opmental periods and cultural contexts. We then to learn, their learning tends to be deeper and more
turn to different types of life goals or aspirations conceptual, and they remember what they have
that have distinct consequences for motivation and learned longer than when their learning is extrinsi-
well-being. Finally, we review studies that have cally motivated, for example, by grades or rewards
­assessed satisfaction of the basic psychological needs (Froiland & Worrell, 2016). Similarly, accomplish-
as mediators between pervasive social conditions in ment can be intrinsically motivated; that is, people
cultures and economies and the wellness of the often eagerly engage in activities because they enjoy
individuals within them. the process of accomplishing some task or goal
(Koestner, Otis, Powers, Pelletier, & Gagnon, 2008).
Autonomous and Controlled Motivation At work or in sport, for example, people may be
Self-determination theory’s organismic perspec- ­immersed in doing a task well and experience deep
tive entails metatheoretical assumptions that have satisfaction of competence, autonomy, and related-
played an important role in the theory’s develop- ness needs as they do so (Standage & Ryan, 2019).
ment. First, people are assumed to be inherently In contrast to intrinsic motivation, extrinsic moti-
active and thus to proactively initiate engagement vation involves doing an activity because it leads to
with their environments. Intrinsic motivation is a a separable consequence—the goal is separate from
principle manifestation of such inherent activity. the activity itself. Tangible rewards and external
Second, people are assumed to have evolved devel- punishments are classic extrinsic motivators. Extrinsic
opmental tendencies toward integration and psy- motivation, when driven by such contingencies, is
chological organization. These include the process often experienced as controlled; that is, people feel

RYAN, RYAN, DI DOMENICO, AND DECI 91

that the task is controlled by those who wield the In introjection, one ­engages in behaviors to garner
contingencies. Yet, not all extrinsic motivation is self- and other-approval (or to avoid disapproval).
controlled, and SDT differentiates the general cate- When approval is gained, introjection can foster
gory of extrinsic motivation into subtypes that vary feelings of pride and esteem, but when one does not
in their relative autonomy and in their degree of achieve the desired outcome it can lead to feelings of
internalization (R. M. Ryan & Deci, 2017). guilt or anxiety (Roth, Assor, Niemiec, Ryan, & Deci,
2009). Accordingly, individuals can drive them-
Internalization and the Differentiation selves hard when introjected. Although introjected
of Extrinsic Motivation regulations are “internal” or intrapersonal, they are
R. M. Ryan, Connell, and Deci (1985) argued that nonetheless controlling in nature, because the in-
people have an inclination, as part of their inherent dividuals are being controlled by contingencies of
integrative processes, to internalize the regulation of self-worth, which results in negative well-being con-
behaviors from their social environments. Children sequences (Deci & Ryan, 2000; Kernis & Paradise,
naturally take interest in, model, and adopt the 2002). Moreover, because the values enforced by
practices, values, and ideologies of the significant these ­contingencies are only partially internalized,
people around them. They take in social behaviors, people typically do not feel fully volitional when
and this process of internalizing has clear adaptive enacting them. This means that the behaviors are
value and is critical to cultural transmission and sta- motivationally unstable and usually are at best weakly
bility. Yet, values or behavioral regulations can be related to long-term commitment and performance
internalized to differing degrees. (Koestner et al, 2008; R. M. Ryan & Deci, 2008).
As illustrated in Figure  6.1, at the low end of External and introjected regulations are considered
internalization, a person is motived to enact a
­ two subtypes of controlled motivation.
­behavior or value only when external rewards or The regulation of extrinsically motivated behav-
punishments are salient. Within SDT this is ­referred iors can be more autonomous when the individual
to this as external regulation, which is the type understands and accepts the importance or worth of
of regulation emphasized in operant psychology the activity, which we refer to as identified regulation.
(Skinner, 1953). External regulation is a highly con- The experience of identified regulation is thus dis-
trolled form of motivation and, although it can be tinct from the experience of introjected regulation
powerful in moments, it is not predictive of sus- and the two have different correlates. For example,
tained engagement or high-quality effort over time. research has shown that when the regulation of reli-
A second type of motivation is introjection, in gious behaviors is introjected, such behaviors are
which behavior is driven by concerns with self-worth. negatively associated with well-being, whereas when

Self-Determination Theory’s Taxonomy of Motivation

EXTRINSIC INTRINSIC
Motivation AMOTIVATION
MOTIVATION MOTIVATION

Regulatory External
Style Regulation Introjection Identification Integration

Internalization

Attributes Lack of perceived External Ego Personal Congruence Interest

competence, rewards or involvement importance Synthesis and Enjoyment
Lack of Value, or punishments Focus on Conscious valuing consistency of Inherent
Compliance approval from of activity identifications satisfaction
Nonrelevance
Reactance self and Self-
others endorsement of
goals

Perceived Impersonal External Somewhat Somewhat Internal Internal

Locus of External Internal
Causality

Figure 6.1  The self-determination theory’s taxonomy of motivation.

From the Center for Self-Determination Theory © 2017. Reprinted with permission.

92 THE NATURE AND THE CONDITIONS OF HUMAN Autonomy and FLOURISHING

the regulation is identified, religious behaviors are persistence, performance, and wellness outcomes,
positively associated with wellness (e.g., R. M. Ryan, which a now-voluminous literature confirms (R. M.
Rigby, & King, 1993; Soenens et al., 2012). Finally, Ryan & Deci, 2017). We cite just a few examples of
when an identification has become congruent with the diverse positive effects of autonomous relative to
other identifications, needs, and experiences, the controlled motives in varied domains.
resulting regulation is referred to as integrated regu-
lation, which represents the most autonomous form Education
of extrinsic motivation (e.g., Assor, Cohen-Malayev, Autonomous versus controlled motivations have a
Kaplan, & Friedman,  2005). Now the individual huge impact on the quality and persistence of
can be whole-heartedly behind the activity or goal, learning in schools, at every level of education
because there is little internal conflict to inhibit (R. M. Ryan & Deci, 2000a). Yamauchi and Tanaka
effort or organization. (1998) showed that Japanese elementary school
Behaviors that are initially extrinsically motivated, ­students with more autonomous motives evidence
even those behaviors that people identify with, are deeper learning strategies, whereas controlled moti-
rarely transformed into intrinsically motivated vations predicted more superficial processes and
­behaviors, because typically they retain their instru- greater work avoidance. Choi and Medalia (2010)
mental focus. Intrinsic motivation and integrated found that intrinsic motivation facilitated learning
extrinsic motivation share various characteristics, and performance for persons with schizophrenia,
such as flexibility and volitional engagement, yet demonstrating the generality of this motivational
they are different in that intrinsic motivation refers resource. Wang (2008) found similar results among
to doing the behavior because it is interesting in its Chinese college students in that those who were
own right, whereas integrated regulation refers to more autonomously motivated performed better on
doing the behavior because it is instrumentally the final exam in the course. Boiché, Sarrazin,
­important, valued, and meaningful for the person. Grouzet, and Pelletier (2008) assessed autonomous
Further, studies have shown that, whereas intrinsic motivation (both intrinsic and identified) of Canadian
motivation tends to be a better predictor of being high school physical education students and found
engrossed in an activity, identified and integrated that those who were more autonomously motivated
regulations tend to be predictors of persisting at more performed better. Among Canadian undergraduates,
effortful tasks that require discipline (e.g., Burton, Di Domenico and Fournier (2015) found that auton-
Lydon, D’Alessandro, & Koestner, 2006; Evans & omous motivation was positively associated with
Bonneville-Roussy, 2016). grade point average and was an especially important
Having specified different types of motivation, it predictor for students who described themselves as
is important to highlight that any given behavior can generally lacking in self-discipline and work ethic.
be energized by more than one of these motivations Levesque, Zuehlke, Stanek, and Ryan (2004) found
(R. M. Ryan & Connell, 1989). For example, one that autonomous motivation (as well as perceived
might be both identified with the value of an action competence) in both German and American college
and introjected concerning one’s performance at it. students predicted their well-being. Even in advanced
One might pursue an activity that one identifies studies, such as medical schools, autonomous moti-
with and feel intrinsic motivation while enacting vations generate higher quality learning (e.g. Kusurkar,
specific parts of it. Because types of regulation can Croiset, Galindo-Garré, & Ten Cate, 2013).
co-occur, within SDT we often also look at the
overall relative autonomy of a person’s actions using Health Care
varied procedures to aggregate these multiple motives Studies in the health domain have shown that when
(Howard, Gagné, & Bureau,  2017; Litalien et al., people are more autonomously motivated for
2017; Sheldon, Osin, Gordeeva, Suchkov, & Sychev, changing health-related behaviors—for example,
2017), as well as person-centered analyses based on stopping smoking, eating a healthier diet, or exer-
motivational profiles (e.g., Wang, Morin, Ryan, & cising more regularly—they are more successful and,
Liu, 2016). more important, they are more likely to maintain
those changes over time (Ng et al.,  2012; R.  M.
Outcomes Associated With Autonomous Ryan, Patrick, Deci, & Williams, 2008). Such find-
Motivation ings have been verified in multiple ways, including
Autonomy reflects both motivational quality and indicators such as decreases in glycosylated hemo-
fuller functioning. It is therefore expected to predict globin and low-density lipoprotein cholesterol

RYAN, RYAN, DI DOMENICO, AND DECI 93

(e.g., Williams, Freedman, & Deci, 1998), chemically motivation was associated with holding more
verified smoking cessation (e.g., Williams, McGregor, ­antisocial attitudes.
Sharp, Kouides, et al., 2006), weight loss (e.g., Moller, We have reviewed just a few of the hundreds of
Buscemi, McFadden, Hedeker, & Spring,  2014), studies, done in multiple cultures and with par-
and many other objective outcomes. In a similar ticipants of varied ages, that have shown that more
vein, studies have shown that when clients are autonomous motivations are more effective than
more autonomously motivated for psychotherapy, controlled motivations with respect to learning,
they experience more success, such as fewer depres- performing effectively, behaving in healthier ways,
sive symptoms (Pelletier, Tuson, & Haddad, 1997; and other significant outcomes. Across these and
Zuroff et al., 2007). other domains, including environmental behaviors
(e.g., Séguin, Pelletier, & Hunsley,  1999), music
Work Environments and arts (e.g., Evans & Bonneville-Roussy, 2016),
Work environments can be draining and amotivat- and even video games (Przybylski, Rigby, & Ryan,
ing or, alternatively, vitalizing and fulfilling, differ- 2010; Rigby & Ryan,  2011), research highlights
ences that are substantially the result of differential that people who are more autonomously motivated
affordances for autonomy (Deci, Olafsen, & Ryan, display greater engagement, persistence, perfor-
2017; Rigby & Ryan, 2018; R. M. Ryan, Bernstein, & mance, and wellness. This is important because
Brown, 2010). Gagné, Chemolli, Forest, and Koestner SDT assumes that when afforded autonomy, people
(2008) found that affective commitment to an or- are more likely to behave in ways that further their
ganization is strongly correlated with autonomous own capabilities and thriving (Vansteenkiste &
types of motivation. Indeed, analyses of the profiles Ryan, 2013).
of employee’s motivations suggest that high autono-
mous motivation is predictive of performance and Specific Contextual Factors and
wellness even when some controlling motives are Autonomous Motivation
present, whereas the absence of autonomy (e.g., low The strategy of SDT research has been to iterate
identification and/or intrinsic motivation) is prob- ­between tightly controlled laboratory investigations
lematic (e.g., Moran, Diefendorff, Kim, & Liu, 2012). and real-world field studies and intervention trials.
These represent only a small percentage of studies Measurements have focused on self-reports, implicit
revealing the strong import of autonomous motiva- measures, behavioral observations, and neurological
tion for productivity and thriving in the workplace and physiological measures. There is remarkable
(see also van den Broeck, Carpini, & Diefendorff, convergence in the lessons that come from these
2019, Chapter 27). varied methodological approaches and dependent
variables.
Sport Some of the studies of social–contextual effects
Although sport is most frequently powered by intrin- on motivation-related outcomes have been experi-
sic motivation (Standage & Ryan, 2019), persistence ments examining specific factors such as the offer of
over time for most athletes depends on autonomous rewards, provision of choice, imposition of dead-
motivation more generally. For example, Lonsdale, lines, or introduction of competition as they affect
Hodge, and Rose (2009) examined elite athletes autonomous motivation, and many have examined
from Canada, finding that the more autonomous intrinsic motivation as the dependent variable. For
the athlete’s motivation, the fewer the symptoms of example, Deci et al. (1999) presented a meta-analysis
burnout. Ntoumanis, Ng, Barkoukis, and Backhouse of nearly 100 experiments that investigated how
(2014) found that when athletes’ motivation to pursue ­various reward contingencies affect intrinsic moti-
the goals was more autonomous, the athletes were vation. Results confirmed that the use of the most
more persistent, showed more positive affect, and common reward contingencies tended to decrease
reported more interest in future engagement with intrinsic motivation (Deci et al., 1999). On average,
their sport. Autonomy plays a role even in being a contingent rewards tended to thwart the satisfaction
good sport. Ntoumanis and Standage (2009), for of autonomy, prompting a shift in the perceived
example, found that athletes’ autonomous moti- locus of causality from internal to external (de
vation for their sport predicted their behaving Charms, 1968), leading to the undermining effect.
in more moral and sportsperson-like ways (i.e., fair Because external rewards are frequently used to con-
play, respect for other athletes), whereas controlled trol people’s behavior, it is not surprising that such

94 THE NATURE AND THE CONDITIONS OF HUMAN Autonomy and FLOURISHING

rewards often take on a controlling “functional choice where possible, when choice is not possible,
­significance” or meaning to recipients, detracting meaningful rationales are provided, and the use of
from autonomy and thus intrinsic motivation. controlling language and contingencies is mini-
Other research reveals that threats of punishment, mized. In contrast, controlling contexts pressure
deadlines, evaluations, surveillance, and pressured people to think, feel, or behave in specific ways
competition also decrease intrinsic motivation inso- (Deci & Ryan,  1985), often through the use of
far as they are experienced as thwarting autonomy ­rewards, pressures, and demands.
(see R. M. Ryan & Deci, 2017, for a review). Like Autonomy-supportive contexts potentiate satis-
rewards, these aspects of social environments tend faction of the need for autonomy, but also support
to be experienced as pressuring rather than sup- the basic psychological needs for relatedness and
portive. In contrast, offering choice, providing competence. First, when an authority takes anoth-
meaningful rationales, and acknowledging feelings er’s perspective, the other typically feels related to in
are among the factors that can enhance intrinsic a genuine way, providing support for relatedness
motivation and facilitate fuller internalization by (e.g., La Guardia, Ryan, Couchman, & Deci, 2000).
supporting autonomy and relatedness (e.g., Deci, In addition, because autonomy support includes
Eghrari, Patrick, & Leone,  1994; Koestner, Ryan, perspective taking, autonomy-supportive authorities
Bernieri, & Holt, 1984; Oliver, Markland, Hardy, & will be more mindful of obstacles to satisfaction of
Petherick, 2008; Patall, Cooper, & Robinson, 2008). the people’s other needs. Finally, when people are in
Experiments have also examined the effects of situations where their autonomy is supported, they
feedback on autonomous motivation. In general, are likely to feel freer to do what is necessary to get
these studies indicate that positive feedback generally their other needs satisfied (e.g., Legate et al., 2012).
enhances intrinsic motivation and facilitates inter-
nalization, because such feedback provides com- Relational Supports and Structure
petence need satisfaction. Moreover, when people Factors other than autonomy support facilitate
get positive feedback that is authentic, they are ­satisfaction of the basic needs for relatedness and
likely to infer that they are responsible for their competence. For example, expressions of caring,
good performance, thus experiencing autonomy mutually sharing feelings, and dedicated involve-
as well as competence. Situations that provide posi- ment of one person in the life of another are examples
tive feedback and are accompanied by support for of factors likely to promote relatedness satisfaction
autonomy are referred to as informational and have (e.g., Grolnick, Benjet, Kurowski, & Apostoleris,
consistently been shown to enhance autonomous 1997). Further, providing noncontrolling structure
motivation (see Deci & Ryan,  2000). Yet when and informational feedback are factors likely to pro-
positive feedback is given in a controlling way—for mote satisfaction of the competence need (e.g.,
example, in a form such as, “Good! You did just as Jang, Reeve, & Deci, 2010). In other words, research
you should”—it tends to be detrimental to autono- in SDT suggests specific nutriments that can enhance
mous motivation, shifting the perceived locus of each of the basic need satisfactions, beyond the gen-
causality to be more external (R. M. Ryan, 1982). eral facilitating impact of autonomy support.
When feedback is negative, the message tends to
convey incompetence and decrease autonomous Studies in Various Domains
motivation. If the negative feedback is persistent, Many studies conducted over several decades have
and especially if it is demeaning, it will tend to examined the relations of autonomy-supportive
result in amotivation, or a lack of initiative to act. contexts to motivation and other outcomes. In an
early study, Deci, Schwartz, Sheinman, and Ryan
Autonomy-Supportive and Controlling (1981) asked elementary school teachers to report on
Climates their classroom management styles, and these teacher
Autonomy-supportive versus controlling environ- reports were then related to students’ intrinsic
ments have been examined in settings such as ­motivation, perceived competence for school, and
homes, classrooms, work organizations, and health self-esteem. When teachers were more autonomy
clinics. Autonomy-supportive environments are supportive, their students became more intrinsically
ones in which the perspectives of individuals in motivated and perceived themselves and their cog-
that environment are acknowledged, individuals nitive abilities more positively by the end of the first
are ­encouraged to experiment and are provided 2 months of the school year. R. M. Ryan and Connell

RYAN, RYAN, DI DOMENICO, AND DECI 95

(1989) found that when elementary school teachers Freedman, Ryan, & Deci, 1996), and attended dental
were perceived as autonomy supportive, students clinics more regularly (Münster Halvari, Halvari,
showed greater internalization of achievement-­ Bjørnebekk, & Deci, 2010). Philippe and Vallerand
related values. Black and Deci (2000) found that (2008) found that when nursing home staff were
college students taking organic chemistry from more autonomy supportive, residents ­ reported
instructors who were more autonomy supportive more autonomy and displayed greater well-being.
became more autonomous and earned higher grades
in the course, even controlling for SAT scores and Autonomy Support and Mutuality
grade point averages. in Relationships
Grolnick and Ryan (1989) found that parents of In friendships and romantic relationships autonomy
elementary school students who were rated by inter- support also matters. Here, however, the situation is
viewers as more autonomy supportive had chil- a bit different. In many of the relationships discussed
dren who were more autonomously motivated to in the previous section, an authority differential
do schoolwork, were rated by their teachers as exists in the relationship—for example, teachers–
more competent and better behaved, and received students, managers–employees, coaches–athletes, and
better grades. Landry et al. (2008) found that when even parents–children. With friends and romantic
mothers trusted in the natural developmental partners relationships are typically more mutual and
process, they were more autonomy supportive, and the power differential is more ­balanced. A study of
both the mothers and the children evidenced more friends by Deci, La Guardia, Moller, Scheiner, and
positive adaptation. Gagné, Ryan, and Bargmann Ryan (2006) found that the mutuality of autonomy
(2003) found that when coaches were more auton- support was indeed advantageous in such relation-
omy supportive, gymnasts evidenced greater vitality, ships. Each partner benefited in terms of well-being
autonomous motivation, and well-being. These and not only when receiving autonomy support from a
many other similar studies have shown the perva- partner but also when giving autonomy support to
sive effects of support for autonomy across youth the partner. Other studies similarly attest to the role
development. of need supports in close relationships for enhancing
Similar evidence has been found in the workplace people’s healthy functioning and wellness (Hodgins,
(see Deci et al., 2017). For example, managers of a Koestner, & Duncan, 1996; Knee, Patrick, Vietor,
Fortune 500 company who were more autonomy Nanayakkara, & Neighbors,  2002; La Guardia &
supportive had employees who were more satisfied Patrick, 2008).
with their jobs and more trusting of the company’s Other research has shown positive effects on
top management (Deci, Connell, & Ryan, 1989). well-being of both receiving and giving help, even
Baard, Deci, and Ryan (2004) found that banking- in relating to a stranger. Importantly, these positive
industry employees who perceived managers as more effects only occur when helping is done autono-
autonomy supportive displayed better well-being and mously, rather than being controlled. Weinstein and
received higher performance evaluations than emplo­ Ryan (2010) found in a series of diary studies and
yees who perceived their managers as ­controlling. experiments that the more autonomously motivated
In health care settings numerous studies have an individual was to provide help to another, the
shown that patients who perceive their practitioners more the helping predicted well-being outcomes,
as more autonomy supportive tended to make greater not only in the helper but also in the recipient of
improvements in health behaviors and outcomes. that help. Martela and Ryan (2016) showed in further
A meta-analysis indicated, in fact, that practitioner experiments that helping others, even when you
autonomy support led to greater autonomous moti- know you will never meet them, enhances personal
vation for behavior change across varied health- well-being, an effect largely mediated by basic need
related problems (Ng et al,  2012). For example, satisfactions. In short, there is ample evidence that
when practitioners (e.g., physicians, nurses, health giving to and caring for others can be very positive
counselors, dental professionals) were perceived as for both the giver and the receiver, so long as the
autonomy supportive, patients were more likely to giver is autonomous in her or his actions.
quit smoking (e.g., Williams, McGregor, Sharp,
Levesque, et al.,  2006), more effectively regulated Intrinsic and Extrinsic Life Goals
their glucose levels (e.g., Williams, McGregor, Findings concerning the beneficial effects of giving to
Zeldman, Freedman, & Deci, 2004), achieved and others suggest that different lifestyles and goal pur-
maintained more weight loss (Williams, Grow, suits may yield differential basic need satisfactions

96 THE NATURE AND THE CONDITIONS OF HUMAN Autonomy and FLOURISHING

and thus have different effects on wellness. Although the satisfaction of the basic psychological needs.
SDT focuses primarily on the why of people’s goals Personal growth, for example, is closely related to
and behaviors (i.e., on autonomous versus controlled becoming more integrated and autonomous, as well
motivations), also studied are the contents of peo- as more competent and, most likely, more related to
ple’s goals, or the what of behavior. A central notion others. Further, both meaningful relationships and
is that, because the effects of any behavior on wellness community involvement are strongly tied to satis-
are mediated by basic psychological need satisfactions, faction of relatedness and are also likely to be asso-
“not all goals are created equal” (R. M. Ryan, Sheldon, ciated with people feeling more autonomous and
Kasser, & Deci, 1996); some goals are more directly competent to the extent that the goals are pursued
satisfying of basic needs, whereas other goals can fail volitionally (e.g., Weinstein & Ryan, 2010). In con-
to satisfy and even thwart basic need satisfaction. trast, extrinsic aspirations are, at best, only indirectly
related to basic need satisfaction and may in many
Pursuing Intrinsic and Extrinsic cases be antagonistic to it. For example, the pursuit
Aspirations of wealth is likely to leave people feeling less auton-
Especially studied in this regard are people’s aspira- omous, as acting in the service of monetary rewards
tions or life goals. Kasser and Ryan (1996) found has been shown to undermine autonomy (e.g.,
that, when participants reported how much impor- Sheldon & Krieger, 2014). Further, the time devoted
tance they placed on a variety of life goals, the to the pursuit of wealth and consumption (Brown,
goals separated into two factors referred to as Kasser, Ryan, & Konow, 2016) is likely to interfere
­extrinsic and intrinsic aspirations or life goals. The with basic need satisfaction. Similar arguments can
extrinsic aspirations that have been studied most be made for fame and image when they are highly
are accumulating wealth, becoming popular or valued life goals. This idea that intrinsic and extrin-
famous, or having an attractive image. Intrinsic sic goals exert influences on wellness through
goals that have received empirical attention include their impact on basic need satisfactions finds sub-
personal growth, meaningful relationships, con- stantial empirical support across cultures (e.g., Li &
tributing to one’s community, and physical health. Feng, 2018).
Research has confirmed that the relative strength
of the extrinsic versus ­intrinsic life goal pursuits Attaining Intrinsic and Extrinsic
reliably predicts psychological health and well-being. Aspirations
The stronger one’s aspirations for extrinsic relative Niemiec, Ryan, and Deci (2009) examined how
to intrinsic goals are, the lower one’s self-esteem, ­attainment (rather than pursuit) of intrinsic versus
vitality, and self-­actualization and the higher one’s extrinsic aspirations contributes to wellness. They
symptoms of ­depression, anxiety, and narcissism, followed young adults beginning 1 year after they
among other outcomes (e.g., Kasser & Ryan, 1993, had graduated from college (Time 1) and ending
1996, 2001; McHoskey, 1999). 1 year after that (Time 2). At both time points, four
We first note that, on average, extrinsic goals tend concepts were assessed: (a) the personal importance
to be less autonomous. People often pursue these of intrinsic and extrinsic goals; (b) the level of
goals out of social pressure, introjects, and other ­attainment of intrinsic and extrinsic goals; (c) the
controlled motives. Yet there is also an effect of the satisfaction of the basic psychological needs; and
goal content itself. For example, Sheldon, Ryan, (d)  indicators of well-being and ill-being. Results
Deci, and Kasser (2004) reported three studies showed first that the importance people place on
showing first that, as predicted, people more ori- goals at Time 1 strongly predicted attainment of those
ented toward extrinsic goals tended to be more con- goals at Time 2, and this was true for both intrinsic
trolled in their motives and those oriented toward and extrinsic goals. The graduates tended to attain
intrinsic goals tended to be more autonomous. When that which they considered important. Second,
both the goal contents and the relative autonomy of ­increases in the attainment of intrinsic goals over
motives for pursuing them were entered simultane- the year related to increases in well-being and to
ously into regression analyses, results showed that ­decreases in ill-being over that same period. In con-
both accounted for independent variance in well-­ trast, increases in attainment of extrinsic goals did
being. That is, both what people pursue and why not predict increases in well-being, but did predict
they pursue it make a difference in their well-being. symptoms of ill-being. Finally, results showed that
The SDT interpretation of the results for aspira- the relations between changes in intrinsic goal attain-
tions is that the intrinsic goals are directly related to ment and changes in well-being were mediated

RYAN, RYAN, DI DOMENICO, AND DECI 97

by changes in the satisfaction of basic psychological they tend to become more oriented toward extrinsic
needs (Niemiec et al., 2009). This study thus offers goals to compensate. Unfortunately, becoming more
a warning: Be careful what you wish for because strongly oriented toward extrinsic aspirations causes
people tend to attain the goals they value, but the greater need frustration and poorer outcomes,
consequences of doing so may be less positive than ­perpetuating a cyclical negative dynamic of need
they expect. frustration (e.g., see Kasser et al., 2014; Sheldon &
Such findings extend across the life span. Van Krieger, 2014).
Hiel & Vansteenkiste (2009) presented two studies
with older adults, inquiring about their intrinsic Neural Mechanisms Underlying
and extrinsic goal attainments. Results indicated Autonomous and Controlled Motivations
that, whereas intrinsic attainments predicted greater Many of the studies we have reviewed thus far focus
subjective wellness and ego integrity and lower on behavioral and psychological variables and their
symptoms of despair and death anxiety, extrinsic associations or causal relations. Still, the science of
attainments did not contribute to wellness and did motivation requires consilience (R. M. Ryan & Di
not buffer against ill-being symptoms or death Domenico, 2016) and this includes understanding
anxieties. the biological mechanisms underlying different
types of motivation. Research on the neurobiology
Contextual Effect on Intrinsic and of learning and motivation has traditionally adopted
Extrinsic Aspirations a neobehaviorist stance, focusing almost exclusively
We have seen that having a strong extrinsic life-goal on what SDT describes as externally regulated
orientation tends to thwart basic psychological need ­behaviors (for an exception, see Panksepp, 1998).
satisfaction, resulting in more negative outcomes. However, a fast-growing area of research has begun
The SDT perspective suggests that it is also the case elucidating the neural mechanisms associated with
that the development of a strong extrinsic life-goal the other types of motivation specified within the
orientation tends to result from the thwarting of SDT taxonomy.
basic psychological need satisfaction over time. Basic Studies on the neural underpinnings of intrinsic
need thwarting creates a sense of anxiety and inade- motivation specifically have proliferated in recent
quacy that leads to the pursuit of external indicators years. Di Domenico and Ryan (2017) reviewed
of worth to make up for the lack of feelings of inner this burgeoning area of work and derived two work-
worth. For example, Kasser, Ryan, Zax, and Sameroff ing hypotheses to help guide future studies. First,
(1995) studied teenagers’ extrinsic aspiration for intrinsic motivation appears to be partially mediated
wealth relative to intrinsic aspirations for growth, by midbrain dopaminergic function. Dopamine is
relatedness, and community. They found that teens known to be associated with exploration, affectively
who placed the strongest importance on wealth had energized seeking behaviors, cognitive flexibility, and
mothers who, according to reports from both the behavioral persistence (e.g., Ashby, Isen, & Turken,
adolescents and their mothers, were more authori- 1999; Panksepp, 1998; Salamone & Correa, 2016)—
tarian, controlling, and cold. This early thwarting of factors that characterize intrinsic motivation. Several
children’s basic need satisfaction was assumed to create neuroimaging studies show that during intrinsically
an inner insecurity in the children for which their motivated activities, core regions of the dopaminergic
strong extrinsic aspirations attempted to compensate. system are preferentially activated. These studies offer
Williams, Cox, Hedberg, and Deci (2000) simi- indirect support for the involvement of dopamine
larly found that adolescents who rated their parents during intrinsic motivation. For example, using
as low in autonomy support placed stronger impor- functional magnetic resonance imaging, Murayama
tance on extrinsic relative to intrinsic aspirations. et al. (2010) found that intrinsic motivation was
This, in turn, was associated with the adolescents associated with activity in striatal regions and that
engaging in more risky behaviors such as tobacco its undermining was associated with reductions in
use, alcohol consumption, and sexual intercourse. the activity of these regions and in the midbrain.
Sheldon and Kasser (2008) found that when college Di Domenico and Ryan (2017) surmised that one
students experienced psychological threats (includ- branch of the dopaminergic system, namely, that
ing existential, financial, and interpersonal threats) responsible for coding signals of motivational value
they tended to become more strongly focused on (Bromberg-Martin, Matsumoto, & Hikosaka, 2010),
extrinsic life goals. It seems from these various studies may be particularly important for the sense of com-
that when people experience thwarting of basic needs, petence experienced during intrinsic motivation

98 THE NATURE AND THE CONDITIONS OF HUMAN Autonomy and FLOURISHING

(Ryan & Moller, 2016). Specifically, the neurons of dynamic switching is mediated by the anterior insula
this dopamine pathway are phasically excited by (Menon & Uddin, 2010; Menon, 2015). Interestingly,
unexpected rewarding stimuli and inhibited by the anterior insula receives convergent sensory and
­unexpected aversive stimuli. Because intrinsically visceral inputs, aligning its possible involvement in
motivated activities are optimally challenging, behav­ intrinsic motivation with classic organismic accounts
ioral performance during such activities is not (e.g., Rogers,  1961) that emphasize the embodied
entirely predictable, and task-inherent feedback
­ nature of authentic behavior as a state in which vis-
(R.  M.  Ryan & Deci,  2017), both positive and ceral information is permitted to access and direct
­negative, may be registered along this dopamine one’s attention. Di Domenico and Ryan (2017)
pathway (Tricomi & DePasque, 2016). Di Domenico found that existing neuroimaging findings offer pre-
and Ryan (2017) further surmised that another branch liminary support for the idea that intrinsic motiva-
of the dopaminergic system, namely, that responsible tion is associated with preferential engagement of
for coding signals of motivational salience (Bromberg- the cognitive executive network and diminished
Martin et al. 2010), may be especially important for activity in the default mode network. Additional
the experience of interest during intrinsic motivation. studies also indicate the involvement of the ante-
The midbrain dopamine neurons at the base of this rior insula during intrinsic motivation (see Lee &
pathway are phasically excited by both unexpected Reeve, 2017).
rewarding and punishing events and project to the Integrated functioning is also beginning to be
dorsal striatum and dorsolateral prefrontal cortex, studied from a neurobiological perspective. When
regions that support the orienting of attention, cog- behaving in an integrated manner, one’s behavior is
nitive processing, and the invigoration of actions. informed by one’s abiding goals and values. The
This pathway has been implicated in the experience MPFC (Brodmann’s area 10) is therefore of particu-
of interest, curiosity, and exploratory engagement lar relevance given its role in self-referential cogni-
(DeYoung, 2013) and thereby holds direct relevance tion (Northoff et al., 2006). Indeed, Di Domenico,
for intrinsic motivation. Fournier, Ayaz, and Ruocco (2013) found that
Zooming out from the microscopic level of young adults experiencing more need satisfactions
­neurons and neurotransmitter pathways, intrinsic in daily life exhibited greater activity in the MPFC
motivation appears to be associated with specific (Brodmann’s area 10) when deciding between con-
large-scale neural networks—a second hypothesis flicting career paths. Because the MPFC is believed
derived in Di Domenico and Ryan’s (2017) review. to play a role in accessing the self-knowledge neces-
In its most experientially concentrated form, intrinsic sary to make self-congruent choices, its preferential
motivation entails absorption and non-self-conscious recruitment in people experiencing greater need
enjoyment of activities (Csikszentmihalyi, 1990; satisfactions stands as support for the SDT idea
R.  M. Ryan & Deci,  2017). This phenomenology that need satisfactions facilitate capacities for self-
suggests reduced activity of the default mode net- endorsed action. In follow-up research using event-
work, which is reliably recruited during self-focused related potentials, Di Domenico, Le, Liu, Ayaz, and
attention and has major cortical nodes in the medial Fournier (2016) found that need satisfactions were
prefrontal cortex (MPFC) and posterior cingulate also associated with enhanced conflict-related activ-
cortex. Additionally, because intrinsic motivation is ity in the anterior cingulate cortex, suggesting that
associated with enhanced performance, cognitive need-fulfilled individuals are adaptively receptive to
flexibility, and deeper conceptual learning, Di externally imposed situations that challenge their
Domenico and Ryan (2017) surmised that it ought abilities for self-congruent decision-making.
to involve the cognitive executive network, which In another study, Di Domenico et al. (2018)
includes the dorsolateral prefrontal cortex and used functional near-infrared spectroscopy to study
­posterior parietal cortex (Menon, 2015; Menon & how people integrate mental representations of their
Uddin, 2010). These areas are important substrates remembered past, perceived present, and imagined
for working memory and executive function and future identities. The researchers found that among
are  engaged when one’s attention is focused on people who experience greater need satisfaction,
the  ­performance of cognitively demanding tasks. the  MPFC (Brodmann’s area 10) processed these
The default mode network and cognitive executive ­temporally diverse identities in a more consistent
­network seem to operate antagonistically, such manner, suggesting greater identity integration across
that activity in one is associated with reductions of time. Even introjection is revealing distinct neural
­activity in the other, and studies indicate that this mappings. For example, using functional magnetic

RYAN, RYAN, DI DOMENICO, AND DECI 99

resonance imaging, Quirin et al. (2018) found that to relate to and support their students, with costs to
whereas recognition of self-chosen goals involved the classroom motivation and student wellness (e.g.,
right ventromedial prefrontal cortex, recognition of see  Pelletier, Séguin-Lévesque, & Legault,  2002).
others’ expectations involved the left. Most centrally, Principals are similarly embedded within school
these researchers found that introjected expectations ­districts and the key administrators of the districts
involved ventromedial prefrontal cortex bilaterally affect the behaviors, motivations, and experiences of
as well as the dorsal anterior cingulate cortex. principals (Chang, Leach, & Anderman,  2015).
Together, findings from these studies offer a begin- District administrators, in turn, are impacted by local,
ning sketch of the neural architecture of autono- state, and national government policies, which them-
mous regulation and integrated decision-making in selves tend to be either autonomy supportive or
which brain regions associated with the processing controlling, shaping their relations with principals.
of self-relevant information and conflict processing This chain of top-down effects on student motiva-
play a central role. More generally, these studies show tion illustrates the layered nature of social contexts.
the promise of combining strong psychological These high-level influences on individuals’ need
theory with new methods of neuroscience to form a satisfaction are concretely illustrated by government
two-way street of knowledge (Reeve & Lee,  2019, policies concerning high-stakes testing (Ryan &
Chapter 20). Brown,  2005). Considerable evidence shows that
high-stakes testing has largely had a coercive and
Pervasive Influences ­negative influence on educational administrators’ au-
Certainly, proximal social contexts—our immediate tonomy and on teachers’ classroom practices (Korentz,
interpersonal worlds—provide the most phenome- 2017). The emphasis on high-stakes tests has resulted
nally salient experiences of autonomy support and in more teaching “to the test,” less teacher autonomy
control and have direct effects on wellness. For and job satisfaction, and, at the bottom of this
­example, consider findings by Ferguson, Kasser and chain of controlling forces, lower ­engagement and
Jahng (2011) showing that, across adolescent sam- autonomy among students (Deci & Ryan,  2016;
ples from Denmark, South Korea, and the United R.  M.  Ryan & Weinstein,  2009). In  short, distal
States, autonomy support from both parents and government policies affect students’ motivation and
teachers predicted life satisfaction and school satis- wellness, primarily via mediation by intervening
faction. After studying Russian and American high contexts (viz., district administrators, principals,
school students, Chirkov and Ryan (2001) found and teachers). This is true not only in relation to
similar results. Indeed, the majority of research within education; one sees similar embedded context
SDT has focused on proximal social contexts and ­affects in relation to work organizations, health care
the salient people within them: parents, teachers, practices, and many other domains.
coaches, managers, friends, physicians, and partners. Cultural elements also affect need satisfaction. For
Yet each of these interpersonal contexts is example, cultures of consumerism and individualism
­embedded within other, more pervasive, environ- appear to be associated with people’s adoption of
ments. The cultural, economic, and political contexts extrinsic goals, yielding negative outcomes. Similarly,
within which such proximal interactions occur have cultures characterized by more authoritarian attitudes
­substantial, if often hidden, roles in supporting or translate into less autonomy support in family and
thwarting fulfillment of people’s basic psychological educational contexts, disrupting autonomous moti-
needs. These pervasive influences set the horizons vation and lowering well-being. Indeed, SDT argues
on people’s possibilities, shape the contents of their that any cultural attribute or norm can be examined
aspirations, and introduce norms, constraints, and for its impact on need satisfaction and frustration
policies that facilitate or diminish need fulfillment and, thus, on motivation and wellness. Such relations
(R. M. Ryan, Di Domenico, Ryan, & Deci, 2017). are undoubtedly mediated by myriad proximal
For example, classroom teachers create the inter- translations and influences.
personal climate that most directly affects the aca- Cultures and countries differ not only in their
demic motivation of students on a daily basis. Yet ambient values, but also in their economic systems
these teachers are embedded within schools where (e.g., capitalism, socialism) and political systems
key administrators create broader climates, affecting (e.g., democracy, totalitarianism), which impact
the teachers’ motivation, goals, and behaviors. Self- individuals—from the everyday motivations of
­
determination theory research has documented how workers to the value systems and lifestyles embraced
these administrative contexts affect teachers’ ability by their citizens (e.g. Kasser, Cohn, Kanner, &

100 THE NATURE AND THE CONDITIONS OF HUMAN Autonomy and FLOURISHING
Ryan,  2007; Vansteenkiste, Ryan, & Deci,  2008). collectivistic value such as filial piety can be differently
Further, countries typically create laws that are con- defined and transmitted, with differential impact on
gruent with the economic and/or political systems need satisfaction.
and that either constrain or support the growth of
competencies, the abilities of citizens to affiliate and culture, aspirations, and well-being
connect, and the exercise of people’s autonomy. The issue of broader contextual effects and well-­
These laws thus affect the wellness and effectiveness being can also be addressed with respect to aspira-
of the citizens. Because of these relations, SDT tions or life goals. The goals of wealth, fame, and
research has been increasingly examining how
­ image are very central to what we think of as the
­cultural, economic, and political contexts and values American dream—that is, the set of values U.S. culture
affect and characterize individual motivation and and its economic system promotes (Kasser et al.,
behaviors. 2007). The advertising and marketing industry
within America has become enormous and its pri-
cultural values mary purpose is to get people to buy more goods
Chirkov et al. (2003) examined the relations of and services that represent external indicators of
cultural values to the well-being of individuals in worth—namely, appearing attractive, wealthy, and
four cultures, South Korea, Russia, Turkey, and the popular, values generally associated with dimin-
United States. In focus were differences in individ- ished basic psychological need satisfactions.
ualism or collectivism and whether the societies Twenge et al. (2010) examined cultural trends
were more horizontal or vertical authority struc- in the mental health of U.S. college students over
tures. The researchers found first that, even though 7 decades. They found a rather disconcerting pattern:
the cultures differed in terms of the values placed Over this period, U.S. students evidenced increases
on individualism versus collectivism, in each cul- in symptoms of depression, anxiety, and antisocial
ture the degree to which people had internalized tendencies. Examining factors that might account
the values predicted individual wellness. Chirkov for this negative trend, they ruled out numerous
et al. (2003) further found that vertical structures issues, from prosperity to family structure. These
were, on average, more difficult to internalize than authors concluded that the increasing shift toward
horizontal structures, suggesting that a vertical or poorer mental health and psychopathology may be
hierarchical system is likely (though not invari- “due to an increased focus on money, appearance,
antly) to be experienced as more controlling than a and status rather than on community and close
horizontal system. This is merely an on-average ­relationships” (p. 153). That is, the slide toward
finding, and it remains for the issue of hierarchy to more extrinsic life goals appears to have led, at least
be disentangled from the experience of autonomy in this U.S. cultural subgroup, to greater distress and
versus control at the cultural level. In principle, lower wellness.
­according to SDT, one could congruently assent to
some hierarchical arrangements without losing a cultural values and need satisfaction
sense of autonomy (R.  M.  Ryan & Deci,  2017). Together, these findings about cultures and values
This kind of integrated identification with a hier- are important because they suggest that cultures play
archical structure would be facilitated by authori- a role in whether people can experience satisfaction
ties who behave in need-supporting ways. of their basic needs. This research further suggests
Such nuances were illustrated in research in by that having the need for autonomy satisfied in any
Pan, Gauvain, and Schwartz (2013), who investigated culture, regardless of the culture’s specific values,
the phenomenon of filial piety, or respect, care, and contributes to psychological wellness. Conversely,
honor for one’s parents, a common attribute in studies show that people feel more estranged from
many of the Chinese families they studied. The and less accepting of their cultures to the degree that
­researchers found that when filial piety was empha- their basic needs are thwarted (e.g., Chirkov, Ryan, &
sized in terms of respecting and caring for parents, Willness, 2005). Thus, one basis for alienation and
it was associated with autonomous motivation, an instability within any culture may be the extent to
outcome mediated by parental autonomy support. which the culture’s ambient values and behavioral
In contrast, when the emphasis of filial piety was regulations fail to support or facilitate opportunities
on upholding parents’ honor and reputation, it was for basic need satisfaction among its constituents.
associated with less autonomy, a relation mediated by It can be treacherous for social scientists to
greater parental control. It seems that a hierarchical, evaluate others’ cultural practices and value systems.

RYAN, RYAN, DI DOMENICO, AND DECI 101

Many scholars today ascribe to a strong cultural the system more effective and generative. Autonomy,
­relativism that maintains that it is not appropriate to too, is evident in the freedom to pursue innovation
evaluate any cultural milieu from the outside. and expression and is enriched by shared ideas and
In this regard, SDT is in a particularly interesting flow of information. Autonomy, that is, can be an
position. Autonomy support means taking the engine of growth (Sen, 1999). A further issue within
­internal frame of reference and supporting the economic systems is how well the economy (a) pro-
self-regulation of others so they can experience vides resources to individuals for the pursuit of their
and  pursue their preferred values and life projects valued aims and (b) how equitably these resources
(Craven et al., 2016). Self-determination theory also are distributed.
postulates that basic need satisfactions are univer- Although these issues are just beginning to be
sally required for thriving. As we have specified, this empirically explored within SDT, recent studies
stance allows that these needs can be supported and are promising. For example, DeHaan et al. (2016)
fulfilled in different ways across different cultures used an existing assessment of Nussbaum’s capa-
(Reeve, Ryan, & Deci,  2018). Self-determination bilities developed by Anand et al. (2009) and
theory thus does not impose particular contents or showed that across samples from both India and
values, but rather is specifying a criterion for evaluat- the United States, capabilities predicted well-being.
ing the likely effects of any cultural value or practice, Basic need satisfactions and frustrations also pre-
namely, the extent to which that value or practice dicted well-being and further basic need satisfaction
supports or thwarts satisfaction of the basic needs mediated much of the effect of capabilities on
underlying growth, integrity, and wellness. This is wellness. Di Domenico and Fournier (2014) simi-
always an empirical question and one requiring larly examined the mediational role of psychological
­understanding distinct worldviews and their varied needs in how socioeconomic factors and perceived
affordances (R. M. Ryan & Deci, 2017). inequalities a­ffected well-being. They found that
household income, perceived economic status, and
Economic and Political Systems income inequalities in people’s geographic area
Just as cultural systems set affordances, constraints, were all related to well-being outcomes. Most
and boundaries that affect people’s pursuit and ­important for the current discussion, these effects
­attainment of basic need satisfactions, so too do were largely mediated by autonomy, competence,
­economic and political systems. From the way in and relatedness satisfactions.
which work is managed and regulated to the macro Although SDT research on political structures is
arrangements responsible for distributing wealth rare, DeHaan, Ryan, and Curren (2018) recently
and caring for citizens, SDT takes interest in how investigated the issue of perceived political and
various political and economic structures support or human rights across five samples from diverse
thwart people’s basic psychological needs (Downie, ­nations as they impacted individuals’ need satisfac-
Koestner, & Chua, 2007; R. M. Ryan & Deci, 2017). tion and frustration. They used a new measure of
Like other contemporary need approaches (Dover, Nussbaum’s conceptions of capabilities, namely the
2016), SDT uses its basic need constructs as medi- OCAP-18 (Lorgelly, Lorimer, Fenwick, Briggs, &
ating factors to link distal economic structures to Anand, 2015). Also, as part of these studies, DeHaan
the outcomes of particular individuals and commu- et al. (2018) introduced a measure of the perceived
nities (e.g., Deci et al., 2001; Gomez-Baya & Lucia- affordance of human rights based on Rawls’s (2001)
Casademunt, 2018; Kasser et al., 2007). conception of primary goods. Regarding capabilities,
Self-determination theory research makes a they showed that the new measure predicted indi-
­compelling case for the significant role played by vidual well-being. Further, this relation was largely
autonomy in both fostering creative development mediated by basic need satisfactions and frustrations,
and amplifying “human capital” within an eco- replicating DeHaan et al.’s (2016) findings. Perceived
nomic system. Within the workplace, we know, for affordance of primary goods also predicted wellness,
example, that autonomy maximizes creativity and a result fully mediated by SDT’s basic needs.
flexible problem solving (Deci et al., 2017; Rigby & To summarize, theory and research on social
Ryan, 2018). Similarly, at a systems level, provision contexts—across levels of analysis from dyads to
of resources, choice, and opportunities to develop cultures—indicates that, to the degree that environ-
competence (e.g., education, training) allows indi- mental factors are experienced as need supportive,
viduals to cultivate their capabilities (Nussbaum, 2011) they will foster greater autonomous motivation, more
to pursue what matters to them, which overall makes intrinsic aspirations, more effective performance,

102 THE NATURE AND THE CONDITIONS OF HUMAN Autonomy and FLOURISHING
and higher well-being. Our analysis also points violent content. Even engagement with ­television
to the embedded nature of contexts and suggests drama seems in part driven by need satisfactions
that the varied levels of analysis that support versus (Adachi, Ryan, Frye, McClurg, & Rigby, 2018).
thwart human needs must be considered. At the These examples show how SDT research is always in
broadest level, cultural, economic, and political sys- search of sources, moderators, and obstacles to basic
tems have substantial influences on individuals both need satisfactions across the varied activities of life.
directly and as mediated by basic need satisfactions. Although need satisfaction supplies the essential
nutriments for growth, integrity, and wellness, active
Basic Psychological Needs thwarting of needs produces a range of negative
In support of the assertion that there are three outcomes, from defensiveness and aggression to
­universal psychological needs, we have reviewed psychopathology (Bartholomew, Ntoumanis, Ryan,
evidence drawn from diverse cultures and settings & Thøgersen-Ntoumani,  2011; Ryan et al.,  2016).
indicating that when social contexts support peo- Indeed, from an SDT view, behaviors such as aggres-
ple’s basic psychological needs, people tend to thrive, sion and violence are not themselves inherently
whereas when needs are thwarted, distress and ­motivated (Przybylski et al., 2009; R. M. Ryan &
even psychopathology can result (Ryan, Deci, & Deci, 2017), but are instead typically consequences
Vansteenkiste, 2016; Vansteenkiste & Ryan, 2013). of need thwarting. That is, people are prone to aggres-
In line with this, various studies have examined sion whenever needs for autonomy, competence, or
need satisfaction as a mediator both between relatedness are frustrated or threatened, rather than
­autonomy-supportive contexts and well-being and because it is an inherent drive or need. More gener-
between the pursuit and attainment of intrinsic ally, the dark sides of human behavior can typically
versus extrinsic aspirations and positive outcomes. be traced to persistent or severe need frustration
Using multilevel modeling, studies of within- and the substitute needs or compensatory activities
person need satisfaction over time (e.g., Reis, Sheldon, ­related to it (R. M. Ryan & Deci, 2000b, 2017).
Gable, Roscoe, & Ryan,  2000; Sheldon, Ryan, &
Reis, 1996) have further found that in addition to Awareness as an Important Part of
between-person relations of need satisfaction to Autonomy and Well-Being
well-being, daily fluctuations in satisfaction of each Reviewing the powerful effects of proximal and
of the needs predict unique variance in daily distal contexts on human motivation, performance,
well-being. In moments when people experience and wellness, as mediated by basic psychological need
satisfaction of their basic psychological needs, they satisfaction, might seem to suggest a very determin-
feel happier and even physically healthier. For istic or even passive view of human nature. But it
­example, Ryan, Bernstein, and Brown (2010) demon- bears repeating that SDT assumes that people have
strated that the weekend effect—in which U.S. workers an active, growth-oriented, challenge-seeking nature.
experienced greater vitality and positive mood on It is only when they experience pervasive conditions
weekends—is primarily a function of the low auton- of threat and need thwarting that defensive behav-
omy and relatedness satisfactions most workers iors, need substitutes, and controlled orientations are
­experience in their Monday-through-Friday jobs. catalyzed. When needs are satisfied, the inherent,
This brings us back to our earlier point that ­although active, and growth-oriented processes flourish.
capitalism offers its constituents choices and options, Part of the active nature involves the development
many of the vocations that are available and that of integrative awareness (Hodgins & Knee, 2002).
people “have to” adopt involve jobs that thwart According to SDT, autonomy is facilitated by
psychological needs. awareness, which entails the authentic attempt to
Need satisfaction also turns up in odd places. For experience what is occurring within and around
example, having identified that exposure to natural oneself. It is a relaxed and interested attention to
elements engenders greater vitality (Ryan, Weinstein, what is happening both within and without. One
et al.,  2010), Weinstein, Przybylski, and Ryan concept closely aligned with such awareness is
(2009) showed that these positive effects were at mindfulness, which refers to an open, receptive stance
least partially a result of the increased autonomy regarding what is occurring in any given moment
and connectedness people feel when nature is salient (Brown & Ryan,  2003). Research has shown that
to them. Przybylski, Ryan, and Rigby (2009) found mindfulness is associated with enhanced autono-
that psychological need satisfaction could derive from mous functioning—that is, people are more likely
certain elements in video games, but not from their to act in accord with abiding values and interests

RYAN, RYAN, DI DOMENICO, AND DECI 103

when they are mindful (e.g., Niemiec et al., 2010). interpersonal, institutional, and societal contexts
Moreover, mindfulness is associated with less focus that either support or thwart satisfaction of these
on extrinsic values, more effective coping, and greater needs. Such inquiries provide a basis for creating
wellness, again in part because of its enhancement systems—ranging, for example, from schools and
of autonomous functioning (Weinstein, Brown, & corporations to political policies—that conduce
Ryan, 2009). Mindfulness has been shown to some- toward satisfaction of the basic psychological need
times buffer people from poor motivational condi- and thus support people’s thriving.
tions (e.g., controlling mangers; Schultz, Ryan, Such studies can also inform us personally.
Niemiec, Legate, & Williams,  2015). As such, Through greater understanding of how social envi-
awareness or mindfulness represents a tool making ronments can affect individuals, both psychologically
oneself less vulnerable to the controlling and amoti- and neurologically, people may be more able to
vating forces that can be all too prevalent in social make informed choices and avoid or resist vitality-
environments. thwarting contexts and pressures. Thus, although we
have emphasized social–contextual effects, we are
summary and conclusions equally as interested in people expanding their own
We have provided an overview of SDT, arguing awareness, for example, through mindfulness
that the distinction between autonomous and con- training, psychotherapy, and other methods of
trolled forms of motivation is crucial for making self-development, to be more autonomous in man-
predictions about people’s quality of performance aging their own emotions (e.g., Roth et al., 2018),
and experience. We described intrinsic, integrated, sense of meaning (Martela, Ryan, & Steger, 2017),
and identified forms of autonomous motivation, as and, more generally, their life trajectories.
well as external and introjected forms of controlled The increasingly global economic trends in the
motivation. Considerable research has verified that early 21st century portend increased concentrations
more autonomous motivation generally leads to more of wealth and power in the hands of a few and raise
positive consequences than controlled motivation. concerns about increased top-down control and
We then discussed research on people’s life goals ­deprivations of autonomy, which is a threat to both
or aspirations, particularly goals that fall into two national (Downie, Koestner, & Chua,  2007) and
categories: extrinsic aspirations (e.g., wealth, fame, personal wellness (Twenge et al., 2010). Yet there are
and image) and intrinsic aspirations (e.g., growth, potentially offsetting trends as well. We live in a
relationships, and community). Pursuit and attain- world of fast connections and instant communica-
ment of extrinsic, relative to intrinsic, aspirations have tions that allow for much personal expression as
been shown to be associated with poorer psycholog- well as bottom-up organization (e.g., Tapscott &
ical health, as intrinsic aspirations more directly Williams,  2006). In the context of these complex
lead to satisfaction of basic psychological needs, forces, understanding the basic needs of persons
whereas extrinsic aspirations may fail to satisfy and that are essential to wellness is crucial for interven-
even frustrate basic need satisfactions. tions from levels of global policy to individual psy-
People’s autonomous and controlled motivations, chotherapy. The hope is that self-determination
as well as their intrinsic and extrinsic life goals, are theory research informs personal practices, social
influenced to a significant degree both in the imme- policies, and real-world interventions and, in doing
diate situation and developmentally over time, by so, promotes more optimal functioning and well-
the degree to which their social contexts support ness of persons and the communities within which
versus thwart basic psychological needs for compe- they are embedded.
tence, relatedness, and autonomy. We reviewed
research indicating that such social contextual effects
happen at both proximal settings as well as through References
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110 THE NATURE AND THE CONDITIONS OF HUMAN Autonomy and FLOURISHING
 P A R T 
3
Motivational Processes
 CH A PT ER

7 Ego Depletion
Theory and Evidence

Mark Muraven, Jacek Buczny, and Kyle F. Law

Abstract

Self-control all too often fails. Despite people’s best intentions and considerable negative outcomes,
people often find themselves at the losing end of resisting temptation, combating urges, and changing
their behavior. One reason for these failures may be that exerting self-control depletes a limited
resource (ego depletion) that is necessary for the success of self-control. Hence, after exerting
self-control, individuals are less able resist temptations, fight urges, or stop a behavior that results in
a loss of self-control. This chapter reviews the evidence for this theory in a wide variety of domains
and examines what behaviors appear to deplete ego strength and how depletion affects behavior.
A comprehensive theory that examines how depletion operates is put forth and used to examine
some factors that might moderate the depletion effect.
Keywords:  self-control, ego depletion, willpower, motivation, conflicting goals

Introduction more desired state in the future. That is, the organism
As most people can attest, dieting, quitting smoking, is seeking to gain a larger but delayed reward over
controlling one’s temper, and working instead of a  smaller but more immediate reward. To do so,
playing are not easy. In fact, it often feels quite diffi- the organism must resist the temptation to take the
cult to avoid immediate, pressing, or easy behaviors immediate reward. Self-control is the process that
to follow self-imposed or externally imposed rules, allows this to happen (Kanfer & Karoly,  1972;
get along with others, or reach long-range goals. Mischel, Shoda, & Rodriguez, 1989).
Moreover, such self-control efforts fail all too often. The ability to exert self-control is one of the
The point of the strength model of self-control critical features that differentiates humans from
(Muraven & Baumeister, 2000) is to describe how other organisms (Baumeister, 1998, 2005). Although
people resist such temptations and understand why other animals can exert self-control (for instance,
fails (and why it succeeds) and what can be done to squirrels burying nuts for the winter), the self-control
improve self-control. demands on humans are much greater than the
Self-control is the process that enables organisms self-control demands on these other animals. Indeed,
to override, inhibit, or stop urges, emotions and it has been argued (Sedikides & Skowronski, 1997)
moods, thoughts, or behaviors to reach a long-term that the growth in the ability to exert self-control
goal. These long-term goals can be personally set, drove the development of human cognition, society,
such as losing weight or succeeding in school, or can and the expansion of the self. Hence, understanding
be moral, interpersonal, or societal rules such as not how self-control operates can give us insight into
having premarital sex or not gossiping. Regardless many critical features of the human experience.
of the type of goal, it typically requires the individual Moreover, understanding self-control has im-
to forgo an immediate pleasure or desire to reach a mense practical benefits. Self-control is critical to

113
preventing the initiation and the cessation of ­addictive the noise that depleted the individual so that he or
behaviors (e.g., Brown,  1998; Wills, Sandy, & she was less able to deal with future demands.
Yaeger, 2002). Other research has illustrated the Such a depletion model can be contrasted with a
­importance of self-control in dieting (Heatherton, constant resource or skill model. These models would
Striepe, & Wittenberg, 1998), overspending (Faber, predict that self-control should not be affected by
1992), relationship problems (Finkel & Campbell, previous demands or may even get better as the
2001), violence (Stucke & Baumeister, 2006), and ­individual warms up and gains knowledge of the
crime (Gottfredson & Hirschi,  1990). Given that tasks. The depletion model specifically predicts an
many health problems can be linked to a lack of after-effect of exerting self-control. That is, even after
­exercise, smoking, and poor eating habits, it is the initial self-control demand has been removed
apparent that a lack of self-control is a major
­ and a new situation introduced, there should be a
­contributor to morbidity and mortality. Likewise, carry-over effect that leads to poorer self-control.
because many economic problems at both the Moreover, to be a unique prediction, this decline in
­personal and the societal level follow from over- performance should not arise from changes in mood,
spending, lack of consideration of future demands, arousal, frustration, self-efficacy, or other well-­
and educational underachievement, a better un- established psychological processes.
derstanding of how self-control operates is critical Extensive research has strongly suggested that
to our prosperity as well. the depletion model is the best fit for the observed
There have been many fruitful paths to under- data on self-control. In experimental studies, indi-
standing the nature of self-control. For example, viduals who exert self-control perform more poorly
Mischel and colleagues’ early research on the on subsequent tests of self-control compared to in-
marshmallow test (e.g., Mischel, Ebbesen, & Zeiss, dividuals who initially worked on a task that did not
1972) illustrated the developmental and cognitive require self-control. For example, Muraven, Collins,
underpinnings of self-control. Other researchers and Nienhaus (2002) had social drinkers either sup-
examined self-control from a decision-making press the thought of a white bear (a difficult thought
framework and tried to understand how people inhibition exercise; Wegner, Schneider, Carter, &
consider future actions and outcomes (e.g, Fujita, White, 1987) or solve addition problems. These tasks
Trope, Liberman, & Levin Sagi, 2006; Loewenstein did not differ in perceived unpleasantness, effort,
& Prelec, 1992). There also has been an extensive or  difficulty; the only reported difference was the
literature on the relationships among executive amount of self-control required. Subsequently, par-
functioning and self-control (Barkley, 1997; Nigg, ticipants were given the chance to drink alcohol, with
2016) that is particularly useful for understanding the caveat that afterward they would take a driving
the neurological underpinnings of self-control. simulator test and those who did well would win
a  prize. Compared to those who solved addition
Ego Strength problems, individuals who had to suppress their
Related to these areas of research, additional thoughts drank more and became more intoxicated.
­theorizing on the motivational underpinnings of This suggests that the exercise of suppressing thoughts
self-control suggested that people’s ability to resist led to poorer control over alcohol intake subse-
temptations should worsen over time (Baumeister, quently. Indeed, participants’ reports of the amount
Heatherton, & Tice, 1994). An examination of prior of self-control they exerted on the first task were
research found considerable support for that idea ­related to the amount of alcohol they consumed.
(Muraven & Baumeister, 2000). That is, after exerting However, reports of mood, arousal, frustration, and
self-control, subsequent attempts at self-control suffer. displeasure were not related to the amount drank.
For instance, research on the effects of environmental This strongly suggests that the loss of control over
stress (Glass, Singer, & Friedman, 1969) found that alcohol intake is being driven by the amount of
individuals who were exposed to uncontrollable or self-control exerted in the first part of the experiment.
unpredictable noise subsequently performed more The initial exertion of self-control only affects tasks
poorly on a test of persistence and frustration toler- that require self-control, further giving evidence to
ance, after being moved to a quiet location, than did the specificity of the depletion model. For instance,
individuals who had been exposed to a controllable people who strongly desire to drink alcohol must
or predictable noise. These researchers argued that it exert greater self-control not to drink than people
was not the noise per se that affected performance, who desire alcohol less. Hence, in the alcohol study
but rather the process of adapting and coping with (Muraven et al.,  2002), individuals who were not

114 EGO DEPLETION: THEORY AND EVIDENCE

very tempted to drink were less affected by the to questions about the causes of depletion. One
­initial exertion of self-control and drank less than ­consistent description of self-control is that depletion
individuals who were higher in temptation. That is, happens whenever an individual overrides, inhibits,
the initial act of self-control reduced subsequent stops, or changes a mood, urge, thought, or behavior.
self-control performance, but did not lead to a gen- Thus, it is critical to establish that there is some level
eral increase in alcohol intake (see also Muraven, of inhibition or behavior change in depletion para-
Collins, Shiffman, & Paty, 2005). Additional research digms. For example, at the most basic level, Baumeister
has further illustrated that difficult tasks that do not et al. (1998) showed that after resisting the tempta-
require self-control are unaffected by initial acts of tion of eating chocolate chip cookies, participants
self-control (Muraven, Shmueli, & Burkley, 2006). quit working on a frustrating puzzle sooner than
Given these results, it has been suggested (e.g., participants who had to resist eating radishes, which
Muraven & Baumeister,  2000) that exerting self-­ were not seen to be as tempting as the cookies. This
control may deplete a resource called ego strength suggests that overriding basic urges is depleting.
(alternatively called self-control strength). This hypo- Indeed, Muraven and Shmueli (2006) found a similar
thetical resource is critical to any and all attempts at effect for alcohol among social drinkers, with the
self-control. It is not needed for any activities except magnitude of the depletion effect being proportional
self-control. This ego strength is limited and the to participants’ self-reported desire to drink. Similar
amount of strength is critical to the success of patterns of depletion have been found for dieters
self-control, such that more is better. The exertion (Vohs & Heatherton, 2000), smokers (Hagger et al.,
of self-control depletes some of this resource, so that 2013), and the exertion of physical effort (Graham,
after engaging in self-control, the individual has less Martin Ginis, & Bray, 2017).
ego strength. People in this state are said to be ego
depleted (or just depleted). Interpersonal
If, indeed, the level of strength is critical to the However, research has shown that many other
success of self-control and the exertion of self-control ­situations are also associated with depletion. Again,
depletes some of this resource, it follows that after these situations are usually associated with some
exerting self-control, subsequent attempts at self-­ level of self-stopping or behavior change. One
control may be more likely to fail. A good amount ­particular area of interest is the depleting nature of
of research from around the world, using a variety interpersonal interactions. For instance, Vohs,
of methods, has found this pattern of results. Baumeister, and Ciarocco (2005) found that people
As noted, the observed effects do not appear to who had to present themselves as competent and
be a product of mood or arousal. In most studies, likeable to an audience motivated to believe otherwise
mood and arousal have not been found to differ were less able to regulate their emotions subsequently
­between participants who exerted self-control and compared to individuals who were asked to act
those who did not (e.g., Baumeister, Bratslavsky, naturally. Providing social support appears to de-
Muraven, & Tice, 1998; Muraven, Tice, & Baumeister, plete self-control capacity (Gosnell & Gable, 2017),
1998). Likewise, mood and arousal were not related perhaps for similar reasons. Similarly, engaging in
to final self-control performance. The same is true an interaction with a difficult, high-maintenance
for more specific mood items, such as frustration, confederate leads to greater depletion than interacting
irritation, annoyance, boredom, or interest. Likewise, with a more receptive person (Finkel et al., 2006).
Wallace and Baumeister (2002) directly manipulated Concealing information during an interview was
feedback about success and failure of the self-control also depleting (Critcher & Ferguson, 2014).
efforts and also found no effect. In short, the decline The difficulty of high-maintenance interactions
in self-control performance after exerting self-control seems to carry over to interracial interactions. Research
appears to be directly related to the amount of has found that interracial interactions lead to poorer
self-control exerted and cannot be easily explained performance subsequently on the Stroop interference
by other, well-established psychological processes. task compared to same-race interactions (Richeson &
Shelton, 2003; Richeson & Trawalter, 2005). This
What Causes Depletion effect seems to exist for Black as well as White in-
For conceptual clarity, it is critical to establish what dividuals (Richeson, Trawalter, & Shelton,  2005).
causes depletion. Indeed, some questions about the Being the target of prejudice and stigma also appears
robustness (see “Challenges to the Robustness of to be depleting, because individuals try to cope with
the Depletion Effect”) of the effect have come down the negative feelings and behaviors of being the

MURAVEN, BUCZNY, AND LAW 115

target of stigma (Inzlicht, McKay, & Aronson, 2007). Goldstein, Shapiro, & Bargh, 2009). Participants read
Even more powerful, people who were asked to os- a story about a waiter or waitress who was hungry
tracize someone by not talking to him or her quit but unable to eat the food that he or she served.
working on an unsolvable anagram task sooner than Half the participants were told to simply read the
people who did not have to ostracize someone story, whereas the other half were asked to imagine
(Ciarocco, Sommer, & Baumeister,  2001). These themselves as the waiter or waitress. The people who
studies suggest that self-presentation and maintaining imagined themselves as the hungry but self-denying
(or ending) relationships are tasks that often require server reported being more willing to overpay for
self-control. consumer products compared to those who merely
read the story. Although the exact mechanism for
Changing the Self this effect remains unclear (see “Consequences of
Other activities that require the individual to Depletion” for a further discussion of the nature of
change his or her behavior have also been found to self-control depletion), the researchers argued that
be depleting. For instance, as would be expected, imagining oneself exerting self-control may both
individuals who had to suppress their emotional ­activate expectancies about depletion and require
reactions to a film designed to evoke sadness ex- self-control (see also Graham, Sonne, & Bray, 2014;
hibited greater ­depletion than individuals who did Macrae et al., 2014). This further illustrates that we
not have to control their emotions (Muraven et al., must look beyond simple inhibition if we wish to
1998). However, individuals who had to control their understand all the situations that evoke self-control.
emotions and increase their sadness in response to A clear and precise definition of which situations
a video clip of animals dying in an environmental demand self-control would help greatly in our un-
disaster also ­exhibited greater depletion, as evi- derstanding of depletion.
denced by less p ­ ersistence on a frustrating task
subsequently. This indicates that the direction of Consequences of Depletion
control is far less ­important than the exercise of Understanding how a state of ego depletion affects
control. Subsequent research replicated this effect subsequent performance may also help to illuminate
with disgust (Schmeichel, Demaree, Robinson, & the processes involved in self-control. First, consist-
Pu, 2006), while indicating that these effects were ent with the definitions outlined above, the most
not because of arousal. Hence, behavior change in clear-cut consequence of depletion is a loss of
all its forms appears to be depleting. self-control. This has been demonstrated in many
The act of making choices also seems to be different domains, some of which have already been
­depleting. In one study, participants were told that described. For instance, after controlling their
they were going to have to give a speech on an issue thoughts and not thinking about a white bear, par-
that ran counter to their existing opinions. Compared ticipants had a harder time not smiling, laughing, or
to those who had no choice, those who were given a showing amusement at a humorous film compared
choice whether to make the speech persisted for less to individuals who did not control their thoughts
time on a difficult task afterward (Baumeister et al., (Muraven et al., 1998). This effect has carried over
1998). In later research, participants who made a to many different domains. For instance, depleted
series of consumer decisions were less able to force individuals (especially dieters) tend to eat more
themselves to drink something that was bad tasting (Salmon, Adriaanse, Fennis, de Vet, & de Ridder,
but supposedly good for them than those who rated 2016). Perhaps most artfully, Hofmann, Rauch, and
the products but did not make a choice (Vohs et al., Gawronski (2007; see also Friese, Hofmann &
2008; see also Bruyneel, Dewitte, Vohs, & Warlop, Wanke, 2008) found that the amount of candy in-
2006). This effect was even observed when making dividuals ate when not depleted was related to their
choices about pleasant outcomes and appears to be self-reported views toward food. However, when de-
separate from implementing the choice. Although pleted, their implicit attitudes were a much better
the link between making choices and inhibition is predictor of their consumption, which suggests that
somewhat vague, the researchers argued that in the depletion reduced their ability to intentionally reg-
process of selecting an option, all other alternatives ulate their food intake. A similar study by Ostafin,
need to be inhibited. Marlatt, and Greenwald (2008) found the same
Perhaps most intriguing is recent research that pattern with implicit and explicit measures of
suggests that mentally simulating the self-control ­attitudes toward drinking and actual alcohol con-
actions of others may also be depleting (Ackerman, sumption. Consistent with that perspective, depletion

116 EGO DEPLETION: THEORY AND EVIDENCE

has been found to affect the controlled components bad) when depleted compared to when they are in
of stereotype-based responses, but not the automatic nondepleted states (Neal, Wood, & Drolet, 2013).
component (Govorun & Payne, 2006). Ego depletion also seems to undermine willing-
Research on depletion has found similar patterns ness to exert effort. People who are depleted seem to
that depletion leads to poorer control over other feel less efficacious (Chow, Hui, & Lau, 2015). They
behaviors of consequence as well. For instance,
­ also appraise their goals as more distant, less impor-
Muraven et al. (2002) found that after exerting con- tant, and less achievable (Fischer, Greitemeyer, &
trol over their thoughts, social drinkers consumed Frey, 2007; vanDellen, Shea, Davisson, Koval, &
more alcohol, even when there was an incentive not Fitzsimons, 2014). Research suggests that depletion
to, than drinkers who solved difficult and frustrat- does not affect intentions to act, but rather leads to
ing math problems that nonetheless did not require reduced behaviors (Osgood & Muraven,  2015).
self-control. In a follow-up, a field study of under- Depleted individuals are also less optimistic and set
age social drinkers who carried palm-top computers lower standards for themselves than nondepleted
for 3 weeks to report their self-control demands and individuals (DeBono & Muraven, 2013). In contrast,
drinking behavior found that on days that their Inzlicht and Schmeichel (2012) argued that depletion
self-control demands were higher than their average, increases the motivation to approach rewards, rather
these drinkers were more likely to drink to excess than hampering the ability to resist temptations.
(Muraven et al., 2005). The increased drinking was Some empirical evidence suggests that both may be
not apparently related to increased urges, greater at work (Haynes, Kemps, & Moffitt, 2016).
negative affect, or a lack of desire to control drink-
ing; instead, it appeared to be related to an inability Interpersonal Effects
to regulate alcohol intake. Depletion of ego strength There are clear interpersonal consequences to
has also been found to affect smoking behavior ­depletion as well. As expected from the decline in
(Leeman, O’Malley, White, & McKee, 2010), regula- self-control performance, depleted people appear to
tion of sexual urges (Gailliot & Baumeister, 2007), be less likely to follow basic social norms, both pre-
and impulse spending (Vohs & Faber, 2007). scriptive and descriptive (DeBono, Shmueli, &
Muraven, 2011). For instance, depleted individuals
Broader Perspective are more likely to cheat (Muraven, Pogarsky, &
Less well investigated but still of importance to Shmueli, 2006), lie, and steal (DeBono et al., 2011).
­understanding how depletion affects performance At the same time, they seem to trust others less
are studies on perception of time and passivity in (Ainsworth, Baumeister, Ariely, & Vohs, 2014) and
depleted individuals. In particular, depletion ap- be more self-centered (Achtziger, Alós-Ferrer, &
parently affects people’s sense of the passage of Wagner, 2016; Uziel & Hefetz, 2014). People whose
time. Depleted individuals estimated that more self-control was depleted also engaged in more inap-
time had passed while exerting self-control than propriate social interactions, like talking too much
nondepleted individuals (Vohs & Schmeichel, and making interpersonal disclosures too intimate
2003). This might contribute to the poorer self- (Vohs et al., 2005). However, researchers have argued
control exhibited by depleted individuals, especially that depletion influences such behaviors by merely
on persistence-based tasks, because they may mis- increasing susceptibility to situational cues, rather
judge how long they have been acting on control- than undermining normative behavior per se (Banker,
ling themselves. More research is needed to better Ainsworth, Baumeister, Ariely, & Vohs, 2017).
integrate these results into a more general theory However, the effects of depletion extend beyond
of how self-control operates. simple impulse control. For example, depleted
Similarly, Baumeister et al. (1998) found that ­individuals are also more easily persuaded. Burkley
­depleted individuals were more passive than nonde- (2008) found that resisting a persuasive attempt
pleted individuals. When quitting a boring task leads to a pattern of self-control outcomes consistent
(watching an unchanging video of a blank wall) with depletion. In later studies, he found that
required participants to initiate a button push,
­ ­depleted individuals were more easily persuaded,
­depleted participants watched longer than nonde- ­especially by strong arguments. Wheeler, Briñol,
pleted participants. However, when quitting was the and Hermann (2007) found a similar pattern of
passive option and continuing required a response, ­results and persuasively argued that depleted individu-
depleted participants quit sooner. Indeed, people als were more likely to agree with counterattitudinal
are more likely to follow their habits (both good and statements. Interestingly, they found that although

MURAVEN, BUCZNY, AND LAW 117

depleted and nondepleted individuals thought equally controlling their attention, writing in a nonnatural
hard about the message, only depleted individuals way, or taking a working memory test performed
were less likely to come up with counterarguments more poorly on subsequent tests of working memory
to the message. These results suggest that depletion span, reverse digit span, and response inhibition.
leads to passivity and agreement among people. Thus, basic cognitive processes appear to be affected
This passivity and general lack of ability to engage by depletion, because the affected tests are consid-
in counterarguments may affect interpersonal per- ered to require substantial executive control and
ception as well. For example, individuals who were ­response inhibition. This decrease in mental efficiency
depleted rated African American targets more apparently carries over to higher order functioning,
­negatively than European American targets (Muraven, because depleted individuals do worse than non-
2008b; Park, Glaser, & Knowles, 2008). Depleted depleted individuals on tests of logic and reason-
people may be less willing to override their stereotypes ing, reading comprehension, and a general test of
and less likely to think of reasons to do so (Devine, fluid cognitive functioning (Schmeichel, Vohs, &
1989). Research has also found that depletion makes Baumeister, 2003; see also Shamosh & Gray, 2007).
people less helpful (DeWall, Baumeister, Gailliot, & Depletion did not affect performance on a test of
Maner,  2008; Fennis, Janssen, & Vohs, 2009). general knowledge or memorization and recall, tests
Consistent with that reduced helpfulness, depleted that are presumed to require less higher order cog-
people are less forgiving in their relationships: nitive functioning.
Individuals who were depleted were less likely to As would be expected from the observed changes
engage in accommodation (Yovetich & Rusbult, in cognition, depletion appears to affect decision-­
1994) and therefore responded less constructively to making as well. In general, it appears that depleted
the negative behavior of their partner (Finkel & individuals take greater risks, make poorer decisions,
Campbell,  2001). Depleted individuals lie more and fail to consider all alternatives as well as non-
than nondepleted people as well (Mead, Baumeister, depleted individuals. For instance, Freeman and
Gino, Schweitzer, & Ariely, 2009), which can also Muraven (2010) found that people who had to
damage relationships. control their attention by ignoring information
­
The effects of depletion further extend into presented at the bottom of a video screen subse-
­aggressive behavior. It is likely that individuals must quently made more pumps on the Balloon Analogue
learn to restrain aggressive urges to maintain har- Risk Task (Lejuez et al.,  2003), a measure of risk
monious relationships, and therefore depletion of taking. The link between negative affect and risk
self-control resources may lead to a breakdown in taking was also found to be partially mediated by
this restraint. Indeed, depleted individuals have depletion—people’s attempt to regulate their nega-
been  found to react to provocations with greater tive moods is depleting and this depletion leads to
­aggression than nondepleted individuals (Barlett, greater risk taking (Bruyneel, Dewitte, Franses, &
Oliphant, Gregory, & Jones,  2016; DeWall, Dekimpe, 2009).
Baumeister, Stillman, & Gailliot, 2007; Osgood & Depleted individuals also rely to a greater extent
Muraven, 2016; Stucke & Baumeister,  2006). For than nondepleted individuals on heuristics and fail
example, in the study by DeWall et al. (2007), par- to consider all options carefully in decision-making
ticipants who were asked to not eat a donut slipped tasks, which lead to suboptimal outcomes (Masicampo
more hot sauce into the foods that were to be given & Baumeister, 2008; Pocheptsova, Amir, Dhar, &
to a participant who gave them negative feedback Baumeister, 2009; Pohl, Erdfelder, Hilbig, Liebke,
on an essay than participants who were asked to not & Stahlberg,  2013). In addition, it appears that
eat radishes. When participants received neutral depleted individuals are more likely to seek confirma-
feedback on their essay, there were no differences in tory information that is consistent with their existing
the administration of hot sauce between the depleted viewpoints (Fischer, Greitemeyer, & Frey,  2008).
and nondepleted conditions. This suggests that They also focus on lower level construals (Bruyneel
­depletion was simply potentiating the aggressive & Dewitte, 2012). Exerting self-control appears to
­responses and was not a direct cause of it. reduce the motivation to search for and process new
information. This research is particularly notable for
Cognition showing that the effects of depletion on decision-­
Depletion also appears to affect cognition. For in- making and information processing appear to be
stance, Schmeichel (2007) found that individuals different from the effects observed from cognitive
who were depleted by regulating their emotions, load, ego threat, and mood.

118 EGO DEPLETION: THEORY AND EVIDENCE

Physiological Markers of Depletion dilation was correlated with increased subjective
Finally, research on biological markers of effort and ­fatigue, increased task engagement, and increased
motivation similarly point to decreased cognitive cognitive performance. Thus, utilizing eye tracking
control among depleted individuals. For example, to monitor control of the pupil may help to assess
depleted dieters showed greater activation in the how demanding a task is and may help to index
prefrontal cortex and less activity in the inferior fron- physiological components of depletion.
tal gyrus, a region linked to self-control ­performance
(Wagner, Altman, Boswell, Kelley, & Heatherton, Challenges to the Robustness
2013). Additional neuroscience investigations may of the Depletion Effect
further elucidate the biological underpinnings of Although there has been extensive research on ego
self-control depletion. depletion (estimates suggest over 1,000 papers based
There may be other indicators of depletion as on this theory, with results obtained by labs around
well. Segerstrom and Nes (2007) found that resisting the world), the overall robustness of the effect has
eating cookies lead to greater heart rate variability been questioned by some well-publicized failures
than resisting eating carrots, and this heart rate var- to replicate the results. An initial meta-analysis by
iability correlated with persistence on a subsequent Hagger, Wood, Stiff, and Chatzisarantis (2010) of
anagram task. This suggests that exerting self-control 198 independent tests of the ego-depletion effect
requires the mobilization of effort. The inability to found the effect to be reliable and medium to large
maintain that effort over time may help explain how in size; they calculated that approximately 50,000
depletion arises. Indeed, that is the argument raised unpublished papers with null or negative results
by Wright and colleagues (Wright et  al.,  2007; would be needed to reduce the effect size to zero.
Wright, Martin, & Bland, 2003; Wright, Stewart, & However, this analysis was subsequently criticized
Barnett, 2008): High levels of fatigue require i­ ncreased mainly for: (a) an insufficient sample of included
mobilization of effort (as indexed by cardiovascular studies, (b) including studies that were composed
output), but when the effort required is perceived to by tasks that did not represent adequate operation-
be too great, all efforts cease (Stewart, Wright, Azor alization of self-control (e.g., charity as indicators of
Hui, & Simmons, 2009). depletion; Janssen, Fennis, Pruyn, & Vohs, 2008),
Intriguingly, research using electroencephalo- (c) including studies that measured depletion in-
graphic methodology suggests that depletion can consistently (e.g., some studies interpreted both
also be measured by changes in the event-related ­increases and decreases of the same behaviors as
potential of error-related negativity (Inzlicht & evidence of depletion), and (d) including only
­
Gutsell, 2007). Error-related negativity has been ­published studies, which can result in publication
linked to preconscious error monitoring and correc- bias (Carter, Kofler, Forster, & McCullough, 2015).
tion and thus may be related to cognitive control Hagger et al.’s (2010) meta-analysis data were
over behavior. Individuals who had to control their then reanalyzed (Carter & McCullough,  2014) to
emotions exhibited a weaker error-related negativity control for publication bias and small-studies effects,
signal while working on a Stroop task compared to which result from the inclusion of underpowered
individuals in a control condition. Moreover, per- studies in meta-analyses. Two types of corrections
formance on the Stroop was related to the magni- for overall effect size were implemented by Carter
tude of the error-related negativity signal, so that and McCullough: (a) precision-effect test (PET)
this neural signal mediated the link between initial and (b) precision-effect estimate with standard error
self-control exertion and subsequent self-control (PEESE), which are considered better models of
performance. In short, depletion may affect neu- publication bias estimations than the trim-and-fill
rological functioning and may be tied to specific procedure employed by Hagger et al. This reanalysis
changes in the neural system used for conflict suggested that the overall effect size for ego depletion
­monitoring. Increased approach motivation among was not distinguishable from zero, even when in-
depleted individuals was also supported by electro- cluding the effects from small studies that tend to
encephalographic studies (Schmeichel, Crowell, & provide biased confirmations of hypotheses (Carter
Harmon-Jones, 2015). & McCullough, 2014).
Another physiological marker of depletion could However, simulation studies have evidenced
be pupil dilation. As shown by Hopstaken and that PET may underestimate the true size of small
­colleagues (Hopstaken, van der Lindern, Bakker, & effects (Stanley & Doucouliagos, 2007). Moreover,
Kompier,  2015), decreased stimulus-evoked pupil the PEESE can produce inaccurate estimations if the

MURAVEN, BUCZNY, AND LAW 119

true overall effect size is close to but distinguishable the ego-depletion effect only occurred in the group
from zero (Stanley & Doucouliagos, 2012). of participants who reported the task as effortful.
Additionally, Moreno et al. (2009), in their simu- Thus, the task Hagger et al. (2016) used for depletion
lation, found that the PET and the PEESE did induction in the many-labs project might not
not  sufficiently account for heterogeneity of the comply with the typical difficulty level of tasks (e.g.,
­included studies. Thus, there is still doubt that the Stroop) used in the sequential task paradigm validated
PET and the PEESE are good models to evaluate in the depletion literature (Baumeister et al., 1998).
publication bias in depletion studies (Inzlicht & In short, along with many other findings in the
Berkman, 2015). Further, it is suggested to take into social psychological literature, the robustness of the
account not only average effect size but also its ego-depletion effect remains an ongoing concern
moderators, such as when studies on the same topic (see also Friese et al, 2018). Clear steps to increase
are conducted across different psychological fields, the reliability of the literature will help to increase
for example, as is the case with studies on aggression confidence in the results. Indeed, at least one pre-
and violent video games (e.g., Kepes, Bushman, & registered experiment in support of the ego-depletion
Anderson,  2017). There are additional concerns effect has been published (Dang, Liu, Liu, & Mao,
about the studies included and excluded from 2017). More generally, it may be fruitful to craft
Carter et al.’s (2015) meta-analysis, along with and  test theoretical explanations for the observed
how the studies were coded as well as the statistical variations in outcomes, rather than merely focusing
­approaches used (Cunningham & Baumeister, 2016). on the need for replications. For example, when
In short, these competing meta-analyses have not Zhou and Fishbach (2016) failed to replicate the
conclusively answered whether there is a meaningful ego-depletion effect in an online sample, rather than
publication bias. chalking it up to replication failure, they delved
Another approach to analyzing the magnitude of deeper and found that problems with selective attri-
ego depletion was implemented by Dang (2017), tion (people quit demanding experiments more than
who differentiated between unreliable and reliable easy experiments) may have produced the observed
studies. The reliable studies that were identified null effect. In science, often failure is the first step to
(34 of 142 studies) included depleting tasks (attention discovery and thus questions about the robustness
essay, emotion video, and Stroop task) that yielded of the depletion effect should drive researchers to
homogeneous estimations. The overall average effect craft better theories and design better experiments
size estimated in these studies was g = 0.42; low to truly understand why the effect is found many
publication bias was estimated, as indicated by the times but not always. Indeed, a recently completed
trim-and-fill method; and the PET–PEESE model multi-lab replication did indeed show a significant
suggested that the overall average effect of depletion effect of ego depletion based on carefully designed
was distinguishable from zero. Another analysis that experiments (Dang et al., 2019).
aligns with these findings is a meta-analytical study
(28 experiments included) performed by Dang, How Depletion Operates
Björklund, and Bäckström (2017), which found Another area of considerable controversy has been
support for depletion impairing the capacity to the underlying nature of ego depletion. There has
maintain goals within the Stroop task. been a substantial debate about the theoretical pro-
The robustness of ego depletion also was assessed cesses underlying ego depletion. Although the effect
through the many-lab replication project (Hagger itself is not called into question, the cause of it is a
et al., 2016) where 23 independent labs around the matter of considerable research. In particular, there
world conducted the same experimental test of ego are two main explanations of the ego-depletion phe-
depletion. It was shown that the ego-depletion effect nomenon. The first focuses on a motivation or ex-
was close to zero: d = 0.04. However, the methods pectancy account, which suggests that self-control
utilized were subsequently criticized for being fails because individuals hold certain beliefs about
nonstandard and not previously validated in ego- how self-control should operate. The biological ac-
depletion research (Baumeister & Vohs, 2016). This count, in contrast, suggests that ego depletion is more
conclusion was supported by a reanalysis of the rep- than a metaphor and represents the loss of a crucial
lications carried out by Dang (2016), which showed biological resource needed for the success of self-­
that the letter e cancelation task was perceived by control. Ultimately, as with many dichotomies, the
participants as relatively nondepleting. Additionally, truth may lie in the integration of these accounts.

120 EGO DEPLETION: THEORY AND EVIDENCE

Expectancies self-control subsequently. This may explain many
Arguments for the expectancy account for the of the outcomes described above, although it may
­depletion effect suggest that individuals hold beliefs have greater difficulty in explaining situations in
that self-control is limited and therefore, after ex- which the exertion or need for self-control is not
erting self-control, they expect to fail in subsequent apparent (e.g., cognitive performance) nor does it
attempts at self-control. For instance, individuals explain why seemingly difficult tasks (Muraven et al.,
who felt that self-control was limited and depletes a 1998), like solving math problems, do not lead to
limited resource were more affected by the initial a decline in self-control performance. This model
self-control demand than individuals who did not suggests that people have a finely attuned sense of
subscribe to such a belief (e.g., Job, Dweck, & what requires self-control and what does not.
Walton,  2010; Martijn, Tenbuelt, Merckelbach, Another limitation of the psychology approach to
Dreezens, & de Vries, 2002). The researchers argued ego depletion is findings that suggest severe depletion
that this suggests that the depletion effect springs cannot be easily reversed by changing people’s models
from expectancies about the nature of self-control. of self-control. For instance, Vohs, Baumeister, and
Indeed, in subsequent research, they found that Schmeichel (2012) showed in a series of experiments
­individuals who were not paying attention to their that three to four initial tasks led to more severe
self-control efforts exhibited less of a decline in ­depletion than one to two initial tasks. Moreover, in
self-control than individuals who were not distracted these studies, expectancies about self-control affected
(Alberts, Martijn, Nievelstein, Jansen, & de Vries, performance when people were lightly depleted, but
2008). This lends credence to the idea that some of when people were severely depleted, expectancies
the effects of exerting self-control on subsequent had no effect. Likewise, motivation seems to help
self-control performance are psychologically mediated increase self-control performance initially, but leads
and based on expectations of self-control demands to greater depletion effects in the long run (Graham,
(Hoyle & Miller, 2012). Bray, & Ginis,  2014). This evidence suggests that
Similarly, Clarkson, Hirt, Jia, and Alexander there may be a resource being depleted in the proc-
(2010) found that people’s perceived levels of de- ess of exerting self-control.
pletion predicted their performance on tasks that
required self-control. Depleted (or nondepleted) Biology
individuals were given (false) feedback about this Extracellular levels of glucose in the brain seem like
depleting task that led them to attribute their re- a good match for the hypothesized biological resource
sources to external or internal sources. For instance, and may therefore help to explain the depletion
participants crossed off the letter e that is next to or effect. Glucose is the primary source of energy for
one away from another vowel (those in the control all brain activity and therefore a decline in glucose
condition simply crossed off all e’s). Crossed with in the brain may negatively affect executive func-
this, participants were told that the color of the paper tioning (Siesjö, 1978). Moreover, brain glucose levels
could either “exhaust and deplete their ability to drop with mental effort (McNay, McCarty, & Gold,
attend to information” or “energize and replenish 2001) and these extracellular stores of glucose in the
one’s ability to attend to information” (Clarkson brain are replenished slowly (Fellows, Boutelle, &
et  al., 2010, p. 33, italics in original). In the low- Fillenz, 1992). More recent research has directly linked
depletion condition, the replenishment feedback glucose to self-control, because individuals with lower
led to greater persistence on a subsequent task than levels of blood glucose have been found to engage in
the depletion feedback. This pattern was reversed greater discounting of the future. Consistent with
in the high-depletion condition. In short, people’s this argument, the ingestion of sugar negates this
perception of their level of self-control resource was drop in self-control (Wang & Dvorak, 2010).
a predictor of their subsequent self-control perfor- Hence, exerting self-control may deplete brain
mance regardless of their actual level of resource. stores of glucose, a vital fuel for cognitive efforts.
In summary, the expectancy account of deple- Indeed, recent research found that dogs that were
tion suggests that people fail at self-control because required to follow rules and resist a temptation had
they believe it should fail. Most people apparently lower levels of glucose than dogs that were not re-
subscribe to the belief that self-control is a lim- quired to be obedient (Miller, Pattison, DeWall,
ited  resource, and after exerting self-control, this Rayburn-Reeves, & Zentall, 2010). A similar effect
belief is typically activated, which leads to poorer has been found in humans after engaging in tasks

MURAVEN, BUCZNY, AND LAW 121

that likely require self-control (Fairclough & Houston, most individuals who fail at self-control do not lose
2004; Gailliot, Baumeister, et al., 2007). For exam- control over all actions and become completely
ple, Gailliot, Baumeister, et al. (2007) reported that ­animalistic. Individuals who exert self-control on a
individuals who were instructed to deliberately laboratory task and hence exhibit poorer self-­
ignore words at the bottom of a video clip suffered a control subsequently do not urinate on themselves,
greater drop in blood glucose levels from baseline but instead ask to be excused to go to the bathroom.
than individuals who saw the same clip but did not In line with this, research has emerged postulating
have to ignore the words. This change in glucose that the brain is well equipped with resources (i.e.,
correlated with subsequent self-control performance. glucose) needed to regulate self-control, but that
Given that these patterns closely mirror the predic- these resources are allocated in such a way that satis-
tions of the ego-strength model, it seems likely that fies personal goals and considerations (Beedie & Lane,
some of the observed effects are being driven by the 2012). Thus, a complete model of depletion needs to
depletion of glucose in the brain. explain both the specificity of depletion to self-­
Later experiments showed that this decline in control and how it can be moderated by motivation.
self-control performance could be negated, however,
by the ingestion of sugar (in the form of orange juice). Motivation
Sugar only improves the performance of depleted For instance, Muraven, Pogarsky, and Shmueli
individuals and has no effect on nondepleted indi- (2006) found that depleted individuals were more
viduals, which suggests that depletion may be related likely to lie and cheat on a laboratory task than
to reduced levels of sugar (Masicampo & Baumeister, nondepleted individuals. However, this was only
2008; also found in dogs by Miller et al., 2010). true when the perceived probability of getting caught
This study also showed that the ingestion of a non- was low. When the odds of the experimenter dis-
nutritive sugar substitute (Splenda) had no effect on covering the deviance was high, depleted individuals
depletion, which further indicates that the effects were no more likely to cheat than nondepleted
are not simply the result of expectations or merely ­individuals. Likewise, Wan and Sternthal (2008;
caused by drinking a pleasant drink. Denson, von see also Voce & Moston, 2016) found that depleted
Hippel, Kemp, and Teo (2010) replicated these find- individuals who were encouraged to engage in self-
ings and showed that depletion was associated with monitoring by being given a clock while working
greater levels of aggression when participants drank on a persistence task worked as long as nondepleted
a placebo, but after consuming sugar, the association individuals. Because self-monitoring has been found
between depletion and aggression was removed. to increase motivation and goal adherence (Carver
In short, there are persuasive arguments that ex- & Scheier, 1998), it is likely that this self-monitoring
erting self-control may require and deplete glucose feedback led to increased motivation that negated
and this drop in glucose may drive the decline in the effects of depletion.
self-control performance. Consuming sugar undoes Even more directly, depleted individuals who
the effects of prior exertion of self-control. This helps were given an incentive to exert self-control, in the
to explain why self-control, but not other effortful form of money, social acceptance, or moral expec-
tasks, leads to depletion, as well as why depletion tations, performed just as well on a subsequent
may happen even when people are unaware that self-control task as participants who were not depleted
they are exerting self-control. However, changes in (Muraven & Slessareva, 2003). For instance, when
glucose cannot be easily integrated with the fact that paid a cent per cup, individuals who had to suppress
expectancies also affect self-control outcomes. The their emotional reaction to a humorous video clip
biological account also leaves little room for motiva- drank less of a vinegar-flavored drink than individuals
tion in depletion (Chatzisarantis & Hagger, 2015). who simply watched the video with no instructions
to control their emotional reaction. However, when
Integration: Effects of Motivation the incentive for drinking was high (25 cents per
and Conservation cup), individuals who had to suppress their emo-
Even if the depletion of glucose in the brain is a con- tional reaction drank just as much of the sour drink
tributor to poorer self-control outcomes, the final as individuals who did not suppress their reaction.
result must be psychologically mediated. It is very Research has indicated that a wide variety of
unlikely that exerting self-control depletes all available situations may increase the motivation to exert
­
glucose so that self-control becomes impossible. self-control. For example, thinking of good self-­
Indeed, except in very rare and unusual circumstances, control exemplars led to better self-control among

122 EGO DEPLETION: THEORY AND EVIDENCE

depleted individuals than thinking of a neutral valued. Indeed, depleted individuals were found to
­example (Martijn et al.,  2007). Other sources of be more responsive to cues related to energy and
motivation may include feeling the task is easy resources than nondepleted individuals (Buczny,
(Giacomantonio, Ten Velden, & de Dreu,  2016), Layton, & Muraven, 2015).
encouraging self-talk (Gregersen, Hatzigeorgiadis, Analogously, individuals should be concerned
Galanis, Comoutos, & Papaioannou, 2017), priming with conserving ego strength to the extent that it is
with money (Boucher & Kofos,  2012), activating perceived to be a limited resource. Depletion of
religious concepts (Rounding, Lee, Jacobson, & this resource, through the exercise of self-control,
Ji,  2012), and heightened self-awareness (Alberts, should heighten this desire to conserve the remain-
Martijn, & de Vries, 2011; Kelly, Crawford, Gowen, ing resource. It then follows that individuals who
Richardson, & Sünram-Lea, 2017). The motivation to are motivated to conserve ego strength may be less
exert self-control can apparently be unconsciously likely to exert self-control, which therefore leads to
activated as well. For instance, Alberts, Martijn, poorer self-control performance. This may explain
Greb, Merckelbach, and de Vries (2007) found that why depleted individuals typically perform more
depleted individuals who were given primes related poorly on tasks that matter less to them, but
to persistence (either by unscrambling sentences ­perform just as well as nondepleted people on im-
with persistence words in them or seeing a screensaver portant, self-relevant, or externally motivated tasks
with motivational images) performed better than (Baumeister, 2014).
depleted individuals not given these primes. Muraven, Shmueli, and Burkley (2006; see repli-
The results indicate that people can overcome cation by Tyler & Burns, 2009) tested this idea by
depletion if sufficiently motivated. Thus, expectan- manipulating participants’ expectations for the future.
cies (e.g., Job et al., 2010) about the success and fail- If people expect to exert self-control in the future,
ure of self-control are one of a multitude of factors their motivation to conserve should be increased;
that impact motivation and therefore should mod- this should be especially likely if their ego strength
erate ego depletion, especially at low levels of fatigue was already depleted. In one experiment, participants
(Vohs et al.,  2012). However, the research on glu- first had to control a well-learned pattern by typing
cose dynamics suggests that there is more to a paragraph without hitting the e key (participants
self-control failure than just motivation. Hence, a in the control condition just typed the paragraph as
model of resource conservation has been put forth they saw it). They were then told that they would
to best understand self-control failures. take two more tests. The first was a Stroop test, where
they would have to state the font color of words.
Conservation After that, they would have to solve anagrams that
In particular, if self-control requires glucose or other were described as requiring them to either “think
limited resources, it makes sense to use this resource hard” (low self-control) or “override impulses” (high
as wisely as possibly. In particular, as noted in the self-control). Participants who had to exert self-­
section “Biology” under the main heading “How control in the first part of the experiment and who
Depletion Operates,” brains have a separate store of expected to exert self-control in the future exhibited
glucose they use for cognitively demanding tasks. poorer self-control on the Stroop task compared to
This localized glucose is replenished slowly, how- those who did not exert self-control in the past or
ever, so people should be judicious in how and when those who did not expect to exert self-control in the
they exert self-control so they can have resources for future.
future demands or emergencies. This self-control Further evidence for conservation came from
resource can be compared to other limited resources, participants’ actual performance on the final task,
such as money or physical fatigue (Evans, Boggero, which was how long they persisted on difficult and
& Segerstrom, 2016). People should desire to main- frustrating anagrams before quitting. There was a
tain homeostatic levels of glucose on the brain negative correlation between Stroop performance
(Parton et al., 2007) and thus cut back self-control and time spent on the anagrams, suggesting a trade-
efforts as glucose levels drop. Signs that glucose is off in resource use. That is, worse performance on
available (Chambers, Bridge, & Jones, 2009; Hagger the Stroop task (which would suggest greater con-
& Chatzisarantis, 2013) should help counteract that servation of resources) was associated with better
torpor. Moreover, consistent with prospect theory self-control on the anagram task. Janssen, Fennis,
(Tversky & Kahneman, 1981), the less energy one and Pruyn (2010) found a similar effect: Depleted
has, the more the remaining energy should be individuals who were warned about an upcoming

MURAVEN, BUCZNY, AND LAW 123

persuasive attempt conserved strength and hence In an examination of the effects of implementation
generated better counterarguments and resisted the intentions on depletion, participants who created
compliance more than depleted individuals who implementation intentions for the Stroop task (e.g.,
were not forewarned. “As soon as I see the word I will ignore its meaning”)
In short, people appear to manage their self-­ subsequently persisted longer on a frustrating task
control resources based on their past efforts and than individuals who did the same Stroop task
future demands. The desire to conserve strength without the benefit of creating an implementation
can help explain both the specificity of the deple- intention (Webb & Sheeran,  2003). In a second
tion effect to self-control and how motivation and study, the opposite of this effect was found: Depleted
expectancies can moderate this effect. In general, individuals who created implementation intentions
the desire to conserve does appear to be stronger for a Stroop task read the list of words faster than
than reward-seeking (Giacomantonio, Jordan, Fennis, depleted individuals who did not create a plan.
& Panno, 2014). The desire to conserve should not Making a plan apparently reduced the resources
be necessarily interpreted as a conscious process, ­required for self-control, so that tasks were less de-
however. There is very limited evidence that people pleting and less affected by depletion.
are aware of their self-control states; instead, there
appears to be a complex process of unconscious Rest and Replenishment
weighing of alternatives. Further work is necessary There clearly must be some way to recover lost
to understand how these motivational processes ­resources. However, to date, this topic has not re-
work together to lead to self-control failures. ceived extensive attention. It is likely that rest from
exerting self-control is one way in which resources
Moderators of Depletion are recovered. Sleep has indeed been found to help
This conservation model of self-control failure points people overcome depletion (Ghumman & Barnes,
the way toward understanding when self-control is 2013). Shorter rests may also help (Tyler & Burns,
more likely to fail and when it is less likely. That is, 2009). Depleted participants who had a 10-minute
there are some situations in which the link between break between the first self-control task and the
depletion of ego strength and final self-control subsequent measure performed better than partici-
­performance is weakened (or strengthened). These pants who did not have the break and, in fact, did as
moderators may give some further insight into how well as nondepleted individuals. A similar effect
depletion works and some limitation to our self-­ was found for participants who were induced into
control. One thing to keep in mind is the difference relaxing between tasks.
between moderators active before the initial task It may be possible to accelerate this recovery
(e.g., trait self-control) and those activated after process through positive affect (Tice, Baumeister,
the initial task (e.g., autonomy) (Loschelder & Shmueli, & Muraven, 2007). Participants who were
Friese, 2016). depleted by resisting the temptation of cookies and
candy failed to persist as long on a frustrating task
Automatization compared to those who had to resist the temptation
Intuitively, anything that reduces the self-control of eating radishes. However, if they watched a
demand on a behavior should reduce how depleting comedy between resisting the food and persisting,
it is. Indeed, there is a relationship between how much those who could not eat the cookies persisted as
self-control a task required and the subsequent long as those who could not eat the radishes. The
­decline in self-control performance (e.g., Muraven general conclusion is that positive experiences
et al.,  2002). Hence, it was suggested that imple- negate the effects of ego depletion and the effects are
mentation intentions (Gollwitzer & Brandstätter, not driven by arousal and distraction and are spe-
1997) should help in the elimination of ego deple- cific to tasks that require self-control. The research-
tion.  Implementation intentions help automatize ers argued that positive affect may help to replenish
­behaviors by creating a clear link between when, lost ego strength. It may do this directly, by serving
where, and how an individual will strive for a goal. as a resource, or it may just increase motivation or
This helps reduce the self-control demand of a situ- willingness to exert self-control. That is, it might be
ation because it forges an association between a cue like giving coffee to a tired person—it gets them
and a response, thereby reducing the need for con- going for a while, but a crash is inevitable—or it
scious control. might be like getting a good night’s sleep. Further

124 EGO DEPLETION: THEORY AND EVIDENCE

empirical research is required to differentiate between by squeezing a handgrip longer compared to those
these accounts. who did not eat the cookies for more extrinsic reasons
Finally, affirming the self (Steele, 1988) appears (e.g., the experimenter would get mad at me).
to help negate the effects of depletion (Schmeichel These results suggest that autonomously driven
& Vohs, 2009). Individuals who were depleted by self-control is less depleting than self-control that is
having to write a story without using any words compelled by others or the situation. Further research
containing the letters a or n removed their hand suggested that this outcome may be driven by the
from ice water sooner than participants who wrote a replenishment effect described above. Participants
story without such restrictions. However, if the de- instructed to avoid thinking about a white bear by a
pleted individuals were given the chance to rank 11 warm, open, and friendly experimenter who tried to
values and personal characteristics in order of per- engage participants as a vital contributor to the re-
sonal importance, this effect disappeared: Depleted search project subsequently exhibited better self-­
individual held their hand in the water as long as control than participants who were instructed by a
nondepleted individuals. The effects were not re- more distant and cold experimenter who treated par-
lated to changes in mood. Instead, the researchers ticipants like a cog in the machine (Muraven, Gagné,
argued that the self-affirmation led individuals to & Rosman, 2008; see also Muraven, Rosman, &
consider abstract, long-range outcomes, which im- Gagné, 2007). The participants in the autonomy-
proved their self-control performance. supportive condition had greater feelings of subjective
vitality (Nix, Ryan, Manly, & Deci, 1999; Ryan &
Autonomy Frederick, 1997), a positive state of aliveness and
Perhaps related to these replenishment findings is energy that arises from acting in self-actualizing ways.
research on the effects of autonomy support on de- These feelings of vitality mediated the link between
pletion. The idea of autonomy support is that some experimental condition and self-control outcomes, so
situations encourage and are more supportive of that the reason that people in the autonomy-­
­behaviors that are intrinsic and self-driven, whereas supportive condition exhibited less depletion was
others take that feeling away (Ryan & Deci, 2000). because they felt more vital. This is consistent with
Time pressures, external rewards, and authority the replenishment idea and further suggests that
­figures cause individuals to feel compelled to act, self-control behaviors that are associated with posi-
which in turn diminishes the extent to which the tive states should lead to less depletion of strength.
behavior feels intrinsic, genuine, and self-motivated.
Several studies have clearly shown self-control Building Strength
that feels compelled by the situation is much more The research described above focuses primarily on the
depleting than self-control that feels more autono- short-term effects of exerting self-control. A quick
mously driven. For instance, Moller, Deci, and Ryan summary would suggest that people act as if
(2006) gave some participants a choice between self-control is a muscle that gets fatigued with use.
­several different activities and then measured their This fatigue effect is moderated by several different
self-control performance. They found that people processes and may be related to glucose levels in the
given such a choice without any constraints exhibited brain, as well as beliefs that self-control is limited.
better self-control subsequently than people who Muscles do get fatigued through work, much
were told that although they were free to choose, the like the effects observed with self-control. However,
experimenter really needed them to select a particu- muscles also get stronger, providing they are worked
lar activity. This effect was found to be mediated by hard and frequently and rest is taken. Is the same
feelings of self-determination, but not mood. true with self-control? That is, can people strengthen
People’s own reasons for exerting self-control their self-control muscle through practice? The evi-
can have a similar effect. A plate of cookies was dence suggests that they can.
placed in front of participants, with the instructions In the first study on this process, Muraven,
to please not eat them unless absolutely necessary Baumeister, and Tice (1999) asked participants to
(Muraven, 2008a). They were then asked why they practice self-control by maintaining a diary of
did not eat the cookies to measure their feelings food  intake, keeping good posture, or regulating
of self-determination. People who did not eat the their mood to avoid negative emotions as much as
cookies for more self-determined reasons (e.g., be- possible. The control group had no special instruc-
cause it matters to me) exhibited better self-control tions and went about their daily life. Participants’

MURAVEN, BUCZNY, AND LAW 125

handgrip squeezing time (relative to their baseline) self-control remained abstinent longer than smokers
after engaging self-control was assessed at the start who practiced tasks that did not require self-control.
of the study and again after they had practiced their Moreover, the control tasks evoked awareness of
assigned task for 2 weeks. Those who practiced self-control, increased self-monitoring, and increased
self-control were less affected by the depleting task self-efficacy, and participants expected these tasks to
than those who did not practice self-control and the be helpful in their cessation attempt. This means that
effects were stronger for participants who practiced the effects of practicing on subsequent improvements
more. This is evidence that practicing self-control in self-control are above and separate from the
can increase self-control endurance, so that people smokers’ expectation that it should help them quit
are less affected by depletion. Put another way, smoking, improvements in self-efficacy, or greater
practicing self-control increased their stamina, so self-monitoring.
that they were able to exert self-control even when Miles et al. (2016) carried out a 6-week training
already fatigued. program to test whether self-control improves
Comparably, research by Oaten and colleagues through practice. In experimental conditions, par-
(Oaten & Cheng, 2006a, 2006b, 2007), as well as ticipants performed both cognitive (i.e., perform-
Gailliot and colleagues (Gailliot, Plant, Butz, & ing Stroop and the stop signal task both required
Baumeister, 2007), indicated that practicing inhibition) and behavioral training (i.e., using one’s
­self-­control can also increase self-control power. nondominant hand for everyday activities). In
That is, even in nondepleted states, participants who control conditions, participants were asked to ac-
practiced self-control exhibited better self-control tively control their action (i.e., performing math
outcomes. This is the equivalent of strength, so that and linguistic tasks) or requested to perform low-
after practicing self-control individuals could over- effort tasks (i.e., filling out a questionnaire about
come more powerful impulses. For instance, in the their cognitive f­ ailures). Dependent variables were
study by Hui et al. (2009), participants either engaged operationalized to measure: (a) near-transfer effect,
in a strong training program (they worked on the namely, performance under ego depletion, (b) far-
Stroop task for 5 minutes twice a day for 2 weeks transfer results, specifically, avoiding eating sweets
and rinsed with a mouthwash that produces a pow- in a lab, displaying prejudice, and breaking habits;
erful burning sensation) or a weak training program and (c) metacognitive-transfer effects, precisely,
(no conflict between ink color and word; diluted everyday self-control (e.g., alcohol drinking) and
mouthwash). At the end of this training, partici- participants’ well-being. No effects of self-control
pants returned to the laboratory and engaged in practice were found, even when controlling for
­several tasks that required self-control. Compared moderators (e.g., trait self-control, beliefs about
to those who had no training or those who had the willpower). However, in a neurocognitive study,
weak training, participants who underwent the strong Berkman, Kahn, and Merchant (2014) showed that
training held their hand in ice water significantly practice of the stop-signal task improved activity
longer. They also performed better on a visual search of brain tissue in areas responsible for inhibitory
task that required regulating attention and concen- control. Their 3-week training also improved be-
tration, had better dental care (based on amount of havioral control. These two studies and previous
dental floss and toothpaste used), and reported better research (e.g., Muraven, 2010a, 2010b) suggest that
health-related behaviors. there are many questions still remaining about the
Recent research by Muraven (2010a,  2010b) theoretical explanation of the effects of building
­further extended these findings to make it clear that self-control strength in terms of generalizability,
the effects of practicing self-control are above and durability, and scalability (Beauchamp, Kahn, &
beyond any effects expected from expectation or Berkman, 2016).
self-efficacy. Smokers who were interested in quitting A recent meta-analysis assessed the robustness
were assigned one of four tasks to practice for 2 weeks of  building self-control strength programs across
before beginning a cessation attempt. Two of the 33 studies (Friese, Frankenbach, Job, & Loschelder,
conditions required self-control (avoid eating sweets 2017). The overall average effect size was g = 0.30,
and squeeze a handgrip exerciser for as long as pos- and when corrected for publication bias and small-
sible twice a day) and two did not (maintain a diary studies effects, the effect size varied from 0.13 to
of any time they exerted self-control and work on 0.24. The trim-and-fill method suggested a medium
difficult math problems). Consistent with previous level of small-study effect and relatively small publi-
research, smokers who practiced tasks that required cation bias since 4 studies were imputed. When the

126 EGO DEPLETION: THEORY AND EVIDENCE

PEESE correction was used it led to the same Miyake (2017) provided an example that the strength
­conclusions. Nonetheless, the meta-analysis did not model of self-control does not identify when the
provide much evidence on the mechanism underlying ­remaining resources are low enough to initiate a
self-control strength building. Clearly, there is still ­decrease of performance on the subsequent task.
much theoretical and experimental work to be done This limitation, as suggested, may be addressed by
in this regard. mathematical or computational modeling or by
­manipulation of motives, namely, conservation or
Overall Conclusion consumption of resources. Similarly, it would likely
The depletion model of self-control suggests that be fruitful to expand our understanding of how
self-control is bounded by a limited resource that motivation, implicit beliefs, and other cognitive
­
gets depleted with use. A growing body of research, functions operate in concert with the limited
in a variety of domains, suggests that after exerting self-control resource to help us subvert our short-
self-control, individuals have greater difficulty term drives to achieve long-term goals.
­resisting subsequent self-control demands as this Therefore, the findings on building strength
resource is taxed. Although this resource may be and how self-control is moderated by motivation
biologically mediated (possibly glucose), the process may point the way for further research. A better
of self-control failure is also psychologically driven, understanding of how processes underlying the
as individuals use social cues in motivating them- improvements observed after practicing self-­control
selves to exert self-control. It appears that the process is critical to both advancing theory and crafting
of depletion can be moderated by individuals’ mood, the best interventions. In particular, the process of
feelings toward the self-control activity, and ability building strength should probably be tied to the
to recover lost resources. conservation model that links the biological and
The strength model suggests that managing this motivation accounts of strength. Such a complete
resource is vital to the success of self-control. Given theory should help in predicting which tasks will
the wide range of behaviors that have been shown to lead to the most improvement in self-control, how
be affected by depletion and depleting in them- long they should be practiced, and how often.
selves, including higher order cognition, controlling The conservation model also would benefit from
aggression, getting along with others, regulating additional research to refine its predictions. For in-
moods, and resisting the temptations of sex, food, stance, it is not clear how people judge their future
and drugs, a better idea of how self-control operates and past self-control demands, as well as introspect
is critical at the personal and societal level. their levels of resource. This is an area ripe for in-
vestigation because it may illuminate how people
Future Directions process information critical to self-control, which
Consistent with Lurquin and Miyake’s (2017) would lead to more powerful theories of self-­
­comments on the shortcomings of the state of ego- control. Such a model of conservation might also
depletion research, the present review tries to high- better explain the processes underlying the replen-
light three major areas that need clarification and ishment effect of positive affect, as well as the findings
development to better understand the nature of that autonomously driven self-control is less deplet-
ego depletion. First, the operational definition of ing than self-control that feels compelled.
self-control as inhibitory control lacks precision and The findings that depletion leads to greater
is not well connected to the literature on executive ­passivity and changes in time estimation likely need
function. Hence, research should more explicitly to be better integrated into the literature as well.
define and operationalize self-control with regard to These results may help to explain a wide variety of
various facets of inhibition: updating, shifting, and outcomes and may present an opportunity for cre-
inhibition. Second, and relatedly, current studies on ating a more unified theory of depletion. Ultimately,
ego depletion lack independent validation of tasks it may be possible to link these findings to changes
used to induce depletion. Greater attention should in brain operation, for example, whether glucose is
be paid to the validation of measures of depletion. connected to passivity and a lack of motivation.
Moreover, independent tests, like physiological in- It is also important to investigate potential
dices, should be included whenever possible. Third, sources of ego depletion that exist in the absence
current models explaining depletion are not speci- of effortful cognitive control (Baumeister & Vohs,
fied enough to make it possible for other researchers 2016). Research has revealed a causal connection
to unambiguously verify predictions. Lurquin and ­between experiencing uncertainty in situations and

MURAVEN, BUCZNY, AND LAW 127

depletion, which could serve as evidence that the automatic processes in overcoming ego depletion. British
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134 EGO DEPLETION: THEORY AND EVIDENCE

 CH A PT ER
The Complex Role of Choice in Human
8 Motivation and Functioning

Erika A. Patall

Abstract

Years of research have implicated a complex set of motivational causes and consequences of choice.
Psychological theory has often prescribed the benefits of choosing, though limitations to this view
of choice as being ubiquitously positive are apparent. In this chapter, the relation between choice,
motivation, and variety of psychological and behavioral outcomes is examined. The role of choice in
human functioning is examined from a variety of perspectives, including psychosocial, cognitive,
neurological, and sociocultural perspectives. Next, the complex and often contradictory findings
regarding the relation between choice and motivation are discussed in light of various critical
characteristics of choices, choosers, and environments likely to influence those effects. The directions
that future research might take are briefly discussed.
Keywords:  choice, choosing, decision-making, autonomy, motivation

Introduction are more fundamental in Western culture than the

People make a multitude of choices every day. If you belief that individuals have the right to freedom,
consider just the personal choices you made today, liberty, and choice. Given this common under-
it will be apparent that choices vary in type and are standing of the complexity and importance of
influenced by numerous factors. Not only is the choosing, it comes as no surprise that choice is
motivation that underlies choice making complex, ­implicated in numerous psychological theories as an
but also the consequences of choosing are powerful. outcome, index, component, or predictor of moti-
Especially within the cultural context of North vation. A close look at the many theories that
America and many European countries, most ­implicate choice will reveal that although there is
people believe that having the freedom to choose is consensus that having and making choices intersects
an essential determinant of happiness and health, with motivation in consequential ways, its relation-
allowing them to control their fate and express ship with motivation and important life outcomes
­individuality. This belief corresponds with the com- is surprisingly complex (e.g., Katz & Assor, 2007;
monly accepted understanding that each individual Markus & Schwartz, 2010).
has his or her own unique sense of self and unique In this chapter, the relation between motivation
set of attitudes, skills, values, preferences, goals, and and having and making choices is examined. I begin
interests that can be realized through choosing. This with an overview of theoretical perspectives and
understanding of the link between self and choice is ­research evidence on the link between choice and
pervasive in Western cultures and infiltrates the motivation, focusing particularly on theory and ev-
functioning of many aspects of society, from gov- idence addressing the ways in which choice may be
ernment, legal, and marketplace systems to caretak- an influential motivator. As part of this overview, a
ing and interpersonal interaction. Few other beliefs diverse set of psychosocial, cognitive, neuroscientific,

135
and sociocultural perspectives is highlighted to pro- relevant to the effects of choice from psychosocial
vide a broad understanding of the potential benefits perspectives, cognitive perspectives, neuroscience
and detriments of choice. Next, in an attempt to perspectives, and sociocultural perspectives.
understand the complex and often contradictory re-
lations that have been revealed between choice and Psychosocial Perspectives
various outcomes, factors that may influence choice Many theories focused on the environmental
effects are discussed. Finally, I discuss the implica- ­precursors of motivation have implicated choice,
tions of this theory and research and make recom- suggesting that choosing satisfies important psy-
mendations for future research. chological and social needs and leads to positive
affective experiences. Self-determination theory
The Motivation to Choose provides one of the more well-defined perspectives
Before we discuss how choice is itself often a regarding the role of choice in motivation. According
­motivator (and sometimes a demotivator), it is im- to self-determination theory, people are naturally
portant to briefly note that in much psychological inclined to interact with the environment in ways
theory and research, choice is an outcome of some that promote learning and mastery (Deci & Ryan,
motivational process. That is, choice is the end 1985; Ryan & Deci, 2000). The theory posits that
result of a decision-making process in which an autonomy, competence, and relatedness are three
­individual has the freedom to select objects or fundamental needs that underlie people’s motiva-
­behavior. From these perspectives, choice is both tion and well-being, particularly intrinsic motivation
the end result of some motivational process and or the propensity to engage in a behavior for its
an  index of motivation—a barometer of where own sake (or out of enjoyment; Deci, 1971). Social
people’s motivation lies. When looking at choice as contexts that satisfy these needs will enhance mo-
an outcome, virtually any theory of human behav- tivation and well-being (Ryan & Deci, 2000). Thus,
ior might be conceived to have something to say people function better when the context supports
regarding the relation between motivation and a feeling that one is in control of his or her behavior,
choice. From early drive (e.g., Maslow,  1954; can endorse that behavior, and can competently
Murray, 1938) and behaviorist (e.g., B. F. Skinner, navigate the environment. In contrast, when the
1953; Thorndike, 1913) theories to cognitive theo- environment is experienced as controlling and
ries that acknowledge the role of peoples’ biases ­obstacles block a person’s ability to competently
(e.g., Kahneman & Tversky, 1979), personal beliefs navigate it, motivation and well-being are diminished
and orientations (e.g., Ames, 1992; Dweck,  1999; (Deci, Connell, & Ryan, 1989).
Higgins, 2000), expectancies and values (e.g., The provision of choice is one context that is ex-
Ajzen, 1985; Bandura, 1997; Eccles & Wigfield, pected to support that experience of autonomy and
2002; Vroom, 1964), or goals (e.g., Carver & motivation (e.g., Patall, Cooper, & Robinson, 2008;
Scheier, 2002; Markus & Nurius, 1986), the list of Deci & Ryan,  1987) because having the opportu-
factors that influence people’s choices is long. nity to make choices should theoretically lead to the
More limited in scope are theory and research that experience that one has self-authored and endorsed
have studied choice as a motivating experience behavior. However, choice has also been tied to the
that has cognitive, affective, and behavioral conse- other two needs: People feel competent when they
quences, which is the focus of this chapter. have control over and have chosen the tasks they
engage in (e.g., Henry, 1994; Henry & Sniezek, 1993;
Choice as a Motivator Langer, 1975) and feel related to others to the extent
The presumption that having choice can be a pow- that providing a choice and supporting autonomy
erful motivator is pervasive in theory and research. communicates caring and respect (Deci & Ryan,
Kurt Lewin (1952) provided one of the earliest 2014; Williams, Wallace, & Sung,  2016). In turn,
proposals of the notion that perceiving choice was self-determination theory holds that having choice
a powerful motivator, demonstrating that people will enhance intrinsic motivation, engagement,
would be more likely to engage in an activity if ­performance, and well-being (Deci,  1980; Deci &
they believed they had freely chosen it. Since then, Ryan, 1985; Ryan & Deci, 2000).
research inspired from a variety of perspectives has The importance of providing choices in the envi-
demonstrated that having and making choices can ronment is also emphasized in theories of academic
influence the way we think, how we feel, and what achievement motivation. For example, achievement
we do. Next, we will review theory and research goal orientation theory suggests that the provision

136 THE COMPLEX ROLE OF CHOICE IN HUMAN MOTIVATION AND FUNCTIONING

of choice may be one of several key instructional choices as a motivational strategy. Patall et al. (2010)
practices that differentiate mastery compared to conducted a classroom-based intervention to provide
performance classroom goal structure (Ames, 1992; causal evidence r­egarding the effects of providing
Ames & Archer,  1988; Epstein,  1989; Maehr & students with choices in authentic classrooms. They
Midgley, 1991; Meece, Anderman, & Anderman, found that high school students reported higher
2006). In turn, students’ adoption of a mastery intrinsic m ­ otivation to do homework, felt more
orientation supports a constellation of adaptive
­ competent regarding the homework, and performed
­motivational and performance outcomes, including better on a unit test following a unit in which they
greater effort, persistence, self-efficacy, intrinsic mo- received a choice between two options for each
tivation, and self-regulation; see Ames, 1992; Meece homework a­ ssignment compared to a unit in which
et al., 2006; for relevant reviews). Interest theories they did not have homework choices. In research
suggest that choice may be an important anteced- focused on interest development, Linnenbrink-
ent to students’ situational interest (e.g., Hidi & Garcia, Patall, and Messersmith (2013) found that
Renninger, 2006) and the subsequent development after controlling for students’ initial individual
of individual (personal) interest for a domain ­interest and perceived competence for science, the
(Krapp, 2005; Schraw, Flowerday, & Lehman, 2001; perception of having choices supported talented
Tsai, Kunter, Ludtke, Trautwein, & Ryan,  2008). adolescents’ situational interest for a science course
Academic expectancy-value theorists argue that op- during a 3-week summer program, as well as sub-
portunities for choice are critical to creating classroom sequent individual interest and perceived compe-
contexts in which values for school tasks develop and tence in science at the end of the program. Midgley
lead to enhanced self-perceptions and expectancies and Feldlaufer (1987) found that during the tran-
for ­success, as well as long-term engagement (e.g., sition to junior high school, students felt more
Eccles et al., 1993; Garcia & Pintrich, 1996; Jacobs competent and valued schoolwork more if they felt
& Eccles, 2000; Midgley & Feldlaufer, 1987). they had some role in choosing activities. Finally,
Extensive experimental and correlational research looking at the cumulative evidence, a meta-analysis
has routinely demonstrated that receiving or of 41 studies examining the effect of choice on in-
­perceiving task-related choices predicts enhanced trinsic motivation and related outcomes in a variety
autonomy, intrinsic motivation, and persistence of settings indicated that overall, providing choice
(e.g., Assor, Kaplan, & Roth;  2002; Cordova & indeed enhanced intrinsic motivation, effort, task
Lepper, 1996; Iyengar & Lepper, 1999; Mouratidis, performance, and perceived competence, among
Vansteenkiste, Sideridis, & Lens, 2011; Patall et al., other outcomes (Patall et al., 2008).
2008; Patall, Cooper, & Wynn, 2010; Patall, Dent, In fact, so strong is the relationship between choice
Oyer, & Wynn, 2013; Zuckerman, Porac, Lathin, and feelings of autonomy, control, and competence
Smith, & Deci, 1978), as well as enhanced effort, that choice may have a motivational quality even
engagement, task performance, subsequent learning, when the choices one makes have no relation with
perceived competence, preference for challenge, outcomes (Langer, 1975). Langer (1975) argued that
and creativity (e.g., Amabile, 1979, 1983; Amabile, as a result of people’s cumulative experience in which
Hennessey, & Grossman, 1986; Assor et al., 2002; having choice allows one to perform better on a task
Cordova & Lepper, 1996; Patall et al., 2008, 2010, by picking options that are tailored to one’s prefer-
2013, 2018; M.-T. Wang & Eccles, 2013). For ex- ences and abilities, even providing choices that have
ample, in one seminal study on the effect of choice no relation with the outcomes obtained can lead to
on intrinsic motivation, Zuckerman et al. (1978) heightened expectations of success. Furthermore, the
found that participants who were asked to choose cue that choice provides of an increased probability
three puzzles to work on among six options spent of success (Estes, 1976) may support motivation and
more time engaged in the puzzle-solving task in a increased resilience, even in the wake of initial failure
subsequent free-play period compared to partici- (Mikulincer, 1988). Consistent with these notions,
pants who were assigned to work on three of the Henry (1994) found that allowing male participants
six puzzles. Amabile and Gitomer (1984) found to choose between two sets of ­almanac questions
that children who were given choices of which task produced enhanced perceptions of competence prior
materials to use when creating a collage produced to engaging in the task, though the only information
collages that were assessed to be more creative provided was uninformative labels for the questions
than those produced by children given no choice. (i.e., Set A or Set B). Similarly, Langer (1975) found
Experiments in the field also support providing that expectancies for success were greater when

PATALL 137
participants were given a choice of ticket in the effects are driven in part by enhanced perceptions of
­lottery, even though outcomes in a lottery are deter- control, competence, and positive affect that alter
mined by chance. the appraisal and response to the treatment (e.g.,
Moreover, the motivational consequences of Geers et al., 2013).
choosing for feelings of autonomy, competence, and In sum, several psychological theories that em-
perceived control go beyond influencing psycholog- phasize the environmental precursors of motivation,
ical experiences to even affect people’s physical learning, and well-being have suggested that choice
health. A rather dramatic example is provided by may be an influential motivator. According to these
Langer and Rodin (1976), who conducted a field perspectives, having, making, and especially per-
study in a nursing home in which a group of pa- ceiving choices motivate greater engagement in be-
tients were given choices about their routines and haviors that were chosen and lead to a variety of
living environment, such as when to watch a movie psychological and even physical benefits. These ef-
or how to arrange their bedroom furniture, or had fects are assumed to occur because the experience of
these same decisions made for them by the nursing choosing allows people to fully endorse the behavior
home staff. The results showed that in addition to and tasks they engage in and supports a sense of
an increase in choosers’ happiness, they also had competence and control over one’s outcomes.
higher activity levels relative to nonchoosers, as well
as better physical health and even lower death rates Cognitive Perspectives
in the long run. More recent research has also linked Making choices also motivates various cognitive
choosing with healthy behavior or health benefits processes, including the way we think or what we
in the context of medical treatment (e.g., Geers & remember and learn. Choice making plays an im-
Rose,  2011). For example, Rohlfs Dominguez and portant role in cognitive dissonance (Festinger,
colleagues (Rohlfs Dominguez et al.,  2013) found 1964). Making a difficult choice or perceiving that
that children increased their vegetable intake when one had a choice in a situation that led to inconsistent
they were allowed to make choices about what to thoughts or behavior can elicit an aversive state known
eat. Relative to having just one vegetable to eat, as dissonance (Elliot & Devine, 1994). In turn, in-
children ate more vegetables when they either had dividuals experiencing dissonance are motivated to
the opportunity to select a vegetable at the begin- resolve those inconsistencies in one’s thoughts and
ning of a meal or had two vegetables on their plate behavior that triggered the dissonance in the first
to choose between throughout the meal. These choices place (e.g., Harmon-Jones & Mills, 1999). This dis-
had benefits even though children’s prechoice ratings sonance and attempts to resolve it arise because
indicated that all the vegetable options were liked people dislike inconsistency between their beliefs
on average across children in the sample, suggesting and the behavior they engage in, and therefore,
that the health benefits extend beyond simply giving people strive for their thoughts to be consistent with
people their preference. each other and with their behavior (Aronson, 1999;
Similarly, a number of studies have suggested Brehm, 1962; Festinger, 1957).
that in comparison to the standard medical ap- In response to difficult choices in particular, dis-
proach of simply prescribing a treatment, allowing sonance can arise because people readily experience
people to choose among treatment options leads to their thoughts about the options and their decisions
greater symptom reduction and satisfaction with about what to choose as potentially inconsistent.
the treatment (e.g., Handelzalts & Keinan,  2010; For example, in Brehm’s (1956) classic study exam-
McCaffery et al.,  2011; Rokke & Lall,  1992). ining the role of choice making, after receiving a
Importantly, the possibility that treatment choices chosen household appliance among several options,
may be effective exclusively because they allow participants who chose between appliances similar
­patients to find the best match of treatment given in desirability, according to their own initial ratings,
their medical and personal characteristics has been were found to subsequently rate the chosen object
ruled out by research demonstrating that choosing as more desirable and the unchosen object as less
predicts treatment efficacy even when the presuma- desirable. However, participants who were assigned
bly effective treatments are actually placebos (e.g., to receive a particular appliance or who were asked
Brown, Fowler, Rasinski, Rose, & Geers,  2013; to choose between appliances that they initially
Geers & Rose, 2011; Rose, Geers, Fowler, & Rasinski, viewed as highly discrepant in desirability showed
2013; Rose, Geers, Rasinski, & Fowler, 2012). little change in their attitudes toward the appliances
Rather, evidence suggests these treatment choice after receiving the one they were assigned or had

138 THE COMPLEX ROLE OF CHOICE IN HUMAN MOTIVATION AND FUNCTIONING

chosen. Subsequent studies provided additional were not honored, regardless of whether students
support for the notion that choice making itself can chose to study items they believe they had greater or
motivate an individual to shift his or her attitudes in lesser prior learning for (e.g., Kornell & Metcalfe,
an effort to reduce dissonance (Brehm & Cohen, 2006). Self-choice effects emerge often for both the
1959; Gerard & White,  1983; Lyubomirsky & items that participants chose to learn and other
Ross, 1999; Shultz, Léveillé, & Lepper, 1999). items that individuals were exposed to in the context
Similarly, a good deal of research suggests that of the task (e.g., Watanabe & Soraci,  2004), sug-
dissonance and attempts to reduce it primarily occur gesting that it is not just a matter of people choosing
when people perceive that they have freely chosen to easier information to remember. Along the same
engage in a behavior and can therefore accept respon- lines, memory benefits emerge even when choices
sibility for an action (e.g., Cooper & Fazio, 1984; are constrained, such that individuals cannot select
Goethals & Cooper, 1972; Harmon-Jones, Brehm, easier items to remember (e.g., Watanabe, 2001).
Greenberg, Simon, & Nelson, 1996). For example, Several mechanisms have been proposed to
Croyle and Cooper (1983) found that when partici- ­explain this phenomenon. Some researchers sug-
pants were asked to write a counterattitudinal essay, gest that choosing items to remember improves
participants who felt they had a great deal of choice memory and learning because it enhances a sense
regarding whether to write the essay demonstrated of control over the situation that motivates greater
greater physiological arousal (construed as a disso- arousal and cognitive engagement while learning
nant motivational state) compared to those who (Perlmuter & Monty, 1979; Perlmuter et al., 1971;
perceived having little choice. In turn, the more in- see Leotti, Iyengar, & Ochsner, 2010, for a review
dividuals perceive that they have chosen to express of the link between choice and perceived control).
an attitude counter to their personal beliefs, such as Other ­ explanations of why choosing enhances
writing that they liked an unpleasant-tasting drink memory and learning link the phenomenon to a
or that they thought a boring passage was i­ nteresting, number of cognitive biases that prioritize the proc-
the more they subsequently shift their attitudes essing of self-relevant information (e.g., Humphreys
(Cooper & Fazio, 1984; Harmon-Jones et al., 1996). & Sui, 2015; Klein & Loftus, 1988) and lead indi-
However, even without invoking cognitive viduals to memorize, encode, and retrieve informa-
­dissonance, choosing may drive people’s thoughts tion better (for example, through greater attention
and attitudes. According to self-perception theory, and better encoding strategies) when it is linked
“individuals come to know their own attitudes, with the self (Rogers, Kuiper, & Kirker,  1977;
emotions, and other internal states partially by Symons & Johnson, 1997). To the extent that al-
­inferring them from observations of their own overt lowing individuals to make choices about learning
behavior and/or the circumstances in which this be- stimuli encourages them to link stimuli with the
havior occurs” (Bem, 1972, p. 2). Thus, even when self, choosing can trigger particularly strong self-
initial attitudes are weak or unimportant (and disso- reference effects for memory and learning (e.g.,
nance does not occur), individuals may form (or Cloutier & Macrae, 2008; Cunningham, Brady-van
change) their beliefs upon observing their own den Bos, & Turk, 2011).
behavior if they believe the behavior was freely
­ It does not seem to take much for people to link
chosen (Chaiken & Baldwin, 1981; Fazio, 1981; Fazio, information to the self through their choices. For
Zanna, & Cooper, 1977). example, Cloutier and McCrae (2008) found that
Choosing may not only motivate us to adopt participants were better at remembering words that
particular thoughts and attitudes consistent with our appeared on numbered tickets they had personally
choices, but also directly influence what we remem- chosen compared to the words that appeared on
ber and how we learn. A pervasive finding within tickets chosen by another participant. Similarly,
research on memory and learning is that informa- Cunningham, Brady-van den Bos, and Turk (2011)
tion is remembered better when individuals choose demonstrated that undergraduate students were
what to learn as opposed to experimenters making better at remembering self-chosen, self-owned shop-
all selections for the learner (e.g., Kornell & ping items (items that are identified as chosen and
Metcalfe, 2006; Perlmuter, Monty, & Kimble, 1971; belonging to the self) than they were at remembering
Takahashi,  1991; Watanabe & Soraci,  2004). For self-owned items that were assigned to them by
example, research has consistently shown that
­ someone else.
honoring students’ study choices of what to restudy Moreover, the cognitive benefits of choosing
produces superior learning than when study choices seem to emerge even when people are not allowed to

PATALL 139
choose what particular items or information they e­ xperiences of control are inherently rewarding and
learn, but how they learn (e.g., Metcalfe, 2009). For motivating at a neural level (e.g., Leotti & Delgado,
example, although extensive evidence points to the 2011,  2014; Murayama et al.,  2016), having been
limitations of massed study and the benefits of adaptively selected for evolutionary survival (Leotti
­spacing study over time (e.g., Cepeda, Pashler, Vul, et al., 2010).
Wixted, & Rohrer,  2006), Son (2010) found that According to this biological perspective, humans
spacing study enhanced learning among both un- have developed a biological system that rewards
dergraduate students and elementary school students choosing due to the adaptive benefits of organisms
only when it had been the students’ own choice being able to select behaviors that lead to desirable
and not when spacing study had been forced on outcomes and avoid undesirable outcomes. In line
the student. with this, when faced with an initial choice between
Finally, choosing may influence memory and options of similar expected value, animals and humans
learning not only through enhanced perceived con- alike demonstrate a preference for options that lead
trol or prioritized self-relevant processing, but also to an additional choice over options that do not
because it may motivate particular ways of thinking. (e.g., Bown, Read, & Summers, 2003; Suzuki, 1999).
Specifically, choosing may activate analytic cognition Support for this biological perspective also comes
rather than holistic cognition in which people focus from evidence that from an early age, both people
on differences rather than similarities or connections and animals react with a great deal of stress over the
between objects (Oyserman, Sorensen, Reber, & restriction of choice in their behavior and even have
Chen, 2009). This happens because choosing itself inhibited physiological and behavioral stress responses
requires a decision maker to discriminate between when they have some choice, or at least perceive
options (e.g., Bettman, Luce, & Payne, 1998; Russo control, in a stressful situation (e.g., Clubb & Mason,
& Leclerc,  1994) and makes the concept of inde- 2003; Mineka & Henderson, 1985; Thompson, 1981).
pendence salient, a construal known to be linked with The neuroscientific evidence also supports the
greater analytic thinking (e.g., Varnum, Grossman, idea that the brain is hardwired to react positively to
Kitayama, & Nisbett, 2010). As such, recent experi- choosing. Research suggests that brain areas, such as
ments have suggested that making a choice, thinking the bilateral ventral striatum, ventromedial prefrontal
about choices, or viewing others make choices triggers cortex, and the midbrain, known to be associated
an analytic mindset in which people attend primarily with reward and the subjective experience of value,
to focal objects rather than background changes and have been found to be activated when participants
readily categorize objects (e.g., Savani, Stephens, & receive or anticipate choice (e.g., Leotti & Delgado,
Markus, 2017). Taken together, cognitive research on 2011; Leotti et al., 2010), with more options being
choosing has suggested that choice motivates partic- linked with greater activity in these rewarding areas
ular ways of construing or processing information of the brain (e.g., Fujiwara et al., 2013; Aoki et al.,
that often lead to benefits for memory and learning. 2014). For example, Tricomi and colleagues (Tricomi,
However, it remains possible, though unexplored, Delgado, & Fiez, 2004) found that the striatum was
that choice–cognition links may have undesirable activated to a greater extent with rewards that
consequences as well (e.g., Savani et al., 2017). ­followed choices than the same rewards without
choices. In even more direct evidence, Leotti and
Biological and Neuroscience Perspectives Delgado (2011) demonstrated through functional
Given the extensive research documenting the links magnetic resonance imaging that participants expe-
between choosing and motivation, cognition, per- rienced increased activation of the bilateral ventral
formance, and well-being from psychological and striatum and the midbrain in response to being
behavioral perspectives, it is not surprising that presented with a cue that indicated they would
scholars have argued that there are biological roots ­receive a choice rather than be forced to select a
at the heart of the link between choice and motiva- ­particular key in a computer task, even though all
tion (e.g., Leotti et al.,  2010) and neuroscientific keys had the same expected reward value.
evidence to suggest that choice has motivational In line with research suggesting that choices and
underpinnings (see Leotti et al., 2010; Murayama, perceptions of control mitigate stress responses in
Izuma, Aoki, & Matsumoto,  2016, for reviews). stressful situations, neuroscientific evidence also
What research from this perspective suggests most suggests that choosing may buffer against aversive
basically is that choosing and corresponding experiences, such as negative feedback. Murayama

140 THE COMPLEX ROLE OF CHOICE IN HUMAN MOTIVATION AND FUNCTIONING

and colleagues (Murayama et al., 2015) found that attitude change (Collins, Ashmore, Hornbeck, &
following failure feedback, participants who were Whitney, 1970; Melson, Calder, & Insko, 1969).
forced to accept certain options for a game experi- For example, in a series of studies, Flowerday and
enced decreased activation in the ventromedial colleagues (Flowerday & Schraw, 2003; Flowerday,
prefrontal cortex, a decrease being indicative of an Schraw, & Stevens,  2004) found choice had few
aversive experience. However, this decrease in positive effects. For example, giving students a choice
­activation in response to failure feedback was not between working on a crossword puzzle or essay
observed among participants who had made task showed no effect on engagement and task per-
choices about the game. formance (Flowerday & Schraw, 2003). Students in
Finally, neuroscientific evidence has converged the choice condition demonstrated reduced effort
with evidence related to the role of choice in cogni- compared to students not given a choice of tasks. In
tion, memory, and learning. Tompson and colleagues a second study, students allowed to choose the pacing
(Tompson, Chua, & Kitayama,  2016) found that of the task spent less time studying and performed
changes in the functional connectivity between more poorly on cognitive measures compared to
­regions of the brain presumed to relate to self-­ students whose pace was dictated by the experi-
reflection (medial prefrontal cortex and posterior menter (Flowerday & Schraw, 2003). In two addi-
cingulate cortex/precuneus) following choosing tional studies, no-choice participants were found to
among options predicted the classic shift in atti- write higher quality essays compared to students
tudes toward the chosen option seen in dissonance who were given choice. Choice had no effect on
research. Moreover, neuroscientific evidence sug- a  subsequent test to assess learning (Flowerday,
gests that some of the brain structures involved in Schraw, & Stevens, 2004). Similar findings were re-
the reward network, such as the striatum, also regu- ported by Assor et al. (2002) when they distinguished
late activity in memory-related brain structures such between three forms of teacher practices meant to
as the hippocampus, thereby facilitating declarative support the need for autonomy among students:
memory (e.g., Lisman & Grace, 2005). Along these fostering relevance by articulating the importance
lines, recent evidence suggests that the provision of of a task for students’ personal goals, allowing stu-
choice predicted greater striatal activity and better dents to express dissatisfaction with learning tasks,
subsequent remembering after a 24-hour delay and providing opportunities to make choices. They
(Murty, DuBrow, & Davachi, 2015). In sum, neu- found that while allowing students to express their
roscientific evidence complements the findings of concerns if they do not like a task and fostering the
psychological and behavioral research, suggesting relevance of a task promoted engagement, percep-
that having the opportunity to choose is inherently tions of provision of choice had little impact.
motivating and supportive of performance at a In line with null and negative findings, some
neural level under many circumstances. psychologists have suggested that choice may have
disadvantages. Schwartz (2000) argued that
The Conundrum of Choice from Americans now live in a world in which the ability
Psychosocial, Cognitive, and to choose everything from breakfast cereal to the
Sociocultural Perspectives way one wants to live is greater than ever before,
Thus far, I have presented a relatively positive view though depression and unhappiness are on the rise.
of the provision and experience of choice. Despite a That is, although some choice may have benefits, as
great deal of theory and research suggesting that the number of options and opportunities for making
choice is a powerful motivator of often fairly adaptive choices becomes excessive, motivation and well-­
behavior, not all studies within the various perspec- being suffer due to the cost of giving up alternatives
tives already described have found choice to be a and regret with the choices made. Accordingly,
ubiquitous motivator. Several studies indicated that Schwartz (2000, 2004) and Schwartz and colleagues
choice may have no effect or even a negative effect (Schwartz et al.,  2002) argue that constraints on
on performance and adaptive motivation outcomes choosing may often be beneficial.
like effort and interest (Overskeid & Svartdal, 1996; According to one self-regulatory perspective
Parker & Lepper, 1992; Reeve, Nix, & Hamm, 2003). proposed by Baumeister, Muraven, and colleagues
Likewise, not all studies from dissonance and attri- (Baumeister, Bratslavsky, Muraven, & Tice,
bution theory perspectives have found that greater 1998; Muraven & Baumeister,  2000; Muraven,
choice conditions produce greater dissonance and Baumeister, & Tice,  1999), all acts of choice are

PATALL 141
e­ffortful and draw on a limited resource for not incompatible with the personal benefits. Markus
self-control, analogous to a source of energy or and Kitayama (2003) labeled this implicit under-
strength, that can be depleted. Since all acts of standing that choices are plentiful and “actions are
­volition or self-regulation draw on the same re- ‘freely’ chosen” and “contingent on one’s own pref-
source, any act of choice will have a ­detrimental erences, intentions, [and] motives” (p. 7) pervasive
effect on subsequent acts that continue to require among Westerners the disjoint model of agency.
self-regulation. Consequently, engaging in a choice Savani and colleagues (Savani & Rattan,  2012;
can result in a state of fatigue or self-­regulatory re- Savani, Stephens, & Markus, 2011) argued that this
source depletion in which the individual experiences understanding of choice may lead Westerners to
a decrement in the capacity to initiate activity, ­believe that most (or all) actions and outcomes can
make choices, or further self-regulate. A  number be construed in terms of one’s choices and, thus,
of studies, as well as a meta-analysis, have demon- “regardless of social contextual circumstances, indi-
strated the depleting effect of choice (e.g., Hagger, viduals are responsible for their own actions and life
Wood, Stiff, & Chatzisarantis, 2010). For example, outcomes, and . . . they have the right to control
Baumeister and colleagues (Baumeister et al., 1998) their own lives free from the constraints of other
found that participants who were given a choice of people and of society” (Savani et al., 2011, p. 795).
which side to take in a debate persisted for less time Indeed, evidence has highlighted the complexity
and made fewer attempts at solving subsequent puz- of choice effects on socially relevant outcomes. For
zles compared to participants who were not asked example, in line with a psychosocial perspective,
to make a debating choice. In other studies, par- Patall and Leach (2015) found in one study that
ticipants who made choices among household prod- choice may help to solve the motivational dilemmas
ucts, among college courses, or about the content that result in cheating (e.g., Ruedy, Moore, Gino, &
of courses demonstrated a reduced ability to exert Schweitzer, 2013) by promoting an individual’s sense
self-control on a subsequent task, such as drinking of competence, control, and interest. Specifically,
a bad-tasting beverage or persisting and performing the opportunity to make task choices mitigated un-
well on a challenging math task (Vohs et al., 2008). dergraduate students’ tendency to misreport their
That said, it is important to note that there is an score on an experimental task. However, the benefits
important methodological difference between the of choices were not entirely desirable and follow-up
studies exploring motivation from self-regulatory studies revealed that choice may also prime a disjoint
depletion and self-determination perspectives. model of agency that emphasizes that people have
Namely, the effect of making choices within the an unfettered right to control their own outcomes.
context of the self-regulatory depletion framework Specifically, a follow-up study (Patall & Leach, 2015)
has always been tested by examining subsequent suggested that perceptions of having choice oppor-
­resources, persistence, or motivation on a task separate tunities in the classroom predicted perceptions of
from and largely unrelated to the choice-making having greater opportunity to cheat, which in turn
­activity. Within the self-determination theory per- predicted more favorable attitudes toward cheating
spective, the effects of choice are typically examined and greater anticipated cheating behavior. This un-
for the same tasks for which choices were originally desirable relationship between perceptions of choice
made. Given the extensive evidence for both per- and anticipated cheating through perceptions of op-
spectives, it seems reasonable to suggest that choice portunity occurred simultaneously with benefits of
making may provide motivational benefits for those perceiving choice for beliefs about competence and
activities and objects related to the choices previously control that mitigated anticipated cheating.
made and simultaneously incur undesirable motiva- Likewise, Savani and colleagues (Savani et al.,
tional and self-regulatory costs for activities and 2011), and Savani and Rattan (2012) found in a
objects unrelated to the choice made. series of investigations that choice predicts unde-
A dark side of choice is revealed in sociocultural sirable social and interpersonal consequences among
perspectives as well. Perceiving choices has several Westerners, including decreased support for com-
positive psychological, cognitive, and behavioral munally beneficial policies, increased victim blaming,
consequences, particularly for individuals within and decreased empathy for disadvantaged people
American society, because it allows individuals to (e.g., Savani et al., 2011). For example, participants
feel that they direct and control their own actions who were asked to watch a video of a college student
and outcomes. However, those same experiences can engaging in everyday activities and monitor the
also have interpersonal and societal costs that are choices he or she made (versus monitor each time

142 THE COMPLEX ROLE OF CHOICE IN HUMAN MOTIVATION AND FUNCTIONING

he or she touched an object) expressed less support Confluence of Constructs
for affirmative action policies. In additional stud- Before discussing specific factors that help explain
ies, participants who were led to think about the diversity of choice effects, it is important to
choice expressed less support of socially beneficial note that one challenge to scholars attempting to
policies that would limit individual freedom (like understand the function of choice is the complex-
banning violent video games or reducing unhealthy ity of the concept itself. Much of the confusion
foods in school lunches) and were more likely to centers around the distinction between choice and
blame the victim of an event like a heart attack, related concepts like autonomy and control and
being physically abused, or getting into a car accident. the differences between having, making, perceiving,
Savani and Rattan (2012) found that people who and experiencing choices (e.g., also see Shepard &
thought about their choices or the choices of O’Grady, 2017).
others were less likely to see wealth inequality as a The act of making a personal choice is some-
problem or support policies to promote equitable times conflated with the concept of autonomy, and
distribution of wealth compared to people who the two have sometimes even been considered
did not think about choices. Thinking about one’s ­interchangeable (e.g., Bandura,  1989; Iyengar &
actions in terms of choices may also further disad- Lepper, 1999; Markus & Kitayama, 1991). That is,
vantage marginalized or minoritized individuals. from the perspective of some scholars, autonomy is
Stephens and Levine (2011) found that stay-at-home the extent to which an individual functions inde-
mothers who viewed their workplace departure pendently and engages in behaviors and makes
following the birth of a child as an individual choice ­decisions without relying on others (e.g., Markus &
had greater well-being, but were also less likely to Kitayama, 1991; Smetana, Campione-Barr, & Daddis,
recognize workplace barriers to equity compared 2004). However, sometimes when scholars refer to
to mothers who did not view their departure as a choice, they are referring to an experience of having
choice. Importantly, these findings seem not to the “ability to exercise control over ourselves and
generalize to individuals from cultures with differ- our environment” (Iyengar, 2010, p. 7). This con-
ent understandings of how choices relate to peoples’ ceptualization of choice goes beyond merely having
actions (e.g., Savani et al., 2011), a topic we will get (or perceiving) that an individual has options or has
to more in the coming sections. made a selection among them. Rather, it reflects an
In sum, not all research examining the effects of experience of freedom and control over decision-
choice has found choosing to enhance motivation or making and behavior (e.g., Deci & Ryan,  1985;
to have ubiquitously beneficial effects. Some theorists Reeve et al., 2003).
have suggested that there may be limitations or draw- Why is this a challenge? The problem is that
backs of choosing. Choice is an effortful and some- ­although the act of making a choice implies (at least
times ego-involved process that may deplete resources some) independent functioning (aligning with one
and motivation to engage in subsequent behavior. narrow conceptualization of autonomy), having
Moreover, recent evidence suggests that the focus on and making choices does not always translate into
choice in Western societies may heighten the per- actually feeling volitional and experiencing one’s
ceived importance and value of personal contribu- ­behavior as consistent with personally valued inter-
tions to one’s outcomes and downplay the influence ests, preferences, and needs (a broader conception
or importance of contextual and structural factors on of autonomy that self-determination theorists
people’s outcomes. This tension may drive many of ­endorse, e.g., Ryan & Deci,  2000; Vansteenkiste,
the psychological benefits that individuals experi- Niemiec, & Soenens, 2010). Moreover, when choice
ence when they perceive choice, while simultaneously is conceptualized as an experience, it can easily
producing societal inequities and personal costs to be conflated with the concept of autonomy (when
those whose outcomes fail to meet expectations. defined as volitional functioning) and perceived
­
control (e.g., E. A. Skinner, 1996), neither of which
Explaining the Diverse Effects of Choice necessarily requires having chosen.
There is little doubt that the effects of choice are Rather than using the choice concept synony-
diverse and the relationship with motivation is
­ mously with autonomy or control, it is important to
­complex. Characteristics of the choice, the person, recognize that the provision of choice can be concep-
the situation, and the outcome may all determine the tualized as a characteristic of the environment and the
effects of choice. Next, I discuss some of those influ- act of choosing as an imperfect cognitive-behavioral
ential factors to help disentangle this complexity. antecedent to feeling autonomous, competent, and

PATALL 143
in control (e.g., Langer,  1975; Leotti et al.,  2010; would reconcile discrepancies, Moller et al. (2006)
E. A. Skinner, 1996). Moreover, the imperfect nature found that when an unrestricted autonomous form
of people’s perceptions of the world (e.g., Kahneman, of choice was provided, it had a beneficial effect in
Slovic, & Tversky,  1982; Nisbett & Ross,  1980) terms of persistence and performance outcomes,
means that having and making choices does not whereas depletion resulted when a controlled choice
guarantee that an individual will perceive the oppor- was provided. A meta-analysis my colleagues and
tunity to choose or experience a sense of autonomy I conducted reconfirmed this pattern (Patall et al.,
and control (e.g., Katz & Assor, 2007). By the same 2008). We found that the average effect of choice
token, choosing may sometimes live only in one’s on intrinsic motivation was smaller in studies in
mind. For example, Americans readily perceive all which participants were subtly pressured to choose
their actions as choices (e.g., Savani, Markus, Naidu, a particular option or were provided options grossly
Kumar, & Berlia, 2010). Sometimes people perceive dissimilar in attractiveness (to increase the likeli-
making a choice that evidence suggests they did not hood that all participants would choose a particular
make (e.g., Wegner, 2002) or benefit from choices target option) compared to studies in which this
that had no real consequences (e.g., Langer, 1975; subtle pressuring or strategic pairing of options was
Taforodi, Milne, & Smith,  1999). With these dis- not used.
tinctions in mind, it becomes easier to understand Along similar lines, Choi and Fishbach (2011)
why choice opportunities and choosing can have found across four studies that instrumental choice,
such diverse effects. in which the goal of choosing is to accomplish some
separable end (i.e., to consume a product), under-
Conditions That Build Up and Build mined mental resources and resulted in less interest
On Autonomy and Interest in a chosen product relative to not choosing. In
Choosing derives many of its benefits from facili- contrast, experiential choice, in which the goal of
tating a sense of autonomy (e.g., Ryan & Deci, the choosing was merely to express ones’ preferences
2000). But, when choice is disconnected from the and interests, increased mental resources and inter-
experience of autonomy or even conflicts with est in the product. In other words, when choosers
the experience of autonomy, it may lose its power become extrinsically motivated to choose exclusively
to motivate adaptive outcomes (e.g., Katz & Assor, as a means to bring about some separable desirable
2007). Some mixed findings may emerge because outcome, choosing may have fewer psychological
not all choices (or perceptions of choices) facilitate benefits and the decisions people make can be un-
autonomy or build on people’s interests. dermined. But, when choosing itself is an autono-
Moller and colleagues (Moller, Deci, & Ryan, mous experience of expressing one’s preferences and
2006) highlighted the importance of considering interests without the pressure that comes with being
how the choices being given support feelings of overly focused on outcomes, choosing builds psy-
­autonomy in an attempt to integrate contradictory chological resources and the outcomes of choosing
predictions from a self-determination theory perspec- are valued.
tive compared to a self-regulatory strength depletion The importance of designing choices that build
framework. Specifically, Moller et al. (2006) suggested up autonomy goes beyond avoiding the overt pres-
that contradictory findings result from the lack of sure or control that may characterize some forms
differentiation between choices that either promoted of choice. For choosing to have psychological and
participants’ sense of autonomy or provided them ­performance benefits, it must allow an individual
with a controlled form of choice. Moller et al. to express his or her true preferences (e.g., Katz &
(2006) suggested that most often in studies of ego Assor,  2007; Flowerday & Shell,  2015; Tafarodi,
depletion, a controlled form of choice is implemented Mehranvar, Panton, & Milne,  2002) and self-­
in which participants are led to pick a particular regulate his or her behavior (e.g., Reeve et al.,
option. That is, while participants are told they have 2003). Reeve et al. (2003) suggested as much based
a choice among options, they are subtly pressured to on a review of existing literature and their own
pick a particular option. In contrast, studies coming series of studies in which they found that when
out of the self-determination perspective generally choice was designed in such a way that it allowed
provide an unrestricted choice with no indication people to freely regulate their ongoing behavior, it
provided as to which option should be chosen. effectively enhanced intrinsic motivation. However,
In  support of their hypothesis that differentiating when the choice only allowed participants to select
between autonomous and controlled forms of choice among task options provided by an experimenter,

144 THE COMPLEX ROLE OF CHOICE IN HUMAN MOTIVATION AND FUNCTIONING

it did not successfully enhance intrinsic motivation. from choosing and avoid some of the costs of putting
Even when choices are designed to allow people to effort into choices if they like or care about the domain
express their true preferences and self-regulate be- or activity in the first place.
havior, it is worth noting that they can still back- Finally, the extent to which choices build up or
fire to the extent that people do not always know build on existing autonomy and interest relates to
their own preferences before making a decision and the nature of tasks themselves (e.g., Patall,  2013;
construct them on the spot during the decision-­ Tafarodi et al., 1999). In fact, many demonstrations
making process (Feldman & Lynch, 1988; Payne, of improved motivation and performance due to
Bettman, & Johnson, 1993). choice have involved neutral or lackluster activities,
Not only does the motivational quality of the such as solving anagram puzzles and paired-associate
choices influence the benefits of choosing, but also word learning (e.g., Iyengar & Lepper, 1999; Monty,
the motivational orientation of the person doing the Rosenberger, & Perlmuter, 1973; Perlmuter & Monty,
choosing influences how successful choosing will 1973) or homework in a classroom context (Patall
be for further motivation promotion (e.g., Patall, et al., 2010). In an explicit test of this, Patall (2013)
2013). People undoubtedly vary in their initial levels found that choosing enhanced undergraduate
of interest and value for any given task. The benefits ­students’ interest, perceived competence, and value
of choosing may depend on whether choices build for a reading comprehension task when the reading
on existing feelings of autonomy and motivation. passage was normatively boring but not when the
While some limited evidence and theory suggest passage was interesting. Further, Patall (2013) also
that providing choices may be particularly benefi- provided some evidence to suggest that the context
cial when personal interest for the task at hand is in which choice may yield the greatest benefits is
lacking (Flowerday & Schraw, 2000; Schraw et al., one in which the individual has some initial interest
2001; Tsai et al.,  2008), there is also evidence to in the general activity (e.g., reading) but the specific
suggest that optimally motivated individuals—those version of the task (e.g., a particular passage) is
who have an existing interest in or value for the ac- boring and could be improved with personal choice.
tivity they are presented choices about—benefit In other words, provided that an individual is in the
most from having the opportunity to make choices right frame of mind, choices may have benefits, par-
(e.g., Mouratidis et al., 2011; Patall, 2013). For ex- ticularly when there is more opportunity to improve
ample, in one study (Patall, 2013), undergraduate the nature of the task by incorporating personal
students reported a greater preference for choosing preferences and interests in the context of a motiva-
aspects of a task in response to scenarios that described tionally deprived task.
a task that was more, compared to less, personally
interesting. Moreover, Patall (2013) revealed in a Conditions That Build Up and Build
second study that choosing aspects of a trivia game On Competence and Control
enhanced posttask interest for the game most for The motivational, learning, and well-being benefits
individuals who were high in initial individual of choosing depend not only on feeling autono-
interest for trivia games in general. Similarly,
­ mous, but also on feeling competent and in control
Mouratidis, Vansteenkiste, Sideridis, and Lens (e.g., Leotti et al., 2010). In fact, it would seem that
(2011) found that elementary-age Greek physical those who most desire control are the individuals
education students with higher, compared to lower, who stand to benefit the most from having choices
autonomous motivation benefited significantly (e.g., Geers et al., 2013; Thompson & Schlehofer,
more from teachers providing choice opportunities 2008). However, putting aside individual differ-
in terms of their interest and enjoyment during ences in the desire to have control, when choosing
class. A similar pattern emerges even when choosing is out of sync with one’s experience of competence
is the focal task and people’s persistence on subse- and control, it may have few benefits. For example,
quent (unrelated) tasks is the outcome. Evidence choosing is experienced as stressful and can diminish
suggests that experiencing the choice-making self-confidence when the chooser feels insufficiently
process itself as enjoyable may lead people to be informed or rushed to make decisions (Paterson &
more satisfied with their choices and protect them Neufeld, 1995; Rodin, Rennert, & Solomon, 1980).
from experiencing self-regulatory depletion and When choosing involves an excessive number of
lower persistence on subsequent tasks after choosing options, options that are difficult to compare, or
(e.g., Feldman, Baumeister, & Wong, 2014; Vohs suboptimal strategies for making a decision, people
et al., 2008). In sum, people are more likely to benefit avoid choosing and satisfaction with one’s choices

PATALL 145
is undermined (e.g., Katz & Assor, 2007; Iyengar, among options that are very similar, nonlinear in
Huberman, & Jiang, 2004; Iyengar & Lepper, 2000). their trade-offs, or unattractive may influence the
When people are prepared to make choices that effort needed to make a decision and, in turn, the
bring about the outcomes they desire, choice is benefits of choosing (e.g., Botti & Iyengar,  2004;
­empowering. But, when people lack prerequisite Higgins, Trope, & Kwon, 1999; J. Wang, Novemsky,
knowledge or skills for the task, choosing may have Dhar, & Baumeister, 2010). Choosers make subop-
fewer benefits. For example, more efficacious indi- timal choices and delay making choices when
viduals desire more options, feel more satisfied with ­confronted with equally attractive or highly risky
their decisions when they had more options, and, in options (Luce,  1998; Mischel & Ebbesen,  1970;
turn, perform better; the opposite is true of less effi- Shafir, Simonson, & Tversky, 1993; Shafir & Tversky,
cacious individuals (e.g., Chua & Iyengar,  2005; 1992; Yates & Mischel, 1979). Higgins et al. (1999)
Reed, Mikels, & Löckenhoff, 2012; Scheibehenne, found that children demonstrated less intrinsic mo-
Greifeneder, & Todd, 2010). M.-T. Wang and Eccles tivation when given two equally preferred activities
(2013) found that middle school students’ percep- to choose from compared to when just one preferred
tions of being provided with choices at school during activity was offered. Likewise, when required to
academic tasks positively predicted engagement for choose among unwanted options, the effort needed
high achievers but negatively predicted engagement to make a decision may be greater (Higgins, 1998;
for low achievers. In a series of three studies with Janis & Mann, 1977; Lewin, 1951), diminishing the
college students, Patall and colleagues (Patall, benefits of choosing. In one study (Botti & Iyengar,
Sylvester, & Han, 2014) found that the provision of 2004), participants were asked to either choose or
choice enhanced perceived competence and intrinsic not choose among either appealing or unappealing
motivation and, in turn, willingness to engage in the yogurt flavors. Although all subjects preferred to
game again and improved task performance when choose for themselves, choosers reported greater sat-
initial perceptions of competence were high; however, isfaction and ate more yogurt than nonchoosers only
motivation diminished with choice when perceived when the yogurt options were appealing. When the
competence was low. This pattern held whether ini- yogurt options were unappealing, choosers were less
tial perceived competence was simply measured, satisfied and ate less yogurt than nonchoosers.
manipulated by altering the difficulty of the task, or The number of options provided or the total
manipulated with competence feedback. number of choices an individual makes within a
Given that there can regularly be misalignments limited time frame may also increase the effort
between choice opportunities and the chooser’s skills ­required to choose and influence the effects of pro-
or knowledge, it makes sense that people would viding choice. While a self-determination model
sometimes relinquish choice to trusted others (e.g., might predict that too few options or choices may
Bao & Lam, 2008; van Petegem, Beyers, Vansteenkiste, not be powerful enough to bolster the individual’s
& Soenens, 2012) or need choices to be accompanied sense of autonomy, a decision-making or self-­
by clear expectations, guidelines, or scaffolding regulatory perspective suggests that many options
to benefit (e.g., Vansteenkiste et al., 2012; Thiede, or choices requires exertion of more effort and
Anderson, & Therriault, 2003). energy. As the cognitive “workload” of deciding be-
tween options and making choices increases with the
The Role of Level of Effort number of options and discrete choices available,
The extent to which a choice is effortful may also play choice may come to be experienced as overwhelming
a role in its effects. Inevitably, all choosing, even rather than motivating and decision-making may
simple choices, may require some effort expenditure become impaired as a consequence (Botti & Iyengar,
that has costs as well as benefits (e.g., Chernev, 2003; 2006; Greenleaf & Lehmann,  1995; Huffman &
Hagger et al., 2010; Luce, Bettman, & Payne, 1997; Kahn, 1998; Malhotra,  1982; Payne et  al.,  1993;
Simonson,  1992). The greater the extent to which Shugan, 1980).
making a choice is an effortful process, the less likely In fact, research has supported the proposition
it will be to afford motivational benefits and the more that more choice does not necessarily lead to greater
likely it will be that choosing is accompanied by motivation. The meta-analysis I performed with my
regret or is avoided altogether (e.g., Grant & Schwartz, colleagues (Patall et al., 2008) suggested that there
2011; Chernev, Böckenholt, & Goodman, 2015). were an optimal number of choices to be made, with
Some choices are structured such that they 2 and 4 choices producing the greatest effect on in-
are  harder to make. For example, making choices trinsic motivation compared to when participants

146 THE COMPLEX ROLE OF CHOICE IN HUMAN MOTIVATION AND FUNCTIONING

made more or fewer choices. In a series of three or tap into experiences of autonomy, competence,
studies, Iyengar and Lepper (2000) asked that par- and control, making it tough to determine the
ticipants choose between 6 or 24 options. They extent to which various factors influence the effects
found that people were more likely to purchase of choice. Choices that require extensive effort may
gourmet jams or chocolates or undertake an op- leave the chooser feeling uncertain that his or her
tional class essay assignment when offered the small interests and preferences were realized in the choice
array of options to choose among. In one study or that the choice brought about desirable out-
(Chua & Iyengar,  2005), when participants were comes. By the same token, the characteristics of
given an extensive choice of initial themes from choices and choosers that reduce the effort needed
which to generate ideas for a print advertisement to make a decision are also likely to tap into and
and told their goal was to be creative, they demon- build up the choosers’ sense of autonomy, compe-
strated less creativity and more frustration compared tence, and control. This tension between autonomy,
to those who were given fewer themes. Furthermore, competence, control, and effort factors may help to
participants in the limited-choice condition re- explain why seemingly trivial or task-irrelevant
ported more interest in participating in similar choices, presumably requiring limited effort to make,
future studies than those in the extensive choice have been routinely found to provide significant
condition. This choice overload phenomenon may benefits for motivation, performance, and well-­
also be reflected in the decision-making strategies of being (e.g., Cordova & Lepper,  1996; Langer &
choosers (e.g., Schwartz et al.,  2002). Individuals Rodin, 1976; Tafarodi et al., 1999). In a meta-analysis
who engage in maximizing choice-making strategies of the effects of choice on intrinsic motivation, my
in which all options are exhaustively investigated in colleagues and I (Patall et al., 2008) found evidence
order to find the best alternative make better deci- that trivial or instructionally irrelevant choices were
sions than individuals who engage in satisficing the most effective in supporting intrinsic motiva-
strategies in which options are evaluated only until tion compared to instructionally relevant choices or
an acceptable option is found. However, these choices among tasks, versions of a task, or rewards.
“maximizers” are also more overwhelmed by the That is, potentially in contrast to other types of choice,
choosing process and less satisfied with the outcomes instructionally irrelevant choices may support
of choosing (Iyengar, Wells, & Schwartz, 2006). For ­autonomy and motivation by providing an oppor-
example, job seekers who pursued more rather than tunity to express personal preferences with minimal
fewer job opportunities were less satisfied with their effort and without an excessive extrinsic focus on
accepted job offer and reported less commitment to the outcomes of the task.
their position even though they obtained a job with
a better salary (Iyengar, Elwork, & Schwartz, 2006). Cultural Context
However, when the cognitive effort needed to The meaning and value of choice also varies depend-
make choices is alleviated, either because of the ing on the cultural context (e.g., Markus & Kitayama,
way choices are structured or because of the choos- 2003; Savani et al., 2010; Snibbe & Markus, 2005;
er’s existing skills, the benefits of choosing may be Stephens, Markus, & Townsend, 2007). Culture has
apparent even when the set of options is extensive. been hypothesized to moderate the effects of choice
For example, grouping options into categories ap- in light of seminal work suggesting that in individ-
pears to alleviate the detrimental effects of having ualistic Western cultures (including the United
an extensive set of options to choose among States), personal agency and independence may be
(Mogilner, Rudnick, & Iyengar, 2008). Likewise, central to one’s self-concept (Markus & Kitayama,
several meta-analyses have suggested that the choice 1991). However, in more collectivistic Eastern cul-
overload effect does not emerge when decision tures (such as those in Asian countries), agency may
makers have expertise or existing, strong preferences, have less importance. Instead, Easterners may have
when the complexity of the options and their pres- more interdependent self-concepts in which the goal
entation is minimized, and when there is greater of belongingness is achieved by acting in accordance
flexibility in terms of time and accountability for with one’s social obligations to others (Markus &
making decisions (Chernev et al., 2015; Scheibehenne Kitayama, 1991). Consequently, compared to indi-
et al., 2010). viduals from independent cultures, making choices
This discussion should highlight that this issue of may not hold as much importance for individuals
effort put into choosing is likely to be inextricably from interdependent cultures unless it makes refer-
entangled with the extent to which choices support ence to significant others.

PATALL 147
 In fact, evidence suggests that individuals from students, motivation and performance were most
more interdependent cultures construe fewer ac- enhanced when making a personal choice. In another
tions of themselves and others as choices, are more example, Bao and Lam (2008) found, in a series of
likely to construe their actions as choices when they studies, that Chinese students’ motivation and per-
involved a response to another person, are less likely formance on academic tasks were also enhanced
to choose based on their own personal preferences, when mothers or teachers made choices for them,
and prefer fewer options when there is a choice to but only if they felt close to their mother or teacher.
make (Henderson, 2013; Savani, Markus, & Conner, When they did not feel close, making a personal
2008; Savani et al.,  2010). Moreover, previous choice enhanced their motivation and performance
research suggests that one’s cultural background
­ most strongly. However, students’ level of autono-
may influence the extent to which choosing results in mous motivation positively related to self-reported
dissonance, motivates action, supports well-being, behavioral engagement regardless of how close stu-
or has unintended social or interpersonal conse- dents felt to their teacher. Together, these findings
quences (e.g., Brown et al., 2015; Heine & Lehman, suggest a point made previously, namely, that
1997; Iyengar & Lepper,  1999; Kitayama, Snibbe, choosing is not synonymous with autonomy. To the
Markus, & Suzuki, 2008; Savani et al., 2011). For extent that having another person make a choice for
example, Heine and Lehman (1997) found that after an individual is perceived to be an autonomous ex-
choosing among similarly desirable CDs, Canadians perience, deferring choice to others may be equally
demonstrated the classic dissonance finding, express- or more motivating than making a personal choice.
ing increased liking for chosen CDs and decreased Even aside from the influence of broad cultures
liking for unchosen CDs. However, Japanese across nations, when the microculture or context
participants demonstrated no such spreading of
­ prescribes a cooperative group orientation, personal
­alternatives. Similarly, Kitayama et al. (2008) showed choice may have less value. Hagger and colleagues
that the standard dissonance paradigm did not (Hagger, Rentzelas, & Chatzisarantis, 2014) found
produce dissonance reduction among Japanese
­ that after inducing a individualistic group norm,
­participants. However, when asked to estimate the British undergraduate students in the personal choice
preference of the average college student before condition exhibited greater intrinsic motivation than
making choices, Japanese participants demonstrated students who had aspects of the task selected for
a spreading of alternatives, whereas American them. However, when the group norm prescribed
­participants demonstrated a significant spread of collectivism, students assigned a task by an in-group
­alternatives regardless of whether they were primed member were more intrinsically motivated than
to think of others. In other words, for European participants who made a personal choice or had a
American participants, choosing produces dissonance task prescribed to them by an out-group member.
to the extent that one is worried about his or her own Along these lines, social class, like nation, provides
preferences and competence. However, for Japanese a set of experiences that influences the meaning and
participants, choosing produces dissonance to the value of choice (e.g., Stephens, Fryberg, & Markus,
extent that one is worried about objections and 2011). For middle-class individuals (i.e., those with a
possible rejection by others. college degree or higher), high-quality choices are
The effect of choice on intrinsic motivation, plentiful and agency for these individuals emphasizes
learning, well-being, and performance outcomes also using choice to express preferences and control the
varies depending on the cultural context (e.g., Bao environment (Snibbe & Markus, 2005). In contrast,
& Lam, 2008; Brown et al., 2015; Iyengar & Lepper, among working-class individuals (i.e., those without
1999; Katz & Assor,  2003). For example, Iyengar a college degree), high-quality choice opportunities
and Lepper (1999) found that intrinsic motivation may be fewer and notions of agency emphasize in-
was enhanced for students of all cultural backgrounds tegrity, honesty, and the expression of self-control.
when a personal choice was made compared to For these individuals, personal choice may be less
when an unfamiliar person (i.e., the experimenter) ­important than fitting in with others (Snibbe &
made a choice for the individual. However, among Markus,  2005; Stephens et al., 2007). In line with
Asian American students, intrinsic motivation, this reasoning, research suggests that the choices of
performance, learning, and other related outcomes individuals from middle-class backgrounds tend to
were enhanced most when trusted authority figures reflect attempts to differentiate themselves from
or peers made choices for them compared to when a others and engender more motivation when choos-
personal choice was made. For Caucasian American ing facilitates this goal (Snibbe & Markus, 2005;

148 THE COMPLEX ROLE OF CHOICE IN HUMAN MOTIVATION AND FUNCTIONING

Stephens et al., 2007, 2011). In contrast, individuals benefits of choosing, they may need to be prepared
from working-class backgrounds use choices to com- to choose and value the process of choosing. Related
municate how they are similar and connected to to this, the broader cultural and interpersonal con-
others and are, in turn, less affected by a restriction to text can change both the meaning and the effects of
personal choice (Snibbe & Markus, 2005; Stephens choosing. When the cultural context emphasizes a
et al., 2007, 2011). group orientation and people feel connected to
trusted others, people may experience equal and
Final Thoughts and the Future of Choice sometimes greater personal and social benefits from
Scholarship deferring choice to trusted others.
I began this chapter by noting how pervasive choice This review has highlighted several potentially
is in people’s lives. Undoubtedly, choosing is inti- influential factors in determining when choosing is
mately connected with our thoughts and behavior. more or less motivating and when it may be detri-
Choice holds a great deal of promise as a motiva- mental. Many of these factors, as well as others not
tional lever, one that seems to have deep biological mentioned in this chapter, deserve more attention
and social roots. There seem to be a multitude of in research. A critical issue that has yet to be fully
pathways through which choosing influences peo- addressed is that influential factors are likely to in-
ple’s outcomes, leading choice to have a diverse set teract in complex ways. Going beyond our under-
of consequences. Though choice can be an effortful standing of the independent effects of these factors
process that requires psychological resources, it also in isolation to better understanding how they relate
has implications for people’s feelings of autonomy, to one another is critical. For example, how does the
competence, control, and a vast array of motivation effort needed to make a choice or effort-related
and well-being outcomes that spring from those ex- characteristics of a choice (e.g., the number of op-
periences. Choice has implications for the way tions in the choice set, the similarity of options, and
people think, remember, and learn. Choice also has the complexity of the trade-offs between options in
implications for the broader social environment and a choice) intersect with the extent to which choices
how we view and interact with others. The benefits support an experience of autonomy and control?
and costs of choosing coexist—making a choice Can choices truly support both autonomy, which
about a task can simultaneously support a personal requires a focus on process, and control, which re-
sense of autonomy and intrinsic motivation for the quires a focus on outcomes? How do characteristics
task, deplete energy for subsequent tasks, prompt a of the chooser interact with the characteristics of the
particular form of cognition, and prime people to choices themselves? Additional research is needed to
think about the world in terms of people’s choices, reveal which factors are truly influential moderators
whether everyone really has choices or not. A major and to examine the complex relationships that may
task for future research and scholarship is to uncover exist among these factors. Along similar lines, the
the connections among these disparate pathways to complexity of having choice and choosing exists
develop a cohesive understanding of the role of within an even more complex social environment.
choice for human functioning in its many forms. Research has begun to highlight how the cultural
Key to understanding the complexity of choice and social environment influences the meaning and
effects is realizing that opportunities and acts of effects of choice. However, it may be important to
choosing are not synonymous with experiencing recognize that all choices are situated within a
autonomy, competence, and control. Further, not broader social context that may influence its mean-
all choices are equally motivating for everyone. ing and function. For example, how is choice inter-
Choices that effectively enhance feelings of auton- preted in the context of the different settings that
omy, control, and competence are likely to success- people occupy, the occupations they hold, the daily
fully motivate behavior and facilitate adaptive mood they may experience, or the relationships
­outcomes. Conversely, choices that fail to support they have with interaction partners?
feelings of autonomy, control, or competence are In conclusion, for better or worse, choosing is a
likely to deplete people of psychological resources. necessity in most people’s lives. This chapter pro-
Not only does the nature of the choice given influ- vided a brief review of the theoretical perspectives
ence how choice is experienced, but also individual and research related to the motivational role of
differences among the people doing the choosing choice. Overall, it highlights that although choice is
are likely to influence when choice is more or less to be valued for its inherently motivating and cogni-
beneficial. For people to experience the personal tively enriching qualities, there also are limits to the

PATALL 149
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both the promise of choice and its limits is impera- pain of choosing: When people prefer choosing at the cost of
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 CH A PT ER

9 Curiosity and Motivation

Paul J. Silvia

Abstract

Curiosity is an old, intriguing, and vexing construct in the psychology of motivation. This chapter
reviews the major strands of thought on curiosity and motivation. These strands include: (a) curiosity
as a motive to reduce negative states, such as uncertainty, novelty, arousal, drive, or information gaps;
(b) curiosity as a source of intrinsic motivation that fosters learning and exploring for their own sakes;
and (c) curiosity as a stable motivational difference between people that leads to differences in knowledge,
goals, achievement, and experience. The scope of psychological thought on curiosity defies a simple
integration, but it offers inspiration for researchers curious about why people learn and explore in the
absence of obvious external rewards.
Keywords:  curiosity, interest, exploration, intrinsic motivation, novelty, openness to experience,
personality

The joys of history are many. Some are guilty joys, is called for. Instead, we will aim to cultivate a
like snickering at the weird use of semicolons and sense  of perspective—some of psychology’s prob-
em dashes in old scholarly books, but some are lems should be appreciated rather than solved—and
more noble, like recognizing that most of the major a sense of interest in the diverse, wide-ranging, and
problems in psychology were identified prior to the occasionally quirky body of thought on curiosity.
invention of air conditioning, paperback books, or This chapter extracts and explores the three major
hierarchical linear modeling. Curiosity is an old strands of thought on curiosity’s motivational nature.
concept in the study of human motivation, and The first strand proposes that curiosity is a kind of
like many of psychology’s venerable problems, the deficit motivation: It motivates people to fill gaps
problem of curiosity seems tractable enough to be in knowledge, reduce unpleasant uncertainty, and
intriguing but too complicated to ever solve. The minimize aversive states of drive. The second strand
history of psychology thus offers modern researchers proposes that curiosity is a kind of intrinsic moti-
many interesting takes on curiosity: Most of the vation: It motivates people to explore and learn for
major schools of thought in motivation science their own sakes. The third strand proposes individual
have had something to say about what curiosity is, differences in curiosity: Variation in curiosity trans-
how it works, and what it does, if anything. lates into big differences in behavior and life
In this chapter, we will consider some of the major ­outcomes, although the models disagree about the
themes that have emerged in the history of thought ­motivational nature of between-person variation.
on curiosity and motivation. Our goal is not to de-
velop a unified model of curiosity by reinterpreting Curiosity Is Motivation to Reduce
past work in terms of a modern theory. History pro- Novelty and Uncertainty
vides many such models, and the fact that there are so Our first major strand of thought on curiosity’s
many suggests that some history-induced modesty motivational nature proposes that curiosity and
­

157
e­xploratory behavior represent attempts to reduce learning. For example, the opportunity to view a
novelty and uncertainty. In such models, gaining novel maze compartment or complex display or to
knowledge and exploring the world are instrumental manipulate puzzles can reinforce other behaviors
acts, not ultimate goals in themselves. Instead, learn- (e.g., Butler,  1953; Harlow & McClearn,  1954;
ing and exploring allow people to reduce something Myers & Miller, 1954).
unpleasant, such as feelings of uncertainty, ignorance, Eventually, it became clear that the classical drive
information deprivation, arousal, or drive. Curiosity reduction model simply could not accommodate the
is thus akin to scratching a mental itch or filling a many demonstrations of curiosity and exploration.
mental hole. Motivation psychologists thus searched for exten-
Motivation psychology’s grandest drive-reduction sions and modifications of Hull’s approach. The ear-
model comes from Clark Hull’s body of work, which liest models simply proposed a new drive, such as a
had a tremendous influence in its time. Hull cer- curiosity drive, an exploration drive, or a boredom
tainly was not the first psychologist to propose a drive (see Fowler, 1965). These new drives did not
­hydraulic approach to motivation, but his model of stick, but they were an ironic development—the
drive and reinforcement was probably the first major behavior theorists had often mocked instinct theo-
scientific theory of motivation to inspire extensive ries of motivation for proposing new instincts to
empirical research. We cannot cover the complexity deal with challenging findings.
and development of Hull’s model here—for the Berlyne (1960) proposed a particularly clever
­details, curious and motivated readers can consult ­revision of drive theory in his first major model of
Hull’s (1943,  1952) own books or reviews by his curiosity. He suggested that organisms do indeed
contemporaries (Atkinson, 1964; Bolles, 1967). prefer a low level of arousal, but arousal is nonlinearly
In broad strokes, Hull formalized several ideas related to the novelty, complexity, uncertainty, and
that had been proposed during the early writings on conflict of stimuli in the environment. He suggested
psychological drives. First, organisms experience a a U-shaped relationship between actual arousal and
state of drive as a result of internal deficits or strong novelty: Arousal is high when stimuli are very low
stimulation from the environment. Second, reducing and very high in novelty. Understimulation and
the state of drive is rewarding, so behaviors that result overstimulation thus both increase arousal, which
in drive reduction are reinforced and hence more then motivates arousal reduction. Understimulation
likely to happen during later periods of drive. This promoted diversive exploration, in which bored
model thus accommodated both the intensity and ­organisms search for anything that would boost
the direction aspects of motivation, and it integrated arousal potential; overstimulation promoted specific
problems of motivation with problems of learning. exploration, in which activated organisms examine
But from the outset, curiosity and exploratory behav- the arousal-producing stimulus to reduce its novelty
ior seemed hard to explain. Seeking stimulation and and arousingness. The nonlinear function relating
approaching unfamiliar stimuli increase drive; within arousal and arousal potential was clever, but it did
Hull’s model, it is not obvious why an organism at not catch on (Berlyne, 1967).
rest would cease resting and start exploring. Another modification of Hull’s approach was
Unfortunately, the accumulation of facts inter- the optimal arousal approach, a family of models
fered with Hull’s elegant theory, a common occupa- that proposed that the ideal level of arousal was
tional hazard in science. One peculiar phenomenon moderate instead of low (Fiske & Maddi,  1961;
that predated Hull’s work was spontaneous alterna- Hebb, 1955; Hunt, 1965; Leuba, 1955; Zuckerman,
tion. Rats in T mazes will often alternate ­between 1969). As a result, many classic Hullian findings
arms of the maze, presumably for no real reason could be retained—organisms will act to reduce
apart from the variety afforded by the arm less drive when arousal exceeds the optimal level—
­traveled (Montgomery, 1951, 1952). Harlow showed while accommodating curiosity. This is a neat idea,
similar findings with primates. When given puzzles but optimal arousal models never inspired much
to work with, the primates often worked on them research despite the broad interest in them in their
vigorously in the absence of food rewards; if any- time. As Hull’s model ebbed and alternative models
thing, food rewards and prior food deprivation of motivation emerged, researchers moved away
seemed to interfere with learning these complex tasks from the notion that reinforcement depends on
(Harlow, 1953). Most fatal, however, was research arousal (Atkinson,  1964). Once this notion was
that showed that drive-increasing stimuli—such as dropped, optimal arousal models became a com-
novelty and intense stimulation—could reinforce promise for a conflict that no longer existed.

158 CURIOSITY AND MOTIVATION

 Modern work continues to develop the notion from drive models to intrinsic motivation models,
that curiosity is motivated by drive reduction. After the research tradition that we consider next.
reviewing past work on curiosity, Loewenstein
(1994) proposed an information gap model of curi- Curiosity Is For-Its-Own-Sake Motivation
osity, which has its roots in information theory. His Our second strand of thought views curiosity as a
model proposes that someone becomes curious source of for-its-own-sake motivation, as a source
“when attention becomes focused on a gap in one’s of inquiring, learning, and exploring in the absence
knowledge. Such information gaps produce the of external sources of reward and punishment. In
feeling of deprivation labeled curiosity. The curious this tradition, curiosity is inherently motivating in
individual is motivated to obtain the missing in- its own right, not because it allows people to
formation to reduce or eliminate the feeling of dep- reduce an unpleasant state. This tradition is the
rivation” (p. 87). Information gaps are represented mainstream modern view of curiosity, so naturally
using information theory’s uncertainty formula. it goes way back. J.  Clark Murray (1904), the
This model thus has all the hallmarks of a Hullian- author of an early textbook of psychology, consid-
inspired curiosity model: Increases in information ered curiosity one of the intellectual feelings: “The
gaps create an aversive feeling of deprivation, which exertion of ­ intellect, when not overstrained, is
then motivates exploratory behavior. itself an agreeable activity. . . . It is not, therefore,
The cardinal problem with the information gaps difficult to explain the love of knowledge,—the
model is that it is a subset of Berlyne’s (1960) model. feeling commonly treated by psychologists under
To readers familiar with Berlyne’s work, Loewenstein’s the name of curiosity” (p. 470). Typical of his time
(1994) article seems odd. Berlyne first made his (cf. McDougall, 1960; Smith & Hall, 1907), there
name by applying information theory to curiosity— was a tacit snobbery to Murray’s view of curiosity:
this idea was developed in a Psychological Review
During the earlier years of life, until the familiar facts
article (Berlyne,  1957) and in Berlyne’s (1960,
­
of the world are mastered, curiosity forms a strong
1965, 1971) books. Berlyne’s concept of specific curi-
and useful impulse. In later life it is only among men
osity covers the dynamics of information gaps—­
of some education that it forms a useful and refining
uncertainty motivates exploration aimed at reducing
power. In vulgar minds it allies itself with the more
it. And as a subset of Berlyne’s work, Loewenstein’s
petty instincts, and even with the malicious passions
work is encumbered by the same problems that
of human nature, degenerating into a prurient
drive-reduction models of curiosity face, such as the
craving after the knowledge of facts too trivial or too
classic studies of exploratory behavior from the
pernicious to be worth knowing.
1950s that we reviewed earlier. Berlyne’s concept of
(pp. 470–471)
diversive curiosity attempted to explain such find-
ings, but the information gaps model has little to Although trivial and pernicious are in the eye of the
say about them. It is in this sense that the informa- beholder, one wonders whether Murray would feel
tion gaps model is a subset of Berlyne’s model: They vindicated by our modern obsession with social
both concern specific curiosity, but only Berlyne’s networking, reality television, and celebrity news.
model grappled with the problems of diversive curi- The intrinsic love of knowledge received a deeper
osity and novelty-seeking. treatment by Felix Arnold (1910) and John Dewey
With the perspective of history and the benefit (1913), both of whom considered how interest aided
of modern research, what can we conclude about education. Arnold viewed interest as having motor
the novelty-reduction tradition? People do seek aspects and ideational aspects. The motor aspect of
­information for many reasons, and some of those interest was essentially motivational—“interest is
reasons resemble scratching mental itches. In the dynamic, it points ahead, it is a form of striving, of
parlance of the lay epistemics model (Kruglanski & motor impulsion, and it is felt as a conation or motor
Fishman, 2009), people sometimes seek information attitude” (p. 186)—a view that prefigures later
because of a need for cognitive closure. At the same models of interest as a source of motivated action.
time, it seems obvious that a model of curiosity The ideational aspect was essentially cognitive—
founded on reducing unpleasant states will struggle interest evoked mental images related to the object
to explain a large literature on exploratory behavior, of interest and the actions and goals it entailed.
which suggests that novelty, variety, and uncertainty John Dewey (1913), the better known of the pair,
can themselves be valued and rewarding. As a result, set forth a model of interest in Interest and Effort in
most research on curiosity since the 1970s has shifted Education, a small book that was overshadowed by

SILVIA 159
his many later landmark works. Dewey contended
that educators typically used one of two methods to
motivate students, neither of which worked well. In

Positive
the effort method, instructors use self-discipline and Primary Reward
System
willpower as the main mechanisms of learning—if
the material is tedious, students must simply slog
through it. In the interest method, instructors use
diverting, novel, and flashy elements to attract

Negative
Primary Aversion
­students’ attention to basically boring material— System
“when things have to be made interesting, it is
­because interest itself is wanting,” Dewey (1913, p. 11)
quipped.
As an alternative, Dewey proposed connecting
material to students’ own interests. Children already Figure 9.1  Berlyne’s (1971) model of reward and aversion
had important interests, and new activities could systems.
become interesting in their own right if they ad-
vanced or linked to an existing interest. Dewey system, generates positive affect as stimuli become
argued that interest was a developmental process more novel, complex, and uncertain. The positive
rather than a momentary state—it motivated people affect motivates and rewards engagement with new
to immerse themselves in the activity, and it made things, so this model qualifies as a for-its-own-sake
the process valuable and self-relevant. Dewey’s con- model of curiosity and motivation. A second system,
ception of interested action probably represents psy- the primary aversion system, generates negative
chology’s first fleshed-out treatment of interest and affect as stimuli become more novel, complex, and
intrinsic motivation: Interested actions are internal- uncertain. The aversion system, however, has a tem-
ized and autonomous, and over time they cultivate poral offset—it takes higher levels of stimulation for
competence and successful development. it to kick in—so the combined effect of the two sys-
In the modern era, the notion of curiosity as a tems is to create positive approach and engagement
source of intrinsic, for-its-own-sake motivation and then eventual aversive withdrawal as stimuli in-
emerged in many areas of psychology. Within social crease in intensity.
and personality psychology, the rise of models of Berlyne’s (1971) reward–aversion model is im-
­intrinsic motivation in the 1970s (Deci,  1975)— portant for historical reasons. Berlyne developed
particularly the line of work that developed into the model as part of a shift into the psychology of
self-determination theory (Deci & Ryan,  1985, aesthetics (e.g., Berlyne,  1972,  1974), and his re-
2000)—is probably the best known example of a search team profoundly affected how the small but
model of curiosity as a source of intrinsic motiva- valiant community of aesthetics researchers thought
tion. Deci and Ryan (2000, p. 233) argued that about aesthetic preference and experience (Silvia,
“intrinsically motivated behaviors are those that are 2012). The model itself, however, never stuck, perhaps
freely engaged out of interest without the necessity because behavior theory was obviously waning in
of separable consequences,” and research in this the 1970s and emerging approaches to curiosity and
area commonly measures engagement, exploration, to the neuroscience of reward seemed more fresh
and interest (Deci, 1992, 1998; Krapp, 2002). This and exciting.
area of work is reviewed in another chapter (Ryan, Within emotion psychology, research on curios-
Ryan, Di Domenico, and Deci, this volume), so here ity and interest got its start with the work of Silvan
we will only express awe at the enormous amount of Tomkins (1962), who gave much of early emotion
research that self-determination theory has inspired. science its start. Tomkins argued that emotions were
Within behavior theory, Berlyne (1971,  1973) the organism’s primary motivational system. First,
proposed a new model of curiosity that shifted from at the level of action dynamics, emotions made
the position that reinforcement and exploration some events significant and thus gave them priority.
­depended on arousal reduction. As an alternative, Tomkins proposed a central assembly that organ-
he proposed that several brain systems interacted to ized the components of behavior into effective
promote exploration or avoidance. Figure  9.1 de- action. People cannot do many behaviors at once,
picts how two of these systems relate to positive and so they need a mechanism that elevates some tasks
negative affect. The first system, the primary reward and situations over others. Tomkins’s theory thus

160 CURIOSITY AND MOTIVATION

falls into the category of prioritization models of Most relevant to motivation, however, is the
motivation, which tackle the problems of why body of work on interest’s influence on behavior.
people are doing a particular thing instead of some- Much research supports Tomkins’s view of interest
thing else and how action is stopped and redirected as a source of intrinsic motivation. One line of work
(Atkinson & Birch, 1970). considers the action tendencies associated with
Second, at the level of life-span development, being interested. Interest predicts many behavioral
Tomkins proposed that emotions have broad adap- markers of exploration and knowledge-seeking,
tational functions. Darwin’s (1998) work on facial such as how long people look at or listen to interest-
expressions heavily influenced Tomkins, whose theory ing things and how long they spend exploring ­objects
of emotion was one of the first modern emotion or working on tasks (Berlyne,  1971; Sansone &
theories colored by adaptational concepts. He gave Thoman, 2005). Oddly enough, interest predicts
particular attention to the communicative functions behavioral exploration much more strongly than
of emotion, such as expressions in the face, voice, enjoyment does (Silvia,  2006). Another line of
and body; how the emotions developed in early work considers learning outcomes, particularly text
childhood; and how emotions over the life span c omprehension and educational achievement.
­
shaped a person’s personality and worldview (Tomkins, Educational research has found that people get
1965, 1979). better grades in interesting classes, use deeper level
Curiosity appeared in Tomkins’s (1962) work as reading and studying strategies for interesting texts
the basic emotion of interest–excitement, which he and domains, and retain interesting material better
felt was the “affect which has been most seriously (Durik, Lindeman, & Coley, 2017; Hidi, 1990, 2001;
neglected” (p. 337). Interest makes new things ap- Krapp, 1999, 2002; Sadoski & Paivio, 2001).
pealing and thus provides an innate incentive for For reasons lost to history, the drive reduction
engaging with new, unfamiliar things. Events that tradition has preferred the term curiosity but the in-
are novel enough to evoke interest—but not novel trinsic motivation tradition has preferred interest.
enough to evoke fear—thus gained priority in the Most researchers seem to use both, but some have
central assembly over mundane events that evoked suggested substantive differences between curiosity
no affect. For example, people do forgo food and and interest. The most common proposal is that cu-
sleep to pursue interesting things, which fits a riosity is a negative state but interest is a positive
­priority view of motivation—interest makes those state (Grossnickle, 2016), although this notion has
actions more significant—but poses yet another not inspired much empirical research. If anything,
problem for drive models of motivation. In the long research suggests that curiosity and interest do not
run, the broad adaptational function served by neatly align with aversive and pleasant motives for
­interest is to motivate learning and development. In gaining knowledge. For example, people have a lay
early childhood, interest is an engine of perceptual theory of uncertainty as an aversive state (Wilson,
and cognitive development; in adulthood, it is the Centerbar, Kermer, & Gilbert,  2005), but uncer-
source of intrinsically motivated learning and intel- tainty about upcoming events can feel pleasant
lectual creativity. (Wilson et al., 2005) and amplify positive feelings
Since Tomkins’s work, interest has been a contro- (Bar-Anan, Wilson, & Gilbert,  2009). Likewise,
versial emotion: Some emotion theories retained it ­interest is usually pleasant, but people often experi-
(e.g., Ellsworth & Smith,  1988; Izard,  1977) and ence interest from disturbing, gross, and creepy things
others omitted it (e.g., Ekman,  1992; Lazarus, (Turner & Silvia, 2006).
1991). Nevertheless, much work has accumulated My intuition is that everyday usage of curiosity
on interest’s emotional qualities (Silvia, 2006, 2008, has a forward-looking sense (people are curious about
2017). For example, researchers have examined the upcoming events) but interest has a contemporary
production and recognition of facial and vocal expres- sense (people are interested in something happening
sions of interest (Banse & Scherer, 1996; Reeve, 1993; right then). This usage has shifted over time—it was
Sauter & Scott,  2007; Simon-Thomas, Keltner, once common to say “That’s curious!” to refer to an
Sauter, Sinicropi-Yao, & Abramson, 2009), the cog- ongoing spectacle, but that now has the whiff of a
nitive appraisals that predict interest and distinguish Trollope novel about it. But if information gaps can
it from other states (Silvia,  2005,  2010; Turner & be positive and interesting things can be disturbing,
Silvia, 2006), and how interest develops and operates then the temporal senses of the words probably do
in infancy and early childhood (Izard, 1978; Langsdorf, not reflect conceptual differences—curiosity and in-
Izard, Rayias, & Hembree, 1983). terest are probably the same thing.

SILVIA 161
 Overall, the intrinsic motivation approach to exercise in those in whom it is innately strong.
curiosity is more vibrant than the drive reduction In men of the latter type it may become the main
approach—it is the backdrop for most contemporary source of intellectual energy and effort; to its impulse
research. The three domains we have covered— we certainly owe most of the disinterested labors of
social and personality psychology, behavior theory, the highest types of intellect.
and emotion psychology—capture the bulk of (p. 50)
modern research. Social and personality psychol-
This passage is doubly intriguing: It proposes
ogy contains much of the experimental research on
­individual differences in curiosity, a topic that has
situational and dispositional influences on curiosity
since been widely studied, and it suggests that these
and interest; behavior theory has evolved into mature
differences become exaggerated across the life span,
psychobiological models of novelty-seeking and
a topic that has not.
reward, such as Panksepp’s (1998) SEEKING system;
Modern individual differences research began a
and emotion psychology continues to explore what
long time after McDougall’s work, and models of
makes things interesting, how interest operates across
trait-like curiosity represent both themes we have
domains, and how interest develops.
considered so far. It is hard to organize the hurly-­
burly world of self-report curiosity scales—there
Some People Are More Curious are many scales and many constructs. Some models
Than Others have their roots in Berlyne’s models of curiosity.
Our third strand of thought concerns individual
Researchers have developed scales to measure indi-
differences in curiosity. William McDougall (1960),
vidual differences in epistemic, sensory, specific, and
the infamous and maligned instinct theorist, was one
diversive forms of curiosity (e.g., Collins, Litman,
of the first psychologists to speculate about stable
& Spielberger, 2004; Litman & Spielberger, 2003;
between-person variability in curiosity. In modern
Piotrowski, Litman, & Valkenburg,  2014), and
terms, his instincts are modular and automated mo-
Spielberger and Starr (1994) proposed that trait
tivational systems that are evoked by stimuli and
­curiosity corresponds to Berlyne’s (1971) primary
opportunities in the environment. Instinctive action
reward system and that trait anxiety corresponds to
has a cognitive aspect (an apprehension of an object),
the primary aversion system. People high in trait
a behavioral tendency (a motivational urge to act),
­curiosity can thus tolerate more uncertainty and
and an affective aspect (an emotional feeling).
novelty before withdrawing. Other studies outside
McDougall (1960) proposed an instinct of curi-
the Berlyne tradition have suggested social (Renner,
osity, which was the instinct associated with
2006) and intrapersonal (Litman, Robinson, &
­exploratory behavior—the impulse “to approach
Demetre, 2017) forms of curiosity.
and examine more closely the object that excites it”
For the most part, recent research has focused on
(p. 49)—and with the emotional state of wonder. He
global curiosity as a source of intrinsic motivation.
argued that “the native excitant of the instinct would
Kashdan (2009), for example, approaches individ-
seem to be any object similar to, yet perceptibly differ-
ual differences in curiosity from the perspective of
ent from, familiar objects habitually noticed” (p. 47),
positive psychology. In Kashdan’s work, curiosity is
while recognizing that higher levels of novelty and
a tendency to notice, seek, value, and embrace
uncertainty evoked fear. It is tempting to poke fun
novelty, uncertainty, and challenge. The Curiosity
at poor McDougall and his many instincts, but for
and Exploration Inventory, a brief self-report scale,
many decades the notion of a curiosity instinct was
was developed to capture this model of curiosity
the prevailing model of the motivational basis of curi-
(Kashdan et al., 2009). The model is explicitly mo-
osity, and it had a big influence (e.g., Cameron, 1922).
tivational, in that curious people respond to nov-
McDougall (1960) thought that the curiosity
elty with an appetitive, approach-oriented response.
­instinct was less important to humans, so he believed
As a consequence of exploring new and challenging
that it was more variable as a result:
things across the life span, curious people are ex-
This instinct, being one whose exercise is not of prime pected to have a wide range of positive outcomes.
importance to the individual, exhibits great individual For example, curious people typically have better
differences as regards its innate strength; and these academic achievement (Kashdan & Yuen,  2007),
differences are apt to be increased during the course of higher subjective well-being (Gallagher & Lopez,
life, the impulse growing weaker for lack of use in 2007), and a stronger sense that their daily lives and
those in whom it is innately weak, stronger through goals are meaningful (Kashdan & Steger, 2007).

162 CURIOSITY AND MOTIVATION

 Another model of trait curiosity, Litman’s (2005) in Openness (e.g., Feist & Brady, 2004), possess more
I-D model, combines the drive reduction and in- expertise and knowledge related to the arts (Silvia,
trinsic motivation traditions of curiosity research. 2007; Silvia & Berg, 2011), listen to more complicated
Litman proposed that curiosity consists of two major kinds of music in everyday life (Chamorro-Premuzic
facets: curiosity as a feeling of interest (I-curiosity) & Furnham,  2007; Rentfrow & Gosling,  2003),
and curiosity as a feeling of deprivation (D-curiosity). ­experience aesthetic chills—a feeling of goosebumps
Interest is curiosity motivated by a desire to seek and chills down the spine (McCrae, 2007)—more
information for its own sake, whereas deprivation is often in response to art and music (Colver &
curiosity motivated by a desire to reduce the uncer- el-Alayli,  2016; Silvia, Fayn, Nusbaum, & Beaty,
tainty and frustration caused by knowledge gaps. 2015), and find abstract, d ­ isturbing, and bizarre art
The I-D model is thus a compromise between the intriguing and appealing (Rawlings, 2003; Rawlings,
two competing traditions. Most of the work testing Twomey, Burns, & Morris, 2002).
Litman’s model has used measures of individual In addition to their interest in the arts, people
­differences (Litman & Jimerson,  2004). Curiosity high in Openness to Experience are more creative,
scales seem to sort into these two I and D factors in several senses of the word. Openness to Experience
(Litman & Silvia, 2006), which are highly correlated, consistently appears as a major predictor of creativ-
and the I and D traits predict different kinds of ity across many domains (Feist, 1998), and it seems
knowledge-seeking in response to knowledge gaps to foster creativity in part for motivational reasons
(Litman, Hutchins, & Russon, 2005). (Oleynick et al., 2017). To do creative work, people
Most research on individual differences in must value novelty: They should see merit in doing
­curiosity has been conducted as part of research on something differently and in challenging established
Openness to Experience, a higher order trait that ideas. People who like things the way they are and
encompasses curiosity and related constructs.
­ who prefer the traditional over the novel lack the basic
McCrae and Sutin (2009) describe open people as mindset needed for innovative behavior (Joy, 2004).
“imaginative, sensitive to art and beauty, emotion- A large literature shows that people high in
ally differentiated, behaviorally flexible, intellectu- Openness to Experience are more creative. First,
ally curious, and liberal in values” (p. 258). Closed Openness predicts divergent thinking, a creative
people, in contrast, are “down-to-earth, uninterested cognitive trait (McCrae,  1987; Silvia, Nusbaum,
in art, shallow in affect, set in their ways, lacking Berg, Martin, & O’Connor,  2009). Second, cross-­
curiosity, and traditional in values” (p. 258). Curiosity sectional studies show that people high in Openness
is thus one of several facets of Openness. behave more creatively, ranging from everyday cre-
Of the five factors, Openness to Experience has ativity (e.g., having creative hobbies) to significant
been the most controversial. It is the least well cap- creative accomplishment (Karwowski & Lebuda,
tured by trait terms, so the lexical tradition in per- 2016; Kaufman et al., 2016). Third, life-span research
sonality research has yielded inconsistent pictures shows that Openness to Experience predicts the
of how Openness to Experience is represented in ­accumulation of creative accomplishment and the
natural languages (de Raad, 1994; Goldberg, 1994; likelihood of becoming creatively eminent. Feist and
McCrae, 1994). As a result, models of Openness to Barron (2003), for example, found that indicators
Experience define the construct somewhat differ- of Openness to Experience measured at age 27 pre-
ently. Some models cast Openness to Experience as dicted creative achievements at age 72.
an intellectual trait (Goldberg,  1990) or propose McDougall seems to have been on to something
that openness and intellect are primary facets of with his notion of individual differences in curios-
the  higher order trait of Openness to Experience ity: Curious and incurious people are quite differ-
(DeYoung, Quilty, & Peterson, 2007). ent. Modern researchers would disagree with
Differences between models aside, Openness to McDougall that curiosity is both more variable and
Experience is an important source of variability in less important than other motivational traits, but
curiosity. The literature on Openness is massive, so they would agree that curiosity is important to
we will focus on two domains: aesthetic experience achievements across the life span.
and creativity. Research on aesthetics finds wide dif-
ferences in how interesting and pleasing people find Conclusion
works of art. People high in Openness to Experience Curiosity touches on some of motivational psy-
generally find art more interesting than people low chology’s most vexing problems: Why do people do

SILVIA 163
something instead of nothing? Why do people persist personal goals—remains obscure. In everyday
with seemingly capricious activities in the absence curiosity, people are probably exploring activities
of obvious external rewards and in the presence of and domains that they have engaged with before
more important goals? Why do apparently trivial and know a lot about (Durik et al., 2017;
things capture attention and action? The wellsprings Prenzel, 1992)—their hobbies and interests are
of action proposed by motivation theories are usually important to understanding how curiosity
abstract, but the kinds of actions motivated by cu- influences their behavior. So far, most of the work
riosity are usually mundane. Nevertheless, curiosity on hobbies and interests has been done in
is an important mechanism in the development of educational research, which emphasizes a distinction
knowledge and competence, so it is reassuring that between situational interest and individual interest
something is coming out of the hours of people (Renninger and Su, this volume; Schiefele, 2009).
exploring their worlds. Future work should examine how interests relate to
situational states and enduring traits (e.g., Durik &
Future Directions Harackiewicz, 2007) and how idiosyncratic interests
1. How can the different strands of thought on develop (Hidi & Renninger, 2006; Silvia, 2006).
curiosity be connected? The urge to weave beats
strong in the hearts of motivation psychologists. References
Within each strand, there could be interesting Arnold, F. (1910). Attention and interest: A study in psychology and
education. New York, NY: Macmillan.
bridges. In the intrinsic motivation strand, there
Atkinson, J. W. (1964). An introduction to motivation. New York,
could be fertile connections between self- NY: Van Nostrand.
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areas that have not had much to do with each New York, NY: Wiley.
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emotion expressions. Journal of Personality and Social
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Psychology, 70, 614–636.
something akin to Kruglanski’s (2004) lay Bar-Anan, Y., Wilson, T. D., & Gilbert, D. T. (2009). The feeling
epistemics model or Litman’s (2005) I-D model— of uncertainty intensifies affective reactions. Emotion, 9,
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2. How do curious traits influence curious
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states? Many models of individual differences Berlyne, D.  E. (1971). Aesthetics and psychobiology. New York,
invoke motivational mechanisms, largely along NY: Appleton–Century–Crofts.
the lines of drive reduction, intrinsic motivation, Berlyne, D.  E. (1972). Ends and means of experimental
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Berlyne, D.  E. (1973). The vicissitudes of aplopathematic and
not much integration between the state and the
thelematoscopic pneumatology (or the hydrography of
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because self-report assessment and cross-sectional Berlyne, D.  E. (Ed.) (1974). Studies in the new experimental
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and exploration. Physiological Psychology, 46, 95–98.
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3. What does the midrange level of curious
Century.
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 CH A PT ER

10 Flow
The Experience of Intrinsic Motivation

Jeanne Nakamura, Dwight C. K. Tse, and Shannon Shankland

Abstract

Flow is an optimal psychological state characterized by the enjoyment of deep absorption in what
one is doing. This psychological state is autotelic (i.e., rewarding in itself ); experiencing flow
intrinsically motivates individuals to engage in activities that are conducive to it. Research on the
flow experience has shed light on the phenomenology of intrinsic motivation since Csikszentmihalyi
(1975) first introduced the flow concept. This chapter (a) describes the dimensions and conditions
of the flow experience, (b) reviews research on its psychological covariates, (c) highlights conceptual
and operational differences among four flow-related constructs, (d) discusses theory and research
on the temporal dynamics of flow experience, and (e) summarizes research on the neurophysiology
of the flow state.

Keywords:  flow, flow experience, optimal experience, autotelic, intrinsic motivation

Psychologists have had an abiding interest in what in what they are doing. The flow state—“the holistic
motivates people to act when moved neither by sensation that people feel when they act with total
­biological needs such as hunger nor by external involvement” (Csikszentmihalyi, 1975, p. 4)—has
rewards or punishments (Ryan & Deci,  2000;
­ been described as optimal experience because of
Sansone & Harackiewicz, 2000). Intrinsic motiva- the  positive conjunction of cognition, affect, and
tion, the impetus to act that lies within the activity motivation that characterizes it (Csikszentmihalyi
itself, typically is studied in tandem with, and & Csikszentmihalyi, 1988; Delle Fave, Massimini,
counterpoint to, e­xtrinsic motivation. Some efforts & Bassi, 2011) and as autotelic experience because
to understand it have focused on drivers within the the  goal of action lies within the activity itself
person: curiosity, interest, an instinct to play, or a need (Csikszentmihalyi, 1975).
to feel competent. As a way of approaching intrinsic In this chapter, we focus on the experience (vs.
motivation, the flow model has been distinguished antecedents, outcomes, or applications) of flow. We
by its focus instead on phenomenology—what the summarize theory and research about the dimensions,
person is ­experiencing while engaged in an activity conditions, and covariates of flow experience and
for its own sake. Understanding intrinsic motivation discuss conceptual and operational distinctions
phenomenologically focuses attention on the ever-­ among several flow-related constructs. Then, we
shifting quality of present experience; understanding turn to what we see as two notable directions for
the quality of experience requires understanding theory and research on the experience of flow. The
the dynamic interaction between person and envi- first concerns the temporal dynamics of flow expe-
ronment from which this experience arises. Research riences, including the phenomenon of emergent
begun in the 1970s suggests that activity is intrinsically motivation. The second concerns the neuroscience
motivating when people enjoy focused immersion and physiology of the flow state.

169
Dimensions of the Flow State flow state is characterized by a heightened sense of
Drawing inferences from extensive interviews with control.
musicians, rock climbers, chess players, and others,
Csikszentmihalyi (1975, 1990) has summarized the Heightened Sense of Control
following dimensions of the flow state: (a) merging People in the flow state experience a sense of control
of action and awareness, (b) complete concentration, over their actions and the immediate environment.
(c) heightened sense of control, (d) loss of self-­ This sense of control includes feeling that one will
consciousness, (e) distortion of temporal perception, know how to respond to changes in the environment
and (f) autotelic experience. These characteristics are as well as embracing the challenges that come into the
crucial to the development of flow theory and attentional field (Csikszentmihalyi, 1975). While it
measurement of flow (e.g., Engeser & Rheinberg, is impossible to feel control over every aspect of life,
2008; Jackson & Eklund, 2002). humans strive to fulfill a desire to achieve behavior–
event contingencies (Heckhausen & Schulz, 1995).
Merging of Action and Awareness In part because people in the flow state experience a
Often in life, people are doing the activity at hand heightened sense of control over their actions and
without attending to it. Common, routine activities the environment, afterward they may look back and
such as commuting and household chores are par- say that the activity was worth doing for its own
ticularly susceptible to the detachment of action and sake—autotelic (Csikszentmihalyi, 1975).
awareness (Hektner, Schmidt, & Csikszentmihalyi,
2007). In contrast, people often report flow activities Autotelic Experience
are absorbing because their attention is devoted to the Autotelic experience refers to experience that is
activity at hand and nothing else––their concentra- ­rewarding in itself. No external rewards are needed
tion is complete. to motivate the activity at hand. Note that the
­existence of an external reward does not disqualify
Complete Concentration on Task at Hand an activity from being autotelic. As a widely cited
Attention is a limited cognitive resource, and multiple example, a surgeon interviewed by Csikszentmihalyi
sources are competing for attention at every moment. (1975) reported that his immersion, concentration,
People in the flow state process only stimuli that are and enjoyment during a surgery were more moti-
relevant to the task at hand, filtering irrelevant stimuli vating than the prestige and salary the job brought.
out (Csikszentmihalyi,  1975). Concentration is so In fact, the surgeon described his experience in one
intense that it absorbs the person’s full attention. In operation as so enjoyable and absorbing that he was
other words, attention is not divided and spent on unaware of the time and even of debris falling from
distracting activities—or on worrying about how the ceiling of the operating room when part of it
one is being evaluated by others. collapsed during the operation (Csikszentmihalyi,
1975, p .133). Although it may be uncommon to
Loss of Self-Consciousness remain unaware if the ceiling collapses, people in
People experiencing flow report that they are so the flow state often are unaware of the passage of
concentrated they lose awareness of the self and are time—temporal perception is distorted.
freed from self-evaluations made by themselves and
others. An implication is that people may not expe- Distortion of Temporal Perception
rience happiness while in the flow state because the The proverbs “time flies when you are having fun”
pleasant experience requires attention to their own and “happiness takes no account of time” are per-
inner states, which complete concentration on the haps good descriptions of this dimension of the flow
task at hand makes impossible. Instead, happiness state—distortion of temporal perception. When
and a sense of accomplishment and contentment people are completely absorbed and concentrated in
are only experienced in retrospect (Csikszentmihalyi, an enjoyable activity, they are more susceptible to
1975, 1997). Csikszentmihalyi (1990) also postu- losing track of time. Some theorists describe this
lated that people preoccupied with the self, such as aspect of the flow state as potentially harmful, par-
those high in narcissism, are less likely to experience ticularly if the involvement in the activity impacts
flow because their attention is constantly divided the quality of other aspects of life negatively (see
between themselves and the task. He also noted that Schüler,  2012, for a discussion of negative conse-
the loss of self-consciousness does not imply loss of quences associated with different dimensions of
control of a person’s body and action. Rather, the flow experience). It is noteworthy that time does

170 FLOW: THE EXPERIENCE OF INTRINSIC MOTIVATION

not always seem to pass faster in the flow state. For anxiety or frustration, insufficient challenges induce
example, ballet dancers reported that time seemed boredom or apathy. Only when challenges are barely
faster once the activity was over, but during the per- manageable can people fully concentrate on and
formance of a challenging dance, time appeared to engage in the task at hand and thus experience
go slower than it really was (Csikszentmihalyi, 1990). ­intense enjoyment. Dependence on challenge–skill
balance makes the flow state fragile but also makes
Conditions of Flow Experience it a stimulus to development. To sustain the flow
Csikszentmihalyi (1975,  1990) originally charac- experience, people must seek challenges when the
terized flow experience with nine dimensions challenge level is too low and build skills when
(Csikszentmihalyi,  1990). As distinct from the six the  challenge level is too high (Rathunde &
already discussed, Nakamura and Csikszentmihalyi Csikszentmihalyi, 2006). The dynamic interplay
(2002) theorized that the remaining three—(a) between challenge-seeking and skill-building can
­perceived balance between challenges and skills, (b) facilitate individuals’ prolonged experience of flow
clear and proximal goals, and (c) immediate and and foster human development toward higher com-
unambiguous feedback—are conditions of the flow plexity (Csikszentmihalyi, 1990).
experience.
The Quadrant Model
Perceived Balance Between Revising the trichotomy of anxiety–flow–boredom
Challenges and Skills in the original model, the quadrant model further
A perceived balance between challenges and skills is differentiates a high-challenge, high-skill balanced
the most extensively studied condition of the flow situation (i.e., flow condition) from a low-challenge,
experience. A meta-analysis on challenge–skill balance low-skill balanced situation (i.e., apathy condition),
indicated that a moderate relationship exists between with challenge and skill levels often defined relative
perceived balance and flow experience (Fong, Zaleski, to a person’s average levels (vs. in absolute terms).
& Leach, 2015). Since the initial conceptualization This differentiation, introduced by Massimini and
of the flow experience, the concept of perceived colleagues (e.g., Massimini & Carli, 1988), reflects
challenge–skill balance has evolved substantially. empirical findings that optimal experience is associ-
We will briefly introduce the three most widely used ated with the former condition (for a discussion,
models, namely (a) the original model, (b) the quad- see  Csikszentmihalyi & Csikszentmihalyi, 1988).
rant model, and (c) the experience fluctuation model. Common activities in the apathy condition are
Figure 10.1 depicts the three models. passive leisure activities such as watching ­television
(Hektner et al.,  2007). In addition, the boredom
The Original Model condition is reconceptualized as the boredom/­
Csikszentmihalyi (1975) proposed the original relaxation condition, reflecting findings that
­challenge–skill balance model based on his inter- sometimes positive rather than negative states are
view research. In this model, challenge–skill balance associated with low-challenge, high-skill conditions,
facilitates the experience of flow. Whereas over-
­
depending on situational and dispositional factors
whelming challenges in relation to skills induce (Moneta, 2012).

Challenges
Arousal
Anxiety Flow
Anxiety
Anxiety Flow
Challenges
Challenges

Individual Skills Worry Control

ow

average
Fl

Boredom/
Apathy
Boredom Relaxation
Apathy Relaxation
Boredom
Skills Skills
The Experience
The Original Model The Quadrant Model Fluctuation Model

Figure 10.1.  The relationship between challenge–skill levels and experiential outcomes as depicted in three models.
The original model and experience fluctuation model are adapted by permission of Oxford University Press from pp. 94 and 95 of “The Concept of
Flow,” Jeanne Nakamura and Mihaly Csikszentmihalyi, Handbook of Positive Psychology (2002; C. R. Snyder & S. J. Lopez, Eds.). The quadrant model is
adapted from Figure 15.4, p. 251 of Optimal Experience (1988; M. Csikszentmihalyi & I. Csikszentmihalyi, Eds., Cambridge University Press).

NAKAMURA, TSE, AND SHANKLAND 171

The Experience Fluctuation Model Immediate and Unambiguous Feedback
Finally, the experience fluctuation model is more Finally, feedback allows people to monitor how well
differentiated still, dividing the challenge–skill rela- they perform in relation to the challenges in the task
tionship into eight conditions (see Delle Fave et al., at hand. Immediate, unambiguous feedback enables
2011). Each combination of challenges and skills is people to flexibly adjust their actions. For example,
hypothesized to relate to a specific experiential profile. on the one hand, if they receive feedback signaling a
Whereas a high-challenge, high-skill balanced situa- challenge overload, they can employ skill-building
tion is still characterized as the flow condition, a actions to compensate for the discrepancy. On the
medium-challenge, high-skill situation and a high- other hand, if they receive feedback of insufficient
challenge, medium-skill situation are differentiated challenges, challenge-seeking actions are more adapt-
as control and arousal conditions, respectively. The ive for sustaining the flow state. On the contrary,
experience fluctuation model has a more stringent ambiguous or delayed feedback may undermine the
definition of the flow condition and greater differ- merging of action and awareness because the actions
entiation of the nonflow conditions (Moneta, 2012). cannot keep up with the dynamic changes of chal-
lenges and skills while engaging in the activity.
Clear and Proximal Goals
Goals should be clear and realistically reachable to The Condition–Experience Model
facilitate flow experience. A clear, proximal goal The interplay among conditions and dimensions
­informs people of what they need to do in the task of flow experience can be summarized in the con-
at hand. It helps people evaluate whether the in- dition–experience model as shown in Figure 10.2.
coming stimuli are relevant to the task, and thus As the term suggests, the conditions of flow—­
allocate full attention to processing them, or irrele- perceived balance, clear goal, and immediate
vant to the task, and thus filter them out from the ­feedback—together should be conducive to flow
attentional field. An unclear or a distal goal, how- experience characterized by the six dimensions.
ever, may prevent the experience of flow because Note that the conditions of flow experience are
people cannot see how their actions help them ­interconnected and it is difficult to be in the flow
achieve the desired outcomes. state if any of them is absent. Perceived balance of

Merging of
Loss of self-
action and
consciousness
awareness

Challenge-skill
balance
Complete Distortion of
concentration Immediate Clear time perception
feedback goal

Heightened
Autotelic
sense of
experience
control

Figure 10.2  The relationships among conditions and dimensions of flow experience as depicted in the condition–experience model.

172 FLOW: THE EXPERIENCE OF INTRINSIC MOTIVATION

challenges and skills is central to flow experience e­ xperience is associated with not only the belief one
(Fong et al., 2015). In addition, the evaluation of can achieve desired outcomes (self-efficacy), but also
perceived challenge–skill balance, as well as navi- actual enhancement of performance in multiple
gation of the challenges, depends on the clarity of domains, such as schoolwork (Engeser & Rheinberg,
goals and feedback. Without a clearly defined goal 2008), work (Demerouti, 2006), and sports (Jackson
and unambiguous feedback, people are unable to & Roberts, 1992).
assess the level of challenges at hand and, in turn, Finally, flow experience is autotelic (intrinsically
the skills required to respond. rewarding) and thus should have motivational and
affective correlates. First, compared to workers low
Psychological Covariates of Flow in need for achievement, those high in need for
Experience achievement more readily experience flow when
Research has identified multiple covariates of flow challenges and skills are high (Eisenberger, Jones,
experience. One set of studies looks at the relation Stinglhamber, Shanock, & Randall, 2005). Empirical
between frequency of flow experience and person- studies have also supported the positive association
ality traits and temperaments. Consistent empirical between flow experience and intrinsic motivation
evidence suggests that frequency of flow experience (Fong et al.,  2015; Moneta,  2012) and show that
(or flow proneness, see discussion in “Dispositional intrinsically motivated individuals enjoy high-­
­
Flow and Flow Proneness”) is associated positively challenge activities more than their counterparts
with conscientiousness, persistence, and self-control (Abuhamdeh & Csikszentmihalyi, 2012a). In addi-
but negatively with neuroticism and trait anxiety tion, flow e­xperience is associated with enhanced
(e.g., Kuhnle, Hofer, & Kilian, 2012; Ross & Keiser, positive emotions, reduced negative emotions, and
2014; Ullén et al., 2012). The relations of flow expe- higher satisfaction with life (e.g., Bassi, Steca,
rience to extraversion, openness to experience, and Monzani, Greco, & Delle Fave, 2014).
agreeableness are less clear theoretically; the empir-
ical findings are also mixed. Conceptualization and Operationalization
Because maintaining flow experience requires of Flow-Related Constructs
both narrowing down attention to the task at hand Since Csikszentmihalyi (1975) first identified flow
to build skills and opening up attention to discover as an optimal subjective state that may arise under
new challenges to master, frequency of flow experi- certain conditions, multiple constructs under the
ence should, and in fact does, correlate with better umbrella of flow have been defined and studied. To
attentional control ability (Cermakova, Moneta, & help readers parse the existing literature and inform
Spada, 2010). Another construct that is closely re- future work, we have selected four flow-related con-
lated to the ability to control and sustain attention structs and summarize here their conceptualization
is mindfulness. Indeed, studies have reported a pos- and operationalization. These four constructs are (a)
itive association between mindfulness and some as- the flow state, (b) challenge–skill balance (flow con-
pects of flow experience, such as the sense of control dition), (c) flow proneness (dispositional flow), and
(Sheldon, Prentice, & Halusic, 2015). (d) autotelic personality.
Two constructs that are associated with sense
of control and flow experience are internal locus of Flow State and Flow Experience
control and self-efficacy. First, individuals with an Csikszentmihalyi (1975) described flow in terms of
internal locus of control believe that personal effort nine dimensions, the six that characterize the psy-
has a stronger influence on action outcomes than chological state and the three flow conditions. In
factors outside control (Levenson,  1973). Keller this chapter, we refer to the psychological state as
and Blomann (2008) found that people with a the flow state and the interaction with the environ-
stronger internal locus of control are more likely to ment that encompasses it as the flow experience. The
experience flow when challenge and skill levels are state is often short lived and is subject to the flow
balanced. Second, self-efficacy refers to the belief conditions as well as other environmental factors
that one can control and handle task demands and (Csikszentmihalyi, 1990). Despite being the central
in turn achieve desired outcomes in a specific domain research interest of flow researchers, many studies
(Bandura, 1982). Empirical studies have shown a use the label flow to refer to the psychological state
positive relationship between flow experience and and to other flow-related constructs interchangeably
self-efficacy or self-esteem (e.g., Asakawa, 2010; (Landhäußer & Keller,  2012). Consistently distin-
Schüler & Nakamura, 2013). Furthermore, flow guishing the flow state from the flow conditions and

NAKAMURA, TSE, AND SHANKLAND 173

flow proneness might aid readers’ comprehension However, the label may not be ideal for two major
and research integration. reasons.
Measuring the flow state in real time is extremely First, the association between challenge–skill
difficult for two reasons. First, the flow state may last balance and the flow state is not deterministic
a short period of time; even if the flow conditions (Landhäußer & Keller, 2012). In some studies, the
are present, there may be only moments of complete flow state is the most intense in both the high-­
­absorption and enjoyment (Csikszentmihalyi, 1990). challenge, high-skill condition and the low-challenge,
More important, self-report requires withdrawing high-skill condition (Moneta,  2004; Tse, Fung,
attention from what one is doing and directing it Nakamura, & Csikszentmihalyi,  2018); in other
toward one’s internal feelings and psychological states. studies, the flow state is most intense when slightly
Flow experience cannot be sustained if attention is overchallenged (e.g., Abuhamdeh & Csikszentmihalyi,
split. In other words, the measurement of the flow 2012a). It appears that the relationship between
state disrupts the experience itself. The experience perceived challenge–skill balance and flow state is
sampling method (ESM) has made it possible to moderated by multiple situational and dispositional
capture the transient experience of flow (Hektner factors; for example, people are more likely to enjoy
et al., 2007). It cannot, however, avoid the disrup- challenges in activities that are goal directed
tiveness of self-report. (Abuhamdeh & Csikszentmihalyi, 2012a) and people
Because of the challenges of online measurement, with high action orientation are more likely than their
flow experience is often measured retrospectively. counterparts to enjoy high levels of flow experience
Three domain-general measures of flow experi- even when the challenge–skill balance is not optimal
ence are widely used. The Flow Questionnaire (Baumann, Lürig, & Engeser, 2016). Moreover, per-
(Csikszentmihalyi & Csikszentmihalyi,  1988) pro- ceived balance without clear goals and immediate
vides first-person descriptions of the flow state and feedback is not sufficient to facilitate flow experience
asks respondents to indicate whether they have ex- (Csikszentmihalyi, 1997). In brief, a flow condition
perienced the state before, followed by questions that is neither always conducive to flow experience
regarding both their subjective experience in the nor the only condition of flow experience creates
activity and the presence of flow conditions (e.g., conceptual confusion in the flow literature.
challenge–skill balance). The two other scales m­ easure Furthermore, because the different models of
a combination of flow-state dimensions and flow challenge–skill balance (see Figure 10.1) conceptualize
conditions, consistent with the original flow dis- flow condition differently, the flow condition in one
cussions (Csikszentmihalyi, 1975). The Flow State model does not correspond to the flow condition in
Scale–2 (Jackson & Eklund, 2002) was developed another model. For example, whereas the flow con-
to measure flow in a specific event in the sports con- dition in the original model refers to all conditions
text and later was adopted to study other activities. in which challenge and skill levels match, the flow
It consists of 36 statements (9 in the short version) condition in the quadrant model and the experience
and is a measure of intensity. The Short Flow Scale fluctuation model refers exclusively to the condition
(Engeser & Rheinberg,  2008) contains 10 items, characterized by simultaneously high challenges and
and 3 additional questions assess the difficulty of skills. These differences must be taken into account
the activity, felt competence, and the perceived in literature reviews and meta-analyses.
challenge–skill balance. Finally, researchers in various In experimental studies, the balance of perceived
disciplines have also devised domain-specific meas- challenges and skills is mostly operationalized by
ures of flow experience. Two that measure only the manipulating the objective challenge level, because it
flow-state dimensions and not the flow conditions is relatively difficult to manipulate the skill level in a
are the Work-Related Flow Scale (Bakker,  2001) short period of time during an experiment. Objective
and the flow scale for human–computer interaction challenges usually are manipulated by varying the
(Webster, Trevino, & Ryan, 1993). difficulty level, such as increasing the speed in a
Tetris game (Keller & Blomann, 2008). Note that
Challenge–Skill Balance or Flow Condition challenge–skill balance can be manipulated in two
Perceived balance between challenges and skills is the ways. The first is to operationalize the medium-­
most extensively studied condition of flow ­experience difficulty condition as the balanced condition, with
(Fong et al., 2015). In fact, it has sometimes been the easy and hard conditions as underwhelming
referred to as the flow condition in experimental (boredom) and overwhelming (anxiety) conditions,
and ESM studies (Landhäußer & Keller, 2012). respectively (e.g., Engeser & Rheinberg,  2008).

174 FLOW: THE EXPERIENCE OF INTRINSIC MOTIVATION

The second is to utilize a dynamic pacing condition, flow experience, operationalizations of dispositional
in which the difficulty level is adjusted online flow and flow proneness measure the frequency of flow
­according to how well the player is performing (e.g., experience. Compared to the short-lived flow state,
Baumann et al.,  2016; Keller & Blomann,  2008). flow proneness and dispositional flow are more
Regardless, it is always advisable to perform a suitable for investigation of the long-term covariates
­manipulation check after the experimental task, and outcomes of flow experience, such as academic
confirming that the manipulation of the objective performance (e.g., Shernoff, Csikszentmihalyi,
challenge level ­resulted in the expected change in Schneider, & Shernoff, 2003).
perceived challenge–skill balance (e.g., Engeser &
Rheinberg, 2008; Keller & Bless, 2008). Autotelic Personality
Many ESM studies have employed challenge and Finally, autotelic personality refers to the constellation
skill ratings as an indicator of challenge–skill balance of dispositional attributes that facilitate the experi-
(e.g., Hektner et al., 2007). However, the analyses ence of flow across life domains (Csikszentmihalyi,
of the challenge and skill scores differ across studies. 1975, 1990). Nakamura and Csikszentmihalyi (2002)
Some studies have followed the quadrant model and reviewed the flow literature and proposed a metaskill
the experience fluctuation model and classified a re- model of autotelic personality, in which autotelic
sponse as a flow response if the challenge level and personality is characterized by (a) curiosity and in-
the skill level are both above the person’s average terests in life, (b) ­persistence, (c) low self-centeredness,
over the sampling period (or above a specific value; and (d) intrinsic motivation. Another theoretical
e.g., Asakawa,  2010; Heo, Lee, McCormick, & model of autotelic personality is the receptive–active
Pedersen,  2010). Other studies keep the challenge model, in which autotelic personality is character-
and skill scores in their original forms and regress ized by the capacity of opening up attention to seek
the experiential outcomes on both of them together challenges and the capacity of narrowing down
with their interaction (or the absolute value of their attention to master challenges (Baumann,  2012;
­
difference; Moneta & Csikszentmihalyi,  1996). Csikszentmihalyi, Rathunde, & Whalen, 1993).
Flow theory predicts significant main effects of The earliest operationalization of autotelic person-
challenges and skills and a significant effect of the ality measured its theoretical outcome––frequency
challenge–skill interaction (see Moneta, 2012, for a of flow experience in life. In ESM studies, for ex-
comprehensive discussion of the regression approach). ample, researchers infer autotelic personality from
higher number of flow responses (i.e., high-challenge,
Dispositional Flow and Flow Proneness high-skill responses) over the sampling period
Dispositional flow is distinct from flow state be- (Asakawa, 2004). The Dispositional Flow Scale–2
cause it refers to the predisposition to experience has been modified to measure frequency of flow
flow, measured by frequency of flow experience, in ­experience in “activities in general” and used as an
a particular domain (e.g., work, school; Moneta, indicator of autotelic personality (Ross & Keiser,
2012). Theoretically, dispositional flow should be 2014). In ESM studies, autotelic personality also has
temporally more stable and less susceptible to im- been inferred from level of intrinsic motivation in
mediate environmental influences than flow state high-challenge, high-skill responses. Measuring
(Jackson & Eklund, 2002). Whereas dispositional concrete expressions of autotelic personality has
flow is domain specific, flow proneness—the ten- strengths, but the measures can be confounded by
dency to experience the flow state—is a domain- situational factors (e.g., whether one is in a flow-
general, temporally stable construct measured by conducive environment; see Baumann,  2012, for
the frequency of flow experience in major life do- discussion). In contrast, measuring personality attri-
mains. Retrospective self-administered question- butes may avoid this. Stemming from the receptive–
naire is the most common operationalization of active model, Baumann and Scheffer (2010) have
these c­ onstructs. The Dispositional Flow Scale–2 created an operant motive test of autotelic personality.
(a monozygotic twin of Flow State Scale–2; In this projective test, respondents invent a story and
Jackson & Eklund, 2002) and Flow Proneness answer questions for each of 15 pictures. Autotelic
Scale (Ullén et al., 2012) measure the frequency of individuals’ responses include engagement and
flow experience in a p ­ articular domain and in the ­involvement in the task as well as positive affectivity
domains of work, leisure, and maintenance (e.g., and self-determination. Finally, the Autotelic
chores), respectively. Whereas most operational- Personality Questionnaire is a 26-item survey that
izations of flow experience measure the intensity of directly ­measures dispositional attributes in both

NAKAMURA, TSE, AND SHANKLAND 175

the metaskill model and the r­ eceptive–active model Emergent Motivation
(Tse, Lau, Perlman, & McLaughlin, 2018). At the moment-to-moment level within a given
activity (a tennis match, for example), a person ex-
Emergent Motivation and the Temporal periencing flow may have entered the activity with
Dynamics of Flow Experience a goal in mind (“play a good match”) but the mo-
The flow model is distinguished by its focus on the tivation that sustains continued engagement and
phenomenological: the subjective state that makes guides action is emergent. Proximal goals arise from
activities intrinsically rewarding. To date, research a continuous back and forth between the person
has given primary attention to being in flow. This is and environment (Csikszentmihalyi,  1975,  1985;
not a static state, however. A defining feature of Nakamura & Csikszentmihalyi,  2002). In the
being in flow is that “action follows upon action ac- ­context of clear emergent goals, the person knows
cording to an internal logic that seems to need no what to attend to and what to ignore within the
external intervention by the actor”—the individual stimulus field and knows what constitutes positive
“experiences it as a unified flowing from one moment and negative feedback about the progress of the
to the next” (Csikszentmihalyi, 1975, p. 36). Moreover, unfolding interaction (“oh, my drop shot isn’t
the flow state is fragile: Absorption in what one is fooling him anymore”).
doing waxes and wanes. In addition to these moment- More research attention has been paid to another
to-moment dynamics of entering and being in dynamic in the moment-to-moment time frame:
flow, flow processes unfold over longer time frames: the shifting balance between the level of perceived
(a) across episodes within an activity that is a source challenges and the person’s perceived ability to
of flow (e.g., across matches, in tennis) and (b) over a tackle the challenges (Csikszentmihalyi,  1975). As
life, as new sources of flow are discovered, get estab- the interaction with the environment proceeds, if
lished, evolve, and deepen or fade as commitments. the perceived challenges rise, becoming too great to
In this section, we review theory, methods, and illus- meet, the person may become anxious. If the person
trative research on the temporal dynamics of flow, a becomes comfortable with the challenge level or the
fertile area for future research that holds both basic challenges wane and the person’s capacities are no
and applied significance. longer stretched, eventually boredom may ensue.
Prior to turning to flow theory, we note that When the person becomes anxious or bored, these
there are basic aspects of flow dynamics that are not subjective states provide experiential feedback about
yet well understood. For example, the flow model the interaction. The person may respond by at-
does not contain a detailed general account of how tempting to adjust the challenges being faced or
people move into the flow state (e.g., is it entered their capacities for action, reestablishing the balance
gradually, abruptly?) or of why people move out of of challenge and skill that encourages focused in-
it (e.g., do they satiate, fatigue?). We do not yet know volvement (“he’s hit a hot streak—I should just try
whether the dimensions of the flow state come online to keep the ball in play”).
in a fixed order. Flow theory does not provide an This dynamic challenge–skill relationship in an
account of how the intensity of absorption fluctuates activity is also evident beyond the momentary
over the course of an event or episode (e.g., a tennis level (Csikszentmihalyi,  1985). If a person’s skills
match), nor does it offer an account of how being in are chronically inadequate to meet the challenges
flow fluctuates across a period of heterogeneous ac- of an activity, returning to flow will depend on
tivity (e.g., a day or a week) or as one’s accumulated working to increase the relevant skills (“I need to
experience with a given activity grows. Some of these spend time on the practice court”) or retreating to
as-yet untheorized aspects of flow process may prove lower levels of challenge. However, if the challenges
to vary widely by person and situation, lacking reg- available in the environment are consistently inad-
ularities, but this is an empirical question. equate to stretch the person’s skills, returning to flow
will depend on either compensatory adjustments
Dynamic Processes in Flow Theory (“I’ll spot you a game”) or seeking out new chal-
Having noted these gaps in current understanding of lenges (“I need stiffer competition”). This dynamic
flow experience, we turn to aspects of temporal dy- explains why finding flow in an activity can become
namics that the flow model has described. We begin an impetus to development and growth over time
with theory concerning the moment-to-­ moment (e.g., Larson, McGovern, & Orson, in press; Rathunde
interactional dynamics of the flow experience. & Csikszentmihalyi, 2006).

176 FLOW: THE EXPERIENCE OF INTRINSIC MOTIVATION

Emergent Goals the experience, as was done in the research that
At a more macro level, flow theory highlights the produced the first account of the flow state and its
fact that as a person goes through life, he or she may temporal dynamics (Csikszentmihalyi,  1975; see
encounter a new activity and discover that it holds also Jackson, 1995; Reed, Schallert, & Deithloff,
intrinsic rewards emergently—through the process 2002). Alternatively, individuals may be asked to
of participating in the activity and experiencing describe the unfolding of a particular, recently
flow in it. When a person recognizes an activity as a completed experience in a flow activity (e.g., Swann,
potential source of experiential rewards, he or she Keegan, Crust, & Piggott, 2016). To aid recall of
may subsequently choose to pursue the activity again. specific events, researchers have experimented with
Within the person’s life, pursuing the activity may playing back a video or audio recording of the event
become an emergent goal (Csikszentmihalyi, 1985; during the interview (e.g., Mackenzie, Hodge, &
Csikszentmihalyi & Nakamura, 1999). The same Boyes, 2013; Rathunde, 1997). The interview method
process might lead a person to discover that an already can elicit detailed accounts of temporal processes,
familiar activity (e.g., one originally imposed by yielding a continuous account of fluctuations in
parents or teachers) can be intrinsically rewarding. the flow state across the unfolding experience.
Csikszentmihalyi (1985) characterized these experi- However, it depends on retrospection and either
entially based motivations as open goals, to distin- (a) synthesis of a typical experience or (b) recall of a
guish them from the wide array of goals that are particular experience after it is over and its trajectory
rooted in existing custom, habit, and biology rather and outcome are known.
than present experience. Less often, methods have been devised to
In a still longer time frame, many activities (e.g., ­measure these temporal processes in real time. For
science, art, sports, and games) arguably have come example, continuous self-reporting of flow-state
to be structured so that participants tend to experi- levels has been employed in music listening (Diaz,
ence flow when pursuing them. Psychologists have 2011) but is inherently difficult for participants in
theorized that activities have a greater chance of active pursuits. In some cases, methods devised for
being preserved as a part of the culture when this is other purposes have been adapted to m ­ easure flow
true. That is, other things being equal, in the evolu- processes, though in time frames more molar than
tion of culture, flow activities are subject to a mech- the moment to moment. For example, the stand-
anism of psychological selection (for a summary, see ard (random) experience sampling in situ is too
Delle Fave et al., 2011). sporadic to enable tracing how a flow experience
Despite theoretical and practical importance, unfolds, but it can offer insight into the fluctuation
past flow research has not focused on the emergence of challenge and skill, or of the flow state, across the
of the goals that structure people’s lives. A longitu- course of some stretch of time (Ceja & Navarro,
dinal study of the cultivation of talent in adolescence 2011; Rodríguez-Sánchez, Schaufeli, Salanova, Cifre,
illustrates the possible role of flow experience in & Sonnenschein, 2011). Both in situ and in exper-
people’s selection of the activities that they pursue. imental settings, r­ esearchers also have done repeated
Csikszentmihalyi and colleagues (1993) found that nonrandom sampling of experience from individuals
compared to adolescents who planned to quit work- as they engage in an activity: at multiple points in
ing in an area of talent (e.g., math, art, sport), teens a  marathon, each time a game or other episode
who planned to continue had more frequently expe- is  completed, and so on (e.g., Abuhamdeh &
rienced the activity as a context for flow (i.e., a high- Csikszentmihalyi,  2012b; Harris, Vine, & Wilson,
challenge, high-skill context) 2 years earlier. The rest 2017; Pearce, Ainley, & Howard, 2005; Schüler &
of this section focuses on flow processes in the more Brunner,  2009; Schüler & Nakamura,  2013).
circumscribed time frames. Disrupting the flow state is an inherent limitation
of these methods, as is reactivity when sampling
Methods for Studying Temporal Dynamics occurs repeatedly during a short time period.
The temporal dynamics of flow experience have Methods have not yet been established for
been investigated primarily through qualitative measuring the temporal dynamics of flow in real
interviews with experienced practitioners of an time without interrupting the actor’s stream of ex-
activity. Interviewees may be asked to describe perience to report on it. For researchers interested
how the experience unfolds in general when engaged in flow’s temporal dynamics, such a method is the
in the activity, giving a composite description of Holy Grail.

NAKAMURA, TSE, AND SHANKLAND 177

Research on Temporal Dynamics Some researchers have speculated that the six
On a descriptive level, researchers have examined flow dimensions and three flow conditions might
fluctuations in flow experience within different come online in a predictable sequence. For example,
time frames. In the within-episode time frame, re- Kawabata and Mallett (2011) used questionnaire
searchers have investigated the flow “course” while, (Flow State Scale-2) data about flow in physical
for example, completing a writing project, studying ­activities and Quinn (2005) used ESM data about
for an exam (Reed et al.,  2002), and running a flow at work to model different hypothesized
marathon (Schüler & Brunner, 2009). In particular, ­sequences statistically. In both models, other flow
Schüler and Brunner’s research indicated that flow dimensions led to loss of self-consciousness and
experience decreased across the course of a marathon, distortion of temporal perception.
and this was true whether measured via experience One basic question about the dynamics of flow
sampling or via retrospective ratings made after the experience is whether entering the flow state occurs
race. That is, the flow course had the same pattern abruptly or gradually and, if this varies, based on
regardless of method, although it started from a what factors. Reed and colleagues (2002) used
higher level and fell more sharply, in the postrace ­interviews and repeated measurement of real-time
recollection. The flow course is likely to vary by experience to study the ebb and flow of deep in-
­activity. For example, Diaz (2011) found wide fluctu- volvement, a construct closely related to the flow
ation in the intensity of flow experience when state. Studying undergraduates completing writing
measured continuously during an occasion of music tasks, they found that entering this state occurred
listening; he related the peaks and valleys to features gradually and, for most students, with effort.
of the music. In a somewhat longer time frame, The flow model of emergent motivation was
Rodríguez-Sánchez and colleagues (2011) analyzed based on interview accounts of rock climbing and
workers’ flow-state levels across the day based on other activities (Csikszentmihalyi, 1975). Additional
ESM data. They found a curvilinear pattern with insight into emergent processes in both individual
lower levels of flow during working hours. and group contexts has come from qualitative in-
Interestingly, from the standpoint of identifying terviews about activities such as improvisational
regularities, this flow pattern or flow course charac- performance (e.g., Sawyer,  2014) and sport (e.g.,
terized the experience of both healthy workers and Jackson, 1995; Swann, Keegan, Piggott, & Crust,
individuals on leave from work because of burnout. 2012). The flow model of challenge–skill dynamics
The flow state has been associated with traditional also originated in Csikszentmihalyi’s (1975) inter-
indicators of intrinsic motivation when studied in views but has subsequently been examined through
real time. Flow experience while being trained to ESM and experimental research. For example, recent
use a computer program, reported immediately experimental studies have examined the flow state
after the training event, was associated with expected under challenge–skill conditions that are dynamic,
future use of the program (Webster et al., 1994). defined by fluctuations in the challenge–skill rela-
Flow experienced during a marathon was associated tionship. In this vein, Baumann and colleagues
with future running motivation (Schüler & Brunner, (2016) compared game playing with a static chal-
2009). In an experimental study, flow experienced lenge level to game playing in which the challenge
while engaging in a knowledge task was associated level fluctuates in patterned ways across the game.
with choosing to reengage in the task (Keller, Dynamic challenges were more conducive to expe-
Ringelhan, & Blomann, 2011). riencing flow. The research illuminates temporal
Researchers have related attentional dynamics to processes even though it did not directly measure
the process of entering the flow state. Harris and changes in a person’s experience of flow from one
colleagues (2017) employed mobile eye tracking to moment to the next.
record participants’ point of gaze continuously
while they were shooting baskets. They concluded Summary and Future Directions
that control of visual attention (quiet eye) preceded Recent flow research has focused on covariates,
experiences of flow. In an ESM study of college stu- moderators, and outcomes of the flow state and
dents, Abuhamdeh and Csikszentmihalyi (2012a) flow conditions, with less attention to a key feature
statistically modeled the process of entering flow. of being in flow—the temporal dynamics of flow
Attentional involvement partially mediated the pos- experience, at the momentary level and beyond.
itive relationship between challenge–skill balance Being “in” flow is not a static state. A great deal re-
and enjoyment. mains to be learned from research about dynamic

178 FLOW: THE EXPERIENCE OF INTRINSIC MOTIVATION

phenomena such as emergent motivation at the danger, such as digestion, reproduction, and sleep.
moment-to-moment level, fluctuations of atten- The foil to the PNS is the sympathetic nervous system
tion and absorption as an experience unfolds and (SNS), which is in charge of the fight-or-flight (i.e.,
as the challenge–skill balance shifts, the genesis stress) response. When under stress, the SNS causes
and  ­persistence of emergent goals and activity the release of epinephrine, norepinephrine, and
choices in a person’s life, and developmental trajec- cortisol. Epinephrine and norepinephrine serve to
tories of skill level and flow experience in an activity increase heart and respiratory rates, dilate the pupils,
over time. The temporal dynamics of flow in each and divert blood to the skeletal muscle. Cortisol
of these time frames has implications for theory raises blood sugar levels to give the body easy access
and for efforts to find and foster flow in daily life. to fuel (Mason,  2011; Siegel, Agranoff, Albers, &
We have indicated some of the questions that Molinoff, 1989). This is the nervous system’s way of
remain to be answered and noted some illustrative readying for battle.
research findings, focusing on flow processes at the Flow is an experience that is characterized by its
moment-to-moment level. intensity: intensity of focus, intensity of concentra-
As discussed, research on the dynamics of flow tion, and intensity of performance. It is little wonder
is challenging methodologically. In the future, that an experience with this magnitude of absorp-
neurophysiology may yield a nonintrusive, real- tion evokes some degree of stress in the body. When
time marker of the flow state. Current advances in entering a flow state, the SNS (fight-or-flight re-
neurophysiological research, to which we turn sponse) is activated. The relationship between the
next, are thus of methodological as well as direct depth of the flow state and the degree of SNS activa-
interest for the understanding of flow experience. tion follows an inverted U-shaped curve (Peifer,
Schulz, Schächinger, Baumann, & Antoni,  2014;
The Neurophysiology of Flow Experience Ullén, Theorell, & Harmat, 2010). This means that
The study of the neurophysiological processes un- flow is optimized when the body is experiencing a
derlying flow states is a burgeoning research area in moderate amount of stress. Flow requires a balance
the domains of both psychology and neuroscience. between challenge and skill. When skill far out-
Theoretical and conceptual work has laid the foun- weighs challenge, relaxation is the result; this is the
dation for hypotheses, such as transient hypofron- far left of the curve—no stress, but no flow either.
tality. Experimental research has been refining and As the levels of challenge and skill begin converging
clarifying our understanding, uncovering associa- on one another, a flow state is initiated and we begin
tions between flow states and the activation of both moving along the inverted U; flow and stress slowly
the stress response and the reward center. There is increase in tandem. The apex of the curve can be
still much work to be done, but a general picture is thought of as Vygotsky’s zone of proximal develop-
emerging of what goes on inside the physiological ment: the sweet spot where challenge exceeds skill
“black box” of the flow experience. This section aims just enough to optimize growth and learning with-
to briefly summarize what we know—and what we out inducing anxiety (Vygotsky, 1978). As challenge
do not. increases (and, thus, the gap between challenge and
skill widens), stress increases until the anxiety tipping
The Stress Response point is reached, disrupting flow, on the far right
Stress plays an integral role in the flow experience, end of the curve. This illustrates the importance of
as both a catalyst and a byproduct. When under stress, stress, not only in entering flow, but also in optimizing
specific physiological processes take place within the it (Ullén et al., 2010).
body. The body’s stress response is controlled by the The word stress typically brings to mind mala-
autonomic nervous system (ANS). The ANS operates dies such as insomnia, ulcers, and heart attacks. The
outside conscious control and regulates processes cripplingly negative effects of chronic stress are well
such as heart rate and digestion, predominantly documented and unquestionable (Kudielka &
through the release of hormones. The ANS is divided Kirschbaum,  2007). This would appear to bode
into two parts—the parasympathetic and sympa- poorly for the effect of flow on the body. However,
thetic nervous systems. The parasympathetic nervous the “signature” of stress observed during flow states
system (PNS) is commonly referred to as the rest- is of a decidedly positive nature. This is because flow
and-digest system and is active when the brain per- is associated not only with SNS activation, but also
ceives safety. It controls functions that would only with simultaneous PNS (rest-and-digest system) ac-
be wise to engage in when there is no threat of tivation. Whereas the relationship between the SNS

NAKAMURA, TSE, AND SHANKLAND 179

and flow follows an inverted U, the relationship variation in flow proneness may be caused, in part,
­between the PNS and depth of flow is positive and by dopamine sensitivity. Examinations of the ge-
linear—there is no tipping point. As a person moves netic influences on flow proneness have found that
deeper into a flow state, the PNS activates in lockstep genes that influence the dopaminergic system in the
(Peifer, Schulz, Schächinger, Baumann, & Antoni, brain may play a role (Gyurkovics et al.,  2016;
2014). Other studies have confirmed this cooperation Mosing et al.,  2012). Furthermore, a study by de
of the SNS and PNS in the flow state. Ullén and Manzano and colleagues (2013) found a significant
colleagues (2010) found that during flow participants correlation (r = .41) between the density of dopa-
experienced increases in cardiac output and respira- mine receptors in a person’s dorsal striatum and
tory rate, which indicate SNS activation and effort- flow proneness. Their conclusion was that the more
ful exertion. However, increased respiratory depth dopamine receptors you have, the more sensitive
and activation of the zygomaticus major (the smile you are to dopamine—and the more likely you are
muscles in the face) were simultaneously observed, to be able to access the flow state. Additionally, do-
both of which are correlated with enjoyment pamine is associated with emotional regulation as
and  diminished effort. This coactivation of both well as positive affect. The combination of increased
branches of the ANS may be what gives flow expe- dopamine sensitivity and the stimulation of dopa-
rience some of its distinctive attributes. The stress mine release while in the flow state may contribute
response (SNS) heightens arousal, narrows focus, to the perception of flow as an enjoyable experience
and improves ­performance; the rest response (PNS) (de Manzano, Theorell, Harmat, & Ullén,  2010).
expedites ­recovery from arousal and is protective Interestingly, neither dopamine receptor density nor
against the harmful effects of stress. Flow experience flow proneness was related to general intelligence.
manages to reap the best of what each branch of the This suggests the increased performance and atten-
ANS has to offer. tional control observed during the flow state is not
dependent on general cognitive ability, but instead
The Role of Dopamine may be illustrative of the role of subconscious pro-
Neurons use chemicals called neurotransmitters to cesses during flow (de Manzano et al., 2013). There
communicate with one another. One of the chemical is still a great deal of exploration to be done in fully
messengers related to flow experience is dopamine. understanding the role of dopamine in the flow
Dopamine is associated with many neural processes, ­experience, but there is clearly a relationship and,
including motivation, arousal, executive function, therefore, this is a promising line of inquiry.
reinforcement and reward, motor control, and addic-
tion. Flow experience has been shown to activate the Hypofrontality and the Implicit–Explicit
reward center of the brain through increasing dopa- Systems
mine levels. It is hypothesized that this is why flow is Temporal distortion, loss of ego, merging of action
an intrinsically motivating experience (de Manzano and awareness: These attributes of the flow state are
et al., 2013). shared by other altered states of consciousness, such
Another link between dopamine and flow expe- as meditation, hypnosis, and even “tripping” on
rience is via the chemical precursor to dopamine— hallucinogenic drugs. These commonalities have
acetylcholine (which is associated with PNS activa- shone light onto the possible neural underpinnings
tion). Studies have shown that the performance of the flow experience because these phenomena
of  sustained attention (such as in the flow state) are produced by similar neural processes across the
is associated with the activation of the cholinergic spectrum of altered states (Dietrich, 2003). Although
system, resulting in the release of acetylcholine. evidence thus far has been inconclusive, an ­intriguing
Activation of the cholinergic system is associated explanation for these consciousness-bending char-
with enhanced sensory processing, which includes acteristics is the theory of transient hypofrontality
filtering out irrelevant noises and other distracting (Dietrich, 2004).
stimuli (Sarter, Givens, & Bruno, 2001). This may The brain has two information processing
be a contributing factor in the experience of en- ­systems—explicit and implicit. The explicit system
hanced task focus and absence of distraction that is drives conscious, effortful awareness and is powered
observed during flow. by the prefrontal cortex (PFC). Working memory is
Beyond the role dopamine may play in the expe- part of the explicit system and enables us to deliber-
rience of flow, it has been shown to be related to ately choose what we hold in mind at any given time.
flow proneness. Studies have shown that individual The PFC uses working memory to devise a strategy,

180 FLOW: THE EXPERIENCE OF INTRINSIC MOTIVATION

which informs motivation; it then uses that effortful (Ullén et al., 2010). However, the experience
­motivation to formulate specific plans and then exe- is typically described as effortless. This goes back to
cute the plans as actions. The explicit system is capable the explicit–implicit transition. The implicit system
of a wide variety of functions because of the excep- is not available to consciousness. When an activity is
tional flexibility afforded by working memory under being executed by the implicit system, the explicit
conscious direction. However, working memory has system can observe the execution of the action, but
a finite capacity. An apt illustration of this process is the implicit system is simply not capable of com-
the acquisition of a new skill. The explicit system municating to the explicit system what it is doing or
can select what to hold in mind, such as a particular how challenging the task is, nor can it assign any sort
skill one would like to acquire. However, working of value to the execution of the task. The perception
memory is limited and cannot hold the entirety of the of effort is reduced when the implicit system is
skill in mind at once. Thus, it must break down driving. This explains the experience of effortless
the skill into a few “chunks.” The more complex the performance in the case of mastery, but flow can be
skill is, the less nuanced each of these chunks will be, experienced when engaging in activities that have
meaning that the chunks are only a general approx- not yet been mastered; the transient hypofrontality
imation of the original skill. This is why we typically theory bridges this gap (Dietrich, 2004).
do not excel at something the first time we try it—our The brain is arranged in a hierarchy that ap-
mental representation of it is still extremely rough. proximates the order in which the various neural
The explicit system is flexible in its capacity to choose structures evolved. This hierarchy begins with the
what to hold in consciousness. However, because of brainstem, part of the implicit system, and ends
its inefficiency, the skill acquisition process tends to with the PFC, part of the explicit system. Transient
be effortful and cumbersome (Dienes & Perner, 1999; hypofrontality theory asserts that during the expe-
Ulrich, Keller, Hoenig, Waller, & Grön, 2014). rience of flow (and other altered states of conscious-
This raises the question—How does performance ness), activity in the PFC is downregulated. When
improve with practice? This is where the implicit the PFC (and, consequently, the explicit system) is
system enters the equation. The implicit system is shifted into low gear, it gives the implicit system
the part of the brain that operates outside con- the opportunity to take the wheel. The transition
scious awareness. When an activity is referred to as of task execution to the implicit system may explain
having become second nature or muscle memory, it is the perceived effortlessness during flow experience;
because the execution of the task has been transi- the implicit system is not capable of labeling the
tioned to the implicit system. The implicit system exertion as effortful.
has no working memory buffer to be consciously It is hypothesized that during a flow experience
directed. This means that it is fairly rigid, but ex- most functions of the PFC are reduced to some
ceptionally efficient. As the explicit system lumbers degree, with the notable exception of the executive
through the skill acquisition process, the implicit attentional network. The executive attentional net-
system is observing and building its own mental work is essentially in charge of deciding what to fill
model of the activity. Once a representation of a the working memory buffer with. In the flow state,
chunk has been created in the implicit system, that the executive attentional network chooses the over-
chunk can be transitioned from the explicit to the all goal and then monopolizes the full capacity of
implicit system, freeing up working memory capac- working memory on that single objective. This con-
ity. The explicit system can then start the process tributes to the experience of a singularity of atten-
over, directing the working memory to hold chunks tional focus, the absence of distraction, and the
with greater r­efinement in the buffer until those, merging of action and awareness. The portions of
too, have been internalized by the implicit system. the PFC that are dialed back house our cultural
This leads to improved performance over time. Once values, beliefs, sense of identity, self-reflection, and
a task has been broken down to the finest possible temporal integration. When the activity is reduced
degree of granularity by the explicit system and in these areas of the brain, it can lead to the loss of
then fully internalized by the implicit system, the fear of failure, lack of self-consciousness, and the
mental model of the skill is complete and mastery experience of time dilation (Dietrich, 2004).
is achieved (Dietrich & Stoll, 2010; Graybiel, 1998; The transient hypofrontality theory is a captivating
Ulrich et al., 2014). explanation for what underpins the subjective expe-
Studies indicate that flow experience is associ- rience of flow; however, experimental studies have
ated with high arousal and is, thus, physiologically not conclusively confirmed (or disconfirmed) the

NAKAMURA, TSE, AND SHANKLAND 181

theory. Neuroimaging studies have shed some light, that could have far-reaching implications for the use
but there have been conflicting findings (Harmat of flow states as a tool for enhanced well-being and
et al., 2015; Yoshida et al., 2014). This will undoubt- healing.
edly be a robust avenue of research in the near term. In summary, the flow state has wide-reaching
­effects on the body. It has been shown to affect what
Summary and Future Directions parts of the brain are on- or offline, leading to an
We are beginning to understand the neurophysio- altered state of consciousness. It influences the way
logical correlates of flow, but there is much to be our brain communicates with itself (through neu-
uncovered. Although associations have been dem- rotransmitters) and how (and what) our brain
onstrated between flow experience and dopamine, communicates to our body (through the stress
­
our neurochemistry is dazzlingly nuanced and there ­response). There are indications that the flow state
are undoubtedly many other factors involved. There not only enhances performance (without a perceived
are theories regarding the role other neurotransmitters increase in effort), but also protects the body from
and hormones may play. For example, epinephrine the harmful effects of stress in the process.
(released in times of stress) may play a role in some Understanding the effect of flow states on our
of the dimensions of flow experience. Two effects of minds, bodies, and brains will help us to use it more
epinephrine are the diversion of blood (and, thus, intentionally, and effectively, to enhance well-being
energy and oxygen) to the skeletal muscles and nar- and improve quality of life.
rowed focus. In flow states involving physical exer-
tion, these effects of epinephrine may be even more
Conclusion
pronounced because of increased muscular activity.
In this chapter, we have focused on the experiential
Some of the greatest challenges in studying the
rewards at the heart of flow theory: the dynamic
neurophysiological correlates of flow states are posed
state of full absorption and the most proximal con-
by the constraints of technology. The equipment
ditions and personal dispositions that foster it. We
required to measure physiological responses limits
have been obliged to leave largely to the side other
the types of flow states able to be studied because
important topics such as outcomes of experiencing
they must be produced in a laboratory setting.
flow, including its relations to well-being, learning,
Astoundingly rapid advances are being made in
development, and performance; and applications of
wearable biometric technology. As this cutting-edge
flow theory in work, education, sport, and other
technology (e.g., electrocardiogram wristbands,
areas (e.g., Delle Fave et al.,  2011; Engeser,  2012;
electroencephalogram headbands, electrodermal
Swann et al., 2012). We have discussed how theory
activity rings) becomes more mainstream, these
and methods have evolved, distinguishing among
wearables could be used to gather vast amounts of
several key flow constructs to help in parsing what
data from individuals engaged in flow activities in
past research tells us so that it can best inform future
a real-world context, lending greater insight into
research and practice. In addition, we have dis-
these experiences than ever before. This would also
cussed two promising areas for future theory and
facilitate the comparative study of how physiolog-
research. The first of these is a topic central to the
ical responses vary depending on the type of flow
phenomenology of flow about which there are still
activity being engaged in. For example, the flow
many unanswered questions: process, or the tempo-
experience of a skydiver may dramatically differ
ral dynamics of flow. The second is a growing edge
from that of a writer. The ability to collect physio-
of theory and research that we are increasingly able
logical data in the field may also lead to a much more
to address because of technological developments:
refined understanding of flow experience in general.
the neurophysiology of flow.
Last, as we gain further clarity on the neuroanat-
omy of flow, it may be possible to ease access to, or
modulate, flow states through influencing neural References
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NAKAMURA, TSE, AND SHANKLAND 185

 CH A PT ER
Implicit–Explicit Motive Congruence
11 and Moderating Factors

Todd M. Thrash, Lena M. Wadsworth, Yoon Young Sim, Xiaoqing Wan,

and Channing E. Everidge

Abstract

This chapter reviews the literature on congruence between implicit (unconscious) and explicit (conscious)
motives. The conventional wisdom that implicit and explicit motives are statistically independent is shown
to be incorrect. Meta-analyses of past studies indicate that, on average, implicit and explicit motives
are weakly positively correlated rather than uncorrelated. The correlation becomes stronger when
methodological shortcomings of past research, such as unreliability of measurement, are overcome.
Nevertheless, the relation remains modest enough that the discrepancy between implicit and explicit
motives carries important information about personality congruence. The relation between implicit and
explicit motives has been found to vary systematically as a function of substantive moderator variables,
such as self-determination, self-monitoring, and body awareness. Motive congruence is predicted distally
by satisfaction of basic needs during childhood and proximally by stress among individuals who have
difficulty regulating affect. Motive congruence predicts important outcomes, including volitional strength,
flow, well-being, healthy eating, and relationship stability. The chapter closes with a discussion of future
research directions, such as the distinction between congruence and integration constructs.
Keywords:  motive congruence, incongruence, implicit motives, explicit motives, moderators,
self-determination, self-monitoring, well-being, personality, motivation

Introduction shown a series of pictures and is asked to tell a story

A motive is a predisposition to approach a particular about each one. The researcher interprets the stories
class of incentives, such as achievement, affiliation, in terms of their motivational content. David
or power, or to avoid a particular class of threats, McClelland and other researchers later developed
such as failure, rejection, or domination by others. refined versions of the Thematic Apperception
The study of motives began with the work of Henry Test, now called Picture Story Exercises (PSEs), in
Murray (1938), who pioneered a multimethod which subjective interpretation of participants’
­approach to the assessment of human motives. stories is replaced by application of experimentally
Of the methods that Murray developed, two were derived coding systems (e.g., McClelland, Atkinson,
particularly influential—self-report motive ques-
­ Clark, & Lowell, 1953). After decades of research
tionnaires and the Thematic Apperception Test. in the McClelland tradition, the conventional
Motive questionnaires consist of a series of state- wisdom is that scores on questionnaire and PSE
ments regarding motivation in a particular content measures of motives tend to be uncorrelated, even
domain, such as achievement, affiliation, or power. when they concern the same content domain.
The participant reports the level of his or her motiva- Most contemporary researchers interpret the
tion using a set of numerical response options. In the lack of correlation between questionnaire and
Thematic Apperception Test, the participant is PSE measures as a substantive fact about underlying

187
c­ onstructs. Picture Story Exercises and questionnaires personality coherence and has been posited to have
are thought to assess different kinds of motive
­ important implications for well-being (McClelland,
constructs that are conceptually and statistically
­ Koestner, & Weinberger,  1989; Weinberger &
­independent. Questionnaires assess explicit motives—­ McClelland, 1990).
verbally encoded values that are consciously accessible. The substantive interpretation of the lack of
Picture Story Exercises assess implicit motives— correlation between PSE and questionnaire meas-
­

spontaneously expressed concerns or preferences ures provides an unflattering portrait of the human
that are not verbally encoded or directly accessible condition—it suggests that the conscious sense of
to consciousness. self is fundamentally divorced from underlying
An implication of this substantive interpretation ­unconscious motivations. However, an alternative
of statistical independence is that individuals differ possibility is that PSEs and questionnaires are
markedly in motive congruence—the extent to ­uncorrelated because of limitations of one or both
which an individual’s levels of implicit and explicit assessment methods. Thus, it may be the assessment
motives are aligned. For the sake of illustration, we methodology, rather than the human psyche, that
have depicted a correlation of r = .00 between im- is in disarray. Of course, these two possibilities are
plicit and explicit need for achievement (nAch) in not mutually exclusive. Our objective in this chapter
Figure  11.1, based on hypothetical data. Each data is to review the literatures on the correlation between
point represents the implicit nAch and explicit implicit and explicit motives and on substantive and
nAch scores for an individual. Some individuals— methodological factors that moderate this r­ elation.
those whose scores fall near the line y = x—have We also review the literatures on the antecedents
similar levels of implicit and explicit achievement and consequences of motive congruence. In the
motives; that is, the extent to which they value ­following, we begin by providing a more d ­ etailed
achievement is comparable to the level of concern historical overview of traditional and contemporary
with achievement that they reveal spontaneously perspectives on the relation between PSE and ques-
through the stories they tell. These individuals tionnaire motive measures.
display a high level of motive congruence. Other
individuals—those whose scores fall far from the The Relation Between Picture
line y = x—have dissimilar levels of implicit and ex- Story Exercises and Questionnaire
plicit achievement motives; the extent to which they Measures of Motives
value achievement is much higher or lower than the In their classic book The Achievement Motive,
level of concern with achievement that they reveal McClelland et al. (1953) described a study in which
through their stories. These individuals display a their PSE measure of nAch was found to be uncor-
low level of motive congruence (or, equivalently, a related with a three-item questionnaire concerning
high level of incongruence). Motive congruence in effort to achieve. Although significant positive cor-
core life domains, such as achievement, affiliation, relations emerged in some subsequent studies (e.g.,
and power, is regarded as a fundamental indicator of deCharms, Morrison, Reitman, & McClelland,
1955), many studies failed to document a significant
relation between PSE and questionnaire measures
of nAch. Findings were similar for PSE and ques-
tionnaire measures of need for affiliation (nAff) and
Explicit nAch

need for power (nPow). Accordingly, McClelland

(1987) and others concluded that these two kinds
of measures are statistically independent. McClelland
et al. (1989) described the lack of relation between
PSE and questionnaire measures as being among
the most well-established findings in psychology.1
Implicit nAch

Incongruent Congruent 1
  McClelland and others who have argued that implicit and
explicit motives are statistically independent have sometimes
Figure 11.1  Hypothetical data in which the correlation between qualified this claim by stating that implicit and explicit motives are
implicit and explicit need for achievement (nAch) is r = .00. “generally,” “essentially,” or “largely” independent. We acknowledge
Individuals who are more congruent have data points that fall this fact but emphasize McClelland’s focus on independence
closer to the line y = x. for the following reasons: (a) McClelland appeared to use these

188 IMPLICIT–EXPLICIT MOTIVE CONGRUENCE AND MODERATING FACTORS

Statistical Independence as a Problem motive—they energize, direct, and select behavior—
of Measurement but he argued that PSEs and questionnaires assess
McClelland et al. (1989) observed that most research- different kinds of motives, which he called implicit
ers up to that point had interpreted the lack of motives and self-attributed (i.e., explicit) motives,
correlation between PSEs and questionnaires
­ respectively (McClelland et al., 1989).
as evidence that one method or the other is invalid McClelland’s theoretical explanation of statisti-
(see also Weinberger & McClelland, 1990). The as- cal independence appears to consist of two com-
sumption underlying these interpretations is that plementary arguments (see also Thrash, Elliot, &
PSEs and questionnaires are alternative potential Schultheiss, 2007): (a) implicit and explicit motives
methods of assessing the same construct and there- have different developmental antecedents (e.g., they
fore ought to converge if both are valid. This as- are acquired through nonverbal and verbal forms
sumption has been most explicit among research- of socialization, respectively), and (b) implicit
ers employing the multitrait–multimethod matrix ­motives, which develop first, do not influence the
framework (Burwen & Campbell, 1957; Campbell & development of explicit motives, because implicit
Fiske, 1959). In this approach, convergent validity motives are not accessible to consciousness. In short,
depends on robust relations between measures that if implicit and explicit motives have different
concern the same content (here, motive domains) causes and do not influence one another, there
but that involve ­ different assessment methods. should be no correlation between them.
Campbell and colleagues have reported that In support of his substantive interpretation of
PSEs tend to show poor convergence with other the lack of relation between PSE and questionnaire
methods, including self-­ reports. Campbell and measures, McClelland cited data showing that they
Fiske (1959) concluded—at least as interpreted by have distinct nomological nets. DeCharms et al.
McClelland et al. (1989)—that PSEs are therefore (1955) provided early evidence of distinct behavioral
invalid. In contrast, Raven (1988) cited question- correlates, and McClelland et al.’s (1989) literature
naires as the cause of poor convergence, which he review made a compelling case for distinct nomo-
attributed to improper design. McClelland, simi- logical nets more generally (see also Biernat, 1989;
larly, has questioned the validity of questionnaires McClelland & Pilon,  1983; Schultheiss,  2001).
for the assessment of motives, particularly in his Implicit motives, according to McClelland and other
earlier writings (e.g., deCharms et al., 1955; theorists, develop in early childhood through pre-
McClelland, 1980). verbal, affect-based associative learning, respond to
task-based or experiential incentives, predict sponta-
Statistical Independence as a Substantive neous behavior trends, and are introspectively inac-
Fact of Personality Structure cessible; explicit motives, in contrast, are thought to
Although McClelland questioned the validity of develop later in childhood through verbally mediated
questionnaires for the assessment of motives, his learning, are responsive to social–extrinsic or verbal–
more central and long-standing explanation of the symbolic incentives, predict deliberate choices, and
lack of correlation was that PSEs and question- are accessible in the form of consciously articulated
naires assess distinct and independent constructs. values.
McClelland’s early position was that PSEs assess In challenging the assumption that a single con-
motives, whereas so-called motive questionnaires struct underlies PSE and questionnaire measures,
assess schemata (McClelland,  1951) or values McClelland introduced a problematic assumption
(McClelland, 1980). Later, McClelland concluded of his own—that PSEs and questionnaires are
that the schemata or values assessed by question- ­perfectly valid as measures of implicit and explicit
naires satisfy his criteria for the definition of a motives, respectively. To be precise, McClelland
­certainly recognized that neither kind of measure is
perfectly valid; nevertheless, he neglected this fact
qualifications for his language to be consistent with the empirical when he attributed the lack of correlation between
facts, but these empirical facts appear not to have influenced his PSEs and questionnaires to the existence of distinct
theorizing; (b) McClelland often did not qualify the claim of implicit and explicit motive constructs instead of
statistical independence; (c) McClelland (1987) explicitly denied (rather than in addition to) the imperfect relation
the meaningfulness of implicit–explicit correlations when they
emerged; and (d) for theory to progress, it is necessary to sharpen
between constructs and measures. The following
distinctions (e.g., between “independent” and “essentially inde­ quotation (in which n refers to implicit need and
pendent”) that have been obscured in the past. v refers to explicit value) illustrates his treatment of

THRASH, WADSWORTH, SIM, WAN, AND EVERIDGE 189

methodological and substantive explanations as notation and reasoning borrow from the structural
mutually exclusive alternatives: equation modeling literature.
The general model in Figure 11.2a includes two
This lack of correlation bothers a lot of people and
underlying constructs (in ovals): an implicit motive
they have used it as an argument that therefore,
(e.g., implicit nAch) and the corresponding ex-
since the v Achievement measures are more reliable,
plicit motive within the same content domain
this proves that the n Achievement is not valid. To
(e.g., explicit nAch). The curved arrow represents
me, it demonstrated that these measures get at
the correlation between them. The underlying im-
different aspects of personality—n Achievement at
plicit and explicit motive constructs are posited to
operant trends I called motives and v Achievement
influence scores on PSE and questionnaire meas-
at values I called schemas.
ures, respectively (rectangles). Because the measures
(McClelland, 1980, p. 13)
are posited not to be perfectly reliable or valid, each
is also posited to be influenced by an error term
An Integrative, General Model (circles). These error terms represent all influences
We present the models in Figure 11.2 as a framework on the measure other than the underlying construct,
for understanding researchers’ explanations of the including extraneous constructs, method variance,
lack of correlation between questionnaires and PSEs, and random error.
as well as the assumptions that have led to these If one begins with the general model in
­interpretations. Models representing researchers’ ex- Figure 11.2a and imposes the assumption that there
planations of the lack of correlation are illustrated in is one type of underlying motive rather than two,
the third column of Figure  11.2; models depicting then one arrives at the alternative-methods model
the tacit assumptions that have led to these interpre- shown in Figure 11.2b, in which there is no distinction
tations are shown in the second column; and a gen- between implicit and explicit motive constructs. It is
eral model, in which these assumptions are relaxed, understandable that researchers who relied on this
is shown in the first column. Readers familiar with tacit model attributed the lack of correlation between
structural equation modeling may recognize that our measures to inadequate validity of questionnaires

General model Tacit models Explanatory models Conclusions

(D)
Motive
Questionnaire is an
PSE Que invalid method
(B)
Motive

PSE Que (E)

Motive

PSE is an invalid method

PSE Que

(A)
Implicit Explicit
(C) (F)
Implicit and explicit motive
Implicit Explicit Implicit Explicit
constructs are independent
PSE Que

(G)
Implicit Explicit
To various degrees, each of
the above may contribute
PSE Que to lack of correlation

Figure 11.2  Models that have been used to explain the lack of correlation between implicit and explicit motives (third column);
models depicting the tacit assumptions that underlie the explanatory models (second column); and a general model that is relatively
free of assumptions (first column).
PSE = Picture Story Exercise; Que = questionnaire.

190 IMPLICIT–EXPLICIT MOTIVE CONGRUENCE AND MODERATING FACTORS

(Figure 11.2d) or PSEs (Figure 11.2e). The reasoning (1992) conducted a meta-analysis and found that,
is sound but the premise (assumption) is not, thus on average, implicit and explicit nAch were signifi-
leading these researchers to the questionable con- cantly positively correlated, r = .09, p < .001. In a
clusion that one method or the other is invalid. more recent meta-analysis, Köllner and Schultheiss
If one begins with the general model in (2014) reported that, overall across motive domains
Figure  11.2a and instead imposes the assumption (achievement, affiliation, power), implicit and explicit
that each measure is perfectly valid, then one arrives motives were correlated at r = .13 [.08, .18]. By
at the model in Figure 11.2c, in which there is no Cohen’s (1988) conventions (.10 = a small effect,
distinction between constructs and measures. Relying .30  = a medium effect, .50 = a large effect), the
on this tacit model, McClelland attributed the lack ­correlation of .13 indicates a small positive effect.
of correlation between measures to the independ- The 95% interval of [.08, .18] indicates that the
ence of the underlying constructs (Figure  11.2f ). effect is extremely statistically reliable once findings
Again, the reasoning is sound but the premise is are aggregated across studies.
not, leading McClelland and others to the question- Second, the implicit–explicit correlation is not
able conclusion that the implicit and explicit motive so weak as to be negligible. Here we disagree with
constructs are statistically independent. Köllner and Schultheiss (2014), who argued that the
We propose that the best route forward is to observed correlation of .13 is close enough to .00 that
make neither assumption and to allow the general it may be regarded as supporting the independence
model itself to guide theory and research. This model hypothesis. A problem with the close-enough ar-
implies that the correlation between PSEs and gument is that a critic would be justified in applying
­questionnaires is a multiplicative function of three this same reasoning in the opposite direction—
correlations corresponding to three intervening paths one could argue that .13 is close enough to .30 that
(Bollen, 1989): (a) the correlation between underly- the hypothesis of a robust, moderate effect size is
ing implicit and explicit motive constructs, (b) the supported (see also Rosenthal & Rubin,  1994).
correlation between the implicit motive construct Köllner and Schultheiss bolstered their argument
and the PSE measure, and (c) the correlation between by pointing out that a correlation of .13 corre-
the explicit motive construct and the questionnaire sponds to a proportion of shared variance (i.e., r2)
measure. Thus, a null or weak correlation between of only .017 or 1.7%. We caution that the shared
PSE and questionnaire measures may result from a variance metric can make effects seem less impor-
null or weak relation between underlying constructs, tant than they actually are in a practical sense
from poor validity of one or both measures, or from (Rosenthal & Rubin, 1979). Many published ­effects
some combination of these (see Figure 2g). Our in the motive literature would seem unimportant if
general model therefore calls for research on two correlations were routinely converted to a squared
kinds of influences on the relation between PSE and metric to judge their importance. Decisions about
questionnaire measures: methodological factors con- the importance of an effect call for a consideration
cerning the relation between constructs and meas- of the theoretical and historical context in which
ures and substantive factors concerning the relation the effect is interpreted. Our remaining arguments
between underlying constructs. This dual emphasis address such issues.
parallels similar historical developments in the at- Third, it is now clear that McClelland’s theoretical
titude–behavior consistency and trait–behavior arguments for statistical independence were not
consistency literatures (Kraus, 1995). In the following ­rigorously reasoned in the first place. Consider the
sections, we offer an updated perspective (see also argument that distinct developmental antecedents
Thrash, Maruskin, & Martin, 2012) on the implicit– (e.g., nonverbal and verbal socialization practices)
explicit correlation and the methodological and lead to statistical independence. This argument
substantive factors that affect it. presumes that these antecedents are themselves
­
­uncorrelated. After all, if nonverbal and verbal so-
The Time Has Come to Retire the cialization practices are correlated to some degree,
Independence Hypothesis then implicit and explicit nAch would be correlated
For the following reasons, we call for researchers to as well; distinct but related developmental anteced-
reject the conventional wisdom of statistical inde- ents would produce distinct but related motives.
pendence. First, meta-analyses of past studies now Thus, the expectation of independence is reducible
provide unambiguous evidence that the independ- to an inadvertent assumption of independence and
ence hypothesis is inconsistent with the data. Spangler hence lacks theoretical grounding.

THRASH, WADSWORTH, SIM, WAN, AND EVERIDGE 191

 Consider next McClelland’s argument that for discriminant validity. However, now that the
i­mplicit motives do not influence explicit motives discriminant validity of distinct implicit and explicit
because the former are not accessible to conscious- motive systems is no longer in question, there is no
ness. From a theoretical standpoint, we question the reason to downplay evidence of a relation between
wisdom of conceptualizing implicit motives as un- them.
conscious by definition, as if some kind of impene- Finally, the argument that implicit and explicit
trable mental barrier or defense mechanism ensures motive constructs are positively correlated rather than
that no individuals gain insight into their implicit uncorrelated is more than an academic quibble;
motives. Moreover, we are aware of no affirmative these two scenarios have very different implications
evidence (not based on null effects) that individuals for theory and application. A positive implicit–­
lack such insight, and there is some evidence to the explicit correlation, even a weak one, opens up new
contrary (Köllner & Schultheiss,  2014; Sherwood, avenues for research. Imagine, hypothetically, that
1966). Our view is that an introspective route to individuals may indeed attain some degree of motive
congruence is available but requires negotiating a congruence through integrative processes but that
series of formidable challenges: (a) introspective congruence may only be detected with optimal
awareness of implicit motive arousal, (b) veridical ­assessment methods or among those who employ
interpretation and attribution, and (c) reconciliation optimal integrative strategies. From this perspective,
of the implicit motive with other sources of explicit the observed implicit–explicit correlation of .13
values (Thrash, Cassidy, Maruskin, & Elliot, 2010). would not be expected to capture the full relation
Regardless of whether this process unfolds success- between implicit and explicit motives; rather, it
fully in a given individual, congruence may result would capture only the main effect, the average
from processes other than introspective access. ­relation across a haphazard assortment of optimal
Individuals may learn about their implicit motives and nonoptimal conditions. One might expect
indirectly, such as through feedback from others ­implicit and explicit motives to be more robustly
(Murray, 1938). Implicit motives could also influence related under optimal methodological or substan-
explicit motives through processes that do not require tive conditions and unrelated under nonoptimal
conscious awareness of implicit motives, such as those conditions. Thus, a weak positive association is suf-
based on the reinforcing emotional consequences of ficient to motivate a search for possible moderating
motive congruence (Thrash et al., 2010). As with factors. In contrast, if one adheres to the old view
McClelland’s first argument, here, too, McClelland’s that implicit and explicit motives are statistically
expectation of independence is reducible to an as- independent, then the incentive to search for mod-
sumption of independence—that no process exists erators is undermined.2 Indeed, the recognition
through which separate motive systems may influence that a weak positive correlation pairs nicely with
one another. Related arguments for independence moderation hypotheses (e.g., Thrash & Elliot, 2002)
framed in terms of distinct cognitive processes, dis- has already catalyzed the emerging literature on
tinct brain process, distinct evolutionary processes, factors that influence the implicit–explicit relation.
etc., are subject to the same critique. We turn next to this literature.
Fourth, McClelland had reasons to emphasize
independence that were more appropriate in his Methodological Factors That Influence
historical context than in ours in the early 21st Estimates of the Implicit–Explicit Motive
century. Consider the following quotation, in which Correlation
he downplayed the possibility of a positive implicit– Omnibus Effect of Multiple
explicit relation: “These two types of measures are Methodological Factors
essentially independent, as they ought to be on Sherwood (1966) noted that a variety of factors,
theoretical grounds, and . . . when occasional cor- such as lack of clarity about the task of introspection,
relations appear between them, they are the product defensiveness, and social desirability, may compro-
of a peculiar set of circumstances related to the mise the validity of questionnaire measures, at least
particular group being tested” (McClelland, 1987,
p. 521). McClelland had spent much of his career
attempting to convince skeptics that PSEs and
2
  Technically, moderation could be present even if the average
correlation is 0.00, but in this case moderation would require a
questionnaires assess different constructs. In this negative conditional effect at one pole of the moderator and a
historical context, an emphasis on independence positive conditional effect at the other. Such a pattern may not
may have been necessary to make a convincing case seem sufficiently plausible to motivate a search for moderators.

192 IMPLICIT–EXPLICIT MOTIVE CONGRUENCE AND MODERATING FACTORS

as they are typically administered. Sherwood ad- designed to correspond in content to Heckhausen’s
ministered questionnaire measures of nAch and coding system. The fourth measure was a new ques-
nAff under special conditions designed to minimize tionnaire that consisted of five pairs of items that
these problems. Specifically, he taught participants corresponded directly to categories of Heckhausen’s
about the implicit nAch and nAff constructs about coding system (need for success, instrumental
which they were asked to report explicitly; he sought ­activity, expectation of success, praise, and positive
to maximize motivation to be accurate by framing affect). Results indicated that the traditional meas-
the study as an opportunity to develop self-insight; ures of explicit nAch were uncorrelated with implicit
and he conducted the study in the context of a nAch (rs = .00 to .02), whereas the matched-­content
­nonevaluative relationship with the experimenter. measure of explicit nAch was positively related to
Implicit nAch and nAff were assessed under stand- implicit nAch (r = .17).
ard conditions at the beginning of the study. Also Köllner and Schultheiss (2014) stated that two
noteworthy is a methodological refinement to which studies (Ramsay & Pang, 2013; Schultheiss, Yankova,
Sherwood himself drew little attention—his ques- Dirlikov, & Schad,  2009) failed to replicate the
tionnaires were designed to correspond closely in finding that matching the content of implicit and
content to the implicit motive coding systems. His explicit measures increases the implicit–explicit cor-
findings were striking. Across two studies, the cor- relation. We evaluate this claim in the following
relations between implicit and explicit measures were paragraphs. The Ramsay and Pang study, a small
positive and significant for both nAch (rs = .35, .42) two-condition experiment (ns = 33, 41) on the effect
and nAff (rs = .40, .34). These correlations are among of picture set ambiguity on PSE validity, was not
the strongest reported to date, suggesting that im- designed to be a replication of Thrash et al. (2007),
plicit and explicit motives are robustly related when which had a cross-sectional design and a large sample
care is taken to avoid problems that may compro- (N = 204). The statistical power of the Ramsay and
mise the validity of explicit measures. Unfortunately, Pang study to detect the correlation of r = .17 from
it is impossible to know to what extent each of Thrash et al. was .15 and .18 in the two experimental
Sherwood’s various methodological refinements was conditions. Power of at least .80 is widely recom-
responsible for his findings. Next, we turn to studies mended. Because the Ramsay and Pang study was
that have isolated particular methodological factors. severely underpowered to detect the effect docu-
mented by Thrash et al., it cannot be interpreted as
Correspondence of Content a failure of replication.
Ajzen and Fishbein (1977) showed that attitude–­ Schultheiss et al. (2009) assessed implicit nAch,
behavior consistency is attenuated when attitudes nAff, and nPow using Winter’s (1994) coding system
and behaviors do not correspond closely in content and assessed explicit nAch, nAff, and nPow with a
or specificity. Thrash et al. (2007) suggested that new measure that corresponded closely in content
a  similar issue may apply to congruence between to the implicit measure. In addition, the explicit
­implicit and explicit motives. The relation between motive questionnaire items were assessed with re-
implicit and explicit motives may have been un- spect to the picture cues used in the PSE; participants
derestimated in past research because questionnaires were asked to look at the picture and respond to the
and PSEs generally have not been designed to questions as if they were a character in the picture.
­correspond directly in content. For example, many Schultheiss et al. reported that there was no relation
measures of explicit nAch are based on Murray’s between scores on these matched measures. They
(1938) early conceptualization of nAch (e.g., A. L. concluded, “Statistical independence between both
Edwards, 1959), whereas McClelland’s coding construct types can also be observed when the explicit
system for implicit nAch was derived empirically measure of motivation is made as similar as possible
(McClelland et al., 1953) and deviates from Murray’s to the method of implicit motive assessment” (p. 78).
conceptualization (Koestner & McClelland, 1990). One of the grounds for their conclusion was the
To examine the impact of correspondence of observed implicit–explicit correlations and associ-
content, Thrash et al. (2007) administered a PSE ated null hypothesis tests. The correlation between
measure of implicit nAch and four questionnaire matched measures was r = .18, p < .05 in the power
measures of explicit nAch. Implicit nAch was as- domain; r = .11, ns, in the achievement domain; and
sessed using Heckhausen’s (1963) coding system for r = .12, ns, in the affiliation domain. To conclude
hope for success. Three of the measures of explicit from these findings that implicit and explicit mo-
nAch were traditional measures that had not been tives are statistically independent, one would have

THRASH, WADSWORTH, SIM, WAN, AND EVERIDGE 193

to overlook the fact that the null hypothesis was re- Unfortunately, measurement models are rarely ex-
jected in the power domain. One would also have to plicitly specified or tested in PSE research, and the
accept (rather than fail to reject) the null hypothesis measurement models that have been proposed are
in the achievement and affiliation domains. However, often unconventional (e.g., Atkinson & Birch, 1970;
the logic of null hypothesis testing does not allow the for other possible models, see McClelland,  1987;
null hypothesis to be accepted. This would amount Thrash et al., 2010). Because this issue remains un-
to reinterpreting the obtained estimates (.11 and .12) resolved, we present the two most widely employed
as if they had been .00. A second grounds for their approaches to disattenuation. We illustrate the first
conclusion was that an omnibus test of the overlap approach using data from Thrash et al. (2007) and
of the three implicit measures with the three matched the second using data from Schultheiss et al. (2009).
explicit measures was nonsignificant. However, this One method of disattenuation is to use confirm-
omnibus test confounds a test of the three relevant atory factor analysis to remove the unique error
correlations (reported above) with a test of six other ­variance from particular indicators of a construct,
correlations for which effects would not be expected resulting in latent variables that correspond more
because content domains were mismatched (e.g., the closely to the construct of interest. Thrash et al.
correlation between implicit nPow and explicit nAff). (2010) used this approach to reanalyze data from
A fair test of matched-content measures cannot Thrash et al. (2007). An implicit nAch latent varia-
­involve mismatched content domains. Thus, the fail- ble was modeled using separate nAch scores for each
ure to reject the omnibus null hypothesis is not of 5 stories as indicators. A nonmatched-content
­surprising because of dilution of the relevant effects. ­explicit nAch latent variable was modeled using the
We draw the following conclusions from the 3 nonmatched measures as indicators. Finally, a
findings of Schultheiss et al. (2009). The implicit– matched-content explicit nAch latent variable was
explicit correlations of .18, .11, and .12 obtained modeled using the 10 items from the matched-
using matched-content measures are at least as content questionnaire as indicators.
strong as the average correlations reported in the Disattenuation was found to modestly increase
Spangler (1992) and Köllner and Schultheiss (2014) the effect size for nonmatched measures. As noted
meta-analyses, and they are similar to the correlation earlier, the implicit–explicit correlations for non-
of .17 reported by Thrash et al. (2007) for matched matched measures ranged from r = .00 to .02, ns. Use
measures. If the Schultheiss et al. (2009) effects of latent variables increased the implicit–­ explicit
were to be added to the Köllner and Schultheiss ­correlation for nonmatched measures to r = .07, ns.
(2014) meta-analysis, they would increase, not de- Disattenuation had a more pronounced effect for
crease, confidence that implicit and explicit motives matched measures. As noted earlier, the implicit–
are positively related. In addition, the average explicit correlation for matched measures reported by
­implicit–explicit correlation based on Schultheiss Thrash et al. (2007) was r = .17. Use of latent variables
et  al.’s (2009) unmatched measures was r = .09, increased the implicit–explicit correlation to r = .38,
which is (modestly) lower than their correlations for p < .01. Although the impact of disattenuation was
matched measures. Thus, this study not only cor- itself substantial, particularly striking are the com-
roborates existing evidence that matched measures bined effects of addressing the correspondence and
of implicit and explicit motives are positively related measurement error problems simultaneously. With
but also provides modest support for the hypothesis nonmatched measures and without correcting for
that content match per se increases the implicit–­ measurement error, the implicit–explicit correlations
explicit relation. ranged from r = .00 to .02; with matched measures
and with correction for measurement error, the
Reliability of Measurement ­implicit–explicit correlation was r = .38. The latter
All measures demonstrate some degree of random correlation is in the range reported by Sherwood
measurement error, which attenuates effect sizes. If (1966), who, as noted, also addressed multiple
the correlation between implicit and explicit measures methodological problems simultaneously.
is not corrected for the unreliability of the measures— A second approach to disattenuation is to cor-
and generally it is not—then the correlation between rect an observed correlation based on the reliabili-
underlying constructs will be underestimated. The ties of the two variables. A standard approach based
proper means of correction depends on the theorized on ­traditional psychometric theory is to divide a
measurement model—that is, the relation between correlation by the square root of the product of
the measured variables and the construct of interest. the  internal consistencies of the two measures

194 IMPLICIT–EXPLICIT MOTIVE CONGRUENCE AND MODERATING FACTORS

(Guilford & Fruchter, 1978). We used results reported varied from more implicit to more explicit or vice
by Schultheiss et al. (2009) to implement this versa as the radius increased. This structure indicates
technique. Schultheiss et al. (2009) did not report that, as may be shown with geometry, implicit and
internal consistency values for the PSE variables, as explicit measures are more strongly related when
is ­customary in PSE research. Internal consistency is they concern the same domain. This finding contra-
underestimated for PSE measures, researchers have dicts the independent-constructs perspective.
argued, because traditional psychometric models In sum, empirical evidence indicates that implicit
are not appropriate for the PSE. We therefore used and explicit motives are more strongly related when
the internal consistencies of Schultheiss et al.’s methods are refined by improving correspondence
measures of explicit nPow (Cronbach’s α = 0.64), of content, correcting for unreliability, or using
nAff (Cronbach’s α = = 0.74), and nAch (Cronbach’s contemporary modeling techniques. The effects of
α = 0.84) as estimates of the internal consistencies methodological factors tend to be individually
of the corresponding PSE measures. This approach modest but cumulatively robust. A large variety of
is reasonable in that the measures were designed to other methodological factors remain to be investi-
be as similar as possible. Correcting the implicit–­ gated. We encourage researchers to look to other
explicit correlations for unreliability using the equa- literatures, such as the attitude–behavior consistency,
tion described earlier increases the implicit–explicit trait–behavior consistency, and implicit–explicit
correlations as follows: for nPow, the correlation attitude consistency literatures, for precedents.
­
increases from r = .18, p < .05, to r = .28, p < .0001; Epstein’s (1979) research, for instance, suggests that
for nAff, the correlation increases from r = .12, ns, to implicit–explicit correlations will increase if test–
r = .16, p < .05; and for nAch, the correlation in- retest reliability is enhanced by aggregating motive
creases from r = .11, ns, to r = .13, p = .07. Thus, after scores from multiple occasions. This hypothesis
disattenuation, two of the effects are significantly awaits future research.
greater than zero and one is marginally greater.
These analyses provide further evidence that unreli- Substantive Variables That Moderate
ability causes the implicit–explicit correlation to be Implicit–Explicit Motive Congruence
underestimated. A weak implicit–explicit correlation is not necessar-
ily evidence that integrative mechanisms tend to be
Multitrait–Multimethod Analysis ­ineffectual and therefore negligible. Another possi-
As noted earlier, Campbell and Fiske (1959) bility is that integrative mechanisms are effectual
concluded, based on inspection of multitrait–­
­ but operative among some, rather than all, mem-
multimethod matrices, that PSEs and question- bers of the population. Imagine that the true corre-
naires failed tests of convergence. However, now that lation between implicit and explicit nAch is r = .35.
the discriminant validity of implicit and explicit This correlation could be the net result of combining
motives is well established, the relevant question is two subgroups of individuals: one in which integra-
not whether they converge strongly enough to be tive processes are operative (resulting in a correlation
considered alternative indicators of the same con- of, say, r = .74 within this subgroup) and another in
struct (i.e., whether the correlation approaches which integrative processes are not operative (result-
r  =  1.00), but rather whether they converge at all ing in a correlation of, say, r = .00 within this sub-
(i.e., whether the correlation is greater than r = .00). group). The effect of combining these two subgroups
Bilsky and Schwartz (2008) used multidimen- into one group is illustrated with hypothetical data
sional scaling to conduct a multitrait–multimethod in Figure 11.3. Within the past 2 decades, researchers
analysis of three previously published data sets in have begun to investigate substantive moderating
which both PSEs and questionnaires were used to variables that specify the groups of individuals (e.g.,
measure motivations in the achievement, affiliation, individuals with high or low levels of particular
and power domains. The aim of the analysis was to traits) among whom the implicit–explicit relation is
derive a spatial representation of motive domain weaker or stronger. In this and other sections, we
and method facets, such that more highly correlated focus on studies of ­implicit and explicit motives per
measures are located closer together in physical se. For reviews of studies of congruence between
space. In all three data sets, Bilsky and Schwartz motives and goals, some of which preceded the motive
found that motive domains formed pie piece–like congruence studies reviewed here (e.g., Schultheiss &
wedges in a two-dimensional space, whereas meth- Brunstein, 1999), see Brunstein (2010), Hofer and
ods were represented by concentric circles, which Busch (2017), and Thrash et al. (2010).

THRASH, WADSWORTH, SIM, WAN, AND EVERIDGE 195

 Explicit nAch

Explicit nAch

Explicit nAch
Implicit nAch Implicit nAch Implicit nAch
r = .74 + r = .00 r = .35

Figure 11.3  Hypothetical data showing how a relatively weak correlation may be the net result of combining two subgroups, one in
which the correlation is strong and one in which the correlation equals zero.

Self-Determination self-determination. This moderation effect was found

The topic of personality congruence has been of in- to be invariant across cultures.
terest not only in the motive literature but also in
humanistic theories, including traditional theories, Multiple-Moderator Approaches
such as that of Rogers (1959), and contemporary Thrash et al. (2007) argued that at least three ­distinct
theories, such as Deci and Ryan’s self-determination processes contribute to motive congruence: access
theory (Deci & Ryan, 1991). Thrash and Elliot (2002) to one’s implicit motives, integration of one’s explicit
sought to integrate motive and humanistic approaches motives with one’s implicit motives, and resistance
by showing that individuals who are more self-­ to competing sources of values. Regarding access to
determined display greater motive congruence. implicit motives, Thrash et al. (2007) argued that
Self-determination refers to self-regulation in motive congruence may be greater among individuals
accord with one’s authentic or true self. Individuals higher in private body consciousness; these individu-
differ in self-determination, such that some indi- als are sensitive to bodily states and therefore may
viduals live according to their core interests and perceive the effects of implicit motive arousal.
values, whereas others live according to external Regarding integration, Thrash et al. (2007) argued
or  introjected controlling influences. Thrash and that congruence may be greater among individuals
Elliot (2002) argued that the experience of self-­ higher in preference for consistency; these individu-
determination may reflect (at least in part) the in- als would be particularly motivated to reconcile their
tegration of explicit values with one’s preexisting explicit motives with any rudimentary knowledge
and deeply rooted i­mplicit motivational tendencies, of their implicit motives. Regarding ­resistance to
as opposed to the internalization of explicit values competing sources of values, Thrash et  al. (2007)
arbitrarily from the environment regardless of
­ argued that congruence may be greater among indi-
their fit to one’s implicit motives. As expected, self-­ viduals lower in self-monitoring; these individuals
determination was found to moderate the relation are less likely to monitor others’ expectations and to
between implicit and explicit nAch. Among indi- internalize others’ values arbitrarily. As predicted,
viduals high in self-determination, implicit nAch implicit nAch was found to predict explicit nAch
robustly predicted explicit nAch, r = .40, p < .01; among individuals high but not low in private body
in other words, self-determined ­individuals tended consciousness, high but not low in preference for
to be congruent. Among individuals low in self-­ consistency, and low but not high in self-monitoring.
determination, implicit and e­xplicit nAch were Extending the private body consciousness finding,
largely unrelated, r = –.07, ns; individuals low in Strick and Papies (2017) showed that a mindfulness
self-determination tended to be  either congruent exercise that included body awareness enhanced con-
or incongruent, as would be expected by chance if gruence between implicit motives and explicit goals.
these individuals internalize values regardless of their In the Thrash et al. (2007) data, among indi-
fit with implicit motives. viduals with the most advantageous profile of traits
Hofer et al. (2010) tested the generalizability of (i.e., high in private body consciousness, high
the self-determination finding across cultures using in  preference for consistency, and low in self-
data from Cameroon, Germany, and Hong Kong. monitoring), the correlation between implicit and
Hofer et al. (2010) reported that self-determination explicit nAch was r = .46, p < .05; among individu-
moderated the relation between implicit nAch and als with the opposite profile of traits, the correlation
explicit achievement goals, such that implicit nAch was r = –.30, ns. Building on this multiple-process
and explicit achievement goals were positively perspective, Thrash et al. (2010) developed a gen-
­related among individuals high, but not low, in eral metatheoretical framework that may be useful

196 IMPLICIT–EXPLICIT MOTIVE CONGRUENCE AND MODERATING FACTORS

in identifying additional processes through which competence, the ability to verbally process nonver-
motive congruence may emerge. bally presented information, promotes alignment of
explicit motives and goals with implicit motives.
Antecedents of Motive Congruence Although results provided limited evidence of an
Next, we review studies that address essentially the association of referential competence with congru-
same issue as those in the prior section, except that ence between implicit motives and explicit motives,
congruence is modeled differently. The studies in referential competence was a consistent predictor of
the prior section concerned independent variables congruence between implicit motives and explicit
that moderate the relation between implicit and ex- goals. These results suggest that explicit goals are more
plicit motives. For instance, self-determination was responsive to referential activity than are explicit
found to moderate the relation between implicit and motives. We theorize that referential competence
explicit nAch. The studies in this section concern facilitates the first step toward motive congruence—
variables that predict the discrepancy between im- introspective access—and that additional integrative
plicit and explicit motives; that is, the implicit and processes may be required for such access to enhance
explicit motive variables are reduced to a single congruence between implicit and explicit motives
­incongruence variable, which is treated as the de- per se.
pendent variable. For instance, if one were to test the
self-determination hypothesis in this way, one would Stress and Affect Regulation
expect to find that self-determination predicts less of Working from the perspective of personality inter-
a discrepancy between implicit and explicit nAch. actions theory, Baumann, Kaschel, and Kuhl (2005)
Consistent with the difference in modeling strategies, argued that stress leads to motive incongruence
we refer to the predictor variables in this section as among state-oriented (as opposed to action-ori-
antecedents rather than moderators. ented) individuals. State-oriented individuals have
difficulty generating positive affect in response to
Need Satisfaction demand-related stressors and/or difficulty overcom-
Schattke, Koestner, and Kehr (2010) examined the ing negative affect in response to threat-related
childhood antecedents of incongruence in adults, stressors. In two correlational studies and an experi-
with hypotheses grounded in self-determination ment in which stress was manipulated, Baumann
theory. These authors predicted that childhood expe- et al. reported that state orientation interacted with
riences that interfere with the development of self-­ stress, such that greater stress predicted a greater dis-
determination—specifically, those that thwart satis- crepancy between implicit and explicit nAch among
faction of the basic needs for relatedness and state-oriented individuals but not among action-
autonomy—would predict incongruence later in life. oriented individuals.
Based on new analyses of an archival data set The studies in the prior section (regarding mod-
(McClelland & Pilon,  1983; Sears, Maccoby, & erators) and this section (regarding antecedents)
Levin, 1957), Schattke et al. reported that experiences provide additional evidence that implicit and ex-
involving deprivation of the need for autonomy (e.g., plicit motives are not statistically independent.
maternal inhibition of sexuality) or of the need for The positive correlation between implicit and
relatedness (e.g., separation from the mother during ­explicit motives may be viewed as the overall or
the second year of life) predicted levels of i­ ncongruence average relation. The studies in the moderator sec-
26 years later. Consistent with the self-­determination tion showed that the correlation varies systemati-
findings reported earlier, these findings suggest that cally as a function of third variables. The studies in
explicit motives become integrated with implicit mo- this section, similarly, indicate that one’s standing
tives to the extent that the socialization environment as congruent or incongruent varies systematically as
supports satisfaction of the basic needs theorized to a function of predictor variables. We caution that
underlie self-determination. variables modeled as antecedents are not necessarily
causes of congruence. Stress and mindfulness were
Referential Competence the only antecedents that were directly manipulated
Whereas Schattke et al. (2010) examined distal, de- in these studies.
velopmental antecedents of congruence, Schultheiss,
Patalakh, Rawolle, Liening, and MacInnes (2011) Consequences of Motive Congruence
examined a proximal antecedent: referential com- Although, as we have shown, implicit and explicit
petence. These authors theorized that referential motives are positively related when methodological

THRASH, WADSWORTH, SIM, WAN, AND EVERIDGE 197

shortcomings of past research are overcome, the implicit and explicit motives lead to psychological
correlation remains weak enough that the discrep- conflict and that resolution of this conflict requires
ancy between them has important consequences. volitional regulation. Such regulation was posited to
In this section, we review the literature on variables deplete limited volitional resources. In Kehr’s study,
that have been posited to be consequences of implicit motives were assessed using the Multi-
motive congruence. Whereas researchers interested Motive Grid (Sokolowski, Schmalt, Langens, & Puca,
in moderators and antecedents generally do not 2000), an instrument that we classify as implicit for
distinguish the two “directional” forms of incon- present purposes but that also has some properties
gruence (see the upper left and lower right corners of explicit measures. As predicted, Kehr found that
of Figure 11.1) because a given individual’s form of discrepancies between managers’ implicit and explicit
incongruence is presumed to be a matter of chance, motives, averaged across content domains (achieve-
researchers interested in effects of incongruence ment, affiliation, power), predicted lower levels of
have in some cases examined the consequences of volitional strength 5 months later.
particular forms of incongruence.
Flow
Identity Status Flow refers to a state in which one is completely
Marcia’s (1966) theory of identity recognizes four ­immersed in an activity, to the point of becoming
identity statuses: moratorium, achievement, diffu- unaware of anything else (Csikszentmihalyi, 1990).
sion, and foreclosure. Individuals who have ac- Rheinberg (2008) argued that the volitional regu-
tively searched for an identity have the status of lation necessitated by motive incongruence hinders
moratorium if they have not yet committed them- flow experiences. Consistent with this argument,
selves to an identity or the status of identity Clavadetscher (2003) found that the discrepancy
achievement if they have. Individuals who have between implicit and explicit motives predicted
not actively searched for an identity have the status less flow among workers. Schüler (2010) argued
of diffusion if they have not yet committed to an that such effects are likely to be manifest only
identity or the status of foreclosure if they have in- when the situation involves motive cues; in the
ternalized an identity from the social environment presence of cues, motive conflicts that are other-
despite lack of exploration. wise dormant are aroused and interfere with task
Regarding individuals who have committed to engagement. Schüler confirmed this hypothesis in
an identity, Hofer, Busch, Chasiotis, and Kiessling a series of three studies, including a longitudinal
(2006) argued that identity achievement stems from study in which the dependent variable represented
discovering one’s implicit motives and adopting change in flow and an experiment in which the
­explicit motives consistent with them, whereas fore- presence of achievement incentives was experi-
closure stems from adopting others’ explicit values mentally manipulated.
regardless of fit. As predicted, Hofer, Busch, et al.
found that implicit and explicit nAff interacted in Well-Being
the prediction of identity achievement, such that Well-being is the outcome that has received the
explicit nAff was a more positive predictor of iden- most attention to date. Kehr (2004) found that
tity achievement among individuals higher in implicit implicit–explicit motive discrepancies predicted
­
nAff. Implicit and explicit nAff interacted in the lower levels of affective well-being longitudinally.
prediction of foreclosure, such that explicit nAff was Lower levels of volitional strength mediated this
a more positive predictor of foreclosure among indi- effect. Baumann et al. (2005) found that incongru-
viduals lower in implicit nAff. No effects emerged ence between implicit and explicit nAch predicted
for the statuses that do not involve commitment to lower levels of subjective well-being and more psy-
an identity (i.e., moratorium, diffusion). These find- chosomatic complaints. Baumann et al. also showed
ings suggest that attaining a sense of identity requires that incongruence mediated the effect of the Stress ×
discovery of one’s implicit motives and embracing State orientation interaction on these outcomes.
them as the foundation of one’s values. Hofer, Chasiotis, and Campos (2006) found that
incongruence in the power domain, but not in the
Volitional Strength affiliation domain, predicted lower life satisfaction
Kehr (2004) examined the relation between motive in three cultures. Job, Oertig, Brandstätter, and
congruence and volitional regulation within a sample Allemand (2010) found that motive incongruence was
of managers. Kehr posited that discrepancies between related to higher levels of negative affect. In studies

198 IMPLICIT–EXPLICIT MOTIVE CONGRUENCE AND MODERATING FACTORS

of managers (Kazén & Kuhl,  2011) and teachers effects of incongruence on relationship satisfaction
(Wagner, Baumann, & Hank, 2016), well-being was and stability are most likely the result of intraper-
found to be highest among those high in both im- sonal frustration or ambivalence caused by conflict-
plicit and explicit nPow and lowest among those who ing need systems.
display a particular directional form of incongruence.
Among managers, well-­being was lowest for those Work Motivation
high in implicit nPow and low in explicit nPow. Thielgen, Krumm, and Hertel (2015) examined the
Among teachers, well-being was lowest for those contribution of motive congruence to work motiva-
high in explicit nPow and low in implicit nPow. tion using the Multi-Motive Grid to assess implicit
Null effects of motive congruence on well-being motives. Motive incongruence in the achievement
have also been reported (McAuley, Bond, & Ng, and affiliation domains was found to predict lower
2004). For this empirical reason, and based on theory levels of work motivation. Within the achievement
about the conditions under which incongruence is domain, the negative effect of incongruence was
more or less likely to be problematic, researchers stronger among younger workers, who exhibited
have begun to document factors that moderate the lower levels of volitional strength. Incongruence
effect of motive congruence on well-being. Motive among young workers was most detrimental if
incongruence has been found to be less problem- achievement incentives were present.
atic when the incongruent motives are not aroused Rawolle, Wallis, Badham, and Kehr (2016) ex-
through motive-relevant activity (Schüler, Job, amined the contribution of motive incongruence to
Fröhlich, & Brandstätter, 2008), when motive ex- job burnout. These authors argued that incongruent
pression is inhibited by a dispositional trait called individuals are more likely to choose work activities
activity inhibition (Langens, 2007), when the indi- that align with their explicit motives and thwart
vidual uses emotional disclosure as a coping strategy rather than support their implicit motives, resulting
(Langan-Fox, Sankey, & Canty, 2009; Schüler, Job, in lower levels of intrinsic work motivation. Lower
Fröhlich, & Brandstätter, 2009), and among indi- intrinsic motivation, in turn, was theorized to pre-
viduals high in self-directedness or internal locus of dict greater job burnout. In a cross-sectional study
control (Langan-Fox et al., 2009). employing the Multi-Motive Grid, Rawolle et al.
(2016) found that motive incongruence predicted
Unhealthy Eating greater job burnout, and low intrinsic motivation
Job et al. (2010) investigated the contribution of mediated this effect.
motive incongruence to unhealthy eating behaviors. In sum, motive congruence predicts a diverse set
Using the Multi-Motive Grid to assess implicit mo- of important outcome variables related to personal
tives in a sample of middle-aged women, an overall identity, well-being, relationships, and work. These
indicator of motive incongruence across motive do- outcomes are generally posited to be effects of
mains was found to be positively related to multiple motive congruence, but causality has not been es-
measures of unhealthy eating. The relation between tablished. Demonstrating effects of motive congru-
incongruence and unhealthy eating was partially ence is a challenge, because motives (as aspects of
mediated by negative affect. Job et al. proposed that personality) and the discrepancy between them are
volitional depletion and low private body conscious- not amenable to experimental control. Thrash et al.
ness may also function as mediators. The relation of (2010) identified several strategies for documenting
incongruence to unhealthy eating was found to be causality that may be useful in future research on
attributable specifically to incongruence in agentic motive congruence.
domains—achievement and particularly power.
Conclusion
Relationship Outcomes In this chapter, we have shown to be incorrect the
Hagemeyer, Neberich, Asendorpf, and Neyer (2013) conventional wisdom that implicit and explicit
proposed that motive congruence has consequences motives are uncorrelated. Meta-analyses show that,
for one’s relationships. Using data from a large sample on average across studies, implicit and explicit mo-
of heterosexual couples, these researchers found that tives are weakly but reliably positively correlated.
congruence in relationship-focused communal When care is taken to address methodological
motives predicted concurrent and future relation- problems of past research, the relationship becomes
ship satisfaction and future relationship stability. more robust. Nevertheless, the correlation is weak
Hagemeyer et al. (2013) argued that the observed enough that the discrepancy between implicit and

THRASH, WADSWORTH, SIM, WAN, AND EVERIDGE 199

explicit motives carries important information argument about the foundation of psychological
about congruence of personality. We have reviewed health—where id was there ego shall be (Freud, 1990,
evidence showing that the relation between im- p. 100). Yet motive researchers, like empirical re-
plicit and explicit motives varies systematically as a searchers generally, tend not to cite Freud’s work
function of moderator variables. Motive congruence (see Weinberger & McClelland, 1990, for an
also has theoretically meaningful antecedents and ­exception). It is not clear whether this inattention to
consequences. We are excited about the rapid de- Freud is based on the belief that Freud’s writings
velopment of the motive congruence literature and, have nothing to offer or a fear that citing Freud will
in the following section, identify several important undermine the appearance of ­scientific credibility.
questions to be addressed in future research. Whatever the reason, we have found that Freud’s
writings contain important insights and believe that
Future Directions inattention to these insights undermines rather than
How Should Motive Congruence serves scientific credibility and progress. We there-
Be Modeled? fore encourage researchers to explore more fully the
Analytic strategies for modeling congruence have theoretical and historical underpinnings of their
varied across studies. These strategies include the subject matter. This recommendation brings us to
following: (a) testing moderation of the implicit– our next question for future research.
explicit relation (e.g., Thrash & Elliot,  2002); (b)
computing difference scores based on standardized May Incongruence Be Integrated?
implicit and explicit motive variables (e.g., Kehr, Freud (1989) argued that an individual has three
2004); (c) testing whether one motive moderates healthy options after bringing unconscious material
the effect of the other (i.e., Implicit motive × Explicit into awareness: accept it, reject it, or sublimate it. In
motive interactions; e.g., Hofer, Chasiotis et al., contrast, the prevailing assumption in the motive
2006); and (d) using polynomial regression with literature seems to be that there is one healthy
response surface analysis (e.g., Kazén & Kuhl, 2011), option: accept it—that is, embrace one’s implicit
a sophisticated variant of the Implicit × Explicit motives as the basis of one’s explicit values. We en-
motive interaction approach (J. R. Edwards, 2002). courage researchers to entertain the possibility that
In most cases, implicit and explicit motives are rejecting or rechanneling (sublimating) one’s im-
modeled as separate variables, but in some cases they plicit motives may sometimes be the healthier
are collapsed into a single discrepancy index. Most option, particularly in the case of implicit motives
researchers have examined nondirectional incon- (e.g., implicit nPow or implicit avoidance motives)
gruence, which results from either motive being that do not promote, or that thwart, satisfaction of
higher than the other, whereas others have exam- fundamental human needs. Thrash et al. (2010)
ined incongruence in a particular direction. These proposed that a self-determined, mindful decision
various operationalizations of congruence, which to reject an implicit motive represents a form of in-
imply subtly different conceptualizations of congru- tegrated incongruence that may be healthier than
ence and vary in statistical rigor, have not yet received incongruence arising through other processes (e.g.,
detailed discussion. We encourage researchers to ar- chance). Integration, which refers to unity of struc-
ticulate the rationale for their operationalization ture and coordination of function, may ultimately
and its suitability to the substantive issue that is be more important than the simpler mathematical
being addressed. The robustness of findings across notion of congruence or discrepancy.
operationalizations of congruence is also in need of
greater scrutiny. May Congruence Be Unintegrated?
Regarding the literature on moderators of congru-
What Can Motive Researchers ence, we have argued that integrative processes may
Learn From Freud? be operative for individuals at one pole of a moder-
It is striking how similar the issues surrounding the ating variable and not operative for individuals at
topic of motive congruence are to the issues that the other pole. A potentially important implication
interested Freud and subsequent psychoanalysts. is that congruent individuals are found at both poles
Indeed, if one sets aside Freud’s ideas about sexual- of the moderator, but they are congruent for differ-
ity and defenses, which, like shiny objects, attract ent reasons. For instance, one would expect most
the most attention, the findings summarized in this individuals high in self-determination to be congru-
chapter may be viewed as vindicating Freud’s core ent as a result of an integrative process, and one

200 IMPLICIT–EXPLICIT MOTIVE CONGRUENCE AND MODERATING FACTORS

would expect roughly half of the individuals low Campbell, D.  T., & Fiske, D. (1959). Convergent and dis­
in self-determination to be congruent as a result criminant validation by the multitrait–multimethod matrix.
Psychological Bulletin, 56, 81–105. doi:10.1037/h0046016
of chance. In the literatures on antecedents and Clavadetscher, C. (2003). Motivation ehrenamtlicher Arbeit im
consequences of congruence, there has been no Verein Mahogany Hall, Bern [Motivation for voluntary work
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Cohen, J. (1988). Statistical power analysis for the behavioral
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THRASH, WADSWORTH, SIM, WAN, AND EVERIDGE 203

 CH A PT ER

12 Interest and Its Development, Revisited

K. Ann Renninger and Stephanie Su

Abstract

This chapter focuses on interest as a cognitive and affective motivational variable that develops and can
be supported to develop. It provides an explanation of Hidi and Renninger’s (2006; Renninger & Hidi,
2016) four-phase model of interest development and its relation to other approaches to interest,
including interest conceptualized as an emotion, experience, task features, value, or vocational interest,
and considers issues pertaining to the identification and measurement of interest as a variable that
develops. Following this, the chapter reviews research that tracks interest over time as well as studies
that focus on earlier and/or later phases of interest, with particular attention to (a) the triggering of
interest in both earlier and later phases of interest, (b) maintaining interest once it has been triggered,
(c) fluctuations in interest, and (d) shifts between phases in the development of interest. Two studies
of interest development are reviewed in depth and their complementarities are described to illustrate
how consideration of study complementarity can provide validation and insight about interest
development. Finally, a Punnett square is used to demonstrate how it can enable the identification of
relations among a learner’s phase of interest, the achievement demands of the learning environment,
and metacognitive awareness, in addition to suggesting next steps for the study of interest development.
Keywords:  achievement, affect, interest, interest development, knowledge, metacognition

Interest and Its Development, Revisited ­ evelops and can be supported to develop. The
d
Interest is powerful. Its presence has been repeatedly chapter centers on aspects of development that are
demonstrated to benefit learning—it promotes not yet well ­understood—the conditions that sup-
­attention, goal setting, and strategy use, and it is also port the development and deepening of interest
malleable.1 Moreover, interest may be supported to and their implications for both theory and practice.
develop at any age, whether a person is in or out of We begin with an analysis of an excerpt from Helen
school. In this chapter, we review research that Keller’s autobiography, The Story of My Life (Keller,
­contributes to understanding interest as a cognitive 1903). Helen’s case, as it is presented in her autobi-
and affective motivational variable that both ography, can illustrate critical aspects in the devel-
opment of interest, starting with the initial triggering
1
  This chapter is an updated and revised version of our 2012
of interest through to the point where she asks
chapter, written for the first edition of the Oxford Handbook of questions, reflects on them, and voluntarily and
Motivation. We draw on and extend points discussed in independently follows through to seek answers and
Renninger and Hidi’s (2016) volume, The Power of Interest feedback.
for  Motivation and Engagement. Whereas that volume provides Helen Keller was the first blind person to receive
detail about interest, its development, and implications for
research and practice, here we focus on issues and open
a  bachelor’s degree. She became a world-famous
questions central to further clarifying present understanding of ­activist, wrote books about her experience and b­ eliefs,
interest development. and is now widely considered one of the  most

205
i­nspirational people of the 20th century. Through made a connection between the finger spelling and
the support of her tutor, Anne Sullivan, Helen the water and then engaged the challenge of revisit-
“­discovered” language, communication, and society. ing the prior lessons that had been so frustrating to
Helen’s interest development is paraphrased briefly her. She did not simply decide to be interested in
below: communication. Rather, it seems that she needed
to encounter the connection to communicate, and
Rendered both deaf and blind at a young age, Helen it was the connection that triggered her eventual
stumbled around like a feral animal for many years. ­interest in communication more generally.
The adults around her were unable to reach or tame Second, Helen was not aware that she was devel-
her, pitying her and letting her do anything she oping an interest as her tutor worked with her. The
wanted. When Anne Sullivan, a young and potential triggers of finger spelling did not “take”
financially strapped tutor, was hired to help Helen, until the incident with the water. Even at that point,
she found a bright but horribly spoiled 7-year-old it is not clear that she would have described finger
girl who was unable to see the implications of her spelling, or communication more generally, as
own behavior and its effect on other people. Anne something in which she was personally invested and
did not approve of the way that Helen grabbed food that would hold her interest. However, her knowl-
from various people’s dinner plates and broke things edge and valuing of the possibility of communicat-
during temper tantrums. Anne disciplined, and ing using finger spelling were increasing.
Helen fought back both physically and with pranks. Third, Helen’s interest developed in a context
Anne recognized that Helen was bright and decided where her strengths and needs were accounted for
to teach her how to finger spell, thinking that this and she was not being graded or assessed: Anne
might help her to communicate with others. Anne worked with her so that she would understand and
would put an object in one of Helen’s hands, and in be able to think and explore. Once her interest
the other quickly spell the name for the object. Even began to develop, Helen was extremely successful by
though Helen could imitate well, she did not any number of measures.
understand what Anne was trying to teach her. Her Fourth, Helen’s interest continued to develop
patience ran out quickly, and the lessons would end ­because, once she made the connection between
in tears and yelling. finger spelling and communicating, she then wanted
Everything changed one day when Anne pumped to seek information. This led her to continue to
water into Helen’s hands and spelled “water.” The stretch her own understanding.
event appeared to trigger Helen to make a Fifth, once she began seeking information, Helen
connection between the fluttering movement in her began to self-regulate and to explore and seize oppor-
hand and the cold liquid spilling over her skin. tunities to learn—opportunities that were ostensibly
Suddenly, Helen realized what Anne had been trying present before, but that she may not have been able
to show her as she had doggedly spelled word after to recognize without external support.
word into her hand all those weeks. From then on, It appears that it was not until Helen made a con-
Anne could hardly keep up with Helen, who dragged nection between finger spelling and communication
her around demanding a word for everything she that she began to pose her own questions, seek an-
encountered, everything that had been there before. swers, and reflect—a point when her interest in com-
munication was clearly developing. As Helen’s case
Anne’s efforts to help Helen make connections reveals, the development of interest has phases that
­between signs and what they represent could be de- precede what to the outside observer might be readily
scribed as potential triggers for interest. We do not identified as interest. In fact, her interest continues to
know why or how the trigger of the water served as develop beyond the phase that is detailed here.
a catalyst. In fact, Helen thought at first that it was
some kind of game. It seems likely that many factors Defining Interest and Interest
contributed to her revelation. Development
We know, however, that a few elements of Helen’s Interest refers both to the psychological state of learn-
story are particularly important to the description ers during their engagement with particular content
and understanding of interest development. First, (e.g., communication, mathematics, basketball)
the development of her interest involved seemingly and to their motivation to continue to reengage
repetitive and ineffective external support before she that content over time. First, we summarize the

206 INTEREST AND ITS DEVELOPMENT, Revisited

development of interest through four phases, as almost immediately, possibly because she had Anne
­described in the four-phase model of interest devel- to instantly respond and work with her to find
opment (see Table  12.1; Hidi & Renninger,  2006; ­answers to the curiosity questions she posed. As her
see also Renninger & Hidi, 2016). To provide a con- autobiography also indicates, Helen continued to
text for understanding a developmental approach, want to ask questions that allowed her to develop her
we present an overview of other approaches to the knowledge. Her emerging individual interest rapidly
study of interest. In later sections of this chapter, we developed into a well-developed individual interest.
review studies in which interest is examined over time The example of Helen demonstrates that once
as well as studies that have focused on earlier and/or interest is triggered, it can be maintained and then
later phases in the process of interest development, progress as individual interest. Helen’s interactions
discuss validation and insight about interest devel- with others were critical; this is a characteristic of
opment based on the complementarity of two studies, interest development that is now well established
and describe issues central to next steps in under- (e.g., Barron,  2006; Bergin,  2016; Nolen,  2007;
standing the development of interest. Pasupathi & Rich,  2005; Thoman, Sansone, &
Pasupathi, 2007). At first, these interactions could
The Four-Phase Model of Interest be characterized as supporting the generation of
Development ­interest (e.g., Mitchell, 1993; Palmer, 2004, 2009).
The four-phase model of interest development Later, they involved the provision of information that
(Hidi & Renninger, 2006; Renninger & Hidi, 2016) led her to continue to stretch, engage, and explore
identifies four phases in the development of inter- the content of her interest (see Renninger, 2010) or
est: triggered situational, maintained situational, to self-generate interest (Sansone, Weir, Harpster, &
emerging individual, and well-developed individual Morgan, 1992; Sansone, Wiebe, & Morgan, 1999).
interest. As described in Table 12.1, the four phases Studies of interest development can be focused
of interest are sequential and discrete, but as Hidi on earlier (less developed) or later (more developed)
and Renninger (2006) also noted, they are phases phases of interest and named situational and individ-
rather than stages because the length and character ual interest, respectively. In such cases, situational
of a given phase may vary among individuals based interest is often used to describe the triggering of a
on experience and temperament, among other fac- response to particular content, activities, or events
tors. The first phase in the development of interest is in the moment that may hold over time (Hidi &
conceptualized as being initiated by a triggered situ- Baird, 1986; Mitchell, 1993), and individual interest
ational interest. If sustained, this first phase evolves as an increasingly consolidated base of discourse, or
into the second phase, maintained situational inter- disciplinary, knowledge, and coordinated value for
est. The third phase of interest, emerging individual content (Renninger,  1990,  2000). However, as
interest, may develop out of the second phase and Renninger and Hidi (2016) explained, research now
may then lead to the fourth phase, a well-developed demonstrates that situational interest is triggered in
individual interest. both earlier and later phases of interest (e.g.,
Helen’s experience with finger signing provides Crouch, Wisittanawat, Cai, & Renninger, 2018;
an illustration of triggered and eventually maintained Durik & Harackiewicz, 2007). Situational interest
situational interest that evolved almost immediately may develop into individual interest, and situational
into an emerging individual interest. Helen’s interest interest may occur simultaneously with individual
was apparently triggered by the juxtaposition of the interest. In proposing the four-phase model, Hidi
water and the finger signing, which represented the and Renninger (2006) suggested that findings from
presence of a new concept: communication. Her studies of situational and individual interest were
­interest for communicating using finger spelling was complementary and could be used to map the
maintained following the triggering provided by the ­development of interest, beginning with forms of
water, and although she first engaged in communi- ­initial triggering that might be sustained to the
cation as a game, it began to take on meaning for ­relatively enduring predisposition to return to par-
her. It also led her to ask questions because she ticular classes of content over time. As they pointed
wanted to understand, marking a shift in her phase out, interest development is propelled by the devel-
of interest. Based on what Helen tells us in her opment of knowledge and coordinated valuing, which
autobiography, she appears to have transitioned
­ may be promoted through interactions with others,
through the phase of maintained situational interest such as teachers, peers, parents, or museum personnel,

RENNINGER AND SU 207

Table 12.1  The Four Phases of Interest Development (Hidi & Renninger, 2006): Definitions and Learner Characteristics

Phases of interest development

Less developed (earlier) More developed (later)

Phase I: Phase 2: Phase 3: Phase 4:

Triggered situational Maintained situational Emerging individual Well-developed individual
interest interest interest interest

Definition • Psychological state resulting from • Psychological state that involves • Psychological state and the beginning • Psychological state and a relatively
short-term changes in cognitive focused attention to a particular of relatively enduring predisposition enduring predisposition to reengage
and affective processing associated class of content that reoccurs to seek reengagement with a particular a particular class of content over time
with a particular class of content and/or persists over time class of content over time
Learner • Attends to content, if only • Reengages content that previously • Is likely to independently reengage • Independently reengages content
characteristics ­fleetingly triggered attention content • Has both stored knowledge and value
• May or may not be reflectively • Is developing knowledge of content • Has both stored knowledge and • Is reflective about the content
aware of the experience • Is developing a sense of the ­ stored value • Is likely to recognize others’
• May need support to engage from content’s value • Is reflective about the content ­contributions to the discipline
others and through instructional • Is likely to be able to be supported • Is focused on his or her own • Self-regulates easily to reframe
design by others to find connections to ­questions ­questions and seek answers
• May experience either positive content based on existing skills, • Has positive feelings • Has positive feelings
or negative feelings knowledge, and/or prior experience • May not persevere when confronted • Can persevere through frustration
• May not persevere when with • Is likely to have positive feelings with difficulty and challenge to meet goals
confronted with difficulty • May not persevere when with • May not want feedback from others • Appreciates and may actively seek
• May simply want to be told ­confronted with difficulty feedback
what to do • May want to be told what to do

From The Power of Interest for Motivation and Engagement by K. A. Renninger & S. E. Hidi, 2016, Table 1.2, p. 13. Copyright by Taylor and Francis, reprinted with permission.
and the tools that they have created (e.g., books, tasks, feel they understand what is expected of them and
software, exhibits; Renninger & Hidi, 2016, 2019). have a teacher who is responsive and provides sup-
Empirical support for the four-phase model has port for autonomy (see related discussions in Frenzel,
been provided by studies conducted across a wide Goetz, Pekrun, & Watt, 2010; Renninger, Kensey,
range of domains and contexts, with learners who Stevens, & Lehman,  2015; Tsai, Kunter, Lüdtke,
vary in age (e.g., Harackiewicz, Durik, Barron, Trautwein, & Ryan, 2008). The stage fit of the person
Linnenbrink, & Tauer, 2008; Lipstein & Renninger, to the environment has been described as supporting
2007; Michaelis & Nathan, 2015; Wang & Adesope, feelings about the worth (the value, task interest,
2016). Furthermore, developments in affective neu- utility, cost) of continued engagement (e.g., Wigfield,
roscience indicate that the triggering of interest is Eccles, Schiefele, Roeser, & Davis-Kean,  2006).
associated with activation of the reward circuitry in Whether a person is able to make an independent
the brain (e.g., Gottlieb, Oudeyer, Lopes, & Baranes, decision to reengage has also been found to affect the
2013; Panksepp, 1998; see discussion in Renninger & relation between the affective and cognitive compo-
Hidi, 2016). In other words, all persons are h ­ ardwired nents of interest, a relation that affects the experience
to develop interest, and interest in any content may of interest (Ainley, 2007; Sansone & Thoman, 2005a,
be supported to develop. 2005b) as well as the likelihood that interest will
However, the research also indicates that whether develop and deepen (Renninger, 2000).
interest, once triggered, is supported to develop Although learners at all ages with varying expe-
­depends on whether the task leads learners to find riences may develop new interests at any time, age
meaning in it, enabling them to make connection also affects how and whether interest is likely to
to their knowledge and value for the content. Some ­develop. Undergraduates, for example, may be able
examples include the meaning Helen found in to self-generate ways in which to sustain interest in
finger signing, meaning that students may be view of a task that they find boring by finding some
­encouraged to identify for themselves in a course reason that the task could be beneficial to them
they are taking (Hulleman, Durik, Schweigert, & (e.g., Sansone et al., 1992). This capacity is related
Harackiewicz, 2008; Hulleman & Harackiewicz, to their awareness of how they are thinking and
2009), or meaning that emerges when learners are learning in the situation (a boring task that needs to
allowed or take charge of shaping class activities be completed, the need to pass a course that they are
(Cobb & Hodge, 2004; Meyer & Turner, 2002). taking), their metacognitive awareness, and their
The match between the strengths and needs of the ability to generate strategies to address it. Conversely,
learner and available support, described by Eccles younger children find ways to continue to engage
and Midgley (1989) as the stage fit of the environ- only if tasks are already of interest, although they
ment (see also Bronfenbrenner & Ceci’s,  1994, also may be more open than older learners to trying
discussion of the bioecological model), is critical to to learn new topics or participate in new activities
the development of interest. When support from (Renninger, Sansone, & Smith, 2004). At about 8
the learning environment is lacking (or perceived to to 10 years of age, they begin comparing their own
be lacking), interest can fall off, go dormant, or dis- capacities to those of others and then need a differ-
appear altogether (Bergin, 1999). Renninger (2000), ent form of support to persevere on tasks they have
for example, described the case of a talented chess not yet tried or tasks they are aware others already
player who ceased playing chess because there was do at a much more advanced level then they do
no one to challenge him. Renninger and Lipstein (Renninger, 2009).
(2006; see also Renninger & Hidi,  2019) also
­reported that interest may decline when students Conceptualizations of Interest Not
do  not perceive opportunities to connect to the Specifically Focused on Development
work they are doing and/or feel that their ideas are Understanding how interest can be supported to
respected and heard. Their findings are consistent ­develop is of particular concern to those who support
with those of Kunter, Baumert, and Köller (2007), others to learn, whether in or outside the school
who found that within the same classroom there context. However, the conceptualization of interest
were students whose interest would develop and as a cognitive and affective motivational variable that
students whose interest would decrease. Kunter develops is only one of the ways in which interest is
et  al. observed that the development of interest is defined and studied (see extended discussion in
likely to be more related to students’ personal expe- Renninger & Hidi, 2011). Krapp (2002, 2007), for
rience of the classroom—for example, whether they example, describes interest development as a process

RENNINGER AND SU 209

of developing one’s identity. Other conceptualizations have begun to provide information about whether
of interest reflect a range of research questions and, as and how the experience of interest varies with devel-
a result, address different aspects of the way in which opment. For example, Magner, Schwonke, Aleven,
a person engages (or does not engage) with content to Popescu, and Renkl (2014) found that interest in
be learned. These perspectives contribute to under- task features varies with phase of interest. They
standing interest and its relation to learning, but may demonstrated that learners’ prior knowledge moder-
not address the development of interest per se. That ates how distracting a potential trigger for interest,
said, however, each is a conceptualization on which or seductive detail such as decorative illustrations,
the understanding of interest development builds. might be. They reported that for those in earlier
Detailed considerations of interest can be phases of interest development, decorative illustra-
­described as focusing on emotion (e.g., Ainley, 2007; tions triggered, but did not maintain situational in-
Ainley & Ainley,  2011; Ainley & Hidi,  2014; terest and derailed learning, whereas the learning of
Moeller, Dietrich, Eccles, & Schneider,  2017; those in later phases of interest development was
Silvia, 2006), task features and environment (e.g., not hindered. Magner et al.’s study also provides an
Mayer, 2005; Sansone & Thoman, 2005a, 2005b; example of how a conceptualization of interest that
Sansone, Thoman, & Fraughton,  2015), value targets specific information about experience/task
(e.g., Eccles, Fredricks, & Epstein, 2015; Schiefele, features contributes to understanding the develop-
2009; Wigfield et al., 2006), and vocational inter- ment of interest.
est (e.g., Alexander, Johnson, Leibham, & Kelley, Conceptualizations that have focused on interest
2008; Holland,  1997; Lent, Brown, & Hackett, as value have further indicated that interest that is
1994; Rounds & Su, 2014). Conceptualizations of operationalized in terms of how much the respond-
interest that focus on emotion are often concerned ent says he or she likes particular content will differ-
with the state of interest, rather than with interest entiate first in the expectancy-value framework
as both a state and a predisposition to reengage (Wigfield et al.,  2006) and is linked to intrinsic
particular content over time. Researchers have ­motivation (Schiefele, 2009). In cross-sectional work
­determined, for example, that mood, disposition, and with middle and high school students, Denissen,
situation combine to influence students’ affective Zarrett, and Eccles (2007) reported that self-concept
reactions to tasks (Ainley & Patrick,  2006) and of ability and interest are coupled, but they also
that interest may be either pleasant or unpleasant point out that when achievement is introduced, there
(Turner & Silvia, 2006), but little is known about is a higher degree of coupling between self-concept
whether and how the intensity and valence of of ability and achievement than between interest
affect change with the development of interest. and achievement. However, given that value in these
Conceptualizations that have focused on interest studies is examined at one point in time, little is
in terms of task features or the environment have ­understood about possible change in, for example,
also pointed to the importance of the experience of expectancy value as interest develops (see Wigfield
interest to engagement. in the self-regulation of & Cambria, 2010).
­motivation model, for example, Sansone and her Conceptualizations that have focused on interest
colleagues (Sansone & Thoman,  2005a,  2005b; in terms of vocational or conceptual interest address
Sansone et al., 2015; Sansone, Geerling, Thoman, & the relation between a person’s present abilities and
Smith, 2019) report that interest is essential to the possible occupations (e.g., Holland,  1997; see also
feelings of competence that accompany this experi- Armstrong, Allison, & Rounds,  2008; Rounds &
ence and the self-regulation of behaviors that enable Su, 2014) or categories of children’s interest engage-
goal attainment. Importantly, they find that it is not ment such as science or art (e.g., Alexander et al.,
just the characteristics of the activity that are critical, 2008) and school readiness. One line of work within
but also the process of engaging the activity. They this framework draws on counseling psychology to
also report that when interest is low, students will suggest that environmental support can be provided
work to make a task more interesting (e.g., by to encourage those who currently lack interest to
making it more congruent with their goals and/or develop it (e.g., women who lack interest for engi-
using other strategies, such as exploratory engage- neering; Brown & Lent,  1996). Lent, Brown, and
ment) if the goal is important. Hackett’s (1994, 2000) social cognitive career theory
Findings from studies of task features have also describes interest development as determined by the
indicated that interest can be distracting (e.g., individual’s perceptions of his or her own compe-
Mayer, Griffith, Jurkowitz, & Rothman, 2008) and tence, or ability to succeed.

210 INTEREST AND ITS DEVELOPMENT, Revisited

 Each of the conceptualizations discussed indicates although triggered interest may be a­ ssessed using
that interest is always linked to a particular disci- behavioral measures (e.g., observation, log file anal-
plinary content, object, event, or idea. The concep- ysis), because respondents in earlier phases of inter-
tualizations also all acknowledge the role of affect, est development may not be aware that their interest
or feelings, as a component of interest, but they tend has been triggered, it is not easily assessed using
to vary in the extent to which affect, knowledge, self-reports, especially in those earlier phases of de-
and value are the focus of inquiry and measurement. velopment. Respondents are able to self-report on
Some of the conceptualizations describe knowledge whether they work on more math problems than
and value as components of interest (Ainley, 2007; those that are assigned though, suggesting the util-
Hidi & Renninger, 2006; Mayer, 2005; Sansone & ity of confirming and/or developing survey items
Thoman, 2005a, 2005b; Silvia, 2006), whereas others that assess behavioral information.
focus on affect and value as established through cog- Many researchers have assessed interest by asking
nitive evaluation (Krapp,  2005,  2007; Schiefele, respondents to rate how much they like particular
2009; Wigfield et al.,  2006). Differences among content. This type of rating provides a distinction
the conceptualizations with respect to the role of between the presence or absence of interest, but
knowledge reflect differences among research aims. may not effectively distinguish between how devel-
The research questions being addressed do not nec- oped a person’s interest is, because emotional
essarily assess change over time but instead focus on ­responses in earlier and later phases of interest are
one or another aspect of interest that may be present not likely to differ (see Ainley, 2017). Conceptualized
and/or a factor in each phase of interest. as a variable that develops, interest has both cogni-
tive and affective components. Given that there is
Measurement Considerations likely to be little difference in how much a person
There currently is no single correct measure or in different phases of interest “likes” the content of
­indicator of interest or interest development, and interest and that a person may have developed
as Renninger and Hidi (2011) have noted, such a ­expertise (e.g. an X-ray technician), but may or
specification may not be possible because of differ- may not have a developed interest in it, assessment
ences in the structure of disciplinary domains, of interest development must also account for the
with some being more hierarchical than others ­cognitive component of interest (see discussion in
(Lawless & Kulikowich, 2006) and/or differences Hidi & Renninger, 2006).
in researchers’ questions. To date, interest develop- Hidi and Renninger (2006) noted that although
ment has been measured using surveys (e.g., Chen, the earliest phases and the state of interest may be
Darst, & Pangrazi, 1999; Häussler & Hoffmann, characterized and assessed by affective response,
2002; Linnenbrink-Garcia et al.,  2010; Marsh, the identification of developed interest must
Trautwein, Lüdtke, Köller, & Baumert,  2005; ­consider the relation between feelings, value, and
Michaelis & Nathan,  2015; Rotgans & Schmidt, knowledge, and changes in this relation might be
2011; Schiefele, Krapp, Wild, & Winteler,  1993; expected with development. In their 2016 volume
Schraw, Bruning, & Svoboda, 1995) and behavioral (Renninger & Hidi, 2016), they point to four indi-
measures, such as online experience sampling (Ainley, cators that can be used for purposes of assessing
Hidi, & Berndorff, 2002), functional magnetic reso- interest development. These include whether, com-
nance imaging (Kim, Lee, & Bong, 2009), or partici- pared to other activities and given the opportunity,
pant observation (Nolen, 2007; Pressick-Kilborn & a person will engage the content:
Walker, 2002; Renninger & Wozniak, 1985).
1. frequently;
Interest has also been assessed based on participa-
2. with understanding or depth of knowledge;
tion (Azevedo, 2006; Barron, 2006; Fink, 1998) or
3. voluntarily; and
membership (e.g., recreational figure skaters, see
4. independently (without others also being
Green-Demers, Pelletier, Stewart, & Gushue, 1998;
involved).
and mathematicians, Gisbert,  1998). However,
Renninger, Cai, Lewis, Adams, and Ernst (2011) Considered together, these indicators provide
found that interest needs to be well developed for it r­ eliable information about a person’s phase of interest.
to be accurately predicted by participation or mem- They have been found to form a single factor
bership alone. Their findings suggest the importance (α = 0.91, Renninger & Schofield, 2014). Individuals
of triangulating assessments to accurately capture dif- in earlier phases of interest development may often
ferences among phases of interest. For example, be identified by their infrequent engagement with

RENNINGER AND SU 211

the content in question, their lack of knowledge, interest as primarily a sequential process that evolves
and their reluctance to voluntarily or independently through a person’s interactions with other people and
participate, whereas those with more developed the design of the environment (e.g., tasks such as
­interest frequently engage and do so voluntarily, challenging reading materials, opportunities that
­independently, and with depth. The four indicators the person can recognize).
have been used to develop items for self-reporting
that distinguish among phases of interest (e.g. Cabot, Triggers for Interest Development
2014; Lipstein & Renninger,  2007; Michaelis & Longitudinal studies describe a changing relation
Nathan, 2015) and to track whether learners are in between a person’s affect and knowledge as interest
an earlier, or less developed, phase of interest or in a develops. They also describe the triggering process
later, or more developed, phase of interest. and subsequent support as enabling a person to
make connections to content in earlier phases of
­interest and to find opportunities to continue to
Research on Interest Development ­develop understanding of content in later phases.
Studies that track the behaviors of individuals over Some examples include the following: the desire for
time (longitudinal studies) and studies of learners in parental approval and opportunities to pursue
earlier and/or later phases of interest (also reported mathematics as triggers for an interest in mathemat-
as situational and individual, less developed and ics (Gisbert,  1998), children’s abilities to express
more developed, or low interest and high interest) themselves as members of a “literate community” in
provide our present understanding of interest devel- their classroom as triggers for developing an interest
opment. We describe findings from these two types in reading and writing (Nolen, 2007), and instruc-
of studies separately because they offer different in- tional methods that led students to identify with
sights. Longitudinal studies yield rich, descriptive Latin as triggers for an interest in Latin (Renninger
information that provides a basis for developing et al., 2004).
inductive models that can be used for theory- Changes in the relation between affect and
building, as well as the design of tasks and/or inter- knowledge are also noted in later phases of develop-
ventions. Studies that have examined earlier and/or ment, when the interest being studied already exists.
later phases of interest focus on studying one or more Some examples include the following: d ­ escriptions
aspects of findings identified in more descriptive of ­self-initiated work with technology in which
data with samples and methods that allow findings ­adolescents seek additional resources, create new
to be generalized. ­activities, pursue structured learning, and d ­ evelop
Here we review a parsimonious selection of lon- mentoring/knowledge-sharing relationships (Barron,
gitudinal studies, in addition to studies focused on 2006; see also Barron, Gomez, Pinkard, & Martin,
earlier and/or later phases of interest development, 2014); the dyslexic adolescent who develops an under-
with particular attention to four questions central standing of reading by focusing on reading about his
to supporting a triggered interest to develop: (a) or her already well-developed i­nterest in chemistry
the triggering of interest in both earlier and later (Fink,  1998); and business students whose interests
phases of interest, (b) how and why interest is were refined as they took advantage of new opportu-
maintained once it has been triggered, (c) fluctua- nities to continue to d ­ evelop their understanding
tions in interest, and (d) shifts between phases in the of business-related skills (Krapp & Lewalter, 2001).
development of interest. We then suggest the gen- Findings from these studies indicate that once an in-
erative potential of thinking across studies that terest is triggered and a connection to content is made,
­address different questions. interest continues to develop, as long as there are
opportunities and support for its continued devel-
Longitudinal Studies opment. However, as evidenced in Renninger, Ren,
Interest development as described in studies that and Kern’s (2018) case study of the ballerina, too
have tracked individuals over time is collected through much challenge can be overwhelming, even for a
interviews with the participant and/or other people person with a well-developed interest. As interest
in the participant’s life, the development of portraits develops, the triggers that promote interest develop-
based on interviews, and/or surveys, experience sam- ment, as well as the supports that may be needed to
pling, course enrollments, and/or observation. Taken enable its continued development, differ based on
together, such studies describe the development of existing interest and experience.

212 INTEREST AND ITS DEVELOPMENT, Revisited

Sustaining Interest, Fluctuations, formation about specific aspects of earlier and later
and Shifts Between Phases phases of interest development.
Examinations of the development of interest over
time suggest that, once triggered, interest is sustained Studies of Earlier and/or Later
based on the availability of (a) opportunities to con- Phases of Interest
tinue to learn and (b) support to become inde- Studies of earlier and/or later phases of interest are
pendent or autonomous. Such opportunities can often undertaken to address the relation of interest
take the form of finances, timing, or access (Ainley & as a motivational variable to other variables (e.g.,
Ainley, 2015; Azevedo, 2006, 2013a, 2013b; Barron, goals, self-efficacy), rather than interest development
2006; Barron, Kennedy-Martin, Takeuchi, & Fithian, per se. They nonetheless contribute to understand-
2009; Crowley, Barron, Knutson, & Martin, 2015), ing interest development, especially if considered in
although the types of support or feedback r­ equired relation to findings from longitudinal studies. In
may depend on the phase of the learner’s interest studies of earlier and/or later phases of interest devel-
(Lipstein & Renninger,  2007, see Renninger & opment, the sample of participants is partitioned
Hidi, 2019). Mismatches between a learner’s phase into groups based on responses to survey items.
of interest and available supports have been found Some studies have focused on participants in a par-
to result in marginalization and lack of identifica- ticular phase of interest, and others have compared
tion (e.g., Nolen,  2007), a decrease in feelings of the responses of participants who are in different
competence (e.g., Azevedo,  2006), and the falling phases. Most often, these studies focus on earlier
off of interest (Renninger & Lipstein,  2006). In phases of interest and have measured interest in
contrast, shifts, or movement from one to another terms of affect and value, rather than knowledge.
phase of interest are characterized as including Taken together, these studies point to the impor-
­increased feelings of competence, the acquisition of tance of the relation among achievement, feelings of
skills and knowledge (Nolen,  2007; Lipstein & competence, and interest. They also suggest that
Renninger,  2007; see discussion in Renninger & their awareness of how they are learning and think-
Hidi, 2016), and/or identification with the domain of ing in the situation, their metacognitive awareness,
interest (e.g, identification as a scientist, Chittum & may be a critical support for interest development.
Jones, 2017; see Krapp, 2003, 2005).
Assessed in terms of individual learners and their Triggers for Interest Development
development over time, studies that have mapped Findings from studies addressing earlier and/or later
pathways to interest development point to the phases of interest development have focused on (a)
­critical role of environmental supports in trigger- the impact of triggers for situational or individual
ing and sustaining interest (Alexander, Johnson, & interest on learning and (b) the experience of the
Neitzel, 2019). As interest develops, the supports learning environment as a contributor to interest.
must shift from helping learners make connections Both situational interest and individual interest
to particular content to encouraging learners with have been found to trigger interest. Situational ­interest
more developed interest to fully engage, explore, has been found to promote reading comprehension
and work with the content of interest (Renninger, and motivation among third graders (Guthrie et al.,
2010; Renninger & Hidi, 2019). The studies allow 2006), help high school students develop positive
identification of recurrent patterns within the ecol- ­attitudes toward science (Palmer, 2009), and pro-
ogy of the larger learning environment and suggest mote undergraduates’ reading engagement and essay
that there are multiple points in development ­production (Flowerday, Schraw, & Stevens, 2004).
when support can be provided that enables interest Similarly, individual interest has been found to
to either develop and/or deepen (Alexander et al., enable learners to persevere in working with content
2019; see also Barron,  2006). Although the pat- that is complex and challenging. For example, middle
terns reported in longitudinal studies are often school students were found to be more likely to per-
­descriptive and specific to particular contexts, the severe in working on math problems into which an
effort to consider replication and validation across individual interest had been inserted as a context
studies such as those provided by Alexander et al. (e.g., basketball) than problems into which content
(2019), Barron et al. (2014), and Crowley et al. (2015) of less-developed ­interest (e.g., football) were in-
suggests that these findings are generalizable and serted (Renninger, Ewen, & Lasher, 2002; see also
hold insights for those seeking more targeted in- Hoffmann, 2002; Walkington & Bernacki, 2015).

RENNINGER AND SU 213

 Having interest has also been described as a Sustaining Interest and Fluctuations
b­ uffering factor that helps students to cope with and Shifts in Interest Development
unfavorable learning conditions (Katz, Assor, Studies of earlier and/or later phases of interest
Kanat-Maymon, & Bereby-Meyer,  2006). For ­development suggest that situational factors, chal-
­example, Tsai et al. (2008) reported that the climate lenge, and personal investment are potential triggers
of the classroom (e.g., the levels of autonomy for sustaining interest, and they provide a basis for
­support, controlling behaviors) influenced those shifts that occur in interest development. For exam-
with less-­developed interest more than those with ple, experiences in which students are led to explore
well-­ developed interest. Similarly, in an experi- and work with the everyday meaning of science
mental manipulation of triggers for interest in concepts in new ways can promote meaningfulness
solving math problems, Durik and Harackiewicz and sustain engagement (e.g., Palmer, 2004, 2009;
(2007) found that a learner’s level of interest for Palmer et al.,  2016; Pugh et al.,  2010; Pugh,
math influenced the impact of catch (collative factors) Linnenbrink-Garcia, Phillips, & Perez,  2015). The
and hold (situational factors that sustain interest). design of the tasks can also explicitly support learners
Those individuals with less interest for mathematics to reflect on activity and position them to set
showed more interest in the collative-rich environ- goals, ask questions, and want to know more (e.g.,
ment that provided triggers for novelty and less Renninger et al., 2014).
­interest in triggers for challenge, whereas those with Whether interest is sustained and continues to
more-developed interest for mathematics were develop appears to be linked to learners’ perceptions
negatively affected by triggers for novelty and pos- of their experiences, as well as their abilities to
itively influenced by triggers for challenge. set  goals for themselves and self-regulate (see
Findings such as these indicate both that poten- Sansone & Thoman, 2005b; Sansone et al., 2015).
tial triggers for interest differ when learners have Harackiewicz et al.’s (2008) findings indicate, for
more- and less-developed interest and that availa- ­example, that the process of triggering interest and
bility (and continued availability) of triggers may adopting goals differs for those who come to class
be particularly critical for those in earlier phases of with an already developed interest and those who do
interest development. They also suggest, as Schiefele not. They found that undergraduates with low initial
and Csikszentmihalyi (1994) reported, that the interest who reported having their interest triggered
association between interest and experience is
­ were also those who experienced shifts in the devel-
­independent of achievement and that changes in opment of interest, suggesting that the triggering of
experience can affect interest (see also Pugh, interest can promote mastery goals and that mastery
Linnenbrink-Garcia, Koskey, Stewart, & Manzey, goals can also promote interest development.
2010). However, Schiefele and Csikszentmihalyi Harackiewicz et al. (2008) also found, however,
(1995) also reported a correlation between grades that the simple presence of a trigger did not predict
and interest that, like Jacobs, Lanza, Osgood, Eccles, continued interest. Rather, the triggering of interest
and Wigfield’s (2002) findings, points to links in addition to students’ final grades in the course
­between grades and valuing as contributing to the predicted their continued interest. These findings
experience of interest. suggest the importance of both mastery and perfor-
Sansone and her colleagues’ work suggests that mance goals to the development of interest (see
interest experience reliably predicts task choice Harackiewicz, Barron, Pintrich, Elliot, & Thrash,
and persistence and is essential to self-regulation 2002; Harackiewicz, Barron, Tauer, & Elliot, 2002).
(e.g., Sansone & Thoman,  2005a,  2005b; see Moreover, analyses to examine the relation between
also Sansone et al., 2015, 2019). With interest, the interest (measured in terms of feelings and value)
learner has a clear goal and is able to self-generate and background knowledge in the Harackiewicz
or trigger interest. Thus, although present percep- et al. (2008) study revealed that initial interest was a
tions and values may inform present interest, the particularly strong predictor of continued interest
experience of interest can change through the when paired with a high level of background
process of triggering that is provided either by other knowledge, indicating the importance of content
people or situations (e.g., Hulleman et al., 2008; knowledge for interest development. Studies also
Mitchell,  1993; Palmer,  2009; Palmer, Dixon, & indicate that when learners have low interest and
Archer, 2016) or by individuals who are in a posi- little knowledge, interest can be triggered by sup-
tion to self-generate interest (e.g., by finding a porting them to identify the utility of classroom
reason to persevere; Sansone et al., 1992, 2019). content (e.g., biology), which results in developing

214 INTEREST AND ITS DEVELOPMENT, Revisited

interest, increases in performance, and subsequent validation and insight about interest development.
enrollment in similar coursework (e.g., Hulleman & In this section of this chapter, we review the ques-
Harackiewicz, 2009; Hulleman, Kosovich, Barron, & tions, methods, and findings from two solid and
Daniel (2016); see also Harackiewicz, Tibbetts, seemingly different studies reported by Frenzel
Canning, & Hyde, 2014). et al. (2010) and Pugh et al. (2010). We use these
Interest that is triggered may continue to ­develop, two studies to illustrate study complementarity.
but may also fluctuate. Consistent with Harackiewicz We note that two other studies could as easily have
and her colleagues’ findings (e.g., Harackiewicz, been selected for this discussion; our choice was
Barron, Tauer, et al., 2002; Harackiewicz et al., 2008), informed by the differences of methods employed
Denissen et al. (2007) found that students between in these two studies and the similarity of the age
6 and 17 years of age felt competent and interested group that each study addressed.
in the subjects in which they achieved and in which Frenzel et al.’s (2010) study is a quantitative lon-
they perceived themselves to have ability. They also gitudinal study of early adolescents’ mathematics
found that as students get older, there is increased interest; Pugh et al.’s (2010) study is a short-term
coordination of achievement, self-concept of ability, qualitative study of high school students’ transform-
and interest, suggesting an increasingly influential ative experiences with biology. Both studies assess
role of student perceptions when the content with the trajectory of interest development. Whereas
which they are working in school also reflects increases Frenzel et al.’s (2010) study implies that the stu-
in difficulty (see related discussion in Hidi & dents’ environment (e.g., teachers, parents, school)
Ainley, 2008). may influence and account for differences in their
The evidence suggests that when a learner’s interest achievements and interest trajectories, Pugh et al.’s
is triggered, it can be sustained, but if interest fluc- (2010) study highlights the role of individual learner
tuates, this is a result of the learner’s perceptions or characteristics in interest development. Together,
experience of the environment (e.g. Renninger, these studies suggest that interest development
Ren, & Kern,  2018). Noted but not specifically ­involves both internal and external factors; their joint
­examined in studies of earlier and/or later phases of consideration also points to issues that research on
interest development is the role of the learner’s interest development must still address.
­metacognitive awareness. Discussions have centered
instead on perceptions or experience of the environ- Frenzel, Goetz, Pekrun, and Watt (2010)
ment and whether the learner responds to potential Frenzel et al. (2010) reported on a longitudinal
triggers or opportunities. study of the mathematical interests of 3,193 stu-
Harackiewicz et al.’s (2008) findings suggest that dents (51% female) in grades 5 to 9 in the German
when learners are able to report having a triggered school system, based on surveys administered to the
interest, their interest can be expected to develop. An students and their parents. Using Likert scales
emergent finding of this review, which Harackiewicz ­assessing feelings and value to measure interest, the
et al. (2008) did not point out, is that participants researchers addressed four issues: (a) the characteris-
who report having their interest triggered on a survey tics of trajectories of interest development in math-
must have at least some level of metacognitive ematics, (b) the role of gender in the development
awareness. This is not to say that interest cannot of interest for mathematics, (c) the role of ability
develop without metacognition, but rather that
­ grouping in interest development, and (d) the role
­interest can be expected to develop if metacognition of the values of other people in the development of
is present. Without metacognitive awareness, the interest for mathematics.
learner can be supported to engage with content, Frenzel et al. (2010) predicted that students
but may lack self-direction and need additional would experience a generalized loss of interest across
­support to engage. time. They hypothesized that students’ intrinsic
motivations for learning were likely to be in increas-
Study Complementarity: A Source of ing conflict with school-ordained restrictions such
Validation and Insight as required courses, increased task complexity, and
Reviewing articles and chapters for this chapter demands for academic effort and achievement.
called our attention to the range of studies that Frenzel et al. focused on mathematics, noting that
contribute to the present understanding of interest mathematics has long been considered a field pre-
development. It also pointed to the importance of ferred by males. They predicted that gender would
considering study complementarity as a source of influence the level of mathematics interest in that

RENNINGER AND SU 215

females would have less interest than males and that declines in interest levels, leveling out at a lower
the level of female and male interest would not level than Hauptschule students by grade 9. Finally,
affect the expected decline in the trajectory of inter- while family, peer, and teacher influences affected
est development, given findings suggesting gender the formation of students’ interest, it appears that,
differences in the level of interest but not in the tra- based on an assessment of interest trajectories, they
jectory of its development (e.g., Fredricks & did not influence the development of interest.
Eccles, 2002; Jacobs et al., 2002; Watt, 2004).
Frenzel et al. (2010) also predicted that ability Pugh, Linnenbrink-Garcia, Koskey,
grouping would impact interest development Stewart, and Manzey (2010)
based on Marsh’s (1987) findings from a study of the Pugh et al. (2010) reported on a short-term study
big fish–little pond effect, which suggests negative of transformative experience among 166 (66%
effects for students placed into high-achievement female) 9th- and 10th-grade biology students,
groups, and positive effects of placement into where transformative experience is characterized
­low-achievement groups. Taking advantage of the by “motivated use, expansion of perception, and
organization of the German school system, which experiential value” (p. 7) and interest and task value
tests and places students into one of three academic are described as supporting conceptual change
tracks based on academic achievement by the (Dole & Sinatra,  1998). Prestudy, poststudy, and
fourth grade, Frenzel et al. posited that students in follow-up assessments of students’ science knowl-
Hauptschule (the lowest track) would report higher edge, identity, and goals were undertaken using
interest levels than students in either Realschule survey data. Interest was not assessed independ-
(the middle track) or Gymnasium (the highest ently, but as part of the construct of experiential
track), because of the pressure in Realschule and value; Likert items were used to assess student
Gymnasium to focus on achievement instead of opinion about the value and utility of information
personal development. about natural selection.
Finally, based on the findings of social cognitive Pugh et al.’s (2010) research questions focused
theorists (e.g., Eccles, Wigfield, Harold, & on three issues: (a) the prevalence of transformative
Blumenfeld, 1993; Pekrun,  2000), Frenzel et al. experiences among high school biology students
(2010) predicted that other people such as family, learning about natural selection; (b) the relation
classmates/peers, and teachers would influence the among transformative experience, science identity,
formation of students’ values and interest for math- and mastery goal orientation; and (c) the relation
ematics. Family members, especially parents, have between transformative experience and both initial
been found to be role models for their children’s and enduring conceptual change and transfer. Based
eventual interests and educational values ( Jacobs, on findings from Pugh (2004), Pugh et al. (2010)
Davis-Kean, Bleeker, Eccles, & Malanchuk, 2005) described transformative experiences as occurring
and students can be expected to develop interests when students are motivated to apply outside the
and values similar to those of their parents ( Jacobs classroom what they have learned in the classroom,
& Eccles, 2000). experiences that led to expanded perception and
Findings from Frenzel et al.’s (2010) study revealed value. These findings suggest that transformation is
an overall decline in mathematical interest over best measured by observing changes in students’
time, regardless of variables such as gender. In terms conceptual understandings of science and whether
of gender, Frenzel et al. reported that girls had a they transfer their learning to other aspects of their
lower initial level of interest, as expected. There were lives, see aspects of the world in new ways, and find
no differences between the shapes of the trajectories value in doing so (Pugh, 2004). Like findings from
of girls and boys, suggesting that the areas of decline Girod, Twyman, and Wojcikiewicz’s (2010) work
and stabilization on the growth trajectories may be with fifth graders, Pugh (2002) showed that biology
the result of an intensification at earlier ages. In students who had transformative experiences had
addition, differences were identified in the level of more gains in conceptual understanding than those
interest of students in each of the different ability who did not. In the study examined here, Pugh and
groups. General/universal longitudinal interest his colleagues (Pugh et al., 2010) sought to explore
declines aside, students in Hauptschule in grade 5 had transformative experiences in an expanded sample
slightly lower initial levels of interest, but by grade 9 and to explore science identity and achievement
had managed to sustain interest, whereas students goal orientation as predictors of transformative
in both Realschule and Gymnasium evinced steeper ­experience. They chose to focus on natural selection

216 INTEREST AND ITS DEVELOPMENT, Revisited

in the biology classroom because this is a topic about role of individual characteristics in the development
which students often have misconceptions. of interest.
Based on both Girod and Wong (2002) and
Pugh (2004), the researchers expected that students Complementary Aspects of the Frenzel
who identified as having had transformative experi- et al. (2010) and Pugh et al. (2010) Studies
ences were also those who saw the relevance of the The findings of the Frenzel et al. (2010) and Pugh
science being taught. They conceptualized interest et al. (2010) studies mirror and extend discussions of
in this context in terms of value and science identity interest development. Together, their findings sug-
as composed of one’s prior knowledge and one’s gest that, at least for adolescents, interest develops
identification with science as a strength or weak- in relation to both academic achievement and feel-
ness. When students believed that they had a strong ings of competence, and central to this is the balance
science identity, it was expected that they would and personalizing of external and internal, environ-
thus see the relevance of the science unit being taught mental and individual factors.
and were more likely to undergo transformative Frenzel et al.’s (2010) findings confirm the
­experiences (Girod & Wong, 2002; Pugh, 2004). ­existence of a general decline in interest over time
Thus, Pugh et al. (2010) predicted that students spent in school and the influence of ability groups
with a mastery goal orientation would be more likely on students’ interest development. Students in
to report transformative experiences, given the focus Hauptschule (the lower track) showed less steep
of mastery goal orientation on learning. Pugh et al. ­declines in interest over time, compared to stu-
(2010) also expected that students who either dents in Realschule and Gymnasium. Frenzel et al.
strongly identify with science or have a mastery noted that this might be a result of the less
­approach toward learning would be more likely to ­competitive atmosphere with fewer achievement-
experience transformative experiences than those oriented demands in Hauptschule compared to
with a less defined science identity and a performance Realschule and Gymnasium. These findings sug-
approach (i.e., displaying competence but not nec- gest that the learning environment has a critical
essarily comprehension). role as a support for (or constraint on) academic
Pugh et al. (2010) found that both science iden- development, interest, and performance.
tity and mastery goal orientations were positively Similarly, Pugh et al.’s (2010) findings point to
associated with transformative experience. Students the importance of the learning environment in
who both identified with science and had a mastery promoting comprehension and transfer, suggesting
approach to learning were more likely to experience the further need to attend to the role of learner
transformative experiences; they retained informa- characteristics in the development of interest. When
tion and were able to independently apply it outside the researchers controlled for prior knowledge, stu-
the classroom. However, students with initially dents with a mastery approach to learning were found
higher levels of knowledge about the information to have more comprehension and a greater ability to
taught in the unit also reported having more retain and transfer what they had learned to other
­transformative experiences, suggesting that the aspects of their lives. These findings further suggest
­acquisition and development of knowledge and that a mastery goal orientation may compensate for
interest (defined as value and utility) may be mutually less than ideal situational factors such as unsup-
reinforcing. portive environments, limited opportunities, and
Their results further indicated that students with grade-oriented pressure. It also appears that whether
a mastery goal orientation were more likely to report interest develops depends on the learner: It may be
experiencing transformative experiences and that the individual’s approach to learning that most
mastery goal orientation mediated the relationship ­influences both comprehension and transfer.
between science identity and transformative expe- Frenzel et al.’s (2010) and Pugh et al.’s (2010)
rience when prior science knowledge related to the studies also indicated that both situational and
unit taught was controlled. In other words, a strong ­individual factors can result in a falling off of interest.
science identity predicted a stronger endorsement According to the Frenzel et al. study, placement
of goal orientation, which in turn predicted the into a high-achievement ability group negatively
occurrence of transformative experiences. It appears influenced interest development, whereas placement
that mastery orientation increased the likelihood in a low-achievement ability group had a positive
of transformative experiences. On the strength of effect. The interest levels of Hauptschule students
these findings, Pugh et al. (2010) pointed to the declined at a slower rate than that of Realschule or

RENNINGER AND SU 217

Gymnasium students and eventually stabilized (­triggered situational and maintained situational)
toward the later grades of high school. Because the or an earlier phase, consisting of ­triggered ­situational
declines in interest occurred regardless of the stu- and maintained situational i­nterest, and a later phase
dent’s initial interest level, this suggests that the of emerging individual interest (see Table 12.1).
right combination of environmental factors and Consistent with descriptions of students in ear-
amount of external pressure can cause someone’s lier phases of interest as mapped by Lipstein and
interest to change, whether positively or negatively. Renninger (2007; see also Renninger & Riley, 2013),
Similarly, Pugh et al. (2010) found that intrinsic Frenzel et al. (2010) and Pugh et al. (2010) sug-
motivation, such as a mastery goal orientation, gested that it is the student who ultimately makes
­increased the likelihood of transformative experi- use of available supports, and whether students
ences, more advanced conceptual understanding, make this choice depends on whether they make
and the transfer of learning. personalized, individualized connections to content
and whether their learning environment has pro-
Knowledge, a Component of vided the opportunity and/or supported them to do
Developing Interest so. This is an important point.
Frenzel et al. (2010) used items to assess interest that Although personalized content has for some time
tapped feelings and value, as well as the participants’ been recognized as important in generating interest
knowledge: “I would like to find out more about (e.g., Mitchell, 1993), the findings from these two
some of the things we deal with in our mathematics studies indicate that it is the learner, not the teacher
class” and “I like to read books and solve brainteasers or the researcher, who decides what is meaningful—
related to mathematics” (p. 532). Pugh et al.’s (2010) they also suggest that learners determine what is
decisions to assess interest using items addressing meaningful regardless of their phase of interest
feelings and value (e.g., “During science class, I think development. Whether students are able to take
the stuff we are learning about adaptation and/or advantage of available r­esources may have to do with
natural selection is interesting” [p. 22]) and to con- how they understand the task or situation (goals
trol for prior knowledge influence what they may be and expectations), i­ncluding their ability to recognize
able to say about interest development. If interest the utility of the particular resources or practices
develops through phases, and if transitions between that would allow them to realize goals that are set
phases of interest depend on developing under- for them by others. These findings further suggest
standing, then knowledge must be included in meas- that the degree to which learners are metacognitively
ures intended to distinguish between earlier and later aware of their interest and its malleability could be
phases of interest development. Pugh et al.’s (2010) critical. Having an interest is not the same as being
findings provide information about the roles of metacognitively aware of the role of interest in one’s
knowledge and value in the process of making con- learning. Supporting the development of learners’
nections to content to be learned. However, their metacognitive awareness of their interest may well
findings do not explicitly address differences between enable goal setting and self-regulation that could
those in earlier and later phases of interest and their enhance the experience of interest, as well as its
abilities to pose questions, seek answers, and so forth. development and ensuing achievement.
It is possible that some of the students they studied
were in later phases of interest development, and Conclusions
that distinguishing among them could further inform The studies of Frenzel et al. (2010) and Pugh et al.
understanding about how to promote comprehen- (2010) pointed to some potentially critical aspects
sion and transfer based on this difference. of interest development, particularly the roles of
Both Frenzel et al. (2010) and Pugh et al. (2010) situational influences such as the achievement
­
described their studies of interest in terms of low ­demands of the learning environment and experien-
and high interest, yet the relation between their tial valuing. Like the other studies of earlier and/or
outcomes and interest theory suggest that what they later phases of interest development, they also
are each describing could differ. Frenzel et al. have suggested a role for the level, or degree, of learner’s
distinguished between earlier and later phases metacognitive awareness of interest as informing
of interest for mathematics because they have in- the types of supports the learner needs to support
cluded knowledge in their assessment of ­interest. his or her interest to develop.
By contrast, Pugh et al. appear to be d
­ escribing either Together, these aspects of interest develop­
earlier and later phases of situational interest ment  form the basis of an inductive model for

218 INTEREST AND ITS DEVELOPMENT, Revisited

 High Achievement Demands Low Achievement Demands
More Metacognition More Metacognition

Competitive and competent Reflective and easily absorbed in all facets

Needs: of the content
More-Developed Interest

• To reflect on his or her interest Needs:

• To explore questions • Opportunities that include targeted
Passionate and Passionate but
challenges
successful, may lack lacking in self-awareness
• To self-regulate engagement
self-awareness and and possibly self-direction
with content
direction Needs:
Needs: • To reflect on and self-regulate
• To reflect on content his/her engagement with content
• To self-regulate engagement • To link to present interests and
with content content knowledge

Less Metacognition Less Metacognition

More Metacognition More Metacognition

Attentive to achievement (e.g. grades) Reflective about what needs to be accomplished

Needs: Needs:
Less-Developed Interest

• To continue to develop his/her • To stretch present understanding with

Little personal
understanding of content knowledge content-related learning challenges Little personal
investment in either
• To link understanding to present • To explore questions investment in either
learning and/or
interests and content knowledge learning and/or
understanding of how to engage
the content understanding of how to engage
Needs: the content
• To develop his/her understanding Needs:
of content knowledge • To develop his/her understand-
• To make connections between ing of content knowledge
content knowledge and present • To make connections to present
interests interests
Less Metacognition Less Metacognition

Figure 12.1  Punnett square of the possible relations among learner phase of interest, metacognitive abilities, and achievement
demands of the learning environment.

­ nderstanding the relations among the learner’s

u to make connections to the content, questioning,
phase of interest, achievement demands of the and seeking additional information and under-
learning environment, and metacognitive aware- standing. If learners are h ­ indered, their content
ness. We present these using a Punnett square,2 as knowledge may develop but their interest may
depicted in Figure 12.1. The phase of a learner’s in- not, thereby compromising their possibilities for
terest forms one dimension and the achievement deeper learning.
demands of the learning environment form the To date, research on interest development has
other. The level of the learner’s metacognition is tended to focus on one or another aspect of interest
also included in each quadrant. Framed in this and/or its development, using different measures
way, it appears that metacognitive awareness, in and methods, sometimes resulting in seemingly
terms of both reflection on content and self-­ contradictory findings and conclusions. We suggest
regulation of engagement, should benefit the learner the utility of identifying complementarities among
and supports interest to develop. Development of findings—a consideration that also requires attend-
content knowledge is also understood to support ing to the way in which interest and its development
learners to make meaningful connections to the are conceptualized and measured, how they are
content, regardless of their initial phase of interest. studied, with which populations (age and experi-
However, organized in this way, it also appears ence), and in what type of context (domain of study,
that the achievement ­demands of the learning envi- achievement expectations, etc.).
ronment may benefit or hinder the learner’s ability The Punnett square depicted in Figure  12.1
­draws on findings indicating that interest develops
2
  A Punnett square is a diagram, or tool, used by biologists to through the interaction of the learner and the envi-
predict outcomes of a particular cross, or breeding, experiment. ronment, and enables the identification of possible

RENNINGER AND SU 219

relations. It includes information about a particular high achievement demands would contribute; and
aspect of the learning environment, which is of the particulars of her engagement with both less and
­increasing importance to learners as they get older: more metacognitive awareness (her response to
its achievement demands. It also draws on findings ­potential triggers, how and why she reacted to them,
from the literature review of this chapter to suggest and the focus and quality of supports that enabled
that the extent to which learners are metacogni- shifts in her interest development).
tively aware of their interest can influence how and
whether they respond to potential triggers. Future Directions
We suggest that the Punnett square in Figure 12.1 Research on interest has demonstrated that it is a
can also be used to describe the focus of support variable that develops over time and can be sup-
needed to enable shifts in interest development. ported to develop at any age. Its presence has been
Vertical movement along the Punnett square indi- repeatedly found to positively affect learners’ atten-
cates shifts between earlier and later phases of inter- tion, goal setting, and learning. Research on interest
est, whereas horizontal movement describes the development, however, is in its infancy. In this
effect of altering the learning environment, or chapter, we have examined research on interest and
achievement context. Patterns such as these are its development, paying particular attention to lit-
useful for researchers studying interest development tle-understood aspects of the development of inter-
and for educators or anyone working with and est: the triggering of interest in both earlier and later
hoping to support the interest development of others. phases of interest, how interest is maintained once
Mapping what we know of Helen Keller’s it is triggered, fluctuations in the development of
­experience to the Punnett square in Figure 12.1, for interest, and shifts from one phase of interest devel-
example, suggests that her achievement demands opment to another.
were low. She was in an earlier phase of interest It is provocative, for example, that interest may
development at the beginning of this excerpt from her be more effectively sustained when respondents
autobiography: She was less metacognitively aware can  report that their interest is triggered (e.g.,
and was unresponsive to potential triggers for inter- Harackiewicz et al., 2008). This finding also raises
est. She then shifted to be more metacognitively other questions, for example, Why and when is a
aware of her interest in communication and more potential trigger likely to come to the attention of a
developed in her interest in communication. learner? Are potential triggers for interest the same
Helen’s interest developed outside the school en- in all disciplinary contexts, in naturally occurring
vironment; it could be said to have been a context as well as experimental contexts? Do potential
with low achievement demands and that Anne, her ­triggers (e.g., novelty) hold the same meaning for
tutor, provided appropriate types of support to learners in one versus another phase of interest and
allow her interest to develop. Based on Helen’s at different ages?
­account, she appears to have almost skipped the phase Similarly, findings suggesting that fluctuations in
of maintained situational interest once she made the interest are likely to be caused by learners’ percep-
connection between finger signing and the water, tions or experience of the environment are critical
suggesting that perhaps the maintaining of interest and raise questions for further study. For example,
is an artifact of school-based learning (see similar Are there particular learner characteristics, or con-
findings reported in Renninger & Riley,  2013). figurations of learner characteristics, that contribute
Reflecting on Helen’s case and the overviews of the to how the environment is perceived or experienced
literature provided, we note that Helen is signifi- and whether interest can be expected to develop?
cantly younger than the adolescent learners of the What types of environmental supports are needed
Frenzel et al. (2010) and Pugh et al. (2010) studies. for learners in different phases of interest? What is
This suggests that for Helen, the development of her the role of metacognition in the development of in-
interest in communication was possibly easier than terest and how might it be fostered?
it might have been for an older, more self-conscious We suggest that progress in understanding inter-
student (see Renninger, 2009). est and its development involves not only additional
Questions that also could be considered on the study, but also revisiting the complementarity,
basis of the quadrants of the Punnett square in ­differences, and challenge posed by the review of
Figure 12.1 include the following: whether Helen’s ­existing findings. The Punnett square depicted in
age changes the trajectory of interest development in Figure  12.1 points to relations suggested by this
some way; what difference a context that provided review that are likely and need further elaboration.

220 INTEREST AND ITS DEVELOPMENT, Revisited

These include the relations among the phase of Computers for Mathematical Learning, 11, 57–98. doi:10.1007/
learner interest, achievement demands of the envi- s10758-006-0007-6
Azevedo, F.  S. (2013a). The tailored practice of hobbies and
ronment, and metacognition. its  implication for the design of interest-based learning
environments. The Journal of the Learning Sciences, 22,
Acknowledgments 462–510. doi:10.1080/10508406.2012.730082
We are appreciative of the thoughtful comments we received Azevedo, F. S. (2013b). Knowing the stability of model rockets:
from Jessica E. Bachrach, Heidi M. Kern, and Jong-Seok Lee at An investigation of learning in interest-based practices.
different phases in this chapter; fact-checking and comments Cognition and Instruction, 31, 345–374. doi:10.1080/073700
provided by Kevin J. Pugh and Anne C. Frenzel, the lead authors 08.2013.799168
on the two studies we describe to illustrate study complementar- Barron, B. (2006). Interest and self-sustained learning as catalysts
ity; and editorial support ­ provided by Allison L. Ganett, of development: A learning ecology perspective. Human
William  F.  Kenny, Nadine Kolowrat, and J.  Melissa Running. Development, 49, 193–224. doi:10.1159/000094368
We also gratefully acknowledge funding for work on this chapter Barron, B., Gomez, K., Pinkard, N., & Martin, C.  K. (Eds.).
from a Joel Dean  Faculty–Student Research Grant and the (2014). The Digital Youth Network: Cultivating digital media
Swarthmore College Faculty Research Fund. citizenship in urban communities. Cambridge, MA: MIT Press.
Barron, B., Kennedy-Martin, C., Takeuchi, L., & Fithian, R.
(2009). Parents as learning partners in the development of
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 P A R T 
4
Goals and Motivation
 CH A PT ER

13 Achievement Goals

Kou Murayama and Andrew J. Elliot

Abstract

This chapter describes the achievement goal construct’s origins and highlights noteworthy
developments in the literature. Specifically it describes how the original dichotomous model of
achievement goals developed into the modern trichotomous, 2 × 2, and 3 × 2 models of achievement
goals. This historical overview is then used to provide the context for the key theoretical and
conceptual issues surrounding the current achievement goal approach and a discussion of how these
issues have an impact on empirical studies on achievement goals, especially focusing on the
measurement of achievement goals. Finally, the text highlights several emerging lines of research in the
literature. This includes achievement goal complexes, expansion of the competence-based model of
achievement goals (e.g., potential-based achievement goals), and possible methodological improvement
in assessing achievement goals.
Keywords:  achievement motivation, achievement goals, approach–avoidance, competence, theory of
intelligence

Introduction The achievement goal construct was originally

The concept of goals has been central to the study of developed in the late 1970s and is nowadays one of
human achievement motivation. Goals can be the most studied constructs in psychology across a
­defined as a form of self-regulation that guides people wide variety of fields such as education, work, and
toward future-directed aims (Austin & Vancouver, sport. A voluminous number of studies have been
1996; Dweck,  2017; Elliot & Fryer, 2008). Goals conducted to understand the nature of achievement
focus people’s attention and facilitate responses that goals, and the field is still growing. In this chapter,
are compatible with their objectives, thereby pro- we introduce and discuss the construct of achieve-
moting the achievement of desired outcomes or the ment goals by taking a historic approach. We start
avoidance of undesired outcomes. The content of by presenting a history of the achievement goal
people’s goals varies widely, and researchers studying ­construct, showing how the concept of achievement
the antecedent and consequences of goals have goals has been conceived and developed (for a more
­categorized goals by specific features or common detailed overview, see Elliot, 2005; Elliot & Hulleman,
themes to compare goals across different domains. 2017). We then use this historical overview to provide
One goal category that has received considerable the context for the key theoretical and empirical
attention is that of competence, which has given issues surrounding the current achievement goal
rise to the achievement goal literature (Duda, 2005; literature conceptualization and measurement of
­
Elliot, 2005; Elliot & Hulleman, 2017; Kaplan & achievement goals. As the reader will see, the con-
Maehr,  2007; Meece, Anderman, & Anderman, struct of achievement goals has evolved considerably
2006; Senko, Durik, & Harackiewicz, 2008; Senko, over the past 40 years, and our aim is to demonstrate
Hulleman, & Harackiewicz, 2011). the importance of adopting a historical perspective

229
to accurately understand the achievement goal Elliott, 1983; Nicholls, 1984): It distinguishes b­ etween
­construct and the nature of current theoretical and two different classes of achievement goals (i.e.,
empirical issues. After discussing these key issues, ­dichotomous model ). For example, Dweck proposed
we then turn to several emerging and promising lines the distinction between learning goals and performance
of research (e.g., goal complexes) for future work on goals. Nicholls put forth the distinction between task
achievement goals.1 involvement and ego involvement. Others proposed
similar distinctions (e.g., competitive vs. individual-
Historical Overview istic goal structures discussed by Ames), but we will
The achievement goal construct is the product of focus on Dweck’s and Nicholl’s d ­ istinctions because
several different lines of research that were conducted they particularly influenced the development of the
by different researchers influencing each other. In achievement goal construct.
other words, unlike typical theories in psychology,
the achievement goal construct does not have a Dweck’s Conceptualization
single theoretical origin but emerged as the mixture Dweck conceived the achievement goal construct
of different lines of thought. Indeed, these different through her earlier work that examined children’s
lines of research initially did not even use the term behavior and verbal reports in response to task feed-
achievement goals. In this sense, it may not be back (Diener & Dweck, 1978, 1980; Dweck, 1975;
­appropriate to call the framework of achievement Dweck & Reppucci,  1973). These studies found
goals achievement goal theory; rather, it is best termed that children can be classified into two different
theories of achievement goals or the achievement goal types according to how they respond to the experi-
approach (Elliot, 2005). ence of failure feedback: Helpless children, who
­exhibit a pattern of maladaptive responses such as
Dichotomous Model decrements in expectancies, persistence and perfor-
The original contributors of the achievement goal mance, increased negative affect, and the attribution
construct include Carole Ames, Carol Dweck, of failure to the lack of ability, and mastery children,
Marty Maehr, and John Nicholls; they worked on who exhibit an adaptive and persistent pattern of
independent research programs at the University of responses such as enhanced expectancies, persistence,
Illinois. In the fall of 1977, they started regular sem- and performance, increased positive affect, and the
inars on achievement motivation at the Institute for attribution of failure to the lack of effort. Dweck
Child Behavior and Development in the Children’s was interested in identifying the underlying root of
Research Center (Elliot,  2005; Roberts,  2001). these distinct response patterns because the causal
These meetings produced a series of papers (Maehr attribution and achievement motive approaches,
& Nicholls, 1980; Nicholls & Dweck, 1979), and it which were the predominant traditions at the time,
is these papers that provided the initial, founda- seemed unable to explain such individual differences.
tional ideas of the construct of achievement goals. For example, causal attribution theory indicates
It should be noted that research on achievement that children would experience decreased feelings of
motivation in the 1970s was heavily influenced competence (expectancy) and self-esteem when they
by  the causal attribution tradition (Weiner,  1985; attribute their failure to an internal and stable cause
Weiner, Heckhausen, & Meyer,  1972; Weiner & (i.e., ability), but there was not much work that
Kukla, 1970) and the achievement motive tradition ­examined what factors contributed to this maladap-
(Atkinson & Raynor, 1978; McClelland, Atkinson, tive attributional pattern. In contrast, achievement
Clark, & Lowell,  1976). At that moment, the motive research focused on individual differences in
­researchers noticed some weaknesses and limitations achievement settings but overemphasized (relatively
of these predominant theoretical frameworks, and stable) dispositions and tended to overlook the role
their theoretical developments on achievement goals of the cognitions and beliefs that people have in
construct can be viewed as an attempt, in part, to achievement situations (Dweck & Wortman, 1982).
address these limitations (Murayama, 2003). It is in that context that Dweck focused on the
Early work on the achievement goal construct role of goals to explain the differential response pat-
has a common feature (e.g., Ames, 1981; Dweck & terns of children (i.e., helpless pattern and mastery
pattern) in response to a failure experience (Dweck,
1
  This chapter draws on basic structure and content from the
1986, 1999; Dweck & Leggett, 1988). Dweck pro-
first edition (Murayama, Elliot, & Friedman, 2012), but includes posed that two different types of goals, leaning goals
revised and new material, as well as original material. and performance goals, are the critical factors that

230 ACHIEVEMENT GOALS

predict children’s helpless and mastery patterns after which led to the idea of achievement goals, is that
experiencing failure feedback. Specifically, learning ability is interpreted differently by different children
goals refer to people’s purposeful beliefs and cogni- (Nicholls,  1983). Although the concept of ability
tions that achievement pursuits are opportunities to had been the core of the achievement motivation
learn and increase their competence. Children who literature at the time, both the causal attribution
adopt learning goals also consider failure important and the achievement motive traditions had failed to
information to improve future learning, not evi- consider the possibility that ability may be construed
dence of the lack of ability. As a result, children with in different ways. However, Nicholls’s work indicated
learning goals tend to show increased effort and that there are two fundamentally different views of
maintain positive affect in response to failure feed- how ability is construed among children and chil-
back, which is consistent with a mastery response dren’s conceptualization of ability changes over de-
pattern. On the other hand, performance goals refer velopment (Jagacinski & Nicholls, 1984, 1987;
to people’s purposeful beliefs and cognitions that Nicholls, 1976, 1978, 1980). Most children have an
achievement pursuits pose a situation to demon- undifferentiated view of ability in their early stage of
strate their competence or lack of incompetence, development, meaning that they do not completely
rather than a learning opportunity. Children who distinguish between ability and effort. For those
adopt performance goals consider failure evidence children, exerting high effort indicates possessing
that their ability is not sufficient and the failure will high ability and, as a consequence, they tend to use
be repeated in the future. As a result, children with self-referential standards to evaluate competence.
performance goals tend to show decreased effort Children then later acquire a differentiated view of
and increased negative affect, which is consistent with ability (by roughly the age of 12), meaning that
a helpless response pattern. Several empirical studies they then distinguish between ability and effort and
provided support for this theoretical prediction view them as complementary to achieve success.
(Elliott & Dweck, 1988; Smiley & Dweck, 1994). Importantly, for those children, exerting high effort
Another important contribution of Dweck’s work may pose a threat to their self-concept because the fact
is her emphasis that these two types of goals are that a person requires substantial effort to succeed
­preceded by one’s implicit theories of intelligence, implies that the person has low ability (i.e. incom-
which consist of two forms. Entity theory refers to a petent), and as a consequence, these children tend
person’s naive belief that ability or intelligence is to use an other-referential standard to demonstrate
innate, stable, and difficult to change by effort, competence.
whereas incremental theory refers to a person’s naive One of the remarkable and interesting features of
belief that ability or intelligence is malleable and Nicholls’s theory is his argument that adolescents
changeable by exerting effort. Dweck indicated that and adults can have either an undifferentiated or a
incremental theory of intelligence is one of the differentiated view of ability, and these different
primary sources of learning goals, whereas entity
­ views would lead to different achievement-related
theory of intelligence is one of the primary sources behavior (Nicholls, 1984, 1989). On the one hand,
of ­ performance goals (Dweck,  1986). This idea individuals who adopt an undifferentiated view of
received some empirical support (Bempechat,
­ ability are posited to be in a state of task involvement
London, & Dweck, 1991; Cury, Elliot, da Fonseca, and value effort and learning, because these indi-
& Moller, 2006). Taken together, Dweck’s work viduals consider effort equivalent to learning and
characterizes achievement goals as proximal predic- value self-improvement. On the other hand, indi-
tors of responses to failure that are influenced by a viduals who adopt a differentiated view of ability are
person’s implicit theories of competence. In later posited to be in a state of ego involvement and focus
years, Dweck’s work has centered on implicit theo- on minimizing effort to outperform others to dem-
ries of intelligence (­relabeled mindsets; Dweck, 1999) onstrate their competence. Task and ego involvement
rather than achievement goals, but the distinction were posited by Nicholls to interact with perceived
between learning goals and performance goals had a ability in predicting processes and outcomes. For
considerable influence on subsequent development example, ego involvement was said to lead to the
of the achievement goal construct. selection of moderately challenging tasks when
­accompanied by high perceived ability (an adaptive
Nicholls’s Conceptualization response), but was said to lead to the selection of
Nicholls conducted a series of studies that examined very easy or very difficult tasks when accompanied
how children conceptualize ability. His main insight, by low perceived ability (a maladaptive response).

MURAYAMA AND ELLIOT 231

Ames’s Integration 1998), persistence (Elliott & Dweck,  1988), and
Although the origins are different, there are simi- adaptive help-seeking (Butler & Neuman,  1995;
larities in the conceptualization of achievement goals Newman,  1998; Ryan & Pintrich,  1997). In sum,
proposed by Dweck and Nicholls. Notably, within mastery goals were shown to lead to a host of
each theory, one goal (learning/task) is characterized ­adaptive outcomes.
in terms of developing ability and seeking task The consequences of performance goal adoption
­mastery, whereas the other (performance/ego) is were less clear. Many theorists argued that perfor-
characterized in terms of demonstrating ability mance goal adoption is associated with negative,
through normative competence. Both performance maladaptive outcomes because of its inherent
goals and ego involvement also include the compo- focus on outperforming others (e.g., Ames, 1992;
nent of social approval and/or self-presentation. Both Urdan, 1997). Empirical findings, however, did
distinctions identify goals that yield fairly compara- not provide clear support for this assumption. For
ble outcomes, especially in that the adoption of example, some research revealed nonsignificant or
performance goals/ego involvement was hypothe- even positive relations with adaptive outcomes
sized to lead to a helpless pattern (e.g., decreased (Koestner, Zuckerman, & Koestner, 1987; A. Miller
effort, increased negative affect) when the percep- & Hom,  1990; Sansone, Sachau, & Weir,  1989).
tion of ability is low. In contrast, learning goals/task For example, Pintrich and Garcia (1991) reported a
involvement were hypothesized to maintain a mas- positive relation between performance goals and
tery pattern even when people experienced failure self-efficacy. Meece, Blumenfeld, and Hoyle (1988)
(i.e., when the perception of ability is low). also showed a positive relation between performance
This convergence was not limited to the work of goals and metacognitive strategies. In addition, in
Dweck and Nicholls. Although not discussed in some experimental studies, performance goals were
detail here, similar dichotomies were proposed by shown to influence positive outcomes for some
other achievement goal theorists, such as Maehr types of individuals (Harackiewicz & Elliot, 1993;
(Maehr, 1983), Ames (Ames, 1984), and Covington Harackiewicz & Sansone, 1991).
(Covington & Omelich, 1984). By the late 1980s, a
wealth of empirical work had emerged supporting the Approach–Avoidance Distinction:
idea that different achievement goals predict distinct Trichotomous and 2 × 2 Models
achievement-related outcomes, yet researchers were To help resolve ambiguities surrounding the
using different (albeit overlapping) terminologies to consequences of performance goals and further
­
describe these effects. refine the mastery–performance distinction, Elliot
Noting the conceptual similarities, Ames and and colleagues (Elliot & Church,  1997; Elliot &
Archer (1987, 1988) argued that the literature could Harackiewicz, 1996) introduced a new perspective,
be unified into a single framework that distinguishes the approach–avoidance distinction. The approach–
between two types of goals: mastery and performance. avoidance distinction refers to focusing on approach-
This was a milestone event—the introduction of an ing a positive possibility (e.g., success) or avoiding a
integrative framework that combined lines of re- negative possibility (e.g., failure). Although the
search related to achievement goals. Consequently, approach–avoidance distinction had been largely
­
researchers have largely adopted Ames and Archer’s ignored in the literature of achievement goals, there
(1987,  1988) terminological recommendation of was a long line of researchers and theorists early
mastery and performance goals, and research on in the study of achievement motivation who under-
achievement goals burgeoned thereafter. scored the importance of this distinction. For
Early empirical work revealed a relatively clear ­example, Lewin and colleagues’ (Lewin, Dembo,
and consistent picture of the consequences of m ­ astery Festinger, & Sears, 1944) theory of resultant valence
goal adoption. Mastery goals were shown to lead to incorporated the desire for success and the desire to
positive processes and outcomes, such as task value avoid failure as the two primary independent moti-
and self-efficacy (Pintrich & DeGroot, 1990; Pintrich vational orientations. Similarly, McClelland posited
& Garcia, 1991), deep-processing learning strategies that the approach–avoidance distinction constitutes
(Kaplan & Midgley,  1997; Nolen,  1988; Nolen & two different types of achievement motivation
Haladyna,  1990), self-regulated learning strategies (McClelland, 1951). Atkinson introduced his classic
(Bouffard, Boisvert, Vezeau, & Larouche, 1995; need achievement theory, a mathematical framework
Middleton & Midgley, 1997; R. B. Miller, Greene, that designated the desire to approach success and the
Montalvo, Ravindran, & Nicholls,  1996; Wolters, desire to avoid failure as the primary parameters that

232 ACHIEVEMENT GOALS

fundamentally influence the pattern of achievement higher grades). Performance-approach goals seem to
behavior (Atkinson, 1957). be linked to less positive outcomes than mastery goals,
The approach–avoidance distinction has been but in some cases, mastery goals and performance
not only incorporated within the literature of goals were related to distinct positive outcomes
achievement motivation, but also discussed in a (e.g., mastery goals were more positively related to
wide range of other areas, even beyond psychology. intrinsic motivation whereas performance-approach
As Elliot (1997) reviewed in detail, these areas in- goals were a positive predictor of exam grades; Elliot
clude traditional behavioralism (e.g., Hull,  1943; & Church,  1997). This pattern of findings was
Skinner,  1953), developmental psychology (e.g., ­observed in both experimental and correlational
Bowlby, 1969), personality and social psychology studies. Clearly, the approach–avoidance distinction
(e.g., Eysenck,  1967; Gray,  1987; Higgins,  1997), greatly helped explain the heterogeneous findings
decision-making science (e.g., Kahneman & Tversky, on performance goals observed in previous research.
1979), and neuroscience (e.g., Davidson, 2000;
Rolls, 2005). Given the prevalence of the approach– 2 × 2 Model of Achievement Goals
avoidance distinction throughout psychology, it is Elliot and colleagues (Elliot, 1999; Elliot & McGregor,
not surprising that its application to the achievement 2001; see also Pintrich,  2000) then extended the
goal literature has proven highly generative. ­approach–avoidance distinction to mastery goals,
resulting in a 2 × 2 achievement goal model com-
Trichotomous Model of Achievement Goals posed of mastery-approach, mastery-avoidance,
Initially, the approach–avoidance distinction was performance-approach, and performance-avoidance
applied to performance goals to help explain incon- goals (Figure 13.1). A key feature of the 2 × 2 model
sistent findings related to the consequences of per- was the addition of mastery-avoidance goals, which
formance goal adoption. Elliot and Harackiewicz refer to striving to not do worse than before or not
(1996) separated the conventional performance failing to master a task (e.g., “My goal is not to do
goal construct into conceptually independent worse than before” or “My goal is to avoid not mas-
­approach and avoidance goals, introducing three tering a task”). Extant empirical work on mastery
distinct achievement goals composed of mastery, goals at that time focused exclusively on the approach
performance-approach, and performance-avoidance aspect of mastery goals (i.e., approaching success),
goals (i.e., the trichotomous model of achievement which were termed mastery-approach goals (e.g.,
goals). Performance-approach goals refer to striving “My goal is to do better than before” or “My goal is
to attain positive outcomes relative to others (e.g., to master a task” within the 2 × 2 framework).
“My goal is to perform better than others”), whereas It is possible that researchers had overlooked
performance-avoidance goals refer to striving to mastery-avoidance goals at the time because
avoid negative outcomes compared to others (e.g., ­mastery-avoidance goals appear to be less prevalent
“My goal is to avoid doing poorly comparing to than other achievement goals (mastery approach,
others”). The mastery goal construct stayed the same
in the dichotomous and trichotomous models. Definition
Importantly, distinguishing between performance-
Absolute/
approach goals and performance-avoidance goals Intrapersonal
Normative
(performance)
helped elucidate when performance goals were most (mastery)
likely to have adaptive or maladaptive consequences.
Reanalyses of extant data (Elliot & Moller, 2003; Positive Mastery- Performance-
(approaching approach approach
Harackiewicz, Barron, Pintrich, Elliot, & Thrash, success) goal goal
2002; Rawsthorne & Elliot, 1999), as well as new em-
Valence
pirical data, showed similar findings (Elliot & Church,
Negative Mastery- Performance-
1997; Elliot, McGregor, & Gable, 1999; Middleton (avoiding avoidance avoidance
& Midgley,  1997; Skaalvik,  1997; Vandewalle, failure) goal goal
1997). Performance-avoidance goals were linked to
maladaptive learning behaviors and o­utcomes
Figure 13.1  The 2 × 2 achievement goal model.
(e.g., ­disorganized study strategies, lower grades,
Definition and valence represent the two dimensions of
lower intrinsic motivation), whereas performance-­ competence. Absolute/intrapersonal and normative represent the
approach goals were linked to several positive two ways that competence may be defined; positive and negative
­behaviors and outcomes (e.g., effort, p ­ ersistence, represent the two ways that competence may be valenced.

MURAYAMA AND ELLIOT 233

performance approach, and performance avoidance) Three standards may be considered to define com-
in many achievement-relevant situations. However, petence: an absolute standard (the requirements of
we can think of certain situations where mastery- the task itself ), an intrapersonal standard (one’s own
avoidance goals play an important role. For example, past attainment or maximum potential attainment),
as a person’s physical and mental skills begin to de- and a normative standard (the performance of others).
cline, the person may shift his or her focus to “not That is, competence may be evaluated against an
losing important abilities.” Indeed, de Lange, van ­absolute standard according to one’s mastery of a
Yperen, van der Heijden, and Bal (2010) showed task, against an intrapersonal standard according to
higher endorsement of mastery-avoidance goals in one’s personal trajectory, or against an interpersonal
older adults than in younger adults. Similarly, athletes standard according to one’s attainment relative to
may also be prime candidates for mastery-avoidance others. When adopting mastery goals, individuals
goal adoption. When athletes reach their peak level evaluate their competence against an absolute/intra-
of performance, they may begin to focus on not per- personal standard (i.e., “Am I mastering the task?”
forming worse than they have performed to date. “Am I doing better than the past?”). Here, absolute
Factor analytic studies confirmed the validity of the and intrapersonal standards are considered jointly
2 × 2 structure of achievement goals (Elliot & because they share some conceptual similarities (but
McGregor, 2001; Elliot & Murayama, 2008; Finney, they will be considered separately later). On the other
Pieper, & Barron,  2004), and cross-cultural work hand, when adopting performance goals, individuals
was also largely supportive (Murayama, Zhou, & evaluate their competence against an interpersonal
Nesbit,  2009). Research has shown that mastery- standard (i.e., “Am I doing better than others?”).
avoidance goals are related to fewer adaptive variables As such, this definition aspect of competence maps
than mastery-approach goals (e.g., incremental theory well onto the distinction between mastery and per-
of intelligence; Cury et al., 2006; need for achieve- formance goals.
ment, Elliot & Murayama, 2008), but research also Competence is also valenced according to
showed that they are related to some maladaptive whether it focuses on positive outcomes (i.e., com-
variables (e.g., task anxiety; Bong, 2009; Putwain & petence or success) or (avoidance of ) negative
Daniels,  2010; attachment anxiety; Elliot & Reis, ­outcomes (i.e., incompetence or failure). Approach
2003; procrastination; Howell & Watson, 2007). and avoidance achievement goals are considered
Some studies also indicated that mastery-avoidance different based on how competence is valenced
goals may be adaptive for those predominantly en- (i.e., whether competence is focused on approaching
gaging in loss-prevention goals (e.g., older adults; positive outcomes or avoiding negative outcomes).
Senko & Freund, 2015). In other words, ­approach goals represent a positive
commitment to competence, whereas avoidance
Competence as the Integral Element of goals represent a negative concern regarding in-
Achievement Goal Constructs competence. These two aspects of competence are
The key feature of the 2 × 2 framework is to describe combined to form the four different types of goals
achievement goals as a cognitive aim regarding com- represented in the ­aforementioned 2 × 2 framework,
petence and to classify different types of achieve- which consists of m ­ astery-approach, mastery-
ment goals based on how the competence is defined avoidance, performance-approach, and performance-
and valenced (Elliot & Murayama, 2008; Elliot & avoidance goals (Figure 13.1).
Thrash,  2001). Elliot and colleagues (Elliot & It is worth noting that this competence frame-
McGregor, 2001; Elliot & Thrash, 2001) argued that work not only is useful to provide strong theoretical
mastery goals and performance goals can be distin- justification for the 2 × 2 model of achievement
guished according to how competence is ­defined goals, but also clarifies what types of goals we should
(i.e., definition of competence), whereas a­ pproach and or should not consider types of achievement goals.
avoidance goals can be distinguished according to In fact, before the trichotomous model was proposed,
how competence is valenced (valence of competence). a number of theorists introduced additional goal
Competence is defined by the standard or referent constructs to the established mastery-performance
that is used in evaluating it. In a certain situation, and approach-avoidance dichotomies (for early
some people may feel competent but others may not. ­examples, see Maehr & Braskamp, 1986; Maehr &
This is because the definition of competence differs Nicholls, 1980). These goals included work-avoidance
among people and thus is evaluated differently. goals, extrinsic goals, and social goals (see Urdan,

234 ACHIEVEMENT GOALS

1997, for a review). The dichotomous framework been made to clarify the fact that this dimension
had difficulty in judging whether we should include specifies the standard against which competence is
these goals as achievement goals, because it only defined (i.e., self, task, or others), because the terms
provided the conceptual definition of (or distinction mastery and performance include slightly different
between) mastery goals and performance goals, but connotations (as discussed later).
it did not provide the overarching conceptualization Empirical research has shown support for the
of what achievement goals are. However, setting structural aspect of the 3 × 2 model. Specifically,
competence as the conceptual core of the achievement factor analytic work revealed the factorial validity of
goal construct provides clear guidelines for evaluat- the 3 × 2 model of achievement goals (Elliot et al.,
ing additional achievement goal candidates. More 2011; Mascret, Elliot, & Cury, 2015; Urbán, Orosz,
specifically, according to this idea that achievement Kerepes, & Jánvári, 2014). Some studies also showed
goals represent people’s striving for competence that the new part of the model, task-based and self-
(which can be differently defined and valenced), based goals, predicts differential outcomes in both
achievement goals must be focused on competence. approach and avoidance forms (Diseth, 2015; Elliot
Although there is no doubt that work-avoidance et  al., 2011; Gillet, Lafrenière, Huyghebaert, &
goals, extrinsic goals, and social goals are prevalent Fouquereau, 2016; Mascret, Elliot, & Cury, 2017).
in achievement-relevant situations (especially in Another line of research has also shown that personal
educational contexts), as Elliot (1999) argued, none best goals (i.e., goals that focus on outperforming
of these goals focuses on a competence-based striving one’s previous best; Martin,  2006) have different
per se. For example, work-avoidance goals represent correlates than task-based goals, in both survey and
escape from commitment to a task. Therefore, the experimental studies (Martin & Elliot, 2016a, 2016b).
emphasis of work avoidance is not on achieving Personal best goals are analogous to self-approach
competence or avoiding incompetence. As such, these goals (although they also focus on the future poten-
goals should not be considered achievement goals. tial of a person) and thus are a good conceptual fit
For similar reasons, extrinsic goals and social goals with the 3 × 2 model of achievement goals. Further
should not be counted as new types of achievement validation of this achievement goal framework
goals (but see also Ryan & Shim, 2006, 2008, for merits future inquiry.
goals that focus on social competence).
Conceptual Issues in Achievement Goals
3 × 2 Model of Achievement Goals One peculiar aspect of achievement goal literature is
The 2 × 2 conceptualization of achievement goals that researchers have defined achievement goals in
also suggests a systematic extension of the achieve- somewhat different ways (Elliot & Thrash,  2001;
ment goal framework. As noted earlier, within the Kaplan & Maehr, 2007), making it difficult to pro-
definition of mastery goal in the competence-based vide a consensual definition of achievement goals.
framework, competence is defined in terms of suc- This conceptualization issue of achievement goals
cess relative to either an absolute (task-based) or an can be understood in light of the historical back-
intrapersonal standard. Elliot, Murayama, and ground that we have discussed thus far. Our historic
Pekrun (2011) proposed a theoretical extension by overview showed that the achievement goal con-
separating these absolute and intrapersonal stan- struct originated from different types constructs and
dards, resulting in a 3 × 2 framework comprising six has experienced a few important shifts in its concep-
types of achievement goal: task-approach goals (“do tualization. The first shift is Ames’s integration of
a task well”), task-avoidance goals (“avoid doing relatively independent lines of research (e.g., Dweck,
poorly on a task”), self-approach goals (“do better Nicholls, Maehr, Ames, and Covington), which
than before”), self-avoidance goals (“avoid doing contributed to the formation of a coherent field of
worse than before”), other-approach goals (“do better achievement goals research. The second shift is a
than others”), and other-avoidance goals (“avoid series of refinements and elaborations of achievement
doing worse than others”). Note that this new goal constructs by Elliot and his colleagues, which
framework abandoned the old and popular terminol- identified comprehensive sets of achievement goals
ogy in the literature—mastery and performance with greater theoretical clarity (2 × 2 and 3 × 2 models
goals (mastery goals are bifurcated into task-based of achievement goals). These shifts elucidated dif-
and self-based goals; performance goals are relabeled ferent ideas of how achievement goals are best con-
as other-based goals). This terminological shift has ceptualized and defined.

MURAYAMA AND ELLIOT 235

Conceptualizing Goals in does not allow researchers to differentiate anteced-
Achievement Goals ents and consequences from achievement goals per se.
Think about how goals are defined in the literature Several refinements and elaborations by Elliot and
on achievement goals. Elliot (2005) identified three colleagues provided a more focused and fine-grained
different conceptualizations of goals in the literature conceptualization of achievement goals. Specifically,
on achievement goals. Early researchers described Elliot and colleagues explicitly defined achievement
achievement goals in terms of the purpose for which goals as cognitive aims or goals regarding competence
a person engages in achievement behavior (Dweck, (Elliot & Fryer, 2008; Elliot & Thrash, 2001). This
1986; Nicholls,  1989). This conceptualization is conceptualization of achievement goals is a departure
straightforward because it intuitively refers to the from the predominant achievement goal orientation
purpose that individuals have when they are engag- approach at the time, emphasizing that achievement
ing in achievement-related behavior. However, what goals are goals (per se), not other achievement-­
was less clear from the original approach is that the relevant variables. Unlike the ­approach taken by
operative word in this definition, purpose, has two early researchers, this definition also underscores
meanings. According to the Random House Dictionary the importance of dissociating ­reasons from goals,
of the English Language (1993), the word purpose can drawing a clear conceptual distinction between the
be defined in two primary ways: as “the reason for two constructs. Note that this definition of achieve-
which something exists or is done, made, used, etc.” ment goals never meant that reasons are not impor-
and “an intended or desired result; end; aim; goal.” tant or are less important than goals. This approach
As such, researchers who adopted this approach have simply indicates that reasons and goals may play dif-
implicitly employed a combination of both meanings ferent roles in achievement-relevant behavior and
simultaneously. That is, for the early researchers, the should be treated separately. Indeed, as discussed
term achievement goal was used as both the reason later, a new emerging line of research called achieve-
for behavior in an achievement situation (e.g., the ment goal complexes has ­ revealed the potential
development or demonstration of ability) and the dynamic interaction between goals and reasons
­
aim or outcome that is sought in an achievement ­underlying achievement-­relevant behavior.
situation (e.g., normative ability or self-referential
ability). Measurement Issues
In the 1990s, researchers tended to characterize The conceptualization issue has considerable impli-
achievement goals more broadly (Elliot, 2005)—as cations for empirical studies on achievement goals.
a broad set of coherent achievement-relevant beliefs Since the late 1980s, achievement goals have been
and feelings about success, effort, ability, errors, examined mainly using self-report questionnaires,
feedback, standards of evaluation, etc. (Ames, 1992; and several versions of self-reported achievement
Kaplan & Maehr, 2007; Pintrich, 2000). This com- goal measures have been used in different areas of
prehensive account—often called achievement goal psychology. Some have focused on the mastery–­
orientation—unified many achievement-relevant vari- performance distinction alone, whereas others have
ables into a single organizational system. This idea focused on both the mastery–performance and the
of achievement goal orientation emerged through approach–avoidance distinctions (for reviews, see
the conceptual integration of Ames and Archer Elliot & Murayama, 2008; Fulmer & Frijters, 2009;
(1987, 1988). In the process of mapping similar but Huang, 2012; Kaplan & Maehr, 2007). The use of
slightly different types of constructs onto two types different measurement tools is important because
of achievement goals (i.e., mastery goals and perfor- not all achievement goal measures are created equal;
mance goals), the conceptual space of achievement different measures tend to reflect distinct theoretical
goals inevitably expanded, resulting in a convenient, backgrounds. However, this also means that we must
but obscure, omnibus conceptualization of achieve- accurately understand the concept that each of the
ment goals. This approach is useful to understand a measurements is purported to assess in our empirical
broad set of achievement-relevant variables in relation investigation of achievement goals: Given the diverse
to achievement goals, but one obvious limitation is theoretical and historical backgrounds in the litera-
a lack of conceptual clarity. Because this definition ture, measurements of achievement goals may be
includes a collection of variables, it is difficult to using the same labels for different constructs.
identify exactly which aspect of the achievement For example, as discussed earlier, some research
goal construct is responsible for any hypothesized or construes the achievement goal construct as an
observed effects. This definition of achievement goals omnibus combination of variables reflecting an
­

236 ACHIEVEMENT GOALS

i­ntegrated pattern of beliefs and feelings. Accordingly, found that performance-approach goals and perfor-
those who subscribe to this view utilize assessments mance outcomes are positively correlated when the
that combine several distinct components of measurement predominantly focuses on normative
achievement goals into a single measure. For exam- comparison (e.g., “My goal in this class is to do
ple, in some measures, items assessing performance-­ better than others,” Elliot & McGregor,  2001),
approach goals often combine an element of whereas this relation turned to be negative when
demonstrating competence with an element of
­ measurement predominantly focuses on appearance
­outperforming a normative standard. Indeed, the (“It is important to me to validate that I am smart,”
original version of the Patterns of Adaptive Learning Grant & Dweck, 2003) or evaluative (e.g., “I like to
Scale (Midgley et al., 1998), a widely used measure show my teacher that I’m smarter than other
in educational psychology, included the item, “I’d kids,” Midgley, Arunkumar, & Urdan, 1996) items.
like to show my teacher that I’m smarter than the Furthermore, performance-approach goal items that
other students,” which clearly emphasized the aspects do not explicitly focus on goals (e.g., “I feel success-
of both demonstrating competence and outper- ful if I show people I’m smart,” Nicholls, Patashnick,
forming against a normative standard (see also Button, & Nolen, 1985) are not correlated with these out-
Mathieu, & Zajac, 1996; Roberts & Treasure, 1995). comes. It is also worth noting that a substantially
Alternatively, some performance goal scales focus large proportion of items that they investigated
only on demonstrating competence and do not in- (e.g., 42% of mastery-approach goal items) did not
clude a normative standard (e.g., Vandewalle, 1997; reflect language that explicitly corresponded to their
Zweig & Webster, 2004). Interestingly, some meas- definition of goals, indicating that there is consider-
ures include items that do not focus on goals at all able heterogeneity in the constructs actually assessed
but attend to other aspects of achievement. This is in empirical studies. Some may find it strange that
particularly clear in some measures of task involve- many achievement goal items do not directly address
ment and ego involvement, which often have a goals although they are part of measures explicitly
common stem like “I feel most successful when . . .” labeled goals, but this situation can be understood
or “I feel really pleased when . . .” (Duda,  1989; in light of the historical trajectory of the constructs
Duda, Chi, Newton, Walling, & Catley,  1995; that we discussed earlier.
Duda & Nicholls,  1992; Nicholls, Cobb, Wood, We do not argue that there is a single best scale of
Yackel, & Patashnick,  1990; Nolen, 1988). Such achievement goals, but we should be aware of the fact
wording can be viewed as asking for respondents’ that measurement matters. The choice of achievement
definitions of success rather than their goals per se. goal measure depends on one’s theoretical back-
In addition, some other measures include items that ground, and ultimately, researchers must be attentive
focus on the value of certain outcomes or experi- to the correspondence between how goals are con-
ences (e.g., “Doing better than others is important ceptualized and how they are operationalized within
for me”; Bouffard et  al., 1995), affective elements a given assessment device. For example, Elliot and
(e.g., “I enjoy it when when others at work are aware Murayama (2008) developed a 2 × 2 measure
of how well I am doing”; Vandewalle,  1997), and ­labeled the Achievement Goal Questionnaire Revised,
failure-related thoughts (e.g., “My fear of perform- which eliminates goal-irrelevant features, such as
ing poorly in this class is often what motivates me”; motives and affect, and specifically focuses on tap-
Elliot & McGregor, 2001). It is worth noting that in ping cognitive aims. The scale is specifically aligned
many cases these are the idiosyncratic features of with the conceptualization of the competence-based
individual items, and a specific achievement goal 2 × 2 model of achievement goals. When interested
subscale (e.g., a performance-approach goal subscale) in assessing the influence of the standard or valence
often includes more than one different element of competence in achievement goals on outcomes,
­described above. Therefore, when a researcher obtains the Achievement Goal Questionnaire Revised would
a correlational result with such a subscale, it is difficult provide a good fit between the research question
to pin down the exact components that contributed asked and the empirical measurement tool.
to the observed relation.
Hulleman, Schrager, Bodmann, and Harackiewicz Emerging Research in Achievement Goals
(2010) conducted a meta-analysis that showed how Research on achievement goals has been prolific. In
these different phrasings of the measurements influ- fact, there are more than 10 published meta-analyses
enced empirical findings. In short, their conclusion specifically focusing on achievement goal constructs
is that measurement matters. For example, they (Baranik, Stanley, Bynum, & Lance,  2010; Cellar

MURAYAMA AND ELLIOT 237

et  al., 2011; Huang,  2011,  2012; Hulleman et  al., goals are socially desirable. Sommet and Elliot
2010; Lochbaum & Gottardy,  2015; Payne, (2017) proposed a new methodology that can help
Youngcourt, & Beaubien, 2007; Senko & Dawson, in examining the effects of goal complexes (i.e.,
2017; van Yperen, Blaga, & Postmes,  2014,  2015; goal–reason combinations) independent of the goal
Wirthwein, Sparfeldt, Pinquart, Wegerer, & effect and the reason effect and found that goal
Steinmayr, 2013; see also Murayama & Elliot, 2012; complexes can explain unique variance in outcome
Rolland, 2012; Wormington & Linnenbrink-Garcia, variables above and beyond goals and reasons only.
2017, for different versions of meta-analysis). In One of the critical strengths of the goal complexes
these abundant empirical studies, not only have approach is that it opens a new door on the long-­
­researchers identified the antecedents and conse- lasting discussion on the adaptiveness of specific
quences of each type of achievement goal, but also achievement goals. As noted earlier, motivation
several interesting research topics have emerged in ­researchers have long debated whether performance-
the field. Because of space limitations, it is not pos- based goal adoption facilitates or impedes achieve-
sible to cover all of these topics in this chapter (for a ment (Brophy, 2005; Midgley, Kaplan, & Middleton,
list of these topics, see Elliot & Hulleman,  2017), 2001; Urdan & Mestas, 2006). The introduction of
but we focus on a few topics herein that we find par- the approach–avoidance distinction (i.e., the tri-
ticularly important in light of the history of theoret- chotomous model of achievement goals) helped
ical development we discussed so far. ­explain the inconsistent findings observed in the
­literature, but researchers have not yet fully agreed
Achievement Goal Complexes on a specific conclusion (Brophy,  2005; Elliot &
As indicated earlier, although not explicitly acknowl- Moller,  2003; Harackiewicz et  al., 2002; Midgley
edged at the time, early researchers considered et al., 2001; Urdan & Mestas, 2006). According to
achievement goals as the combination of both the goal complex approach, however, focusing on
the  reasons and the goals (or aims) that guide goals per se is not sufficient to determine whether
achievement-relevant behavior. More specifically, they lead to adaptive outcomes. Individuals may
when a person is put in an achievement situation, adopt the same goal for fundamentally different rea-
the person is presumed to adopt specific goals (e.g., sons, and their experiences and outcomes may differ
“I want to do better than other people”) for specific as a function of their underlying motivation. For
reasons (e.g., “because I want to demonstrate my example, individuals may strive to outperform others
ability to others”), and achievement goals were because this goal represents an enjoyable challenge,
conceptualized as the amalgam of these constructs. provides meaningful competence information, or
Although this conceptualization of achievement goals provides an opportunity to exercise their skills
was not a central focus in past decades, recent research and  capabilities (autonomous reasons). On the
has seen strong interest in this view. Specifically, an other hand, individuals may pursue performance-
accumulating body of empirical work has revealed approach goals because they feel compelled to dem-
that goals and reasons dynamically i­ntersect with onstrate their abilities, perhaps because they see
each other, highlighting the importance of examin- doing so as a means of obtaining positive regard
ing specific achievement goal–reason combinations from others (extrinsic reasons). When pursued for
rather than treating them separately (i.e., achieve- this reason, performance-approach goals are likely
ment goal complexes; Elliot & Thrash, 2001). to be experienced as stressful and anxiety inducing,
For example, Vansteenkiste, Lens, Elliot, Soenens, and they may lead to less adaptive outcomes
and Mouratidis (2014) reviewed the relevant litera- (Vansteenkiste et al., 2014). Goal complex research
ture and concluded that autonomous reasons (e.g., would greatly benefit from additional work that
“Because I find this a personally valuable goal”) or ­directly and systematically tests the consequences of
control reasons (e.g., “Because I would feel bad, distinct goal–reason combinations.
guilty, or anxious if I didn’t do so”) behind achieve-
ment goals can predict many different affective and Expansion of the Competence-Based Model
cognitive outcomes (e.g., Vansteenkiste et al., 2010; of Achievement Goals
Senko & Tropiano, 2016). Dompnier, Darnon, and One of the strengths of the competence-based
Butera (2009) showed that mastery goals predict model of achievement goals is that it provides
the academic achievement of university students ­systematic guidance to classify different types of
only when they are endorsed for the reason of their achievement goals. Indeed, previous research has seen
social value, as opposed to the reason that these systematic expansion of the types of achievement

238 ACHIEVEMENT GOALS

goals—from the dichotomous model to the trichot- the importance of incorporating this model into the
omous model to the 2 × 2 model to the 3 × 2 model. achievement goal framework.
Further scrutiny of the model reveals other types of These are newly developed expansions, and
achievement goals that may be worth considering. future research is needed to provide empirical
For example, in the 3 × 2 model of achievement ­evidence of the models. Some may argue that such
goals, the definition of competence represents the expansions (including the past expansions such as
standard or reference used to evaluate one’s compe- 2 × 2 or 3 × 2 model of achievement goals) pose an
tence, and three standards were proposed: task unnecessary threat to model parsimony, obscuring
based, self based, and other based. Among them, the core benefit of achievement goal framework (see
self-based goals use one’s own intrapersonal trajec- Brophy, 2005; Kaplan & Maehr, 2007), but we do
tory as the evaluative referent (Elliot et  al., 2011), not think that this is the case. If one considers
but this intrapersonal trajectory can be based on ­competence the core component of achievement-
one’s past (i.e., goals to do better/avoid doing worse relevant behavior, it is essential to understand how
in comparison to one’s past performance) or one’s different conceptualizations of competence influ-
future potential (i.e., goals to do better/avoid doing ence achievement-relevant behavior (Nicholls, 1989).
worse than one could potentially do in the future). It is correct that the expansion of the achievement
The original 3 × 2 model of achievement goals goal approach could increase complexity of this re-
(Elliot et al., 2011) focused entirely on one’s past as search area, but human achievement-related behav-
a reference point to define self-based goals, but a iors are complicated after all—too complex to be
recent study by Elliot, Murayama, Kobeisy, and adequately accounted for by only two types of
Lichtenfeld (2015) noted that self-based goals are achievement goals. We believe that fine-grained
also focused on the future and called for research theorizing about achievement goals is necessary and
that examines the nature of these potential-based represents the way forward to achieve a comprehen-
achievement goals. Potential-based goals can take both sive understanding of the complex dynamics of
approach (e.g., “My goal is to do as well as I can human achievement motivation. We need to add
possibly do on the task”) and avoidance (e.g., “My that we do not argue that any given research on
goal is to avoid doing worse than my very best on the achievement goals should seek to include the broad
task”) forms, and research has shown several corre- set of achievement goals in a single study. Rather, we
lates of these potential-approach goals (Ning, 2017). believe that researchers would do well to focus on a
In early models of achievement goals, researchers subset of goals that best addresses their specific re-
made a distinction between the goal of developing search questions in any given study (e.g., self-­
one’s competence and the goal of demonstrating approach and self-avoidance goals only).
one’s competence to others (Dweck, 1986; Nicholls,
1984). As indicated earlier, this distinction can be Methodological Expansion
seen as a manifestation of certain types of reasons The achievement goal literature has yielded a wealth
behind achievement goals, but Korn and Elliot of interesting findings over the past several decades.
(2016) suggested that this distinction can also be That said, we believe there remains substantial room
considered as different standpoints on competence— for growth in the methodological approaches used
that is, viewing competence from the standpoint of by achievement goal researchers.
developing it or demonstrating it. Korn and Elliot To date, nearly all achievement goal research has
(2016) subsequently crossed the standpoints on focused on between-person covariation, using per-
competence with the valence of competence, forming sons as the unit of analysis (Borsboom, Mellenbergh,
a new 2 × 2 standpoints model of achievement goals & van Heerden,  2003). This focus on between-
with four different types of goals: development-­ person comparisons is limiting, particularly when
approach goals (e.g., “My goal is to increase compe- the rest of personality/social psychology is moving
tence”), development-avoidance goals (e.g., “My goal in the direction of focusing on both between- and
is to avoid a decrease in ability”), demonstration- within-person covariation (Cervone & Shoda, 1999;
approach goals (e.g., “My goal is to demonstrate Hamaker, Dolan, & Molenaar, 2005; Molenaar &
ability”), and demonstration-avoidance goals (e.g., Campbell,  2009). Within-person analyses, which
“My goal is to avoid demonstrating that I lack involve collecting repeated measurements of items
knowledge”). They provided empirical evidence that across time points or situations and computing the
these four types of achievement goals are predictive of covariance of the scores using time points or situa-
different achievement-relevant outcomes, indicating tions as the unit of analysis, allow researchers to

MURAYAMA AND ELLIOT 239

­ irectly investigate how psychological elements vary
d is  to perform better than the other students”
within individuals and interact with each other (see for  ­ performance-approach goals; “My goal is to
Murayama et al., 2017, for a tutorial). Goal pursuit avoid performing poorly compared to others” for
across time and situations, and regulatory shifts ­performance-avoidance goals), making it easy for
therein, can be monitored using within-person response bias to influence participants’ responses. In
analyses, potentially shedding much needed light on fact, using an interview method, Urdan and Mestas
an area about which little is currently known (see (2006) found that participants often responded to
Goetz, Sticca, Pekrun, Murayama, & Elliot, 2016; performance-avoidance goal items with approach
Murayama, Elliot, & Yamagata,  2011; Schantz & explanations, indicating a failure to differentiate
Conroy, 2009). Furthermore, within-person meth- ­approach and avoidance types of goals in response
odologies, such as daily diary studies, can be used to questionnaire items. Similar wording is inevitable,
to test whether the psychological mechanisms because the measurements are purported to differ-
­identified through between-person research can be entiate only one aspect of competence (e.g., valence),
fruitfully extended to the within-person level. holding other aspects constant. As a result, however,
Another limitation is that the vast majority of response bias seems to inflate the correlation between
current studies on achievement goals have relied on the subscales of these achievement goal measures,
self-report questionnaires. Although some studies sometimes to a substantial extent. Murayama et al.
have utilized experimental manipulations, interven- (2011) provided evidence (including statistical simu-
tions, and observational methods, these studies are lations) that high correlations among goal measures
relatively rare (Elliot & Hulleman, 2017; van Yperen, do not pose a major threat to construct validity, but
Blaga, & Postmes,  2015). Self-report measures are researchers should seriously consider alternative
useful to quantify achievement goals and relate to ­assessment methods within or beyond self-report
multiple achievement-relevant constructs with a measures (e.g., implicit assessments) to examine
large number of participants, but they are subject to ­different types of achievement goals independent of
well-known issues such as difficulty in making response bias.
causal inferences. One particular problem is the issue
of response bias. When participants answer a set of Conclusion
questions regarding their motivation, some partici- In sum, the achievement goal construct has provided
pants give high ratings for all the focused-on ques- considerable conceptual and empirical utility over
tions, whereas other participants do the opposite, the past 4 decades. What began with the work of
regardless of the actual types of motivation. These independent researchers has developed into a robust
tendencies may simply reflect their general motiva- collective literature examining the thoughts, attitudes,
tion (i.e., those who are highly motivated give high and behaviors that characterize people’s competence-
ratings for all types of motivation), social desirabil- based pursuits. In the early 21st century, the achieve-
ity (i.e., those who have high social desirability give ment goal construct is utilized within a diverse range
high ratings for all “good” types of motivation), of psychological literatures, including developmental
and/or rating style (e.g., some participants may prefer psychology, educational psychology, industrial–­
giving ratings around a particular rating value). organizational psychology, social–personality psy-
Regardless of their precise nature, such response chology, cross-cultural psychology, and sport/exercise
biases typically lead to overestimates of the correla- psychology. For the achievement goal literature to
tion between variables (Podsakoff, MacKenzie, Lee, continue to grow, however, it must address the next
& Podsakoff, 2003). Indeed, when we collect data generation of research questions that we have high-
on a host of motivation measures (not limited to lighted herein, delivering more insight into the
achievement goals), it is not uncommon to observe ­processes underlying goal pursuit. In this chapter,
generally high positive correlations among self-­ we have identified several exciting opportunities for
report variables (but not behavioral variables). building on existing research, leading us to believe
Importantly, recent research has suggested that that the future of the achievement goal literature is
some measurements of achievement goals are par- bright, with several unanswered empirical questions
ticularly prone to response bias. More specifically, awaiting inquiry.
several scales that are specifically designed to align
with the competence-based model of achievement Future Directions
goals (Elliot & Murayama, 2008; Elliot et al., 2011) • Bear in mind different conceptualizations of
have similar structure and content (e.g., “My goal achievement goals and make appropriate choices

240 ACHIEVEMENT GOALS

regarding measurement that matches the focal empirical foundation. Organizational Behavior and Human
research question. Decision Processes, 67, 26–48.
Cellar, D.  F., Stuhlmacher, A.  F., Young, S.  K., Fisher, D.  M.,
• Examine the many different achievement goal Adair, C.  K., Haynes, S., . . . Riester, D. (2011). Trait goal
complexes that energize and direct individuals’ orientation, self-regulation, and performance: A meta-analysis.
behavior in real-world achievement settings. Journal of Business and Psychology, 26, 467–483.
• Conduct additional research on the expanded Cervone, D., & Shoda, Y. (1999). Beyond traits in the study of
sets of achievement goals (e.g., potential-based personality coherence. Current Directions in Psychological
Science, 8, 27–32.
goals, development-demonstration goals) that have Covington, M.  V., & Omelich, C.  L. (1984). Task-oriented
been proposed recently. versus competitive learning structures: Motivational and
• Integrate broader methodologies to assess/ performance consequences. Journal of Educational Psychology,
manipulate achievement goals. 76, 1038–1050.
Cury, F., Elliot, A. J., da Fonseca, D., & Moller, A. C. (2006).
The social-cognitive model of achievement motivation and
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 CH A PT ER

14 Goal Attainment

Peter M. Gollwitzer and Gabriele Oettingen

Abstract

This chapter begins with a description of how the goal concept emerged in the history of the
psychology of motivation to better understand the important role it plays in current research on
motivation. The chapter then turns to the self-regulation of goal pursuit. The effects and underlying
processes of two different self-regulation strategies will be discussed in detail: mental contrasting and
forming implementation intentions. The chapter concludes with a report of the results of recent
intervention studies that combine the self-regulation strategies of mental contrasting and forming
implementation intentions to help people enhance goal attainment in the health, academic, and
interpersonal domains.
Keywords:  goals, goal contents and framing, mental contrasting, fantasies, obstacles, implementation
intentions, self-regulation strategies, self-control, willpower, behavior change interventions

It is Friday afternoon. On Monday, you must give an Based on learning theory advanced by early
important presentation. Even though you are highly animal psychologists (Hull,  1943; Spence,  1956),
motivated to do an excellent job (i.e., desirability the strength of the tendency to make a response was
and feasibility are high), you did not find the time at first considered a function of an organism’s skills
to prepare during the week. So you set yourself a (or habit strength), its needs, and the incentive
goal to use the weekend to develop an impressive value of the desired outcome. For example, how fast
presentation. But how do you attain this goal? an animal runs toward a box containing food
­depends on its habit strength, its need for food
Goals Versus Motivation (­expressed in hunger), and the quality and quantity
The term motivation is commonly used to explain of the food. With the advance of the cognitive revo-
why a person in a given situation selects one lution in psychology, these determinants of motiva-
­response over another or makes a given response tion, as well as the concept of motivation itself,
with great energization or frequency. Imagine a became more elaborated. Tolman (1932) postulated
person looking for someone else in a crowd. She various mental processes that “intermediate in the
gets excited when she finds that person, and then she causal equation between environmental stimuli
runs toward her. Each of these responses involves and . . . overt behavior” (p. 2). These intermediate
motivation, which can manifest itself cognitively processes entailed concepts of purpose (ends
(e.g., looking), affectively (e.g., excitement), and and  means) as well as expectations (e.g., means
behaviorally (e.g., running). To the question of expectations, end expectations, and means–end
­
what drives motivation, the history of the psychology ­expectations). A few years later, Festinger (1942)
of motivation has offered ever more sophisticated and Atkinson (1957) drew on that work in their
answers. ­research on what motivates humans to select and

247
perform tasks of varying difficulty. They suggested will choose either a very easy or a very difficult task,
that people weigh the incentive value of the d ­ esired which is an effective strategy to avoid shame (because
outcome with the expectancy that it would actu- very easy tasks are likely to be solved and failure on
ally occur. too-difficult tasks can easily be explained by external
Social cognitive learning theorists (e.g., Bandura, factors). Finally, researchers have differentiated
1977) went a step further, factoring in whether one among types of incentives as well (Heckhausen,
feels confident to successfully perform the neces- 1977). For instance, in the realm of achievement,
sary behavior required to arrive at a desired out- anticipation of positive self-evaluations (e.g., “I will
come (efficacy or control beliefs). These theorists do really well!”), positive evaluations by others
also alluded to further relevant expectancies, such (e.g., praise by the teacher or parents), higher order
as whether the situation by itself would produce positive consequences (e.g., successful professional
the desired outcome (Heckhausen, 1977; Mischel, career), and consequences that go beyond achieve-
1973), whether performing a given behavior would ment (e.g., having a good time with coworkers) can
indeed lead to the desired outcome (Bandura, 1977), all motivate people to do well on given tasks.
whether achieving the desired outcome would be Given this differentiation in thinking about the
instrumental to accruing further positive conse- determinants of motivation (i.e., needs, incentives,
quences down the road (Vroom, 1964), whether the and expectancies), one may wonder whether the
desired outcome could be attained (Oettingen, concept of goals is at all needed. In our opinion,
1996), and whether the future in general would be the concept of goals helps the explication of the read-
bright (Abramson, Seligman, & Teasdale,  1978; iness to make a certain response. Ajzen and Fishbein
Scheier & Carver, 1987). (1969) suggested that this readiness should be assessed
Adding these various expectancy-related variables in terms of a person’s intention to make the response.
helped to explicate in more detail the can aspect (or Mischel (1973) went a step further and argued that
feasibility aspect) of the motivation to make a cer- such intentions can be conceived as self-imposed or
tain response: Can the desired outcome be brought assigned goals that imply standards that the person
about? But the cognitive revolution also helped intends to meet (with respect to quality and quantity
to explicate the want aspect (or desirability aspect) criteria). Doing so allows asking new questions, such
of the motivation to make a certain response: Do as how people arrive at goal ­attainment.
I really want the desired outcome? This desirability Extensive research has shown (summary by
issue was originally captured by Hull (1943) and Gollwitzer & Oettingen, 2012) that goal content and
Spence (1956) as the concept of need and the goal framing affect the likelihood of goal attainment.
­concept of incentive. With respect to need, the With respect to goal content, the perceived desira-
cognitively ­
­ inspired psychology of motivation bility and feasibility of the goal matter. Perceived
­ventured into the concept of motives (for a summary, desirability is high when the goal is in line with the
see McClelland, 1985a), defined as the class of person’s needs (e.g., needs for autonomy, compe-
­incentives that a person finds attractive (e.g., achieve- tence, and social integration; Ryan, Sheldon, Kasser,
ment, power, ­ affiliation, intimacy). McClelland & Deci,  1996), wishes or fantasies (Oettingen &
(1985b) discovered that depending on whether this Mayer, 2002), possible selves (Oyserman, Bybee, &
preference for certain classes of incentives was Terry,  2006), higher order goals (e.g., identity
measured implicitly (as assessed by the Thematic goals; Gollwitzer & Kirchhof, 1998), and attitudes
Apperception Test) versus explicitly (as assessed by (i.e.,  the expected value of achieving the goal at
attitude questionnaires), it predicts the execution hand; Ajzen & Fishbein, 1980). But perceived feasi-
of different types of motive-related responses: bility also matters (Bandura, 1997). When people feel
actions people spontaneously engage in versus
­ that they can perform the responses that produce the
­decisions people make after thoughtful deliberation. desired goal, they are said to have strong self-efficacy
Researchers also found that whether an incen- beliefs (Bandura, 1997; or control beliefs as referred
tive is hoped for versus feared matters. For instance, to by Ajzen, 1991), which promotes high goal com-
a person with a strong achievement motive, long- mitment and successful goal pursuit.
ing for the pride associated with success, will choose Relevant structural features of one’s goals refer to
a task of medium difficulty to pursue; this level of many different aspects. First, goal striving is said to
difficulty provides the most information about one’s depend on whether the aspiration or standard that
achievement potential. However, a person who abhors is specified in the goal is challenging and specific
the shame associated with failure (Atkinson, 1958) (Locke & Latham,  2002,  2006). Framing of the

248 GOAL ATTAINMENT

o­rientation of goals in terms of approach versus futures. As a consequence, expectations of attaining
avoidance affects their attainment as well. For a desired future become activated and determine a
­instance, striving for the goal of making new friends person’s goal commitment and subsequent striving
versus striving for the goal of not being lonely to attain the desired future. When perceived expec-
­produces quite different outcomes (Elliot, Gable, & tations of success are high, people will actively pursue
Mapes, 2006). A further relevant framing variation (i.e., commit to and strive for) realizing the desired
pertains to forming promotion goals versus preven- future; when expectations of success are low, people
tion goals (Higgins, 1997, 2006), because one may will refrain from doing so and thus will disengage
want to approach a desired end state either by and venture on to alternative wishes and desired
promotion strategies (i.e., with eagerness) or by
­ futures. In this way, mental contrasting helps people
­prevention strategies (i.e., with vigilance). Dweck discriminate between feasible and unfeasible goals.
(1996) and Molden and Dweck (2006) have sug- The other two modes of thinking differentiated
gested a framing distinction between performance in the theory of fantasy realization are indulging
goals and learning goals. Goals in the achievement (envisioning only the attainment of the wished-for
domain, for example, may focus either on finding future) and dwelling (reflecting only on the present
out how capable one is (performance goals) or on negative reality). Neither of these mental strategies
learning from the task at hand (learning goals). produces any discrepancy between future and reality,
Finally, it makes a difference whether a person frames and thus the individual fails to recognize that action
a given task goal in terms of its identity relatedness. is needed to achieve the desired future. Therefore,
For instance, the task of solving a certain arithmetic expectations of success do not become activated,
problem can be approached with the goal of solving and goal pursuit does not reflect the perceived like-
it effectively or the goal of identifying oneself as a lihood of reaching the desired future. Individuals
mathematician (Gollwitzer & Kirchhof,  1998; who indulge and dwell show a medium level of goal
Wicklund & Gollwitzer, 1982). pursuit even though the resource-efficient strategy
to follow would be for no engagement in the case of
Self-Regulation of Goal Attainment low expectations of success and full engagement in
In the present chapter, we will focus on research the case of high expectations of success. For example,
analyzing the question of what people can do to when it comes to the goal of giving a good presenta-
master the problems inherent in goal pursuit. The tion at a conference, both an indulging and a dwell-
question of what kind of goals people set for them- ing person will show moderate preparation, regardless
selves (content and structure) and what consequences of whether a successful performance is perceived as
that goal setting has down the road with respect to within one’s reach or as barely possible.
the likelihood of goal attainment has been discussed A host of research supports these claims. In an
extensively in our prior chapter (Gollwitzer & early study (Oettingen, Pak, & Schnetter,  2001,
Oettingen, 2012). Two powerful self-regulation Study 4), first-year students enrolled in a vocational
strategies related to goal pursuit will be discussed: school for computer programming indicated their
(a) mental contrasting of future and present reality expectations of excelling in mathematics. Next, they
and (b) forming implementation intentions regarding named positive aspects that they associated with
when, where, and how one wants to act on one’s goal. excelling in mathematics (e.g., feelings of pride,
­increasing job prospects) and negative aspects of
Mental Contrasting reality, that is, potential obstacles (e.g., being
­
The theory of fantasy realization specifies three ­distracted by peers or feeling lazy). In the mental
modes of thinking about the future (Oettingen, 2000, contrasting condition, participants had to elaborate
2012,  2014): mental contrasting, indulging, and in writing two aspects of the desired future and two
dwelling. In mental contrasting, people first imag- aspects of present reality, in alternating order,
ine the fulfilment of a wish or positive fantasy (e.g., ­beginning with the aspect of the desired future.
giving a good presentation at a conference) and then Participants in the indulging condition were asked
reflect on the present reality that stands in the way to elaborate four aspects of the desired future only;
of attaining the desired future (e.g., evaluation in the dwelling condition they instead elaborated
anxiety). Mental contrasting thus qualifies as a four aspects of the present reality only. As a depend-
problem-solving strategy that makes people recog- ent variable, participants indicated how energized
nize that they have not yet fulfilled their wishes and they felt with respect to excelling in math (e.g.,
that they must take action to achieve the desired how active, eventful, energetic).

GOLLWITZER AND OETTINGEN 249

 Two weeks after the experiment, the participants’ promoted help-seeking in college students and
teachers reported how much effort each student had help-giving in emergency care nurses (Oettingen,
invested over the interim and provided each student Stephens, Mayer, & Brinkmann, 2010).
with a grade for that period. As predicted, only in In these studies, goal pursuit was assessed by cog-
the mental contrasting condition did the students nitive (e.g., making plans), affective (e.g., feelings of
feel energized, exert effort, and earn grades based frustration when anticipating failure), motivational
on their expectations of success. Those with high (e.g., feelings of energization), and behavioral (e.g.,
­expectations of success felt the most energized, amount of invested effort and achieved outcomes)
­invested the most effort, and received the highest indicators. These indicators were measured via
course grades; those with low expectations of suc- self-report or observations, either directly after the
cess felt the least energized, invested the least effort, experiment or weeks later. All these studies evidenced
and received the lowest course grades. To the con- the same pattern of results: Given high expectations
trary, participants in both the indulging and the of success, participants in the mental contrasting
dwelling conditions felt moderately energized, group showed the strongest goal pursuit; given low
­exerted medium effort, and received medium grades expectations, mental contrasting participants showed
independent of their expectations of success. the least goal pursuit. Participants who indulged in
A variety of studies pertaining to different life positive images about the future or dwelled on neg-
domains such as academic and professional achieve- ative images of reality showed medium goal pursuit
ment, health, interpersonal relationships, and phys- no matter whether expectations of success were high
ical and mental well-being replicated this pattern of or low. It is important to note that the outcomes of
results. For instance, mental contrasting has been mental contrasting do not occur as a result of changes
used as a highly effective strategy enabling students in the level of expectations (feasibility) or incentive
to learn a foreign language (Oettingen, Hönig, & valence (desirability) but rather as a result of the mode
Gollwitzer, 2000; A. Gollwitzer, Oettingen, Kirby, of self-regulatory thought (i.e., mental contrasting,
Duckworth, & Mayer,  2011), to study abroad indulging, dwelling), with mental contrasting align-
(Oettingen et al., 2001), and to engage in vocational ing strength of goal pursuit to expectations.
training (Oettingen, Mayer, Thorpe, Janetzke, & Furthermore, the effects of mental contrasting
Lorenz,  2005). Mental contrasting also facilitates depend on the person perceiving the present real-
making better decisions. This was demonstrated by ity as an obstacle, that is, as standing in the way of
showing that mental contrasting helps finding ­realizing the desired future. Thus, when mentally
­integrative (win–win) solutions in negotiation tasks contrasting, people first elaborate the desired
(Kirk, Oettingen, & Gollwitzer, 2011), solving i­nsight future and only then reflect the present reality; the
problems in creativity tests (Oettingen, Marquardt, & reverse order (reverse contrasting) fails to connect
Gollwitzer,  2012), and making ­behavioral decisions future and reality in the sense of the reality stand-
that reduce stress in health ­professionals’ everyday ing in the way of realizing the desired future out-
life (Oettingen, Mayer, & Brinkmann, 2010). In the come (Oettingen et al., 2001, Study 3; A. Kappes &
domain of health, mental contrasting has helped Oettingen, 2014).
students take steps toward reducing or stopping The pattern of results, seen as a whole, shows
smoking (Oettingen, Mayer, & Thorpe, 2010), stick that mental contrasting is a mode of thought that
to a healthy diet (Johannessen, Oettingen, & Mayer, people can use to wisely regulate their goal pursuit.
2012), increase physical ­exercise in overweight men First, it helps people to vigorously pursue and attain
of low socioeconomic status (Sheeran, Harris, feasible desired future outcomes (i.e., high expecta-
Vaughan, Oettingen, & Gollwitzer,  2013), and tions of success); however, equally important, mental
better cope with the ­challenges of everyday life in contrasting also fosters disengagement from unfea-
patients with Type 2 diabetes (Adriaanse, de Ridder, sible desired future outcomes (i.e., low expectations
& Voorneman,  2013). In the social realm, mental of success). Thereby, mental contrasting allows people
contrasting has been found to foster interpersonal to orient themselves toward alternative, more
relations and lead to effective reconciliation promising endeavors and to actively search for
(Oettingen et al., 2001; Schrage, Schwörer, Krott, & new  venues. That mental contrasting facilitates
Oettingen, 2017). It facilitated getting to know an ­disengagement has also been shown in research on
attractive stranger and heightened tolerance and counterfactuals—if only reconstructions of negative
encouraged taking responsibility for members of an life events. Such counterfactuals are functional
out-group (Oettingen et al., 2005). In addition, it in  preparing people to act when opportunities to

250 GOAL ATTAINMENT

restore the alternative past will potentially arise. Goal pursuit instilled by mental contrasting
If the counterfactual past is lost for good, however, also equips people to successfully master negative
because restorative opportunities are absent, letting feedback. A.  Kappes, Oettingen, and Pak (2012)
go of the desired counterfactual past is the better conducted three studies showing that mental con-
solution, sheltering people from feelings of distress. trasting facilitates the mastery of negative feedback
In a series of studies, Krott and Oettingen (2018a) in various ways. When expectations of success were
demonstrated that the self-regulation strategy of high, mental contrasting promoted the processing
mental contrasting attenuated the negative emotions of relevant negative feedback, protected participants’
elicited by positive fantasies about a lost counter- self-view of competence against negative feedback,
factual past, specifically, disappointment, regret, and and led to optimistic as well as effort-related (rather
resentment. These findings held when participants than ability-related) attributions in response to
were induced to focus on lost counterfactual pasts negative feedback. Thus, mental contrasting can be
for which they were responsible, for which they used as an effective strategy to strengthen goal
blamed another person, or for which they deemed pursuit in the sense that it prepares people to
­
no one responsible. master upcoming negative feedback.
Building on these findings, Krott and Oettingen So far, we reported findings about mental con-
(2018b) showed that mental contrasting not only trasting of a positive desired future with a negative
helps people to cope with the emotional consequences present reality. However, mental contrasting does not
of engaging in positive counterfactual thoughts. It have to pertain to the attainment of a positive future;
also facilitates that people engaging in such thoughts people can also fantasize about a negative future and
start to exert effort and successfully perform in the contrast fantasies about a negative feared future
here and now. Krott and Oettingen (2018b) showed with reflections on the positive present reality.
this active engagement in the present with regard to Oettingen et al. (2005) observed in a group of xen-
the interpersonal domain (i.e., writing a high-quality ophobic high school students that when negative
get-well letter to a close friend, Study 1), the profes- fantasies (i.e., fears that social conflicts would arise
sional domain (i.e., writing a high-quality job appli- from foreign youth moving into their neighborhood)
cation, Study 2), and the academic domain (i.e., are contrasted with reflections on a positive reality
successfully solving Raven matrices, Study 3). These standing in the way of the feared future (i.e., youth
results suggest that mental contrasting of counter- having wonderful and exciting soccer matches with
factual fantasies can help people to return to their foreigners), mental contrasting produced expectancy-
present life (i.e., actively engaging and succeeding in dependent goal pursuit as well (i.e., more tolerance
the tasks at hand). and the goal of approaching the foreigners by
One may wonder, though, whether people differ ­investing time and effort in welcoming them into
in their spontaneous use of mental contrasting and their neighborhood). Thus, mental contrasting can
whether there are special contextual conditions that be used to create approach goals that make people
facilitate or hinder people to spontaneously use successfully conquer a feared future.
mental contrasting. Research on these questions has Mental contrasting can also be used to create
revealed that people who are strong self-regulators avoidance goals that make people successfully evade
in the academic domain or in everyday life in general a feared future (Oettingen, Mayer, & Thorpe, 2010).
do indeed engage in more spontaneous mental In a study with chronic cigarette smokers, they
­contrasting than people who are weak self-regulators. found that setting oneself the goal of avoiding the
In other words, well-self-regulated people use mental feared consequences of smoking can be facilitated
contrasting (Sevincer, Mehl, & Oettingen, 2017). by mentally contrasting the feared future of negative
Moreover, it has been found that the state of ego health consequences with the current positive reality
depletion reduces people’s readiness to engage in of still having a healthy body. In line with past
mental contrasting. However, this reduced readiness research on mentally contrasting feared negative
­
to engage in mental contrasting in ego-depleted ­futures, Brodersen and Oettingen (2017) recently
­individuals can be easily overcome by explicitly observed that participants who had to envision a
asking people to consider the desired future and the negative future regarding a bacterial epidemic
present reality standing in its way or by hinting to (Study 1) or an idiosyncratic negative event (e.g., not
people that there might be some hurdles on the way finding a job after graduating from college; Study 2)
to ­attaining the desired future (Sevincer, Schlier, & and then contrasting it with the present positive
Oettingen, 2015). ­reality did show reduced state anxiety. These findings

GOLLWITZER AND OETTINGEN 251

suggest that mental contrasting of an envisioned mental contrasting also spurs the planning of
negative future also helps people reduce the anxiety goal implementation, a known cognitive mediator
triggered by this imagination. ­between expectations of success and goal attainment
The underlying mechanisms of mental contrasting (Oettingen et al., 2001, 2005).
effects pertain to both cognitive and motivational pro- The research on the mediating motivational
cesses. As for cognitive processes, mental contrasting ­processes of mental contrasting assessed the level of
modulates the strength of the associative links energization as a primary indicator. Oettingen et al.
­between future and reality and between reality and (2009) found that mentally contrasting a desired
instrumental means. In a series of four studies future with present reality leads to energization,
­employing a primed lexical decision task to measure which in turn heightens goal pursuit strong enough
strength of associative links between future and reality, to lead to successful goal attainment. Mediating
A. Kappes and Oettingen (2014) observed that when ­effects of energization on goal pursuit evinced in
expectations of successfully reaching a desired future physiological indicators of energization (i.e., systolic
were high, mental contrasting strengthened the blood pressure) as well as experiential indicators
­associative links between the desired future and (self-report of feeling energized). A series of other
the reality; when expectations were low, mental experimental studies measuring systolic blood
contrasting weakened the future–reality associative ­pressure and feelings of energization supported the
links. These results were obtained no matter described pattern of results (Sevincer, Busatta, &
whether expectations were measured or manipulated. Oettingen, 2014).
Importantly, the future–reality associative links in Mental contrasting, because it is a problem-solving
turn mediated mental contrasting effects on self- strategy involving imagery, should be associated with
reported (e.g., feelings of responsibility) and other- heightened astuteness in general. An experiment
rated goal pursuit (e.g., raters scored quality of using continuous magnetoencephalography, a brain-
performance on giving a talk and solving a creativity imaging technique measuring magnetic fields pro-
test). Finally, mental ­contrasting effects on future– duced by electrical activity in the brain (Achtziger,
reality associative links vanished when participants Fehr, Oettingen, Gollwitzer, & Rockstroh,  2009),
were informed that the goal was achieved, implying attests to this idea. Mental contrasting compared to
that future–reality ­associations wax and wane with indulging or simply resting produced heightened
the upholding versus accomplishment of the goal brain activity in areas associated with working
that was generated by mental contrasting. memory, episodic memory, intention maintenance,
Mental contrasting not only links future and action preparation, and vivid visualization. That is,
­reality but also connects present reality to relevant mental contrasting implies vividly imagining a
instrumental means (i.e., means instrumental to ­desired future, anticipating hindrances to realizing
overcome or circumvent the present reality to attain this future, and making plans for how to overcome
the desired future). In two studies, A.  Kappes, these barriers. The brain activity associated with in-
Singman, and Oettingen (2012) showed that mental dulging, in contrast, did not differ from resting.
contrasting paired with high expectations established Given this latter finding, one might think that
strong associative links between present reality and indulging in the future could potentially also lead to
instrumental behavior, whereas paired with low strong goal pursuit—if only individuals managed to
­expectations of success, it weakened reality–behavior intensely engage in highly positive fantasies about
associative links. Importantly, the strength of the the future. But research on engaging in positive versus
reality–behavior associative links mediated goal
­ negative fantasies about the future speaks against this
pursuit, as indicated by actual performance (e.g., argument. Early on, Oettingen and Wadden (1991)
performance of taking the stairs instead of the observed that obese women who spontaneously
elevator to achieve the goal of becoming more
­ ­indulge in positive fantasies about their weight loss
­physically fit). Mental contrasting their wishes with were less successful in achieving a lower body mass
the present reality also makes people recategorize index (after 4 months and 2 years) than obese women
present reality by conceiving it in terms of obstacles; whose spontaneously produced fantasies were more
for instance, for a student with the wish to perform negative. Moreover, Oettingen and Mayer (2002)
well on the next exam, a party the night before the observed that people who indulge in positive fantasies
exam is no longer perceived as a fun event but rather (valence and frequency) show comparatively weaker
as an obstacle to a good test performance (A. Kappes, goal pursuits (as assessed by their efforts and actual
Wendt, Reinelt, & Oettingen,  2013). And finally, performance) in the areas of academic achievement

252 GOAL ATTAINMENT

(i.e., achieving a good grade in a psychology class), At first sight, these findings seem to be in ­contrast
professional achievement (i.e., finding a job after to research observing facilitating effects of positive
graduation), interpersonal relations (i.e., finding a affect on performance in executive function tasks
romantic partner), and health (i.e., recovering from (e.g., Dreisbach & Goschke, 2004; Kazen & Kuhl,
hip surgery). Importantly, it did not matter whether 2005). However, these performance-facilitating
the spontaneously produced positive fantasies effects evince for individuals who perform tasks
pertained to the desired outcome or to the ways of while being in a positive affective state. Note that in
getting there. Additionally, goal pursuit in these the studies reported by Oettingen and colleagues, it
studies was assessed 2 weeks or even 2 years after is not positive affect per se that is measured or
the assessment of the spontaneously produced ­manipulated, but the positivity of fantasies that depict
positive future fantasies. H. B. Kappes, Oettingen, the person already having attained the specified
and Mayer (2012) observed the same pattern of results ­desired future. The mental experience of having
in vocational students of disadvantaged backgrounds. ­already reached the desired outcome and of savoring
The more students positively fantasized early on the wished-for consequences reduces the energy
about their educational success, the higher was their ­required to reach the outcome in actuality. Only
absence from school and the lower were their grades when such positive fantasies pertain to feasible
over the course of the program. ­futures and are mentally contrasted with the im-
In a series of experimental studies, H. B. Kappes peding reality will people muster the energy to excel
and Oettingen (2011) investigated the causal effects (Oettingen et al., 2009).
of positive future fantasies on energization. They
hypothesized that low energy is one of the mecha- Implementation Intentions
nisms by which positive future fantasies translate Another powerful strategy to promote goal attain-
into poor achievement. Indeed, induced positive ment is planning out one’s goal striving in advance.
fantasies resulted in less energy (as measured by Gollwitzer (1993, 1999, 2014) has proposed a distinc-
physiological and behavioral indicators) than fanta- tion between goal intentions and implementation
sies that questioned the desired future, negative fan- intentions. Goal intentions (goals) have the structure
tasies, or neutral fantasies. Additionally, energy of “I intend to reach Z !” whereby Z may relate to a
measured right after the induction of the positive certain outcome or behavior to which the individual
fantasies mediated accomplishment in everyday life a feels committed. Implementation intentions (plans)
week later. Finally, positive fantasies yielded a larger have the structure of “If situation X is encountered,
decrease in energy when they pertained to a more then I will perform the goal-directed response Y !”
rather than less pressing need (e.g., need achieve- Both goal and implementation intentions are set in
ment), further suggesting that it is the positivity of an act of will: The former specifies the intention to
fantasies that quells energization. Altogether, the meet a goal or standard; the latter refers to the
results indicate that one reason positive fantasies ­intention to perform a plan. For instance, a possible
predict poor attainment is because they sap energy implementation intention for the goal intention to
required to pursue the desired future. The negative eat healthy food could link a suitable situational
relation between positive fantasies on goal attainment context (e.g., one’s order is taken at a restaurant) to
has also been observed at the societal level. Positive an appropriate behavior (e.g., asking for a low-fat
thinking about the future in newspaper reports and meal). Whereas goal intentions merely specify
presidential addresses was found to predict economic ­desired end states (“I want to achieve goal X !”), the
downturn (Sevincer, Wagner, Kalvelage, & Oettingen, if-component of an implementation intention
2014). Finally, Oettingen, Mayer, and Portnow’s specifies when and where one wants to act on this
(2016) finding that positive thinking in the form of goal, and the then-component of the plan specifies
fantasies about the future relates to decreased how this will be done. Implementation intentions
symptoms of depression when measured concur- thus delegate control over the initiation of the
rently but predicts more depressive symptoms when intended goal-directed behavior to a specified
­
measured longitudinally also suggests that positive opportunity by creating a strong link between a sit-
thinking has problematic effects on the realization uational cue and a goal-directed response.
of one’s goals; in line with this assumption, it turned Evidence that forming if–then plans enhances
out that the relation between positive thinking and rates of goal attainment has now been obtained
increased long-term depression was partially medi- in many studies on an array of different goals. An
ated by low achievement. early meta-analysis (Gollwitzer & Sheeran,  2006)

GOLLWITZER AND OETTINGEN 253

involving over 8,000 participants in 94 independent impact of implementation intention formation on
studies revealed a medium to large effect size goal attainment (Aarts, Dijksterhuis, & Midden,
­(d  =  0.65) of implementation intentions on goal 1999; Webb & Sheeran,  2007,  2008). Finally,
achievement in a variety of domains (e.g., interper- making if–then plans seems to also affect the per-
sonal, environmental, health) on top of the effects of ceptual processing of the specified situational cues.
mere goal intentions. This size of the implementation Using a well-established chronometric method
­intention effect is noteworthy, given that goal inten- (i.e., the psychological refractory period paradigm)
tions by themselves already have a facilitating effect and combining it with the locus-of-slack logic,
on behavior enactment (Webb & Sheeran, 2006). Janczyk, Dambacher, Bieleke, and Gollwitzer (2015)
More recent meta-analyses focusing exclusively on found that if–then plans facilitate early perceptual
goals of eating a healthy diet (Adriaanse, Vinkers, de processing and not just attentional responding to
Ridder, Hox, & de Wit, 2011), engaging in physical the specified critical cues.
activity (Belanger-Gravel, Godin, & Amireault, Gollwitzer (1999) suggests that the upshot of
2013), and people’s prospective memory performance the strong associative (critical situation/goal-­
(Chen et al., 2015) also demonstrate the beneficial directed response) links created by forming imple-
effects of forming implementation intentions. mentation intentions is that—once the critical
Research on the underlying mechanisms of cue is encountered—the initiation of the goal-­
­implementation intention effects has discovered that directed response specified in the then-component
implementation intentions facilitate goal attain- of the implementation intention exhibits features
ment on the basis of psychological mechanisms that of ­automaticity, including immediacy, efficiency,
relate to the anticipated situation (specified in the uncontrollability, and redundancy of conscious intent.
if-component of the plan), the intended behavior Evidence indicates that if–then planners act quickly
(specified in the then-component of the plan), and (Gollwitzer & Brandstätter, 1997, Experiment 3),
the mental link forged between the if-component and deal effectively with cognitive demands (i.e., speed
the then-component of the plan. Because forming an up effects are still evident under high cognitive
implementation intention implies the selection of a load; Brandstätter, Lengfelder, & Gollwitzer, 2001),
critical future situation, the mental representation do not need to consciously intend to act in the critical
of this situation becomes highly activated and hence moment (i.e., implementation intention effects are
more accessible (Gollwitzer, 1999). This heightened observed even when the critical cue is presented
accessibility of the if-component of the plan has subliminally; Bayer, Achtziger, Gollwitzer, &
been observed in several studies testing this hypoth- Moskowitz, 2009), and show uncontrolled a­ ttention
esis using different experimental task paradigms: for to the specified cues (i.e., the situational cue spec-
example, lexical decisions (Webb & Sheeran, 2004; ified in the if-component of an implementation
Parks-Stamm, Gollwitzer, & Oettingen, 2007), di- intention still received attention when it was pre-
chotic listening, and cued recall (Achtziger, Bayer, sented in a task that required ignoring it; Wieber
& Gollwitzer, 2012, Studies 1 and 2). & Sassenberg, 2006). In line with this latter finding,
Further studies indicate that forming imple- Schweiger Gallo, Pfau, and Gollwitzer (2012)
mentation intentions not only heightens the acti- ­observed  that hypnotic instructions enriched with
vation (and thus the accessibility) of the mental respective implementation intentions produced an
presentation of the situational cues specified in the increase in hypnotic responsiveness; importantly,
if-component, but also forges a strong associative this performance increase was accompanied by a
link between the mental representation of the felt involuntariness of responding.
specified opportunity and the mental representation The postulated and observed component pro-
of the specified response (Webb & Sheeran, 2007, cesses underlying implementation intention effects
2008). These associative links seem to be stable (enhanced cue accessibility, strong cue–response
over time (Papies, Aarts, & de Vries, 2009), and they links, automation of responding) mean that fash-
allow for priming the mental representation of the ioning an if–then plan strategically automates goal
specified response (the plan’s then-component) by striving: People intentionally make if–then plans
subliminal presentation of the specified critical that delegate control of goal-directed behavior to
­situational cue (if-component) (Webb & Sheeran, preselected situational cues with the explicit purpose
2007). Moreover, mediation analyses suggest that of reaching their goals. This delegation hypothesis
both the cue accessibility and the strength of has been tested in a functional magnetic resonance
the cue–response link qualify as mediators of the imaging study reported by Gilbert, Gollwitzer,

254 GOAL ATTAINMENT

Cohen, Oettingen, and Burgess (2009). In this study, i­ncreased the P300 difference (no-go/go) in children
participants had to perform a prospective memory with ADHD. Gawrilow, Gollwitzer, and Oettingen
task on the basis of either goal or implementation (2011a) observed that children with ADHD can also
intention instructions. Acting on the basis of goal use implementation intentions to support executive
intentions was associated with brain activity in the functions other than inhibition (i.e., task shifting,
lateral rostral prefrontal cortex, whereas acting on working memory).
the basis of implementation intentions was associ- Additional process mechanisms to the stimulus
ated with brain activity in the medial rostral pre- perception and response initiation processes docu-
frontal cortex. Brain activity in the latter area is mented in the findings described earlier have been
known to be associated with bottom-up (stimulus) explored, for instance, whether furnishing goals
control of action, whereas brain activity in the former with implementation intentions produces an in-
area is known to be related to top-down (goal) control crease in goal commitment or self-efficacy, which in
of action. turn causes heightened goal attainment, whether
Support for the delegation hypothesis also comes furnishing one’s goals with implementation inten-
from studies assessing effort mobilization (i.e., effort- tions increases experimenter demand, and whether
related cardiac activity) during task performance implementation intentions have positive effects on
(Freydefont, Gollwitzer, & Oettingen,  2016) and goal attainment because they provide extra strategy
from studies using critical samples—that is, individu- knowledge. However, none of these alternative pro-
als with poor self-regulatory abilities, such as people cess-related hypotheses received empirical support
with schizophrenia and people with substance abuse (summary by Gollwitzer, 2014).
disorders (Brandstätter et al., 2001, Studies 1 and 2), Research on the facilitating effects of forming
people with frontal lobe damage (Lengfelder & implementation intentions on meeting the chal-
Gollwitzer,  2001), and children with attention-­ lenges of successful goal attainment has studied
deficit/hyperactivity disorder (ADHD; Gawrilow & the following phenomena: getting started, staying
Gollwitzer,  2008, Paul et al.,  2007). For instance, on track, failing to call a halt to futile goal striving,
Brandstätter et al. (2001, Study 1) assigned hospital- and overextending oneself. Given that forming
ized opiate addicts under withdrawal the goal to ­implementation intentions automates goal striving,
write a short curriculum vitae before the end of the people who form implementation intentions should
day; half of the participants formed relevant imple- find it easier to meet these challenges. Indeed,
mentation intentions (they specified when and ­numerous studies suggest that problems of getting
where they would start to write what), and the other started on one’s goals can be solved effectively by
half (control group) formed irrelevant implementa- forming i­mplementation intentions. For instance,
tion intentions (when and where they would eat Gollwitzer and Brandstätter (1997, Study 2) ana-
what for lunch). Eighty percent of the relevant lyzed a goal ­intention (i.e., writing a report about
­implementation intention participants had written how the ­participants spent Christmas Eve) that
a short curriculum vitae at the end of the day, had to be performed at a time when people are
whereas none of the participants with the irrelevant commonly busy with other things (i.e., during the
implementation intention succeeded in doing so. subsequent 2 days, which are family holidays in
Implementation intentions have also been found Europe). Still, research participants who had fur-
to benefit children with ADHD who are known to nished their goal intention with an implementa-
have difficulties with tasks that require response tion intention that specified when, where, and how
­inhibition (e.g., go/no-go tasks). For example, it was one wanted to get started on this project were
observed that the response inhibition performance about three times as likely to write the report than
in the presence of stop signals can be improved in mere goal intention participants. Other studies
children with ADHD by forming implementation found that implementation intentions even foster
intentions (Gawrilow & Gollwitzer, 2008, Studies 1 striving toward goals involving behaviors that are
and 2). This improved response inhibition is reflected somewhat unpleasant to perform (e.g., to recycle,
in electrocortical data as well (Paul et al., 2007). Holland, Aarts, & Langendam, 2006; and to engage
Typically, the P300 component evoked by no-go in physical exercise, Milne, Orbell, & Sheeran,
stimuli has greater amplitude than the P300 evoked 2002). Moreover, Thürmer, Wieber and Gollwitzer
by go stimuli. This difference is less pronounced in (2015) observed that ­decision-making in groups does
children with ADHD. Paul et al. (2007) found that benefit from making if–then plans that specify to
if–then plans improved response inhibition and start by carefully reviewing all the relevant available

GOLLWITZER AND OETTINGEN 255

information when a decision must be made. Finally, (i.e., motor performance, Stern, Cole, Gollwitzer,
implementation intentions were associated with Oettingen, & Balcetis,  2013; test performance,
goal attainment in domains where it is easy to forget Parks-Stamm, Gollwitzer, & Oettingen,  2010;
to act (e.g., regular intake of vitamin pills, Sheeran & ­interracial social interaction, Stern & West, 2014),
Orbell, 1999; attendance for cervical cancer screening, the tendency toward self-handicapping (Thürmer,
Sheeran & Orbell, 2000; the signing of worksheets McCrea, & Gollwitzer, 2013), or the pain inflicted by
by the elderly, Chasteen, Park, & Schwarz, 2001). persisting on a challenging task (Thürmer, Wieber, &
But many goals cannot be accomplished by Gollwitzer, 2017).
a  simple, discrete, one-shot action because they An alternative way of using implementation
­require that people keep striving over an extended ­intentions to protect ongoing goal pursuit from
period of time. Such staying on track may become ­derailment is to form implementation intentions
very difficult when certain internal stimuli (e.g., being geared toward stabilizing the ongoing goal pursuit
anxious, tired, overburdened) or external stimuli (Bayer, Gollwitzer, & Achtziger, 2010). Using again
(e.g., temptations, distractions) interfere with ongo- the example of a person who is approached by her
ing goal pursuit. Implementation intentions can friend with an outrageous request, let us assume
prevent the negative influence of interferences from that the person who is the recipient of the request is
outside the person (e.g., disruptions by attractive tired or irritated and thus particularly likely to
video shows; Gollwitzer & Schaal,  1998; Wieber, ­respond in an unfriendly manner. If this person has
von Suchodoletz, Heikamp, Trommsdorff, & stipulated in advance in an implementation inten-
Gollwitzer, 2011). For this purpose, implementation tion what she will converse about with her friend,
intentions may take very different forms. For instance, the interaction may come off as planned, and being
if a person wants to avoid being unfriendly to a tired or irritated should fail to affect the person’s
friend who is known to make outrageous requests, behavior toward her friend. Bayer et al. (2010)
­
she can form implementation intentions such as, tested this hypothesis in a series of experiments in
“And if my friend approaches me with an outrageous which participants were asked to make plans (i.e.,
request, then I will not respond in an unfriendly form implementation intentions) or not regarding
manner!” The then-component of suppression-­ their performance on an assigned task. Prior to
oriented implementation intentions does not have beginning the task, participants’ self-states were
­
to be worded in terms of not showing the critical ­manipulated, so that the task at hand became more
behavior; it may also specify an alternative antago- difficult (e.g., a state of self-definitional incomplete-
nistic behavior (“…, then I will respond in a friendly ness prior to a task that required perspective taking;
manner!”) or focus on ignoring the critical cue (“…, Gollwitzer & Wicklund, 1985; a good mood prior
then I’ll ignore it!”). Research suggests that the to a task that required evaluation of others nonste-
­negation implementation intention (“…, then I will reotypically; Bless & Fiedler,  1995; and a state of
not respond in an unfriendly manner”) is the least ego depletion prior to solving difficult anagrams;
effective because it is associated with an ironic acti- Muraven, Tice, & Baumeister,  1998). The results
vation of the mental representation of the unwanted suggested that the induced critical self-states
behavior (Adriaanse, van Oosten, de Ridder, de ­negatively affected task performance only for those
Wit, & Evers, 2011). Interestingly, implementation ­participants who had not planned out their working
intentions can be used to curb the negative effects on the task at hand via implementation intentions
not only of interfering external events but also of (i.e., had only set themselves the goal to come up
interfering inner states. Achtziger, Gollwitzer, and with a great performance).
Sheeran (2008), for instance, report two field The self-regulatory problem of calling a halt to a
­experiments concerned with dieting (i.e., reduce futile goal striving (i.e., disengaging from a chosen
snacking; Study 1) and athletic goals (i.e., win a but noninstrumental means or from a chosen goal
competitive tennis match; Study 2) in which goals that has become unfeasible or undesirable) can also
were shielded by implementation intentions geared be ameliorated by forming implementation inten-
toward controlling potentially interfering inner states tions. People often fail to readily disengage from
(i.e., cravings for junk food in Study 1 and disrup- chosen means and goals that turn out to be faulty
tive thoughts, feelings, and physiological states in because of a strong self-justification motive (i.e., we
Study 2). Parallel findings evinced in studies where tend to adhere to the irrational belief that decisions
the implementation intentions used were geared we have made deliberately must be good; Brockner,
toward coping effectively with performance anxiety 1992). Such escalation effects of sticking with a

256 GOAL ATTAINMENT

chosen means or goal are reduced effectively, however, knowledge and skills constrain performance such
by the use of implementation intentions. These as  taking academic tests, situations in which an
implementation intentions only have to specify
­ ­opponent’s behavior limits one’s performance such
­receiving negative feedback as the critical cue in the as negotiation settings, and situations in which the
if-component and switching to available alternative wanted behavior (e.g., no littering) runs into con-
means or goals as the appropriate response in the then- flict with habits favoring an antagonistic response
component (Henderson, Gollwitzer, & Oettingen, (Gollwitzer, 2014).
2007; Wieber, Thürmer, & Gollwitzer, 2015). Willpower is called for when working on
Finally, the assumption that implementation ­academic performance tests (math tests, general
intentions subject behavior to the direct control of ­intelligence tests) because a good performance is
situational cues (i.e., strategic automation of goal commonly determined not only by a person’s
striving; Gollwitzer, 1999) implies that the person knowledge, analytic capability, and cognitive skills
does not have to exert deliberate effort when but also by a person’s motivation to do well as a
­behavior is controlled via implementation intentions. ­consequence of perceived desirability and feasibility
As a consequence, the self should not become of successful test performance. To increase test
­depleted when task performance is regulated by scores on the spot by exerting willpower, a person
implementation intentions, and thus for individuals may thus focus on holding up his or her motivation
using implementation intentions, not overextending (e.g., by increasing his or her self-efficacy feelings).
themselves should become easier. Indeed, using Accordingly, Bayer and Gollwitzer (2007, Study 2)
different ego-depletion paradigms, research par- tested whether it is possible to increase self-efficacy
ticipants who used implementation intentions to beliefs by forming implementation intentions. They
self-regulate in one task do not show reduced asked college students to take the Raven Intelligence
self-regulatory capacity in a subsequent task (e.g., Test: One group of participants formed a mere goal
Webb & Sheeran, 2003). intention to do well (“I will correctly solve as many
A new line of research on implementation inten- test items as possible!”), whereas the implementation
tions has been stimulated by Aristotle’s concept of intention group added the following if–then plan:
akrasia (lack of willpower), arguing that making “And whenever I start a new test item, then I’ll tell
if–then plans increases will power on the spot myself: I can solve it!” Participants in the implemen-
(Gollwitzer, 2014). The litmus test for any strategy tation intention condition performed better than
to improve willpower is enhanced performance in a those in the mere goal intention to perform well
delay of gratification task. Accordingly, Gawrilow, condition; implementation intention participants
Gollwitzer, and Oettingen (2011b) analyzed whether also performed better than participants in a further
delay of gratification can be facilitated by forming condition where a self-efficacy strengthening goal
implementation intentions, even in children with intention had been formed (“I will tell myself: I can
ADHD who are known to have particularly pro- do these test items!”).
nounced problems with delaying gratifications. Often our goals are constrained by others who
A  computer task was developed in line with the are competing with us for positive outcomes or
delay-of-gratification paradigms developed by have competing goals for the use of the situation at
Walter Mischel (1974) and Sonuga-Barke (2002)— hand. In such competitive situations, exerting will-
waiting in the presence of a suboptimal cue to make power involves effectively protecting one’s goal
money for a delayed optimal cue to make money led striving from the unwanted influences generated
to a higher total amount of money earned. In two by the goals of others. In their negotiation research,
studies it was observed that the goal intention to do Trötschel and Gollwitzer (2007) targeted the shar-
well on the task did not improve performance ing of a common good and explored whether the
compared to a control group that received mere task self-regulation strategy of forming implementation
instructions specifying the reward contingencies. intentions enables negotiators to find agreements
However, when the goal intention was furnished with even if they have to operate under the adverse con-
an implementation intention that linked a waiting ditions of a loss frame (i.e., participants see how
response to the suboptimal cue, a significantly higher many points they lose rather than win and thus
amount of money was earned. they are reluctant to make concessions). When
There are further critical situations where will- looking at the agreements achieved (i.e., level of
power is needed. Three such conditions have been joint o­ utcomes), it was observed that pairs of loss-
targeted so far: situations in which a person’s frame negotiators with a prosocial goal intention

GOLLWITZER AND OETTINGEN 257

managed to somewhat reduce the resistance to is possible to curb habitual affective responses by
concession making arising from the loss-frame forming implementation intentions. They found
­negotiation context, but that only negotiators who that implementation intentions specifying an ignore
furnished their prosocial goal intentions with response in the then-component helped control fear
­respective implementation intentions were successful in response to pictures of spiders in participants
in completely abolishing the negative impact of the with spider phobia—to the low level that was
loss-frame ­negotiation context. Negotiation research ­experienced by participants who did not report
by Kirk, Gollwitzer, and Carnevale (2011) used a any spider phobia. The obtained electrocortical
different task paradigm: the ultimatum game. The correlates (the authors had used dense-array elec-
participants acted as receivers of a series of fair but troencephalography) revealed that those participants
also unfair offers. It is commonly observed that who ­bolstered their goal intention to stay calm
impulsive anger in response to unfair offers leads with an ignore-implementation intention showed
to rejections—and in turn to a financial cost to the significantly reduced early activity in the visual
receiver. Kirk et al., however, found that entering cortex in response to spider pictures, as reflected in
the ultimatum game with goals to make a personal a smaller P1 (assessed at 120 milliseconds after a
profit managed to curb impulsive rejections by in- spider picture was presented). This suggests that
creasing the frequency of accepting unfair offers the ignore-implementation intention assigned to
when these goals were furnished with respective spider phobics lead to a strategic automation of
implementation intentions. the specified goal-directed response (in the present
The self-regulation of one’s goal striving becomes case, an ignore response) when the critical cue (in
particularly difficult when habitual responses conflict the present case, a spider picture) was encountered,
with initiating and executing the needed goal-­ so that—using the horse race metaphor—the
directed responses instrumental to goal attainment planned response (i.e., ignore response) could outrun
(e.g., Wood & Neal, 2007). In such cases, showing the habitual response (i.e., fear response).
willpower means asserting one’s will to attain the Various studies have targeted the control of
chosen goal against unwanted habitual responses. ­habitual behavioral responses. For instance, Cohen,
By assuming that action control by implementation Bayer, Jaudas, and Gollwitzer (2008, Study 2; see
intentions is immediate and efficient and adopting also Miles & Proctor, 2008) explored the suppression
a simple horse race model of action control (Gurney, of habitual responses by implementation inten-
Prescott, & Redgrave, 2001a, 2001b), people should tions using the Simon task. In this task paradigm,
be in a position to break habitualized responses by participants are asked to respond to a nonspatial
forming implementation intentions that spell out a aspect of a stimulus (i.e., whether a presented tone
response that is contrary to the habitualized response is high or low) by pressing a left or right key and to
to the critical situation. ignore the location of the stimulus (i.e., whether it
Research on the control of habitual responses by is presented on one’s left or right side). The difficulty
the use of implementation intentions has targeted of this task is in ignoring the spatial location (left
cognitive, affective, and behavioral responses. With or right) of the tone in one’s classification response
respect to cognitive responses, it has been shown (i.e., pressing a left or right response key; Simon,
that automatic cognitive biases such as stereotyping 1990). The cost in reaction times is seen when the
can be successfully controlled by forming imple- location of the tone (e.g., right) and required key
mentation intentions. Extending earlier work by press (e.g., left) are incongruent, because people
Gollwitzer and Schaal (1998), Stewart and Payne habitually respond to stimuli presented at the right
(2008) found that implementation intentions or left side with the corresponding hand. Cohen
designed to counter automatic stereotypes (e.g.,
­ et al. (2008, Study 2) found that implementation
“When I see a Black face, I will then think ‘safe’!”) intentions eliminated the Simon effect for the
could indeed reduce ­automatic stereotyping. Research stimulus that was specified in the if-component of
by Mendoza, Gollwitzer, and Amodio (2010) using the implementation intention. Reaction times for
the so-called shooter task paradigm has added to this stimulus did not differ between the congruent
these findings by showing that the behavioral and incongruent trials (i.e., they were fast through-
­expression of stereotypes can also be downregulated out). In a recent study by Marquardt, Cohen, et al.
by forming implementation intentions. (2017), stroke patients with a mild to moderate hand
Schweiger Gallo, Keil, McCulloch, Rockstroh, paresis were asked to perform the Simon task before
and Gollwitzer (2009, Study 3) analyzed whether it and after they had formed respective if–then plans.

258 GOAL ATTAINMENT

A significant Simon effect was observed in both with me, then I will remember that other people
the affected and the nonaffected arm for control are different!”) social projection.
trials, but there was no longer a significant Simon And finally, Wieber, Gollwitzer, and Sheeran
effect for the critical trials prepared by forming if– (2014) demonstrated that mimicry effects on social
then plans. Apparently, making if–then plans interactions can also be controlled by forming
­effectively reduced the Simon effect for both the ­implementation intentions, even though—as with
affected and the nonaffected arm. This finding transference and social projection—people are not
opens a potential new route to improving stroke usually aware of its influence on their judgments
rehabilitation because if–then plans may qualify as and behaviors. Although mimicry generally facili-
a viable strategy to overcome the learned nonuse of tates social interactions, sometimes mimicry effects
the affected arm. Further studies on the control of can hamper the pursuit of focal goals (e.g., when we
habitual behavioral responses by implementation fall for the persuasive efforts of a salesperson mim-
intentions analyzed abolishing concept and goal- icking our bodily and facial expressions). In one of
priming effects on behavior (using different concept the studies reported by Wieber, Gollwitzer, et al.
and goal-priming methods; Gollwitzer, Sheeran, (2014), participants formed the goal “I want to be
Trötschel, & Webb, 2011) and breaking bad eating thrifty with my money! I will save my money for
habits (using a lexical decision task presenting the important investments!” or an implementation
unwanted food item as the critical word; Adriaanse, ­intention regarding this goal, “I want to be thrifty
Gollwitzer, de Ridder, de Wit, & Kroese, 2011). with my money! And if I am tempted to buy some-
A further new line of implementation intention thing, then I will tell myself: I will save my money
research explored whether if–then plans can also be for important investments!” They were then mim-
used to benefit the control of social phenomena that icked by the experimenter, who tried to seduce them
run off automatically. For instance, Przybylinski and to spend the money they had earned for participating
Andersen (2012) studied implementation intentions in the experiment on some leftover coffee vouchers
with respect to the social phenomenon commonly and chocolate bars. Compared to a control group,
referred to as transference: Prior relationships readily implementation intentions reduced participants’
play out in present ones, often without awareness giving in to the persuasive attempts of the experi-
and even when problematic for an individual. In menter to spend their money, whereas mere goal
other words, past relationships emerge in the present intentions to be thrifty failed to do so.
through the relatively automatic use of significant- Still, one wonders whether forming implemen-
other representations in judging and remembering tation intentions can always block habitual ­responses.
others. In two experiments, the authors demonstrated Using a horse race metaphor, the answer must be
that forming implementation intentions could suc- no. Whether the habitual response or the if–then
cessfully block transference effects. guided response will win the race depends on the
In social projection, we assume that other relative strength of the two behavioral orientations.
people hold similar beliefs and attitudes to our If the habitual response is based on strong habits
own (e.g., “I like sauerkraut, so other people must (Webb, Sheeran, & Luszczynska,  2009) and the
like sauerkraut, too”). Although such projection if–then guided response is based on weak imple-
can have its benefits, such as increased feelings of mentation intentions, then the habitual response
closeness (Robbins & Krueger, 2005), it can also should win over the if–then planned response;
have costs (e.g., when projecting that the majority and the reverse should be true when weak habits are
of people smoke cigarettes hinders behavior change). sent into a race with strong implementation inten-
Given the fact that social projection can have pos- tions. This implies that controlling behavior that
itive as well as negative consequences, A. Gollwitzer, is  based on strong habits requires the formation
Schwörer, Stern, Gollwitzer, and Bargh (2017) ex- of  strong implementation intentions. One way to
plored whether implementation intentions could create ­particularly strong links between situational
be used for both intensifying and reducing social cues (if-component) and goal-directed responses
projection. They found that implementation in- (then-component) is asking participants to use
tentions could successfully upregulate (“If I’m asked mental imagery when linking situational cues to
to estimate what percentage of people agree with goal-directed responses in their if–then plans
me, then I will remember that other people are (Knäuper, Roseman, Johnson, & Krantz,  2009);
similar!”) as well as downregulate (“If I’m asked to ­another way pertains to explicitly telling participants
estimate what percentage of other people agree that they should plan out the when, where, and

GOLLWITZER AND OETTINGEN 259

how of goal pursuit by using an if–then format control by implementation intentions: Do their
(Chapman, Armitage, & Norman, 2009). ­effects generalize to similar situations by still trig-
What else empowers implementation intentions? gering the specified action? Studies on promoting
For strong implementation intention effects to occur, physical exercise (Epton & Armitage, 2017) and en-
people must be highly committed to the superordi- hancing safe driving (Brewster et al., 2016) a­ ddressed
nate goal (e.g., de Nooijer, de Vet, Brug, & de this question and found that implementation inten-
Vries,  2006; Orbell, Hodgkins, & Sheeran,  1997; tion effects do generalize to similar situations. With
Sheeran, Webb, & Gollwitzer, 2005; Verplanken & dissimilar situations, however, it is observed that
Faes, 1999), which is facilitated when the goal is self- implementation intention effects no longer evince
concordant (Koestner, Lekes, Powers, & Chicoine, (see also Masicampo & Baumeister, 2012; Parks-
2002), the self-efficacy to reach the goal is high Stamm et al., 2007).
(Wieber, Odenthal, & Gollwitzer,  2010), one has Finally, Bieleke, Legrand, Mignon, and Gollwitzer
no doubts that pursuing the goal is worthwhile (2018) studied the flexibility/rigidity issue with
(Wieber, Sezer, & Gollwitzer, 2014), and one feels regard to the question, What will happen when a
energized to move forward (e.g., one is angry rather response is required that differs from the planned one
than sad; Maglio, Gollwitzer, & Oettingen, 2014). (i.e., the response specified in the then-component
Not surprisingly, it was also found that the commit- of the if–then plan)? In a series of experiments, it
ment to the formed implementation intention must was found that behavior was impaired when a similar
be high to produce strong effects of if–then planning situation required a behavior different from the
(e.g., Achtziger et al., 2012, Study 2). planned one, suggesting that participants could not
The latter finding has raised the question of withhold the planned response (resembling a habit
whether action control by implementation inten- capture error). Moreover, the results also showed an
tions shows costs in terms of a heightened degree impaired performance of the planned behavior
of  rigidity (Gollwitzer, Parks-Stamm, Jaudas, & when participants encountered different situations.
Sheeran, 2008). Research on this question suggests, No such impairments occurred, however, in differ-
however, that goal striving guided by implementa- ent situations that required different responding.
tion intentions shows neither total rigidity nor total Recent research has addressed a challenging ques-
flexibility; instead, it is characterized by flexible tion that goes beyond the rigidity/flexibility issue:
­tenacity. Indication of tenacity comes from recent Are there any types of effective if–then plans when
research assessing physiological measures of effort it comes to controlling one’s impulses or habitual
increase (i.e., cardiac preejection periods; Freydefont responses other than those based on the horse race
et al., 2016). The authors observed that when task model (i.e., if–then plans that specify an antagonis-
difficulty increased, only implementation intention tic response to the impulsive or habitual response)?
participants continued to display shorter cardiac Using various escalation of commitment task para-
preejection periods (i.e., mobilized additional effort), digms, Doerflinger, Martiny-Huenger, and Gollwitzer
whereas mere goal and control participants failed to (2017) analyzed whether if–then plans that specify a
do so. But there is an indication that this tenacity switch to reflective thinking whenever impulsive
shows features of flexibility. Legrand, Bieleke, ­responding is triggered can be used to halt it. They
Gollwitzer, and Mignon (2017) compared action found that participants with implementation inten-
control by implementation intentions to action con- tions to deliberate before making a decision of
trol by goal intentions under varying consequences whether to continue a chosen course of action (“If
of performing the goal-directed behavior, ranging the situation looks unfavorable, then I will deliber-
from mildly aversive to considerably aversive. As it ate thoroughly!”) disengaged more effectively when
turned out, when the consequences of performing facing negative feedback compared to participants
the goal-directed behavior became highly aversive without such implementation intentions. Using a
(i.e., monetary loss), both goal and implementation different type of decision problem (i.e., whether to
intention participants were less likely to perform the accept unfair offers in an ultimatum game), Bieleke,
goal-directed behavior, suggesting that implementa- Gollwitzer, Oettingen, and Fischbacher (2017) sought
tion intention participants manage to flexibly to help individuals overcome impulsive rejections of
­disengage from a goal that no longer justifies the unfair (albeit financially beneficial) offers by giving
costs associated with its attainment. them a reflection-focused implementation intention
There is a further question, however, when it (“If I start acting in a hasty way, then I will tell
comes to the issue of flexibility/rigidity of action myself: Use your brain!”). Participants with this

260 GOAL ATTAINMENT

reflection-focused plan took more time before exactly those obstacles that were personally most
making a decision and were also more likely to accept relevant and to link them to exactly those goal-­
the unfair offers compared to control participants directed responses that personally appeared to be
without such a plan. most instrumental. As dependent measures, partici-
pants maintained daily behavioral diaries to keep
Interventions track of the amount of time they exercised every
How can the research on goals be used to help people day. Overall, teaching the MCII technique enhanced
improve the attainment of their goals in everyday exercise more than the information-only control in-
life? Knowledge about effective self-regulation strat- tervention; this effect showed up immediately after
egies allows for creating interventions that teach the interventions and remained stable throughout
people how to help themselves. One such interven- the entire period of the study (16 weeks after the
tion developed by Oettingen and her colleagues intervention). More specifically, participants in the
combines mental contrasting with forming imple- MCII group exercised nearly twice as much: an aver-
mentation intentions into one metacognitive self- age of 1 hour more per week than participants in the
regulation strategy called mental contrasting with information-only control group. Regarding healthy
implementation intentions (MCII). eating (i.e., eating more fruits and vegetables), MCII
Mental contrasting and forming implementation also produced the desired behavior change; these
intentions complement each other. Via identifying ­effects were observed after the extensive time period
and imagining the desired future, mental contrast- of 2 years (Stadler et al., 2010).
ing clarifies in which direction one wants to act. Via A more recent intervention study by Sailer et al.
identifying and imagining the obstacles of present (2015) observed that MCII even helped patients
reality, mental contrasting provides the implicit with schizophrenia in autonomy-focused clinical
­associative links between future, obstacles, and in- hospital settings to translate their exercising inten-
strumental means as well as the energy to effectively tions into action. In another study, Adriaanse et al.
overcome the obstacles and attain the desired future. (2010) targeted the negative eating habit of
However, when the obstacles are particularly hard to ­unhealthy snacking in college students. Mental con-
overcome (e.g., if they are habits, impulses, or strong trasting with implementation worked for students
emotions), forming implementation intentions will with both weak and strong such habits, and notably,
further benefit attaining the desired future. it was more effective than mental contrasting
In turn, to unfold their beneficial effects, or  formulating implementation intentions alone.
­implementation intentions require that strong goal Moreover, MCII was observed to benefit chronic
commitments are in place, and mental contrasting back pain patients in increasing their health behaviors
creates such strong commitments. Implementation (Christiansen, Oettingen, Dahme, & Klinger, 2010).
intentions are also found to show enhanced benefits Over a period of both 3 weeks and 3 months,
when the specification of the if-component is ­patients increased their physical capacity compared
­personalized (Adriaanse, de Ridder, & de Wit, 2009), to a standard treatment control group. Physical
and mental contrasting guarantees the identification ­capacity was measured by objective (i.e., bicycle
of personal critical obstacles that can then be used as ergometer test and number of lifts achieved in
­
the critical situation for specifying the if-component 2  minutes) and subjective indicators (reported
of an implementation intention. physical functioning). In more recent intervention
In an intervention study with middle-aged women studies, MCII helped to reduce red meat consump-
(Stadler, Oettingen, & Gollwitzer, 2009, 2010), tion (Loy, Wieber, Gollwitzer, & Oettingen, 2016)
participants were taught the cognitive principles and increased physical exercise and weight reduc-
and individual steps of the MCII self-regulation tion in stroke patients over the period of 1 year
strategy. This intervention allowed participants to (Marquardt, Oettingen, Gollwitzer, Sheeran, &
apply MCII to their idiosyncratic everyday wishes Liepert, 2017).
and concerns. Specifically, participants were taught In the academic domain, MCII supported
to apply MCII by themselves to the wish of improv- medical residents in studying for their exams and
ing exercising and to the wish of healthy eating helped them manage their time (Saddawi-Konefka
whenever possible. Hence, MCII is referred to as a et al., 2017). The same effects in time management
metacognitive self-regulation strategy. Participants and performance were observed in working mothers
were free to choose whatever form of exercising they from low-income backgrounds instructed in MCII,
wished, and they were encouraged to anticipate who achieved success in vocational education

GOLLWITZER AND OETTINGEN 261

(Oettingen, Kappes, Guttenberg, & Gollwitzer, one’s goals: that the person must wholeheartedly
2015). Other studies have shown that using MCII embrace the wish and that the obstacle to overcome
increased the quality and quantity of homework as should be identified within one’s control and thus
judged by the parents of children at risk for ADHD be surmountable (Oettingen,  2014). Fulfilling an
(Gawrilow, Morgenroth, Schultz, Oettingen, & individualistic wish (course completion) in a collec-
Gollwitzer,  2013) and that it helped high school tivistic culture may present formidable obstacles
students work on practice tasks over summer and even lead to disengagement from individualistic
vacation for an upcoming standardized test
­ wishes rather than engagement.
(Duckworth, Grant, Loew, Oettingen, & Gollwitzer, Once people have been taught how to use MCII,
2011). Attendance and course grades improved in they can deploy it in everyday life in four simple
middle school children from low-income back- steps, taking just a moment of calm and uninter-
grounds ­instructed in using MCII (Duckworth, rupted time. They can apply it on their own, without
Kirby, A. Gollwitzer, & Oettingen,  2013). When guidance from others, making it a self-sustainable,
­applied to the domain of interpersonal relationships, practical strategy to help people take control of
MCII increased commitment to the relationship and their lives. Mental contrasting with i­mplementations
­decreased insecurity-related behaviors (Houssais, has been disseminated under the acronym WOOP,
Oettingen, & Mayer, 2013); it also helped couples talk which stands for wish, outcome, obstacle, plan (for
about sensitive topics (Oettingen & Cachia, 2016). the  ­dissemination of MCII or WOOP, see ­www.
To test the additive value of combining mental woopmylife.org and the WOOP app).
contrasting with implementation intentions, as
­opposed to using the strategies by themselves, Kirk, Conclusion and Outlook
Oettingen, and Gollwitzer (2013) conducted an The research on goals presented in this chapter
experiment using an integrative bargaining task
­ paints a picture of an agentic individual who can
(i.e., negotiating the sale of a car) to measure success. apply proper self-regulatory strategies to attain their
Students taught how to use MCII generated more goals. Mental contrasting and implementation
integrative win–win solutions than those who used ­intentions per se and in combination qualify as such
mental contrasting or if–then plans alone. Students strategies. They allow people to pursue realizing
in the MCII condition also demonstrated more their idiosyncratic wishes and timber their own
perspective taking and cooperation. In the study on ­development according to principles of what is
snacking behavior conducted by Adriaanse et al. ­desirable and feasible. When applied in metacog-
(2010) reported above, MCII better enabled students nitive form, mental contrasting and implementation
to eliminate bad snacking habits compared to mental intentions and especially their combined usage
contrasting or implementation intentions alone. (MCII) liberate people from being bound to erro-
By creating insights into their wishes, outcomes, and neous goal engagement and bad habits.
obstacles, mental contrasting prepared people to
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GOLLWITZER AND OETTINGEN 267

 CH A PT ER
Does Goal Pursuit Require
15 Conscious Awareness?

Ruud Custers, Stefan Vermeent, and Henk Aarts

Abstract

Human behavior is directed at goals. Although goal pursuit is traditionally regarded as an endeavor that
requires conscious awareness, experimental evidence in psychology suggests that human goal pursuit
can originate and unfold in the unconscious. Accordingly, goal-directed behavior could be motivated
outside conscious awareness in the current situation or environment. This chapter reviews past and
current research examining the evidence for such unconscious motivation of goal-directed behavior.
The review is organized around two themes. The first theme deals with research that analyzes goal
pursuit as automated behaviors, thereby addressing the operational function of repetition for motivated
processes in directing and controlling behavior in the absence of conscious awareness. The second
theme concerns the quest of understanding the unconscious sources of human goal pursuit and
includes a discussion of recent work on reward cueing, aimed at addressing the question of how reward
signals in the environment can motivate behavior outside awareness.
Keywords:  rewards, unconscious processes, motivation, regulation, priming

Any meaningful behavior humans engage in is goal In the current chapter, we aim to clarify how
directed. Humans do not behave randomly; they goal pursuit might emerge largely outside aware-
behave to realize specific states or outcomes they ness. We  will depart from the literature on habits
find desirable. From taking a walk in the park to and ideomotor theory, arguing that stimuli in the
buying groceries or making coffee, they pursue out- environment can activate outcome representations
comes, which requires keeping an eye on the prize, that, in turn, can trigger the associated actions that
choosing the right courses of action, and monitor- have produced these outcomes in the past. However,
ing their progress. Although conscious processes we assume that for goal pursuit to be supported by
play an important role all the way from planning to the effort it requires, rewarding properties of the
the execution of behavior, this role may decrease as outcome play a crucial role. We will review recent
individuals plan and execute particular goal-directed work that investigates how such motivational
actions repeatedly in the same context. Most people properties can motivate behavior without much
make their morning coffee absentmindedly, ponder- conscious ­intervention. We believe that a more
ing what the day is going to bring, instead of engaging thorough understanding of how goal pursuit may
in careful deliberation or planning the process of operate under the  radar of conscious awareness is
coffee making. Consciousness, then, may drop out beneficial for ­understanding and intervening in
of the equation for such well-rehearsed goal-directed human behavior ­because the majority of the goals
behaviors. Although such examples are numerous, it we pursue day to day are repetitive in nature, in
is less clear how goal pursuit is possible without terms of how we aim to attain them as well as the
much assistance of consciousness. context in which we do so.

269
Goal Pursuit Without Awareness: Some to build on evolutionarily old systems (midbrain
Preliminary Thoughts and Findings structures) that appear to develop in a preverbal stage
Modern theories of goals consider goal pursuit mainly and are guided by what is pleasant and aversive during
a conscious affair: In the event of a challenge or socialization experiences. Self-attributed motives, that
opportunity, we compare potential courses of actions is, motives that a person can express and report on
to determine which one to pursue to produce the de- explicitly, are thought to depend on evolutionarily
sired outcome, mainly based on the expected value of more recent systems (cortical structures) that develop
the outcome that motivates the pursuit (Deci & Ryan, later in childhood and are sensitive to language via
1985; Keeney & Raiffa, 1976). We then deliberate and verbal commands from others, self-­instructions, and
select the means that will produce the outcome and explicit knowledge about norms and values. As a
monitor the progress toward the goal as we engage in result of the early, nonverbal way in which they are
them (Gollwitzer,  1990). However, several lines of acquired, implicit motives tend to develop independ-
­research suggest that d ­ ifferent aspects of goal pursuit ently from conscious awareness and hence are difficult
may operate fairly automatically, without much to articulate. Self-attributed motives, in contrast, are
thought and under the radar of conscious awareness. suggested to rely on consciousness and are therefore
First, there is a rich literature on judgment and readily accessible to verbal reports. Accordingly, im-
decision-making suggesting that affect plays a key plicit motives must be assessed indirectly, for example,
role in the formation of attitudes, expected value, and with projective instruments such as the Thematic
choice, often bypassing deliberative processes. Such Apperception Test (see Schultheiss & Brunstein,
an affect-driven influence on human behavior has 2001). Self-attributed motives can be measured
been demonstrated in several research programs. For ­directly with instruments that rely on the capacity for
instance, people can implicitly form attitudes on the introspection, such as self-report questionnaires.
basis of simple evaluative conditioning p ­ rocedures Research on implicit motives largely focuses
in which neutral stimuli (CS) are linked to affective on  three main social needs, namely achievement
stimuli (UCS), sometimes without being aware of (i.e., the desire to prosper and gain success), power
the conditioning process (de Houwer, Thomas, & (i.e., the desire to influence and control others), and
Baeyens,  2001; Hofmann, de Houwer, Perugini, affiliation (i.e., the desire for friendly social interac-
Baeyens, & Crombez,  2010). Furthermore, studies tions). Once these motives are established, they orient,
employing decision-making tasks suggest that judg- select, and energize behavior (McClelland, 1985).
ment and choice are nearly impossible without emo- Indeed, several studies reveal that people’s b­ ehavior
tional processes. Human subjects have been shown to can be reliably predicted by achievement, affiliation,
approach decision options and avoid others based on and power motives that are measured by the Thematic
their bodily sensations and feelings that accompanied Apperception Test or alternative projection measures
the decision-making process, an effect that does not (for an overview of different measures of implicit
seem to rely on consciousness and has been dubbed motives, see Schultheiss & Pang, 2007) and this
the somatic marker hypothesis (Damasio,  1994). predictive value does not n ­ ecessarily correspond with
A nice illustration of this hypothesis pertains to the the predictive value of explicitly generated motives.
act of flipping a coin to decide what to do (e.g., when Finally, others have argued that such implicit
one needs a new car and one can choose between a motives can be acquired as a situational goal state.
Skoda or a Volvo). It turns out that a certain positive Situational goal states are shaped by direct experience
or negative sensation can become manifest when tails and other types of learning to act in a goal-directed
or heads determines one decision of a specific course way (e.g., I want to earn money) in a specific context
of action, indicating a preference was already present. (e.g., when I enter the office), such that after some
Second, rooted in Murray’s (1938) concept of repetition the context is able to trigger the pursuit
needs and its role in personality, a substantial of the goal at hand (Bargh, Gollwitzer, Lee-Chai,
­research program on social motivation suggests Barndollar, & Trötschel, 2001). Such priming e­ ffects
that specific patterns of preferences and decision-­ (effects in which the mere exposure to information
making can be driven by implicit motives. Implicit renders knowledge, such as a psychological concept,
motives are defined as motivational dispositions that ready for later use) are proposed to build on knowl-
operate outside of people’s conscious awareness and edge structures including the context, the goal itself,
are aimed at the attainment of specific classes of incen- and actions as well as opportunities that may aid
tives (McClelland, Koestner, & Weinberger, 1989; goal pursuit (Aarts & Dijksterhuis,  2000,  2003;
Schultheiss et al., 2008). These motives are presumed Bargh & Gollwitzer, 1994; Kruglanski et al., 2002).

270 DOES GOAL PURSUIT REQUIRE CONSCIOUS AWARENESS?

For example, the goal of consuming fruit may be Simonsohn, 2011), it has become clear over recent
related to eating a banana while having lunch in the years that one should not take evidence of an effect
university cafeteria. Or, a visit to an exclusive restau- as solid proof or facts. Several nonreplications of
rant or bar may be connected to interacting with psychological experiments have demonstrated that
good friends and the desire to socialize and go out. not all studies are as easily replicated (Doyen, Klein,
Thus, when activating or priming a goal by the asso- Pichon, & Cleeremans, 2012; Hagger et al., 2016;
ciated context (e.g., eating fruit when going for lunch Klein et al., 2014; Newell & Shanks, 2014). In this,
in the cafeteria), we do not access a single concept, but research on unconscious processes in goal pursuit is
rather a rich structure containing, among other things, no exception, with a recent joint replication effort
cognitive, affective, and behavioral information. involving many labs finding that only 36% of stud-
There is a long list of studies that seem to ies psychology-wide produce the same results when
underscore the notion that goal pursuit can be repeated (Klein et al., 2014). For one, these failures
triggered by the environment outside awareness. to replicate have statistical and methodological
Such environment-driven goal pursuit can be evoked reasons. Most studies use small samples and are thus
either directly, for example, by exposure to goal susceptible to noise. In combination with selective
­information, such as words associated with achieve- reporting of successful studies (i.e., the file drawer
ment (Bargh et al., 2001; Bongers, Dijksterhuis, & problem; Ioannidis,  2005) and researchers having
Spears, 2010; Eitam, Hassin, & Schul, 2008; Engeser, too many degrees of freedom to analyze and report
Wendland, & Rheinberg, 2006; Hart & Albarracín, data (Gelman & Loken, 2014; Simmons et al., 2011),
2009; Oikawa, 2004; Shantz & Latham, 2009), or the prevalence of environmental control of goal-­
indirectly, for example, by exposure to specific as- directed behavior may have been heavily overesti-
pects in the social environments, such as significant mated. Nonetheless, a recent meta-analysis of the
others or observation of another’s behavior (Aarts, effects of behavior priming established a small effect
Gollwitzer, & Hassin,  2004; Dik & Aarts,  2007; (Cohen’s d of 0.33) across several studies that in one
Friedman, Deci, Elliot, Moller, & Aarts,  2010; way or another show that action words can trigger
Loersch, Aarts, Payne, & Jefferis, 2008). actual behavior (Weingarten et al.,  2016). Most
Although the evidence for unconscious goal pur- ­notably, priming effects were stronger when actions
suit is mounting, the findings have been criticized were more subjectively valued or desirable. Despite
on two grounds: First, whereas this research suggests the methodological concerns, this is encouraging.
that goal pursuit can be triggered by the environment, Apart from these methodological concerns, the
the claim that this occurs outside awareness has priming literature offers a fairly heterogeneous pallet
been questioned. Specifically, tests of unawareness of studies. Although research participants are com-
rely on checks that ask participants to assess whether monly exposed to priming-sensitive information,
they have seen goal-relevant stimuli (relevant for the relation between the primes and the actual
controlling the unconscious processing of input) or ­representation of the concept that is assumed to be
to explicitly report in retrospect whether the pre- activated comprises substantial variation. Primes
sented environment or stimuli influenced them. can be words, observed behavior of others, objects
These measures have two problems: (a) subjects might related to a goal of actions, and so forth. At the same
simply have forgotten what happened before in the time, it is not always clear how goals or action-­
study or they are not willing to reveal their experiences related concepts are assumed to be represented (e.g.,
of being influenced (or not); and (b) apart from rec- amodal knowledge, embodied action, or outcome
ollection and motivational problems, the evidence representations), so it is hard to predict whether a
for unconscious processes is said to be provided when relevant representation will be activated in the first
there is no relation between the manipulation, place. Moreover, motivational factors are often
awareness checks, and dependent variable. In other overlooked. That is, primed behavioral constructs
words, the test of awareness is based on a null effect. may be related to an individual’s goal and therefore
Whereas null effects can exist, inadequate sample priming effects may differ from one concept to
sizes and small effects might produce a Type 2 error ­another and from one person to the next (see, e.g.,
(Vadillo, Konstantinidis, & Shanks,  2016), such Custers & Aarts,  2007; Ferguson,  2007). Because
that one fails to reject a false null hypothesis. most studies do not take into account such moti-
Second, in line with a general concern for vational moderators, priming effects on behavior
robustness of research findings (Gelman & Loken, may be present or absent. Finally, there is little
2014; Ioannidis,  2005; Simmons, Nelson, & agreement about the behavioral measures to detect

CUSTERS, VERMEENT, AND AARTS 271

priming ­effects and these measures may differ in that allow responses (r) to occur and actions to be
their sensitivity, the exact properties of behavior they selected by activating the representation of the out-

happen (o´ → r → o). Crucially, the account also

pick up (direction of behavior, invested effort, etc.), come (o´), which eventually makes this outcome (o)
and the match with the behavioral effects.
It appears, then, that there is not consensus about holds that when positive affective information is
either conceptual analyses or experimental procedures represented in the outcome (o+´), then this can act
to be able to offer a clear operational definition of as a reward signal, which may boost effort invested
the topic under investigation. Such clarity might in the behavior, essentially motivating behavior to
help to understand and appreciate (some of ) the obtain the actual rewarding outcome (o+). Thus, the
findings on environmental control of goal pursuit acquisition of genuine human goal pursuit relies on
that possibly occurs outside awareness. But what, a representation of a rewarding outcome, a response,

come (o+´ → r → o+; Custers & Aarts, 2010).

then, are the mechanisms that produce these effects? and the actual experiences of the rewarding out-
In the next section we present a possible account for
these findings. Accordingly, priming the representation of the
desired outcome moves the body to result in obtain-
Goal Pursuit as Automated Behaviors ing the actual rewarding outcome. To understand
In recent years, we have developed an account in how responses can be automatically triggered, we
which goal pursuit as automated behaviors can be first turn to the literature on habits, spelling out the
understood. This account is called ADORE (goals difference between purely habitual responses and
as action–(desired) outcome representations) and goal-directed behavior that is initiated outside
has been presented previously in different versions awareness.
(see Figure 15.1; Custers & Aarts, 2010, 2014). The
main goal of ADORE is to promote a better under- Habitual Action Selection
standing and examination of how the covertly oper- At the lowest level of analysis, habits can be regarded
ating brain–cognition interface controls observable as stimulus–response (s–r) links that are established
human behavior: behavior (e.g., pressing a lever or and reinforced by rewards that follow certain
keys on the keyboard) that can be clearly classified ­responses to a stimulus. If, for example, one always
as goal directed; actions that are executed to obtain wakes up to the alarm clock, takes a shower, and
a valued outcome (getting food or producing letters finds comfort in doing so, the sound of the alarm
on the computer screen). clock may become associated with the response of
In line with others (Hommel et al.,  2001; taking a shower. Eventually, when the behavior has
Jeannerod, 1997; Prinz,  1997), ADORE assumes repeatedly been executed in response to the certain
that action–outcome representations are a natural stimulus and the stimulus–response association has
consequence of repeatedly performing actions and become well established, the perception of the stim-

associated behavior (s → r).

experiencing their outcomes. These action–outcomes ulus may automatically trigger the execution of the
form the basis for goal-directed behavior. More for-
mally, action–outcome representations are formed This view suggests that, after sufficient practice,
behavior becomes completely stimulus controlled
and eventually operates independent of the rewards
Unconscious activation of a (e.g., the comfort of the shower) that initially rein-
goal representation forced the behavior. This perseverance of an s–r
­relation after reward removal or devaluation (e.g.,
one keeps walking to the shower in response to the
Preparation of
Detection of alarm clock even if the shower only provides cold
positive reward water) is taken as evidence that the behavior is no
action
signal
longer driven by rewards (or the anticipated desired
outcome) and is truly habitual (Dickinson,
Goal pursuit Balleine, Watt, Gonzales, & Boakes, 1995).

Action–Outcome Learning
Figure 15.1  Action–(desired) outcome representations However, actions can also be triggered through out-
(ADORE) framework for understanding priming effects on come representations. Such action–outcome learning
goal pursuit based on Custers and Aarts (2010). capitalizes on the human capacity of learning to

272 DOES GOAL PURSUIT REQUIRE CONSCIOUS AWARENESS?

 ­outcome that follows the response (s → r → o; e.g.,
a­ssociate a stimulus-triggered response with an In an attempt to extrapolate the principles of
ideomotor behavior addressed above to a more con-
a sound triggers the act of moving one’s arm to the ceptual level of analysis, researchers have tested
left, which results in shutting down the alarm clock). whether behavior and language comprehension are
Stimuli in the environment would, then, trigger a closely connected, such that words (semantic
response not directly, but through the representation ­information) referring to actions lead to activation

(s → o´ → r → o).
of an outcome that is associated with the response of the motor programs that produce them. Such
­semantic motor resonance (Zwaan & Taylor, 2006)
Important support for such a perspective comes has also been demonstrated in functional magnetic
from the empirical observation that humans repre- resonance imaging studies where subjects were
sent their actions in terms of their observable effects ­exposed to action words. It was found that merely
or outcomes and establish associations between the reading words related to finger, mouth, or foot move-
outcomes and the motor programs that produce the ments produced activation in the same areas in the
outcome (s–o; Hommel et al., 2001; Jeannerod, 1997; premotor cortex that were activated when perform-
Prinz, 1997; Vallacher & Wegner, 1987). As a conse- ing the actual corresponding actions (Pulvermüller,
quence, action can follow from an ideomotor 2005). This demonstrates that reading words related
principle (James, 1890): Merely thinking about or to action–outcomes triggers the ­corresponding motor
activating a representation of a certain outcome (o´) programs, which provides a mechanism by which
moves and programs the human body in the service more complicated semantic information related to

sion to act (o´ → r → o). In addition, representing

of achieving that outcome without a conscious deci- outcomes may trigger behavior that produces them.
It is worth noting that these studies demonstrate
actions in terms of their potentially desirable out- that motor resonance as a result of observing others’
comes allows people to direct their behavior at the goals or reading abstract descriptions of action–­
level of the specific outcome, in that they serve as outcomes implies that actions and their outcomes
reference points that guide and adjust ongoing are hierarchically organized. Consider that reading the
­actions toward producing the desired goal. word kick, for instance, triggers the corresponding
Evidence from such automatic effects comes from action of bending the knee and then swinging the
outcome-priming studies. In such paradigms, par- leg forward. The word kick, then, triggers not one
ticipants usually must react to two different stimuli response, but a pattern of responses that are chained
with two different responses that each produce their together (Custers & Veling,  2009), in that one
own outcome. When outcomes are primed just before ­response (bending) triggers the next (swinging), and
the imperative stimuli, action selection (speed and hierarchically, in the sense that the behavioral out-
accuracy) is biased by the primes. For instance, in a come of kicking is the result of simpler actions
seminal study by Elsner and Hommel (2001), par- (bending and swinging) that are, in turn, caused by
ticipants learned that left/right keypresses yielded even simpler actions (contracting specific muscles).
low/high tones in a learning phase. In the test phase, The more abstract the behavioral outcomes (e.g.,
presenting low/high tones just before people’s earning money, helping), the more steps it takes to
­responses biased actions in the direction of the primes. cascade down to the motor level. This hierarchical
Such outcome-priming effects are also apparent organization implies that each action can be seen as
in mimicry. Mimicry could be seen as a specific the outcome of simpler actions, and hence the
case of ideomotor behavior in which perceived concepts of goals and means can be used inter-
­behavioral outcomes in others trigger the same changeably depending on the level of explanation.
­behavior in the observer. For instance, perceiving a The proposal of such a hierarchical structure of
smile may activate an outcome representation (o´) ­actions has been widely accepted in several areas of
that is associated with a particular pattern of motor psychological research (Carver & Scheier,  1981;
responses (i.e., contracting specific facial muscles), Gallistel, 1985; G. A. Miller, Galanter, & Pribram,
which produces the outcome in the observer. It has 1960; Mischel,  1974; Powers,  1973; Schank &
even been argued that mirror neurons that have Abelson, 1977; Vallacher & Wegner, 1987).
been observed in monkeys (i.e., neurons that are The precise implementation of such abstract
activated on execution of an action as well as outcomes as earning money or helping can never be
­perceiving its outcome) reflect a learned overlap in fully the result of action–outcome associations that
action and outcome representations on the single-cell are retrieved from memory. This implementation
level (Heyes, 2010). must be influenced by bottom-up processes in the

CUSTERS, VERMEENT, AND AARTS 273

specific behavioral context as well. Through such literature (Estes, 1948; Rescorla & Solomon, 1967).
situated cognition (Barsalou,  2016), the specific In the classic Pavlovian-to-instrumental transfer
­instantiation of “helping” may depend on which paradigm, an animal learns that a neutral stimulus
­behaviors are afforded by the situation. Thus, depend- predicts a particular positive outcome (an s–o+ rela-
ing on the (social) context, activating the mental tion formed by Pavlovian conditioning, say, a bell
representation of helping can lead to picking up predicts food). In addition, it also learns separately
dropped pens or holding a door for someone. that a particular response leads to the outcome (an
Assuming that both action patterns are overlearned, r–o+ relation formed by instrumental learning, say,
it is still plausible that the context already determines that pushing a lever produces food). When the
the specific action pattern that is triggered by the result of learning is tested under extinction (neither
abstract outcome representation. Hence, abstract the stimuli nor the responses produce the reward

response (s → r), even though this association has

outcome representations could—when activated— any longer), it is found that the stimulus evokes the
in principle, produce behavior in a rather flexible
way, rendering the behavior adaptive in the context never been explicitly reinforced. That is, the Pavlovian
at hand. conditioning transferred to the stimulus, so that it
now is associated with, and evokes, the response. In
Can Stimuli Trigger Motivation? general Pavlovian-to-instrumental transfer, this effect
Although the theories previously outlined explain is shown to be nonspecific, in that the stimulus
how stimuli can trigger responses, mediated by ­appears to motivate any response, even responses
outcome representations or not, they are silent that have never been associated with the outcome.
when it comes to the question of whether, besides Biological grounding of this transfer of motiva-
directing behavior, such stimuli can also motivate tional value from the outcome to the stimulus
this behavior outside awareness. For goal pursuit to comes from research suggesting that so-called
operate, behavior must also be furnished with the pleasure centers in the brain (mainly targeting the
necessary effort. ­nucleus accumbens) are involved in the mechanism
that creates incentives (Shizgal, 1999). For example,
Incentive Learning rats that have learned to perform an arbitrary behav-
Early findings from research on incentive learning ior such as pressing a lever in a cage that is followed
provide some evidence showing that stimuli may also by electrical stimulation of the mesolimbic brain
incentivize or motivate behavior. Incentive learning area become highly motivated to perform that
theories were inspired by remarkable findings in dif- ­behavior (as the behavior activates the brain’s pleasure
ferent animal labs that shed new light on the role of center and, hence, triggers positive affect; Olds &
reinforcement in learning processes following the Milner,  1954). It appears as if pushing the lever
s–r habit paradigm (Skinner,  1953; J.  B.  Watson, ­becomes a goal in itself. Illustrative of the motiva-
1925). For instance, operant stereotypes or misbehav- tional strength of this type of incentive learning, it
iors were discovered during operant conditioning has been established that animals run uphill, leap
experiments (Breland & Breland, 1961). One such over hurdles (Edmonds & Gallistel, 1974), and cross
behavior is autoshaping (Brown & Jenkins, 1968; electrified grids (Olds, 1958) to engage in the behav-
Williams & Williams, 1969). For example, it has ior. Importantly, such enhanced effort effects occur
been shown that pigeons, for which free presentation even in the absence of physiological deprivation
of food is repeatedly paired with a light signal, start states such as thirst or hunger (Shizgal, 1997). This
to vigorously pick at the light bulb although this research demonstrates that practice not only leads to
behavior is not explicitly reinforced. This phenome- automatic stimulus–response rules, but also can
non, in which the animal’s behavior is automatically endow stimuli with motivational power.
shaped without specific reinforcement, occurs
­because the positive affect or pleasure aroused by Understanding the Unconscious Source
the food has now become linked to the light bulb, of Human Goal Pursuit
which triggers a motivational approach in the animal In humans, motivation has been mostly studied as a
as if the stimulus were an incentive. function of monetary rewards. In daily life, most
people deal with money every day, several times a
Pavlovian-to-Instrumental Transfer day, and in small and large amounts. Accordingly, it
A similar phenomenon is the case of general Pavlovian- is no surprise that money is a powerful motivator
to-instrumental transfer in the animal-learning for human decision-making and behavior and that

274 DOES GOAL PURSUIT REQUIRE CONSCIOUS AWARENESS?

people are willing to work for it (e.g., see Bijleveld & and either presented for a very short (suboptimal)
Aarts, 2014, for a summary on the role of money or long (optimal) interval. Regardless of whether
in people’s lifes). Interestingly, money seems to act participants could consciously perceive how much
just as other more basic acquired rewards, such as money was at stake, they deployed more force for
food, water, and sex. Neurobiological studies have the high-value coins. Congruently, skin conductance
shown that a variety of reward cues, including money, responses—used as an index of sympathetic nervous
are encoded by the same brain areas (specifically, the system activity—were higher to suboptimally
ventral striatum accommodated in the mesolimbic ­presented images of 1 pound compared to those of
system). Accordingly, the striatum has also become 1 penny.
known as the reward center implicated in the moti- A similar effect has been demonstrated for
vation of human cognition and behavior. ­cognitive effort, looking at physiological markers of
There is ample evidence showing that monetary effort. Bijleveld, Custers, and Aarts (2009) asked
rewards affect cognition and behavior in several participants to memorize digits and then to recall
ways. In human subjects it has been demonstrated them verbally. At the beginning of each trial, a high
that money improves their performance on several reward (50 cents) or a low reward (1 cent) was at
cognitive tasks, such as visual attention, working stake and was presented either suboptimally or
memory, and response conflict (Bijleveld & Aarts, ­optimally. Pupil dilation, a physiological measure
2014). In addition, the value of money has been related to the mobilization of mental effort, was
shown to play a crucial role in the assessment of used. Participants showed an increase of pupil
expected values and decision-making and that one ­dilation—related to an increase of mental effort
is more willing to spend effort when more money is ­invested—on highly rewarded trials, and this held
at stake. regardless of whether the rewards were presented
It is important to emphasize that, despite its suboptimally or optimally.
­profound and pervasive effects, most research that Crucially, this effect was only obtained for diffi-
addresses the question of how money affect people’s cult trials (memorize five digits) and not for easy
mind, brain, and behavior explicitly conveys or trials (memorize three digits). This finding segues
communicates to subjects what amount of money well with the classical features of effort mobilization
can be earned by increasing their task performance. (Brehm & Self,  1989; Wright & Gendolla,  2012;
Thus, the question of whether reward cues also Wright & Kirby,  2001): People mobilize no more
­impinge on human performance outside conscious energy than necessary to achieve a goal when per-
awareness has not been directly addressed. In the forming an easy task. However, when task difficulty
section “The Power of Reward Cues,” we review a is high, individuals will strive to reach the highest
line of research that investigates this, employing an possible performance level that is necessary to ensure
experimental method in which task performance is goal attainment.
tested after suboptimal (i.e., hard to consciously Capa and colleagues (Capa, Bouquet, Dreher, &
perceive) presentation to reward cues (coins). Dufour, 2013) obtain more direct evidence for the
role of effort mobilization in response to suboptimal
The Power of Reward Cues reward cues. In their experiment, participants were
A growing literature suggests that stimuli in the instructed that, if they responded correctly to each
­environment that signal an opportunity for obtain- trial of a run of 13 trials, they would receive the
ing a reward can indeed motivate behavior in the money displayed at the beginning of the run.
absence of awareness. The first study to demonstrate Participants exhibited better performance, as shown
this was provided by Pessiglione and colleagues by percentage of correct runs, for a higher than for
(Pessiglione et al., 2007), who invited participants a lower reward displayed, regardless of whether they
to perform a task in which they could earn money were presented optimally or suboptimally. This
by squeezing a handgrip. Before each squeeze, the better performance was likely to be the result of a
money that could be earned was indicated by dis- greater mobilization of resources, as suggested by a
playing the picture of a 1-pound or 1-penny coin on stronger suppression of frontocentral alpha activity.
the screen. Participants were told that the harder they Reduced alpha activity over different cortical areas,
squeezed, the larger the percentage of the reward at from frontal to parietal sites, has been reported
stake they would earn. The coin pictures were during the performance of mental tasks (Gevins,
masked (for a review on masked priming, see van Smith, McEvoy, & Yu, 1997) and is inversely related
den Bussche, van den Noortgate, & Reynvoet, 2009) to the amount of cortical resources allocated to task

CUSTERS, VERMEENT, AND AARTS 275

performance. Because the mean time of the run was that suboptimal cues signaling high rewards enhanced
40.74 seconds, this study also demonstrates that performance, even when these rewards were unat-
suboptimal reward cues can have an effect lasting tainable. In contrast, optimal high-reward cues only
over several seconds. Importantly, no differences in improved performance when the rewards could be
performance and alpha activity were observed attained. This suggests that optimally presented
­between the beginning and end of each run, sug- ­rewards are used more strategically in effort prepara-
gesting that although null-effects do not allow firm tion, whereas suboptimal cues just seem to boost
­conclusions, the effect of unconscious reward had effort regardless of whether this is helpful in attaining
not collapsed over time. the reward (Bijleveld, Custers, & Aarts,  2010;
The finding that reward cues can mobilize mental Veling & Bijleveld, 2015; Zedelius, Veling, Bijleveld,
effort outside awareness has been replicated by others et al., 2012).
(Bijleveld et al.,  2014; Bijleveld, Custers, & Aarts, The findings discussed above have been captured
2010, 2011; Capa et al., 2013; Capa, Cleeremans, in a framework for understanding and examining
Bustin, & Hansenne,  2011; Zedelius, Veling, & human reward processing and its similar or distinc-
Aarts, 2011, 2012; Zedelius, Veling, Bijleveld, & Aarts, tive effects on task performance (see Table  15.1;
2012). However, the studies described above dem- Bijleveld, Custers, & Aarts, 2012b). This framework
onstrate a similar effect for conscious reward cues mainly addresses the processing of monetary reward
and reward cues that were allegedly presented with- cues, but it can also be applied to other reward cues.
out being ­accompanied by awareness. Although at In more detail, this framework proposes that people
first sight this seems to provide evidence for the idea first process rewards in rudimentary, subcortical
that ­conscious and unconscious reward cues moti- brain structures.
vate behavior in the same way, it also leaves the door One of these structures is the striatum—a cere-
open for important criticism. That is, if conscious bral structure that is also activated by suboptimal
and unconscious reward cues always have the same reward cues (Pessiglione et al., 2007). As observed
effect, it could also be the case that even though stim- in several studies, this initial processing can facilitate
uli were presented briefly between masks, participants task performance directly by prompting the recruit-
were still able to consciously perceive them. Stronger ment of effort in the service of reward attainment.
evidence for unconscious effects would be provided This initial processing of reward cues requires little
by studies that seek to produce a dissociation between perceptual input and is not consciously experi-
the effects of conscious and unconscious reward cues. enced. When participants are aware of the reward at
Such a dissociation was provided by Zedelius, stake, rewards may undergo full processing. In that
Veling, and Aarts (2012). In this experiment, not case, brain structures that are engaged may i­nvolve
only the presentation of the reward cues was higher level cognitive functions located in the fron-
­manipulated, but also the attainability of the reward. tal brain, in addition to the rudimentary structures
That is, at the beginning of every trial, participants ­already engaged by initial reward processing, such as
were informed whether a subsequently presented the anterior cingulate cortex, the dorsolateral pre-
reward would be attainable or unattainable. Efficient frontal cortex, and the medial prefrontal cortex.
performance thus required the trial-by-trial integra- These cerebral structures are related to cognitive
tion of reward value and attainability. It was found functions such as strategy and decision-making

Table 15.1  Framework for Reward Processing

Type of reward Required Phenomenological Functionality and potentially Behavioral outcomes

processing intensity experience of reward involved brain structures
of reward

Initial Low Reward is not consciously Rudimentary: VS and its Facilitation of performance
experienced ­immediate outputs
Full High Reward is consciously Rudimentary: VS and its Facilitation of performance;
­experienced ­immediate outputs; higher strategic decision-making
level: MPFC, ACC, DLPFC and reflections on rewards

Note. VS = ventral striatum; MPFC = medial prefrontal cortex; ACC = anterior cingulate cortex; DLPFC = dorsolateral
prefrontal cortex. Based on Bijleveld, Custers, and Aarts (2012a).

276 DOES GOAL PURSUIT REQUIRE CONSCIOUS AWARENESS?

(LeDoux, 1996), executive control, and maintenance to the proposal that a positive reward signal associated
of reward information over time (Haber & Knutson, with outcomes plays a crucial role in the unconscious
2010). Thus, full reward processing may lead indi- origins of goal pursuit (Custers & Aarts, 2010).
viduals to consciously choose a strategy. Specifically, when a desired outcome or goal is primed,
It is important to note that the framework briefly activation of the mental representation of this out-
discussed above is related to research in the area of come is immediately followed by the activation of
emotional processes and working memory. Specifically, an associated positive affective tag, which acts as a
in a substantial contribution to theory and research reward signal for pursuing the primed goal. The
on fear processing and motivated behavior, LeDoux positive reward signal attached to a goal thus
(1996) has distinguished two routes of emotional ­unconsciously facilitates the actual selection of the
processing: the low (direct) route and the high goal and the subsequent mobilization of effort and
(­indirect) route. The direct route is considered to resources to maintain the goal, unless other (e.g.,
operate unconsciously and involves the limbic brain more rewarding) goals gain priority. This affective–­
system that processes emotional information rapidly motivational process relies on associations between
and superficially. The high route involves conscious the representations of outcomes and positive reward
processing and is more slow and precise in dealing signals that are shaped by one’s history (e.g., when a
with specific information processed in cortical areas. person was happy when making money or per-
Accordingly, emotional information is initially pro- forming well). In this case, the goal is said to preex-
cessed in a crude way to prepare the body and further ist as a desired state in the mind. Priming this goal
processed in a more analytical way to produce a proper representation not only prepares the appropriate
response. ­instrumental actions associated with the goal, but
In another domain relevant for understanding also motivates behavior, rendering it persistent and
goal-directed behavior, Baars (2002) proposed a ­flexible, directed at attaining the desired outcome.
global workspace theory to account for the role of A recent set of studies investigated the role of this
working memory in supporting the control and positive reward signal attached to a goal in the effects
execution of behavior. According to this theory, of goal priming in teenagers and young adults (Custers
unconscious processes can run in local brain networks & Aarts,  2007; Ferguson,  2007). For instance,
that operate in parallel with limited communication Custers and Aarts (2007) exposed participants to
between them, but they can form “coalitions” to suboptimally presented words related to the goal of
broadcast messages throughout the brain. This coa- going out socially. Next, they performed a mouse-
lition formation and respective broadcasting is click task that, if sufficient time was left, was followed
supposed to occur in the global workspace, which by a lottery in which they could win tickets for a
co-occurs with consciousness. The global workspace popular student party. Thus, working hard (or fast)
might be used to exercise executive control to per- on the task can be seen as a means to get to the goal
form voluntary actions, thereby increasing the like- of socializing. It was established that participants
lihood of achieving goals. put more effort into the instrumental task to attain
In short, then, several lines of research suggest that the goal state when the goal concept of “socializing”
goal pursuit can originate in the unconscious: was primed and that this effect was more pronounced
Motivational and emotional information is initially when the goal concept was more positive (which was
processed in the mesolimbic system and goal-­ assessed in a separate implicit affective association
relevant information is handled by independently task). These findings show that goal-priming effects
operating local brain networks that support goal- on motivated behavior and action control are
directed behavior. Further processing in cortical ­conditional on the positive valence attached to the
areas and communication between local networks primed goal. Similar effects of positive reward value
might promote effective decision-making and goal attached to a goal have been documented for other,
pursuit that is accompanied by conscious awareness perhaps more consequential behaviors. Priming an
of the goals one pursues. egalitarian goal, for instance, changes people’s voting
behavior to the extent that this goal is represented as
When Outcome + Reward Information positive or rewarding (Ferguson, 2007).
Are (Re)presented in One Instance The findings presented above indicate that non-
The notion that a variety of reward cues are encoded conscious goal pursuit may result when a preexisting
by the same brain system to motivate cognition and desired goal is activated, which, because of its asso-
action and can be processed unconsciously has led ciation with positive affect, sets off a positive reward

CUSTERS, VERMEENT, AND AARTS 277

 signal. In theory, this process could be simulated by A recent study examined the effects of coactivating
externally triggering the affective signal just after goal representations and positive reward signals
­activation of a neutral goal concept (i.e., a goal con- on  the preparation and motivation of behavior in
cept that provides a reference point for action but more detail. In this study, healthy young adults had
does not designate a current desired state that people to squeeze a handgrip in response to a start sign
are motivated to pursue). This ability to respond to while the timing and persistence of their behavior
the mere coactivation of goal representations and were measured (Aarts, Custers, & Marien, 2008).
positive affective cues is thought to play a funda- Prior to this task, words pertaining to the goal of
mental role in social learning (N.  E.  Miller & physical exertion were suboptimally presented (or
Dollard,  1941) and is considered basic in motiva- not) together with positive words that signal rewards
tional analyses of human behavior (Shizgal, 1997). (e.g., good, nice) or not. In line with the ideomo-
Thus, when a child observes its mother’s smile upon tor principle, research participants who were sub-
munching homemade cookies, a student witnesses optimally primed with the goal of exertion started
a hilarious joke upon entering the classroom, or a to squeeze earlier. However, only participants for
person strolling around in the mall hears people whom the goal was coactivated with a positive reward
laugh while reading on a billboard “Start your holi- signal recruited more resources to execute this goal, as
day here,” this can cause the goal representations evidenced by more forceful and persistent squeezing.
that are primed by those situations (eating candy, Consciously reported motivation did not show any
achieving at school, booking a vacation) to acquire relation with the suboptimal goal-priming manipu-
an intrinsic reward value, which prepares and regu- lation. Hence, activating a goal representation gives
lates goal-directed behavior. behavior a head start, whereas the accompanying
This hypothesis that mere coactivation of a reward signal motivates behavior outside awareness
­neutral goal concept and positive affect simulates (for replications, see Takarada & Nozaki, 2014, 2017).
the acquisition of desired goals and produces In an examination of the role of affective
nonconscious goal pursuit has been tested as well ­information in the context of ideomotor learning,
(Aarts, Custers, & Marien, 2008; Aarts, Custers, & Eder and colleagues (Eder, Rothermund, de Houwer,
Veltkamp, 2008; Aoyama et al., 2017; Blakemore, & Hommel,  2015) taught their participants to
Neveu, & Vuilleumier, 2017; Custers & Aarts, 2005; ­process positive and negative pictures after perform-
Holland, Wennekers, Bijlstra, Jongenelen, & van ing a specific action. Thus, the assumption here is
Knippenberg, 2009; Takarada & Nozaki,  2014, that a positive and negative event is represented in
2017; Veltkamp, Aarts, & Custers, 2008; Veltkamp, terms of an outcome of specific actions, and hence,
Custers, & Aarts, 2011). In these studies, goal con- participants should be more motivated to select the
cepts were paired with positively valenced informa- action that leads to positive events than the action
tion outside conscious awareness by exploiting the that leads to negative events. Their research estab-
evaluative conditioning paradigm (de Houwer et al., lished two findings. First, they showed a compati-
2001). For instance, it has been shown that repeated bility effect of priming in a response facilitation
pairing of the representation of a neutral goal concept paradigm. That is, they found that anticipating pos-
(e.g., words such as drinking, cleaning up, doing itive events automatically triggered the associated
puzzles) and positive affect (e.g., words such as action, but anticipating negative events did so as
summer or nice) motivates participants to work well. However, automatically selecting an action in
harder on an intervening task to secure engagement response to anticipating negative outcomes and
in the behavior (Custers & Aarts, 2005). In another then producing them does not seem functional for
study, effects of linking the behavioral concept of an organism that controls action to satisfy needs
drinking to positive affect were compared with the and desires by realizing favorable events and avoid-
deprivation of water on the amount of water that ing aversive ones (Eder & Hommel,  2013; Elliot,
was consumed in a tasting task. The results of this 2013). Interestingly, testing the ideomotor learning
study showed that deprivation increased the amount effect in a free-choice task yielded a response selec-
of drinking and that shaping drinking as more tion bias toward positive consequences. This latter
­positive caused participants to drink more water effect provides suggestive evidence for the idea that
only when they were not deprived. These findings positive events that follow actions are represented as
indicate that linking neutral goal concepts to posi- desired outcomes.
tive affect simulates effects of actual needs (Veltkamp, In another ideomotor learning study exploring a
Aarts, & Custers, 2009). specific case of the Pavlovian-to-instrumental transfer

278 DOES GOAL PURSUIT REQUIRE CONSCIOUS AWARENESS?

 effect, Marien, Aarts, and Custers (2015) tested the motivating power of cues that signal prospective
interactive role of action–outcome learning and rewards. Drawing on paradigms borrowed from
­
positive signal processing in motivating human evaluative conditioning research, studies from our
goal-directed behavior. Specifically, they addressed own as well as other labs were discussed that dem-
different stimulus–response order conditions to onstrated that coactivating outcome representations
­examine whether a specific action (e.g., pressing the and reward cues in a controlled manner in the lab
spacebar with the left index finger) that is followed promotes goal pursuit, even when people are una-
(rather than preceded) by neutral stimuli motivates ware of this coactivation.
individuals to obtain these stimuli when the neutral The current framework advances our under-
stimuli are accompanied by positive sensations. In standing of priming effects on motivated behavior,
an action–outcome learning paradigm, they manipu- not only by demonstrating such priming effects, but
lated whether a neutral object (e.g., a pencil) appear- also by offering a testable definition of goal repre-
ing on the computer screen was conceived of as an sentations: Although representing actions in terms
outcome (o) of response (r) by asking participants to of their outcomes may be enough for ideomotor
press the spacebar before or after the presentation of action, our framework holds that this outcome must
the stimulus. Furthermore, they independently pre- have rewarding properties (i.e., be desirable) for
sented neutral (s0) or positive (s+) auditory stimuli motivational effect to occur. Although the action–
upon visual presentation of the object (neutral audi- outcome learning literature has largely ignored the
tory stimuli were words such as because or there; role of the desirability of the outcome (but see Eder
positive auditory stimuli were words such as good et al., 2015), rewards and outcomes have nearly always
or nice that are central to the human nature of been conflated in research looking at the motivational
social learning and reinforcement; Bandura, 1986; power of cues (see, e.g., Talmi, Seymour, Dayan, &
N. E. Miller & Dollard, 1941). Results showed that Dolan,  2008; P.  Watson, Wiers, Hommel, & de
actual effort to obtain the object was only enhanced Wit, 2014). By looking at how action–(­desirable)
when the action was followed by the object and pre- outcome representations are learned, the ADORE
sented with a positive signal. The findings suggest framework has opened up new avenues for research
that people represent stimuli as outcomes when a on how cues in the environment may shape human
stimulus follows action performance and become behavior outside awareness.
motivated to attain them when this stimulus is Our account also offers that reward cues in the
­accompanied by a positive signal. environment may be processed at different levels as
In sum, research has demonstrated that (a) a result of the strength of the input of the reward
priming people with outcomes causes them to per- signal. Although initially rewards may be processed
form the relevant associated actions with more effort in a rudimentary way, mainly by the ventral stria-
or vigor when these outcomes are more strongly tum, full reward processing may involve the medial
associated with positive affect and (b) priming
­ prefrontal cortex, the anterior cingulate cortex, and
­neutral outcomes together with positive reward cues the dorsolateral prefrontal cortex (see Bijleveld et al.,
has the same effect. Hence, this provides converging 2012b). Although it is hard to say whether conscious
evidence for the idea that both the recruitment of awareness plays a causal role in this spread of activa-
associated action patterns and the reward signals tion, it is certainly in line with theories on the func-
evoked by primes or cues in the environment related tion of consciousness (Baars, 2002). Understanding
to outcomes play a central role in the manifestation this role of conscious awareness may help to predict
of goal pursuit. whether reactions to reward cues may be a boost in
invested effort or whether more complicated strategic
Conclusion and Future Directions behavior may unfold.
In the present chapter, we presented our ADORE Although our framework builds on findings
framework in an attempt to shed more light on the from different paradigms and various labs, it is
role of conscious awareness in goal pursuit. In doing ­important to note that much of the support for the
so, we brought together two largely independent motivating effects of cues that signal prospective
lines of research: first, the literature on action–­ ­rewards uses money as reward. Although money is
outcome learning, which claims that cues related to an important all-round motivator with which each
outcomes can activate associated action representa- of us has a long history, we do not believe that the
tions, serving as an explanation for ideomotor obtained effects are necessarily driven by preexisting
­effects on behavior; and second, the literature on the associations between money and effort. Although

CUSTERS, VERMEENT, AND AARTS 279

other studies suggest that just priming the concept the individual may in large part be dependent on the
of money may have an effect on behavior (Vohs, ability to prevent oneself from engaging in rewarding
Mead, & Goode, 2006), rewards in the work dis- behaviors that have undesired personal and social
cussed here are always relative, pitting the effects of long-term consequences (e.g., eating junk food,
a low reward (1 cent) against those of a higher derogating others). Although it is known that ongo-
reward (10 or 50 cents). It is worth emphasizing that ing and impulsive behaviors can be inhibited directly
the effects of those high(er) rewards have been found by environmental stimuli or well-learned stop rules
to be dependent on the level of difficulty. Although, (Chen, Veling, Dijksterhuis, & Holland, 2016;
relative to the low reward, high-reward cues boost Verbruggen & Logan, 2009), we do not yet know
motivation in difficult conditions, they do not in whether and how people can express an unconscious
easy conditions where no effort is required. Therefore, volitional veto (Brass & Haggard, 2007) or whether
whether reward cues boost motivation depends not consciousness as a relatively new knack of human
only on the reward cue itself, but also on interact evolution is required to overrule the labor of the older
with the situation at hand. reward system involved in unconscious goal pursuit.
Although our framework maintains that cues Recently, researchers have started to explore the
can evoke motivated behavior outside awareness, role of negative affect in this process, and it turns
the question remains whether people are truly una- out that negative stimuli that are merely processed
ware of the cues that affect their behavior. Although when having a goal in mind can put goal pursuit on
the majority of the studies we described use subop- hold (Aarts, Custers, & Holland,  2007; Boksem,
timal presentation of cues, it is still possible that Ruys, & Aarts,  2011; Clore & Huntsinger,  2009;
some results are driven by some participants who Knight, Brewer, Ball, DeWitt, & Marsh,  2015;
consciously perceive the cues on some of the trials Veling, Aarts, & Stroebe, 2011; Zedelius et al., 2014).
(Vadillo et al., 2016). Hence, the question remains Importantly, this modulating effect of negative
whether suboptimal presentation in those studies is, affect on the cessation of goal pursuit may not be so
in fact, subliminal (i.e., below the threshold of con- general, because other studies suggests that people
scious awareness). can also be motivated by negative affect, such as
This assumption is debatable because it relies on when goals are associated with anger (Aarts et al.,
the notion that there is one clear threshold for all 2010; Angus, Kemkes, & Schutter, 2015; Carver &
participants and is the same for all trials. Even if the Harmon-Jones, 2009). It remains to be seen, then,
threshold is determined for the actual participants whether and how negative affect accompanying the
in the reported study (which is not always the case), activation of goals serves as an unconscious veto to
it is often determined in a separate detection test not engage in goal pursuit itself.
that may differ from the actual experiment in many Finally, ADORE may play a role not only in the
ways (e.g., time of execution, goal of the task instigation of goal pursuit, but also in the subjective
number of trials). Hence, a failure to find an effect experiences arising from it. Activated representa-
on a cue-detection task does not necessarily have to tions of outcomes play a role in the predictive proc-
mean that participants were not aware of the (or ess that shapes perception of the observed outcomes
some of the) cues in the actual task (Shanks, 2017). (Clark, 2013). Moreover, the match between a pre-
Moreover, it has been noted that the strategy of rely- dicted and experienced outcome may give rise to
ing on a null effect to demonstrate an absence of experiences of agency (Aarts, Custers, & Wegner,
conscious awareness is inherently problematic 2005). Hence, people may ironically perceive agency
(Vadillo et al., 2016). Hence, stronger methods aiming over actions that are put in motion by external cues
to assess the involvement of consciousness in more in the environment and reward signals may only
detail (Overgaard,  2015) are necessary to support strengthen these effects (Aarts, Custers, & Marien,
claims about awareness and separate conscious from 2009). Hence, the control of the environment over
unconscious processes. our goal pursuits may be more prevalent than our
Such methods would also help to look at the experiences would suggest.
interplay between conscious and unconscious
­
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284 DOES GOAL PURSUIT REQUIRE CONSCIOUS AWARENESS?

 CH A PT ER

16 On Gains and Losses, Means and Ends

Goal Orientation and Goal Focus Across Adulthood

Alexandra M. Freund, Marie Hennecke, and Maida Mustafić

Abstract

Personal goals guide behavior toward a desired outcome, motivate behavior over time and across
situations, provide direction and meaning, and contribute to the acquisition of skills and subjective
well-being. The adaptiveness of goals, however, might vary with dimensions such as their orientation
toward the achievement of gains, maintenance of functioning, or the avoidance of losses. We argue that
goal orientation is most adaptive when it corresponds to the availability of resources and the ubiquity
of losses. In line with this argument, younger adults show a predominant orientation toward gains,
whereas goal orientation shifts toward maintenance and avoidance of loss across adulthood. This shift
in goal orientation seems adaptive both regarding subjective well-being and engagement in goal pursuit.
A second goal dimension that has been largely overlooked in the literature is the cognitive representation
of goal pursuit primarily in terms of its means (i.e., process focus) or its ends (i.e., outcome focus).
This chapter also investigates the antecedents and consequences of goal focus. In particular, it highlights
the importance of factors related to chronological age (i.e., the availability of resources, future time
perspective, goal orientation, motivational phase) for the preference for and adaptiveness of adopting
an outcome or process focus.
Keywords:  adult development, goal orientation, goal focus, means, ends, resources, time perspective

Introduction Ebner, 2005). For example, the young woman might

Imagine a young woman in her mid-20s and her aim at improving her fitness level, whereas her
grandmother, an older woman in her late 60s. grandmother might be more likely to try to maintain
Now think about the personal goals they might her physical fitness in the face of aging. Second,
pursue. Most likely, the younger woman will pursue younger adults might focus more on the outcome
goals related to finding a life partner, finishing her of goal pursuit, whereas older adults might focus
education, and establishing a professional career. more on the process (Freund & Hennecke, 2015).
The goals of the older woman are more likely to For example, the young woman might focus on
center around the domains of health, cognitive the desired outcome of exercising regularly, such as
functioning, independence, and the well-being of her body shape and her overall fitness. In contrast,
her loved ones (Freund & Riediger, 2006). Beyond her grandmother might think primarily about
the differences in content, however, two other age- how  she can exercise regularly in a manner that
related differences in the goals of a younger and an makes her feel good while she is exercising. In this
older adult might be evident. First, the orientation chapter we aim at integrating these two dimensions
of goals is likely to shift from gains in young adult- of personal goals and discuss their change across
hood to maintenance in middle adulthood and the adulthood. First, however, we want to highlight the
prevention of losses in older age (e.g., Freund & importance of personal goals throughout the life span.

285
The Importance of Goals for Adult and (b) whether a person focuses on the outcome
Development of  goal pursuit (short-term and long-term conse-
Laypeople as well as motivation researchers seem to quences) or on the process of goal pursuit (means of
agree that setting and pursuing goals has positive goal attainment) (e.g., Freund & Hennecke, 2015;
consequences. As Einstein reportedly said, “If you Sansone & Thoman, 2005; Zimmerman & Kitsantas,
want to live a happy life, tie it to a goal, not to 1997).
people or objects.” In fact, psychological research The importance of personal goals for adult
suggests that goals give life meaning and direction ­development has been acknowledged by different
and contribute to happiness and subjective well-being action-theoretical approaches (e.g., Brandtstädter &
(e.g., Emmons,  1996; Klinger,  1977; Little, 1989). Renner, 1990; Freund & Baltes, 2000; J. Heckhausen
Goals can be defined as cognitive re­presentations of & Schulz, 1995). In particular, the model of selec-
personally desired (or dreaded) states to be approached tion, optimization, and compensation (SOC model,
(or avoided), such as becoming a physician (or Baltes & Baltes, 1990) has stressed the importance
not  becoming unemployed) through action. More of setting, pursuing, and maintaining personal goals
specifically, they encompass means of goal pursuit for successful development.
and desired outcomes of it (e.g., Kruglanski, 1996).
Because goals are composed of means and ends, Successful Development Through
goals might channel and organize information in Personal Goals
terms of means and ends (e.g., Woike, Lavezzary, & One of the central propositions of life-span psy-
Barsky,  2001): Activating a goal implies that the chology is the multidirectionality of development.
­associated means and ends (as well as their emotional That is, development—in any phase of the life span—
correlates such as enjoyment or fear) are also comprises not only trajectories of growth but also
activated. Consequently, the activation of goals
­ trajectories of decline (Baltes, 1987). Successful
­enhances the likelihood of engaging in goal-relevant development has often been ­defined as the maximi-
behaviors (i.e., means) (e.g., Bargh & Gollwitzer, zation of gains and the simultaneous minimization
1994). Goals, then, direct attention, affect informa- of losses (see Freund, Nikitin, & Riediger, 2012, for
tion processing, and motivate behavior. Thereby, goals a review of definitions and models of successful devel-
organize behavior over time and across situations, opment). According to the SOC model (Baltes &
and provide a sense of direction and purpose in life Baltes, 1990), an optimal ratio of gains to losses
(Freund,  2007). Moreover, goal pursuit enhances can be achieved by the ­orchestrated use of three
performance (e.g., Austin & Vancouver,  1996; processes of developmental regulation, namely selec-
Emmons,  1989,  1996; Freund,  2007). Therefore, tion, optimization, and compensation. As elaborated
the goal concept seems particularly well suited for in more detail elsewhere (e.g., Freund, 2006; Freund
understanding how people develop successfully & Baltes, 2000), the action-theoretical specification
over time. of the SOC model posits that developing and com-
Importantly, as Ryan and colleagues put it, not mitting to a hierarchy of personal goals (i.e., elective
all goals are created equal (Ryan, Sheldon, Kasser, & selection) and engaging in goal-directed actions and
Deci,  1996). Goals differ in their content, con- means (i.e., optimization) are essential for achieving
creteness, difficulty, time frame, and orientation higher levels of functioning (i.e., maximizing gains).
toward gains and losses (e.g., Austin & Vancouver, To maintain a given level of functioning in the
1996; Freund & Ebner, 2005; Little, 1989; Locke & face of inevitable losses in resources people encoun-
Latham, 2002; Wiese & Freund, 2005). Such goal ter throughout their lives, people have to compensate
dimensions influence the adaptiveness of goals. for their losses (e.g., by substituting goal-relevant
Various goal dimensions have been distinguished, means that are no longer available). When the costs
such as approach–avoidance (e.g., Elliott & Friedman, for optimization or compensation outweigh the
2007), promotion–prevention (e.g., Higgins, 1997), ­expected gains, according to the SOC model it is
intrinsic–extrinsic (e.g., Deci, Koestner, & Ryan, more adaptive to reconstruct one’s goal hierarchy
1999), and mastery–performance (e.g., Dweck & by focusing on the most important goals, developing
Leggett,  1988). This chapter centers around two new goals, or adapting goal standards (i.e., loss-based
goal dimensions that we believe to change system- selection). Thus, the SOC model conceptualizes
atically across adulthood: (a) the orientation of processes promoting gains (elective s­election, opti-
­personal goals toward gains, maintenance, or the mization) and also processes to counteract losses
prevention of losses (e.g., Freund & Ebner, 2005) (compensation, loss-based selection).

286 ON GAINS AND LOSSES, MEANS AND ENDS

 Empirical evidence supports the adaptiveness of well-being when they prioritize one goal (and
self-reported selection, optimization, and compensa- temporally postpone the other). Taken together,
­
tion throughout adolescence (Gestsdottir & Lerner, this research supports the importance of selection as
2007), adulthood, and into very old age (e.g., a key process for successfully managing multiple
Freund & Baltes,  1998,  2002; Wiese, Freund, & goals (Orehek & Vazeou-Nieuwenhuis, 2013).
Baltes, 2000, 2001; Ziegelmann & Lippke, 2007).
The use of SOC strategies seems to be particularly Optimization and Compensation: A Tale
helpful for persons with fewer resources (Jopp & of the Shifting Goal Orientation
Smith, 2006; Lang, Rieckmann, & Baltes,  2002; Across Adulthood
Young, Baltes, & Pratt, 2007). As mentioned earlier, one of the central tenets of life-
span developmental psychology holds that devel-
Goal Selection: Managing Multiple Goals opment encompasses both gains and losses through-
A series of studies by Riediger and colleagues out the life span. Examples for ubiquitous losses in
(Riediger & Freund,  2004,  2006,  2008; Riediger, later adulthood are health-related and cognitive
Freund, & Baltes, 2005) demonstrated the role of ­decline or the loss of social partners and social status
the selection of goals for successful goal pursuit. through retirement (Baltes & Smith, 2003). In con-
More specifically, results by Riediger and colleagues trast, affective well-being (e.g., Röcke, Li, & Smith,
stress the importance of considering the interrela- 2009), motivational competence (e.g., Riediger &
tions of personal goals. Conflict between goals might Freund,  2008), or self-regulation (Hennecke &
occur because resources are insufficient to support Freund, 2010) appear to increase across adulthood
both goals at the same time through incompatible and into old age. The ratio of gains to losses, however,
strategies. For instance, wanting to enjoy food and changes across the life span, encompassing decreas-
trying to lose weight imply incompatible eating be- ing gains and increasing losses throughout adult-
haviors, leading to goal conflict. Goals can facilitate hood and into old age (e.g., Baltes,  1997; Baltes,
each other by sharing the same strategies. For exam- Lindenberger, & Staudinger, 1998). Addressing this
ple, the two goals to lose weight and to lead a changing ratio of gains to losses, the SOC model
healthy lifestyle are both served by the same strategy holds that goals directed at the optimization of gains
of working out regularly. Goal conflict and facilita- might be more important at younger ages, whereas
tion are two largely independent goal dimensions goals directed at the maintenance and avoidance of
and show differential associations with affective losses might gain in importance with increasing age.
­experience and goal-relevant behavior. Goal conflict Arguing from an evolutionary standpoint as well
seems to impair affective well-being; facilitation is as from a developmental perspective, it is advanta-
associated with goal pursuit in everyday life and geous to possess as many resources as possible (see
subsequent goal attainment (Riediger et al., 2005). Freund & Riediger,  2001). Resources are essential
Interestingly, older adults appear to gain in motiva- for reproductive success and survival. They signal
tional competence regarding the selection of goals. success, relative social standing, and good genetic
They report more goal facilitation and less conflict material to potential mates. They enhance attrac-
among their goals than younger adults (Riediger tiveness and successful reproduction and provide for
et al., 2005). Importantly, this result was not simply the upbringing of offspring (Buss,  1999). Gaining
the result of a reduction in the number of goals but resources appears to be a primary motivation in
of focusing on personally important, superordinate young adulthood, a phase in life when most people
goals. Focusing one’s goals on central and similar life have not yet had opportunities to accumulate many
domains contributed to higher facilitation among resources that are advantageous for their reproduc-
goals, which, in turn, led to stronger goal engage- tive success. Moreover, social expectations and
ment and achievement (Riediger & Freund, 2006). ­developmental tasks for young adults are geared
Age-related increases in motivational selectivity, toward gains (e.g., gaining education or professional
then, are one way of managing the increasing limi- skills, founding a family, building a home, establish-
tation of resources in adulthood. Another way of ing a career). Young adults have large potentials for
dealing with conflicts caused by goals competing for functional gains and still need to realize these
the same limited resources is prioritizing. Wiese and ­potentials. As Raynor (1982) puts it, younger adults
Freund (2001) showed that young adults who expe- are still in the process of “becoming.” In other words,
rience conflicts between work- and family-related before younger adults can start protecting and
goals report fewer strains and higher subjective ­conserving resources, they have to acquire skills and

FREUND, HENNECKE, AND MUSTAFIć 287

resources that contribute to a certain level of life events, whereas adults with more negative
­performance and status in later phases of the lifespan. expectations encountered more negative events.
­
In contrast, with increasing age, one is increasingly Similarly, two longitudinal studies demonstrated
likely to have reached one’s personal asymptote that awareness of age-related losses and negative
of  performance in many areas of life, making the views on aging were associated with perceptions of a
achievement of new gains less and less likely. limited time perspective, lower psychological well-
Moreover, throughout their lives older adults likely being, and loss of fluid cognitive abilities, whereas
have accumulated resources, including skills, mate- awareness of age-related gains was associated with the
rial ­belongings, and social relations that need to be maintenance of psychological well-being (Brothers,
­protected against losses. Given the ubiquity of losses Gabrian, Wahl, & Diehl,  2016; Siebert, Wahl, &
in older adulthood and the corresponding expecta- Schröder, 2018). Finally, a meta-analysis of 19 longi-
tions, older adults are likely to be chronically aware tudinal studies confirmed that subjective expectations
of threatening losses. about aging have a small, but significant effect on
Evidence for the awareness of the higher likelihood health and survival (Westerhof et al., 2014).
of experiencing gains in younger adulthood and In late adulthood, preserving resources and
losses in older adulthood is provided in the litera- counteracting losses may become the primary
ture on subjective developmental expectations over ­motivation outweighing tendencies to accumulate
the life span. For instance, Mustafić and Freund new resources (Freund & Ebner, 2005; Staudinger,
(2012) found that across four functional domains Marsiske, & Baltes, 1995). Consistent with this hy-
(subjective well-being, social relationships, cognition, pothesis, J. Heckhausen (1999) found that younger
physical functioning), younger, middle-aged, and adults reported more goals in domains associated
older adults demonstrated a multidimensional, with striving for gains and fewer goals in domains
domain-differential view on development and aging. reflecting the avoidance of losses than middle-aged
Younger adults differentiated more between life or old adults. Similarly, Ebner, Freund, and Baltes
­domains than older adults, resulting in higher multi- (2006) showed that, compared to older adults,
directionality in their subjective conceptualizations of younger adults rated their personal goals as having
developmental trajectories. Moreover, older adults a stronger focus on gains. Conversely, older adults
generally expected more developmental losses than reported a higher focus on maintenance and pre-
middle-aged and younger adults. However, despite vention of loss in their personal goals than younger
their increased expectation of losses, middle-aged adults. Moreover, in two further studies using a
and older adults reported to be closer to their ideal forced-choice paradigm for tasks pertaining to
developmental trajectories than younger adults physical fitness and cognitive functioning, younger
(Mustafić & Freund, 2012). Also, older adults tended adults were more likely to adopt goals focusing on
to evaluate their own developmental trajectory as achieving new gains compared to older adults, who
more favorable than that of their peers, resulting in preferred goals focusing on the maintenance of
social downward comparisons that might help older their level of functioning. Attesting to the role of
adults to maintain well-being in the face of losses resources for goal orientation, Ebner et al. (2006)
(Riediger, Völkle, Schäfer, & Lindenberger, 2014). showed that younger adults shifted to a preference
Not surprisingly, people hold stronger subjective for maintenance goals when resources were perceived
expectations for functional domains that actually as being limited.
show more age-related changes (e.g., health) (Hess The shift in goal orientation across adulthood
et al. 2017; Lineweaver, Kugler, Rabellino, & Stephan, seems adaptive. Ebner et al. (2006) found that,
2018). This seems adaptive because such subjective whereas younger adults’ well-being suffered from a
age-related expectations elicit preparatory actions: goal orientation toward maintenance and avoidance
Positive (vs. negative) expectations of aging in d
­ ifferent of loss, older adults’ subjective ­well-being was pos-
domains increase (vs. decrease) efforts to prepare for itively related to a maintenance orientation. Using
age-related change (Kornadt, Voss, & Rothermund, behavioral indicators of goal pursuit, Freund (2006)
2015). Moreover, a longitudinal study by Voss, showed that younger adults pursue a given goal more
Kornadt, and Rothermund (2017) showed that persistently when it is oriented toward achieving gains
­personal expectations of aging may function as self- (optimization goal), whereas older adults are more
fulfilling prophecies by guiding the perception and persistent when pursuing the goal to counteract losses
interpretation of significant life events. Adults with (compensation goal). In addition, when confronted
more positive expectations encountered more positive with a resource loss, compensatory activities are

288 ON GAINS AND LOSSES, MEANS AND ENDS

related to positive affect in older adults (Duke, related to the means. Focusing on the outcome or
Leventhal, Brownlee, & Leventhal, 2002). the process of goal pursuit is like beaming a flash-
In sum, then, goal orientation toward gains light on either the means or the end of goal pursuit,
and losses appears to change with the shifting ratio thus highlighting aspects of goal pursuit related to
of  gains to losses across adulthood, which is also either the process (e.g., Do I have the means neces-
­reflected in the changing perceptions of development sary to achieve this goal?) or the outcome (e.g.,
and views on aging. Moreover, this shift in goal ori- When will I achieve the goal?).
entation seems adaptive regarding both subjective
well-being and actual goal pursuit. Differentiating Goal Focus From
Related Constructs
Goal Focus: Process or Outcome Linking Outcome and Process Focus to
The previous sections focused on goal selection and Extrinsic and Intrinsic Motivation
the shift in goal orientation toward gains and losses Extrinsic motivation is characterized by a focus on
across adulthood. Next, we want to address how the the consequences of goal achievement (e.g., external
cognitive representation of goal pursuit, primarily in rewards for achieving a certain goal), whereas
terms of its means (process focus) or its outcome ­intrinsic motivation is typically defined as a focus
(outcome focus), might affect goal-relevant behavior on the task at hand (e.g., enjoyment of or interest
as well as affect and how it might change with age. in the goal-relevant activity). Compared to extrinsic
Let us open this section with an example of motivation, intrinsic motivation is associated with
­process and outcome focus. Two people pursuing voluntary involvement, more interest, and higher
the goal of completing a difficult 12-mile hike in the persistence in a task (e.g., Deci et al., 1999; Lepper,
Alps within 5 hours may focus on very different 1981). Intrinsic motivation implies that a person
aspects of this goal: One person might focus prima- focuses on the satisfaction derived from the activ-
rily on the consequences of successfully reaching the ity rather than on the external consequences of
destination within the allotted time (e.g., being goal achievement. For instance, when one’s goal is
faster than last time she did this hike or making it to to paint a picture, either the amount of money
the train station on time for the last train back the picture will bring in at the next exhibition (i.e.,
home), while the other might focus more on the extrinsic motivation) or the enjoyment of and
hiking itself (e.g., enjoying the panorama or pacing ­interest in the activity of painting (i.e., intrinsic
herself by monitoring her breathing). What factors motivation) could be in the foreground. Engaging
determine whether a person focuses more on the in goal pursuit for tangible, external rewards has
outcome or the process when pursuing goals? Are been shown to undermine intrinsic motivation
there differences in adaptiveness of a stronger focus (Deci et al., 1999).
on the outcome or the process of goal pursuit? We At first glance, the definition of intrinsic and
posit that factors related to chronological age, extrinsic motivation greatly resembles process and
­
namely, the availability of (physical and cognitive) outcome focus. Intrinsic motivation entails a focus
resources, future time perspective, and a goal orien- on the process, whereas extrinsic motivation entails
tation toward achieving gains or maintenance of a focus on the consequences of attaining a certain
functioning, contributes to a preference for and outcome. The opposite is not true, however, because
adaptiveness of either an outcome or a process focus the concept of goal focus is mute regarding the
during goal pursuit. In addition, taking a closer ­underlying reasons for engaging in goal pursuit. For
look at the dynamics of goal setting and pursuit, we instance, a person might focus on the outcome of
posit that the motivational phase and the closeness goal pursuit (e.g., a beautiful painting) for a goal
to a deadline determine whether people focus on that was set autonomously and will bear no further
the process or the outcome of goal pursuit. consequences such as praise or tangible rewards.
The concept of outcome and process focus is Extrinsic motivation implies a concern about the
related—but not identical—to the concepts of
­ consequences of attaining an outcome (e.g., receiving
­extrinsic and intrinsic motivation as well as perfor- a monetary reward from parents for achieving a
mance and mastery orientation. In accordance with good grade), not about the outcome itself. Regarding
Sansone and Thoman (2005), we define outcome process focus, a person might focus on the process
focus as the motivation to engage in an activity of goal pursuit (e.g., painting) because she is posi-
­because it is a means to a certain end. Process focus tively reinforced for doing so (e.g., through teachers’
denotes the salience of aspects of the goal that are praise for her talent and perseverance). Process focus,

FREUND, HENNECKE, AND MUSTAFIć 289

then, is not necessarily associated with intrinsic Table 16.1  Differences Between Process and Outcome
­motivation. Goal Focus

Process goal focus Outcome goal focus

Linking Outcome and Process Focus to
Performance and Mastery Goal Action/means End state
Orientation Subordinate goals Superordinate goals
Another goal dimension related to goal focus is (concrete) ­(abstract)
­performance and mastery goal orientation. Dweck Contextualized Decontextualized
(e.g., Dweck & Leggett, 1988) defined performance Provides vague or no Provides clear standard
goal orientation as a focus on how well one is doing standard of comparison
(particularly compared to others), whereas mastery Provides guidelines for Provides direction,
goal orientation represents a focus on learning and action meaning
mastering a skill. Dweck traced these two types of
goal orientation back to beliefs about skills as fixed enhances performance when the means need to be
(i.e., an entity) or malleable (i.e., incremental), respec- implemented as an integrated whole in the service
tively. In the first case (entity theory), performance of goal attainment (Zimmerman & Kitsantas, 1997,
is seen as an indicator of the underlying ability and 1999). This result can be taken as first evidence for
provides feedback about an unchanging trait. In the the hypothesis that goal focus and its adaptiveness
latter case (incremental theory), feedback is a means depend on skill level.
of improving one’s skill level. A number of studies in Table  16.1 summarizes the main differences
educational settings have shown that s­etting mastery between process and outcome goal focus. First,
­
goals promotes interest in and enjoyment of goal pur- let  us point out that the differences highlighted
suit, but that performance goals are typically associ- in  Table  16.1 are relative, not absolute. Typically,
ated with a higher level of performance (for a review, ­however, actions and the means of goal pursuit are
see Dweck & Molden, 2005). In the area of organi- more concrete than outcomes (Carver & Scheier,
zational behavior, however, mastery goals (in this con- 1998). Similarly, actions take place in specific situa-
text often labeled learning goals) are positively linked tional contexts (e.g., studying for the SAT), whereas
to the successful acquisition of new skills, feedback outcomes are more decontextualized (e.g., achieving
seeking, and performance (e.g., VandeWalle, 2001). a certain SAT score). Another feature distinguishing
Seijts and Latham (2005) posited that the adap- outcome and process focus is the clarity of standards
tiveness of goal focus depends on the goal at hand. of comparison between actual and desired states.
If the means and strategies of goal pursuit are not Outcome focus is more likely than process focus to
(yet) known or mastered, learning goals should provide a clear standard of comparison because out-
­enhance performance because attention is focused comes typically entail criteria regarding when they
on the means of goal pursuit, whereas focusing on are reached (e.g., arriving at a destination within
performance might distract and hinder successful 5 hours). By comparison, it is much more difficult
goal pursuit. In a similar vein, and using the termi- to define the standards of comparison for the means
nology of process and outcome focus, Zimmerman of goal pursuit without referring to the outcome
and Kitsantas (1997, 1999) pointed out that, when (e.g., enjoying a hike is less clearly defined than
learning to master a new task, people are more likely reaching the destination in a given amount of time).
to adopt a process focus, defined by these authors as Finally, researchers agree that higher order, abstract
a focus on the acquisition of (strategic) skills (i.e., goal representations (i.e., outcome focus) provide
mastering the various elements and steps of a com- direction and meaning in life, whereas lower order,
plex skill such as writing or dart throwing) or, in concrete goal representations (i.e., process focus)
other words, on the means for achieving a given provide guidelines for action (e.g., Emmons, 1996;
outcome. Outcome focus, in contrast, presupposes Klinger, 1977; Little, 1989). As Little (1989) pointed
mastery of the different elements of which a com- out, however, people want to know not only why
plex skill is comprised and denotes a focus on the they are doing something but also what they
actual outcome (i.e., performance level). In line should be doing. It seems, then, that neither of the
with Seijts and Latham (2005), Zimmerman and two is in and of itself more adaptive. Instead, as
Kitsantas found that a focus on the acquisition of discussed in the next section, the effects of goal focus
skills and means (i.e., process focus) is beneficial are hypothesized to depend on factors related to
when learning a new skill, whereas outcome focus chronological age.

290 ON GAINS AND LOSSES, MEANS AND ENDS

Age and Goal Focus Taken together, preference for a certain goal focus
Skill level is associated with age: In many life might vary by variables such as time perspective
­domains, young adults are still in the process of (Carstensen, Isaacowitz, & Charles, 1999) and avail-
­acquiring the means and skills relevant for goal ability of resources (e.g., Freund & Ebner, 2005).
­pursuit, such as skills needed in the professional/ Both time perspective and available resources are
work domain or in the area of establishing a long- negatively related to chronological age (e.g., Baltes &
term partnership and family. This might force young Smith, 2003; Lang & Carstensen, 2002). Therefore,
adults to focus more closely on the acquisition of one could expect an increase in process focus and a
skills or the process of goal pursuit. Middle-aged decrease in outcome focus during adulthood.
and older adults are more likely to have acquired As pointed out earlier, the developmental tasks
most of the skills necessary to pursue their goals in of young adults entail the achievement of growth
both the work and the social domains, and, thus, goals, which have an inherent outcome-oriented aspect
could be seen as being more likely to focus on the because of the tangible nature of task achievement
outcome of goal pursuit. Moreover, as Kanfer and consequences (viz., a diploma, a job, a mate, a child).
Ackerman (2004) pointed out, skills can also be Thus, young adults may develop a more outcome-
­defined in terms of the balance between investment oriented approach to task achievement, and outcomes
of resources and payoff. In the context of work-related are likely to become highly salient during young
motivational development during adulthood, they adulthood. Later, however, adults’—especially older
argue that the payoff for resource investment adults’—goal orientation shifts toward maintaining
­decreases with age, leading younger adults to be more one’s level of functioning and avoiding losses (Ebner
focused on resource investment and older adults on et al.,  2006; Freund,  2006). Orientation toward
the outcome. Next, we will argue, however, that other maintenance/avoidance of losses implies a constant
factors related to chronological age—the availability monitoring of one’s actual performance vis-à-vis a
of resources, future time perspective, goal orientation progressively declining level of functioning. Thus,
toward gains or maintenance/avoidance of loss— orientation toward maintenance and loss avoidance
suggest that, overall, the primary goal focus is ex- has an inherent process-oriented aspect. Accordingly,
pected to shift from the outcome to the process of older adults may develop a more process-oriented
goal pursuit across adulthood. approach to goal achievement. In addition, achiev-
Some goals might lend themselves more to a ing new outcomes typically takes time. However,
­process focus than others. For instance, goals related when one’s future becomes more and more limited,
to an enduring characteristic (e.g., to be a friendly growth goals with their inherently more distant out-
person) or maintaining some state (e.g., to stay comes might be viewed as less applicable to one’s
healthy) require working constantly on the goal and own life than maintenance goals with their inherently
might therefore be more suitable for a process focus more immediate nature (as necessitated by constant
than goals specifying an endpoint (e.g., to pass an monitoring). Thus, given that future time perspec-
exam). Therefore, maintenance goals may be more tive decreases with age (Lang & Carstensen, 2002),
likely to be associated with a process focus, whereas one might expect older adults to be more process
goals involving the achievement of new outcomes focused.
(i.e., growth) should be more likely to invoke an
outcome focus. As shown by Ebner et al. (2006), Resources and Goal Focus
availability of resources is one of the factors deter- The importance of achieving gains and accumulat-
mining whether growth or maintenance goals are ing new resources in young adulthood (see earlier) is
adopted. When resources are perceived as being likely to result in a focus on achieving certain out-
limited, people might feel that achieving new out- comes. Middle-aged adults might hold an equally
comes (growth) is less likely and desirable than fo- strong process and outcome focus because, on the
cusing on the task at hand, namely, the process of one hand, they are starting to experience a shift in
goal pursuit. Similarly, as suggested by construal resources toward decline and are, in many areas, at
level theory (Trope & Liberman, 2003), goals that their peak in performance, making achievement of
are temporally distant are more likely to be new outcomes less likely. This should lead to a
­re­presented in an abstract way and in terms of ends, stronger focus on the process of goal pursuit. On
whereas shorter temporal distance of goals should the other hand, middle-aged adults typically still ex-
lead to a more concrete representation of the means perience their resources such as (life-)time and vigor
(do goals, according to Carver & Scheier,  1998). as plentiful, and they might therefore still aspire to

FREUND, HENNECKE, AND MUSTAFIć 291

reach certain outcomes because gains are still possi- Research on socioemotional selectivity theory
ble (Baltes et al.,  1998; Freund & Ebner,  2005; suggests that an extended future time perspective is
Staudinger et al., 1995). This pattern clearly changes likely to be associated with a focus on the outcomes
in old age, when resources decline (Baltes & Smith, of goal pursuit, whereas a limited time perspective
2003) and achieving new outcomes becomes less brings about a focus on the present and, therefore,
likely and goal orientation shifts toward maintenance a more immediate payoff. With a limited future
and loss avoidance. Because maintenance goals lend time perspective, people should be more concerned
themselves more to process focus than do growth with the more immediate process of goal pursuit
goals, older adults should also be more likely than rather than the more distant outcome thereof.
younger or middle-aged adults to adopt a process
focus. Change Versus Stability Orientation and
Goal Focus
Time Perspective and Goal Focus In this section, we take a different perspective on
Attempting to achieve certain outcomes requires gain and maintenance/avoidance of loss goal orien-
adopting a future time perspective. Zimbardo and tation by shifting the emphasis of this distinction
Boyd (1999) even viewed outcome focus and the away from gains and losses toward stability and
ability to postpone immediate gratification to attain change. From a developmental viewpoint, striving for
a goal at some later point in time as part of their the achievement of new gains implies an orientation
concept of future time perspective. In contrast, toward change (e.g., “I want to become better
present orientation is characterized by a more
­ in  Spanish”), whereas striving for maintenance/
­hedonic approach to life with a focus on more imme- avoidance of loss implies an orientation toward
diate gratification and less concern for consequences ­stability (e.g., “I want to maintain my Spanish”).
that lie in the farther future. Therefore, one could Different to the distinction of gain versus mainte-
argue that an extended future time perspective is nance/loss-avoidance orientation, change and stability
more likely to be associated with outcome focus, orientation might be approach as well as avoidance
whereas shorter future time expansion might be motivated (see Table  16.2). When approaching a
­associated with a focus on the process of goal pursuit change goal, people are oriented toward a future
that is taking place in the present. Investing in the state (e.g., “I want to become better”), whereas
future only makes sense when there is a future in ­approaching a stability goal implies the wish to
which to reap the fruits of one’s efforts. Consistent maintain an actual state (e.g., “I want to stay good”).
with this view, in their studies testing socioemo- Similarly, avoiding change is directed at an actual
tional selectivity theory, Carstensen and her col- state (e.g., “I do not want to change”), whereas
leagues (e.g., Carstensen et al.,  1999) consistently avoiding stability comprises a future state (e.g., “I do
showed that a limited future time perspective is not want to become different”).
related to focusing on emotionally meaningful social As we will elaborate next, we posit that a change
goals. In contrast, a longer future time perspective is goal orientation might be associated with a stronger
associated with information-seeking, which can be outcome focus and a stability goal orientation might
seen as an investment in the future. be related to a stronger process focus. One of the
In her studies, Carstensen showed that, contrary main reasons why change and stability goal orienta-
to younger adults, older people are more likely to tion might contribute to goal focus is that they
restrict their social contacts to close social partners imply a different discrepancy between the actual
and emotionally meaningful social interactions. It and the desired state. The very definition of a change
is not old age, per se, socioemotional selectivity goal is that it entails a significant discrepancy
theory argues, but the shorter future time perspec-
tive of older people that is responsible for this shift Table 16.2  Differences Between Change and Stability
in social goals. In fact, Lang and Carstensen (2002) Goal Orientation With Respect to Approach and
showed that age is negatively related to future time Avoidance Motivation
perspective. Moreover, when experimentally restrict-
ing younger adults’ time perspective, they orient Goal orientation
themselves more toward meaningful interactions Motivational system Change Stability
with close social partners rather than investing in
Approach Future state Actual state
the future by selecting partners that might provide
Avoidance Actual state Future state
useful information (Carstensen et al.,  1999).

292 ON GAINS AND LOSSES, MEANS AND ENDS

b­ etween the actual and the desired state. In contrast, Ad 2: Frequency of Means Usage
there is no discrepancy between the actual and the Successful stabilization of achieved outcomes is often
desired state in a stability goal—the desired state is met by repeating already established goal-­ relevant
to maintain this lack of a discrepancy. Feedback- ­behavior that helped in attaining the now to-be-
loop models of goals (Carver & Scheier,  1998) maintained state. Maintaining a certain state typically
suggest that, as long as a discrepancy reduction
­ requires engaging in goal-relevant behaviors as long as
­between the actual and desired state is intended and people hold the respective goal. Stability goals (e.g.,
the outcome is not reached, a tension state toward the “I want to maintain my weight”) are more likely to be
outcome exists; that is, the cognitive accessibility of pursued for longer periods of time than change goals
outcome-related information might be higher before that typically specify a certain endpoint when the goal
than after goal fulfillment (see Förster, Liberman, is achieved (e.g., “I want to lose 5 pounds”). Therefore,
& Friedman, 2007). In a change goal orientation, as goal pursuit stretches over a longer period of time,
a person attempts to reduce the discrepancy to the people are also more likely to use the means for goal
outcome. This should render the outcome cogni- pursuit more often than when they pursue change
tively more accessible than a stability goal orienta- goals that are more likely to specify certain endpoints.
tion, where the desired outcome state has already Frequency here refers to the absolute number of times
been achieved. means are applied (not to the interval between using
Another line of argument for the association of the means during a fixed time period). According to
change versus stability orientation and process versus semantic memory theories (Collins & Loftus, 1975)
outcome goal focus stems from the temporal value or spreading activation models (Bower,  1981), the
asymmetry assumptions (Caruso, Gilbert, & Wilson, more recently or frequently a concept (such as a goal
2008). Accordingly, people value future events more orientation) has been used in the past, the more often
than equivalent events in the equidistant past. it is activated and the more cognitively accessible it
Future outcomes in change goal orientation should is. Therefore, if people use means more often in a
therefore have a higher value than outcomes already stability compared to a change goal orientation,
reached in stability goal orientation. Consequently, means should also be more cognitively accessible
change goal orientation should lead to a stronger ­because of the very fact that they are more likely to be
focus on the outcome than stability goal orienta- frequently activated when stability is pursued than
tion. Taken together, then, the larger discrepancy of when focusing on the outcome of a change goal.
the actual and desired state in a change goal should
lead to a stronger outcome focus compared to a Adaptiveness of Goal Focus for Change
­stability goal. Conversely, stability goals should be and Stability Goal Orientation
associated with a process focus because there is no There might be an adaptive correspondence between
discrepancy between the desired and the actual state. mental representations of either means or outcomes
Furthermore, change and stability goal orienta- and change or stability goal orientation. Because the
tion might lead to different goal foci because of (1) pursuit of change and stability goals poses different
how resource demanding the pursuit of a goal is and challenges to goal pursuit, process and outcome focus
(2) the frequency of means usage for change and might be differentially adaptive. In particular, we posit
stability goals over time. that the challenge of a change goal lies in successfully
reducing the discrepancy between the actual and
Ad 1: Resource Demands desired state within a certain time (e.g., Carver &
Means might vary in their resource intensity. Scheier,  1998), which should require more intense
Investing highly resource-demanding means might and immediate effort mobilization, whereas the chal-
be acceptable if they help achieving a certain goal lenge of pursuing a stability goal lies in maintaining it
quickly and the investment of the means does not potentially endlessly, which should demand adaptive
have to be repeated often. This is more likely to be adjustment of means as as to avoid to “overspend” the
the case in a change compared to a stability goal that available resources. This is less of a problem when pur-
typically requires investment of resources as long as suing a change goal with a clear endpoint that, once
the goal itself exists (e.g., maintaining a certain diet achieved, no longer requires investment of resources.
to keep one’s weight stable). Consequently, because Let us first address the challenge of pursuing a
means must be selected more carefully when pursu- change goal, namely, to reduce efficiently the dis-
ing a stability goal, the focus should also be on crepancy between the actual and desired state. We
means rather than the outcome of goal pursuit. maintain that an outcome focus might provide

FREUND, HENNECKE, AND MUSTAFIć 293

motivational resources that are helpful when people the pursuit of a stability goal should profit more
experience goal pursuit as effortful and demanding. from a process focus.
As decision theories propose, outcomes are generally As elaborated earlier, older adults report a ­stronger
evaluated compared to the costs of attaining them, orientation toward the maintenance of functioning,
that is, the effort invested in the pursuit of a goal whereas younger adults are more oriented toward
(e.g., Kahneman & Tversky, 1979). Given the same achieving new gains. From a perspective that focuses
costs, the higher (i.e., the more abstract) an outcome on stability versus change (rather than gains versus
is set, the more it is perceived to be worth investing losses), older adults should be more stability oriented
energy in it. Furthermore, Fujita, Trope, Liberman, and younger adults more change oriented. If, as we
and Levin-Sagi (2006) demonstrated that focusing posit, stability orientation is related to a stronger
on higher order goals (i.e., outcomes) increases peo- process focus and change orientation to a stronger
ple’s motivation and mobilizes efforts for outcome outcome focus, once again, we would predict that
attainment: A focus on outcomes leads to a prefer- younger adults should focus more on the outcome
ence for delayed outcomes compared to immediate of goal pursuit, whereas older adults should focus
ones, greater physical endurance, more self-control, more on the process.
and less positive evaluations of temptations that un- Empirical evidence suggests that older adults ex-
dermine self-control. Fujita and Han (2009) showed perience greater self-continuity (Rutt & Löckenhoff,
that changes in the evaluation of temptations depend 2016) and evaluate developmental stability more
on whether a goal is re­presented in more concrete or positively than younger adults (Mustafić & Freund,
more abstract terms. This, in turn, might explain 2013). In a study investigating subjective evalua-
that an outcome focus can foster self-control when tions of developmental trajectories, Mustafić and
facing temptations. Additionally, Manderlink and Freund (2013) found that older adults evaluated
Harackiewicz (1984) theorized that a focus on out- developmental stability more positively than younger
comes increases intrinsic motivation. Therefore, an adults, both implicitly and explicitly. Moreover, when
outcome focus should be more likely than a process the necessity of resource investment into mainte-
focus to mobilize motivational resources for optimal nance and stability was made salient (the stability of
outcome attainment. Furthermore, the approach personal relationships, for example, requires con-
toward the desired outcome and the reduction of the stant investment, meeting people regularly, finding
actual vs. desired state discrepancy is evaluated and common interests, approaching others regularly,
experienced as more positive the nearer one gets to paying attention, and steadily being ready to com-
the outcome (Carver & Scheier, 1982). In contrast, promise), all age groups evaluated stability more
focusing on a discrepancy where none exists, as in positively but the difference between age groups re-
the case of a stability goal, does not provide any fur- mained. The reason for the more positive evaluation
ther information regarding goal pursuit or potential of stability and maintenance in older adulthood
for experiencing positive emotions. might be that older adults expect more losses. When
Turning to stability goals, the main challenge is expecting losses, stability is positive. For younger
the length of goal pursuit, for instance, maintain- adults, who expect more gains, stability is negative
ing one’s weight is not reached at a specific time in comparison. The positive evaluation of stability
point, but instead requires constant adherence to might also be associated with the above reported
an eating or exercising regimen. Because of the age-related change in adopting goals that are oriented
long-term aspect of stability goal orientation, the toward gains in young adulthood toward mainte-
means must have the potential to be used as long nance and stability in middle adulthood and old age.
as the goal is held. This is not necessarily true for
change goals where, once a goal is reached, it is Does Process and Outcome Goal Focus
either abandoned (e.g., I want to pass this exam) Change With Age?
or translated into a stability goal (e.g., “I want to A short-term longitudinal study by Freund, Hennecke,
lose 10 pounds,” once achieved, might turn into and Riediger (2010) provided first evidence for an
“I  want to keep my weight down”). Because of age-related shift in primary goal focus. In this study,
the  longer time frame of a stability goal, people younger and older exercise beginners’ process and
have to pay more attention to how resource outcome focus were assessed using an exercise moti-
­demanding their means are. Taken together, this vation scale. Outcome focus comprised such items
suggests that, when pursuing a change goal, an as wanting to lose weight, becoming more physically
outcome focus might be more adaptive, whereas attractive, and improving one’s appearance in general.

294 ON GAINS AND LOSSES, MEANS AND ENDS

Process focus was operationalized as wanting to have of the two goal foci may vary depending on
fun, socializing with friends, and making new ­ otivational phase.
m
­acquaintances. As expected, younger adults focused In brief, H.  Heckhausen (1991) distinguished
more on the ­outcome of their exercise goal, whereas four consecutive phases in the motivational process1:
older adults focused more on the process. Moreover, In the first, predecisional phase, people deliberate
outcome and process focus were differentially associ- about pros and cons of different goals, their short-
ated with goal-relevant exercise outcomes. Adults with and long-term consequences, and their subjective
a stronger process focus tended to experience a de- attainability. Once a decision is made, people no
crease in the distance to their goal over time and rated longer engage in comparing different options
it as more attainable and important; they also reported (Gollwitzer et al.,  1990). In the preactional phase,
higher goal involvement and satisfaction compared to they focus on formulating concrete action plans
adults with an outcome focus. One of the shortcom- that are realized in the actional phase. In the final
ings of this study is that outcome and process focus postactional phase, goal achievement is evaluated.
were assessed indirectly via the motivation to exercise. Note that the sequence of phases during the motiva-
Addressing this shortcoming, a second study tional process is idealized. Throughout the motiva-
presented four goals (e.g., to quit smoking) to tional process, people might step back in order to
younger and older adults. Each goal was described reevaluate the outcome (i.e., reentering the predeci-
by 5 process-related statements (e.g., throw away sional phase) and the means they employ (i.e., reen-
cigarettes) and 5 outcome-related statements (e.g., tering the preactional phase), perhaps leading to
improve health). Participants selected 5 of these 10 changes in goal standards or the chosen means. The
statements per goal. As hypothesized, younger but action phase model by H.  Heckhausen suggests
not older adults showed a significant preference for (and empirical studies provided evidence) that the
outcome-related descriptors, indicating their s­ tronger proposed sequence is the most prototypical one.
outcome orientation. A third study investigated Figure 16.1 summarizes the hypothesized goal focus
age-related differences in and affective consequences during the goal process in the action phase model
of goal focus. Both younger and older adults chose by H. Heckhausen (1991), augmented by the deadline
between two “thinking exercises,” one focusing on model by J. Heckhausen (1999).
the desired outcomes of personal goals and the other If a goal is not set externally (e.g., by teachers,
focusing on means to pursue these personal goals. parents, boss), people have to come to a decision
Participants who selected the process-related exercise regarding whether they want to adopt a certain goal.
then had to list two successive means by which one During this phase, the predecisional phase, we pro-
could pursue the goal of having a good vacation. pose that people are likely to adopt an outcome focus.
Participants who selected the outcome-related exer- This is because during this phase, they deliberate
cise had to list two successive desired outcomes of about the advantages and disadvantages of one or
having a good vacation (see also Freitas, Gollwitzer, more temporally distant outcomes. Weighing con-
& Trope, 2004). Again, younger but not older adults sequences of different options is likely to direct at-
showed a preference for the outcome-focused exer- tention to abstract, global features of the goal rather
cise. Moreover, older adults reported higher positive than the concrete goal process. At this stage, people
affect after the process-­related exercise, whereas think about whether they want or like to attain
younger adults reported higher negative affect after something in general before engaging in creating a
conducting the outcome-focused exercise. Thus, al- roadmap as to how to reach the goal. This is not to
though younger adults appear to prefer an outcome say that considerations about whether one believes
focus, they experience more negative affect when to have, in principle, good chances of achieving the
adopting an outcome rather than a process focus. goal do not play a role. They clearly do, as research
on goal setting shows (H.  Heckhausen, 1991). As
Motivational Phase and Goal Focus the literature in the context of bounded rationality
Integrating goal focus into the model of action and the use of heuristics for making decisions sug-
phases by H.  Heckhausen (1991) and the related gests, however, people do not typically have elaborate
model of cognitive mindsets accompanying the
different motivational phases (Gollwitzer,  1996;
Gollwitzer, Heckhausen, & Steller,  1990), we 1  Unlike H. Heckhausen (1991), we use the term motivational
hypothesize that goal focus changes according
­ process to refer to all phases from setting to attaining (or
to ­motivational phase. Moreover, the adaptiveness abandoning) a goal.

FREUND, HENNECKE, AND MUSTAFIć 295

 Decision Action
(intention formation) initiation Deadline

Predecisional Preactional Phase Actional Phase Postactional

Phase Nonurgent Urgent Phase

Focus on outcome Focus on process Focus on Focus on Focus on

of possible goal: of goal pursuit: process of goal outcome of goal outcome:
positive and planning of which pursuit: pursuit: positive evaluation of
negative goal strategies proximal and negative goal
consequences and should be consequences consequences achievement
likelihood of goal employed, of goal-relevant and likelihood
attainment specification of actions are at of goal
good the fore attainment
opportunities for
goal pursuit

Figure 16.1  Integrating goal focus into H. Heckhausen’s model of action phases.

lists in mind for integrating the various goal-relevant this phase. Moreover, in a number of studies,
means, weighted by subjective likelihood of Gollwitzer and his colleagues (for an overview, see
­attaining each step (Gigerenzer, Todd, & the ABC Gollwitzer, 1996) showed repeatedly and consistently
Research Group,  1999). Even if all the necessary that clear and strong implementation intentions
information were available, such an approach would contribute to goal achievement. Implementation
overburden cognitive capacities and might not even intentions specify goal-related means and actions,
lead to better decisions. Therefore, focusing on the situations in which to apply those means, and the
outcome and the value attached to the consequences right timing of acting on a given goal. Moreover,
of a potential goal before making a decision seems implementation intentions have important cognitive
more likely and more adaptive than taking detailed effects (i.e., implemental mindset): They focus
stock of the necessary means attached to the differ- ­attention on goal-relevant information and ward
ent outcomes into account. In fact, people focus off distractions (including questioning the value of
more on the values of the outcome than on strate- the selected goal), heighten the accessibility of situa-
gies of goal pursuit during the predecisional phase tional cues allowing goal-related actions (thereby
(H. Heckhausen & Gollwitzer, 1987). enhancing the likelihood of seizing the right moment
If a goal is not self-selected, the predecisional and opportunity), and lead to being particularly
phase is not relevant and people move directly to optimistic about achieving the goal. All these
­
the preactional phase, which describes the phase after ­characteristics of planning enhance the likelihood
having committed to a goal and before actually of initiating and completing intended goal-related
­engaging in goal-relevant actions. In the preactional actions or applying goal-related means (Gollwitzer &
phase, people plan the implementation of intentions Brandstätter, 1997). Taken together, the literature
as to how, when, and where to start goal-relevant suggests that during the preactional phase, people
actions and means. If the means of goal pursuit are focus on the actual process of goal pursuit rather
well established and highly routinized, it is likely that than the outcome. When, during this phase, par-
people will proceed to implementing goal-relevant ticipants are instructed to nevertheless focus on the
actions (Bargh & Gollwitzer, 1994). If, however, the positive outcomes of goal attainment rather than
means are not yet known and routinized, the focus the process of goal pursuit, people appear to make
is likely on finding out the best way to pursue the overly optimistic plans. As shown by Fishbach and
goal (Zimmerman & Kitsantas, 1997, 1999). In line Choi (2012), outcome-focused gym users predicted
with this, H.  Heckhausen and Gollwitzer (1987) they would work out longer than they ended up
demonstrated that the preactional phase is associated working out, whereas process-focused gym users
with elaboration of plans and strategies of how to showed no such difference. This suggests that,
implement goal pursuit. Findings on the implemen- whereas thinking of outcomes may be motivating
tational mindset are highly compatible with the when not having begun to pursue the goal, they may
­assumption of a predominant process focus during not help when immersed in goal pursuit.

296 ON GAINS AND LOSSES, MEANS AND ENDS

 In the actional phase, the primary task is to invest Experimental evidence also supports the supe-
goal-relevant means and engage in goal-relevant rior adaptiveness of a process over an outcome focus
­actions in the interest of goal achievement. In line during goal pursuit. Across a series of experiments,
with H. Heckhausen and colleagues, we claim that a Fishbach and Choi (2012) demonstrated that when
focus on the process of goal pursuit and a concrete participants engaged in various activities in the lab
representation of the means that must be imple- (doing origami) or outside the lab (running on a
mented might be predominant and adaptive during treadmill, doing yoga, dental flossing), those who
this phase. In fact, focusing on the outcome might were instructed to focus on the process showed
distract from good opportunities to implement goal- higher levels of motivation to further engage in
relevant plans and might thereby hinder goal these activities than those who were instructed to
achievement. Particularly when long-term goals are focus on the outcomes. This effect was mediated
pursued that require maintenance of goal-relevant through participants’ experienced task enjoyment:
actions over an extended time, focusing on the Relative to a process focus, an outcome focus
­activities related to goal pursuit (rather than the nega- ­appeared to reduce task enjoyment during goal pur-
tive discrepancy to a desired outcome) should help suit, and this, in turn, was detrimental for perfor-
maintain motivation, even in the face of hindrances mance. An outcome focus may be detrimental not
or setbacks. This should be the case because, if the only because of its negative effects on the experience
very process of goal pursuit is in the fore, the dis- of goal pursuit but also because it may lead to fantasiz-
tance to the outcome becomes less salient. For ing about goal achievement, and positive fantasies
­instance, when the goal is to lose weight and the have detrimental effects for goal pursuit because the
goal-relevant means is exercising regularly, a lack of rewarding experience of anticipated goal attainment
weight loss over a certain time is less likely to dis- on an imaginary level might seduce people to fantasize
courage the person from exercising if the focus is on rather than to engage in the more laborsome process
jogging every morning. If an outcome orientation of the acquisition and investment of goal-relevant
prevails, the person might give up exercising if no means (Oettingen & Hagenah, 2005).
weight reduction is seen within a certain period. During the actional phase, it might happen that—
This might also be why many weight-loss programs temporarily or permanently—the process itself
advise that people not get on the scale too often. In takes over as the goal and the outcome is either
fact, during a diet, a process focus is beneficial to ­regarded as relatively unimportant or even abandoned
weight loss, whereas an outcome focus is not (Freund as irrelevant (e.g., jogging every morning for 45
& Hennecke, 2012). For this research, we recruited minutes becomes a goal and techniques are acquired
126 overweight or obese women who signed up for a to improve running performance, whereas main-
6-week diet based on a book that we provided. taining one’s weight might be seen as a nice side
During the 6 weeks of the diet, the dieters provided effect of jogging but no longer as the goal). As these
reports of the extent to which they focused on the examples show, means and ends can change their
outcomes of dieting (“During the past week, how status during the motivational process (see Kruglanski,
much did you think about what weighing less would 1996). Means sometimes become outcomes. Attention
be like?”) and on the process of dieting (“During then shifts to the subordinate means to achieve the
the past week, how much did you think about what new goal (formerly known as means).
you have to do to eat low-caloric and low-fat?”). Under some circumstances, however, people
Supporting our main hypothesis, a process focus was may—even during the actional phase of goal
positively related to weight loss, whereas an outcome ­pursuit—adopt an outcome focus and this may have
focus was marginally negatively related to weight loss. positive effects (Freund & Hennecke, 2015). First,
This was true even after controlling for how concretely when goal pursuit is highly aversive, reminding
participants knew what it meant to eat according to oneself of its expected benefits may increase the
the diet and how concrete their idea was of what motivation to keep going even in light of the aversive
they would look like after the diet. Furthermore, here and now (Fujita et al., 2006; Krause & Freund,
process focus was negatively related to how much 2014). First evidence from an experience sampling
dieters deviated from the requirements of the diet. study in which Hennecke, Czikmantori, and
Their outcome focus was positively r­ elated to experi- Brandstätter (2018) surveyed more than 200 partici-
ences of disinhibited eating in ­response to initial pants 7 times a day for 7 days suggests that when these
­dieting lapses (sample item: “Whenever I could not participants experienced a goal-directed activity as
resist a temptation, I stopped dieting for that day.”). unpleasant (e.g., because it is boring or physically or

FREUND, HENNECKE, AND MUSTAFIć 297

mentally effortful), they often strategically thought however, outcome focus might also hinder flexible
of the positive consequences of that activity. Not adjustment of means and emphasize the importance
only was this the most popular self-regulatory strat- of investing maximum effort over efficient use of goal
egy that people they reported to use in their everyday pursuit strategies. Hence, if a deadline is introduced
lives, but also the strategy was successful in increasing too early in the motivational process, that is, when
the participants’ subjective persistence in the activity. means or strategies of pursuing the goal are not yet
Second, the outcome may become salient again established, goal attainment might come at a rela-
when a (self-set or imposed) deadline is approaching tively high cost or people might not live up to their
( J.  Heckhausen,  1999). A deadline (e.g., losing optimal performance level (Ariely & Wertenbroch,
3 pounds before the night of the high school prom 2002). In cases where no deadline is set, people are
a week from now) revives the importance of the out- expected not to undergo a shift from process to out-
come and decreases the importance of the valence of come focus during goal pursuit. The same holds
the process. In such cases, the most effective (and true for goals consisting of a state to be reached and
not necessarily the most enjoyable) way of attaining maintained (e.g., “I want to be happy”) rather than
one’s goal must be identified and implemented to an endpoint (e.g., “I want to get married”). Just as
reach it in time. Closely monitoring the distance to maintenance goals, state goals do not have clear
an outcome becomes adaptive and adjusting the endpoints but instead stretch over an extended period.
means of goal pursuit accordingly is required. Because continued engagement in goal pursuit is
If the means for achieving a goal are not ­positively needed for such goals, they should be generally more
valued, even if the outcome is, people are tempted conducive to process focus. This contrasts with
to procrastinate and not engage in goal-relevant goals that specify an outcome that can be reached at
­activities. In this case, a deadline and the perceived a certain time. On reaching such goals—or after de-
negative consequences of missing it (i.e., not achiev- ciding to give them up (e.g., because a deadline has
ing the outcome) serve as an incentive to get to work. passed)—people enter the postactional phase, in
The valence of the more abstract outcome represen- which they evaluate the means and the degree
tation (i.e., the positive valence of achieving the to which they reached the outcome. If the goal will
outcome or the negative valence of failure) might be have to be reached again (e.g., taking an exam in
helpful for overriding the negative valence of the school), it is likely that people are motivated to eval-
concrete goal-relevant means (Krause & Freund, uate the quality of the means to be able to optimize
2014). However, when testing this hypothesis in a goal pursuit in the next round (i.e., maintain a focus
5-week longitudinal study of academic procrastina- on processes for some time). With increasing tem-
tion, Krause and Freund (2016) found that process poral distance, however, people will focus primarily
(and not outcome focus) was associated with the on the outcome (Trope & Liberman, 2003).
perceived task aversiveness and fear of failure as well Taken together, goal focus is proposed to change
as with less procrastination in studying for an exam. relative salience depending on motivational phase.
Regarding deadlines, research suggests that an During the predecisional phase and, again, when
anticipated endpoint of goal pursuit increases per- urgency in attaining the goal is experienced, out-
formance and goal attainment and, moreover, that come focus should be predominant. During the
people self-impose binding deadlines to counteract preactional and nonurgent actional phases, process
procrastination (e.g., Ariely & Wertenbroch, 2002). focus is posited to be more salient and adaptive.
Thus, people might use deadlines to induce a shift
from process to outcome focus, thereby motivating Consequences of Goal Focus in Response
themselves to strive for the positively valued goal to Feedback About Goal Progress
instead of focusing on negative aspects of goal pur- Feedback is essential for evaluating one’s progress
suit. Note that not only can achievement-related toward a desired outcome (e.g., Carver & Scheier,
goals have such deadlines, but also they can be 1982). Such feedback can refer explicitly either to
­applied to other life domains. An example of a how well the process of goal pursuit is going (i.e.,
­developmental deadline in the family domain is are the right means implemented or are the means
menopause for reproduction in women. implemented the right way?) or to the current degree
Adopting an outcome goal when a deadline is of outcome attainment (e.g., a grade in an exam, a
looming might, on the one hand, help to mobilize company’s sales, one’s current weight relative to the
increased efforts of goal pursuit and attain a goal desired weight) (Earley, Northcraft, Lee, & Lituchy,
within a certain time frame. On the other hand, 1990). Even in the absence of clear references to

298 ON GAINS AND LOSSES, MEANS AND ENDS

either the process or the outcome, a person may implementation of the means of dieting has shielded
­attribute success or failure on the level of the imple- them from slacking off in response and, rather,
mentation of means or on the ability to achieve a ­encouraged them to stay on the right track (Hennecke
desired outcome: A dieter, for example, may focus & Freund, 2014).
on the extent to which she was successful (or not) Apart from these consequences for objective goal
with regard to how much she changed her eating attainment, the two foci may also have different
behavior, how successfully she resisted temptations, affective consequences when people evaluate their goal
and how well she persisted during the process. Or progress. According to Carver and Scheier (1990),
she may focus on the extent to which she was suc- feelings arise as a consequence of an automatic
cessful (or not) in reducing her weight, improving ­feedback process about goal progress. The feedback
her health, and improving her appearance. Although process continually checks how well one’s actions
succeeding on the process level likely causes success reduce the discrepancy between the actual and a de-
on the outcome level, subjective experiences may sired state. If goal progress is below a criterion that
not perfectly reflect how closely the two are inter- refers to an acceptable rate of discrepancy r­ eduction,
twined. This is supported by the data of the dieting negative affect arises. If goal progress ­exceeds the
study described previously (Hennecke & Freund, criterion, positive affect arises. If it is identical with
2014). In this study, the two experiences were closely the criterion, no affect arises (Carver, 2004). Within
interrelated but not redundant. When evaluating hierarchies of personal goals, means are, by defini-
their past week’s progress, at more than a third of all tion, lower than outcomes (they are subgoals rela-
measurement occasions ­ dieters considered them- tive to the outcomes; Carver & Scheier, 1982, 1990;
selves as having been relatively successful with regard Vallacher & Wegner,  1985). Goals that are placed
to both the process of dieting and the attainment of higher in a personal goal hierarchy are more impor-
desired outcomes of dieting. Also, at more than a tant and central to the self (Austin & Vancouver,
third of all measurement occasions, they considered 1996). Martin and Tesser (1989) also assume that
themselves as having been relatively unsuccessful the higher a goal in the hierarchy, the more likely it
with regard to both the ­process of dieting and the is that a threat to it will elicit rumination, the ten-
attainment of desired outcomes of dieting. At the dency to carry negative thoughts and feelings after
remaining 26% of m ­ easurement occasions, however, being exposed to unpleasant events. Taken together,
the dieters’ experiences of their own success on the because means are subordinate to their desired out-
process and the outcome scales diverged: At 15% of comes, successfully attaining a goal may feel better
measurement occasions, they considered themselves in an outcome than in a process focus; however,
as having been relatively successful with regard to the failing to attain a goal may feel less threatening in a
process of dieting but relatively unsuccessful in attain- process than in an outcome focus. Houser-Marko
ing desired outcomes of dieting. Vice versa, at 11% and Sheldon (2008) have supported this hypothesis
of measurement occasions, participants considered when showing that failure feedback has stronger
themselves as having been unsuccessful with regard negative effects on mood when it is r­elated to the
to the process of dieting but successful in attaining outcome (in their terms, primary goal level) com-
desired outcomes (Hennecke & Freund, 2014). pared to the process (in their terms, subgoal level).
The extent to which the dieters viewed themselves Further research is needed to test the corresponding
as successful with regard to the process of dieting hypothesis that, vice versa, success feedback has
had a beneficial consequence: It appeared to save the stronger positive effects on mood when it is related
dieters to some degree from the sometimes detri- to the outcome/primary goal level compared to the
mental effects of success at one point on subsequent process/subgoal level.
success. Whereas, overall, weight loss in one week
was negatively related to weight loss in the subse- Conclusion
quent week—an effect that has been described as Goals have wonderful qualities: They motivate
reflecting a decrement in motivation after initial behavior, help us organize behavior into action
­
success (e.g., licensing or balancing, Fishbach & ­sequences over time and situations, and thus pro-
Dhar,  2005; Witt Huberts, Evers, & de Ridder, vide our lives with direction and meaning. Although
2012)—the women who viewed themselves as highly we wholeheartedly agree with this assessment, we
successful with regard to the process of dieting would like to distinguish at least two goal dimensions
showed this effect to a lesser extent. This suggests that modulate the adaptiveness of goals. Depending
that their tendency to trace success back to a correct on the availability of resources, it might be better to

FREUND, HENNECKE, AND MUSTAFIć 299

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FREUND, HENNECKE, AND MUSTAFIć 303

 P A R T 
5
Motivation in
Relationships
 CH A PT ER
The Five Pillars of Self-Enhancement
17 and Self-Protection

Constantine Sedikides and Mark D. Alicke

Abstract

This chapter discusses two self-evaluation motives, self-enhancement (to pursue, maintain, or augment
the positivity of self-views—more so than objective standards would warrant) and self-protection (to
avoid, repair, or minimize the negativity of self-views—even at the expense of truthful feedback). Under
the self-centrality breeds self-enhancement principle (i.e., self-enhancement and self-protection will be
particularly influential in personally important domains), the chapter elaborates on five pillars of the
two motives: self-serving bias, better-than-average effect, selective self-memory, socially desirable
responding, and overclaiming. The chapter also considers other reasons for why self-enhancement
and self-protection are motivated (e.g., fluctuations in motive strength as a function of self-threat and
self-affirmation) and rules out nonmotivational explanations (e.g., expectancies, egocentrism, focalism).
Self-enhancement and self-protection are worthy of a place in the pantheon of human motivation.
Keywords:  self-enhancement, self-protection, self-serving bias, better-than-average-effect, selective
self-memory, overclaiming, socially desirable responding

Introduction feedback). Broadly speaking, the two motives “push”

Social behavior is motivated. And much of it is for self-positivity or “pull” away from self-negativity
­motivated by the sister motives of self-enhancement to the extent that self-views can be ­positioned in
and self-protection. First, we define these motives the most favorable light that is credible to the person
and touch on their psychological utility. In the and to others—especially close or ­familiar others
second and main section of this chapter, we elabo- (Alicke & Sedikides,  2009; Gregg, Sedikides, &
rate on five proposed pillars: better-than-average Gebauer, 2011).
effect, self-­serving bias, selective self-memory, socially Self-enhancement and self-protection often oper-
desirable responding, and overclaiming. ate in tandem (Alicke & Sedikides, 2009; Sedikides
& Gregg, 2008) in both Western culture (Hepper,
Self-Enhancement, Self-Protection, Gramzow, & Sedikides, 2010) and Eastern culture
and Their Functionality (Hepper, Sedikides, & Cai,  2013). Yet, self-­
We define self-enhancement as the motive to pursue, enhancement is more likely to be on routine patrol,
preserve, or amplify the positivity of one’s self-views, that is, on the lookout for self-advancing opportu-
more so than impartial benchmarks (e.g., standard- nities, whereas self-protection is more likely to propel
ized tests, peer performance, observers’ opinions) into action in response to situational demands and
would warrant. We define self-protection as the in particular self-threat (e.g., negative feedback,
motive to eschew, restore, or lessen the negativity of criticism, setbacks).
one’s self-views, even if this necessitates compro- Besides guiding momentary or short-term think-
mising their veracity (i.e., at the expense of accurate ing, feeling, and behaving, the two motives serve

307
 three enduring psychological functions. First, through The Self-Serving Bias
the construction of self-favoring narratives, they help The self-serving bias (SSB) is aptly described by one
to maintain an optimal state of positive emotions— of Murphy’s laws: “If more than one person is re-
a function we (Alicke & Sedikides,  2019) have sponsible for a miscalculation, none will be at fault.”
­labeled psychological immunity. Second, they In psychological terms, people attribute their failures
contribute to the advancement and defense of
­ (e.g., subpar task performance) to external factors
­psychological interests or goals, be it concrete (e.g., such as task difficulty, harsh evaluators, or bad luck;
skills and abilities like intelligence, athleticism, and however, they attribute their successes (e.g., effective
musicality) or abstract (e.g., popularity, social status, task performance) to internal factors such as disci-
or security; Alicke & Sedikides,  2009; O’Mara & pline, effort, or ability (B. Weiner, 1972). Crucially,
Gaertner,  2017). Last, they foster psychological the SSB is underlain by the self-centrality breeds
and physical health (Alicke & Sedikides,  2011; self-enhancement principle. People eagerly take re-
Sedikides, Gaertner, & Cai, 2015). It is for those sponsibility for successes that have serious implica-
reasons that an argument has been made for the tions for the kind of person they are (e.g., competent,
evolutionary significance of the two motives, intelligent, trustworthy) and promptly displace on
­implicating them in species survival and repro- others or situations responsibility for failures that
duction (Sedikides & Skowronski, 2000; Sedikides, have grave consequences for them (i.e., depict them
Skowronski, & Dunbar, 2006). as incompetent, stupid, or untrustworthy).
The SSB is robust and pervasive. It is observed
The Five Pillars of Self-Enhancement among, children, adolescents, and adults (Mezulis,
and Self-Protection Motivation Abramson, Hyde, & Hanklin,  2004) and among
Over 100 years ago, William James (1907) offered a organizational employees (Corr & Gray,  1996),
remarkable insight (p. 31): “I, who for the time have ­athletes (de Michele, Gansneder, & Solomon, 1998),
staked my all on being a psychologist, am mortified college students (Zuckerman, 1979), drivers (Stewart,
if others know much more psychology than I. But 2005), and individuals working on interdependent
I am contended to wallow in the grossest ignorance (i.e., dyad-based) task outcomes (Sedikides, Campbell,
of Greek.” In contemporary vernacular, people value Reeder, & Elliot, 1998). It is also observed in both
and accentuate those domains of knowledge, activity, Western and East Asian cultures (Sedikides, Gaertner,
or personality that are tethered to their self-esteem. & Cai, 2015; Mezulis et al., 2004).
Other luminaries, such as Rosenberg (1965) and There are other reasons attesting to the motiva-
Rokeach (1973), expressed a similar idea, which tional nature of the SSB besides the self-centrality
has achieved the status of a psychological principle breeds self-enhancement principle. The SSB is de-
that  underlies many theories of the self, including fensively magnified as level of self-threat rises: The
terror management theory (Pyszczynski, Greenberg, more self-threat people experience, the stronger they
Solomon, Arndt, & Schimel, 2004), the contingen- will display the SSB (Campbell & Sedikides, 1999).
cies of self-worth model (Crocker & Wolfe, 2001), Also, it is nondefensively attenuated following self-
and the self-concept enhancing tactician model affirmation: After writing about their important (vs.
(Sedikides & Strube, 1997). This principle, dubbed by unimportant) values, people are far less likely to
Gebauer, Wagner, Sedikides, and Neberich (2013) manifest the SSB, if at all (Sherman & Kim, 2005).
self-centrality breeds self-enhancement, implies that the Two nonmotivational explanations for the SSB
self-enhancement and self-protection motives will have been proposed (Sedikides & Alicke,  2012).
be particularly influential in personally important One refers to differential expectancies for success
(i.e., central) domains. Put otherwise, signatures of and failure: Based on their personal histories, people
self-enhancement and self-protection will reflect simply anticipate more successes than failures.
strivings to perceive oneself as a “good person” or a However, the SSB is observed even when success and
“good member of the culture,” namely, to boost or failure expectancies are controlled for (Sedikides
guard one’s self-esteem. et al., 1998; see also Campbell & Sedikides, 1999;
We use the self-centrality breeds self-enhancement Weary,  1979). The other explanation refers to
principle as a unifying theme in discussing the ­impression management, that is, strategic attempts to
­proposed five key signatures (i.e., pillars) of the two present oneself favorably to others. Impression man-
motives. These pillars are the self-serving bias, the agement may reflect the self-enhancement motive
better-than-average-effect, selective self-memory, so- in  itself (Sedikides, Hoorens, & Dufner, 2015).
cially desirable responding, and overclaiming. Regardless, the SSB occurs even when ­controlling

308 THE FIVE PILLARS OF SELF-ENHANCEMENT AND SELF-PROTECTION

for impression management (Greenberg, Pyszczynski, Schrade,  2017, Studies 1A–1B); and finally, rheu-
& Solomon, 1982; Sedikides et al., 1998). matoid arthritis patients consider their symptoms
less severe than those of the average patient (DeVellis
The Better-Than-Average Effect et al.,  1990) and elderly people estimate they are
Lake Wobegon is a fictional location where “all the less at risk for age-related illnesses than their peers
women are strong, all the men are good looking, (Schulz & Fritz, 1987). Ironically, prisoners, most
and all the children are above average.” Invented by of whom had been convicted of serious crimes
Garrison Keillor, the location captures elegantly the (e.g., violence against people, robbery), rated them-
human penchant for overestimating one’s strengths selves superior on prosocial traits (e.g., kindness,
and underestimating one’s weaknesses in compari- morality, trustworthiness, compassion) in compari-
son to others. This penchant is known as the better- son not only to the average prisoner, but also to the
than-average effect (BTAE; Alicke, 1985). Critically, average community member, the one exception
the BTAE is underlain by the self-centrality breeds being that they rated themselves equal to the average
self-enhancement principle. People rate themselves community member on “law abidingness” (Sedikides,
above the average peer standing on positive and Meek, Alicke, & Taylor, 2014).
­central (i.e., important to have) self-attributes or The BTAE is observed in both Western and East
rate themselves below the average peer standing on Asian culture. As a reminder, the self-centrality breeds
negative and central (i.e., important not to have) self-enhancement principle predicts that individuals
attributes (Brown,  2012; Stavrova, Köneke, & will claim superiority on their central attributes. In
Schlösser, 2016). Indeed, in the case of relatively Western culture, individualism (e.g., competence,
­unimportant or peripheral domains (e.g., juggling), ambition, originality) is a central dimension, whereas
people do not necessarily show the BTAE (Kruger, in East Asian culture, collectivism (e.g., loyalty,
1999). Interestingly, they take these social comparative compromise, respectfulness) is a central dimension.
ratings at face value, believing the BTAE is for real It follows that Westerners will exhibit the BTAE on
and being willing to bet money on it (Williams & individualistic attributes, but Easterners will do so
Gilovich, 2008). In an ironic twist, they also believe on collectivistic attributes. Research has borne out
they are less prone to the BTAE than the average these predictions (Gaertner, Sedikides, & Chang,
person (Pronin, Lin, & Ross, 2002). 2008; Sedikides, Gaertner, & Toguchi,  2003;
The BTAE is robust, pervasive (Alicke & Govorun, Sedikides, Gaertner, & Vevea, 2005).
2005), and genetically influenced (Luo, Liu, Cai, Other empirically validated reasons point to the
Wildschut, & Sedikides, 2016). It is found among motivational character of the BTAE besides the self-
preschoolers (P. S. Weiner, 1964), elementary school centrality breeds self-enhancement principle. One is
children (Albery & Messer, 2005), high school attribute controllability (Alicke,  1985). People are
­students (Kurman, 2002), ­college students (Brown, more likely to manifest the BTAE on positive and
1986), middle-age or older adults (Zell & Alicke, central attributes over which they have high control
2011), and representative community samples (e.g., resourceful) than on those over which they
(Heady & Wearing,  1988). A few examples will have low control (e.g., mature). Alternatively, they
­suffice. College students believe they are superior to are more likely to self-protect on negative and cen-
their peers on complexity of personality (Cheung, tral attributes over which they have high control
Wildschut, Sedikides, & Pinter,  2014; Sande, (e.g., unappreciative) than on those over which they
Goethals, & Radloff,  1988), as well as leadership have low control (e.g., humorless). Another reason
skills, athletic prowess, and dating popularity (College is attribute verifiability (Dunning, Meyerowitz, &
Board, 1976; Preuss & Alicke, 2009); drivers regard Holzberg, 1989; van Lange & Sedikides, 1998; Zell
themselves as superior to their peers on driving & Alicke,  2011). People are more likely to display
ability, while they were hospitalized because of a the BTAE on attributes that are ambiguous or
car accident they caused (Preston & Harris, 1965); ­difficult to verify (e.g., morality), thus allowing elbow
­college instructors consider themselves superior on room for maneuvering, than on attributes that are
teaching ability (Cross, 1977) and social psycholo- concrete or easily verifiable (e.g., arithmetic skills)
gists on research talent (van Lange, Taris, & Vonk, to which they may be held accountable. A third
1997); Christians consider themselves superior to reason is self-threat (Brown, 2012, Study 4). When
nonbelievers on domains central to the Christian people realize that their central traits (e.g., creativity)
self-concept (e.g., adherence to commandments are under threat, as a result of substandard perfor-
of  faith or communion; Gebauer, Sedikides, & mance, they show an exaggerated BTAE. The fourth

SEDIKIDES AND ALICKE 309

and final reason is perceived threat immunity self is compared to any other individuated entity;
(Menon & Thompson,  2007): In a vintage self-­ Alicke et al., 1995). Further, the BTAE is stronger
enhancing move, team members believe that their on central than on peripheral traits, even when
superior performance poses more of a threat to others participants compare themselves with a single person
than does others’ superior performance to them. (Brown, 2012, Study 2). Similarly, the BTAE ebbs
Five nonmotivational explanations for the and flows as a function of the judgment’s motiva-
BTAE have been proposed (Sedikides & Alicke, tional significance (e.g., attribute valence, importance,
2012). According to differential abstraction, the self controllability, verifiability) and emerges under
is compared with an abstract referent—average cognitive load (Alicke et al.,  1995, Study 7)—a
other—rather than a concrete peer. However, the condition that reflects automatic self-enhancement
BTAE  is  obtained, albeit attenuated, even when (Paulhus, 1993). Finally, according to assimilation/
the self is compared with concrete others (Alicke, contrast, the BTAE entails anchoring the self and
Klotz, Breitenbecher, Yurak, & Vredenburg, 1995). contrasting the average peer from that point.
According to egocentrism, people think selectively However, contrary to the notion that judgments of
about their own assets or about their peers’ liabilities. the average peer are contrasted from the self, aver-
However, this selective recruitment of one’s assets age peer ratings are assimilated toward the self
or peers’ liabilities is on its own a manifestation of (Guenther & Alicke, 2010). In addition, this pattern
self-enhancement or self-protection (Sanitioso, is motivational. Participants assimilate their ratings
Kunda, & Fong,  1990). Further, the BTAE is ob- of average toward the scale points provided to a
tained not only with direct measures (where par- lesser degree when those scale points are described
ticipants compare the self to the average peer on a as self-ratings versus when the identical points are
single scale), but also with indirect measures (where attributed to another individual. Stated otherwise,
participants rate the self and average peer on sepa- although anchoring comparative judgments on the
rate, counterbalanced scales; Alicke & Govorun, self induces average-peer assimilation because self-
2005; Gebauer, Sedikides, & Schrade,  2017, ratings constitute high scale points, participants’
Studies 1A–1B). Moreover, egocentrism cannot desire to sustain or increase self-positivity restricts
­account for why the BTAE is stronger on ambigu- this assimilative process and thereby maximizes the
ous than unambiguous traits (Dunning et al., distance between the self and the average peer
1989) and why it emerges even when behavioral (Guenther & Alicke, 2010).
evidence for relevant traits is fully equated for self
and others (Alicke, Vredenburg, Hiatt, & Govorun, Selective Self-Memory
2001; Guenther & Alicke,  2010). According to Josh Billings had a point when he quipped, “It’s
­focalism, people focus more, and put greater weight, not only the most difficult thing to truly know
on the self than the average peer, because the self is one’s self, but the most inconvenient”. People indeed
in the focal position and the average peer is in the have poor memory for their faults compared to
referent position. However, focalism cannot account their virtues, a pattern that reverses in memory for
for why participants show a ­stronger BTAE on others (Sedikides & Green,  2009; Skowronski,
central than peripheral traits even when the self 2011). Of note, as the self-centrality breeds self-
constitutes the referent and “most other people” enhancement principle suggests, it is their most
constitute the target (Brown,  2012, Study 3). substantial faults that people forget and their most
Further, focalism cannot account for why the BTAE defining strengths that they remember. We refer
varies as a function of controllability and verifi- to  this phenomenon as selective self-memory. To
ability and why the BTAE is present when indirect ­illustrate it, we review evidence from several sources
measures are used (Alicke & Govorun, 2005; Gebauer, in the autobiographical memory literature (e.g., the
Sedikides, & Schrade, 2017, Studies 1A-1B), when fading affect bias; Walker, Skowronski, & Thompson,
behavioral base rates for traits are the same for self 2003) and the experimental literature (e.g., mnemic
and other (Alicke et al., 2001) and when the refer- neglect; Sedikides, Green, Saunders, Skowronski,
ent is concrete (Alicke et al., 1995). According to & Zengel, 2016).
individuated-entity versus aggregate comparisons, the Selective self-memory is robust and pervasive. It
self as a single entity is compared to an aggregate, is found among children (Wilson, Smith, Ross, &
and single entities are judged more favorably than Ross,  2004) and adults (Field,  1981). It occurs in
aggregates. However, the BTAE is still found when many domains such as feedback (Sedikides &
the individuated entity is the self (i.e., when the Green, 2000), personality traits (Mischel, Ebbesen,

310 THE FIVE PILLARS OF SELF-ENHANCEMENT AND SELF-PROTECTION

& Zeiss, 1976), relationships (van Lange, Rusbult, of feedback. Participants’ recall is selective, a pattern
Semin-Goossens, Goerts, & Stalpers, 1999), and life labeled mnemic neglect (Sedikides et al., 2016).
events (Ross & Wilson,  2002; Skowronski, Betz, Mnemic neglect varies as a function of self-threat:
Thompson, & Shannon, 1991). And it is observed The more self-threatening the feedback is, the
not only in Western culture (Sedikides et al., 2016; ­stronger mnemic neglect is (i.e., the more defen-
Skowronski, 2011), but also in East Asian culture or, sively participants process and recall the feedback).
more generally, non-Western culture (Kwon, Scheibe, For example, mnemic neglect is magnified when the
Samanez-Larkin, Tsai, & Carstensen, 2009; Ritchie unfavorable feedback is high on diagnosticity (e.g.,
et al., 2015; Tan, Newman, & Zhang, 2014). “you would often lie to your parents”) than low on
Selective self-memory partly originates at encod- diagnosticity (e.g., “you would forget for a week to
ing. People pay reduced attention, or process return a borrowed book to a friend”; Green &
shallowly, unfavorable (vs. favorable) feedback
­ Sedikides, 2004). High diagnosticity feedback is more
(Baumeister & Cairns,  1992; Sedikides & Green, threatening, because it can really tell whether the
2000, Experiment 3), thus hindering its registration. person possesses the underlying trait. Also, mnemic
Also, selective self-memory partly originates at neglect is augmented when participants believe that
­retrieval, as demonstrated by experiments on differ- their traits are unmodifiable rather than modifiable
ential recall patterns of desirable versus undesirable (Green, Pinter, & Sedikides, 2005). Unmodifiable
traits (Sanitioso et al.,  1990), satisfying versus feedback is more threatening, because it precludes
­unsatisfying relationships (Murray & Holmes, 1993), possibilities for improvement. Indeed, when partici-
and health-boosting versus control habits (Ross, pants are granted an opportunity to improve on the
McFarland, & Fletcher,  1981). Last, selective self- feedback dimension, mnemic neglect subsides (Green,
memory partly originates in retention. As research Sedikides, Pinter, & van Tongeren, 2009).
on the fading affect bias has established, the negative Of course, self-threatening feedback is not always
affect attached to autobiographical memories fades recalled poorly. Traumatic events, for example, are
faster across time than the positive affect attached to well remembered compared to ordinary events
them (Walker et al., 2003). (Berntsen, 2001; McNally, 2003). However, trau-
Two lines of experimentation, on self-threat and matic events are extreme, and event extremity is
self-boosting, provide additional ammunition for ­associated with better recall (Thompson, Skowronski,
the argument that selective self-memory is motivated. Larsen, & Betz, 1996), although event valence (i.e.,
In the standard experimental protocol (Sedikides negativity–positivity) predicts amount of recall
et  al.,  2016), participants respond to a bogus ­independent of event extremity (Thompson et al.,
­personality questionnaire (the Michigan Omnibus 1996, Chapter 4). Regardless, in mnemic neglect
Personality Inventory) and then receive feedback in research, behavioral feedback is moderate rather
the form of behaviors. Some participants learn that than extreme (Sedikides & Green,  2000, pilot
they themselves are likely to enact those behaviors, studies). It is likely, then, that selective self-memory
whereas others learn that a fictional acquaintance is applicable to mild, rather than extreme, feedback
(“Chris”) is likely to enact the behaviors. The behav- or events.
iors exemplify either negative central traits (e.g., Mnemic neglect also varies a function of self-
untrustworthy: “would borrow other people’s boosting: The more self-threatening the feedback is,
belongings without their knowledge”), positive
­ the stronger mnemic neglect is (i.e., the more defen-
central traits (e.g., kind; “would help a handicapped sively participants process and recall the informa-
neighbor paint his house”), negative peripheral traits tion). Self-affirmation leads to a loss in mnemic
(e.g., complaining: “would constantly talk about ­neglect. In relevant research (Green, Sedikides, &
how much stuff there is to be done”), or positive Gregg, 2008, Experiment 2), participants com-
peripheral traits (e.g., predictable: “others would pleted a creativity task. They encountered negative
forecast your/Chris’s reaction to a new situation”). feedback in the self-threat condition, but uniformly
Following a distractor task (e.g., writing down as positive feedback in the self-boosting condition.
many states of the United States as possible), par- Subsequently, all participants engaged in the standard
ticipants are asked to recall all presented behaviors mnemic neglect protocol wherein they received
in any order they come to mind. Participants recall ­behavioral feedback. Self-threatened participants
poorly unfavorable feedback on their important evinced mnemic neglect, but self-boosted partici-
self-views (i.e., behaviors that are negative, central, pants did not. Self-boosting relaxed the defensive
and refer to the self) compared to all other categories processing of feedback.

SEDIKIDES AND ALICKE 311

 Two nonmotivational explanations for selective Wiggins,  1964), have yielded two factors. Paulhus
self-memory have been proposed. One, differential (1984) showed that the factors represent self-deceptive
expectancies, states that people process unfavorable positivity (reflecting a sincere but inflated self-­
feedback (on personally important dimensions) presentation) and impression management (reflecting
shallowly and recall it poorly, simply because they self-presentation targeted at specific audiences). Later,
do not expect to receive it. Judging from their past in his Balanced Inventory of Socially Desirable
experiences, such feedback appears implausible. Responding, Paulhus (1998) labeled the first factor
This explanation has been tested and refuted Self-Deceptive Enhancement (representing a non-
(Newman, Nibert, & Winer,  2009; Sedikides & conscious and self-deceptive response style) and the
Green, 2004, Experiment 1). The other explanation, second factor Impression Management (representing
inconsistency between feedback valence and self-view a conscious and other-deceptive response style). Still,
valence, states that people process unfavorable feed- in follow-up research, Paulhus (2002; Paulhus &
back (again, on personally important dimensions) Trapnell,  2008) proposed that the Self-Deceptive
shallowly and recall it poorly, not because it is nega- Enhancement subscale assesses an agentic form of
tive, but rather because it is inconsistent with their SDR, whereas the Impression Management subscale
(positive) self-views. This explanation has also been assesses a communal form of SDR. This reformula-
put to the test and refuted (Sedikides & Green, 2004, tion established that SDR is an index of private
Experiment 2). In conclusion, neither explanation self-enhancement (or self-protection). Indeed, both
is sufficient to explain mnemic neglect. SDR subscales are positively correlated with con-
ventional indices of self-enhancement, such as high
Socially Desirable Responding self-esteem, high narcissism, or low social anxiety
“No matter what happens in life, be nice to people. (Paulhus, 1988; Paulhus & Reid, 1991).
Being nice to people is a peaceful way to live, and a We will provide an empirical example in
beautiful legacy to leave behind.” This quote, by which  SDR has been used as a signature of self-­
Marcandangel (Practical Tips for Productive Living; enhancement. It concerns a meta-analysis on the
http://everydayshouldbefun.com/marcandangel- relation between self-enhancement and religiosity by
com/#ixzz4rbnI8qFv), implies that the reason to be Sedikides and Gebauer (2010). Their starting point
nice is fundamentally self-favoring. Responding in a was that religiosity, like self-enhancement, is prevalent
socially desirable manner is what a good person across cultures. For example, 82% of respondents in
does, one who wishes to have a fulfilling life and representative samples across 143 countries answered
establish a positive reputation. So, responding in a yes to the Gallup World Poll’s question “Is religion an
socially desirable manner validates and bolsters cen- important part of your daily life?” (Crabtree, 2009).
tral aspects of one’s self, as the self-centrality breeds Also, when surveyed, 95% of the U.S. population
self-enhancement principle suggests. expressed a belief in God (Gallup & Castelli, 1989).
Socially desirable responding (SDR) is indeed Might religiosity feed into self-enhancement? This
considered a signature of self-enhancement. As question has a long history. It was posed first by
Paulhus and Holden (2010) put it, “in the context (who else) William James (1902) and reposed by
of questionnaire styles, self-enhancement is typically Gordon Allport (1950; Allport & Ross, 1967). The
referred to as socially desirable responding and is topic came to be a theoretical (Batson & Stocks,
tapped by measures such as the Marlowe–Crowne 2004; Reiss, 2004) and empirical (Batson, Naifeh, &
Scale” (p. 221). High scores on this scale (Crowne & Pate, 1978; Trimble, 1997) focus of other researchers
Marlowe, 1964) are linked to agreeable or approv- as well over the years.
ing behavior, which is the culturally normative Sedikides and Gebauer (2010) hypothesized
­behavior of a “good person” (Crowne & Marlowe, that  religiosity is, in part, in the service of self-­
1960; Paulhus, 1991). In addition, high scorers on this enhancement (i.e., SDR). If so, SDR will be highest
scale inflate their claims of friendliness, openness to in religious countries (e.g., the United States),
experience, and psychological adjustment (McCrae & ­moderate in less religious countries (e.g., Canada),
Costa,  1983; Paulhus,  1991). Last, experimental in- and lowest in relatively secular countries (e.g., the
ductions of socially desirable self-presentation lead United Kingdom); that is, the positive relation
to increases in self-esteem (Upshaw & Yates, 1968). ­between SDR and religiosity will be stronger the
Factor analyses of the Marlowe–Crowne Scale higher a country is on religiosity (i.e., strongest in
(Crowne & Marlowe, 1960), as well as other SDR the United States, weakest in the United Kingdom).
scales (Edwards,  1957; Eysenck & Eysenck,  1991; In a similar vein, SDR will be higher in religious

312 THE FIVE PILLARS OF SELF-ENHANCEMENT AND SELF-PROTECTION

than in nonreligious U.S. universities; that is, the self-reported indices of psychological adjustment,
positive relation between SDR and religiosity will such as resilience.
be s­ tronger in Christian universities than in secu- We will provide two examples from contempo-
lar universities. The meta-analysis, which included rary self-enhancement research that implicate over-
responses from 15,396 participants across 75 sam- claiming. One example concerns narcissism. Gebauer,
ples, lent support to both hypotheses. In all, the Sedikides, Verplanken, and Maio (2012, Study 4)
relation between SDR and religiosity was stronger capitalized on narcissists’ well-known tendency to
in cultures that placed a lofty value on religiosity engage in pomposity and grandiosity (Morf, Horvath,
or in which religiosity represented a particularly & Torchetti,  2011; Thomaes, Brummelman, &
positive identity. Conceptually similar findings Sedikides, 2018). Indeed, narcissistic college students
have been obtained with other self-enhancement exaggerate their knowledge on academic topics
indices such as social self-esteem (Gebauer, Sedikides, (­because these topics are central to them), but do
& Neberich, 2012) and self-esteem (Gebauer, not differ from their nonnarcissistic counterparts on
Sedikides, Schönbrodt, et al., 2017), corroborating knowledge accuracy (Paulhus & Harms,  2004;
the notion that religiosity serves, in part, the motive Paulhus et al., 2003). This finding, however, applies
to self-enhance. to agentic narcissists, who self-aggrandize on the abil-
ity domain. Another type of narcissist, communal
Overclaiming narcissists, self-aggrandize on the prosociality domain,
“There are two ways to be fooled,” proclaimed Søren because it is central to them. Gebauer, Sedikides,
Kierkegaard. “One is to believe what isn’t true; the Verplanken, et al. (2012) hypothesized that, although
other is to refuse to believe what is true.” Believing agentic narcissists exaggerate their knowledge (i.e.,
what is not true, because this belief reflects well on overclaim) on ability topics, communal narcissists
one’s important self-views, illustrates the overclaim- overclaim on prosociality domains.
ing effect. More specifically, overclaiming refers to Gebauer, Sedikides, Verplanken, et al. (2012)
believing you know things that matter to you (i.e., created an overclaiming task that consisted of
the self-centrality breed self-enhancement principle). four prosociality topics: “humanitarian aid organiza-
Overclaiming does signal self-enhancement tions,” “nature and animal protection organizations,”
(Paulhus & Harms, 2004; Paulhus, Harms, Bruce, ­“parenting and childcare,” and “international health
& Lysy, 2003). In particular, it captures both knowl- charities,” Each topic had 17 items, and participants
edge accuracy and knowledge exaggeration or faking rated their familiarity with those items. Of the
(i.e., motivated distortion). In the typical study, 17 items, 13 were real and 4 were foils. For the topic
participants are instructed to indicate their degree “humanitarian aid organizations,” for example, the
of knowledge on a central domain. For example, if items “Red Cross International” and “Doctors
participants are college students, they are asked to Without Borders/Médecins Sans Frontières” were
declare their level of familiarity with academic topics. real, whereas the item “International Well-Being
Unbeknown to participants, some items within Fund” was a foil. Gebauer, Sedikides, Verplanken,
each topic are real and some (20%) are fabricated by et al. (2012) also created an overclaiming task com-
the experimenter (i.e., are foils). As such, the over- prising four ability domains: “international stock
claiming task can assess, via signal detection analysis, market,” “chemistry & physics,” “market principles,”
participants’ knowledge accuracy and knowledge and “leading educational institutions.” Examples of
exaggeration. The latter reflects self-­enhancement real items for the last topic are “Massachusetts
(in particular, deceptive self-enhancement, assuming Institute of Technology (MIT)” and “London
the absence of an audience). School of Economics and Political Science (LSE),”
Overclaiming is a unique pillar of self-­ whereas an example of foil items is “The Wall
enhancement, in the sense that it constitutes a Institute Berlin (WIB).” Consistent with the
­criterion-discrepancy index. That is, it provides an hypothesis, agentic narcissists overclaimed (i.e.,
­
objective measure of self-enhancement. The over- ­exaggerated their knowledge) on the ability domain,
claiming task is well validated (Paulhus et al., 2003). whereas communal narcissists overclaimed on the
For example, it is unaffected by instructions to “fake prosociality domain. (For another use of the over-
good” or by warnings about the foils. Also, it is pos- claiming task in narcissism research, see Grosz,
itively related to other self-enhancement indices, Loesch, & Back, 2017).
such as self-esteem, narcissism, and self-deceptive An additional example from contemporary self-
enhancement. And it is positively associated with enhancement research that implicates overclaiming

SEDIKIDES AND ALICKE 313

concerns religiosity (Gebauer, Sedikides, & Schrade, key pillars: SSB (patting oneself on the back for
2017, Studies 2A–2H). If Christians rely on religiosity ­successes but abdicating oneself for failures), BTAE
to satisfy, in part, the self-enhancement motive (deeming the self superior to peers), selective self-
(Sedikides & Gebauer, 2010), then they will over- memory (selective amnesia for unfavorable infor-
claim on domains more central to Christianity. mation about the self ), SDR (acting in a way that
Gebauer, Sedikides, and Schrade,  2017 (Studies will elicit others’ approval of the self as a good person),
1A–1B) constructed three overclaiming tasks to reflect and overclaiming (exaggerating one’s knowledge).
the range of such domains. One domain, the most Importantly, all these pillars are qualified by the self-
central, was Christianity (sample topics: “stories of centrality breeds self-enhancement principle. The
the New Testament,” “Christian saints,” “books of the five pillars are observed (or are observed in their
Bible”). Another domain, less central, was prosocial- full force) in domains that are central rather than
ity (sample topics: “humanitarian aid organizations,” ­peripheral to participants’ self-definition.
“nature and animal protection organizations,” “in- The applicability of the self-centrality breeds
ternational health charities”). The third domain, least self-enhancement principle is prima facie evidence
central or peripheral, was ability (sample topics: for motivation. Yet, we also considered other ­reasons
“chemistry & physics,” “international stock market,” why the pillars are motivationally driven. For
“leading universities”). In support of the hypothesis, example, we discussed self-threat (SSB, BTAE,
­
Christians overclaimed on the Christianity domain ­selective self-memory), self-affirmation (SSB), at-
the most, overclaimed on communion less, and did tribute controllability, attribute verifiability, and
not overclaim on agency. threat ­immunity (BTAE) as well as self-boosting
Recently, the overclaiming task has come under (selective self-memory). We also mentioned corre-
some criticism. In a community sample, Ludeke lations of SDR and overclaiming with valid indices
and Makransky (2016) found that this task was un- of self-enhancement (e.g., self-esteem, narcissism,
related to criterion-discrepancy indices, such as per- self-­deceptive enhancement).
formance on a cognitive ability test and peer reports We proceeded to argue that motivation suffices
of personality. Further, the task was unassociated for the instantiation of these five pillars. Put oth-
with self-deceptive enhancement (unlike Paulhus erwise, the pillars cannot be exclusively accounted
et al., 2003), although it was moderately and posi- for by nonmotivational (i.e., information processing)
tively associated with narcissism (like Paulhus & factors. These nonmotivational factors included
Harms, 2004, and Paulhus et al., 2003). However, divergent expectancies for success and failure
the overclaiming task was positively linked to indices (SSB, selective self-memory), impression manage-
of careless responding (Mahalanobis distance; Meade ment (SSB), abstraction, egocentrism, focalism,
& Craig, 2012), although statistically controlling for individuated-entity versus aggregate comparisons,
such links improved the task’s convergent validity. assimilation/contrast (BTAE), and inconsistency
This study, however, did not use a domain that was between feedback valence and self-view valence
central to participants. That is, the study relied on (selective self-memory). Socially desirable respond-
the academic domain for a community sample (in- ing involves striving for a fit between one’s cultural
stead of relying, for example, on the sports or music ideal of personhood and one’s responses (and
domain). Future research would need to systemati- ­anticipated social approval), whereas overclaiming
cally manipulate domain centrality or peripherality. is an objective (i.e., criterion discrepancy) index.
Regardless, on the balance of evidence, overclaim- We focused on five pillars of self-enhancement
ing is a valid signature of self-enhancement. and self-protection motivation. The literature, how-
ever, has identified many more instantiations of
Concluding Remarks these motives. Hepper et al. (2010) gleaned 60 such
In this chapter, we addressed two self-evaluation instantiations, which could then be classified
motives, self-enhancement and self-protection. We through factor analytic techniques into four factors.
defined self-enhancement as the motive to pursue, The factors were positivity embracement (i.e.,
maintain, or augment the positivity of self-views, ­acquisition of positive feedback or maximization of
more so than objective benchmarks would merit. anticipated success), favorable construals (i.e., con-
We defined self-protection as the motive to avoid, strual of feedback as self-favoring), defensiveness
repair, or diminish the negativity of self-views, even (i.e., safeguarding against self-threatening informa-
at the expense of veridical feedback. We argued that tion) and self-affirming reflections (i.e., orientation
these motives manifest themselves clearly on five toward the attainment of favorable self-views or

314 THE FIVE PILLARS OF SELF-ENHANCEMENT AND SELF-PROTECTION

 outcomes when confronted with self-threatening statement, but so far I have not had the good
feedback). Further, Hepper et al. (2013) showed that ­fortune to come across it,” he exclaimed in wonder
these instantiations, and their factorial structure, are (p. 73). Our review and discussion of the proposed
applicable in East Asian culture (i.e., Chinese) as five pillars of self-enhancement and self-protection
well. There are plenty more motive instantiations would likely make Russell more confident in his as-
that Hepper et al. (2010,  2013) did not include, sertion. Yet, we did not mean to imply that all
such as the response latency method (i.e., fakers’ re- humans do is self-enhance and self-protect. Human
sponse times are different from honest respondents’; motivation, as this handbook documents, is multi-
Holden, 1995), recognizing one’s own own face as ply and complexly determined. Rather, we meant to
being more physically attractive than it really is register the two motives as significant players in the
(Epley & Whitchurch, 2008), behaving in a hypo- pantheon of human motivation.
critical manner (Alicke,  2013), and believing that,
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 CH A PT ER

18 The Gendered Body Project

Sexual and Self-Objectification as Motivated and Motivating Processes

Tomi-Ann Roberts and Patricia L. Waters

Abstract

This chapter explores motivational questions that arise when the psychology of girls and women is
viewed through the lens of objectification theory, which highlights the centrality of appearance
concerns, or body projects, for girls and women in the early 21st century. The chapter examines three
theoretical perspectives for what motivates sexually objectifying views and treatment of women and
women’s own participation in self-objectifying body projects, which have garnered compelling evidence:
a power-related motivation, an existential motivation, and a system-justifying motivation. It then
investigates the cultivation, through developmental processes and immersion in objectifying
environments, of self-objectification at a trait level, as well as the more direct situational experiences
that induce states of self-objectification. And, finally, it reviews evidence that self-objectification,
though motivating in itself, carries significant consequences for girls’ and women’s health, well-being,
and full participation in the world.
Keywords:  sexual objectification, self-objectification, body, gender, motivation

New Year’s Resolution: I will try to make myself

better in any way I possibly can, with the help
of my budget and babysitting money. I will lose
weight, get new lenses, a new haircut, good
makeup, new clothes and accessories.
(adolescent girl’s diary entry, Brumberg, 1997, p. xxi)

In a fascinating if disheartening historiography, of their individual identity. Because of the centrality

Joan Brumberg (1997) examined the ways adoles- of appearance concerns to girls and women in the
cent girls described their self-improvement goals in early 21st century, Brumberg called this their body
their diaries over the past 100 years. The change over projects.
time was clear. Whereas girls of yesteryear focused Objectification theory (Fredrickson & Roberts,
on improving their manners or their study habits, in 1997), published the same year as Brumberg’s book,
more recent years, girls’ focus has become almost provided a theoretical framework from within psy-
exclusively on the enhancement of their physical ap- chology for understanding the gendered body project.
pearance. It was not that 19th-century girls were not This framework argues that the ubiquitous sexual
aware of beauty imperatives, but rather that they objectification of the female body provides the cul-
were not linked to self-worth or personhood in the tural milieu in which girls develop into women. The
ways they appear to be for 21st-century girls, whose theory proposes that girls and women are coaxed
motivational concern with the shape and appear- through both social and cultural experiences of sexual
ance of their bodies becomes the primary expression objectification to treat themselves as objects to be

321
gazed at and evaluated based on physical ­appearance, in terms of how (she) looks or appears to the senses;
an effect termed self-objectification (Fredrickson & and silencing reflects the treatment of sexually
Roberts, 1997). ­objectified people as lacking the capacity to speak.
In this chapter, we explore the motivational Indeed, each of Nussbaum’s (1999) and Langton’s
questions that arise when we view the psychology of (2009) components can be seen in cultural repre-
girls and women through the lens of objectification sentations as well as interpersonal treatment of women
theory. First, we ask a why question: Why are wom- and girls. In psychology, Fredrickson and Roberts
en’s bodies viewed and treated as sexually objectified (1997) argued that sexual objectification occurs
things? In other words, what are the psychic and along a continuum, extending beyond p ­ ornography
structural motivators of the sexual objectification of to the wider cultural context, which normalizes the
women and women’s own self-objectification? Next, commodification of women’s bodies just about
we examine a how question: How are girls and women ­everywhere, and that this cultural context induces
compelled to take on their own body projects? How girls and women to adopt a third-person perspective
does the culture of objectification translate into and on their own bodies (i.e., to self-objectify).
take hold of girls’ and women’s own trait-level self- But why? Why are women’s bodies sexually
concepts? How do situational or contextual features ­objectified? What motivates this cultural, interper-
of girls’ and women’s environments motivate states sonal, and even intrapsychic treatment? Most lay
of self-objectification? Finally, we argue that, despite thinking on this question gets reduced to “boys and
its motivating elements, the body project that so men can’t help it,” and this way of thinking has its
many girls and women are engaged in carries a host roots in an evolutionary perspective, which argues
of cognitive, emotional, behavioral and even health that the sexual objectification of women’s bodies is
consequences. part and parcel of the naturally selected mating
strategy of human males (Buss, 2007). However, the
Theoretical Frameworks on Sexual argument that men’s visual inspections of women’s
and Self-Objectification bodies, the emphasis placed on women’s bodies as
Objectification has been the topic of Western philo- the most important feature of them, and even that
sophical treatment for some time. Kant (1996) women’s own attention to and enhancement of
argued that treating human beings “only as a means” their attractiveness are all motivated by a drive for
was morally suspect. Modern-day philosopher Martha heterosexual mating have generally failed to be sup-
Nussbaum (1995) defined objectification as the treat- ported empirically. For example, both kindness and
ing of persons as “things,” separating them from intelligence ranked above physical attractiveness in
their human attributes or characteristics. Nussbaum a cross-cultural study of males’ desired characteris-
(1999) identified seven components of objectification: tics in a potential female sex partner (Buss et al,
instrumentality and ownership involve treating a 1990). As well, a study of the eye movements of
person as a tool or commodity; denial of autonomy male and female participants made while judging
and inertness involve seeing a person as lacking self- the attractiveness of photographs of female bodies
determination and agency; fungibility is characterized found no evidence for fixations on fertility-relevant
by viewing a person as interchangeable with others areas, illustrating that these areas had no impact on
of his or her “type”; violability represents someone attractiveness judgments, as would be the case if
as lacking boundary integrity; and denial of subjec- mating were the motivation for sexual objectifica-
tivity involves believing that a person’s experiences tion (Cornelissen, Hancock, Kiviniemi, George, &
and feelings can be neglected. Tovée, 2009).
Feminists Dworkin (1989) and MacKinnon (1987) Finally, an evolutionary explanation for what
described how pornography functions as sexual motivates the sexual objectification of women fails
­objectification, a particular form of the dehuman- in at least two more important ways. First, an evo-
ization of women and a primary cause of gender lutionary view does not adequately account for the
inequality. More recently, philosopher Rae Langton fact that objectification occurs along a continuum
(2009) added three more features to Nussbaum’s from seemingly benign or even benevolent (e.g.,
seven, which she argued are of particular relevance widespread cultural displays of idealized women’s
to feminist understandings of sexual objectification: bodies, men’s interpersonal treatment of girls and
Reduction to body involves treating someone as iden- women with catcalls or ogling) to abjectly dehu-
tified with (her) body or body parts; reduction to manizing (e.g., rape, trafficking, and even sexually
­appearance occurs when a person is treated primarily motivated torture or murder). In other words,

322 THE GENDERED BODY PROJECT: SEXUAL AND SELF-OBJECTIFICATION

sexual objectification does not just “put attractive favor. Dworkin’s colleague Catherine MacKinnon
women up”; it all too often “keeps most women wrote, “sexual objectification is the primary process
down” and does so in ways that are far from adaptive. of the subjection of women. It unites act with word,
Second, a “men can’t help it”/evolutionary view construction with expression, perception with en-
does not provide satisfying explanations for why forcement, myth with reality. Man fucks woman;
women and girls themselves often take this perspec- subject verb object” (1983, p. 635).
tive on their own bodies; it does not, in other words, This framework links objectification with power.
provide a meaningful account of the phenomenon However, the literature reveals a somewhat complex
of self-objectification. As with objectification, self- psychological relationship between felt power and
objectification occurs along a continuum from benign likelihood to objectify. Is it that feelings of power
attempts to monitor one’s attractiveness (e.g., dress- motivate objectification, or is objectification a de-
ing appropriately for the situation, maintaining fensive reaction against feelings of powerlessness?
personal hygiene) to extreme attempts to conform There is evidence for both.
to an exactingly thin body ideal, such as engaging In one study, when a female participant was cast
in disordered eating or cosmetic surgeries (e.g., rib as subordinate, males who possessed power over her
­removals, breast augmentations). In the case of disor- and who endorsed survey items indicating a likeli-
dered eating, ideal body judgments by women with hood to sexually harass found her more attractive
eating disorders are substantially thinner than male than those without power or the propensity toward
judgments of women’s ideal body types, undercutting sexual harassment (Bargh, Raymond, Pryor, & Strack,
the notion that women self-objectify in this way 1995). Another study examined the relationship
­primarily to gain heterosexual attention and ensure ­between power and the instrumentality feature of
reproductive fitness (Rozin & Fallon, 1988). In the objectification and showed that felt power funda-
extreme, the onset of amenorrhea clearly works mentally alters how targets are perceived. Gruenfeld,
against a reproductive fitness outcome. Inesee, Magee, and Galinsky (2008) demonstrated
Given these limitations to an evolutionary sexual objectification of a moderately competent
­explanation, instead, we will outline three theoretical female prospective work partner by men assigned
views on the question of what motivates sexual and to the role of boss. When participants had concurrent
self-objectification that are not only stronger theo- sex and performance goals, those in the high-power
retically, but also have garnered compelling empirical condition were more interested in working with a
support: one rooted in power inequities between the female target who was instrumental for sexual pur-
sexes, another in deep, existential concerns about poses than were those in the low-power condition.
mortality, and finally a third in people’s tendency to Finally, both men and women primed with high
rationalize, defend, and justify prevailing political power (narratively recalling an incident in which
and social systems. they had power over another individual) viewed
women as sexual objects more often than the men
Objectification as Power and Dominance and women who were primed with low power did;
Hegemonic masculinity is defined as “the mainte- they also viewed women as sexual objects more often
nance of practices that institutionalize men’s domi- than they viewed men as sexual objects (Civile &
nance over women” (Connell, 1987, p. 185). One of Obhi, 2015).
these practices is the sexual objectification of women. Hence, felt power appears to heighten approach
Dworkin (1987) argued that women are socialized toward instrumental (“useful”) social targets. In other
into heterosexual womanhood, which is the same as words, this feature of sexual objectification (treating
being socialized into subordination. For Dworkin, others as sexual tools) appears to be motivated in
heterosexuality is organized around male dominance, part by power. Indeed, news stories of men in
which is heterosexual maleness, and female subordi- ­positions of power sexually exploiting others are so
nation, which is heterosexual femaleness. Women common as to be almost humdrum. From Italy’s
are socialized to be heterosexual females and hence Silvio Berlusconi to our own Eliot Spitzer, Clarence
sexualized to the liking of heterosexual men, which Thomas, or Donald Trump, the list of powerful men
is to be subordinate, which is to be unable to mean- treating women as sexual tools is long. Such men
ingfully consent to what is actually their own subor- seem willing to risk a great deal—even the loss of
dination. To the extent that women are complicit in their hard-earned power—to do so.
this arrangement, it is because they have formed a However, evidence also exists for the opposite
kind of slave mentality to escape punishment or curry ­relationship between power and objectification.

ROBERTS AND WATERS 323

For example, Krings and Facchin (2009) found that objectification of women and women’s own self-
men’s sexual harassment of women (which we argue imposed powerlessness via self-objectification and
is an interpersonal form of sexual objectification) is its attendant emotional and behavioral diminish-
motivated by the perception of low interactional ment is certainly the maintenance of the societal
justice in their workplace. That is, when men feel power inequity between the sexes.
they themselves are not being treated fairly, this
­appears to fuel a desire to exert power, to “get even,” Objectification as Existential Protection
by harassing or objectifying women. A similar Psychodynamically oriented feminist thinkers, such
theme is found in the literature on the motives for as Dorothy Dinnerstein (1976), add anxiety to the
sexual aggression (Zurbriggen,  2000). Numerous question of what motivates sexually objectifying
studies have found that men who rape confess to treatment of women and their bodies. In this view,
underlying feelings of insecurity about their mascu- women are regarded as dangerous because they are
linity and report feeling a need to exert power over the ones who first introduce all of us to the mixed
women. Studies show similar feelings in a wide range blessing of being human (Snitow,  1978). For
of men who engage in sexual violence, from those Dinnerstein, men have subordinated women across
incarcerated for attacking strangers (e.g., Scully & culture and time because women, in giving life, also,
Marolla,  1985) to college students who coerce by association, give death. The threat men feel toward
­unwanted sex from acquaintances (Lisak & Roth, women’s life-and-death giving “powers” is the impe-
1988; Malamuth, 1986). As Lisak and Roth (1990) tus behind their efforts to control women, because
showed, such men feel threatened by women and if men can control women’s bodies, they also, in
compensate for their insecurity by seeking to dom- effect, control nature and mortality itself.
inate and control them. Building on Dinnerstein’s view, Goldenberg and
Roberts (2002) argued that women’s own self- Roberts (2004, 2011) further articulated an existential
objectification can also be understood as a kind of motivation for the sexual objectification of women’s
internalized control wherein subordinates in a bodies and women’s own self-objectification. They
dominant culture are “colonized” with a self-imposed point out that there are two conflicting views his-
powerlessness. Consistent with this view, higher torically on women’s bodies. On the one hand, there
self-objectification is associated with greater levels is a long tradition of construing women as closer to
of powerless emotions such as shame and anxiety animals and nature (Ortner, 1974), yet on the other
(Moradi & Huang,  2008). Furthermore, studies hand there are also ample cultural examples of women
show that experimental manipulations of relative being elevated above nature, idealized, and even
power via postural positions (upright posture is worshipped as goddesses. So stereotypes about women
generally thought to be associated with greater feel- are paradoxical because they contain both negative
ings of power than slumped or slouched posture) and seemingly positive judgments, as Glick and
can have puzzling effects in women, consistent with Fiske’s (1996) revelation of benevolent sexism attests.
objectification’s links to power. For example, Allen, With respect to women’s bodies, on the one hand,
Gervais, and Smith (2013) showed that women high research shows that women’s reproductive and
in self-objectification experienced more body shape bodily functions (menstruation, pregnancy, breast-
concern and disordered eating in powerless postures feeding) are often viewed with derision, but, on the
than in powerful postures. Similarly, Kozak, Roberts, other hand, other features of their bodies are revered
and Patterson (2014) found that women were less as cultural symbols of beauty and male desire.
satisfied with their performance on cognitive tasks Goldenberg and Roberts (2004,  2011) argued
when they were seated in a position that empha- that the objectification of women is motivated by
sized sexualized features of their body (e.g., upright a desire to strip women of their connection to
posture, with breasts forward) compared to when nature and serves as a form of symbolic drapery
their position was less “powerful” (slouched), but that enables a transformation of “natural,” crea-
sexualized body features were hidden. turely woman (and thus a reminder of our animal
Whether sexual objectification is fueled by a feel- nature and, hence, also of death) into “object” of
ing of being in power over others, who become beauty and desire. What becomes clear when scru-
sexualized instruments, or whether objectification tinizing the ubiquitous cultural presentation of
of others is a way for the relatively disenfranchised women’s idealized bodies is that, regardless of the
to reinstate dominance, power clearly plays a role. features deemed essential by a culture for feminine
Furthermore, one structural outcome of the sexual beauty, it is specifically when the more creaturely

324 THE GENDERED BODY PROJECT: SEXUAL AND SELF-OBJECTIFICATION

features and functions of women’s bodies are actually Self-objectification is argued within this frame-
or symbolically removed from the presentation that work as serving the same existential protection
the female body is publicly acceptable and attractive. function for women themselves. In a series of
Breasts provide an illustrative example. Iris Marion ­studies, Goldenberg, Cooper, Heflick, Routledge,
Young once wrote of women’s breasts, “Cleavage is and Arndt (2011) found that when women’s mor-
good; nipples are a no-no” (1992, p. 220). Breasts tality was made salient, higher self-objectification
are multidimensional. They are not only a source of predicted greater liking of an objectified image of a
food for offspring, but also the objects of sexual woman’s body (in the Sports Illustrated swimsuit
desire. Interestingly, we do not seem capable of issue). They also found that high self-objectifying
­sustaining both these orientations toward breasts at women responded to a compliment about their
once. Studies indeed show that the extent to which physical appearance in the middle of a competence
both men and women view breasts as objects to be task with increased self-esteem after a subliminal
enjoyed by men predicts negative attitudes toward prime of mortality. Furthermore, studies have shown
breastfeeding. In one qualitative study, a mother that greater self-objectification predicts attitudes
negatively disposed toward breastfeeding her infant and even behaviors that enable women themselves
was quoted as saying, “Yuck, those are for your to “distance” from their corporeal (mortal) bodies.
­husband!” (Morse, 1989, p. 239). In a more recent For example, Johnston-Robledo, Sheffield, Voigt,
quantitative investigation, Ward, Merriwether, and and Wilcox-Constantine (2007) found that women
Caruthers (2006) found that the more men engaged higher in self-objectification were less likely to
with popular men’s magazines, the more they con- breastfeed and more likely to opt for the pill that
strued women as sexual objects, and this attitude suppresses menstrual periods.
predicted more negative views toward breastfeeding This position fits with the findings of Glick and
and more concern that breastfeeding interferes with Fiske (e.g., Glick & Fiske, 2001), who have observed
sexual relations. that prejudice against women takes the form not
Menstruation provides another example. Roberts, only of overtly hostile sexism but also benevolent
Goldenberg, Power, and Pyszczynski (2002) found sexism (i.e., “characterizing women as pure creatures
that male and female participants exhibited negative who ought to be protected, supported, and adored
reactions to a woman who made her menstrual and whose love is necessary to make a man com-
status known by inadvertently dropping a wrapped plete,” Glick & Fiske, 2001, p. 109). The primary
tampon out of her backpack. Not only was the theoretical explanation for benevolent sexism is
woman viewed as less competent and less likable that it enables interaction between the sexes, while
than when she dropped a less “offensive” but equally simultaneously pacifying women. Seemingly
feminine item—a hair barrette—from her bag, but ­benevolent sexual objectification, when viewed as
also the mere presence of the tampon led participants motivated by existential concerns, appears not only
to distance themselves physically from the woman to pacify women but also to protect both men and
by sitting farther away from her. Furthermore, not women from existential mortality concerns. Men’s
only were negative reactions exhibited in response physical, animal desires should be rendered less
to the individual woman who dropped the tampon, threatening if the target of these desires is construed
but also, when participants were asked to describe as a pure and wholesome object of worship. And, to
their attitudes toward women more generally, those the extent that women themselves self-objectify,
who had seen the tampon rather than the hair bar- they are afforded the protection of psychically dis-
rette were particularly likely to sexually objectify tancing from their own animal nature.
women’s bodies.
Construing women as objects also requires down- Objectification as System Justification
playing their explicit sexuality as well. Putting A third perspective on the why question of sexual
“beautiful” (good) women on an objectified pedestal objectification and self-objectification borrows from
may also serve the function of protecting men from the social psychological theory of system justification
the threat associated with their own animalistic (Jost, Pelham, & Carvallo, 2002). This framework
urges toward them. Landau et al. (2006) found that links sexual and self-objectification to maintenance
inducing male participants to contemplate their of stereotypical gender social arrangements. System
mortality led to reduced sexual interest in a seductive justification theorists argue that there is a psycho-
woman, but this effect was eliminated when the logical motive to bolster and defend the status quo
woman appeared more wholesome. and that this defense is heightened in low status

ROBERTS AND WATERS 325

conditions (Calogero, 2013b; Jost et al., 2010; Jost, of a link between support for gender stereotypes and
Pelham, Sheldon, & Sullivan,  2002). We are endorsement of diffuse and gender-specific forms of
­predisposed to believe in the fairness and justice of system justification. Complementarity in gender
existing social institutions and will go to great lengths stereotypes—associating agentic behavior with men
to reinforce those beliefs. System justification (but not women) and communal behavior with
­accounts, in part, for societal resistance to change women (but not men)—was linked to enhanced
even in the face of rank inequalities (e.g., racial, support for the status quo. From the standpoint of
gender). Ironically, those who are least benefited by system justification theory, complementary social
structural inequalities are often the most likely to groups contain unique attributes and whatever
justify the status quo, a phenomenon that can be social inequities exist are a natural and justifiable
explained as a form of dissonance reduction (Jost, outgrowth of these group differences. Emphasizing
Pelham, Sheldon, et al., 2002). Although adherence these differences serves to maintain the status quo
to the status quo is not the only way to respond to by promulgating the idea that one gender is more
social inequality, Jost, Pelham, Sheldon, et al. (2002) skilled or essentially better suited to particular roles
contend that “social inequality has the capacity to in society. A complementary view of gender stereo-
create ideological dissonance and enhanced system types reinforces traditional gender roles by suggest-
justification may be one (paradoxical) strategy for ing that because they are mutually beneficial, the
resolving such dissonance.” (p. 16). system, overall, is fair and justifiable.
This perspective is perhaps the best explanation Across three experiments, Calogero and Jost
for the motive behind women themselves partici- (2011) found that exposure to either complemen-
pating in objectifying one another (e.g., “Don’t hate tary or b­enevolent sexist stereotypes increased
me because I’m beautiful”) and behind their own women’s (but not men’s) state (situationally
self-objectification. Indeed, there is mounting evi- ­related) self-­objectification, body shame, and self-
dence to suggest that self-objectification operates as a surveillance. In a subsequent study, women reported
system justification strategy (Calogero, 2013a, 2013b; more plans to engage in appearance-­maintenance
Calogero & Jost, 2011; Jost & Kay, 2005). Women’s activities after being exposed to benevolent sexism.
adherence to behaviors that reflect and promote the All these ­ behaviors—appearance maintenance,
male gaze serve the function of minimizing distress body shaming (of the self and other women), and
for the self-objectifier, while simultaneously main- self-objectification—reinforce traditional gender
taining a patriarchal power structure that views arrangements by occupying women in activities
women’s bodies first and foremost as objects of male that cost time and money and ultimately maintain
desire. As Jeffreys (2015) argued, the very fact that the status quo.
women profess to enjoy and take pleasure in prac- How does men’s objectification of women
ticing beauty rituals confirms the extent to which ­promote adherence to traditional gender relations?
they have adopted and endorsed a subordinated From a systems justification theory perspective, one
­position relative to men. By self-objectifying, women of the reasons that men objectify women is that it
become the purveyors of their own objectification serves to keep women in a subordinate position and
and gain a measure of power, albeit an indirect one. sustains the gender status quo. The more women are
Engagement in self-objectifying beauty rituals, then, reduced to sexual objects, the more they are robbed
reinforces narrow cultural expectations for women, of agency in other realms. Ogling or catcalls on the
while relieving the dissonance associated with being street and sexual harassment at work all remind
a member of a subordinated group. Although some women that they are primarily objects for men’s sexual
research suggests that self-objectification may yield use, stripped of the means to control for themselves
short-term gains, Liss, Erchull, and Ramsey (2011) how they are perceived. Reducing women’s subjec-
demonstrated that, in the long term, these strategies tive sense of themselves as autonomous agents and
fail and are associated with dysfunctional outcomes foregrounding their role as objects shifts their atten-
(e.g., body dissatisfaction, eating disorders). tion away from their own subjectivity toward their
Calogero (2013a) argued that “because they are utility as commodities. This likely ­motivates activi-
at a structural disadvantage relative to men . . . women ties that will enhance their attractiveness and even
have more to justify and rationalize than men do, promotes competition with one another in the realm
and therefore . . . they should provide stronger ideo- of sexually objectified beauty, as opposed to calling
logical support for the system” (p. 313). Consistent out objectifiers and shining a light on the injustice of
with this claim, Jost and Kay (2005) found evidence the entire system that enables such treatment.

326 THE GENDERED BODY PROJECT: SEXUAL AND SELF-OBJECTIFICATION

A Matter of Seeing: How Sexually argued, oppression need not be inflicted. One way
Objectifying Culture Translates to make someone an object is to “make her make
to Self-Objectification herself an object” (p. 335). Self-objectification too,
As Brumberg’s (1997) work on diaries illustrates, then, she argued, will also be a matter of both seeing
girls in the early 21st century have come to focus and doing. In this section we will examine a how
almost exclusively on the enhancement of their question: How are girls and women made to make
physical appearance as their most important self- themselves primarily concerned with their body
improvement goal. Empirical studies indeed show projects?
that girls as young as 12 years old self-objectify; they Fredrickson and Roberts (1997) argued that the
place significantly greater emphasis on their body’s self-objectifying way of seeing the self can manifest
appearance than on its competence, health, or well- on a trait level, but also can be induced by situa-
being (Slater & Tiggemann, 2002). Other evidence tional and contextual cues. On the one hand, some
shows that even younger girls are already dissatisfied people are more likely to define themselves stably
with their bodies, especially their weight (Jeffreys, in ways that emphasize a third-person, over a first-
2015; Phares, Steinberg, & Thompson, 2004). In person, point of view on their bodies. Women
one study, 90% of secondary school girls in the United consistently score higher than men in trait self-
Kingdom reported altering their appearance to objectification (e.g., Fredrickson, Roberts, Noll,
­conform to acceptable beauty standards (Girlguiding, Quinn, & Twenge, 1998). Furthermore, similarities
2013, as reported in Jeffreys, 2005). And what starts override differences among subgroups of women in
young sticks around. For example, one survey showed self-objectification. White and non-White women as
that more than 70% of normal-weight women aged well as heterosexual and sexual minority women
30 to 75 are dissatisfied with their body’s appearance report similar levels of self-objectification (Downs,
(Allaz, Bernstein, Rouget, Archinard, & Morabia, James, & Cowan, 2006; Harrison & Fredrickson,
1998). Feminists have argued that, over the course 2003; Kozee & Tylka, 2006). The adoption of this
of women’s development across the life span, their perspective on the self is likely a developmental
dissatisfaction with their weight and physical attrac- process in which a sexually objectified standard of
tiveness is so widespread as to constitute a “normative femininity is cultivated.
discontent” (Rodin, Silberstein, & Streigel-Moore, On the other hand, certain situations appear to call
1984; Webster & Tiggeman, 2003). greater attention to the body as observed, encouraging
Objectification theory provided a comprehensive a state of self-objectification. Again, women appear
framework for understanding how the cultural milieu to be more susceptible than men to the experi-
of the sexual objectification of female bodies delivers mental inductions of a state of self-objectification
a kind of instructional backdrop for women’s de- (Moradi & Huang, 2008). Here we will attempt to
velopment across the life span (Fredrickson & organize our understanding of what motivates the
Roberts,  1997). Girls and women encounter this gendered body project, both in terms of the devel-
treatment secondhand, through media and market- opment of trait-level self-objectification in girls and
ers’ representations (e.g., Kilbourne & Jhally, 2000), women and in terms of the more situation-specific,
as well as in actual interpersonal encounters (e.g., proximal contexts that induce this way of seeing
Swim, Hyers, Cohen, & Ferguson, 2001). The theory the self.
argues that girls and women are coaxed through
these social and cultural experiences of sexual objec- Cultivation of Self-Objectification in the
tification to treat themselves as objects to be gazed at Culture of Sexual Objectification
and evaluated based on physical appearance, that is, Theories of gender development may help to make
to self-objectify (Fredrickson & Roberts, 1997). sense of how cultural messaging around sexual
Exactly how does this coaxing occur? Rae Langton ­objectification, as well as interpersonal sexualized or
(2009) argued that sexual objectification is a matter sexually objectifying treatment, get translated and
of both seeing and doing. That is, to sexually objectify incorporated into the self system of girls as they
girls and women involves not only viewing them as develop within a sexually objectifying culture.
commodities valued primarily for their attractiveness
and sexual appeal, but also treating them as such. Socialization Theories
The question of how this seeing and doing accom- Ample research suggests that from the moment
plishes internalization within girls and women children are born, they are treated differently based
themselves is a challenging one. As Langton (2009) on their sex (Maccoby, 1998). By as early as 2 years

ROBERTS AND WATERS 327

old, children consistently label themselves and those across childhood and adolescence. However, in these
around them as either male or female and they earliest years, information about gender is consumed
are busy about the business of modeling behaviors relatively uncritically. In preschool and early child-
that are consistent with cultural gender norms hood, it is clear that children are preoccupied with
(Campbell, Shirley, & Candy, 2004). Social learn- learning the rules of the game, not with dismantling
ing theorists (e.g., Bussey & Bandura, 1999) posited them (Piaget,  1965). Acquiring rules for gender-­
that children learn gender-appropriate behaviors by appropriate appearance and behaviors comes in a
observing the praise and recognition others receive variety of sources, including family members, peers,
for gender-consistent behavior and by noting sanc- and teachers, but one of these ways is through media
tions against gender-inconsistent behavior (Rust, and toy exposure. The average preschooler watches
Golombok, Hines, Johnston, & Golding,  2000). more than 21 hours of television a week and yet
From a social learning theory perspective, then, little children in this age group are the least able to criti-
girls emulate feminine models because they are cally evaluate media messaging (Kunkel et al.,
praised for doing so (“My, how pretty you look!”) 2004; Robinson & Bianchi, 1997). This is especially
and because they see that others are positively rein- problematic given that among young women and
forced for doing so. adults, the more exposure they have to mainstream
media content, the more likely females are to uncrit-
Cognitive Developmental Theories ically endorse sex-role stereotypes (Ward, 2002; Ward
Cognitive developmentalists emphasize the child’s & Rivadeneyra, 1999). This suggests that the impact
active participation in forming an identity and argue of popular culture is not only restricted to those
that children construct a schema or framework for who consciously partake, but also influences those
organizing gender-relevant information. From this who are merely growing up in a milieu saturated with
perspective, children mark and quarter their realities sexist messaging.
along gender lines, allowing stereotype-consistent Across early and middle childhood, advances in
behavior in and ruling stereotype-inconsistent be- perspective-taking ability pave the way for increas-
havior out (Martin, Ruble, & Szkrybalo,  2002). ingly sophisticated interpretations of the social realm
However, the extent to which cultural modeling (Higgins,  1991; Selman,  1980). In school-aged
about beauty is internalized by young girls and ­children these comparisons center around concrete
whether there is a critique of cultural ideals is influ- attributes such as appearance. Given this, how explic-
enced by cognitive development. itly sexually objectifying material is incorporated
Although gender is only one part of the identity into the self at different ages is likely to change with
equation, it is one of the earliest emerging facets of the type of gender role models children encounter.
identity and since it develops so early, it can appear The subtle shift in toys from Barbie with a hyper-
rigid. Parents often remark on their daughters’ sexualized body to Bratz dolls with a girlish body,
desire to dress in highly feminine outfits even when juxtaposed with hypersexualized clothes and facial
the situation might not warrant it, and this has led features, makes room for ever-younger girls to don
researchers to conclude that children both observe the mantle of sexuality even if they do not have the
and construct notions about gender-appropriate be- body for it (Roberts, 2013).
havior based on their cognitive abilities (Maccoby, At adolescence, normative developmental pro-
1998). Researchers argue that rigidity about gender- cesses may heighten girls’ sensitivity to sexually
appropriate behavior (and dress) reflects preschoolers’ objectifying cultural messages. At puberty, girls
­
erroneous beliefs that it is not biology, but the begin to acquire formal operational thought and the
clothes (and other trappings of gender) that make capacity to compare themselves against multiple
the man (or woman). Although this confusion is standards. However, the capacity to understand the
cleared up by the advent of gender constancy self in increasingly complex and differentiated terms
around 4 to 5 years of age (Kohlberg & Zigler 1967; develops gradually and inconsistently across adoles-
Ruble et al., 2007), the fact that girls as young as cence and may be accompanied by cognitive errors.
3 years old are already policing the femininity of their Elkind (1967) dubbed one of these the imaginary
outfits suggests that the roots of self-objectification audience, which he argued was a “failure of under
are deep indeed. differentiation” between the self and other that
The basic schema for gender continues to become leads adolescents to believe that others are as preoc-
elaborated and solidified as part of one’s larger identity cupied with them as they are with themselves.

328 THE GENDERED BODY PROJECT: SEXUAL AND SELF-OBJECTIFICATION

In terms of objectification theory, the heightened media images are unrealistic and stupid, nobody
self-consciousness associated with this cognitive error dresses like that!”) with what she feels (e.g., “If I look
leaves early adolescents ripe for the self-surveillance hot for this party, people will like me.”).
associated with self-objectification. This assertion, however, is largely speculative
During the same period, at the neurological given the lack of research examining the relation-
level, a gradual process of synaptic pruning and ship between cognitive development and self-­
consolidation of neural architecture occurs in the objectification. Even among older samples, studies
prefrontal cortex—the seat of judgment, reason- that explicitly examine developmental processes
ing, forward planning—and this is coupled with in  the motive to self-objectify have been few and
more pronounced development in the amygdala far between. One notable exception is McKinley’s
(emotion regulation) and changes in the availabil- (2006a, 2006b) sequential study of mothers and
ity of dopamine and γ-aminobutyric acid (Baird daughters at two points in time, 10 years apart.
et al., 1999; Kalivas, Churchill, & Klitenick, 1993; McKinley (2006a) found that college women
Spear, 2000). Taken together, these changes are as- ­reported higher levels of body shame and body
sociated with a heightened sensitivity to emotion- surveillance than did their middle-aged mothers or
ally evocative material (e.g., media/advertising) their male peers and the link between body shame
coupled with relatively few cognitive “breaks” on and body surveillance was stronger in younger women
the system. Researchers have associated these shifts than in middle-aged women. Ten years later, both
with adolescents’ penchant for risk-taking and groups of women continued to report higher levels
­decision-making that favors i­mmediate over long- of self-objectification than males. However, the
term rewards (Reyna & Farley, 2006; Spear, 2010), younger cohort of women reported significantly less
but in the context of objectification theory, it is self-objectification at the second assessment and they
conceivable that they are also associated with dif- no longer differed significantly from their mothers
ficulty in critically analyzing p ­ rovocative cultural (McKinley, 2006b). McKinley explained that during
messaging around appearance. emerging adulthood, young women may be more
Self-objectification may also play a role in the motivated to self-objectify because they are engaged
social comparisons associated with creating a coher- in life-span tasks such as establishing intimate
ent and integrated identity during adolescence. ­relationships (Erikson, 1959) and beginning careers
Research on the development of the self-concept (Arnett, 2000), both of which implicate appearance
demonstrates that although early adolescents are for women. Ten years later, as careers and intimate
able to generate multiple self-descriptors, they see relationships are solidifying, the motivation to self-
no apparent contradiction in describing themselves objectify may lessen.
as entirely opposite in one setting versus another In summary, objectification theory’s concept of
(Harter, 2012). Harter argued that this is a result of self-objectification provides an intrapsychic contri-
emergent formal operational development in which bution to our understanding of gender development
the individual is able to generate multiple perspectives across the life span. During the early years of girls’
on the self, but is not yet able to hold contradictory gender socialization, perhaps through reinforcements,
descriptors as objects for purposes of comparison. as social learning theorists would argue, or even
It is plausible, then, that the 12-year-old girl could through normative cognitive and neurological
hold completely contradictory views, recognizing changes, as constructivists would argue, girls learn
at once that the media images are “stupid and unre- to internalize a sexually objectified view of their
alistic” and yet unproblematically working mightily bodies. Once they have done so, they set about the
to attain the ideal body. Appreciating the incon- work of solidifying their identity as a physically at-
sistencies between these two ideas is likely to cause tractive female. Media step in to supply increasingly
increasing distress only at mid-adolescence when impossible standards of sexy attractiveness to which
contradictory information about the self becomes they can aspire (Dill & Dill, 2007) and marketers
highly salient but integration of inconsistencies is sell them the products and procedures that promise
still beyond the cognitive reach (Harter, 2012). In to help them meet that standard (Lamb & Brown,
the context of objectification theory, it is conceivable 2006). Once in place at the trait level, that is, once
that self-objectification contributes to increased body self-objectification takes hold as the primary way of
surveillance and body shame, as the mid-adolescent seeing the self, this seeing provides the motivational
works to integrate what she knows (e.g., “These fuel for the doing of the body project in which girls

ROBERTS AND WATERS 329

and women appear to remain engaged for much of that the more 7th and 10th grade girls engaged in
their lives. “appearance conversations with friends” and the
more social comparison they made concerning
The Situational Motivators of Self- ­appearance, the more body dissatisfaction they
Objectification ­reported. In this study, appearance conversations
In addition to its cultivation within girls and women with friends played as significant a role as internal-
as a trait, a number of studies manipulating the level izing media ideals in shaping body dissatisfaction. It
of exposure to sexually objectifying versus control could be that conversations with peers concerning
situations lend support for the notion that self-­ body issues are analogous to corumination, a phe-
objectification can be induced as a state by subtle nomenon that has been tied to depressive symptoms
cues in the environment (e.g., Calogero, 2004; (Broderick & Korteland, 2002; Rose, 2002; Rose &
Fredrickson et al., 1998; Quinn, Kallen, & Cathey, Rudolph, 2006). Could these conversations amount
2006; Roberts & Gettman, 2004). The classic study to co-objectification? When a girl asks a question like
of heightening self-objectification by manipulating “Do these pants make my butt look big?” is she en-
appearance pressure involved women performing listing peers’ help in her own body surveillance? If
tasks in a mirrored dressing room while wearing either co-objectification is one of the factors contributing
a swimsuit or a sweater (Fredrickson et al., 1998). to body dissatisfaction in the middle and high
Those in the heightened self-objectification condition school years, interventions in the context of peer
(wearing swimsuits) reported higher levels of body ­interactions may be especially important.
shame, reduced task performance, and restrained
food intake compared to control groups dressed in Summary
sweaters. Restrained eating occurred even after We have argued that one of the reasons girls and
­delaying the food intake assessment until after par- women are motivated to see the self as an object,
ticipants redressed, suggesting that the effects of the that is, to self-objectify, is that bringing the self
prime remained even after the initial manipulation into compliance with sociocultural norms yields
(Quinn et al., 2006). positive benefits. We have also suggested that how
In other experiments, priming women to antici- self-objectification motivates behavior will vary
pate an interaction with a male stranger increased depending on age and normative developmental
state self-objectification phenomena including body processes, including cognitive and neurological
shame and appearance anxiety (Calogero,  2004). maturation. It seems likely that adolescent girls may
Still other inductions that have been demonstrated to be especially sensitized to cultural information about
lead to heightened state self-objectification include appearance as they work to create a coherent self-
exposure to sexually objectifying words or images concept. Research also suggests that young women
(Aubrey, 2006; Monro & Huon, 2005; Roberts & who are in the emerging adulthood phase of life
Gettman,  2004), overhearing other women speak will be particularly motivated to engage in self-
disparagingly of their own bodies (Gapinski, Brownell, objectification because it is during these times that
& LaFrance,  2003), being videotaped from the the social benefits of conforming to appearance
neck down during a trivial task (Gay & Castano, standards are particularly salient. It is also clear
2010), having male confederates ogle one’s body that just how self-objectification informs girls’ and
(Gervais, Vescio, & Allen, 2011), or viewing music women’s choices varies depending on contextual
videos high in sexual objectification that simulate phenomena such as the extent to which girls co-
real-world instances of objectifying experiences for objectify by talking to each other about appearance
women (Aubrey & Gerding, 2015). concerns and whether and how they encounter ob-
However, not all girls and women read cultural jectifying treatment and media.
messages about beauty with the same urgency, nor Alarmingly, the participatory nature of social
do all females interpret cultural beauty ideals as media apps such as Instagram, Facebook, and
mandates for body projects. The extent to which in- Snapchat strongly suggests that media are no
dividual differences in self-objectification are trait- longer “out there” to encounter or not; rather, they
like or are the product of the social milieu remains provide relentless, daily platforms for sexual and
speculative. Several studies have demonstrated con- self-­objectification. The strategic self-presentation
nections between self-reported self-objectification involved in selfies (curated self-portraits taken with
(the trait), body surveillance, body shame, and neg- smart phones) has been shown to reflect many ele-
ative outcomes. Jones (2004), for example, found ments of self-objectification, including appearance

330 THE GENDERED BODY PROJECT: SEXUAL AND SELF-OBJECTIFICATION

surveillance and dissatisfaction (Lyu,  2016). “doing self-objectification” carries significant negative
Further­more, there are social penalties for girls and consequences for girls’ and women’s lives.
young women who attempt to “opt out” of self- The most well documented consequences of self-
objectification in their mediated lives; they appear objectification are in the arena of body esteem.
to be damned if they do, damned if they don’t. For Moradi and Huang (2008) reviewed this literature
example, in one study exploring the impact of and concluded that experimental data strongly sug-
­sexting (i.e., the electronic transmission of sexually gest that heightened self-objectification promotes
provocative and explicit images of oneself), Lippman body shame, appearance anxiety, and negative affect
and Campbell (2014) found adolescent girls were in both White and racially and ethnically diverse
criticized as prudes if they did not sext when boys samples of women as well as girls as young as 12 years
requested it, but labeled as sluts if they did sext. In old. Why do girls and women experience body
other words, for millennials, it seems that partici- shame upon viewing the self as an object? The con-
patory self-objectification is a regular part of life, ceptual reasons for this rest on observations that a
given that media are literally always in the palm of disparity between the real and the ideal self contrib-
their hands. utes to low self-esteem, dissatisfaction with one’s
body, and dysphoria (Harter,  2012; Horney,  1945;
A Matter of Doing: The Motivating but James, 1892; McKinley, 1998). The thinning down
Consequential Body Project of the feminine body ideal over the past 40 years has
Self-objectification can be thought of as a kind of increased the disparity between women’s real bodies
external locus of control because it frames girls’ and media ideals. This widening gap motivates the
and women’s lives around their physical attractive- self-surveillance that results in feelings of failure
ness or sexual appeal to others. However, the body (shame) at attaining the increasingly impossible ideal
project has its internally motivated elements as (McKinley, 1998; Stice, 1994).
well. Girls and women have every reason to value Moradi and Huang (2008) also reviewed
the positive feedback they receive from their own ­correlational studies that support links between self-
efforts at appearance enhancement. Studies have objectification and body shame with negative out-
shown that women’s appearance control beliefs comes for girls’ and women’s mental health, including
have a paradoxical relationship to their well-being. low self-esteem and depressive symptoms. The body
That is, those who endorse a more internal locus of shame associated with self-objectification appears to
control with respect to their appearance (“buying,” motivate eating disordered behaviors and even
in other words, what advertisers for the myriad of smoking behaviors (e.g., Fiissel & Lafreniere, 2006;
body-enhancing products and procedures marketed Harrell, Fredrickson, Pomerleau, & Nolen-Hoeksema,
to females in this culture are really selling) tend to 2006; Tylka & Hill, 2004). Self-objectification and
have somewhat higher body esteem, but engage in its attendant body shame have also been linked with
more restricted eating and other body-altering poor outcomes related to women’s sexual motivations,
practices that can be hazardous (McKinley & such as reduced interest in sex, nonassertive and risky
Hyde, 1996). sexual behaviors, greater appearance concern during
Despite its motivating elements, 20 years of sexual intimacy, and even lower reported sexual
­research since the publication of objectification theory pleasure and arousability (e.g., Hirschman, Impett,
has demonstrated that the body project in which so & Schooler, 2006; Sanchez & Kiefer, 2007). Finally,
many girls and women are engaged carries a host of the body shame induced by self-objectification plays
cognitive, emotional, behavioral, and even health a significant role in motivating women’s desire for
consequences (see Roberts, Calogero, & Gervais, cosmetic surgery (Calogero, Pina, & Sutton, 2014).
2018). Again, Langton (2009) argued that just as Research has confirmed that self-objectification
sexual objectification involves both seeing and doing is costly not only emotionally, but also cognitively
(viewing girls and women as objects and treating and behaviorally. Several studies have shown reduc-
them as such), so too does self-objectification in- tions in cognitive performance as a function of higher
volve both seeing and doing. Hence, the more girls self-objectification (for review, see Quinn, Chaudoir,
and women come to see themselves as objects, the & Kallen, 2011). Experimental studies have demon-
more they will bring it about that they become strated worse performance on math tests and other
more object-like (more defined by their bodies and cognitively demanding tasks (e.g., Stroop test) when
appearance, possessing less autonomy, silenced, self-objectification has been induced as a state (e.g.,
etc.). Here, we briefly review selected evidence that Fredrickson et al.,  1998). Cross-sectional studies

ROBERTS AND WATERS 331

have revealed links between self-objectification and shame, as a motivational set. The empirical litera-
lower confidence in math ability (Grabe & Hyde, ture on self-objectification suggests that it is contin-
2009). Experimental research has also shown lower gent on a complex interaction between the person
self-efficacy when self-objectification is induced, as and the situation. In 20 years of investigation, much
well as associations between higher trait-level self- has been illuminated about the activating role of
objectification and lower self-efficacy, dampened self-objectification (seeing oneself as an object) in
intrinsic motivation, and feeling less capable and motivating girls’ and women’s body projects (doing
purposeful (Gapinski et al., 2003). the psychic and behavioral work required of such
The reduced confidence and efficacy engendered projects). In this chapter, we have attempted to il-
by self-objectification may help explain girls’ and lustrate how these projects can be seen as the logical
women’s withdrawal from active participation in outcome of normative developmental processes
social and even political life. Saguy, Quinn, Dovidio, within a framework on gender where femininity is
and Pratto (2010) found that women talked less narrowly construed as emphasizing sexually attrac-
during a brief introduction of themselves under tive physical appearance. Gender identity formation
conditions of state self-objectification (when they in childhood, self-concept in adolescence, and inti-
believed they were being videotaped and viewed by macy and career establishment in emerging adult-
a male partner from the neck down). Under this hood are all inflected through this lens.
condition, they reported feeling more like a body Just how these processes unfold and the extent to
than a person, revealing distressing evidence that which individual differences impact the motivation
self-objectified women view themselves more in line to engage in body projects and produce maladapted
with a something than a someone—as objects to be outcomes have been the subjects of considerable in-
seen and not heard. Moreover, in a series of studies, vestigation, some of which has been reviewed in this
Calogero (2013b) found that women higher in self- chapter. And it is clear from the evidence gathered
objectification were less likely to engage in gender- to this point that the motivation to self-objectify
based social activism and this link was mediated by varies in response to priming. It remains unclear,
gender-specific system justification. In this way, however, why some individuals are motivated to
self-objectification can be said to demotivate active engage in self-objectification to the detriment of
engagement in dissent over gender inequality, keep- their health and psychological well-being and self-
ing girls and women “in their place.” esteem and others remain resilient in the face of
To sum up, the internalization of sexual objecti- pressures to conform to appearance ideals. Unraveling
fication as a way of seeing oneself means that many these questions will be important for research if we
girls and women chronically monitor their body’s are to imagine interventions to undermine the
appearance, “doing” self-objectification. Their body sexual objectification of girls and women and their
projects can be very motivating indeed, and adver- own collusion via self-objectification in their disen-
tisers promise the products, clothing, procedures, franchisement. In an era when surprising numbers
and diets that provide the tools for their undertak- of women voted for a president who bragged about
ing. But the project is costly, not only in terms of sexual harassment, where we are seeing explosions
time and money, but also, studies have clearly in sex trafficking and slavery and the erosion of re-
shown, in terms of girls’ and women’s well-being productive rights, unburdening girls and women of
and full participation in life. It is also never finished. the maladaptive body projects in which they are en-
The comparisons girls and women make to idealized gaged could not feel more urgent.
feminine beauty are chronic because the ideals shift
chronically, sometimes subtly and sometimes not so
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336 THE GENDERED BODY PROJECT: SEXUAL AND SELF-OBJECTIFICATION

 CH A PT ER

19 Relatedness Between Children and Parents

Implications for Motivation

Eva M. Pomerantz, Cecilia Sin-Sze Cheung, and Lili Qin

Abstract

A significant goal in many countries around the world is promoting children’s motivation so that they
may achieve at their full potential. There is much evidence supporting the idea that parents play a
significant role in either facilitating or undermining children’s motivation. The focus of this chapter is on
how relatedness between children and their parents shapes the development of children’s motivation
and ultimately achievement. Three sets of ideas about how relatedness between children and their
parents contributes to children’s motivation are reviewed. An integration of the three sets of ideas is
provided to highlight key themes as well as suggest innovative directions for future research.
Keywords:  achievement, attachment, motivation, parent–child relations, parenting

Feeling related to others is fundamental to human the academic arena has also been of interest (for a
functioning (Baumeister & Leary,  1995; Deci & review, see van IJzendoorn, Dijksta, & Bus, 1995).
Ryan, 2000). For most humans, their earliest expe- The central goal of this chapter is to integrate
rience with relatedness takes place in the context of several lines of theory and research in which chil-
their relationships with their parents. Such relation- dren’s relationships with their parents serve as a
ships are unique in that they are often the first in context for the development of their motivation,
children’s lives, with children depending on their with implications for their learning in the academic
parents to provide them with important physical arena (for reviews of other ways in which parents
and psychological resources (Clutton-Brock,  1991; contribute to children’s motivation, see Grolnick,
Thompson et  al., 2005). It is thus not surprising Friendly, & Bellas, 2009; Pomerantz & Grolnick,
that even as children enter into relationships with 2017; Pomerantz, Kim, & Cheung, 2012; Pomerantz,
others such as their peers, their relationships with Moorman, & Litwack, 2007). We first briefly d ­ escribe
their parents retain substantial significance through- the major categories of motivation on which inves-
out adolescence, if not into adulthood (Collins & tigators studying children’s academic functioning
Steinberg,  2006; Offer & Offer,  1975). Indeed, generally focus. Second, we highlight the relevant
children’s relationships with their parents have
­ postulates and supportive research of the two fore-
been  identified as key contexts for virtually all most theories linking relatedness between children
­aspects of their psychological development (for and their parents to children’s academic functioning.
­reviews, see Cassidy & Shaver, 2008; Groh, Fearon, We begin by reviewing Bowlby’s (1969, 1973, 1980)
IJzendoorn, Bakermans-Kranenburg, & Roisman, attachment theory and its extensions to such func-
2017; Thompson, 2006). Although much of the tioning (e.g., Bretherton, 1985; van IJzendoorn et al.,
­attention in this vein has been directed toward the 1995). We then discuss Deci and Ryan’s (1985,
development of children’s functioning in the social 2000) self-determination theory, with an emphasis on
arena, the development of children’s functioning in its application to parents’ socialization of children’s

337
motivation (e.g., Grolnick, Deci, & Ryan,  1997; (i.e., children’s investigation of their environment
Grolnick & Farkas, 2002). Third, we move beyond so that they become knowledgeable about it). Among
the focus of these theories on the quality of related- children who are securely attached, their relation-
ness to another dimension of relatedness—children’s ships with their parents serve two primary functions.
sense of responsibility to their parents. Fourth, we First, their parents act as a secure base from which
integrate the different ideas about the role of chil- children can investigate their world. Second, their
dren’s relatedness to their parents in their academic parents serve as a safe haven, such that children are
functioning, suggesting important questions to be able to return to their parents for comfort as they
answered in the future. face challenges. For securely attached children, their
attachment and exploration systems are balanced,
Major Categories of Children’s Motivation which is not the case for insecurely attached children.
Theory and research concerned with children’s These children experience anxiety over the possibility
academic functioning have generally focused on
­ of losing their parents’ attention, which interferes
three major categories of motivation (for a review, with their exploration.
see Wigfield et  al., 2015). First, is that of how Several studies find that when children are securely
­capable children feel in regard to accomplishing attached to their parents in the early years of life,
the  academic tasks they encounter. This includes they are better able to explore their environment at
children’s perceptions of competence, expectations this time, often demonstrating enhanced competence
for future performance, feelings of efficacy, and (e.g., Belsky, Garduque, & Hrncir,  1984; Frodi,
sense of control. Second, children’s investment and Bridges, & Grolnick, 1985). For example, in one of
engagement in academic tasks are of import, the first studies on this issue, Matas, Arend, and
­including not simply the value children assign to Sroufe (1978) observed that children who were se-
such tasks and the amount of time they spend on curely (versus insecurely) attached to their mothers
them, but also their use of effective learning strate- at 18 months were more effectively engaged in
gies, such as the planning and monitoring of their problem solving 6 months later in that they worked
learning. A third category is the reasons behind chil- longer on problem-solving tasks, with more enthu-
dren’s investment and engagement. One of the most siasm and less frustration. Perhaps because of their
studied set of reasons is children’s autonomous (e.g., enhanced exploration, securely attached children
enjoyment and personal importance) versus con- are more cognitively competent (e.g., their language
trolled (e.g., avoidance of shame and attainment of is more developed) than are insecurely attached
rewards) reasons—often referred to as intrinsic (versus children, over and above their early IQ (e.g.,
extrinsic) motivation. Also receiving substantive O’Connor & McCartney,  2007; van IJzendoorn
attention in this vein is children’s concern with
­ et al., 1995). Children with an ambivalent insecure
­developing (i.e., mastery motivation) rather than ­attachment to their parents (i.e., children alternate
demonstrating (i.e., performance motivation) their between seeking and resisting their ­ parents)
competence. All three categories of motivation appear to be at greater risk for a lack of ­exploration
contribute to children’s achievement (for a review, than are children with an avoidant ­insecure attach-
see Wigfield et al., 2015). Thus, they have all received ment (i.e., children physically and affectively avoid
attention in the theory and research concerned with their parents; e.g., Belsky et al., 1984; Frodi et al.,
the role of parents in the development of children’s 1985). Frodi and colleagues (1985) speculated that
academic functioning. although both types of insecurely a­ ttached children
feel anxious over their parents’ ­attention, avoidant
The Attachment Theory Perspective children are more likely to ­displace their anxiety
The idea that children’s relationships with their by  engaging in activities that give the appearance
­parents contribute to their motivation is evident of greater exploration compared to their ambivalent
in  Bowlby’s (1969,  1973,  1980) and Ainsworth’s counterparts.
(Ainsworth,  1973; Ainsworth, Blehar, Waters, & A critical question is whether children’s early
Wall, 1978) writings in the context of attachment ­attachment to their parents contributes to their
theory (see also Bretherton, 1985). Focusing on the ­academic functioning over the longer term as chil-
first 2 years of life, both Bowlby and Ainsworth dren progress through school. A key mechanism
made the case that the quality of children’s by which it may do so is the internal working
­attachment to their primary caregivers, who are models children develop of themselves and
often their parents, shapes children’s exploration others  (Jacobsen, Wolfgang, & Hofman,  1994;

338 RELATEDNESS BETWEEN CHILDREN and parents: IMPLICATIONS FOR MOTIVATION

van IJzendoorn et al., 1995). Bowlby (1969, 1973) Bergin, 2009; van IJzendoorn et  al., 1995). Such
maintained that when children are securely attached speculation is of import because constructs reflecting
to their parents, they develop internal working children’s exploration (e.g., mastery motivation) and
models in which the self is seen as worthy of love internal working models (e.g., self-confidence) do
and others are seen as trustable. Such models may not fully account for the link between children’s at-
not only contribute to the effective exploration of tachment to their parents and their achievement
securely attached children described earlier but (e.g., Aviezer et  al., 2002; Jacobsen & Hofman,
also generate confidence among them. Seeing one- 1997). For one, when children are securely attached
self as worthy of love may lead to perceptions that to their parents, they may be both more able and
one is competent, which, in conjunction with willing to meet the learning demands of their parents,
seeing others as trustable and thus as able to pro- often adopting them as their own. In this vein, in
vide a safe haven when needed, may lead children what they termed the attachment-teaching hypothe-
to feel in control. These views of the self as capable sis, van IJzendoorn and colleagues (1995) made the
may set the foundation for children’s effective in- case that when children are securely attached to their
vestment and engagement in the academic arena. parents, they may be better able than their insecurely
In contrast, when children are insecurely attached attached counterparts to attend to their parents’
to their parents, they possess internal working learning-related practices (e.g., instruction) because
models in which people, including themselves, are they are not distracted by concerns about their rela-
viewed in a negative light. This may ultimately tionships with their parents. In addition, because
lead them to feel incapable, thereby undermining they trust their parents, securely (versus insecurely)
their effective investment and engagement. ­attached children may be more willing to take on the
Consistent with this perspective, the quality of values conveyed by their parents’ practices (Furrer &
children’s attachment to their parents, often as man- Skinner, 2003; Kochanska, Aksan, Knaack, & Rhines,
ifest in their representations of their relationships 2004). Thus, children’s secure attachment to their
with their parents, is predictive of their motivation parents may lead parents’ learning-related practices
and achievement during not only childhood and to be particularly effective in enhancing children’s
adolescence (e.g., Granot & Mayseless, 2001; Stams, motivation and ultimately achievement. Suggestive
Juffer, & van IJzendoorn,  2002) but also the of this idea, the more mothers characterize their
­transition to adulthood (e.g., Elliot & Reis, 2003; relationships with their kindergarten children as
­
Larose, Bernier, & Tarabulsky, 2005). For example, warm, the more their i­ nvolvement in their children’s
Moss and St-Laurent (2001) found that children learning (e.g., attending school events such as open
who were securely attached to their mothers at 6 years houses and parent–teacher conferences) has positive
of age were more effectively engaged while working effects on children’s achievement at this phase of de-
with their mothers on a problem-solving task at this velopment (Simpkins, Weiss, McCartney, Kreider, &
age than were insecurely attached children; moreover, Dearing, 2006).
2 years later, when they were 8 years of age, securely Much of the theory and research generated by
attached children were more mastery motivated in Bowlby’s attachment theory has focused on the
the academic arena. Such motivational sequelae may ­implications of the quality of children’s attachment
be responsible for the effects of children’s a­ ttachment to their parents for children’s relationships with
on their subsequent achievement (Jacobsen & others—particularly, their peers and teachers (for
Hofman, 1997). Indeed, Jacobsen and colleagues reviews, see Groh et al., 2017; Schneider, Atkinson,
(1994) demonstrated that when children hold secure & Tardiff, 2001). The key idea is that children apply
(versus insecure) representations of attachment at the internal working models they develop in the
7 years of age, they appear more confident at this context of their relationships with their parents to
age, which accounts for the positive effect of their their relationships with others (Bretherton,  1985;
attachment representations on their later cognitive Main, Kaplan, & Cassidy, 1985). These relationships,
competence, over and above their earlier IQ. in turn, may promote children’s motivational devel-
Building on the original tenets of attachment opment in two key ways. First, the more positive
theory, contemporary investigators have speculated children’s relationships are with their peers, the less
that several other mechanisms may also contribute they are at risk for motivational and achievement
to the role of children’s attachment to their parents problems because they are not preoccupied with
in their academic functioning (for additional ­relational difficulties in the classroom (for a review,
mechanisms not discussed here, see Bergin & see Ladd,  2003). Van IJzendoorn and colleagues

POMERANTZ, CHEUNG, AND QIN 339

(1995) also made the case that children’s r­ elationships to children’s needs and desires (see also Ainsworth
with their peers can be cognitively stimulating, but et al., 1978), with much evidence to support this
only if there is trust in such relationships, thereby idea (for a review, see Wolff & van IJzendoorn,
­allowing children to take optimal advantage of the 1997). Moreover, the more sensitive parents are
resources provided by their peers. Second, the qual- early in children’s lives, the better children’s
ity of children’s attachment to their parents may academic functioning (e.g., Frodi et  al., 1985;
­
shape the quality of their relationships with their Stams et al., 2002; Tamis-LeMonda, Bornstein, &
teachers; this may contribute to how children are Baumwell, 2001). Significantly, parents’ early sen-
treated by their teachers and children’s responsiveness sitivity (i.e., during the first 3 years of children’s
to their teachers’ instruction, ultimately influencing lives) predicts children’s achievement—over and
children’s academic functioning (Bergin & Bergin, above parents’ later sensitivity—into not only
2009; Pianta, Nimetz, & Bennett, 1997). Consistent childhood, but also adolescence (Fraley, Roisman, &
with this idea, the effect of children’s attachment to Haltigan,  2013) and adulthood (Raby, Roisman,
their parents on children’s subsequent cognitive com- Fraley, & Simpson, 2015). However, further ­research
petence is partially accounted for by the quality of is needed to d ­ etermine whether children’s attach-
their relationships with their teachers (O’Connor & ment to their parents—rather than other mechanisms
McCartney, 2007). (e.g., children’s feelings of autonomy)—underlies the
Regardless of the mechanism, it is unclear effects of parents’ sensitivity on children’s academic
whether the effects of the quality of children’s functioning.
­attachment to their parents reflect the influence of
attachment early in children’s lives, rather than their Summary
ongoing attachment to their parents and the others In sum, from an attachment theory perspective,
(e.g., peers and teachers) they encounter over the children’s relationships with their parents serve as
course of their development. Some investigators an important context for the development of their
have put forth what Fraley (2002) has referred to as motivation, thereby contributing to their achieve-
revisionist perspectives of attachment, in which ment. Multiple mechanisms have been posited to
internal working models are constantly updated to account for the role of the quality of children’s
incorporate ongoing attachment experiences so that attachment to their parents in their academic
­
such models may or may not map onto children’s functioning. Early on, investigators focused on
early attachment to their parents. However, Fraley’s the idea of securely attached children using their
(2002) review indicates that the data are more in line parents as a trusted base from which to explore,
with what he labeled prototype perspectives, in which with positive internal working models also being
internal working models are updated but maintain influential. However, as more attention has been
core dimensions of children’s early attachment to directed to the issue, other mechanisms have been
their parents. Although research has not taken into posited—for example, children’s responses to their
account ongoing attachment experiences, the quality parents’ instruction and relationships with their
of children’s attachment to their parents early in life peers and teachers. The quality of children’s early
appears to matter for children’s academic functioning attachment to their parents appears to play a role
later in life (e.g., Aviezer et al., 2002; Stams et al., in their later academic functioning, but research
2002). Most notably, Dindo and colleagues (2017) taking into account ongoing attachment experiences
found that a secure (versus insecure) attachment is needed.
in  the toddler years was predictive of enhanced
achievement (e.g., standardized test scores) during The Self-Determination Theory Perspective
adolescence; children’s effortful control (e.g., ability Investigators working from a self-determination
to delay gratification) during the toddler years, which theory perspective have also deemed children’s
may set the foundation for effective engagement in ­relatedness to their parents of import in children’s
school, undergirded this link. academic functioning. Deci and Ryan (1985, 2000)
Given that the quality of children’s attachment have posited that critical to motivation is the fulfill-
to their parents contributes to children’s motiva- ment of basic psychological needs, which they view
tion and achievement, the issue of how to optimize as ­specifying “innate psychological nutrients” (Deci
it is of import. Bowlby (1969) postulated that the & Ryan, 2000, p. 227), without which psychological
quality of children’s attachment to their parents is functioning suffers. Relatedness represents one of
dependent to a large extent on parents’ sensitivity the three central needs, with the other two being

340 RELATEDNESS BETWEEN CHILDREN and parents: IMPLICATIONS FOR MOTIVATION

autonomy and competence. The relatedness need is of capability among children (for reviews, see
fulfilled when children have a sense of security in Pomerantz & Grolnick,  2017; Pomerantz et  al.,
the context of their relationships with significant 2012). In both concurrent and longitudinal inves-
others and feel that such others consider them tigations focusing on the academic arena, the more
worthy of affection and positive regard (Connell & parents are involved in their children’s learning
Wellborn,  1990). Self-determination theory does (e.g., attending school events or reading with chil-
not give the relationships children have with their dren), the more positively children perceive their
primary caretakers in the early years the special competence and feel in control in school (e.g.,
status that such relationships are given in attach- Dearing, McCartney, Weiss, Kreider, & Simpkins,
ment theory. Thus, relationships with others at var- 2004; Grolnick & Slowiaczek,  1994; Hong &
ious points across the life span are viewed as able to Ho,  2005). Such involvement also foreshadows
fulfill relatedness needs, relatively independent of children’s heightened investment and engagement
early relationships with primary caretakers. in school, over and above their earlier investment
Deci and Ryan (2000) argued that although the and engagement (e.g., Cheung & Pomerantz, 2011;
early relationships between children and their M. T. Wang & Sheikh-Khalil, 2014). The motiva-
­parents contribute to feelings of relatedness later in tion developed by parents’ involvement appears to
life, critical to such feelings are the psychological pay off: Parents’ involvement predicts children’s
­resources provided by the proximal environment. heightened achievement (for reviews, see Fan &
In this vein, in her application of self-determination Chen, 2001; Hill & Tyson, 2009), even when chil-
theory to parents’ socialization of children, Grolnick dren’s earlier achievement (e.g., Cheung & Pomerantz,
and colleagues (e.g., Grolnick, Deci, et  al., 1997; 2011; Izzo, Weissberg, Kasprow, & Fendrich, 1999;
Grolnick & Farkas, 2002) highlighted the import of M. T. Wang & Sheikh-Khalil, 2014) and socioeco-
parents’ involvement in their children’s lives in nomic status (e.g., Deslandes, Bouchard, & St-Amant,
­facilitating the satisfaction of children’s need for 1998; Jeynes, 2005; Senechal & LeFevre, 2002) are
­relatedness. These investigators maintained that par- taken into account. Notably, children’s motivation
ents’ involvement—that is, parents’ dedication of (i.e., beliefs about their academic capability, academic
resources to children as manifest in such practices as investment and engagement, and autonomous
spending time with children, efforts to learn about ­academic motivation) undergirds the association
children’s lives, and warmth toward children—­ between parents’ involvement and children’s
fosters the development of feelings of relatedness achievement (e.g., Cheung & Pomerantz, 2012, 2015;
among children. Similar to the attachment theory Dearing et al., 2004; Grolnick & Slowiaczek, 1994;
perspective, the relatedness that ensues from parents’ Hong & Ho, 2005).
involvement is postulated to have a validating func- It is unclear, however, whether parents’ involve-
tion in that it indicates that the central figures in ment in their children’s learning benefits children’s
children’s lives care about them, allowing children motivation and achievement by fostering relatedness
to feel worthy. Ultimately, children come to view between children and their parents per se. In fact,
themselves as capable, with such feelings leading although such involvement may often be accompa-
to  investment and engagement (Grolnick, Deci, nied by warmth, this is not always the case (e.g.,
et al., 1997; Grolnick & Farkas, 2002). As is the case Pomerantz, Wang, & Ng, 2005; Silinskas, Kiuru,
in the attachment theory perspective, children’s Aunola, Lerkkanen, & Nurmi, 2015). When par-
­relatedness to their parents is also viewed as facili- ents’ involvement is not accompanied by warmth, it
tating children’s internalization of their parents’ may communicate to children that parents value
values (Cheung & Pomerantz,  2015; Grolnick & school. Children, however, may not internalize this
Slowiaczek,  1994; Wentzel,  1998). In a somewhat value because such involvement is unlikely to foster
different vein, relatedness has been posited to have a relatedness. Ultimately, children may be motivated
direct energizing function that permits engagement to exert effort in school to obtain parents’ approval,
with the world; conversely, when there is a lack of which may pay off in the short term (Cheung &
relatedness, disaffection occurs (Connell & Wellborn, Pomerantz,  2012), but may not necessarily be
1990; Deci & Ryan, 2000; Furrer & Skinner, 2003). ­sustained over the long term as other sources of
In line with Grolnick and colleagues’ applica- ­approval (e.g., peers) become more salient, as well as
tion of self-determination theory to parents’ social- forthcoming and consistent. In line with the idea
ization of children, parents’ involvement in their that warmth may be key to the effectiveness of par-
children’s lives is associated with enhanced feelings ents’ involvement, the more parents’ involvement is

POMERANTZ, CHEUNG, AND QIN 341

characterized by positive affect, the more children parents’ involvement in their children’s learning is
benefit in terms of their motivation (e.g., Hokoda & characterized by structure, children are more moti-
Fincham,  1995; Nolen-Hoeksema, Wolfson, vated in school and earn better grades (Dumont,
Mumme, & Guskin, 1995; Pomerantz et al., 2005;). Trautwein, Nagy, & Nagengast, 2014; Grolnick &
Although self-determination theory views relat- Ryan,  1989). Grolnick, Raftery-Helmer, Flamm,
edness as important for the development of motiva- Marbell, and Cardemil (2015), for example, found
tion, relatedness is not viewed as the only influence on that parents’ structure in the academic arena during
motivation—or even the most important. Indeed, early adolescence predicted children’s motivation
Grolnick and colleagues (e.g., Grolnick, Deci, et al., (e.g., perceptions of competence) and achievement
1997; Grolnick & Farkas,  2002) argue that once (i.e., grades) 1 year later, adjusting for their earlier
parents are involved in their children’s lives, key to motivation and achievement.
promoting children’s intrinsic motivation is parents’
autonomy support: When parents support children’s Summary
autonomy instead of exerting control over them by Similar to the attachment theory perspective, the
allowing children to take initiative rather than dictat- self-determination theory perspective regards chil-
ing what they do, parents facilitate the development dren’s relatedness to their parents as important in
of children’s feelings of autonomy, thereby fostering the development of children’s motivation, thereby
their intrinsic motivation. This process appears to shaping their achievement. Also like the attach-
begin early in children’s lives, as evidenced by Frodi ment theory perspective, the self-determination
and colleagues’ (1985) finding that when mothers theory perspective posits that children’s relatedness
are autonomy supportive during children’s first to their parents may serve a validating function
2  years, children display heightened persistence in that allows them to feel worthy, with implications
problem solving during this phase of development. for their feelings of capability. However, there is a
As children move into the school years, the more focus not evident in attachment theory on the prox-
parents support children’s autonomy rather than imal forces, evident across childhood and adoles-
exert control over children, the more children are cence, that foster children’s relatedness. Consequently,
intrinsically motivated in the academic arena (e.g., parents’ involvement in their children’s lives is seen
d’Ailly,  2003; Grolnick & Ryan,  1989; Grolnick, as key to facilitating children’s fulfillment of their
Ryan, & Deci, 1991). Parents’ heightened autonomy relatedness needs, thereby playing a role in children’s
support also predicts more effective motivation academic functioning. Moreover, according to
(e.g., feeling capable and engagement) and higher self-determination theory, other needs and thus
achievement among children over the course of dimensions of parenting other than involvement are
6 months to 10 years (e.g., Bindman, Pomerantz, & central in the development of children’s motivation:
Roisman,  2015; Hess & McDevitt,  1984; Ng, Parents must be not only involved in their children’s
Kenney-Benson, & Pomerantz,  2004; Steinberg, lives in a warm manner but also autonomy support-
Elmen, & Mounts, 1989; Q. Wang, Pomerantz, & ive and structuring, so that in addition to feeling
Chen, 2007). related, children feel autonomous and competent.
Although both parents’ involvement and auton-
omy support appear to lead children to experience Beyond Relationship Quality: Children’s
themselves as capable, Grolnick and colleagues (e.g., Sense of Responsibility to Their Parents
Grolnick, Deci, et  al., 1997; Grolnick & Farkas, At the heart of both the attachment theory and
2002) have argued that particularly critical in self-determination theory perspectives is children’s
this  vein is parents’ structure. Structure involves relatedness to their parents as reflected in the quality
­provision of clear and consistent guidelines, expec- of their relationships with their parents—that is, the
tations, and rules for children; structuring parents extent to which children have secure (versus inse-
also communicate predictable consequences for cure) or positive (versus negative) relationships with
children’s actions (e.g., what will happen if rules are their parents. Although the quality of children’s rela-
violated). In addition, structure includes providing tionships with their parents is clearly of significance
children with instruction that takes into account to children’s academic functioning, it is not the
their capacity. Such parenting can promote feel- only dimension of children’s relatedness to their
ings of capability in that it assists children in not parents that matters (Hardway & Fuligni, 2006;
only identifying societally valued standards but Pomerantz, Qin, Wang, & Chen, 2009). In this
also  developing the skills to achieve them. When section, we focus on children’s sense of responsibility

342 RELATEDNESS BETWEEN CHILDREN and parents: IMPLICATIONS FOR MOTIVATION

to their parents—that is, children’s belief that it is Matos, 2005). It is also possible that children’s sense
important they provide psychological and material of responsibility to their parents is in part a form of
assistance to their parents (e.g., by meeting their autonomous motivation because it grows out of
parents’ expectations for their performance and a  relational context of reciprocal give and take
helping with chores around the house). Fuligni and between children and their parents (Cheung &
­
colleagues (e.g., Fuligni, Tseng, & Lam,  1999; Pomerantz,  2012; Pomerantz et  al., 2011), so that
Fuligni & Zhang, 2004) have studied children’s sense children view their responsibilities to their parents
of responsibility to their parents as manifest in as personally important. Indeed, children’s sense of
children’s feelings of obligation to their family.
­ responsibility to their parents is associated not
Pomerantz, Qin, Wang, and Chen (2011) have made only with children’s controlled motivation, but
the case that children’s sense of responsibility to their also with their autonomous motivation in the
parents is also manifest in their motivation to please ­academic context (Cheung & Pomerantz,  2012;
their parents—that is, children’s pursuit of goals Pomerantz et al., 2011).
(e.g., to do well in school) to obtain their parents’ Growing evidence reveals that children’s sense of
approval. responsibility to their parents contributes to their
These two manifestations of children’s sense of academic functioning over and above the quality of
responsibility to their parents may enhance children’s their relationships with their parents. In both the
academic functioning by leading children to use United States and China, the more children feel
their parents’ values as guides as they attempt to ful- ­obligated to their family during the high school
fill their responsibilities to parents (Fuligni & Flook, years, the more they value school (Fuligni et  al.,
2005). Fuligni and colleagues (Fuligni & Flook, 1999; Fuligni & Zhang,  2004; Pomerantz et  al.,
2005; Telzer & Fuligni, 2009) have contended that 2011). Research conducted in the United States also
children’s feelings of obligation to their family, along indicates that children of European, Chinese, and
with the activities motivated by such feelings, are Mexican heritage who feel obligated to their family
beneficial in that they provide children with a sense of during adolescence are particularly likely to devote
purpose, often evident in feelings of role fulfillment. time to their schoolwork (Fuligni, Yip, & Tseng,
Although some parents do not see children’s learn- 2002; Hardway & Fuligni,  2006). However, chil-
ing in the academic arena as a priority, many parents dren’s feelings of obligation to their family do not
place at least some value on learning in this arena appear to produce enhanced achievement—perhaps
because it is instrumental in a large majority of so- because other obligations to the family (e.g., doing
cieties around the world to personal and financial chores and taking care of siblings) interfere with the
success in adulthood. Thus, children’s sense of re- effectiveness of their academic efforts so that children
sponsibility to their parents may serve as a proximal are not optimally focused. Notably, children’s sense
force leading children to place value on the aca- of responsibility to their parents as manifest in their
demic arena. As a consequence, children harboring motivation in school to please them appears to
a sense of responsibility to their parents may be par- foster their motivation and achievement: Studying
ticularly invested and engaged, albeit not necessarily children in the United States and China during
particularly confident or intrinsically motivated, in early adolescence, Pomerantz and colleagues (2011)
the academic arena. found that the more motivated children were to
Although this process may be driven by con- please their parents, the greater their investment
trolled motivation—for example, children’s fear of and engagement as well as grades in school 2 years
losing their parents’ approval—it may be effective in later, even after taking into account children’s earlier
ensuring children are engaged in school, particularly academic functioning.
during adolescence when children often lose inter- The better the quality of children’s relationships
est in school (e.g., Pomerantz et  al., 2011; Qu & with their parents, the greater children’s sense of
Pomerantz, 2015). Controlled motivation is useful responsibility to their parents—that is, the more
when autonomous motivation does not already exist they feel obligated to their parents and the more
(for a review, see Deci, Koestner, & Ryan, 1999), as motivated they are to please their parents (e.g.,
is often the case for children during adolescence (for Fuligni et  al., 1999; Fuligni & Zhang,  2004;
a review, see Wigfield et  al., 2015). Indeed, con- Pomerantz et al., 2011). Although the associations
trolled motivation may promote engagement and are not strong enough to suggest that children’s
achievement—at least when deep processing is not sense of responsibility to their parents is simply a
necessary (Vansteenkiste, Simons, Lens, Soenens, & reflection of the quality of their relationships with

POMERANTZ, CHEUNG, AND QIN 343

them, the associations beg the question of whether Although there is convergence among the three
the effects of children’s sense of responsibility to their along some lines (e.g., children’s relatedness to their
parents remain once the quality of their relationships parents is viewed as leading children to take on their
with their parents is taken into account. Notably, parents’ values), there is also divergence (e.g., the
when Pomerantz and colleagues (2011) statistically dimension of relatedness deemed of import varies).
controlled for the quality of children’s relationships In this section, we offer an integration of the three
with their parents, children’s sense of responsibility sets of ideas. Such integration is a fruitful step
to their parents continued to exert an effect over toward fully elucidating how children’s relatedness
time on children’s academic functioning. The link to their parents contributes to their academic func-
is  also evident after taking into account parents’ tioning across different phases of their development
­involvement in their children’s learning (Cheung & in different cultural contexts. We outline three key
Pomerantz,  2012). A key issue that has unfortu- themes that emerge from considering the different
nately not received attention is the extent to which perspectives together. In doing so, we highlight
children’s adoption of their parents’ values accounts critical questions that may serve to guide future
for the effects of children’s sense of responsibility to ­research and theory.
their parents on children’s motivation. It is possible
that other mechanisms may also be at work—for Theme 1: Early Relatedness Matters,
example, children’s sense of responsibility to their but It Is Not Deterministic
parents appears to facilitate their spontaneous dis- Consistent with the attachment theory perspective,
closure about their daily lives to their parents children’s early relatedness to their parents may set
(Qin & Pomerantz, 2013), which has been argued an important foundation for their later academic
to ­provide an important context for parents to gain functioning. Indeed, as reviewed earlier, there is
knowledge about their children’s lives (e.g., Kerr & much evidence that the security of children’s attach-
Stattin, 2000), which may allow parents to provide ment to their parents during the first few years of
support to children in the academic arena. their lives contributes to their motivation and
achievement during these years (e.g., Frodi et  al.,
Summary 1985; O’Connor & McCartney, 2007). Moreover, it
Although the quality of children’s relationships with appears that such relatedness is of import for
their parents is of import to children’s academic ­children as they enter the school system, where they
functioning as postulated in the attachment theory may be confronted with new challenges (e.g., Jacobsen
and self-determination theory perspectives, other et  al., 1994; Moss & St-Laurent,  2001), with
dimensions of children’s relatedness to their parents ­evidence that children’s early attachment to their
appear to be instrumental as well. Here, we focused parents continues to contribute to their academic
on children’s sense of responsibility to their parents, functioning at least until adolescence (e.g., Dindo
which appears to facilitate children’s academic func- et  al., 2017). However, the effects, which are
tioning during the adolescent years. Children’s sense not  large, are sometimes evident for mothers but
of responsibility to their parents may be particularly not fathers (Aviezer et  al., 2002; Kim, Boldt, &
functional during this phase of development given Kochanska, 2015) or only a subset of children—for
children’s declining interest in school. Notably, the example, those with a difficult temperament (Stams
effects of children’s sense of responsibility to their et al., 2002).
parents on children’s motivation and achievement These findings, along with the ideas put forth by
are distinct from the effects of the quality of their investigators working from the self-determination
relationships with their parents. Future research is theory perspective, suggest that as children develop,
needed to identify the mechanisms by which chil- although their early relatedness to their parents
dren’s sense of responsibility to their parents enhances plays a role in their motivation, children’s later
their academic functioning. ­environments are influential as well. Children’s early
attachment to their parents may be supplemented
Integrating the Different Ideas About by the subsequent environment created by their
Relatedness parents or other significant figures in their lives,
The three sets of ideas we have reviewed share an such as their peers or teachers. For example, in line
emphasis on children’s relatedness to their parents as with prototype perspectives (Fraley, 2002), although
a significant force in the development of their moti- internal working models may maintain core dimen-
vation, with implications for their achievement. sions of children’s early attachment to their parents,

344 RELATEDNESS BETWEEN CHILDREN and parents: IMPLICATIONS FOR MOTIVATION

they may be updated to reflect children’s ongoing academic context. In line with the idea that parents’
experiences. Parents may undo the costs or benefits involvement serves a compensatory function, parents’
of their early relationships with their children involvement appeared to make up for parents’ early
through their involvement in their children’s lives, insensitivity in both elementary and middle school:
which is influenced in part by parents’ physical and The more parents were involved in their children’s
psychological resources (for a review, see Pomerantz learning, the less their early insensitive parenting
et  al., 2012). Such resources may change over the put children at risk in terms of e­ngagement and
course of children’s development, thereby changing achievement. A key endeavor for the future is to
parents’ involvement. For example, when a family’s look directly at early attachment between children
income increases over time, parents create better and their parents, with attention to the mechanisms
learning environments for their children along underlying the synergy of early attachment and
physical and psychological lines (e.g., Dearing & parents’ later involvement. Also in need of attention
Taylor, 2007). Parents may also experience changes is the possibility that children’s early attachment
in their social support over time that lead to changes changes how parents are involved, with secure
in their involvement (e.g., Gavidia-Payne & ­attachment driving more positive, ­effective involve-
Stoneman, 1997; Grolnick, Benjet, Kurowski, & ment on parents’ part (van IJzendoorn et al., 1995).
Apostoleris, 1997; Sheldon, 2002). Indeed, there is some evidence supportive of this
Parents’ involvement in their children’s lives as possibility (O’Connor & McCartney, 2007).
children progress through school may work syner-
gistically with children’s early attachment to their Theme 2: There Are Contextual Variations
parents to shape children’s academic functioning. in the Role of Relatedness
On the one hand, parents’ involvement may serve For quite some time the attachment theory and self-
an amplifying function: Because children with a determination theory perspectives have served to
secure (versus insecure) attachment are able to reap guide research on how relatedness between children
greater benefits from their parents’ involvement in and their parents contributes to children’s academic
their learning (e.g., van IJzendoorn et  al., 1995), functioning; this has led to a focus on the quality of
parents’ later involvement may enhance the aca- relationships between children and their parents.
demic benefits already accrued by securely attached However, more recent theory and research on the
children early in their lives via such mechanisms as adolescent years has highlighted the significance of
exploration and internal working models. On the another dimension of children’s relatedness to their
other hand, parents’ involvement may serve a com- parents—children’s sense of responsibility to them.
pensatory function: Parents’ heightened involve- Although related to the quality of children’s rela-
ment in their children’s learning once children enter tionships with their parents, children’s sense of
school may make up for an insecure (versus secure) ­responsibility to their parents is distinct from such
attachment early in life because it may convey not relatedness with unique effects on children’s academic
only that parents care about their children, but also functioning (e.g., Pomerantz et al., 2011). Children’s
that school is valuable, which may motivate chil- sense of responsibility to their parents may be of
dren in school at least in the short term (for other particular import in two key contexts: (a) during
possible mechanisms, see The Self-Determination phases of children’s development when their interest
Theory Perspective section above and Pomerantz in learning declines and (b) in cultures, such as
et al., 2012). that characteristic of East Asian countries, in which
Distinguishing between the amplifying and children’s learning is key in fulfilling their responsi-
compensating functions of parents’ involvement bilities to their parents.
requires research examining whether parents’ in- Although it is likely that children’s sense of re-
volvement once children reach school moderates sponsibility to their parents develops prior to adoles-
the effect of children’s early attachment to their cence, playing a role in their academic functioning
parents. Unfortunately, to our knowledge, no such during these earlier years, its role may be of most
research exists. However, Monti, Pomerantz, and significance once children reach adolescence.
Rosiman (2014) examined how parents’ involve- As children move into adolescence, their motivation
ment in their children’s learning during elementary in school declines (for a review, see Wigfield et al.,
school moderates the effects of early maternal sen- 2015). Eccles et al. (1993) argue that such decrements
sitivity (i.e., in the first 4 years of children’s lives) are in part caused by a poor fit between children’s
on children’s engagement and achievement in the concerns as they move into adolescence (e.g., with

POMERANTZ, CHEUNG, AND QIN 345

establishing independence and avoiding negative a­cademic responsibilities. For example, by being
evaluation) and the environment provided by the ­involved, parents may provide children with en-
middle schools they attend (e.g., teachers are more couragement when children experience difficulty, as
controlling and evaluative in middle school). During may often be the case during adolescence.
adolescence, the quality of children’s relationships Children’s sense of responsibility to their parents
with their parents appears to contribute to their ac- may be of particular import not only during
ademic functioning (e.g., Furrer & Skinner, 2003; ­adolescence but also in cultures where much em-
Ryan, Stiller, & Lynch,  1994), but alone may not phasis is placed on learning with such an endeavor
be enough to sustain children during this phase of being key in children fulfilling their responsibili-
development. Optimal motivation may require ties to their parents, as is the case in East Asian
­additional forces that are instrumental in moving countries. In fact, considering children’s sense of
children toward adopting the values of their parents, ­responsibility to their parents may be key to under-
which are less likely to deviate from those endorsed standing the apparent paradox that despite reporting
by society than are the values of children’s peers, who poorer quality relationships with their parents during
often attain heighted significance in children’s lives adolescence (e.g., Pomerantz et  al., 2009), East
during adolescence (e.g., Furman & Buhrmester, Asian children are more motivated, with heightened
1992; Larson, Richards, Moneta, Holmbeck, & achievement, compared to American children during
Duckett, 1996). this phase of development (e.g., Stevenson, Chen, &
Direct empirical examination of this develop- Lee,  1993; Qu, Pomerantz, Wang, Cheung, &
mental hypothesis is necessary. The contribution of Cimpian,  2016; Q.  Wang & Pomerantz,  2009).
children’s sense of responsibility to their parents, This paradox is particularly intriguing given that the
along with the quality (e.g., security or positivity) of quality of children’s relationships with their parents
children’s relationships with their parents, should be appears to make equal contributions to children’s
identified from the earliest school years to the latest academic functioning in China and the United
school years. The effect of children’s sense of respon- States (Cheung, Pomerantz, & Dong, 2013). Thus,
sibility to their parents on their motivation may a key question is what compensates for the poorer
become stronger over time as children move into quality relationships among children and their
adolescence, whereas that of the quality of children’s parents in East Asia (versus the United States) in
relationships with their parents may be maintained. motivating children. Although there are a variety of
In this context, attention must be given to the pos- possibilities (e.g., teaching and parenting practices),
sibility that children’s sense of responsibility to their children’s sense of responsibility to their parents is
parents grows out of positive relationships with likely to be important.
them, thereby acting as a mechanism through which The focus on children’s sense of responsibility to
the quality of children’s relationships with their par- their parents emerged largely in the context of efforts
ents enhances their motivation. to understand children from cultural backgrounds
Also worthy of consideration is that children’s in which the family looms larger than it does in
sense of responsibility to their parents may be most European American culture (e.g., Fuligni et  al.,
beneficial when parents remain involved in their 1999). For example, in East Asian countries where
children’s academic lives during adolescence—a Confucian philosophy is central, children’s sense of
time when the norm is often for parents to become responsibility to their parents may grow out of the
less involved in this arena of children’s lives (e.g., notion of filial piety, which involves, among other
Cheung & Pomerantz,  2011; Cooper, Lindsay, & things, children repaying their family for their ef-
Nye, 2000). By being involved in their children’s forts in raising them, bringing honor to their family,
learning, parents may underscore the value of school, making sacrifices for their family, and psychologi-
leading children to view doing well in school as their cally and materially supporting their family (Chao &
responsibility. Indeed, during early adolescence, the Tseng, 2002; Ho, 1996). Doing well in school may
more parents are involved in children’s learning, the be a central way for children to fulfill their responsi-
more children are motivated in school to please bilities to their parents in East Asian countries given
their parents, which is predictive of ­children’s sub- the import of learning in Confucian philosophy
sequent engagement and achievement (Cheung & (Ho, 1994; Yu, 1996) as well as professional and fi-
Pomerantz, 2012). Through their involvement in nancial success (Tang, Luk, & Chiu, 2000).
their children’s academic lives, parents may also In line with such reasoning, soon after entering
support children as they attempt to fulfill their adolescence, children of Chinese heritage—whether

346 RELATEDNESS BETWEEN CHILDREN and parents: IMPLICATIONS FOR MOTIVATION

they reside in China or in the United States—feel on the part of parents may afford key resources to
more obligated to their parents and more moti- children that no degree of relatedness may afford.
vated in school to please them than do children of For example, even if children have established pos-
European heritage residing in the United States itive relationships with their parents, if their parents
(e.g., Fuligni et al., 1999; Hardway & Fuligni, 2006; do not employ structuring practices, the feelings of
Pomerantz et al., 2011). Chinese (versus American) capability fostered by children’s relatedness with
children’s greater sense of responsibility to their their parents may be undermined.
parents may compensate for the poorer quality
­ In the two earlier themes described previously,
­relationships they have with their parents during we highlighted how children’s relatedness to their
adolescence. Indeed, focusing on ethnic differences parents may work synergistically with their parents’
in the United States in the value children place on involvement in shaping their academic functioning.
school during adolescence, Fuligni (2001) found Children’s relatedness to their parents, as well as the
that the heightened feelings of obligation to their involvement that may contribute to it, may also work
families of children of Chinese and Latin heritage synergistically with parents’ autonomy support and
accounts for the heightened value they place on structure. For example, children’s relatedness may
school compared to their American counterparts of serve an amplifying function. The reduced anxiety
other ethnic heritage. Children’s sense of responsi- produced by children’s secure attachment to their
bility to their parents also accounts for the height- parents may allow them to capitalize on their par-
ened value and engagement of youth residing in ents’ autonomy support in that they are able to take
China (versus the United States) over early adoles- full advantage of autonomy opportunities, such as
cence (Qu & Pomerantz, 2015). making choices or solving problems on their own.
Children’s sense of responsibility to their parents
Theme 3: Relatedness Is Not may also lead children to use autonomy opportuni-
All That Matters ties to pursue societally valued goals held by their
Most reviews focusing on the role of parents in parents. In addition, children’s relatedness to their
children’s academic functioning highlight the parents may play a compensatory function by pro-
­practices parents employ that facilitate or under- viding them with resources to buffer the undermining
mine such functioning (e.g., Grolnick et al., 2009; effects of parenting that are not autonomy support-
Pomerantz & Grolnick,  2017; Pomerantz et  al., ive or structuring. For example, children residing
2007,  2012). Indeed, there is a sizeable body of in a home without structure may have a trustable
­research indicating that multiple dimensions of base from which to find structure outside their
parenting contribute to children’s motivation and home, such as that supplied by teachers, coaches,
achievement. Our goal in this chapter was to go and friends’ parents.
beyond these prior reviews to emphasize the import Investigation of these kinds of synergies is an
of relatedness between children and their parents— important direction for future research. Research
whether it be established in the earliest years of conducted by Kochanska and colleagues (2004)
children’s lives or in the later years and whether it suggests that parent–child relatedness may play an
be the quality of the relationships between children amplifying function. These investigators found that
and their parents or children’s sense of responsibility parents’ ­responsiveness (which involves some au-
to their parents. However, as emphasized in self-­ tonomy support) and gentle discipline (which is an
determination theory, although relatedness is of aspect of structure) during the early years of chil-
import to children’s motivational development, it dren’s lives benefited children in terms of their
is certainly not the only force. ­subsequent conscience most when children were
If parents create an environment in which chil- securely (versus insecurely) attached to their par-
dren feel related to them, this on its own may not ents early in their lives. However, there is no evi-
necessarily translate into motivation that optimizes dence to date as to whether children’s relatedness
achievement among children. Although children’s to  their parents moderates the effects of parents’
early attachment to their parents may be a critical learning-related practices on their academic func-
foundation on which to build children’s motiva- tioning in such a manner. Examination of the mod-
tion, parents also must ensure that they support erating role of children’s ­relatedness to their parents
children’s autonomy and provide them with struc- as manifest both in the quality of their relationships
ture (Grolnick et al., 2009; Pomerantz et al., 2007). with their parents and in their sense of responsibility
Autonomy-supportive and structuring practices to them will be fruitful.

POMERANTZ, CHEUNG, AND QIN 347

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 P A R T 
6
Biological Perspectives
 CH A PT ER

20 Motivational Neuroscience

Johnmarshall Reeve and Woogul Lee

Abstract

The goal of the present chapter is to show the relevance of neuroscience research to human
motivation researchers. The first part of the chapter discusses the current status of the possible
integration of motivational psychology and neuroscience into the new emerging field of motivational
neuroscience. The second part identifies 15 brain structures and 5 neural pathways that underlie most
of the neural basis of human motivational states. The third part examines how recent findings in
neuroscience have advanced the understanding of 14 widely studied motivational concepts, including
those automatically activated by environmental stimuli (hunger, thirst), those learned from the
rewarding properties of environmental stimuli (incentives, rewards, expectancy, value), and those
proactively generated by the individual (agency, volition, self-regulation, goals, curiosity, intrinsic
motivation, psychological needs, and autonomous self-regulation). The chapter concludes with
suggestions for future research.
Keywords:  motivation, neuroscience, striatum, reward, dopamine, prefrontal cortex

We organized this chapter into three sections. First, such as hormones and psychophysiological states,
we provide a contemporary update on the status but the endocrine system (hormones) and autonomic
of the newly emerging field of motivational neu- nervous system (psychophysiology) are regulated
roscience. Second, we identify this new field’s by these brain-based processes. So, typically, the
­subject matter, which revolves around the brain subject matter and dependent measures emphasized
structures and neural networks that underlie human in motivational neuroscience investigations are the
motivational states. Third, we provide a neurosci- activation of specific brain structures, networks,
entific perspective on a wide range of motivational and neurotransmitters.
states that are highly studied by motivational Motivational neuroscientists are a loosely con-
­psychologists. nected group of scholars who focus their attention
on the aforementioned brain-based processes to help
Motivational Neuroscience: Current Status them better understand motivation and motivated
of the Field behavior. Their research is often top-down because it
Motivational neuroscience is the empirical study typically begins with a well-studied motivational
of all the brain-based processes that energize, phenomenon (e.g., self-regulation, intrinsic motiva-
direct, and sustain behavior. Brain-based processes tion) and then proceeds to investigate the phenom-
include brain structures (e.g., striatum), pathways enon from the new, fresh perspective of neuroscience.
of interconnected neural structures (e.g., mesocor- That is, neuroscience is typically used to supplement
tical pathway), and the neurotransmitters that and extend what has previously been discovered
­organize these pathways (e.g., dopamine). The field about that motivational phenomenon, and research-
also includes measures of bodily based processes, ers do this by incorporating neuroscientific methods

355
and findings into their programs of research. remain dead-end streets because educators have
An ­example of this approach can be seen in the simply been unable to utilize or apply the progress
­application of neuroscience methods and dependent being made in neuroscience (or vice versa). Attempts
measures to better understand the undermining to construct a few one-way streets have been made.
effect that extrinsic rewards sometimes have on intrin- For instance, educators are hopeful that off-the-
sic motivation (Murayama, Matsumoto, Izuma, & shelf, commercially available headsets (e.g., portable
Matsumoto, 2010). ­electroencephalography headsets) can be utilized to
Another group of scholars are neuroscientists monitor students’ attention, motivation, and learning
who are interested in incorporating motivational as they are exposed to learning materials, much in
phenomena (e.g., reward, value, self-control) into the same way that movie studios are hopeful of
their programs of research. This research is often ­utilizing facial recognition software with artificial
bottom-up because it typically begins with a deep intelligence to learn how movie-goers respond
understanding of specific brain mechanisms and ­emotionally to their film content. But there are no
then proceeds to investigate their motivational two-way streets, and there are no one-way streets
­implications. An example of this approach can be that start in the land of educational psychology and
seen in the brain-centric approach to understanding end in the land of neuroscience. Overall, the two
­reward-motivated approach behavior (Berridge & fields continue to be largely independent domains
Kringelbach, 2008). of scholarship.
Currently, human motivation study and neuro- Some fields have fared better in building inter-
science are for the most part two different and sepa- disciplinary (two-way) streets with neuroscience,
rate fields. To understand the implications of having including cognitive neuroscience (Gazzaniga, Ivry, &
two independent working groups focused on moti- Mangun, 2014), affective neuroscience (Davidson &
vation study, it is instructive to examine the relation Sutton, 1995; Panksepp, 1998), social neuroscience
between neuroscience and a different field of (Decety & Cacioppo, 2011; Harmon-Jones &
study—namely, educational psychology. This is so Inzlicht, 2016), and neuroeconomics (Loewenstein,
because, 2 decades ago, Richard Mayer (1998) char- Rick, & Cohen, 2008). With regard to motivational
acterized the relationship between neuroscience and neuroscience, there is some, but only a little, overlap
educational psychology through the imagery of between motivational science and neuroscience.
dead-end, one-way, and two-way streets. He charac- Unfortunately, the methods, equipment, data
terized (and lamented) the relation between neuro- analytic techniques, and research methodologies of
science and his field as an intellectual landscape neuroscience often prove too overwhelming for
characterized by dead-end streets in which the two ­motivational psychologists to integrate into their
fields of study had little in common and each con- programs of research, at least not without collabo-
tributed little to the enrichment of the other. He rations with neuroscientists. Further, the knowledge
also observed (and again lamented) an intellectual base, research methodologists, data analytic tech-
landscape of one-way streets in which neuroscience niques, and data-collecting machinery in neurosci-
research was unidirectionally applied to educational ence are developing at an incredibly rapid pace. This
psychology. For instance, neuroscientists identified state of affairs makes it clear that a motivational
the limits of hippocampal-based short-term memory psychologist cannot be a part-time neuroscientist.
(e.g., cognitive overload), and educational psychol- For now, motivational psychologists necessarily
ogists revised their theories of learning and their partner with full-time neuroscientists to get their
recommendations for the design of instruction work done and their questions answered. So, there
­accordingly (e.g., Paas, Tuovinen, Tabbers & van are some meaningful barriers that are keeping
Gerven, 2003). He could find very few one-way motivational psychologists from becoming full-
­
streets from educational psychology to neuroscience. fledged motivational neuroscientists.
The metaphor Mayer offered to enrich interdis- Similarly, neuroscientists have a difficult time
ciplinary activity was that of a two-way street. In this bringing motivational psychology into their programs
scenario, neuroscientific study influences, informs, of research. What motivational psychologists have
and enriches educational psychology, while educa- to offer are motivation theories (and applied problems
tional psychology study influences, informs, and to solve). Neuroscientists tend to stay intellectually
enriches neuroscience. It has been 20 years since the close to basic motivational processes, such as reward,
publication of that paper, and it seems that these value, and conflict, and resist subjectively experienced
two-way streets never materialized. Most streets motivational phenomena. There is little deductively

356 Motivational Neuroscience

guided theory in neuroscience because the field is can share its subject matter (motivation theories)
instead largely inferential as it takes neuroscientific and real-world applications. But this has not yet
findings (not theory) as its starting point. For happened, at least not at a critical mass. It is telling,
­instance, it is more common in neuroscience to start for instance, that there is no existing Motivational
a program of research by asking, “What is the func- Neuroscience journal. What is needed for a flour-
tion of this particular brain structure?” than it is to ishing new field of motivational neuroscience is
start with a guiding theory about how motivational what has been successfully achieved in other fields
processes work. Motivation theories often specify (cognitive neuroscience, social neuroscience, and
motivational antecedents and consequences (i.e., neuroeconomics), which is for large-scale motivation-
the origins and outcomes of the motivational state), centric laboratories in major universities and insti-
but neuroscientists are more interested in basic proc- tutions to develop specialized working groups of
ess than in antecedents, mediators and moderators, professors, graduate students, and postdoctoral
consequences, etc. So, just as there are meaningful ­fellows who are trained in and stay committed in
barriers keeping motivational psychologists from equal measure to both fields of study—they are
becoming full-fledged motivational neuroscientists, not simply motivational psychologists or neurosci-
there too are meaningful barriers keeping neurosci- entists but, rather, truly both. Perhaps this chapter
entists from becoming full-fledged motivational can offer some of the engineering work needed to
neuroscientists—namely, the lack of a perceived build the two-way streets first envisioned 2 decades
need for guiding theory. ago by Richard Mayer.
Looking toward the future, one can see the
blueprints on the drawing board for how to build Key Brain Structures and Pathways in
this new city (motivational neuroscience) populated Human Motivation
with highly trafficked two-way streets. Neuroscience Figure 20.1 shows the anatomic location of 14 key
can share its subject matter (brain behavior) and brain structures identified by neuroscience research
research methodologies, and motivation psychology as motivationally relevant. Three structures make up

(A) (B) Dorsolateral prefrontal cortex

Supplemental &
Anterior Presupplemental Globus
cingulate motor areas pallidus Caudate nucleus
cortex Motor area & Putamen

Hypothalamus

Prefrontal Substantia
cortex nigra

Insular cortex

(C)
Caudate nucleus

Putamen
Orbitofrontal Insular cortex
cortex
Ventral Globus pallidus
tegmental
area
Ventromedial
Amygdala
prefrontal cortex
Ventral striatum &
Nucleus accumbens

Figure 20.1  Anatomic location of 17 key motivation- and movement-relevant brain structures.
Note: A medial sagittal section (A), a lateral sagittal section (B), and a coronal section (C) of the brain.

Reeve And Lee 357

the prefrontal cortex—the ventromedial prefrontal effort to resist temptation during the pursuit of
cortex, dorsolateral prefrontal cortex, and orbitofron- long-term goals (especially the right dorsolateral
tal cortex—while the anterior cingulate cortex is prefrontal cortex; Knock & Erst, 2007). It contrib-
part of the frontal lobe. Five structures reside within utes inhibitory, self-control-based input during
the basal ganglia: the dorsal striatum (dorsal parts of decision-making to resist a sensory-based urge,
­
the caudate nucleus and putamen), ventral striatum temptation, or reward that arises from either the
(primarily the nucleus accumbens but also the striatum (McClure, Laibson, Lowenstein, & Cohen,
­ventral parts of the caudate nucleus and putamen), 2004) or the ventromedial prefrontal cortex (Hare,
globus pallidus, ventral palladium, and substantia Camerer, & Rangel, 2009). In addition, it evaluates
nigra. One structure overlaps (lies between) the the learned emotional value of environmental events
­neocortex and basal ganglia—the insular cortex. and possible courses of action, though this function
Two structures reside within the limbic system: the is more associated with the ventromedial prefrontal
amygdala and hypothalamus. One lies within the cortex and orbitofrontal cortex, as discussed next.
midbrain—the ventral tegmental area. Figure  20.1 That said, people have a great deal of learned emo-
further shows three motor-related structures, the tional value and meaning for the objects and events
motor cortex, the presupplemental motor cortex, and around them, and these emotional memories are
the supplemental motor cortex, because motivation largely stored in the dorsolateral prefrontal cortex
is mostly about action and how psychological states and accessed to make an emotionally informed
invigorate and restrain action. These structures action decision.
­interconnect to form communication pathways,
­including the mesocortical pathway, the mesolimbic Ventromedial Prefrontal Cortex
pathway, the orbitofrontal–striatal circuit, the ventro- The ventromedial prefrontal cortex and orbitofrontal
medial prefrontal–amygdala pathway, and the ­anterior cortex tend to be hard to distinguish anatomically.
insula–anterior cingulate cortex. These pathways do Basically, the ventromedial prefrontal cortex is rela-
not appear in Figure 20.1, but they will be described tively the more ventral (lower) and medial (inner or
in the text. Collectively, these brain structures and central) region than is the orbitofrontal cortex
communication highways constitute (most of ) the (Davidson & Irwin,  1999; Volz & von Cramon,
neural bases of human motivation. 2009). It evaluates the emotional value of basic
sensory (unlearned or natural) rewards, such as
­
Prefrontal Cortex taste, and also affective-based information from
The prefrontal cortex lies immediately behind the social cues, such as a smiling face (Roy, Shohamy, &
forehead and consists of the dorsolateral, ventro- Wager, 2012). It plays an important function in risk
medial, and orbitofrontal regions. The anterior assessment, d ­ ecision-making, social judgments, and
cingulate cortex is part of the frontal lobe, but not self-control. It plays this role by performing a cogni-
necessarily the prefrontal cortex, because it lies pos- tive valuing and revaluing of emotional inputs that
terior to the prefrontal lobe and wraps around the lead to effective decision-making (Davidson & Irwin,
anterior part of the corpus callosum in its distinctive 1999; Ochsner & Gross, 2005).
C shape. One lobe is on the right side of the brain
(right ­prefrontal cortex) while the other is on the left Orbitofrontal Cortex
side (left prefrontal cortex). Rather than reference The orbitofrontal cortex is the anatomical floor of the
the general prefrontal cortex, neuroscientific studies prefrontal cortex; it lies beneath the prefrontal cortex,
refer to the specific dorsolateral, ventromedial, and just above the eyes. It stores and processes reward-­
orbitofrontal regions, because each part of the pre- related information about environmental objects
frontal cortex sometimes functions differently or that helps people formulate preferences and choose
independently. Hence, that is what we, too, will do between options (Dickinson & Balleine, 2002;
in this chapter. O’Doherty,  2004). The orbitofrontal cortex also
­inhibits inappropriate actions, because it is i­nvolved
Dorsolateral Prefrontal Cortex in the delay of gratification, as will be d
­ iscussed in the
The dorsolateral prefrontal cortex is the upper orbitofrontal–striatal circuit section below.
(“dorsal”) region of the prefrontal cortex. It is
­involved in top-down information processing, goal Anterior Cingulate Cortex
representation, and attentional control. For instance, The anterior cingulate cortex features dorsal and
the dorsolateral prefrontal cortex is involved in the ventral regions. The dorsal anterior cingulate cortex

358 Motivational Neuroscience

is associated with cognition and is connected with (Nachev, Wydell, O’Neill, Husain, & Kennard,
the prefrontal cortex and motor areas, while the 2007). This information is then communicated to
ventral anterior cingulate cortex is associated with the supplemental motor area, which then sends the
emotion and is connected with the amygdala, stria- integrated motor instructions to the premotor
tum (nucleus accumbens), hypothalamus, and ante- and motor cortex. The supplemental motor area, pre-
rior insula. There is a lot of conflict in the brain, as motor cortex, and motor cortex are therefore more
occurs in adjusting to new situations and in solving related to movement and action than they are to
difficult problems. The anterior cingulate cortex is motivation and emotion per se. It is information
involved in detecting conflict, prioritizing atten- from the prefrontal cortex and basal ganglia that is
tion, making choices and decisions, predicting the sent to and processed by the presupplemental motor
consequences of actions, and alerting and recruiting area that collectively provides the motivational and
other cortical areas to help it resolve conflict and emotional punch to volitional movement and
exert greater cognitive control. It utilizes this corti- action as well as to the achievement and execution
cal input mostly to select appropriate action, but it of a smooth and coordinated (rather than con-
also uses emotional information gained from sub- flicted) action plan (Kuehn & Brass, 2009; Nachev,
cortical areas to guide this same decision-making Kennard, & Husain, 2008).
and action selection (Bush et al., 2002; Matsumoto,
Suzuki, & Tanaka,  2003). The anterior cingulate Basal Ganglia
cortex also evaluates the extent of mental effort The basal in basal ganglia refers to “at the base of the
­required on a task, especially difficult tasks (Walton, cortex,” while ganglia refer to “a group of nerve
Bannerman, Alterescu, & Rushworth, 2003), and it cells.” As the prefrontal cortex is composed of vari-
calculates a cost–benefit analysis as to whether a ous cortical regions, the basal ganglia are similarly
possible course of action has enough reward value composed of various subcortical regions. The largest
associated with it to warrant an investment of effort of these structures is the striatum (dorsal, ventral),
(Hayden, Pearson, & Platt, 2009). and additional structures include the globus palli-
dum, ventral pallidus, and substantia nigra. Overall,
Motor Areas the basal ganglia are involved in selecting between
The primary motor cortex is on the top of the head different possible courses of action and in perform-
(where you might pat a child), but it also has a ing voluntary behavior smoothly. They do this by
strip structure that runs down both sides of the exerting inhibitory control over the motor areas,
head. The motor cortex sends “go” signals to the and it is the release of basal ganglia input that allows
body’s muscles to produce movement. But before for smooth action. The globus pallidus receives
such movement occurs, the presupplemental and input from the striatum and sends inhibitory output
supplemental motor areas first plan, excite, inhibit, to several motor areas. Its function is to motivation-
and enact these motor commands. The presupple- ally and emotionally prepare action, as it makes a
mental and supplemental motor areas are anatom- planned action more or less potent (more or less
ically located between the prefrontal cortex and the ­energized or invigorated). The ventral pallidum is a
primary motor cortex (the motor cortex lies poste- core part of the reward system, because it receives
rior to the frontal lobe). The presupplemental motor input from the dopamine-generating ventral teg-
cortex lies next to the frontal lobes and receives mental area and contains one of the brain’s hedonic
massive input from the frontal lobes. The supple- hot spots, or pleasure centers. The substantia nigra
mental motor area receives input from the presup- supplies the striatum with dopamine. The substan-
plemental motor area but not from the frontal tia nigra plays a key role in reward-seeking, learning,
lobes. It is ­somatotopically organized in a way that motor planning, and addiction, but it does so
corresponds to the somatotopical organization of through its input to the striatum, so this chapter
the motor cortex. These interconnections are impor- will focus on the striatum. All basal ganglia—­
tant because it is the presupplemental motor area substantia nigra, globus pallidus, ventral pallidum,
that receives decision-making and action-planning and ­striatum—are closely connected to and receive
information from the prefrontal cortex as well as ­information from the cortical areas of the brain
motivationally and emotionally biased input from (to receive action plans) and to the motor, premo-
the striatum and basal ganglia. It is in the presup- tor, supplemental, and presupplemental motor
plemental motor area that all this information is areas (to execute and carry out those action plans).
integrated in terms of preferred courses of action The collective role of the basal ganglia is sometimes

Reeve And Lee 359

to energize (invigorate) and other times to inhibit Though there are several parts to the insula, it is
(restrain) those action plans (Pessiglione et al., 2007). generally divided into two parts—anterior and
­posterior. The posterior insula (which is aligned
Striatum (Dorsal and Ventral) more with the subcortical brain, thalamus, and
The striatum consists of the nucleus accumbens, brainstem) receives, monitors, and becomes aware
caudate nucleus, and putamen, and it consists of of changes in interoceptive (visceral, homeostatic)
both a ventral region and a dorsal region (Liljeholm & bodily states and relays this information to the ante-
O’Doherty, 2012). The dorsal (upper part) region rior insula (which is aligned more with the cortical
includes the large dorsal parts of the caudate n­ ucleus brain) to construct a consciously aware representa-
and putamen, and it is heavily interconnected with tion of how one feels (Craig, 2002, 2009; Wicker
prefrontal lobe regions. These connections allow the et al., 2003). That is, the anterior insula deals with
dorsal striatum to play an important role in goal- relatively more subjective, abstract, and complex
directed action, including the selection of behavior awareness/feeling processes than does the posterior
based on the value of goals. Through its connections insula (Craig, 2002, 2009; Wicker et al., 2003). Insula
with the prefrontal cortex, the dorsal striatum exer- activity is involved in a wide range of feelings, which
cises an executive function over action. The ventral consist of mostly “gut-felt” or intuitive feelings, such
(lower part) region includes the nucleus accumbens as disgust, trust, empathy, uncertainty, disbelief,
as well as the ventral parts of the caudate nucleus ­unfairness, and so forth (Craig, 2009). In the ante-
and putamen. The activation of the ventral striatum rior insula, people consolidate this bodily based
is involved in the “hedonic evaluation of stimuli” feeling-state information with social-contextual
(i.e., reward). Through the activation of the ventral ­information about the task they are involved in and
striatum (nucleus accumbens), people learn what the people around them to form a conscious expe-
environmental objects and events to like, to value, rience (subjective awareness) of emotion or affect
to prefer, and to want (Smith, Tindell, Aldridge, & (Craig, 2002, 2008), such as making a social judg-
Berridge, 2009). ment such as trust or anxiety (Paulus & Stein, 2006)
or empathy (Gu, Liu, van Dam, Hof, & Fan, 2012).
Ventral Tegmental Area The insula also processes and learns about risk and
The ventral tegmental area is the manufacturing site uncertainty (Huettel, Stowe, Gordon, Warner, &
for brain dopamine, so it is the starting point in the Platt, 2006; Kuhnen & Knutson, 2005) to produce
brain’s dopamine-based reward center. Dopamine a global feeling state that guides decision-making
is a neurotransmitter that is densely represented in (Singer, Critchley, & Preuschoff, 2009).
the subcortical brain that is involved in incentive
motivation (Berridge, 2007), motor function (Volkow Amygdala
et al., 1998), and the facilitation and actual initiation The amygdala is a pair of small, almond-shaped
of voluntary action (Watanabe & Munoz,  2010). structures composed of many separately function-
When excited, the ventral tegmental area commu- ing nuclei that are collectively located adjacent to
nicates with the nucleus accumbens (ventral striatum) the hippocampus and deep within the temporal
to release dopamine. What excites the ventral teg- lobes. These nuclei connect bilaterally to different
mental area is reward anticipation, rather than brain structures, ranging from receiving sensory
reward receipt (i.e., motivation rather than rein- input from the thalamus to sending emotion-laden
forcement). Dopamine release is therefore greatest information to prefrontal structures. The right
when rewarding events occur in ways that are unpre- amygdala is closely associated with negative emo-
dicted or underpredicted (Mirenowicz & Schultz, tions and self-preservation (e.g., fear, anger, anxiety),
1994). Together, the connections between the v­ entral because it automatically and instantaneously
tegmental area and the nucleus accumbens form ­detects, learns about (remembers), and responds to
the mesolimbic circuit, discussed in the mesolimbic emotionally significant and aversive events (Cardinal,
pathway section below. Parkinson, Hall, & Everitt,  2002; Gallagher &
Chiba, 1996). The left amygdala is closely associated
Insula with positive emotions and reward, because it
The insula (insular cortex) lies above the basal gan- ­automatically and instantaneously detects, responds
glia and just beneath the cortex; it is covered by to, and learns about (forms stimulus–emotion
parts of the frontal, parietal, and temporal lobes. ­associations) rewarding and beneficial properties of

360 Motivational Neuroscience

various environmental objects and events (e.g., its o­ rbitofrontal–striatal circuit) that allows it to r­ eceive
presence, value, predictability, and potential costs; reward-related information from the striatum
­
Baxter & Murray, 2002; Berridge & Kringelbach, and, once received, allows people to remember the
2008; Whalen, 1999, 2007). reward values associated with the objects, events,
and options they encounter and reencounter. The
Hypothalamus orbitofrontal cortex also inhibits inappropriate
The hypothalamus is a diamond-shaped collection ­actions to exert self-control over these subcortically
of numerous fiber tracts and nuclei located below generated urges and impulses for immediate action
the thalamus and above the pituitary gland. Through and to exercise the delay of gratification (i.e., quiet-
the stimulation of its 20 neighboring but separate ing the urge for an immediate reward to favor a larger
nuclei, the hypothalamus regulates a range of impor- delayed reward). It does this through its dense neural
tant biological functions, including eating, drink- connections into the ventral striatum. That said,
ing, and body temperature (via the motivations for the orbitofrontal–striatum communication system,
hunger, satiety, and thirst). The hypothalamus is being reciprocal, allows urges and emotions to be
­responsive to natural rewards (e.g., food). It further considered and to potentially take precedence over
regulates both the endocrine system (by exerting conscious planning.
control over the pituitary gland) and the autonomic
nervous system (the hypothalamus is the starting Ventromedial Prefrontal–Amygdala
point of the autonomic nervous system). Pathway
The amygdala generates negative emotionality, such
Mesolimbic Pathway as that related to fear, anger, anxiety, and depression.
The mesolimbic pathway consists of the dopamine- In the ventromedial prefrontal cortex–amygdala
based neural fibers between the ventral tegmental pathway, the ventromedial prefrontal cortex sends
area and the nucleus accumbens (ventral striatum). neural connections to the amygdala to exert an
The meso- in the title refers to the midbrain, in ­inhibiting or dampening effect on amygdala activity.
which the ventral tegmental area is located. Together, Without this cortical constraint, heightened or
this pathway communicates the dopamine-release unchecked amygdala activity would generate poten-
information that is the biology of reward. tially overwhelming negative emotionality, as occurs
in mood and anxiety disorders (Motzkin, Philippi,
Mesocortical Pathway Wolf, Baskaya, & Koenigs, 2015). Communication is
The ventral tegmental area projects fibers into the bidirectional, so this pathway not only allows for the
ventral striatum to form the mesolimbic pathway, cognitive modulation of negative emotion, but also
but the ventral tegmental area also projects to other allows negative emotion to inform beliefs, judgments,
fibers that extend into prefrontal regions, including and decisions, as when people experience a gut-­
the orbitofrontal cortex in particular, to form the felt negative emotionality that signals risk or that
mesocortical pathway. This pathway delivers something is wrong or untrue (Cunningham &
dopamine(reward)-related information to the pre- Zelazo, 2007).
frontal cortex, thereby allowing the orbitofrontal
cortex region to know (to remember) that a particular Anterior Insula–Anterior Cingulate
environmental object has produced rewarding con- Cortex Circuit
sequences in the past. More specifically, people learn The von Economo neurons, showing much bigger
the reward value of any object or event first through size and faster processing speed than other neurons,
stimulus appraisal (amygdala, ventral striatum) and are observed only in the anterior insular cortex and
then through extent of dopamine release information anterior cingulate cortex (Allman et al., 2010). This
that is transmitted to the prefrontal cortex region means that these two anatomically far-off regions
for storage via the mesolimbic and mesocortical have fast information highways. In many situations
pathways (Hampton & O’Doherty, 2007; McClure, (including survival), people must be aware of and
York, & Montague, 2004; O’Doherty, 2004). feel both environmental conditions and their
­internal (bodily) reactions to these external conditions
Orbitofrontal–Striatal Circuit (anterior insula). People are then able to use this
The orbitofrontal cortex has a direct connection information when they decide how to respond to
with the subcortical brain’s reward center (the the situation at hand (e.g., implementation and

Reeve And Lee 361

regulation of actions via the anterior cingulate ­ opamine-centric motivational states (i.e., incentive
d
cortex) (Craig, 2009). Though the anterior insula– motivation).
anterior cingulate cortex circuit must be further
­investigated, this circuit can be a key candidate in Learned Motivational States
explaining the unique human capacity of self-­ Incentives
awareness and feeling processes. Environmental incentives are those environmental
objects we learn to return to after experiencing their
Neural Basis of Key Motivations rewarding properties. Incentives have rewarding
By understanding the function of the aforementioned properties and promote approach-oriented behav-
brain structures and circuits, we gain greater poten- ior because they send information through the five
tial to understand key motivational states. Here we senses that reach the mesolimbic dopamine-based
review the neural basis of 14 different motivations, reward circuitry (Wise, 2002). The learning (remem-
starting with motivations that are mostly automati- bering, conditioning) of the incentive value of
cally activated by environmental stimuli (thirst) and ­environmental events takes place in several brain
moving to those that are proactively generated and areas. The amygdala evaluates a stimulus as associated
psychologically complex (self-regulation). with either reward or punishment, signals that it is
potentially important (or not), and evaluates the
Automatically-Activated Motivational stimulus as unpredicted or not (Whalen,  1999,
States: Hunger, Thirst 2007). In this way, amygdala activity builds associ-
Neuroscientific approaches to motivation do a ative knowledge about an incentive’s motivational
­particularly good job of explaining relatively auto- and emotional significance (Baxter & Murray, 2002;
matic and highly reliable homeostatic motivational Baxter, Parker, Lindner, Izquierdo, & Murray, 2000;
processes that are driven by ingestibles (or consum- Schoenbaum, Chiba, & Gallagher, 1999). This
ables). Ingested substances are natural rewards (e.g., ­information is mainly stored in the hippocampus
food, water) that play a key role in energizing con- and insular cortex, though it is also stored in cortical
summatory behaviors that then lead to changes in regions, including the orbitofrontal cortex. The more
homeostatic and hedonic motivational states. These automatic or simple the incentive-based informa-
motivational states (e.g., appetite, satiety) are closely tion is, the more likely it is that it will be stored
monitored and regulated by subcortical limbic struc- subcortically in the limbic system, and the more
tures, including the hypothalamus and dopamine-­ learned or conditioned the incentive-based informa-
based mesolimbic pathway (Saper, Chou, & Elmquist, tion is, the more likely it is that it will be stored
2002) to motivate relatively automatic consumma- cortically in the orbitofrontal cortex. When instru-
tory behavior. mental behaviors are needed, these various brain
Thirst is a brain-generated motivational state regions deliver their stored incentive value informa-
that arises when people physiologically need to tion to the mesolimbic dopamine system, which
ingest water to maintain adequate fluid balance then energizes consummatory motivated action
throughout the body. Reduced water generates (when intense enough to exceed a threshold of
thirst—the hypothalamically based urge to ingest ­response).
water. That said, the majority of human beverage
consumption is determined by the reward aspects Reward
of the ingested fluid, including those related to Reward is fundamental to motivation-related effort,
taste, odor, temperature, alcohol, caffeine, and social learning, well-being, and survival (Schultz, 2000).
consequences (Booth, 1991). Thus, brain structures The stimulus characteristics of an environmental
such as the orbitofrontal cortex and amygdala respond object are first processed in the amygdala and ven-
to the rewarding properties of fluid intake (Rolls, tral striatum, and the experience of rewarding and
2000), and these brain structures then feed this pleasurable feelings (e.g., pleasant taste, social
­reward-related information into the striatum that ­acceptance) occurs in the ventral striatum (nucleus
underlies the dopamine reward system that energizes accumbens) (Berridge & Kringelbach,  2008;
fluid intake (Wise, 2002). Recognizing the impor- Berridge & Robinson, 2003; Peciña & Berridge,
tant motivational role of the rewarding properties 2005; Sabatinelli, Bradley, Lang, Costa, & Versace,
of ingestibles (e.g., sweet taste) expands drinking 2007; Wise, 2002). Once activated by the release of
motivation from hypothalamic-centric homeostatic ­dopamine, the ventral striatum translates the expe-
motivational states to include stimulus-driven, rience of reward into motivational force, approach

362 Motivational Neuroscience

behavior, and the exertion of physical effort connect the subcortical, insula, and prefrontal
(Pessiglione et al., 2007). cortex regions with feed-forward (bottom-up) and
Repeated experiences with objects and events feedback (top-down) projections. Last, as depicted
allow people to form mental representations in by the six double-sided arrows in the left center of
which these environmental stimuli come to signal Figure 20.2, reciprocal relations connect the dopa-
reward information in a predictive fashion. In this mine system with the subcortical, insular, and
way, past reward-related information helps establish ­prefrontal cortex structures.
an anticipatory motivational value of objects and
events. This learned reward-related information serves Expectancy
as the basis of future goals, values, and preferences. Expectancy is a central concept in the contempo-
Figure  20.2 outlines the neural substrates of rary study of human motivation; it serves as the
this dopaminergic family of reward-based motiva- core explanatory construct underlying motivations
tional states. The neural core of goal-directed such as personal control beliefs, mastery motivation,
­motivated action is the pathway from the motivation- self-efficacy, and learned helplessness, among others
generating dopamine system through movement (Skinner, 1995, 1996). These expectancy-based con-
preparation (substantia nigra, globus pallidus) to structs involve the interrelations among person,
the behavior-generating motor system (see the right behavior, and outcome such that people have
­
side of Figure 20.2). Feeding into this basic reward- ­expectancies of being able to generate effective coping
processing core of the dopamine system are a behavior (efficacy expectations) and they have
­
number of brain areas that process reward informa- expectancies of whether their coping behavior,
­
tion, such as responsiveness to natural rewards once enacted, will produce the outcome they seek
(­hypothalamus), the reward characteristics of (­outcome expectations).
­objects (amygdala), gut-felt feelings and core affect In neuroscientific investigations, however, expect-
(insular cortex) as well as responsiveness to the ancy is largely investigated as how expected a reward
values (and relative values) of various rewards is. This research, which takes place under the
(orbitofrontal cortex), the mental representation ­umbrella term of reward prediction error (Schultz,
of reward as a goal object (dorsolateral prefrontal 1998), shows that dopamine neurons are responsive
cortex), and executive control over goal-directed when a reward is received unexpectedly. When that
action (anterior cingulate cortex). In addition, as same reward is expected, based on prior experience,
depicted by the boldface double-sided arrows on the neurons respond not to reward receipt but to
the left side of Figure  20.2, reciprocal relations the informative nature of the predictive cue. Thus,

Neural Core of Reward-Based Motivated Action

SUBCORTICAL REGIONS
HYPOTHALAMUS
Responsive to natural rewards.

AMYGDALA
Responsive to reward characteristics. DOPAMINE SYSTEM

VENTRAL TEGMENTAL AREA

Relay information of rewards to
INSULAR CORTEX striatum. SUBSTANTIA NIGRA,
Representation of emotional states. GLOBUS PALLIDUS
STRIATUM Energizes the motor system for action.
Responsive to information of
PREFRONTAL CORTEX rewards.
• Nucleus Accumbens
ORBITOFRONTAL CORTEX MOTOR SYSTEM
• Caudate Nucleus
Responsive to the learned value of rewards. • Presupplemental Motor Area
• Putamen
• Supplemental Motor Area
DORSOLATERAL PREFRONTAL CORTEX • Primary Motor Area
Mental representation of reward as a goal object.

ANTERIOR CINGULATE CORTEX

Executive control of goal-directed action.

Figure 20.2  Neural core of reward-based motivated action.

Reeve And Lee 363

dopamine neurons are responsive to reward-related difficult to make functional distinctions between the
novelty (Schott et  al., 2004), the anticipation of ventromedial prefrontal cortex and the orbitofrontal
cued reward (Schott et al., 2008), and the difference cortex, natural reward value is generally processed in
between expected reward and actual reward, which is the former, while learned reward value is generally
the reward prediction error (Schultz, 1998). Overall, processed in the latter (Arana et al., 2003; Rushworth,
dopamine neurons throughout the basal ganglia Behrens, Rudebeck, & Walton, 2007).
report ongoing reward prediction errors, and they Whereas expectancy-value theorists emphasize
do so by providing anticipatory, unexpected, and divergent sources of valuing, neuroscientists gener-
actual signals of motivational relevance (i.e., reward ally do the opposite and emphasize the converging
cues). This information is then passed on to target sources of valuing. The orbitofrontal–striatal circuit
brain regions, including the prefrontal cortex and is viewed as a valuation system in which this circuit
anterior cingulate cortex, to coordinate reward-based continually computes valuation (how rewarding, how
learning and the motivation to learn about goals, punishing) of all environmental objects (Montague
guide goal setting and goal prioritizing, and resolve & Berns, 2002). It does so by utilizing a common
cost–benefit and approach–avoidance decisional dopamine-based valuation scale, which is somewhat
conflicts. like the neural equivalent of monetary currency in a
The neuroscientific study of reward prediction nation’s economic system. Rewards vary in their
errors is similar to the outcome expectancy concept type, magnitude, salience, and immediacy, and the
in the human motivation literature. Reward pre- orbitofrontal–striatal circuit (and the striatum in
diction errors mostly serve the function of learning particular) converts and integrates these diverse
(not of motivation per se), as dopamine neurons sources of reward-based information into a common
activate with unexpected reward experiences to pro- currency and, by doing so, values all rewards on a
duce new learning. However, these same dopamine- common scale. Once diverse environmental incen-
based responses can be used to influence future tives can be compared and contrasted via a common
choice behavior (Schultz, Dayan, & Montague, currency, people can compare disparate environ-
1997). That is, as people navigate their surround- mental objects (a beverage vs. a video game vs. social
ings, they evaluate various courses of action that interaction) to plan action.
have differential predictions of reward associated Somewhat in agreement with expectancy-value
with them. These predictions of future rewards theorists, neuroscientists now add cost as a second key
(outcomes) are influenced by past expected reward factor in action selection. While the orbitofrontal–
learning. Hence, dopamine responses provide striatal circuit computes unidimensional value, the
­information to enact the most basic expectancy-based anterior cingulate cortex predicts the amount of
motivational principle—namely, approach and control and effort that must be invested to achieve a
engage in action correlated with increased dopamine valued outcome and it uses this information to
activity and avoid action correlated with decreased ­determine the cost of the required cognitive effort
dopamine activity. (Shenhav, Botvinick, & Cohen, 2013). Both dopa-
mine-informed expected value and the anticipated
Value cost from mental exertion are therefore central to
Value is a central concept in motivation study decision-making and action selection.
­because it serves as a core construct underlying the A second perspective on value in the human
expectancy-value family of motivation theories ­motivation literature conceptualizes it as an inter-
(Wigfield & Eccles, 2002). In these theories, value nalization process in which socially recommended
is a multidimensional construct composed of four prescriptions (“do this, believe that”) and proscrip-
divergent sources: intrinsic interest, utility value, tions (“don’t do this, don’t believe that”) are a­ ccepted
attainment value, and cost. High values on each of as one’s own (Ryan & Deci, 2017). The internaliza-
these components of value (cost must be reversed tion process of valuing is not so much an emotional
scored) generally correlate with choice behavior associative process (as studied in neuroscience) as it
and persistence (Wigfield & Eccles,  2002). This is a process in which a particular way of thinking,
psychological conceptualization of value, however, feeling, or behaving is accepted as personally benefi-
is noticeably different from the neuroscience con- cial for self-functioning (similar to the utility value
ceptualization of value, which is the automatic and in expectancy-value theories). It is a proactive and
learned reward-related information of an object or intentional process that is based not on reward but
event (Dickinson & Balleine, 2002). Though it is on self-development and personal adjustment. This

364 Motivational Neuroscience

second perspective on valuing will be discussed in agency, people willingly act on their environmental
the final section on autonomous self-regulation. surroundings to change things for the better. Lacking
this intuitive sense, such action seems rather pointless.
Person-Generated Motivational States
Agency Volition
In the motivation literature, agency is action taken Motivation concerns all those processes that initially
to produce an intentional, desired, and optimizing energize and direct action, while volition concerns
effect on the environment in which one lives (Bandura, the ongoing effort to sustain that motivated action,
2006; Reeve, 2013). That is, when agentic, people especially in the face of difficulty or obstacles
proactively affect intentional change on their envi- (Gollwitzer & Bayer, 1999; Kuhl, 1984, 1987).
ronments, as they strive to contribute to, manipulate, In the neuroscience literature, volition is studied
influence, transform, improve, select, or create their as mental control over action (Haggard, 2008). In
surrounding environment. this research, neuroscientists use experimental tasks
Neuroscientists study agency more narrowly, that give participants freedom in whether to perform
because they contrast an experience of self as
­ actions, when to perform actions, or how many
cause versus other as cause of an action (Engbert, times to perform actions, and they then search for
Wohlschlager, & Haggard,  2008; Farrer & Frith, related neural activities (Haggard,  2008; Libet,
2002; Spengler, von Cramon, & Brass,  2009). In Gleason, Wright, & Pearl,  1983; Nachev,  2006;
these investigations, the person performs a simple Nachev, Rees, Praton, Kennard, & Husain, 2005).
action (e.g., move a joystick) that causes an event to The results consistently indicate that (a) voluntary
happen (e.g., make an image appear on the screen), mental control activates motor-related brain regions,
and the causal source of that action is manipulated such as the supplementary and presupplementary
experimentally with a computer program such that motor areas, and (b) conflict monitoring during this
what happens is directly linked to the person’s own voluntary control activates the (dorsal) anterior
intentions and behaviors or is unrelated to them. ­cingulate cortex to exert the mental control and
Results show that an experience of agency is closely problem-solving effort that can be conceptualized as
linked to and dependent on the activities of the volitional action (i.e., conflict monitoring that is
supplemental and presupplemental motor areas.
­ supplemented and aided by diverse cognitive, emo-
That is, agency arises from a prerequisite self-initiated tional, and motivational control over action; Haggard,
instruction to generate movement and a tight corre- 2008; Nachev, 2006; Nachev et al., 2005).
spondence between that self-generated motor instruc-
tion and the action taken. If the person enacts the Self-Regulation and Goals
same behavior without self-instruction to do so In the motivation literature, self-regulation is an
(e.g., an outside agent causes the person’s behavior), ­ongoing, cyclical process that involves forethought,
little agency is experienced. Further, the greater the action, and reflection (Zimmerman,  2000). Fore­
length of time that elapses between one’s action and thought involves goal setting and strategic planning,
the effect it produces, the less the resulting sense of while reflection involves assessment and making
agency will be, because the sense of “I did that” (self ­adjustments to produce more informed forethought
as cause) is put into doubt by the rival belief that prior to the next performance opportunity. What is
“maybe something or someone else did it” (other as regulated during self-regulation are the person’s goals
cause) (Spengler et al., 2009). (and, to a lesser extent, the means to these goals, such
Such agency (“I intentionally caused the action”) as plans, strategies, emotions, and environments).
is associated with insula activation, while such From a neuroscience point of view, several brain
­nonagency (“the action was not caused by me”) is structures exercise executive control and inhibition
associated with inferior parietal cortex activation over action (Ridderinkhof, van den Wildenberg,
(Farrer et  al., 2003; Farrer & Frith,  2002; Lee & Segalowitz, & Carter, 2004). The prefrontal cortex
Reeve,  2013). Pressing a button while lying in a contributes top-down control that guides behavior
functional magnetic resonance imaging machine is by activating internal representations of action such
a long way from improving one’s working conditions as goals and intentions by sending information to
or changing one’s career path, but the premise is the other areas of the brain to promote goal-relevant
same—“unless people believe they can produce ­actions. While the prefrontal cortex generates goals
­desired effects by their actions, they have little incen- and intentions, executive control over action seems
tive to act” (Bandura, 2006, p. 170). Endowed with to be carried out in many additional prefrontal

Reeve And Lee 365

cortex regions, including the dorsolateral prefrontal Intrinsic Motivation and Extrinsic
cortex, the anterior cingulate cortex, and the ven- Motivation
tral medial prefrontal cortex; each is involved in a In the motivation literature, intrinsic motivation is
high-level regulation of action, including self-­ the inherent tendency to seek out novelty and chal-
control and the self-regulation of action such as lenge, to explore and investigate, and to stretch and
planning, organizing, and changing action (Damasio, extend one’s capacities (Ryan & Deci, 2017). When
1994,  2003; Ochsner & Gross,  2005; Rueda, intrinsically motivated, people act out of interest
Posner, & Rothbart, 2004). As a case in point, the and because they find the task at hand to be inher-
dorsolateral prefrontal cortex activations occur when ently enjoyable—producing satisfactions such as
one pursues a long-term reward in favor of a shorter “It’s fun” and “It’s interesting.” This behavior occurs
term, striatum-based reward (McClure et al., 2004). spontaneously and is not enacted for any instru-
In addition, the anterior cingulate cortex plays a mental (extrinsic) reason, such as a contingent envi-
high-level role in the regulation of action because it ronmental consequence (e.g., “I go to work for
not only receives information about sensory events, money, not for the job-task per se”).
monitors conflict, and integrates emotional informa- In the neuroscience literature, the anterior
tion (Botvinick, Cohen, & Carter,  2004; Craig, insula is the key brain structure involved in intrin-
2008), but also is further active during any decision sic motivation (Lee & Reeve, 2013, 2017). Intrinsic
to change one’s course of action (Devinsky, Morrell, motivation arises from intrinsic rewards, such as
& Vogt,  1995) and is involved in adjusting past subjective feelings of interest and enjoyment (Lee,
learning about environmental contingencies when 2017). These intrinsic rewards are the spontaneous
their reliability changes over time (Behrens, Woolrich, satisfactions one feels while engaged in a task (e.g.,
Walton, & Rushworth, 2007). satisfaction from a job well done), and it is this sense
In understanding the cognitive control over of task-generated satisfaction that allows the activity
decision-making and action, one recognizes the
­ to be experienced as interesting and enjoyable. These
massive neural connections, feedback, and feed- intrinsic satisfactions are generated by the anterior
forward that occur throughout the brain. For insula. What this means is that when a person
­instance, the amygdala not only processes the emo- ­engages in a task “because it is interesting,” the task
tional significance of sensory information and sends is generating a sense of satisfaction and the extent
that information to the prefrontal cortex (feed- of this felt satisfaction is represented by extent of
forward), but also receives feedback information activation in the anterior insular cortex (Lee &
from the prefrontal cortex (Freese & Amaral, 2005). Reeve, 2013).
Similar (and massive) feedback flows of information The opposite of intrinsic motivation is extrinsic
occur throughout cortical and subcortical brain motivation, which is the seeking and consuming of
­regions (as depicted by the double-sided arrows on environmental incentives and rewards (e.g., food,
the left side of Figure 20.2). This prefrontal cortex money, tokens, social approval). In the n­ euroscience
flow of feedback information adds information literature, extrinsic motivation is synonymous with
about the environmental context and conscious incentive motivation. Incentive (extrinsic) motiva-
­intentions into the neural core depicted on the right tion is well explained by the striatum-based reward
side of Figure  20.2. Further, this prefrontal lobe center and by the orbitofrontal–striatal circuit. As
information comes in cycles of continuous informa- people experience extrinsic motivation toward a
tion and, according to some estimates, these top- task, they show greater orbitofrontal cortex activity
down feedback projections likely exceed the number as they weigh the value of the incentive being
of bottom-up feed-forward projections, at least with offered and greater anterior cingulate cortex as
­
adults (Salin & Bullier, 1995). The result is an inte- they go through a pros versus cons decision-making
grated feed-forward and feedback system in which process as to whether engagement in the activity
basic sensory information feeds forward rather will bring enough benefit to justify the effort
­automatically and rapidly, while top-down delibera- ­expenditure (Lee, Reeve, Xue, & Xiong, 2012). In the
tive information (intentions, goals), which is affected human motivation literature, however, extrinsic
and biased by the aforementioned feed-forward motivation is a complex construct in which types
information, contributes regulatory and intentional of extrinsic motivation exist, including external
processing (Cunningham & Zelazo, 2007; Miller & regulation (the prototype of extrinsic motivation,
Cohen, 2001). which is incentive motivation), introjected regulation

366 Motivational Neuroscience

(the person—rather than the environment per se— the person to experience positive functioning,
self-administer rewards and punishments, as in ­personal growth, and well-being. There are three
feeling contingent pride or contingent shame), psychological needs—autonomy, competence, and
and identified regulation (discussed in the previ- relatedness (Ryan & Deci, 2017). Autonomy satis-
ous section as the internalized process of valuing). faction is experiencing a sense of volition and per-
Identified regulation has been studied as value sonal endorsement of one’s behavior; competence
(utility value) in the neuroscience literature, but satisfaction is experiencing a sense of effectance in
little neuroscience research has been conducted on one’s environmental interactions; and relatedness is
introjected regulation. experiencing a sense of connection with the impor-
Intrinsic motivation and incentive (extrinsic) tant people in one’s life. For need satisfaction to occur,
motivation interact with one another, and the ten- the individual generally interacts with environmen-
dency of highly salient extrinsic rewards to decrease tal activities (plays a game, takes a trip with a friend),
intrinsic motivation represents the undermining effect and when that activity engagement allows the person
in the human motivation literature (Deci, Koestner, to feel volition, effectance, and connection, then it
& Ryan, 1999). To investigate this social psycholog- produces need-satisfying spontaneous satisfactions.
ical process within a neuroscience perspective, one These satisfactions are associated with anterior insular
group of researchers asked participants to engage activations (Lee & Reeve, 2017; Reeve & Lee, 2019).
themselves in an interesting task either with the For example, in an event-related within-subjects
promise of a contingent extrinsic reward (money) or ­research design, participants (in a scanner) were pre-
simply to experience the sheer challenge embedded sented with and tried to solve challengeless ana-
within the task itself (Murayama et  al., 2010). grams (e.g., WHTIE) or challenging anagrams
Engaging in the challenging task generated mean- (e.g., CRPEI). Anterior insular activations occurred
ingful striatal and lateral prefrontal cortical activities, while participants work on the competence-enabling
activations that confirmed that the challenging task challenging anagrams to a greater degree than when
was inherently rewarding (i.e., intrinsically motivat- ­participants worked on the competence-neutral chal-
ing) and cognitively engaging. When the same task lengeless anagrams.
was paired with the promise of a contingent monetary The neuroscience of psychological need satisfac-
reward, striatal and lateral prefrontal cortical activities tion and intrinsic motivation are similar, and this is
increased significantly, suggesting that the extrinsic because intrinsic motivation arises from the satisfac-
reward added to the task-inherent intrinsic moti- tion of the three psychological needs (Ryan & Deci,
vation. In the crucial second phase of the study, the 2017). When need satisfaction energizes intrinsically
extrinsic reward was removed. The researchers then motivated behavior, the neural system of intrinsic
examined how much striatal and lateral prefrontal motivation involves not only anterior insular activ-
cortical activities the task itself could generate. For ity, but also striatum activity and, further, anterior
participants in the no-reward condition, striatal and insula–striatum functional interactions (Lee & Reeve,
lateral prefrontal cortical activities were essentially the 2017). This suggests that subjective feelings of intrin-
same the second time around—the task was just as sic satisfaction (associated with anterior insular cortex
rewarding and engaging as before. For participants activations), reward processing (associated with stri-
in the reward condition, however, striatal and lateral atum activations), and their interactions all underlie
prefrontal cortical activities disappeared—the capac- the actual experience of intrinsic motivation and the
ity of the once interesting and challenging task to gen- enactment of intrinsically motivated behavior. These
erate pleasure (striatum) and cognitive engagement neural findings are consistent with the conceptuali-
(lateral prefrontal cortex) had been undermined by zation of intrinsic motivation as the pursuit and
the previously contingent extrinsic reward. This pro- ­satisfaction of subjective feelings (interest and enjoy-
gram of research nicely shows how a complex human ment) as intrinsic rewards.
motivational concept (intrinsic motivation) can be
better understood within a neuroscientific program Autonomous Self-Regulation
of research. Intrinsic motivation is highly volitional, but many
nonintrinsically motivated behaviors are also under-
Psychological Needs taken with a strong sense of autonomy. Activities
A psychological need is an inherent nutriment that are not inherently interesting or enjoyable but
within all people whose satisfaction is necessary for are personally meaningful and important to the

Reeve And Lee 367

person (e.g., brushing your teeth, practicing a needed bidirectional in the future, or will it remain largely a
skill) are undertaken volitionally. Because the person landscape of one-way—and even dead-end—streets?
“identifies” with the value and worth of the activity, Movement toward a truly integrated field worthy
the motivation to engage in the uninteresting but of the name motivational neuroscience will depend
personally important task is referred to as identified on the emergence of exceptionally well-trained
regulation (Ryan & Deci, 2017). scholars who are highly and equally committed to
Internally guided, volitional decision-making both motivation study and neuroscience.
and action recruit self-referential cognitive processes 2. Can motivation theory be integrated with
(Northoff et al., 2006), which in turn recruit ven- neuroscientific methods and findings?
tromedial prefrontal cortex activations that are Neuroscientific methods and findings serve the
­involved in using such self-referential knowledge to new field of motivational neuroscience well when
resolve conflicts toward a direction of personal the focus is on relatively automatic motivations
­decision-making. Such ventromedial prefrontal (hunger, thirst) and perhaps on stimulus-driven
neural activity is especially helpful during action and environmentally acquired motivations
selection (Di Domenico, Fournier, Ayaz, & Ruocco, (incentive) as well. But neuroscientific methods
2013), partly because it biases decision-making toward and findings come up short for all those
autonomously motivated considerations but also motivations that are self-generated. The
partly because it calms (resolves) anterior cingulate neuroscientific understanding of such motivations
cortex activations (Di Domenico, Le, Liu, Ayaz, & as agency, volition, intrinsic motivation, and
Fournier,  2016), which suggests decision-making autonomous self-regulation comes across as
characterized by high volition and choice and low incomplete (or only partial) explanations, and this
anxiety and conflict. More than just making deci- is because they lack the rich motivation theory
sions, however, autonomous self-regulation involves developed by motivational psychologists. How
regulating one’s lifestyle (goals, values, priorities, motivation theory is integrated into a neuroscience
personal preferences) in ways that reflect the self (Di analysis will be an important macrotheme in the
Domenico et  al., 2016). When people make per- future direction of motivational neuroscience.
sonal choices, ventromedial prefrontal cortical 3. How well can the dependent measures
­activity occurs; and when people use self-referential used in neuroscience (e.g., reaction times, neural
information to resolve conflicts (i.e., reduce cogni- activations) align with the dependent measures
tive dissonance during choice making), anterior cin- used in human motivation study (e.g., effort,
gulate cortex activity is lessened (Murayama et al., phenomenology)? It is not yet clear how
2015). In contrast, decision-making and action intercorrelated these measures are, and it is not yet
selection can certainly take place in the absence of clear whether these different measures tell the same
such self-referential input (“My boss told me to call story or two different stories. This future direction
this client”), but such activity would lack a sense of will likely be determined by the extent to which
autonomous “want to” self-regulation and therefore neural dependent measures align (correlate) with
would reflect controlled “have to” non-self-regulation. behavioral and self-report measures of motivation.
4. How integrated is brain activity during
Conclusion motivational processes? The past decade of
Motivational neuroscience is young. The emerging motivational neuroscience has largely sought to
field now has a solid foundation, as represented by identify the neural bases of specific individual
the knowledge base of how the neural structures motivational states (e.g., the amygdala is involved
and pathways shown in Figure  20.1 underlie and in this, the anterior cingulate cortex is involved in
support the many motivational states highlighted in that). But the hallmark of the human brain is its
the second half of the chapter. This knowledge and massive interconnectivity. This chapter highlighted
these findings have laid the groundwork for motiva- five important neural circuits (e.g., mesolimbic
tional neuroscience to now flourish as an important pathway), but future research will likely reveal a
science of the future. much richer picture of integrated functioning
during motivation.
Future Directions 5. Can the brain generate motivation of its own?
1. Will the relation between neuroscience and Or, is brain-based motivation always an adaptive
human motivation become more reciprocal and response to environmental events? Neuroscientific

368 Motivational Neuroscience

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Reeve And Lee 371

 CH A PT ER
Advancing Issues in Motivation
21 Intensity Research
Updated Insights from the Cardiovascular System

Guido H. E. Gendolla, Rex A. Wright, and Michael Richter

Abstract

What determines effort intensity in instrumental behavior? According to motivation intensity theory,
effort should be proportional to experienced task difficulty as long as success is possible and justified
and low when success is impossible or excessively difficult, given the available benefit. When task
difficulty is unspecified or unknown, effort should be proportional to the importance of success. This
chapter reports an extensive program of research that has operationalized effort intensity as
cardiovascular reactivity during task performance and used multiple manipulations of variables
influencing subjective task difficulty (e.g., performance standards, instrumentality, ability, fatigue, mood,
depressive symptoms, implicit affect, implicit and biological aging) and the amount of justified effort
(e.g., material incentive, instrumentality, needs, personal and social evaluation, mortality salience). In
the second edition of this handbook, this chapter focuses on recent empirical evidence for the
principles of motivation intensity theory and discusses challenges for other theoretical accounts.
Keywords:  effort, motivation intensity, cardiovascular response, demand, achievement

Introduction represent a break with tradition and have generated

In brief, motivation can be defined as the process significant insights relating to processes underlying
that determines the energization and direction of effort mobilization. An initial wave of research
behavior (A.  J.  Elliot,  2006), meaning that action ­investigated core variables identified in this theory.
needs both resources and goals. This chapter focuses A later wave, conducted in the past 2 decades, in-
on the first aspect—effort, the mobilization of volved theoretical extensions, applications, and the
­resources for instrumental behavior (Gendolla & development of second-order theories that explain
Wright, 2009). More precisely, we deal with effort how variables like fatigue, affective experience,
intensity, which refers to the resources organisms ­depressive symptomatology, gender, and implicitly
mobilize at one point in time. processed stimuli influence the mobilization of
Understanding the intensity aspect of behavior ­resources. This chapter focuses on what has been
is essential for learning how motivation influences found in the time since the first edition of this
action. However, traditionally, most motivation re- handbook was published. That is, rather than
search has focused on the direction of behavior or ­providing a complete overview of research on the
what people do rather than how intensively they do intensity of motivation, we will highlight recent
it—as can be seen in this handbook. Three decades findings. Readers interested in earlier research are
of research inspired by motivation intensity theory referred to previous general overviews, including
(Brehm & Self,  1989; Brehm, Wright, Solomon, the one in the first e­dition of this handbook
Silka, & Greenberg,  1983; see also Brehm,  1975) (Gendolla, Wright, & Richter, 2012; see also

373
Richter, Gendolla, & Wright,  2016; Wright & correspond to difficulty—people should invest greater
Kirby, 2001). Before discussing recent research, we effort the more difficult they perceive their task to
will first describe motivation intensity theory and be. But, importantly, effort should drop b­ ecause of
its origin—the principle of resource conservation. disengagement if success appears to be impossible
Following pioneering work by Gibson (1900), or if the necessary effort is not justified by the bene-
psychologists recognized early that organisms tend fit it should accrue. This is because in both cases
to mobilize just the resources that are necessary for high engagement would violate the basic principle
goal attainment (e.g., Hull,  1943; Tolman,  1932). of resource mobilization. Thus, put in one sentence,
Moreover, drawing on the idea that effort functions to motivation intensity theory predicts that effort rises
cope with obstacles during goal pursuit, it was proportionally to subjective task difficulty as long
postulated that resource mobilization follows a
­ success appears to be possible and the necessary
“­
difficulty law of motivation” (e.g., Ach,  1935; effort is justified (Figure 21.1).
Hillgruber, 1912). Accordingly, effort is mobilized
proportionally to the experienced difficulty of The Role of Benefit
instrumental behavior—the greater the obstacles
­ An important point about the central proposition
encountered during goal pursuit, the more effort is just discussed is that expected benefit should not
mobilized. Brehm’s motivation intensity theory is ­determine effort directly. Rather, benefit should de-
the most influential elaboration of these basic prin- termine effort indirectly by setting the upper limit
ciples of resource mobilization. of what is justified and what people are willing to
do. Brehm referred to this upper limit as the level
Motivation Intensity Theory of ­potential motivation—a concept that has drawn
Motivation intensity theory (Brehm et  al., 1983; additional attention recently (e.g., Kruglanski,
Brehm & Self,  1989; see also Brehm,  1975) is Chernikova, Rosenzweig, & Kopetz, 2014). In theory,
grounded in the resource conservation principle. factors related to benefit (e.g., the value of and need
People are expected to mobilize effort (a) only to the for an available incentive) should have no impact
degree that is needed and (b) only when expendi- on effort as long as success is possible and benefit is
ture yields sufficient return (i.e., a benefit) to justify great enough to justify the required effort.
the necessary effort. The required effort is deter- To illustrate, consider a person offered at different
mined by the difficulty of instrumental behavior— times $10, $20, and $30 to lift a weight that he or
the difficulty of activity that must be carried out to she could lift and was willing to lift for $10. The
attain desired outcomes and avoid aversive ones. present view suggests that the person’s effort should
Consequently, effort should vary nonmonotonically correspond to the difficulty of the lift, not the value
with the perceived difficulty of instrumental behav- of the incentive, at the different points. Next, consider
ior. As long as success is viewed as both possible and what would happen under conditions where this
worth the investment that it requires, effort should person was unwilling to lift the weight even for $30.

(A) (B)

(Potential Motivation)
Effort

Effort

(Potential Motivation)

unspecified low moderate high extreme unspecified low moderate high extreme
Task Difficulty Task Difficulty

Figure 21.1  Theoretical predictions of the joint impact of task difficulty and potential motivation on effort intensity.
(A) Predictions for effort mobilization when low effort is justified (i.e., low potential motivation). (B) Predictions for the condition that high effort is justified
(i.e., high potential motivation). (Figure adapted from Gendolla & Wright, 2009, p. 134. Copyright: Oxford University Press, reproduced with permission).

374 Advancing Issues In Motivation In tensit y Research

The present view suggests that his or her effort should In circumstances like these, benefit rises in constant
be consistently low at the different points. Finally, proportion to performance. Brehm referred to such
consider what would happen if the person were of- circumstances as conditions of unfixed difficulty
fered the different incentives for lifting a weight that (e.g., Brehm & Self,  1989). Additionally, persons
he or she knew exceeded his or her strength. Once can be asked to do their best (or what they want)
again, effort should be low at all points. without being confronted with a clear performance
standard (see Locke & Latham, 1990). Also, under
Unclear Difficulty this condition task difficulty is not fixed.
A further point to note about the central proposition Once again, motivation intensity theory assumes
discussed above is that it assumes that people have that effort will be proportional to potential motiva-
an idea of what will be required to succeed—which tion (here, the total benefit that can be accrued) up
will, however, not always be the case. Consider, for to the point that people can try no harder. Thus, the
example, (a) a student confronted with an exam persons in the previous examples would be expected
from a new teacher, (b) a person awakened in the to exert more effort the more benefit they could
middle of the night by a noise in the bedroom make until attaining their effort peak.
closet, or (c) an athlete who must compete with a
completely unknown adversary. People sometimes Summary
know that action is called for, but are unsure what To summarize, motivation intensity theory maintains
exactly must be done and how much effort must be that effort intensity does not vary with potential
mobilized for it. This can be the case if difficulty benefit directly, but rather with the difficulty of be-
levels during an action vary in a random-like fashion havior necessary to attain goals. As long as success is
or if a task has a fixed difficulty level that is, however, possible and the necessary effort is justified, effort
not known by the person. Motivation intensity should thus correspond to difficulty. Where success
theory asserts for such conditions of unclear diffi- is deemed impossible or excessively difficult, given
culty that effort will be proportional to potential the available benefit, effort should be low because of
motivation. disengagement. In theory, benefit should determine
At first glance, this assertion might seem contrary the upper limit of what performers are willing to do,
to the guiding principle of resource conservation. thus determining the drop point of effort along pos-
But it is not when one considers that using potential sible levels on a difficulty continuum. Motivation
motivation to calibrate effort intensity allows indi- intensity theory considers that people sometimes
viduals to avoid mobilizing more resources than believe that action is—or might be—needed, but are
­justified. Given that people do not know what will unsure what exactly needs to be done and that people
be required to succeed when task difficulty is un- sometimes can decide on their own how much effort
known, they are at risk of engaging either more than they want to invest. In such circumstances, people
necessary or not enough, meaning a waste of effort are expected to expend effort in proportion to their
in both cases. However, by mobilizing effort propor- potential motivation—that is, their willingness to
tional to potential motivation they can ensure that act—up to the point that they can try no harder.
they will not exceed the amount of justified effort.
They might invest more than required but they will Measuring Effort
not invest more than justified. Motivation intensity theory provides a very clear and
elegant theoretical picture of effort mobilization.
Unfixed Difficulty However, its validity is by no means self-evident. This
A third point to note is that motivation intensity leads to the important question of how to measure
theory recognizes that performance contingencies effort mobilization for testing the theory’s predic-
(i.e., benefits) do not always have an all-or-none tions. One idea to quantify effort intensity, applied
character. The contingencies sometimes do, as would for decades, has been to obtain self-reports of effort
be the case if a person learned that he or she could mobilization (e.g., Efklides, Kourkoulou, Mitsiou, &
earn an amount of money by lifting a specific Ziliaskopoulou, 2006; Meyer & Hallermann, 1977;
amount of weight. However, they sometimes do not. Roets, van Hiel, Cornelis, & Soetens, 2008). However,
Consider, for example, a person told that he or she self-report measures of effort are problematic for
can earn $1 for every lift he or she makes or, alterna- several reasons. For one thing, effort self-reports are
tively, a child told that he or she can earn a bite of highly vulnerable to self-presentational influences
dessert for every bite of broccoli that he or she takes. (Pyszczynski & Greenberg,  1983; Rhodewalt &

Gendoll a, Wright, And Richter 375

Fairfield,  1991). In addition, there is concern that Hurwitz, & Schneiderman,  2000; Kelsey,  2012;
people might not always know how hard they are Obrist,  1981; Papillo & Shapiro,  1990; Wright &
(or are not) trying, because introspection abilities Gendolla,  2012). For the present purposes, two
are (very) limited (Wilson, 2002). ­observations are sufficient. First, in theory, the best
A second idea has been to measure performance— indicators of the sympathetic mechanisms mentioned
a behavioral outcome that multiple motivation re- previously should be related to beta-adrenergic sym-
searchers have directly linked to the intensity aspect pathetic impact (Wright,  1996), which becomes
of motivation (e.g., Atkinson & Raynor,  1974; ­especially manifest in the cardiac pre-ejection period
Bandura & Cervone,  1983; Bijleveld, Custers, & (PEP)—a cardiac contractility measure defined as
Aarts, 2010; Eisenberger, 1992; Kukla, 1972; Locke the time interval between the onset of left ventricu-
& Latham, 1990). However, this is problematic as lar cardiac excitation and the opening of the aortic
well, because of obvious disconnections between valve in a cardiac cycle (Berntson, Lozano, Chen, &
effort and different performance outcomes, including Cacioppo,  2004). This time interval, which takes
the speed and quality of responses (see Harkins, about 100 milliseconds during rest, becomes shorter
2006). Moreover, performance is determined by when beta-adrenergic impact increases.
more factors than effort alone—at least ability, per- Cardiac contractility can also systematically
sistence, and strategy use have also (and sometimes ­influence other indices of CV activity, especially
even stronger) influences on it (see Locke & Latham, ­systolic blood pressure (SBP)—the maximal arterial
1990). Related to this, effort can be compensatory pressure between two heartbeats (Brownley et  al.,
(Hockey, 1997)—it can be mobilized to compensate 2000). Therefore, several studies have relied on SBP
for objective or experienced ability deficits. A person as an index of effort (see Gendolla, Wright, & Richter,
with lower ability must mobilize more effort to attain 2012; Wright & Kirby,  2001) and other studies
the same performance outcome as another person found that both PEP and SBP respond to the level
with high ability (e.g., B. T. Smith & Hess, 2015; of experienced task demand (e.g., Richter, Friedrich,
Wright & Dismukes, 1995). & Gendolla,  2008), incentive (e.g., Richter &
A third idea is, in our view, more promising. It Gendolla, 2009a), and combinations of both vari-
is to assess effort physiologically, that is, by examining ables (e.g., Silvestrini & Gendolla, 2011a). However,
adjustments in bodily systems that should—in although performance-related changes in SBP are a
theory—be involved in mobilizing people for action. very suitable index of effort mobilization, PEP is the
This draws attention to the cardiovascular (CV) purer and more sensitive effort measure, because SBP
system. is also determined by peripheral vascular resistance,
which is independent of beta-adrenergic sympathetic
Effort-Related Cardiovascular Response nervous system impact. Diastolic blood pressure
There are at least two reasons why the CV system has (DBP)—the minimal vascular pressure between two
attracted effort investigators’ interest. First, there is heartbeats—is even more strongly determined by
wide agreement that the CV system functions peripheral resistance. Heart rate (HR—the pace of
chiefly to sustain behavior (Papillo & Shapiro, 1990). heart contraction) should tend to be indicative as
Second, research in psychophysiology—particularly well. However, HR can increase because of both
that by R.  Elliott (1969) and Obrist (1976)—has sympathetic activation and parasympathetic deacti-
indicated that effort not only affects CV responses, vation, making it difficult to interpret HR changes.
but also does so by certain sympathetic nervous Thus, especially PEP and also SBP are more suitable
system mechanisms, that is, mechanisms associated measures of effort mobilization.
with the branch of the autonomic nervous system
involved in activation. Given that effort refers to the Empirical Evidence
mobilization of resources for instrumental behavior We will now present studies that have systemati-
(Gendolla & Wright, 2009), this physiological “go” cally investigated the principles of motivation in-
system should be of high interest for quantifying tensity theory and operationalized effort intensity
effort. as CV response—that is, performance-related changes
It is beyond the scope of this chapter to delve in CV activity with reference to baseline values.
into all details of sympathetic CV influence or to The protocol of a typical study consists of two
examine carefully the evidence linking effort to it. phases. Participants are first habituated to the lab-
Interested readers are thus referred to other sources oratory (ca. 10 minutes). During that time, par-
(Berntson, Cacioppo, & Quigley,  1993; Brownley, ticipants are inactive and CV baseline activity is

376 Advancing Issues In Motivation In tensit y Research

assessed. Then participants work on a task (typically More recent studies extended the preceding
ca. 5 minutes), and CV activity is again assessed r­esearch by applying more indirect manipulations
during performance. Some studies additionally as- by investigating psychological variables influencing
sessed CV a­ ctivity immediately before task perfor- subjective task demand. As one example, recent ex-
mance. Participants’ CV reactivity—the dependent periments by Freydefont, Gollwitzer, and Oettingen
variable referring to effort intensity—is expressed (2016) found that detailed action planning in terms
in the mean task-related changes in CV activity of if–then plans for task execution functions as a dif-
with reference to the individual baseline values. ficulty buffer with corresponding effects of PEP
reactivity during task performance. Similar effects
The Role of Variables Affecting Difficulty were reported for individual differences in cognitive
and Effort flexibility—cognitive flexibility reduced subjective
Especially early studies involved direct difficulty task demand with corresponding effects on effort-
manipulations by exposing participants to varying related CV response (Kato,  2017). Other studies
levels of objective task difficulty or performance highlighted the role of affect as a factor influencing
standards. Examples are the number of items par- subjective task demand.
ticipants were asked to memorize within a specific
time or the stimulus presentation and/or response Mood and Depressive Symptoms
time windows in attention or short-term memory A major line of research by Gendolla and colleagues
tasks.  Those studies found clear and replicated investigated the influence of mood states on effort
support for motivation intensity theory’s predic- mobilization (see Gendolla & Brinkmann,  2005;
tions: SBP rose with task difficulty until task Gendolla, Brinkmann, & Silvestrini, 2012, for more
demand became so high that success was impossible. detailed reviews). Instigated by the mood–behavior
At this point, effort dropped, which was inter- model (Gendolla,  2000), these studies tested the
preted as disengagement (e.g., Smith, Baldwin, & idea that people use their moods as task-relevant in-
Christensen, 1990; Wright, 1984; Wright, Contrada, formation for their appraisals of task demand when
& Patane, 1986). A later experiment by Richter, they are confronted with a task. In those studies,
Friedrich, and Gendolla (2008) additionally ­included elated and depressed moods were first manipulated
measures of PEP, the purer index of beta-adrenergic with exposure to videos or music or by autobio-
sympathetic impact, and found corresponding graphical recollection of personal events. Subsequently,
­results. As depicted in Figure  21.2, reactivity of participants worked on a cognitive task. These
both PEP and SBP during a short-term memory studies brought replicated evidence that people in a
task became progressively stronger from a low- via depressed mood indeed evaluate task demand as
a moderate- to a high-difficulty condition and higher and show stronger SBP responses during
then dropped. ­performance than people in a happy mood (e.g.,

(A) PEP Reactivity (B) SBP Reactivity

2
10
Reactivity Scores (in mmHg)

0
Reactivity Scores (in ms)

–2 6

–4 4

–6 2

–8 0
Low Moderate High Impossible Low Moderate High Impossible
Task Difficulty Task Difficulty

Figure 21.2  Preejection period (PEP, A) and systolic blood pressure (SBP, B) reactivity in dependence on task difficulty in the study
by Richter, Friedrich, and Gendolla (2008).
(Copyright: Society for Psychophysiological Research, reproduced with permission).

Gendoll a, Wright, And Richter 377

Gendolla, Abele, & Krüsken,  2001; Gendolla & In studies on the IAPE model, participants
Krüsken,  2001a,  2002a). However, these effects worked on cognitive tasks during which they
disappear if the informational value of mood is ­processed very briefly flashed pictures of emotional
called into question (Gendolla & Krüsken, 2002b) expressions to activate implicit affect. As predicted,
or if mood cannot be used as task-relevant informa- processing sadness and fear primes during perfor-
tion (de Burgo & Gendolla, 2009). mance led to stronger cardiac PEP response than
Other studies investigated dispositional variables processing happiness and anger primes (e.g.,
that are associated with relatively stable differences Chatelain & Gendolla, 2015; Gendolla & Silvestrini,
in affective experiences. Effects that corresponded 2011; Lasauskaite, Gendolla, & Silvestrini, 2013;
to those of transient mood states on effort-related Silvestrini & Gendolla,  2011b). This suggests that
CV response were found for individual differences in the mere implicit activation of people’s mental
dysphoria/depression (e.g., Brinkmann & Gendolla, r­epresentations of emotions is sufficient to system-
2007) and extraversion (Kemper, Leue, Chavanon, atically influence task demand and thus effort.
Henninghausen, & Stemmler, 2008). Similar effects
were found for individual differences in fatigue: The Implicit Aging
more fatigued individuals felt, the more effort they Recently, the IAPE model logic was extended to the
mobilized during a cognitive task (e.g., Mlynski, effects of implicit activation of the aging stereotype.
Wright, Agtarap, & Rojas, 2017; Schmidt, Richter, In Western societies, there is a widely shared belief
Gendolla, & van der Linden, 2010). that aging is associated with cognitive difficulties
(e.g., Cuddy, Norton, & Fiske,  2005). The mere
Implicit Affect implicit activation of this aging stereotype should
Research on the mood–behavior model (Gendolla, be sufficient to increase subjective demand and
2000) revealed replicated evidence that feeling effort—also in biologically young individuals.
states can systematically influence effort-related CV Zafeiriou and Gendolla (2018) tested this idea in an
­responses. Gendolla (2012) suggested in his implicit- experiment in which university students worked on
affect-primes-effort (IAPE) model that the mere a moderately difficult mental arithmetic task. During
­activation of knowledge about affective states leads the task, flashed pictures of young versus elderly
to similar effects. The main difference between the ­individuals’ faces, or dotted silhouettes in the shape
two models is the type and origin of affect-related of a human head in an additional neutral prime
information that influences subjective task demand. control condition, appeared very briefly. The age
The mood–behavior model applies to experienced primes influenced CV reactivity during performance.
feelings. The IAPE model applies to stimuli (affect Responses of HR and DBP increased from the youth-
primes) that activate affect-related knowledge, which prime condition via the control condition to the
implicitly influences subjective demand. elderly-prime condition. These effects of implicit
According to the IAPE model, individuals learn aging are compatible with those of biological aging
that coping with challenges is easier in some affec- on effort mobilization we will discuss in the section
tive states than in others. Consequently, performance on the Role of ability, fatigue, and biological aging.
ease and difficulty become features of peoples’
mental representations of different affective states— Moderation Effects of Objective Task
their emotion concepts (see Niedenthal,  2008). Difficulty
Rendering this knowledge accessible leads to experi- Several studies investigated how psychological vari-
ences of low or high task demand. More specifically, ables can moderate the effect of objective task diffi-
people should have learned that it feels relatively culty on effort. The starting point of this research
easy to work on a task if one is happy or angry (high was an elaboration of motivation intensity theory’s
coping potential), whereas it feels relatively difficult predictions in terms of ability effects by Wright and
to do so when one feels sad or fearful (low coping colleagues.
potential). That way, ease becomes a feature of
people’s mental representation of happiness and The Role of Ability, Fatigue,
anger, whereas difficulty should become a feature of and Biological Aging
the representations of sadness and fear. Implicit According to Wright (1998), subjective task diffi-
­activation of these mental representations should culty is systematically influenced by individuals’
render the ease and difficulty features accessible, ability (i.e., capacity with respect to the features of
­resulting in lower or higher subjective task demand. the task). Less capable people view success at any

378 Advancing Issues In Motivation In tensit y Research

given objective difficulty level as harder than more low fatigue corresponding to high ability. Results
capable individuals (Heider,  1958; Hockey,  1997; were as expected: Fatigue moderated the effect of
Kukla,  1972; cf., Bandura,  1986). It follows that: objective difficulty on effort in the same way as abil-
(a) effort should be stronger for low- than for high- ity (e.g., Wright & Penacerrada, 2002). Participants
ability people as long as the low-ability performers in a study by Wright, Martin, and Bland (2003)
perceive success as both possible and worthwhile; first performed an easy or difficult counting task to
(b) low-ability individuals should withhold effort and manipulate fatigue. Next, the investigators presented
display reduced CV responses at a lower difficulty participants mental arithmetic problems with in-
level than should high-ability individuals, creating a structions that they could earn a prize if they attained
window of difficulty levels within which effort is a low or high performance standard. As expected,
weaker for low- than for high-ability performers; high-fatigue participants showed stronger SBP
and (c) effort should be low for both ability groups ­responses than low-fatigue participants when the
under conditions where success calls for more than standard was low. By contrast, high-fatigue partici-
high-ability performers can or will do (Figure 21.3). pants had weaker responses than low-fatigue par-
This holds for both objective ability and subjective ticipants when the standard was high (Figure 21.4).
ability beliefs. Diastolic blood pressure and mean arterial pressure
The ability extension of motivation intensity data revealed the same interactions with means in
theory has received ample empirical support. Indeed, similar crossover patterns.
in objectively easy tasks, people with lower ability Hess and colleagues applied aspects of the ability
show stronger reactivity than people with higher analysis to address questions pertaining to effort and
ability. Conversely, for difficult tasks, people with CV responsiveness in older adults (see Hess, 2014).
high ability show stronger reactivity than those with They reasoned that, because of normal age-related
lower ability (e.g., Wright & Dill, 1993; Wright & cognitive decline, older adults should find it more
Dismukes, 1995; Wright, Wadley, Pharr, & Butler, difficult to meet cognitive challenges. As a result,
1994). Another set of studies further elaborated the older adults should try harder and evince stronger
ability extension and investigated the role of fatigue CV responses than younger adults so long as they
in effort mobilization. Those studies have assumed perceive success as possible and worthwhile and
that ability falls as fatigue rises. Accordingly, fatigue they disengage due to subjective overchallenge at
should interact with difficulty to determine effort- high levels of perceived difficulty (Hess, Smith, &
related CV responses in the same way ability does, Sharifian, 2016). Further, they should withhold effort
with high fatigue corresponding to low ability and at a lower objective difficulty level, with success

Possible Difficulty Levels - Ability Low

Possible Difficulty Levels - Ability High

Drop Points Determined by

Potential Motivation Where
Success is Possible
EFFORT

w
Lo
ility
Ab
igh
yH
ilit
Ab

TASK DIFFICULTY

Figure 21.3  Relation between effort and difficulty for people with low and high ability.
(Adapted from a highly similar figure presented by Wright and Franklin, 2004, p. 190. Copyright: Erlbaum Press.)

Gendoll a, Wright, And Richter 379

 6
Fatigue Low
5
Fatigue High
4

SBP Reactivity (mmHg)

3

–1

–2

–3

–4
Low High
Performance Standard
Figure 21.4.  Systolic blood pressure (SBP) reactivity as a function of difficulty for low- and high-fatigue participants.
Based on data presented by Wright, Martin, and Bland (2003).

importance determining the point at which they success as excessively difficult or impossible at all
do  so as long as they perceive success as possible. difficulty levels.
Indeed, older people mobilized more resources and
show stronger effort-related responses of the CV Moderation of Affective Influences
system than younger adults when they cognitively on Effort
performed on a similar level (B. T. Smith & Hess, Objective task difficulty also systematically moder-
2015). Moreover, Hess and Ennis (2012) found ates the earlier discussed mood impact on effort
stronger SBP responses in older adults during both ­mobilization. The effects of positive and negative
a fatigue induction period in which participants were moods in easy and difficult tasks resemble those of
presented a simple or complex counting challenge the just-presented effects of high and low ability and
and an ensuing fatigue influence period in which high and low fatigue. When people in a depressed
participants solved multiplication problems. or happy mood work on a task with fixed task diffi-
However, a qualified exception is seen in an ex- culty, the mood–behavior model (Gendolla, 2000)
periment by Stewart, Wright, and Griffith (2016) posits that they will pragmatically use both types of
that examined CV responses in cognitively healthy information—mood and task difficulty—to calibrate
older adults and patients diagnosed with mild cog- effort. Consequently, as shown in experiments (e.g.,
nitive impairment, the prodromal state of clinical Gendolla & Krüsken, 2001b, 2002b), in objectively
dementia. Mild cognitive impairment is character- easy tasks, effort is higher in a negative mood than
ized by cognitive decline that is greater than that in a positive mood, because subjective demand and
expected with normal aging, but not so great that mobilized resources are higher in a negative mood.
it interferes with daily function. Investigators as- But when a task is objectively difficult, effort is higher
signed the cognitively healthy older adults and in a positive mood than in a negative mood. The
mild cognitive impairment patients three versions reason for this moderation is that subjective demand
of a modified Sternberg memory task designed to for a difficult task is high but still feasible in a positive
range in difficulty from low to high. As expected, mood, whereas it appears to be overchallenging in a
work-related SBP responses rose with difficulty for negative mood. However, when objective task
cognitively healthy older adults. By contrast, the ­difficulty is extremely high, so that succeeding is
responses were consistently low for mild cognitive obviously impossible, mood cannot provide addi-
­
impairment patients, possibly because they viewed tional diagnostic information. Here, as a result of

380 Advancing Issues In Motivation In tensit y Research

disengagement, mobilized resources are low in be inverted by happiness or anger primes. Priming
­general (Gendolla & Krüsken, 2002c). happiness or anger in objectively easy tasks should
Objective task difficulty also moderates the effects lead to low effort because of low subjective demand.
of depressive symptoms on effort. Dysphoric indi- By contrast, effort should be high for an objectively
viduals mobilize higher effort than nondysphorics difficult task, because subjective demand should be
in easy tasks. But when difficulty is high, the opposite high but feasible. Figure 21.5 shows the results of an
pattern occurs (Brinkmann & Gendolla, 2008). This experiment by Chatelain, Silvestrini, and Gendolla
moderator effect of objective task difficulty on the (2016). Participants worked on an objectively easy
impact of depressive symptoms on effort mobiliza- or difficult mental arithmetic task during which they
tion has been replicated and extended by Silvia and were primed with fear or anger. As expected, fear
colleagues (see Silvia et al., 2016). primes led to higher effort (i.e., shorter PEP) than
Corresponding to the effects of consciously anger primes when the task was objectively easy. But
­experienced affective states on effort, objective task when the task was objectively difficult, implicit fear
difficulty also moderates the impact of implicit led to lower effort than anger.
affect on effort mobilization (Chatelain, Silvestrini, & In summary, there is solid evidence that task
Gendolla, 2016; Freydefont, Gendolla, & Silvestrini, difficulty systematically influences effort mobiliza-
2012; Lasauskaite, Gendolla, & Silvestrini,  2014; tion. Effort rises with increasing demand to a point
Silvestrini & Gendolla, 2011c; see also Blanchfield, where either (a) success is not possible or (b) the
Hardy, & Marcora,  2014): In objectively easy necessary effort is not justified. The second limit of
tasks, sadness or fear primes lead to higher effort the difficulty–effort relationship was further inves-
than happiness or anger primes. However, in objec- tigated in studies that manipulated the level of
tively difficult tasks, this pattern reverses and proc- ­potential motivation together with variables influ-
essing anger or happiness primes results in stronger encing subjective task difficulty.
PEP reactivity than processing sadness or fear
primes. The reason is that sadness and fear primes The Role of Variables Affecting the
should increase the subjective difficulty of an easy Importance of Success
task, ­resulting in relatively high effort because of Several studies have investigated the impact of vari-
high subjective demand. But the same affect primes ables influencing the level of potential motivation—
should lead to low effort in difficult tasks, because the amount of maximally justified effort for goal
of disengagement caused by excessive subjective attainment. One major part of this research has
demand. This effect of objective task difficulty should ­focused on tasks with manipulated fixed difficulty

1.5
Anger Primes
1
Fear Primes
0.5
0
–0.5
–1
Reactivity (ms)

–1.5
–2
–2.5
–3
–3.5
–4
–4.5
–5
Easy task Difficult task

Figure 21.5  Cardiac preejection period reactivity during a short-term memory task in the experiment by Chatelain, Silvestrini, and
Gendolla (2016).
(Copyright: Elsevier, reproduced with permission).

Gendoll a, Wright, And Richter 381

levels. Others have investigated effort mobilization a low amount of effort was required for success, and
in tasks where difficulty was unspecified. As out- participants in the difficult condition disengaged.
lined in the first section of this chapter, motivation Moreover, high monetary success incentive could
intensity theory predicts that effort intensity should also eliminate the above-reported effort mobilization
be proportional to task difficulty as long as success is deficit of people working on an objectively difficult
justified. Consequently, high potential motivation task while being primed with sadness or fear
should justify the high effort that is necessary to (Chatelain & Gendolla, 2016; Freydefont & Gendolla,
cope with highly difficult demands, while low po- 2012). Corresponding to the principles of motiva-
tential motivation should not, resulting in earlier tional intensity theory, high monetary incentive
disengagement on lower difficulty levels. Moreover, could justify the very high effort that was subjec-
effort intensity should be proportional to potential tively necessary when implicit fear or sadness was
motivation when task difficulty is unspecified or activated during the performance of an objectively
unknown. These ideas were tested in experiments difficult task. But without high incentive, implicit
using various manipulations of potential motivation fear and sadness resulted in low effort, reflecting dis-
ranging from a material incentive to affective and engagement in objectively difficult tasks. Extending
self-esteem-related consequences of success. the research on implicit influences on effort mobili-
zation, Silvestrini (2015) found that high monetary
Material Incentive incentive also increased effort-related CV responses
One line of research investigated the effect of of participants who implicitly processed pain-related
­monetary incentive on effort mobilization when task words during a difficult cognitive task. Zafeiriou
difficulty was fixed. Eubanks, Wright, and Williams and Gendolla (2017) found a corresponding mod-
(2002) let participants work on a computerized erator effect of monetary incentive on implicitly
recognition memory task with difficulty levels rang- processed aging primes. In summary, these studies
ing from very easy to very difficult. They could gain show that high monetary incentive can justify high
either $10 or $100 for success. The results were most subjectively necessary effort. However, if high effort
pronounced for changes in HR, which increased is not necessary, because subjective task demand is
over the whole range of difficulty conditions in the low, even high monetary incentive does not result in
high-incentive condition. In the low-incentive con- increased effort.
dition, HR reactivity first increased with difficulty Research on incentive effects when task difficulty
but dropped on the difficult and very difficult levels. is unknown started with studies by Richter and
This supports the idea that high monetary incentive Gendolla. In their first experiment (Richter &
leads to high effort for difficult tasks by justifying the Gendolla, 2006, Experiment 1) participants worked
necessary high effort. When task difficulty is rather on a memory task and could earn either an attractive
low, incentive has no increasing effect on effort, or an unattractive poster for success. In an unknown
­because low effort is sufficient for succeeding. difficulty condition, participants had to memorize
Recent research tested the effects of monetary appearing letter series but did not know how many
­incentive in a new domain: listening effort. In con- series would appear or how long the task would take.
trast to preceding work that mainly focused on effort In the fixed-difficulty version of this task, this in-
mobilization in tasks that strongly rely on memory or formation was provided—the task was easy. As ex-
visual attention systems, Richter and colleagues exam- pected, SBP reactivity during task performance was
ined task difficulty effects in listening tasks (Pichora- jointly determined by difficulty and incentive.
Fuller et al., 2016; Richter, 2016). Participants in Reactivity was stronger under high- than under
Richter’s (2016) study had to successfully discriminate low-incentive value conditions when difficulty was
tones of different frequencies to earn a monetary unknown, but it was relatively low and constant
reward. Replicating preceding research, PEP reactivity across incentive value levels when difficulty was low
was a function of task difficulty if participants could and known. These effects were conceptually repli-
earn a high reward: Effort mobilization was high if cated for the effects of low versus high monetary
the frequency difference between tones was small, but incentive (Richter & Gendolla, 2006, Experiment 2).
low if the frequency difference was large. However, Another set of studies administered tasks of unknown
if participants were offered only a small reward for difficulty and offered monetary incentive on different
successful task performance, PEP reactivity was low levels. Results revealed that SBP (Richter & Gendolla,
and independent of task difficulty: Participants in 2007) and PEP (Richter & Gendolla, 2009a) line-
the easy condition invested low effort because only arly increased with incentive. This provides replicated

382 Advancing Issues In Motivation In tensit y Research

evidence that effort rises with the value of a material Outcome Expectancy (Instrumentality)
incentive when task difficulty is not specified. Studies by Wright and colleagues operationalized po-
tential motivation in terms of outcome expectancy—
Material Incentive in Depressed the perceived likelihood that success on a task
Individuals will  lead to a desired outcome (Maddux,  1995).
Other research by Brinkmann and colleagues Outcome expectancy also is referred to as the in-
­investigated the impact of incentive in individuals strumentality of behavior. In theory, the importance
suffering from depressive symptoms (see Brinkmann of success should be greater where it is high than
& Franzen, 2015, for a more detailed discussion). where it is low. Thus, outcome expectancy should
As discussed in the section on mood and depressive determine individuals’ upper effort limit—the level
symptoms, if incentive is not manipulated, the of potential motivation. As expected, these studies
­effects of depressive symptoms on effort-related revealed replicated evidence that high instrumental-
CV response resemble those of a negative mood ity of success justifies high effort, leading to strong
(Brinkmann & Gendolla,  2007,  2008). But it is CV response when task difficulty is high, but not
questionable if incentive has the same influences when it is low (e.g., Wright & Gregorich,  1989;
on effort mobilization in depressed/dysphoric in- Wright, Williams, & Dill, 1992).
dividuals as in nondepressed/nondysphoric people. Richter and Gendolla (2009b) tested the idea
The reason is that depressed individuals do not that mood influences effort mobilization not only
­behaviorally respond to monetary reward and pun- through its informational impact on demand ap-
ishment (e.g., Henriques & Davidson, 2000). praisals, as discussed in the section on mood and
Brinkmann, Schüppach, Ancel Joye, and Gendolla depressive symptoms. Rather, when people are
(2009, Study 2) therefore directly tested the hypoth- confronted with a task of unknown difficulty, mood
esis of reduced reward responsiveness in dysphoric should also influence potential motivation—for
individuals in terms of effort mobilization. The study example, by its effect on outcome expectancies.
used a task with unclear difficulty. In the reward Participants’ probability ratings to receive a mone-
condition, participants learned that they could win tary reward were indeed higher in a positive mood
a relatively high monetary reward for correctly solv- than in a negative mood. Correspondingly, SBP
ing arithmetic operations, leading to a final correct reactivity during performance increased from a
or incorrect result. No incentive was mentioned in negative via a neutral to a positive mood condition.
the no-reward condition. In the reward condition, This SBP effect was statistically mediated by par-
PEP, SBP, DBP, and HR strongly increased for non- ticipants’ subjective probability ratings of winning
dysphoric participants, reflecting the typical incen- the monetary reward for successful performance.
tive effect in tasks with unclear difficulty (Richter & Another study by Stewart, Wright, Hui, and
Gendolla,  2006,  2009a). In contrast, dysphorics’ Simmons (2009) investigated combined effects of
reactivity was significantly lower and did not fatigue and outcome expectancy on CV response.
differ from the no-reward condition. Franzen and Participants first performed an easy (fatigue low)
Brinkmann (2014) conceptually replicated these or difficult (fatigue high) version of a mental con-
studies and found significant reward and punish- centration task. Subsequently, they worked on
ment effects on PEP and HR during a memory task mental arithmetic problems and believed they had
in nondysphorics, but not in dysphorics. Another a high versus low chance of winning a prize for
study by Brinkmann and Franzen (2013) focused on ­attaining a moderate performance standard. The
monetary reward and found corresponding results: central prediction was that fatigue would potenti-
Nondysphoric participants’ reactivity of PEP and ate effort-related CV responses during the second
HR increased with the extent of monetary incentive period when the chance of winning was high, but
of success in a short-term memory task of unclear not when it was low. Potentiation was not expected
difficulty. By contrast, dysphorics were not sensitive under low-chance (importance) conditions, because
to the reward and showed a modest cardiac response available benefit under those conditions was not
in general. This reduced reward responsiveness effect expected to be great enough to justify the added
was recently replicated in a clinical study with patients effort requirement ­associated with fatigue. Systolic
suffering from major depression (Franzen, Brinkmann, blood pressure responses assessed during the second
Gendolla, & Sentissi,  2019). In summary, these period were supportive.
studies show that depressives’ reduced responsive- In summary, outcome expectancy studies have
ness to reward is also evident in effort mobilization. yielded effects that are highly compatible with those

Gendoll a, Wright, And Richter 383

of material incentive. In accordance with the prin- 10
nondysphoric
ciples of motivation intensity theory, outcome ex- dysphoric
pectancy moderates the relation between difficulty 8

SBP reactivity (mmHg)

and effort when task difficulty is fixed and predicts
effort directly when task difficulty is unknown. 6

Social Evaluation and Social Incentive 4

Some studies have tested the idea that social evalua-
tion of one’s performance augments the importance 2
of success and thus increases the amount of justified
effort (potential motivation). Consequently, social 0
evaluation should lead to high effort when task dif- no reward social approval
ficulty is fixed and high or unspecified. Supporting
evidence stemms from studies in which participants Figure 21.6  Systolic blood pressure (SBP) reactivity in
dependence on dysphoria (depressive symptoms) and social
were explicitly told that their responses could reward in the study by Brinkmann, Franzen, Rossier, and
versus could not be monitored by the experimenter Gendolla (2014).
(Wright, Dill, Geen, & Anderson,  1998; Wright, (Copyright: Springer, reproduced with permission.)
Tunstall, Williams, Goodwin, & Harmon-Jones,
1995, Study 2). Matching effects were observed for the level of potential motivation and should result
social evaluation by high-, but not low-status ob- in high effort–related CV response when task diffi-
servers (Wright, Killebrew, & Pimpalapure, 2002). culty is fixed and high or unspecified. Results of
Another experiment by Gendolla and Richter studies by Gendolla and Richter (2005, 2006b; see
(2006a) found corresponding effects for implicit also Gendolla,  1999) supported these predictions.
social evaluation manipulated by the mere presence A  more recent study by Wright, Patrick, Thomas,
of a passive observer during task performance. and Barreto (2013) found that high ego involvement
The preceding social evaluation studies challenge can also compensate the effort mobilization deficit
other approaches that have posited that social of fatigued individuals: Manipulated high fatigue
­observation should lead to a general increase in au- combined with ego involvement boosted participants’
tonomic nervous system activity (e.g., Baron, 1986; SBP responses during a scanning task.
Cottrell, 1968; Zajonc, 1965) or a general increase The studies on ego involvement challenge earlier
in effort (Harkins, 2006). Supporting the principles views of Nicholls (1984) and Dweck (1986) who
of motivation intensity theory, social evaluation had formulated reservations against the assumption
­resulted in relatively strong reactivity of one specific that the difficulty law of motivation applies to
autonomic arousal measure—CV reactivity—when ­evaluations of important abilities. Those authors
task difficult was high or not specified. suggested that the difficulty–effort relationship is
Corresponding to the above-discussed reduced only proportional when people do not try to dem-
responsiveness to material reward of persons suffering onstrate valuable abilities—that is, not under ego
from depressive symptoms, Brinkmann, Franzen, involvement. Apparently, this is wrong.
Rossier, and Gendolla (2014) found that dysphorics
were also insensitive to social reward in terms of Self-Evaluation
social approval. While nondysphorics showed Self-awareness theory (Duval & Wicklund,  1972)
stronger SBP, DBP, and HR reactivity during a posits that focusing individuals’ attention to them-
­recognition memory task of unclear difficulty when selves induces a state of self-evaluation: Persons
they expected to be allowed to enter their name into compare their actual behavior with the momentar-
a “best list” if they performed well, dysphorics did ily relevant standards. In the context of achievement
not (see Figure 21.6). behavior, self-focused attention should, thus, justify
relatively high resources, because self-evaluation
Ego Involvement makes success relatively important. Consequently,
Ego involvement refers to an increased sense of suc- effort should be high when self-awareness is com-
cess importance that occurs when people believe bined with fixed high or unspecified task difficulty,
that a valuable ability is being evaluated (Klein & but not when task difficulty is low. Individuals who
Schoenfeld, 1941). Studies by Gendolla and Richter were reminded of themselves by exposure to a picture
tested the idea that ego involvement thus increases of themselves during task performance (Gendolla,

384 Advancing Issues In Motivation In tensit y Research

Richter, & Silvia,  2008; Silvia, McCord, & (a type of deodorant) by performing at a particular
Gendolla,  2010; Silvia, Moore, & Nardello,  2014) level. As expected, SBP responses during the task
or who were dispositionally highly self-focused (Silvia, were stronger under difficult than under easy condi-
Jones, Kelly, & Zibaie,  2011; see also Silvia, Kelly, tions among men, but low under both difficulty
Zibaie, Nardello, & Moore, 2013) mobilized more conditions among women. Findings for DBP and
effort when difficulty was unfixed or fixed and high HR followed in close order.
than did people who were not self-aware. When dif- A study that attempted to conceptually replicate
ficulty was low, self-focus made no significant differ- and extend the work above (Barreto, Wright,
ence (see Silvia, 2015, for a more detailed overview). Krubinski, Molzof, & Hur, 2015) surprisingly found
This effect was extended to implicit self-awareness. that both men and women showed stronger responses
People who were exposed to their briefly flashed name under difficult task conditions. However, careful
during performance showed the same effects as those ­examination of masculine incentive ratings revealed
who were made explicitly self-aware (Silvia, 2012). that the male and female participants had more
comparable incentive appraisals than male and
Personality: Need for Closure female participants in the original study. Men and
In one of the rather rare studies on motivation in- women in this study had sharply different appraisals
tensity theory that assessed the role of personality in of an available feminine incentive and—consistent
effort mobilization, Richter, Baeriswyl, and Roets with expectations—showed the original interactional
(2012) examined the impact of dispositional need pattern in reverse. Here, SBP responses during work
for closure—the aversion toward ambiguity—on were stronger under difficult than under easy condi-
effort-related CV activity. They suggested that suc- tions among women, but low under both difficulty
cess in tasks that represent ambiguous situations conditions among men (see also Frazier, Barreto, &
should be more important for individuals with a Wright, 2008).
high need for closure than for individuals scoring
low in this need. Correspondingly, individuals with Mortality Salience
a high need for closure should be more willing to Terror management theory asserts that humans
invest effort in more difficult tasks than individuals have a unique capacity to comprehend their own
with a low need for closure. Task-induced PEP re- mortality (Greenberg, Pyszczynski, & Solomon,
sponses in a task where participants had to discover 1986). Attention to mortality should engender a
a hidden rule that classified patterns of colored potential for existential terror that can be addressed
shapes corroborated these predictions. Only par- through the construction and embrace of cultural
ticipants with a high dispositional need for closure worldviews that assure a literal or symbolic afterlife.
invested effort in the difficult version of the cate- When people live up to personal worldview stan-
gorization task. Participants with a low dispositional dards, they attain positive self-regard and protection.
need for closure disengaged (see also Szumowska, Schuler, Mlynski, and Wright (2017) drew connec-
Szwed, Kossowska, & Wright, 2017). tions to motivation intensity theory, focusing on the
implication that people should place greater value
Gender-Specific Incentive Effects on approximating personal worldview standards
Some experiments have applied motivation inten- when reminded of their mortality. They presented
sity theory reasoning to better understand gender participants a task relevant to their identity after the
differences in CV response, drawing on the idea participants had been exposed to a prime that made
that men and women might sometimes place dif- mortality more or less salient. For half the partici-
ferent value on available performance incentives. pants, difficulty was fixed at a low level; for the rest,
In circumstances where they do, one would expect difficulty was unfixed. As expected, mortality sali-
the gender with higher value appraisals to have ence increased participants’ SBP responses during
greater willingness to expend effort, with this task performance when difficulty was unfixed, while
greater willingness translating into greater effort reactivity rested low when the task was easy. Effects
when difficulty is high or unspecified. on HR, DBP, and mean arterial pressure described
Findings have been mostly supportive. Consider, corresponding patterns.
for example, an experiment by Barreto, Wong, Estes,
and Wright (2012). Participants worked on an easy Behavioral Restraint
or difficult mental addition task and were told Recent work has investigated motivation intensity
they could win a traditionally masculine incentive theory implications for behavioral restraint

Gendoll a, Wright, And Richter 385

(Wright, 2014; Wright & Agtarap, 2015; Wright & incentive should eliminate the previously discussed
Mlynski, 2018; Wright, Mlynski, & Carbajal, 2018, effort withdrawal of people who face a difficult task
2019). Behavioral restraint involves expending ­oneself in a negative mood (e.g., Gendolla & Krüsken,
to meet a performance challenge – one of resisting a 2001b, 2002a). The studies built on initial evidence
behavioral urge or impulse. Further, one can resist for this hypothesis (Gendolla & Krüsken,  2002c)
(restrain) in different measures. In light of these and followed the same logic as the above-discussed
considerations, it is reasonable to suppose that three studies on the joint effect of affective influences and
factors should play roles in determining restraint material incentive on effort mobilization.
­intensity and associated CV responses. One is the Silvestrini and Gendolla (2009a) induced
magnitude of the urge being resisted, which should set ­participants in a positive versus negative mood and
the difficulty of the behavioral restraint challenge. let them work on a memory task that was either easy
Another factor is the value or importance placed on or difficult. Before performance, participants were
restraint success, which should determine how hard informed about the hedonic consequences of
people are willing to resist. The third factor is the ­success. They expected the presentation of either a
level of restraint ability, including ability determined comedy video (positive incentive) or a distressing
by the level of fatigue. Ability should determine video (negative incentive) after success. Systolic
­difficulty appraisals at different urge levels. The re- blood pressure reactivity during task performance
sulting model of restraint intensity can be visualized described the predicted pattern: When success in-
by viewing Figure 21.3 and relabeling the difficulty centive was negative, and thus did not justify high
axis as “Urge magnitude” and the effort axis as effort, SBP reactivity conformed to the crossover
“Restraint intensity.” ­interaction pattern anticipated and shown for the
The best evidence for the application comes joint effect of mood and objective task difficulty on
from an experiment that tested the implication that experienced demand and corresponding effort
restraint success importance should combine with ­intensity. But when success incentive was positive,
urge magnitude to determine restraint intensity SBP reactivity of participants who worked on the
(Agtarap, Wright, Mlynski, Hammad, & Blackledge, difficult task in a negative mood increased signifi-
2016). If importance is high enough to justify the cantly. Another study manipulated the hedonic
effort required for restraint, restraint intensity should aspects of task performance itself and brought
­
correspond to urge magnitude. If importance is not ­compatible results (Silvestrini & Gendolla, 2009b):
high enough to do so, restraint intensity should be A pleasant version of a sentence completion task
low. The experimental challenge was to inhibit re- justified higher effort than an unpleasant version.
sponses to a video that was more or less emotionally Finally, Silvestrini and Gendolla (2012a) found
evocative. Participants were presented a mildly or matching effects on PEP reactivity. Taken together,
strongly evocative violent film clip and asked to these results highlight the hedonic aspects of achieve-
­refrain from showing any facial response, operating ment motivation. Accordingly, it is not success per
under conditions designed to make success more se that justifies the mobilization of high effort—
or less important. As expected, SBP responses were success did not justify high resources when it led to
proportional to the evocativeness of the film clip unpleasant consequences. Rather, success must be
(i.e., urge magnitude) when importance was high, bound up with positive hedonic aspects to justify
but low regardless of clip evocativeness when im- high effort.
portance was low. In summary, numerous studies with multiple
manipulations of potential motivation brought
Hedonic Incentive: Effort for Affect replicated evidence that variables that influence the
Regulation importance of success can justify the mobilization
Several studies by Gendolla and colleagues have of high effort when task difficulty is unspecified or
­investigated the combined effects of mood, task fixed and high. However, suffering from depressive
­difficulty, and the hedonic incentive of success on symptoms is a boundary condition of this effect.
effort-related CV response. This research tested the
mood–behavior model (Gendolla, 2000) idea that Conclusions
actions that are instrumental for mood regulation This chapter has highlighted the question of what
(maintaining a positive mood, repairing a negative determines effort intensity in instrumental behavior.
mood) justify relatively high resources. One conse- The analysis was guided by the predictions of
quence of this suggestion is that positive hedonic ­motivation intensity theory (Brehm et  al., 1983;

386 Advancing Issues In Motivation In tensit y Research

Brehm & Self, 1989; see also Brehm, 1975), which handbook, we have focused on more recent research
states in brief that effort intensity corresponds to that was inspired by this theory. These new research
subjective difficulty as long as success is seen as pos- lines focused on the roles of implicit processes, needs,
sible and justified and that success importance (i.e., and individual differences in effort mobilization—
potential motivation) only influences effort directly psychological variables we had considered to be
when task difficulty is unspecified. We have dis- studied in future research, when the first edition of
cussed empirical evidence from studies that have this handbook appeared. However, although this
­operationalized effort intensity as CV response in ­research has revealed additional solid evidence for
the context of task performance. Many studies have factors that systematically influence the mobiliza-
investigated several psychological variables that tion of resources for instrumental behavior, the
have a systematic impact on subjective difficulty and process of effort mobilization is certainly not yet
­potential motivation. Those studies have brought fully understood.
highly concordant evidence for motivation intensity
theory’s predictions. In addition to supporting this Acknowledgments
theory’s principles, this evidence challenges several The research reported in this chapter was facilitated by
­research  grants from the Deutsche Forschungsgemeinschaft
other ideas about the determination of effort intensity.
(Ge 987/1-1, Ge 987/3-1, Ge 987/7-1) and the Swiss National
Some of these challenges were already mentioned Science Foundation (100011-108144, 100014-140251, 100014-
in the context of the presentation of our empirical 131760, 100014-122604, 100014-162399) awarded to Guido
work. In addition, our findings also limit approaches Gendolla, from the National Science Foundation (BCS-
suggesting that reward directly determines effort 0450941) awarded to Rex Wright, and from the Swiss National
mobilization (e.g., Eisenberger, 1992; Fowles, 1983). Science Foundation (100014-118220) awarded to Michael
Richter.
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392 Advancing Issues In Motivation In tensit y Research

 CH A PT ER
Autonomous Motivation, Internalization,
22 and the Self
A Functional Approach of Interacting Neuropsychological Systems

Markus Quirin, Mattie Tops, and Julius Kuhl

Abstract

In humanistic psychology, autonomy, internalization, and the self constitute fundamental concepts
to explain adaptive behavior and well-being. However, the momentary mental processes, their
interactions, and individual differences that constitute a causal fundament for these concepts are yet
underexplored. The authors will analyze these processes against the backdrop of a functional approach,
Personality Systems Interactions Theory, which conceives the self as one out of several neurocognitive
systems and highlights its role for autonomous motivation and self-regulation. We attempt to provide
answers to questions such as the following: Which momentary mental processes and underlying
neurocognitive systems (e.g., large-scale brain networks) facilitate the establishment of stages of
internalization? Can the self become inhibited in a way that even highly internalized goals and values
may not manifest in behavior? Which role does the self play in emotion regulation and decision-making,
and how do these processes in turn facilitate autonomous behavior? The authors believe that the
present functional analysis advances a conciliation between a phenomenologically-oriented, humanities
view and a process-oriented natural science view on human motivation.
Keywords  self-determination theory, personality systems interactions theory, predictive and reactive
control systems theory, functional approach, autonomous motivation, intrinsic motivation, self-
regulation, emotion regulation, action orientation, decision-making, cognitive dissonance reduction,
affective consonance production, self-access, self-actualization, self-infiltration, volition

Autonomous motivation, internalization, and the self worldviews might meet. Specifically, we use person-
each refer to high-level concepts in psychological ality systems interactions (PSI) theory (Kuhl, 2000a,
functioning, which are so complex that researchers 2000b, 2001; Quirin & Kuhl, 2009b) to explain a
with backgrounds in the natural sciences may number of processes relevant to motivation and
wonder whether they can properly be defined, personality, such as autonomous motivation and in-
measured, or investigated at all, much less neurosci- ternalization, which are two conceptual pillars of
entifically. On the other hand, systems-dynamical self-determination theory (SDT; Deci & Ryan, 2000;
terms like neuropsychological systems or excitatory Ryan & Deci, 2017). SDT and PSI theory may be
versus inhibitory connections sound so mechanistic called theoretical “siblings” (Ryan, 2018, p. 37) as
or biologistic that researchers with phenomeno- they both constitute organismic theories that high-
logical and humanities backgrounds may wonder light the relevance of autonomy for individuals’
whether they do justice to the complex individuality adaptive self-regulation and self-growth.
of a person. We begin by defining some essentials of SDT
In this chapter, we apply a functional systems and PSI theory. Next, we describe four neurocogni-
approach to demonstrate how the two scientific tive systems postulated by PSI theory, how they can

393
be differentially activated by diverse social contexts values remain a­ mbivalent and do not belong to a
and affordances and how they may relate to stages of core sense of the individuals’ self, that is, to already
internalization and associated phenomena. Thereafter, integrated self-aspects. On the next level labeled
we examine how self-access, conceived of as the acti- identification, individuals identify with the goal in a
vation of the self as one of the neurocognitive systems, way that feels compatible with the self and is thus
facilitates self-regulation processes relevant to effective evaluated more positively (true preference). On the
goal pursuit and well-being. We focus on three such highest level of internalization, called integration,
self-regulation processes, namely self-determined the goal or value becomes more strongly and broadly
decision-making (self-decision), self-determined emo- connected with self-aspects and thus a core and rel-
tion regulation (self-relaxation), and self-determined atively stable feature of the self that individuals
motivation (self-motivation). One major assumption cannot easily deidentify with unless they extensively
is that self-access, along with these three processes, change their self-schema on the basis of accommo-
can chronically or momentarily be blocked (e.g., by dative processes.
negative affect or stress) in such a way that even Self-determination theory holds that the higher
highly internalized goals and values may not mani- the level of internalization, the stronger the self-
fest in behavior. regulated motivation, that is, the motivation that is
Next, we use predictive and reactive control sys- independent of external rewards and punishments.
tems (PARCS) theory (e.g., Tops, Boksem, Luu, & Moreover, a high level of internalization corre-
Tucker, 2010; Tops, Boksem, Quirin, IJzerman, & sponds with well-being and mental health (Chirkov,
Koole, 2014; Tops, Quirin, Boksem, & Koole, 2017), Ryan, Kim, & Kaplan, 2003; Ryan & Deci, 2000,
a neurobehavioral self-regulation theory largely 2017; Sheldon, Williams, & Joiner, 2003), as well as
compatible with PSI theory, to analyze several im- ethical behavior (Arvanitis, 2017; Krapp, 2013). The
portant neural mechanisms of self-determination. degree of internalization is considered to depend on
Finally, we conclude by summarizing our main ar- the degree to which others are esteemed as autonomy
guments, reflecting the present functional systems supporting, empathetically related, and competent
approach, and highlighting its potential for bridg- and thus function as a positively esteemed model
ing the gap between different areas of psychology, (Deci & Ryan, 2000).
as  well between a humanities and a natural (and
neuro-) sciences view on motivation. Personality Systems Interactions Theory
How might the processes that define self-­
Self-Determination Theory determination be conceptualized within a cognitive
Self-determination theory constitutes perhaps the (neuro-)science approach that analyzes the human
most prominent, cross-interdisciplinary, and out- psyche on the basis of interacting neuropsychological
lasting theory of human motivation. It was devel- systems? To answer this question, we use the frame-
oped to answer the question of when and how much work of PSI theory, a functional systems approach
individuals are motivated to pursue their goals. that provides a microanalysis of self-regulation pro-
Specifically, an aspect of SDT capitalizes on psy- cesses and their interactions (Kuhl, 2000a, 2000b,
choanalytical ideas (e.g., Schafer, 1968), and SDT 2001). Personality systems interaction theory has
hypothesizes the existence of a continuum of the the potential to link SDT-relevant processes with a
degree to which goals or values are internalized into number of cognitive–affective processes that have
the self. At the lowest end of this continuum, goals been described in other theories and that are rele-
and values are not internalized at all and individuals vant to maintain action control. Personality systems
may show complete amotivation, or their behavior interaction theory is an attempt to integrate a
is oriented toward external rewards (e.g., completing number of self-regulation and motivation models
an academic study program to receive social or within a cognitive science framework. Its basic as-
monetary approval or not to be punished by addi- sumption holds that a number of (neuro-)cognitive
tional study fees). On a next level called introjection, systems interact among each other and with affec-
goals and values are ­internalized up to a degree to tive processes in a specific way to produce human
which individuals d ­ evelop feelings of pleasure or experience and to enable efficient and self-congruent
punishment (fear) themselves, that is, even in the goal pursuit and behavior. Research related to PSI
absence of significant and evaluating others. This level theory is based on both correlational and experi-
refers to the notion of the superego (Freud, 1962) mental research on cognitive and affective states and
or the ought self (Higgins, 1987), where goals and related individual differences.

394 Autonomous Motivation, Internaliz ation, And The Self

 Personality systems interaction theory distin- and internalization processes, we will describe aspects
guishes between four cognitive macro systems and functionality of this system in more detail after
that play important roles in self-regulation (see we have provided a brief outline of the functionality
Figure 22.1). The (integrative) self is considered of the other cognitive macro systems: the discrepancy
necessary for mindful, self-congruent goal selection, system (object recognition), intention memory, and
whereas intention memory is necessary for keeping the action system (intuitive behavior control).
goal-directed actions in mind until they can be
enacted. Intention memory is supported by ana-
lytical thinking, especially when this cognitive re- The Integrative Self
source is utilized for planning. The action system The integrative self (or briefly the self ) is considered
(intuitive behavior control) is responsible for im- an extended parallel-processing network of inte-
plementing intended behavior, whereas the discrep- grated personal experiences, goals, values, and pref-
ancy system (or object recognition system) focuses erences (e.g., Kuhl, 2000a; Kuhl, Koole, & Quirin,
on single details and detects deviations from ex- 2015; Quirin & Kuhl, 2018). Integrated means that
pectancies (e.g., discrepancies between goals set these self-relevant mental representations of initially
and outcome obtained or between intended and novel experiences have become interconnected
completed actions, or any obstacles and salient strongly with each other. However, the self is not
events occurring during goal pursuit, threats and conceived of as a merely passive “storage” of self-
errors in particular). The four cognitive systems representations because it conveys a number of
and corresponding mental modes are also considered functional features that characterize and act on ex-
predominantly active during the four action phases perience and behavior of the individual. For example,
of goal selection, intention formation, intention the activation of i­ntegrated self-representations (e.g.,
enactment, and action evaluation as proposed in integrated goals and values) can feed into action
the Rubicon model of action phases, respectively processes as motivating sources or enable novel ex-
(Heckhausen & Gollwitzer,  1987; see also Kuhl, perience to become internalized. Consequently, the
1983, 2000b). integrative self can also be considered an active, op-
Because individuals differ in their habitual pref- erating system. This conceptualization overcomes a
erence for and use of each of these systems, they may traditional distinction between a passive Me-Self and
have difficulties switching between self-­regulatory an active I-Self (James, 1890).
mental modes and corresponding systems. However, Consequently, the self is not considered here a
there is much evidence suggesting that emotion reg- mere synonym for the person as an entity or a mere
ulation abilities help to overcome such difficulties “illusion” emerging from the complex interactions
(Baumann, Kaschel, & Kuhl, 2007; Kuhl, 2000a). of cognitive and affective processes (e.g., Zahavi,
Specifically, some individuals have difficulties switch- 2005). Rather, PSI theory qualifies this system as
ing (back) from an evaluative focus on discrepancies one among four cognitive systems and describes the
and concomitant (task-irrelevant) rumination to way it can exert influence on the other systems and
circumspect attention provided by the integrative vice versa, to finally enable self-determined action,
self. These individuals are considered to have impair- and thus adds a functional neuropsychological
ments in downregulating negative affect and can be conceptualization to humanistic approaches toward
identified by their low scores on the threat-related the self, including SDT.
action orientation scale (Kuhl & Beckmann, 1994a). The present conceptualization of the self as a
A second form of (low) action orientation relates to ­parallel-processing network also contrasts with the
difficulties switching from an intention-related mode notion of the self as a sum of conscious, categorical
(i.e., from intention memory) to an action-oriented self-concepts (e.g., Wylie, 1974). Rather, the repre-
mode (Goschke & Kuhl, 1993). These individuals sentations stored in the integrative or “coherent” self
are considered to have impairments in upregulating may remain implicit, that is, they may not n ­ ecessarily
positive affect and can be identified by their low be represented by the individual in a conceptual, ver-
scores on the decision-related action orientation balized form (hence also called the implicit self; see
scale (Koole & Jostmann, 2004). also Devos & Banaji,  2003). Nonetheless, parts of
In the next sections, we provide a brief outline of the self can be extracted and transferred to explicit
the four cognitive macro systems proposed by PSI cognitive systems (i.e., intention memory and con-
theory, starting with the integrative self. Because of its scious thought; see section Intention Memory). The
major importance to explain autonomous motivation degree to which this process yields valid explications

Quirin, Tops, And Kuhl 395

 Contagion Regard
Internalisation

Integration

Action System Integrated Self

Self-Motivation holistic, preferences & values
Identification

sensorimotor, habits
left dorsal predictive system right dorsal predictive system
Self-Decision (incl. VMPFC)
Self-Relaxation
Regression

Vol.
PA NA
Inhib. Volitional Facilitation Self-Inhibition

Intention Memory Discrepancy System

analytical, conceptual thpught focussed, details
left ventral reactive system right ventral reactive system

Introjection External Regulation

Demand Threat

Figure 22.1  Full arrows refer to an excitatory influence and dotted arrows refer to an inhibitory influence. PA = positive affect;
NA = negative affect; VMPFC, ventromedial prefrontal cortex.
The integrative self provides a holistic overview of goal alternatives and personal preferences. When the integrative self is activated
(self-access), mindful, circumspect decisions can be made (self-decision) that generate an intention that must be kept in intention
memory, the activation of which prevents impulsive enactment of the intention (volitional inhibition). The generation of reward-
related positive affect is considered to resolve volitional inhibition again (volitional facilitation). Self-(determined) motivation, as
released through self-access (including even remote, self-congruent associations about the value/utility of the activity or its
consequences), constitutes an effective and sustainable determinant of positive affect generation. When there are no obstacles
(including the case that action routines are prespecified already), self-goals can immediately be enacted, which is represented by the
efferent pathway from the integrative self to the action system (automatic self-expression). Deviations from predicted goal-directed and
other expectations, that is, novelties, emergencies, and threats, activate the discrepancy system and concomitant negative affect
(provided that deviations exceed an individual’s set point of arousal), which bring the individual from a predictive into a reactive
mode where he or she focuses on the difficulties (thereby initially losing a mindful overview: self-inhibition) and to eventually modify
action plans and intentions by deliberate reflection (arrow from discrepancy system to intention memory). By contrast, intact self-
access facilitates finding potential solutions based on a mindful overview of integrated, prior experiences that puts potential threats
and mistakes in perspective and reduces negative affect (self-relaxation). The long arrow winding around the four cognitive macro
systems represents the continuum of internalization, as postulated by self-determination theory, and indicates which system
prototypically, albeit not exclusively, supports which of the internalization stages. Specifically, discrepancy system, intention memory,
action system, and integrative self (along with their typical concomitant affective states) are considered to support external regulation,
introjection, identification, and integration, respectively. Not least, these systems also show a differential predominance in their
responsivity to social–communicational affordances such as threat, demand, modeling (contagion, imitation, synchronization, etc.),
and regard (autonomy support, understanding, and eventually competence), respectively. See text for detailed information.

of the corresponding implicit parts of the self defines This continuous extension and connecting of auto-
the level of self-congruence of a person. biographical experiences (see extension memory, Kuhl,
The definition of the self as an integrated net- 2000a) provides a major neurocognitive basis of
work of strongly interconnected self-representations self-growth.
inherently implies that this system constitutes a The continuous process of integrating new expe-
major basis of integration at the highest level of in- riences, goals, and values within the existing self-
ternalization reachable. Still, the self can vary with structure, that is, to extensively interconnect them
respect to its degree of integration depending on with a large number of self-aspects, takes time. If
how many important experiences and self-aspects this interconnection is realized to some degree but
have yet been integrated over the life span rather low or instable, we can speak of identified rather
than neglected or repressed (see also Linville, 1987). than integrated goals. As such, the self constitutes a

396 Autonomous Motivation, Internaliz ation, And The Self

functional basis not only of integration but also of The discrepancy system reacts to relatively unexpected
identification. Compared to firmly integrated goals (i.e., schema-discrepant) rewards and punishments,
(i.e., those that show strong connectivity with exist- such as material rewards, physical pain, or positive
ing self-aspects), unstable elements can become dis- versus negative social evaluation (albeit with an
solved more readily (e.g., by forgetting or switching evolutionarily driven bias toward negative stimuli).
to more attractive goals and identifications) and the With respect to its responsiveness to social commu-
latter increase the risk of regressing to even previous nication, the discrepancy system can thus be consid-
stages of internalization, such as introjection (see ered to strongly respond to social threat (Figure 22.1)
Figure 22.1). Note that we regard low to moderate and, albeit not exclusively (see later), to be strongly
goal connectivity with existing self-aspects as one involved in external regulation, a case of bottom-up
type of identification only. In the following para- motivated behavior that is not guided by internalized
graphs, we describe other types of identification goals or norms.
supported by other cognitive systems. Note that quick detection of schema deviances
The four macro systems show differential re- and dangers requires comparison of perceptions
sponsiveness for different types of social commu- with existing schemata or “categories.” As such, the
nication input, which render the predominance of discrepancy system capitalizes on a memory for
one out of  the four internalization stages most ­categories, including self-defining categories or self-
likely (see Figure  22.1). For example, the self is concepts. Accordingly, in addition to its involvement
considered ­particularly responsive when an inter- in external regulation, the discrepancy system is
action partner behaves in a way that facilitates the also involved in identification. Self-defining cate-
satisfaction of needs for relatedness, autonomy, gories can be used to defend one’s self-concept and
and competence (Deci & Ryan,  2000). In other ­concomitant self-esteem (e.g., obsessive–compulsive
words, these behaviors increase the likelihood that clinging to fashion rules of a subculture or peer
the self becomes activated such that goals and values group or intolerance against out-groups, especially
can efficiently be identified or even integrated, which when they are so similar in cultural aspects that
is considered one important factor for effective they might intrude into [the categories of ] one’s
therapy and counseling. own culture). According to this view, defensive
identification with  culturally shared categories is
The Discrepancy System spurred by the motivation to alleviate negative affect
The discrepancy system (or object-recognition system) (e.g., insecurity). Because the discrepancy system
becomes active as a response to unexpected events. can be activated by negative affect (see Figure 22.1),
As a consequence, it reacts with a narrowing of discrepancy-driven identification is often accompa-
­attention to salient stimuli such as novelties and nied by negative affect and thus must be distin-
dangers. This narrowing of attention results in ex- guished from identification as supported by the
tracting some discrepant detail from the total context. integrative self described previously with its bias
This process may be described as a combination of toward positive affect (Koole & Kuhl, 2003; Kuhl,
an orienting response toward an object and concom- 2000a). As the discrepancy system amplifies schema
itant tunnel vision. Discrepancy detection is typically deviations, discrepancy-driven identification fosters
intensified by negative affective states, especially delimitation from others and, as a potential cul-
emotional pain and fear (Bradley, 2009; Schomberg, tural consequence, social or racial exclusion.
Schöne, Gruber, & Quirin, 2016). Depending on the
context, activation of the discrepancy system, along Intention Memory
with its effects on internalization and motivation, Intention memory keeps representations of prospec-
has an adaptive evolutionary function, as do all other tive actions in mind until encountering a situation
systems. Specifically, a focus on discrepancies can be that is suitable to enact the intention. Intention
helpful in environments that are unpredictable or memory is considered to have a genuine inhibitory
dangerous, also with respect to self-esteem threats influence on the action system and thus to prevent
(cf. Kuhl, 2000a; Tops et al., 2014). premature, impulsive reactions (“think before acting”;
We suggested that the self with its highly inter- see Kazén & Kuhl, 2005; Kuhl & Kazén, 1999, for
connected self-aspects (cf. Figure 22.1) constitutes a experimental evidence). This system closely collabo-
major basis of integration at the highest level of in- rates with analytical thinking, which elaborates
ternalization. So, how does the discrepancy system ­sequential action plans by logical and conscious
relate to internalization and autonomous motivation? ­reflection on the basis of semantic concepts and

Quirin, Tops, And Kuhl 397

propositions and finally feeds them into intention mand-related goals might persist in intention memory
memory. Although the analytical thinking has pre- as abstract and largely nonemotional concepts.
sumably developed to serve this evolutionary auxiliary The function of intention memory in self-­
function, it has evolved to become a “freelancer” as regulation is inherently linked to extrinsic motivation
humans (scientists in particular?) may philosophize (i.e., when the pleasurable aspects of an activity refer
and solve problems as an end in itself rather than to expected positive outcomes rather than to per-
use the system for planning a concrete action. forming the activity as such). Specifically, from an
For the ease of communication, in the following evolutionary perspective intention memory becomes
we will merge the two terms intention memory active when needs cannot immediately be satisfied
and thinking system into intention memory, or the because the individual encounters obstacles that
ego to contrast with the self (Kuhl, 2015). Specifically, must be coped with using more effort (e.g., when
whereas the ego conveys explicit (conscious) and substeps of an action script are not yet specified and
logical-sequential processing of information and the individual must elaborate a plan, when the time
supports context-independent pursuit and persev- is inappropriate for acting, or when the preferred
eration of goals (cf. “mindless” ego fixation; Koole goal target is currently not available, e.g., delay of
et al., 2014), the self conveys implicit (unconscious) gratification). In this sense, the ego constitutes a
and parallel-holistic processing of information and coping system that supports the initiation of actions
facilitates context-related, flexible application and needed as a means to reach an end goal (cf. Sigmund
switching of goals. Freud: “thought is action in rehearsal”). To the
So, which internalization process may predomi- extent that instrumental action toward the goals is
nantly be supported by intention memory (ego)? not rewarding by itself, it draws, by definition, on
Because intention memory is considered a system extrinsic rather than intrinsic motivation.
that produces abstract, propositional, and context- Our suggestion of a close link between intention
independent rules, it is a prime candidate for intro- memory activation and introjection refers to the
jected goals that guide a person’s behavior (ought self ; case where intentions are barely supported by the
Higgins,  1987; or false self ; Winnicott,  1965). self, that is, when intention memory’s influence on
According to PSI theory, a chronic overactivation of behavior is predominant. This can be the case when
intention memory inhibits the self and action-­related individuals take over external demands without
processes, and propositional behavioral schemata checking for self-compatibility (Kazén, Baumann, &
can become isolated from motivationally positive Kuhl, 2005). However, if the intention is supported
influences from the self and the action system. In by the self, that is, if the goal is connected with
this  case, the primary motivation derives from ­existing self-aspects, it is not identification but
self-­disciplined and habitual (or even obsessive–­ identification or even integration. Identification
compulsive) obedience toward internalized rules (con- and integration as higher levels of internalization are
straints; see Tops, Montero-Marín, & Quirin, 2016) ­facilitated when the other person arouses positive
that might eventually result in ego depletion (Ryan emotions that enable activation of the individual’s
& Deci,  2008). Accordingly, intention memory is self, especially when the other person is perceived as
­particularly responsive to demands (“you shall do”) autonomy supporting, competent, and/or related
as a specific form of social–communicational affor- (cf. Deci & Ryan, 2000).
dance (see Figure 22.1).
However, the ego does not only support intro- The Action System
jection. Rather, as a speech-comprehending system, The action system (or intuitive behavior system) is an
it also opens a way for external regulation. intuitive system that is capable of implementing in-
Specifically, as goals and expectations are offered or tended behavior. However, this capacity is based on
assigned by other individuals, they are typically a seemingly paradoxical antagonistic relationship
transferred via the auditory channel (cf. verbal pa- with intention memory. Specifically, as mentioned
rental demands and commands in childhood such before, activation of intention memory inhibits the
as “brush your teeth!”) and subsequently encoded action system. This antagonism is to prevent pre-
by the verbally and analytically processing ego. If mature, impulsive action. Instead, it opens a time
these demands do not concurrently activate the self window for reflection, planning, and delay of grat-
and concomitant positive emotions as instigated by ification. The release of the inhibitory impact of
associations with existing self-aspects and values or intention memory to enact one’s intentions can
­
sympathetic aspects of the demanding person, de- be facilitated by an upregulation of positive affect

398 Autonomous Motivation, Internaliz ation, And The Self

(see Figure  22.1; Kazén & Kuhl,  2005; Kuhl & e­ stablished once the individual has made a decision
Kazén, 1999). The neurobiological basis of this an- for a goal alternative (see also “Rubicon model”:
tagonism may be seen in the negative correlation Heckhausen & Gollwitzer, 1987; Kuhl, 1983) and
between the activation of the nucleus accumbens goes with affectively positive, goal-related, and
(which is part of the dopaminergic reward system) ­efficacy-related thoughts (Gollwitzer, 1990).
and a network located in the left dorsolateral pre- In an action-oriented state, alternative goals are
frontal cortex, which is activated when participants volitionally shielded from the pursued goal (Kuhl,
focus on a goal or an intention that is not immediately 1986, Kuhl & Beckmann, 1994a; Shah, Friedman,
rewarding (Herrmann, Baur, Brandstätter, Hänggi, & & Kruglanski, 2002), which means that the focus of
Jäncke, 2014). attention is narrowed to information that facilitates
The action system is not a mere motor system; it attainment of the set goal. As a consequence, the
merges motor with sensory information on the basis individual dismisses goal alternatives and shows
of a parallel-processing architecture (Kuhl, 2000a), ­increased motivation to attain the goal (Heckhausen
particularly sensory information from peripheral & Gollwitzer,  1987; Kuhl,  1983; Quirin & Kuhl,
rather than focused attention. This merge enables 2009a). Individuals scoring low on decision-related
quick and automatic responses and motion in space. action orientation lean toward prolonged decision-
With respect to the social world, the sensorimotor making, hesitation, and procrastination (Blunt &
nature of the action system supports the imitation Pychyl, 1998; Kaschel, Kazén & Kuhl, 2017; Kazén,
of perceived modeling behavior, facial synchroniza- Kaschel & Kuhl, 2008) and show impairments in
tion, and sensitivity to affective as well as behavioral volitional shielding (Kuhl, 1983) unless they are ex-
contagion (Figure 22.1). posed to external control (Baumann & Kuhl, 2005).
Because of this system’s high responsiveness to On a neurobiological level the antagonism between
social influences, its activation also predestines for intention memory and the reward system is amplified
ready identification with goals from sympathetic in state-oriented individuals (Herrmann et al., 2014).
others who provide an interaction the individual ex- How do action-oriented individuals manage to
periences as fluent, which we refer to as actional (as overcome the antagonism between intention memory
opposed to emotional or cognitive) empathy. To the and action control? As switching from intention
degree that extraverted individuals are especially memory to the action system is facilitated by positive
prone to initiate the action system (Kuhl,  2001; affect (see Figure 22.1), it may thus be assumed that
Rammsayer & Stahl, 2004), this form of identifica- the ability to upregulate positive affect fosters the
tion (suggestibility) should be particularly character- establishment of self-regulatory processes support-
istic for them. As a consequence, identification may ing goal pursuit. This ability lies at the core of
predominantly be based on idealization of the other the  concept of decision-related action orientation
person and thus remains “superficial” unless the (Beckmann & Kuhl, 1984; Kuhl, 2000a; Koole &
goals and values at hand become connected with the Jostmann, 2004). Vice versa, a strong preponderance
self. By contrast, individuals with a somewhat lower of intention memory activity including rational–­
dominance of the action system (introverted, ra- analytical thinking in individuals with low levels of
tional individuals), and with accordingly lower decision-related action orientation at the same time
social responsiveness, would be expected to identify inhibits self-access and a concomitant broad, cir-
less readily with common goals and values but in- cumspect overview of self-aspects and preferences.
stead to try making social norms and conventions Deficiencies in self-access and concomitant lack of
accessible to themselves via logical reflection (inten- checking whether a goal is compatible with the self
tion memory). (Kazén, Baumann, & Kuhl, 2005) might cause in-
dividuals with low levels of decision-related action
Action-Oriented Mode: Moving Intentions orientation to delay decisions and to abstain from
to Behavior full identification with a goal (Kuhl & Beckmann,
Implementing an intention by activating the action 1994b).
system unleashes a number of interrelated psycho-
logical functions that support effective enactment. Self-Positivity Bias and Self-Integration:
On a subjective level, this is accompanied by the Features of the Self Enabling Self-Growth
adoption of a corresponding mental mode of felt As the integrative self plays a central role for self-­
self-efficacy. With respect to motivation and self- determination and internalization, and as it provides
regulation, an action-oriented mode is typically a broad overview of experiences, it is predestined to

Quirin, Tops, And Kuhl 399

wisely orchestrate much of the interplay of the to the growth of the self as an intrapsychic system.
systems to produce adaptive behavior. One particular By contrast, the term personality development is more
and important feature of the integrative self refers to general and includes the development and adequate
a positive evaluation bias of its self-aspects including modulation of and switching between all cognitive–
life goals and values, which is finally considered to emotional systems.
constitute a basis of implicit positive self-esteem In line with attachment theory and the notion of
(Quirin, Fröhlich, & Kuhl, 2017). This bias toward implicit positive self-esteem deriving from early ex-
self-positivity is likely to have its foundation in early periences, van Randenborgh, Pawelzik, Quirin, and
childhood, where internal working models of the Kuhl (2016) found that individuals with an early
self become created through the internalization of onset of depression (early structural disorders) showed
representational schemata of positive, sensitive, and lower levels of implicit self-esteem than those with a
esteeming interactions with one’s parents (Bowlby, late onset (see also Koole & DeHart, 2007). At the
1969; Bretherton & Munholland,  1999; Schore, same time, however, these two groups did not differ
2001). In a recent study, an attempt was made to in their levels of self-reported explicit self-esteem.
operationalize this deep form of self-positivity or How can this dissociation be explained, and why do
basic trust (Erikson, 1950) on the basis of a nonlinear individuals not feel this implicit positivity on a con-
component of autocorrelations of implicit positive scious level? The following paragraph elaborates on
affect computed from mood diaries: As expected, a dynamic factor, self-access, that complements the
this parameter predicted self-integrative coping structural factor of self-growth to explain motiva-
with painful life events, which in turn mediated the tion and behavior in a more differentiated way.
prevention of psychosomatic symptoms (Kuhl,
Mitina, & Koole, 2017). From a theoretical point of Self-Access: Exerting Influence on
view, although parents are responsible for buffering Behavior by Activating the Self
the child’s stress responses in early (e.g., “oral”) phases The present systems approach allows for the possibil-
of life by sensitively reacting to their needs, the child ity that the self as a system, as any other intrapsychic
learns to integrate his or her external regulation of system, can be in a state of relative activation or de-
needs and emotions into a growing self-system. activation. As such, the positive influence of the self
These early interactional self-representations form on experience and behavior (i.e., self-competences)
a  structure that may also be called core self (see can be unfolded only if the self is in an active state
Figure 22.1). (also cf. “working self ”; Markus & Wurf, 1987), that
This deep layer of core self (see also Judge & is, when individuals have “self-access” (Baumann,
Bono,  2001) is extended by self-representations Kazén, & Quirin, 2018b; Kuhl et al., 2015; Quirin &
such as goals, values, and preferences that are inter- Kuhl, 2018). This assumption, apparently trivial at
nalized across the entire life span. The stronger the first sight, once more alludes to the conceptualization
neural connections (and thus the compatibility) of the self as an intrapsychic personality subsystem
with existing self-aspects (or “with the integrative rather than a concept of the person as a whole or a
self ”), the stronger these new aspects will actually be synonym for personality (see also Davidson, Putnam,
internalized, that is, integrated compared to merely & Larson, 2000).
identified or introjected (Deci & Ryan, 2000; As a consequence, PSI theory suggests the possi-
Kuhl et al.,  2015; see Figure  22.1). Consequently, bility that even if individuals have accomplished a
self-­integration as the basis of a stable and mature high level of self-integration in terms of an advanced
self constitutes a major, structural prerequisite of self- internalization of goals or values as a structural aspect,
determined motivation. they need an additional dynamic factor, self-access,
Impairments in the development of the self may as a necessary condition to exert self-determined
lead to exaggerated developments of other systems ­behavior (Markus & Wurf, 1987, for a dynamic view
such as the ego in terms of overly, unbalanced on the self ). A sudden inhibition of self-access (self-
rational, analytical thought, which constitutes
­ inhibition; see Figure  22.1) may thus explain why
­another (i.e., rational, rule-based) way to obtain a individuals, although generally operating on a high
sense of control and predictability. As such, we do level of self-integration, may regress to stages of os-
not use the term self-development as a synonym for tensible nonintegrity, for example, to external regula-
personality development; rather, we use it for a tion as in the Stanford prison experiment (e.g., Haney,
­specific form of personality development that refers Banks, & Zimbardo, 1973), a phenomenon that has

400 Autonomous Motivation, Internaliz ation, And The Self

also been discussed in the context of stages of moral multiple alternatives and their criteria can barely be
development (Kohlberg, 1976) or freedom of will accomplished by analytical, conscious thought be-
(Kuhl & Quirin, 2011). cause this type of processing allows only for a very
Activation of the self, or self-access, is accompa- restricted amount of information to be focused
nied by the unleashing of several functional processes within a given time window. Therefore, activation
that benefit from the self ’s functional characteristics. of the integrative, implicit self is helpful to make
Specifically, self-positivity and self-integration unfold adequate decisions during the goal selection phase
their potential to support self-congruent goal choices (see also Dijksterhuis & Nordgren, 2006).
(self-decision), to effectively cope with negative This holistic, comparative competition among
emotions (self-relaxation), and to provide motivation possible goal alternatives is considered to lead to an
for the successful pursuit of chosen goals (self-­ evaluative contrasting of more or less self-compatible
motivation). alternatives. During this process of early spreading
Accordingly, PSI theory distinguishes between of alternatives, the most self-compatible alternatives,
self-integration as a structural aspect and self-access even if subtle, become revalued, whereas less self-
as a dynamic aspect: Whereas self-integration denotes compatible alternatives become devalued. This is
a successful learning history of the self (self-growth), assumed to happen through a neural-networks
self-access refers to the ability to activate (or “access”) process of gradual feedforward fitting of weights
the integrative self and thus to provide cognitive ac- aiming to reach a local minimum of optimal decision
cessibility of integrated goals and values. Without on the basis of the principle of multiple constraint
self-access, chronic or momentary, the self ’s features satisfaction (Rumelhart, McClelland, & the PDP
(or resources) such as self-integration and self-­ Research Group, 1986).
positivity cannot exert their positive influence on We refer to this process as affective consonance
behavior: The individual then acts without integrity, production to contrast with the term cognitive disso-
circumspection, or self-congruence (Baumann, nance reduction. Affective consonance production
Kazén, Quirin, & Koole, 2018; Kuhl, 2000a; Kuhl refers to at least three aspects of self-decisions. First,
et al.,  2015). By contrast, access to the self makes an evaluative spreading of alternatives (Brehm, 1956)
decisions, motivation, and relaxation (emotion reg- occurs during the process of decision-making, that
ulation) effective and efficient—processes necessary is, before a decision is made rather than afterward.
for goal pursuit. When the self has an impact on Especially when goal alternatives show similar valu-
these processes, we refer to them as self-decision, ation in the beginning, predecisional revaluation of
self-motivation, and self-relaxation, respectively. one alternative over another constitutes a necessary
mechanism to come to a decision at all (cf.
Self-Decision: Affective Consonance Beckmann & Kuhl, 1984).
Production and Identification Second, feedforward signal potentiation of a
Decision-making that strongly involves the integra- positively evaluated alternative, and thus to produce
tive self may be referred to as self-decision. Specifically, self-consonance, is the central mechanism, rather
when an individual must make a difficult decision, than the reduction of an unpleasant dissonance or
activating the integrative self provides a holistic devaluation of alternatives (the latter is supposed to
overview of advantageous, utile options including occur as a byproduct of the mental contrasting or
remote indicators of how an option relates to personal spreading-of-alternatives process). This way, decision-
values, needs, competences, and other self-aspects related revaluation is interpreted as a function of
(cf. “organismic valuing process”; Rogers,  1964). ­effective action control rather than a function of
This mindful and circumspect comparison of goal mood maintenance (e.g., Elliot & Devine,  1994;
alternatives typically produces an intuitive gut feel- Harmon-Jones & Harmon-Jones,  2002; Kuhl &
ing reflecting which option is best, both subjectively Beckmann, 1994b; Quirin & Kuhl, 2009a), which
and objectively (Dijksterhuis & Nordgren, 2006). does not exclude the possibility that post hoc re-
Self-access facilitates decision-making as subtly valuations may occur additionally.
sensing one’s preferences, and how goal alternatives Third, this process is predominantly implicit
fit with integrated self-aspects allows for the valence and affective rather than cognitive. Typically, the
of a self-congruent goal alternative to increase as a subtle experience of an anticipated overcoming of
result of an intuitive comparison with other, less indecisiveness during goal selection that is made
self-congruent goal alternatives. A comparison of possible from an increasing contrast between a

Quirin, Tops, And Kuhl 401

foregrounding, revalued alternative and fading, accompanied by self-based increases in positive
­devalued alternatives increases positive affect, which valence. In other words, explicit goals are not
­
brings the individual into an action-oriented mode supported by an enhancement of positive goal
­
(i.e., activates the action system). The latter, in turn, ­valence unless they are congruent with implicit,
potentiates the spreading-of-alternatives process to self-­integrated goals. Against this background, it
a degree that a threshold is exceeded, where this comes as no surprise that attempts to predict be-
information is transferred to intention memory havior on the basis of explicit attitudes or goals yield
(Beckmann & Kuhl, 1984): A decision is made or inconsistent findings (Ajzen & Fishbein, 2005;
the “Rubicon is crossed.” Individuals with low levels Fazio, Chen, McDonel, & Sherman, 1982; Glasman
of decision-related action orientation suffer difficul- & Albarracin, 2006; Regan & Fazio, 1977).
ties with this process of upregulating positive affect
during decision-making (Koole & Jostmann, 2004). Self-Relaxation: How the Integrative Self
Because individuals with low levels of decision- Regulates Negative Emotions
related action orientation prefer to base their decision On the way to enact an intention, a number of
on a thorough, objective overview of alternatives emotional obstacles, goal related or unrelated, may
and corresponding utilities, they tend to rest in the be encountered that the individual must cope with
state of selecting rather than enacting a goal. or disengage from, including the negative valence of
Because low levels of action orientation can typi- the activity, negative feedback, or self-doubt. Negative
cally be found in depression (Kuhl & Helle, 1986), affect is conducive to rumination (Nolen-Hoeksema,
it is plausible that this mechanism also underlies Wisco, & Lyubomirsky, 2008) and passivity (Kuhl
the phenomenon of depressive realism (Alloy & & Helle, 1986), whereas the ability to downregulate
Abramson, 1988), that is, the tendency of depressed negative affect (i.e., self-relaxation) helps maintain
individuals to adopt a more objective (­realistic) readiness for action. Self-relaxation is another
view than nondepressed individuals. Depressive competence provided by a well-developed self: It is
realism may thus be interpreted as a fixation in a the integrative self ’s broad range of experiential
particular phase of self-regulation, the phase of interconnections that enables the activation of
­
­selecting (deciding for) a goal (see also Gollwitzer & similar episodes from the past that the individual
Kinney,  1989). Recently, we partially confirmed (or a significant other) has successfully coped with.
the hypothesis of affective consonance production Self-access and concomitant unleashing of the self ’s
with brain data, showing that lateralized readiness positivity support effective reappraisal of novel and
potentials detected above the motor cortex before negative experiences and puts the individual in a
the conscious decision predicted ­revaluation of a positive, meaning-providing perspective as he or she
chosen alternative. Additionally, this brain activity was becomes associated with activated, already inte-
related to individual differences in decision-related grated, positive representations (Kuhl, 2000a; Kuhl
action orientation (Leicht, Kuhl, Gruber, & Quirin, et al.,  2015; Quirin & Kuhl,  2018; Quirin, Kent,
2018): Action orientation ­ apparently produces Boksem, & Tops,  2015). Because self-relaxation
preconscious revaluations to produce some sort of ­restores self-access (see Figure 22.1), it also facilitates
“affective consonance” aiming to facilitate a choice self-decision and self-motivation.
between alternatives of nearly equal valuation. This process of self-relaxation refers to the
How does affective consonance production relate ­application of the self in stressful situations, a process
to internalization and autonomy? We propose that that proceeds in a relatively effortless and automatic
the process of affective consonance production may manner. By contrast, self-integration refers to the
reflect a microprocess of identification supported by modification of the self, a process that can be difficult
the self. As such, introjected goals should show a lower and effortful, or even painful at times, as in the case
or absent revaluation of goals. In fact, we found that of critical or traumatic life events. Specifically, inte-
introjection (more precisely, its unconscious form: gration of negative experiences (including conflicts
self-infiltration) is associated with a smaller increase and negative self-concepts) requires simultaneous
in positive revaluation of assigned compared to self- activation of the (holistically processing) integrative
chosen goals (Radtke et al., 2016). This finding also self and the (analytically processing) discrepancy
supports the notion that self-determined motivation system, which keeps the negative representation active
is more strongly related to the implicit (and integra- on successful integration. Integration thus r­equires
tive) self rather than to the explicit self-concept (ego). confrontation with rather than repression of the neg-
The latter is subject to self-alien goals that are not ative experience. Additionally, the reflective system

402 Autonomous Motivation, Internaliz ation, And The Self

may support this schema-modifying integration in self-determined behavior; Schultz & Ryan, 2015).
process by making sense of the novel experience on Self-motivation is a crucial mediator for action con-
the basis of narratives or logical thought (see Quirin, trol, which requires the interaction between i­ntention
Kent et al. 2015 for a role of the left ventrolateral memory and the action system (i.e., implementa-
prefrontal cortex [PFC]). tion of intended action). Likewise, self-­relaxation is
Although (or even because) it is effortful and helpful in dissolving negative affect and rumination,
painful, this modification process contains the largest which otherwise counteract mindful self-decision and
potential for self-growth because novel, meaningful self-motivation, and thus enacting self-congruent
life goals may be acquired, such as to become an behavior in the end. This self-­competence of down-
independent individual who is able to regulate his regulating negative affect is a pivotal requirement for
or her emotions by him- or herself and thus to toler- learning from errors and painful experience through
ate autonomy of a beloved partner, even if it means integration rather than defensive maneuvers (i.e., for
to set him or her free. This growth process may self-growth).
come easier to individuals with high rather than low
levels of emotion regulation abilities (i.e., action- Self-Inhibition: Blockage of Self-Access
oriented individuals) because they are better able to and Its Influence on Behavior
access the self (and thus are more open to new expe- Under certain conditions the self is inhibited rather
riences) under stressful conditions. than activated. According to PSI theory, a powerful
condition for self-inhibition is excessive negative
Self-Motivation: Systems Interactions affect. As a result, even self-congruent goals cannot
Underlying Self-Determination be expressed in behavior until self-access is restored.
Self-motivation describes the systems-interactions When the self is involved in the regulation of nega-
process underlying self-determined motivation. tive affect, the relationship between self-activation
After a choice has been made and an intention has and negative affect can be described by an inverted
been generated, self-access provides energy to U–shaped (parabolic) relationship: With low levels
keep on task by enabling the individual to experi- of negative affect self-activation is not needed, whereas
ence positive emotions that derive from positive moderate levels of negative affect are considered to
self-representations. As such, self-motivation (liter- activate the self with its memories of successful
ally, motivation that is generated by the self ) refers coping episodes. Excessive levels of negative affect
to a mechanism related to the upregulation of inhibit self-access (see also Bisby, Horner, Bush, &
positive affect. As explained earlier, activation of Burgess, 2017; Quirin, Baumann, Kazén, Kuhl, &
the action  system for enacting an intention and Koole,  2009). For people who can quickly down-
the corresponding action-oriented mode shield regulate negative affect (i.e., with high degrees of
intentions and goals from competing goals and threat-related action orientation), the threshold
distractors. In principle, action-oriented shielding beyond which negative affect inhibits the self (peak
can be successful irrespective of whether these goals of the inverted U shape) is higher (Baumann &
are externally regulated, introjected, identified, or Kuhl, 2002, 2003; Kazén, Baumann, & Kuhl, 2003).
integrated. However, compatible with SDT, shield- The expected parabolic relationship between
ing a self-incongruent intention or goal (i.e., in negative affect and self-access results from the
the absence of self-motivation) requires a considera- ­combination of two opponent (nonlinear) processes
ble amount of effort and discipline (ego control ). associated with self-confrontational (rather than
Ego depletion, or even burnout and obsessive– ­defensive) coping: The first component consists of a
compulsive disorder, can be the result of this type decrease (inhibition) in self-access as a function of
of effort expenditure (Baumeister, Bratslavsky, negative affect (second modulation assumption).
Muraven, & Tice,  1998; Hagger, Wood, Stiff, & The second component consists of the opposite
Chatzisarantis, 2010; Kehr, 2004; see also Moller, causal direction: With a decreasing regulatory effect
Deci, & Ryan, 2006; Ryan & Deci, 2008). of self-access, the dampening of negative affect is
As mentioned earlier in this chapter, the three reduced. In other words, on the one hand, PSI
self-processes are not independent of each other, theory assumes that an activation of the self (down-)
because they all derive from intact self-access.
­ regulates negative affect (for empirical evidence,
Specifically, self-decision can be considered a pre- e.g., see Koole & Jostmann,  2004; Kuhl,  2000a;
requisite of self-motivation (see also Deci, Ryan, Kuhl et al.,  2015; Quirin, Bode, & Kuhl,  2011;
Schultz, & Niemiec, 2015, for the role of mindfulness Showers & Kling, 1996); on the other hand, with

Quirin, Tops, And Kuhl 403

increasing negative affect, its inhibitory impact on intervention in psychotherapy refers to clarifying
self-access increases (Baumann & Kuhl, 2002, 2003; which goals constitute self-goals and which derive
Kazén et al.,  2003; Koole & Jostmann,  2004; from others’ expectations.
Quirin et al., 2011). The self and the negative affect Self-infiltration has been investigated by inviting
system thus form a negative feedback (homeostatic) participants to select some goals or activities from
circle where the two systems mutually control their a list, while the experimenter chooses another set of
activities (Figure 22.1). The nonlinear dynamics of activities for the participant to perform later. This
this process can be described by a logistic model method detects how frequently a task-related goal
­derived from chaos theory (see Kuhl et al., 2017, for (e.g., cleaning the windows) that was imposed by the
a similar nonlinear model applied to day-to-day experimenter in an early phase of the experiment is
changes in implicit positive affect). falsely remembered as self-­chosen in a later phase of
Personal systems interaction theory assumes the experiment (see also Baumann, Kazén, & Quirin,
(and so does SDT) that goals or intentions that have 2018a, for an overview; e.g., Kuhl & Kazén, 1994).
not been integrated (into the self ) are less likely to The number of false self-ascriptions, after being
guide behavior in a circumspect way. To the extent corrected for mere memory failure and potential
that excessive negative affect inhibits self-access, identification based on positive task evaluation, can
goals, even if they are fully integrated, may not be be taken as an objective index for momentary self-
enacted when emotional stress (i.e., negative affect) inhibition. Several studies have demonstrated that
exceeds a critical intensity. A similar effect is expected conditions of i­ncreased negative affect and stress
when self-access is thwarted by factors other than put individuals at risk for self-infiltration (Quirin,
negative affect as, for example, when goals are Baumann, et al., 2009), particularly when they show
­supported by the ego but not by the self (i.e., intro- chronic difficulties in the regulation of negative affect
jected goals). Fuhrmann and Kuhl (1998) found that as measured by (low levels of ) threat-related action
individuals with a tendency toward self-discipline orientation (Baumann & Kuhl, 2003; Kazén et al.,
(or ego discipline in terms of ego-controlled goal 2003; Kuhl & Kazén, 1994).
pursuit instead of self-integration) show less diet-­ There is even evidence that individuals with high
related goal attainment under self-reward than under emotion regulation abilities are able to readily restore
self-punishment conditions. The authors assumed self-access in response to threats to an extent that
that individuals with a tendency toward high self- exceeds their default level of self-activation. Such
discipline have difficulties identifying with or inte- momentary boosts in self-access may be indicated
grating goals, that is, their self does not convey the by a stronger accessibility to integrated values such
goal of dieting. As a consequence, activation of the as tolerance for out-groups (or a more negative
self by positive affect (reward condition) cannot ­implicit valuation of prejudice) instead of merely
support this goal (but supports potentially other ­reporting how much one putatively accepts them.
pleasurable goals instead, which might distract the In line with this hypothesis, two experiments dem-
individual from the goal of dieting). The reason for onstrated that individuals with high levels of action
this lack of self-support lies in the fact that ego orientation showed lower implicit prejudice against
­discipline prevents people from integrating their Muslim culture after having been reminded of
goals into the self, which, as a result, cannot support ­terrorism threat than individuals with low levels of
those goals. action orientation (Quirin, Kuhl, Luckey, Pyszczynski,
Momentary inhibitions of self-access have & Bode, 2014).
­extensively been investigated for the case of un- Besides negative affect, exaggerated ego activation
conscious introjection or self-infiltration. This term can inhibit self-access. This implication of PSI theory
refers to the phenomenon that individuals explicitly was investigated by Quirin, Kazén, and Kuhl (2009).
pursue a goal that actually refers to other individuals’ We asked participants to extensively and conscien-
expectations, such as parents’, teachers’, or superiors’ tiously reflect on their affective state before providing
goals. Self-infiltration is particularly insidious corresponding ratings. As a result, their self-reported
­because it keeps people from realizing that they are affect was unrelated to a measure of implicit affect,
pursuing self-incongruent goals and intentions. whereas individuals who were asked to fill in the
Therefore, a chronic inclination for self-infiltration self-report spontaneously on the basis of their gut
may constitute a major risk factor for the develop- feeling showed higher congruence of their explicit
ment of alienation and depression (Kuhl & Beckmann, and implicit affect scores. This finding suggests that
1994b), which constitutes a reason why one major intense analytical thinking inhibits self-access with

404 Autonomous Motivation, Internaliz ation, And The Self

respect to one’s emotions (see also Koole, Dijksterhuis, the help of logical–sequential thought (including
& van Knippenberg, 2001). dysfunctional, noneffective rumination in extreme
situations). On the other hand, the right dorsal net-
Neural Mechanisms of Autonomy work (which includes the right dorsolateral PFC,
and Internalization but also the ventromedial PFC as one likely corre-
The neural mechanisms of internalization and other late of the integrative self; see the section about
self-determination processes can be described by Neural Correlates of Self-Referential Information)
PARCS theory (e.g., Tops et al., 2010, 2014, 2017), provides a holistic overview of the situation and
which provides a neuropsychological self-regulation concomitant potential outcomes, whereas the left
theory based on an extended review of neuroimaging dorsal network (including the left dorsolateral PFC)
findings. As it turns out, PARCS is largely compatible controls intuitive, prespecified action routines and
with PSI theory. In the following, we present the may thus constitute a basis of affectively driven
PARCS framework and subsequently report on ­proactive behavior such as anger-related approach
­related findings from recent neuroimaging studies motivation (Harmon-Jones & Allen, 1998; Harmon-
on self-determination, which can nicely be embedded Jones, Harmon-Jones, Fearn, Sigelman, & Johnson,
in PARCS (and PSI) theory. 2008; Harmon-Jones, Harmon-Jones, Shah, &
Drawing from evolutionary conceptualizations, Gardner, 2008), flight-related action (Wacker,
PARCS suggests that two broad processing modes Chavanon, Leue, & Stemmler, 2008), but also the
the brain can adopt need to be distinguished. One pursuit of unpleasant intentions, albeit in its antag-
mode, predictive control, is activated when the onistic interaction with the reward system (Diekhof
­organism is in a safe, familiar, stable, and thus “pre- & Gruber, 2010; Herrmann et al., 2014). The PARCS
dictive” environment. By contrast, reactive control theory thus expands a traditional PFC model of left
is established when the organism is in an unstable approach versus right avoidance to a vertical (dorsal
environment entailing difficulties, novelties, or even vs. ventral) axis (Tops et al., 2017).
dangers, with the consequence that the organism With respect to self-determination and our
predominantly reacts to events of unpredictable ­differentiation between ego and the self, PARCS
outcome (e.g., when confronted with a predator, ­assigns analytical reflection and rumination (ego) to
some social evaluation, or obstacles to approach a the left ventral system (see also Morin & Hamper,
food source). Whereas the predictive control system 2012) and self-determined goal choice to processes
is supported by a large-scale dorsal corticolimbic operating in the right dorsal network. Analytical
network, the reactive control system is supported by reflection attempts to (a) develop plans on how to
a large-scale ventral corticolimbic network. Reactive finally reach a reward by means of necessary but
control is the processing mode involving externally potentially unpleasurable, intermediate activities
­
regulated and introjected (ego-determined) moti- (extrinsic motivation) or (b) cognitively cope with
vation (Figure 22.1), whereas predictive control is extrinsic goals and their potential internalization
the mode involving autonomous (self-determined) into self-schemata (Quirin et al., 2015).
motivation (Tops et al.,  2016). Note that ego
determination does not exclude external and Neural Correlates of Self-Referential
self-­incongruent regulation because the ego is very Information
receptive for external demands (cf. Freud’s superego). Much research has been conducted on the neural
In addition, based on extant empirical evidence, correlates of self-referential information such as face
PARCS takes brain lateralization into consideration or trait processing (e.g., Gillihan & Farah,  2005;
(see also Tops et al., 2017). Although, as large-scale Northoff et al., 2006; van Overwalle, 2009; Zaki &
brain networks, the ventral and dorsal systems com- Ochsner, 2011). Meta-analyses suggest a role of so-
prise a multitude of interrelated brain areas, we here called cortical midline structures in self-referential
restrict our description to the prefrontal cortex. processing including the ventromedial PFC, the
Specifically, whereas on the one hand the right ven- dorsomedial PFC, and the posterior cingulate cortex
tral system (including the right inferior frontal (Northoff & Bermpohl,  2004; Northoff et al.,
gyrus) reacts to immediate novelty, ambiguities, and 2006; Qin & Northoff, 2011). These areas are part
danger by controlling the orienting response, the of the dorsal, predictive control system. Among those
left ventral system (including the left inferior frontal areas, it is the functioning of the ventromedial PFC
gyrus) attempts to semantically classify the current (VMPFC) that most closely corresponds with the
experience and integrate it into existing schemata by notion of a high-level implicit and integrative self.

Quirin, Tops, And Kuhl 405

 The VMPFC plays a particular role in judging activity during trials with the self-chosen than with
oneself with respect to personality aspects (Denny, the default stopwatch. By contrast, they did not find
Kober, Wager, & Ochsner, 2012) and is also consid- differences in the midbrain reinforcement centers,
ered a valuation center for processing and integrat- which suggests a strong role for the VMPFC for
ing all external and internal stimuli as well as for self-determined choice.
determining whether they are self-relevant or not The role of the VMPFC for self-choice and thus
(D’Argembeau,  2013). In line with this idea, Kim for the self in general was further corroborated by
and Johnson (2015) found in a functional magnetic a study that applied the self-infiltration task de-
resonance imaging study that it is the VMPFC that scribed previously in the magnetic resonance scan-
becomes active when individuals judge the personal ner and additionally qualified these findings with
salience of a stimulus rather than its valence itself respect to significant hemispheric asymmetries
(see also Solms & Turnbull, 2002, for a role of the (Quirin et al., 2018). Specifically, representations
VMPFC in the self ). When the phenomenal status of self-selected goals activated the right but not the
of self-reference is experimentally controlled, implicit left VMPFC. Moreover, the amount of activity
self-reference seems to be lateralized to the right within the right VMPFC cluster was inversely re-
PFC (e.g., Molnar-Szakacs, Uddin, & Iacoboni, lated to self-infiltration rates, suggesting that the right
2005). As such, it may be assumed that, on a neural VMPFC works as a buffer against introjection.
level, self-related values and goals may show a Moreover, low emotion regulation ability (low action
stronger involvement of VMPFC activity than oth- orientation) was associated with increased self-­
erwise ­hedonic and low-level lust-driven goals such infiltration rates, which replicated previous behav-
as eating, drugs, or sex, which may activate to a larger ioral findings.
degree midbrain reinforcement centers including Not least, self-infiltration trials, that is, when
the nucleus accumbens (cf. Balleine & O’Doherty, participants misremembered imposed goals as self-
2010, for differential involvement of PFC versus selected, activated both the left and the right
striatum in goals vs. habits, respectively). VMPFC in this study, along with the dorsal ante-
rior cingulate cortex. Because the latter is known
Neural Correlates of Self-Determination as a conflict monitor (Botvinick, Braver, Barch,
Researchers started only recently to investigate Carter, & Cohen, 2001; Botvinick, Cohen, &
neural correlates of self-determination and internal- Carter, 2004; Lane, 2008), this finding may be in-
ization processes directly. For example, it was found terpreted in a way that although self-infiltration is
that individuals with higher levels of basic need unconscious to the individual, the individual’s brain
­fulfillment, supposedly those with facilitated self- is aware of the conflict between the subjective
access, showed increased medial PFC activity while ­impression of self-selection and the fact that the
judging remembered past, perceived present, and choice was externally controlled (see also Izuma,
imagined future identities (Di Domenico et al., 2013, for a role of the dorsal anterior cingulate
2017) and while making difficult decisions, which cortex and neighboring areas in decisional conflicts
was accompanied by longer decision times (Di and discrepancies between own attitudes and others’
Domenico, Fournier, Ayaz, & Ruocco,  2013; see expectations). These findings suggest that the right
also Di Domenico, Le, Liu, Ayaz, & Fournier, 2016, VMPFC plays an important role for self-access
for electroencephalographic findings). The latter and for buffering the self against the adverse effects
finding is compatible with psychological studies of self-infiltration. This hemispheric asymmetry is
showing that individual differences associated with in line with two earlier experiments from Baumann,
stable self-access (i.e., action orientation) are asso- Kuhl, and Kazén (2005), who asked participants
ciated with longer decision times that can be taken to squeeze a stress ball either with the left hand,
as an indication of increased self-congruence which activates areas of the right cortex, or with
checking or “autonoetic access” (Kazén et al., 2003). the right hand, which activates the left cortex.
Murayama et al. (2015) asked participants to engage Right-hand contraction (i.e., left cortex stimula-
in a computerized stopwatch game where they had tion) led to increased rates of self-infiltration.
to press a button at a certain time. In a self-choice The cited studies on brain correlates of self-­
condition they freely chose the design of the stop- determination highlighted some important brain
watch, whereas in a control condition they had to systems involved in internalization and autonomy.
use a default design. The authors found that partici- Still, a more extended view on neural processes im-
pants showed significantly higher levels of VMPFC portant in this context necessitates an analysis of how

406 Autonomous Motivation, Internaliz ation, And The Self

these brain structures interact with neurotransmitter on internalization processes, including a distinction
activity. For example, midbrain dopaminergic path- between different forms of (or mechanisms under-
ways show a strong projection to the VMPFC (e.g., lying) identification (i.e., rigid self-classifications,
Bromberg-Martin, Matsumoto, & Hikosaka, 2010; momentary action-oriented affections, and broad
for a more extended discussion, see Di Domenico & yet weak associations with integrated self-aspects).
Ryan, 2017). Because activation of the self stimulates We hope that such a differentiation may help to
positive emotions related to integrated goals and explain divergent or unexpected findings in both
values, which typically lead to self-motivation, it the psychological and the neuroscientific study of
may be hypothesized that identification rather than internalization and to consider different cognitive
introjection should be related to a top-down effer- mechanisms underlying a transition from introjection
ent activation of dopaminergic midbrain reinforce- to identification or, conversely, eventual regression
ment structures. from self-determination or identification to intro-
jection or external control.
Conclusion and Outlook Second, backed up by both correlational and
In the present report, we used a functional systems empirical evidence, we suggested that it is not only
approach to explain phenomena related to motiva- the level of internalization that influences self-­
tion and self-regulation with a particular emphasis determined behavior but also the degree to which
on internalization and autonomous motivation. the integrative self can be activated in a particular
This approach is compatible with modern neurosci- situation. Personality systems interaction theory
ence because systems-theoretical modeling is also thus combines a structural aspect of the self, self-
applied in imaging research (e.g., dynamic causal integration, with a dynamic aspect, self-access. We
modeling) or intelligent neural networks. We think discussed evidence supporting the assumption that
that the current approach has the potential to bridge conditions of negative affect and stress genuinely
the gap between a humanities and a nature science inhibit self-access, but that individuals with high
view of human motivation in general. levels of emotion regulation abilities (trait action
We have outlined how PSI theory explains orientation) are able to counteract this modulatory
­interactions among the integrative self (Figure 22.1), process and to activate the integrative self, especially
the discrepancy system, intention memory, and under those conditions. In addition to developing
the  action system and how these interactions are an integrative self, being able to activate the self in
modulated by affect to explain the dynamics stressful and threatening conditions and thus to
­underlying self-regulation, including action control counteract concomitant dysfunctional affective states
(implementing intentions) and self-growth (learning and rumination can be seen as another important
from errors, painful episodes, and other unexpected aspect of personality development or maturation.
[­discrepant] experience). We used this approach to Third, we described three different yet related self-
describe how these systems, their functionality, and regulation processes, self-decision, self-(determined)
interactions explain processes relevant in motivation, motivation, and self-relaxation, by which activation
autonomy, and internalization in particular, as well of the integrative self along with the expression of its
as PARCS theory to describe corresponding neural inherent functions of strong i­nterconnectivity and
mechanisms underlying personality and motivation. positivity bias (self-access in short) brings about au-
At least five assumptions deriving from PSI theory tonomous, self-congruent b­ ehavior. Despite their
that are relevant in this context have been elaborated functional differences, these processes are strongly
in the present chapter. interrelated because they are all supported by the
First, we delineated how the four cognitive self and require self-access to operate smoothly.
systems are differentially involved in stages of
­ Accordingly, and compatible with SDT, the present
­internalization. We argued that external regulation, approach allots a central role to the self as an intra-
introjection (including self-infiltration), identifica- psychic system in everyday functioning.
tion, and integration can be attributed, although Fourth, we marked out decision-related revalua-
not exclusively, to the functioning of the discrepancy tion as a motivational process, affective consonance
system, the intention/thinking system (ego), the production, inherently emerging from an action-
action system, and the integrative self, respectively oriented mode that is useful even before a behavioral
(Figure  22.1). Additionally, we showed how the decision has been made (rather than thereafter,
analysis of interactions between these cognitive– as  suggested by the term cognitive dissonance
emotional systems provides a more differentiated view ­reduction). We argued that this process reflects a

Quirin, Tops, And Kuhl 407

microprocess of identification. Still, it is possible the core of PSI theory d ­ escribes the interaction of
that affective consonance production may constitute four cognitive macrosystems, the theory has been
a general mechanism of revaluation underlying di- extended to encompass additional psychological
­
verse phenomena such as increased identification systems and levels of personality functioning (e.g.,
with worldviews or heightened self-esteem when temperamental, stress related, or motives r­elated)
exposed to existential threat (Jonas et al.,  2014;
­ (Kuhl, 2001, 2010; Kuhl & Koole, 2008).
Pyszczynski, Solomon, & Greenberg,  2015; see The present approach has also implications for
Quirin, Bode, Luckey, Pyszczynski, & Kuhl, 2014, the debate about free will (Kuhl & Quirin, 2011).
for a related study), reappraisal of negative experi- Specifically, PSI theory, not unlike SDT, suggests that
ences (Gross, 2014; Kalisch, Muller, & Tuscher, 2015; volitional freedom is not an either/or phenomenon
Quirin, Kent, Boksem, & Tops, 2015), ambivalence (free vs. determined?) but can be arranged on a
resolution (Kim, Wang, Gotlieb, Gabay, & Edgerly, ­continuum of “degrees of freedom” and that psy-
2011; Nordgren, van Harreveld, & van der Pligt, chological conditions such as negative affect, the
2006), self-choice and endowment effects (Kahneman, breadth of information processing, and self-access,
Knetsch, & Thaler, 1991), persuasion (Wood, 2000), which depend on the (de)activation and interaction
derogation of partner alternatives (Caryl & Bram, of psychological systems, reduce or increase the
1993), and formation of interests (Krapp, 2005). ­momentary or chronic level of degrees of freedom.
Fifth, we tackled the challenging task of explor- Self-infiltration, for example, constitutes a particular
ing brain mechanisms underlying self-determined and often occurring case of reduced freedom where
­motivation. We described neural mechanisms pre- the conscious, rational will (ego) is willing but not
sumably underlying the four cognitive macro the nonconscious, emotional will (self ).
­systems by drawing on PARCS theory, which is Not least, we believe that the present functional
largely compatible with PSI theory and provides a framework, which is based on the idea that systems
detailed analysis of the neural correlates of self-­ interact to produce motivation, experience, and
regulation processes. Against the background of behavior, is particularly appealing for building a
this model we reviewed neural mechanisms of au- bridge between social and personality psychology
tonomous motivation and attached a central role on the one hand and the neurosciences on the
to the (right) ventromedial prefrontal cortex as a part other hand. We have already described some neural
of the right dorsal (predictive) system postulated underpinnings of autonomous motivation and
in PARCS. The investigation of neural mechanisms ­related ­processes, but many more systems processes
of self-­determination or free will constitutes an ex- and interactions described above (e.g., self-inhibition)
citing and promising new field of research within find their correspondence on the level of brain
social and motivational neuroscience that may functioning (e.g., Tops et al., 2010, 2014, 2017).
converge with the new field of existential neurosci-
ence (Quirin & Klackl,  2016,  2018), since these
concepts are also central in existential philosophy. Acknowledgements
The question might be asked as to whether it is This work was made possible through the support of grants from
German Academic Exchange Service (DAAD) with funds from
useful to postulate exactly four cognitive macro the German Federal Ministry of Education and Research (BMBF)
­systems for adequately explaining personality and and the People Programme (Marie Curie Actions) of the
behavior. In fact, depending on which phenomena European Union’s Seventh Framework Programme (FP7/2007–
should be explained, in (cybernetic) systems theory 2013) under REA Grant Agreement No. 605728 (P.R.I.M.E. –
the complexity by which a model is described can be Postdoctoral Researchers International Mobility Experience),
and Templeton Rlg. Trust (TRT 0119).
decreased or increased optionally. Specifically, systems
of intense information exchange can be summarized
into one system (as in the present ­description of the
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 P A R T 
7
Motivation in
Application
 CH A PT ER

23 Motivation in Psychotherapy

Stefan Westermann, Martin grosse Holtforth, and Johannes Michalak

Abstract

Motivational issues are central to human life. Correspondingly, they are also central to the challenging
endeavor of psychotherapy. Assisting patients to change involves motivational issues at various levels
and at various stages of therapy. Patients might be more or less motivated to begin and to participate
in the different stages of psychotherapy (therapy motivation). Besides these differences in therapy
motivation, an understanding of the broader concepts of motivation in psychotherapy should mandate
that motivational issues be considered in the treatment of all patients, not only those with obvious
deficits in therapy motivation. Motivational issues influence the therapeutic relationship; they should be
considered in tailoring specific interventions and they might be important factors for the onset and
maintenance of psychological disorders. The present chapter presents theoretical and empirical
background information and illustrates therapeutic approaches for dealing with patients’ motivation.
Moreover, it summarizes the implications of basic and clinical research for a motivationally informed
psychotherapy.
Keywords:  motivation, goals, psychotherapy, treatment, psychopathology

Motivation is central in life and governs most psy- i­nvolves motivational issues at various levels and at
chological processes. According to Heckhausen and various stages of therapy. First, patients might be
Heckhausen (2008, p. 1), more or less motivated to begin psychotherapy and
to participate in the different stages of the psycho-
the psychology of motivation is specifically concerned
therapy process. Often, patients are willing to work
with activities that reflect the pursuit of a particular
very hard during the therapeutic process and to invest
goal and, in this function, form a meaningful unit of
a lot to change their lives and their way of behavior.
behavior. Motivational research seeks to explain these
However, some patients are ambivalent during dif-
units of behavior in terms of their whys and hows.
ferent stages of the therapeutic process. They may be
Consequently, motivational processes also have a ambivalent about whether they should start therapy,
central importance for the change of experience whether they should frame a certain kind of behav-
and behavior, which is the main purpose of psycho- ior as a problematic behavior, or whether they
therapy. Psychotherapy patients seek help for the should take steps to change a problematic behavior.
parts of their lives that they failed to cope with All psychotherapists are confronted with these vari-
themselves. Therapists strive to optimally assist their ations of therapy motivation in their patients, and
patients to change behaviors and experiences to they know that it is useful to skillfully deal with
enable them to live independently after therapy. patients who show reduced therapy motivation.
Because motivational issues are central to human However, a broader perspective on motivation in
life, they are also central to the challenging endeavor psychotherapy indicates that it might be useful to
of psychotherapy. Assisting patients to change consider motivational issues in the treatment of all

417
patients, not only those with obvious deficits in Dweck (2017). Overarching meta-needs have also
therapy motivation: Motivational forces influence been suggested, such as a need for meaning (Heine,
the therapeutic relationship, and it may be wise to Proulx, & Vohs, 2006) or consistency as the most
consider them when trying to build a helpful thera- basic component of psychological functioning
peutic alliance. Moreover, specific interventions might (Grawe, 2004).
be tailored to the motivational background of the Within the concept of motives, a general dis-
patients. For example, the specific situation patients tinction can be made between implicit and explicit
are confronted with in exposure therapy might be motives. Implicit motives are generally seen as endur-
chosen not only because of the nature of their avoid- ing individual motive dispositions, whereas explicit
ance behavior, but also because of the important motives refer to goals that are conscious or con-
personal goals the patient strives for. On the most sciously accessible (Heckhausen & Heckhausen,
fundamental level, some authors have identified 2008). The implicit motivational system consists of
insufficient satisfaction of basic psychological needs as a relatively small number of motives (i.e., achieve-
an important factor in the etiology of various psy- ment, power, and affiliation motives) that are uncon-
chological problems and psychological disorders scious, holistically represented and are more directly
(Dweck,  2017; Grawe,  2004; Ryan,  2005; Ryan, linked to emotional processes. It becomes appar-
Deci, Grolnick, & La Guardia, 2006; Vansteenkiste & ent that the concept of implicit motives as used
Ryan, 2013). Accordingly, from this perspective, the by  Heckhausen and Heckhausen (2008) is very
overall goal of psychotherapy should be to increase similar to the concept of needs already described,
the degree of satisfaction of psychological needs to and the concept of explicit motives is very similar
reduce psychopathological conditions. to the concept of high-level goals. Another gen-
Therapists dealing with motivational issues in eral motivational construct are values, which are
psychotherapy could profit from a deeper under- “generally [. . .] defined as preferences for certain
standing of basic motivational principles in human outcomes or modes of conduct” (Locke,  2000,
life. Therefore, the first part of our chapter presents p. 250; see also Rokeach, 1973). Such preferences
theoretical and empirical background information can be shared by an entire community (cultural
as well as selected methods of assessing motivational values) or be individual (personal values). The
constructs that might be relevant for psychotherapy ­concept of personal values is also very similar to
research and practice. The second part of the chap- high-level goals.
ter reviews important theoretical and empirical lit- A central and well-documented assumption of
erature from clinical psychology research pointing to goal-oriented approaches is that, to a considerable
the relevance of motivational variables in psycho- extent, people’s daily behaviors, thoughts, and emo-
therapy and illustrating therapeutic approaches for tions are linked to the pursuit of personal goals and
dealing with patients’ motivation. In the final part are regulated by feedback regarding goal attainment
of this chapter, we will summarize the implications (Austin & Vancouver, 1996; Carver & Scheier, 1996;
of basic and clinical research for a motivationally Klinger,  1977). Personal goals can be defined as
informed psychotherapy. elaborate cognitive representations of what a person
wants to achieve or avoid in his or her current life
Clinically Relevant Motivational Constructs circumstances and are conscious, symbolically rep-
We will briefly introduce the following motiva- resented, and stored in a language-related manner
tional constructs: psychological needs, motives, (Brunstein, Schultheiss, & Grässmann, 1998). It is
personal goals, values, therapy motivation, and treat- assumed that approach goals are developed to satisfy
ment goals. The concept of psychological needs psychological needs, whereas avoidance goals are
implies that everyone has the same needs, everyone developed to prevent these needs from being hurt
must satisfy them, and, if the individual fails to (Grawe, 2004; see also Elliot, 2008, for a review).
satisfy these needs, aversive outcomes such as People may pursue personal goals as diverse in con-
­diminished well-being or psychopathology might tent as, for example, making new friends, improv-
be consequences (Flanagan,  2010). Various lists ing their professional situation, learning how to be
of  needs have been proposed, for example, self-­ more spontaneous, trying to be a better parent, or
enhancement, attachment, pleasure, and orientation/ overcoming fear of rejection (Chulef, Read, &
control by Epstein (1990), relatedness, competence, Walsh, 2001). Grosse Holtforth and Grawe (2000)
and autonomy by Deci and Ryan (1985, 1995), or empirically identified the contents of personal goals
acceptance, competence, and predictability by that therapists considered especially relevant for

418 Motivation In Psychotherapy

their patients. Examples are to perform well, to be his or her expectations may also be influenced by
in a committed relationship, to avoid being humili- the patient’s concepts of p ­ sychological illness and
ated, or to avoid showing weaknesses. The totality change (Calnan, 1987). For example, treatment moti-
of all goals a person strives for (the person’s goal vation and self-efficacy expectation in schizophrenia
structure) can be viewed as his or her individual seem to depend on the type of causal disorder model
future-oriented side giving purpose, structure, and that is conveyed, according to an analogue study
meaning to life (Cantor,  1990; Emmons,  1986; (Lüllmann, Berendes, Rief, & Lincoln, 2011).
Klinger, 1977; Michalak & Grosse Holtforth, 2006). Treatment goals can be defined as “intended
Therapy motivation is influenced by various expe- changes in behavior and experience to be attained
riences including: (a) suffering, (b) positive experi- by therapy, which patient and therapist agree upon
ences (hope of relief ), (c) fear of change, and (d) the at the beginning of treatment and on which success-
therapeutic bond (wish to maintain the therapeutic ful psychotherapy should be instrumental” (Grosse
relationship). Patient suffering is influenced by a Holtforth & Grawe, 2002, p. 79). Treatment goals
multitude of factors, that is, impairment (psycho- have various functions in psychotherapy (Driessen
pathological symptoms and negative affect), the et al., 2001). On an individual level, treatment goals
experience of being abnormal, or the feeling of help- focus patients’ and therapists’ attention, guide treat-
lessness (Schulte & Eifert, 2002). Other factors may ment planning, and provide criteria for outcome
also be gains from illness, be they material (e.g., wish assessment (e.g., goal attainment scaling, see Assessing
for a pension) or psychological (e.g., attention, sup- Motivational Constructs in Psychotherapy). In ad-
port, protection; Schulte & Eifert, 2002). dition, treatment goals fulfill an ethical function by
Probably the most favorable approach that ­patients providing transparency for the patient, by balancing
can bring to therapy is one that is characterized by the power between the therapist and the patient,
interest, curiosity, and commitment. The term and by supporting the patient in giving his or her
­autonomous motivation (Ryan & Deci, 2000) closely informed consent. Treatment goals also help to
resembles this ideal kind of therapy motivation. For define similarities and differences between different
the purposes of psychotherapy, autonomous moti- therapeutic approaches. Finally, information on
vation can be defined as “the extent to which patients ­patients’ treatment goals may support the optimiza-
experience participation in treatment as a freely tion of treatment programs by providing feedback on
made choice emanating from themselves” (Zuroff the needs of specific patient groups (Moritz, Berna,
et al., 2007, p. 137). If the patient has a ­favorable Jaeger, Westermann, & Nagel,  2017; Uebelacker
therapy motivation, he or she will cooperate with et al., 2008). Table 23.1 shows an empirically con-
the therapist and the protocol, will disclose private structed list of patients’ goals in psychotherapy
experiences, will test out new patterns of ­behavior, (Grosse Holtforth & Grawe, 2002).
will show low resistance to the therapist’s interven-
tion, and will be unlikely to drop out of treatment Assessing Motivational Constructs in
(basic behavior). In two studies, Dwyer and col- Psychotherapy
leagues (Dwyer, Hornsey, Smith, & Dingle, 2011) Because implicit motives are unconscious by
demonstrated that the degree of autonomy satisfac- ­definition, they cannot be assessed directly by self-­
tion was associated with outcome in psychotherapy report. Implicit motives have traditionally been
patients with anxiety and depressive ­disorders. The ­assessed using projective techniques like the Thematic
patient’s therapy expectations may also ­influence the Apperception Test (Smith,  1992). During the
therapy process and outcome. Examples of therapy Thematic Apperception Test, respondents are asked
expectations are hope for ­ improvement of well-­ to write fantasy stories in response to several pic-
being, hope for improvement of relationships, fear tures depicting motive-arousing scenarios. Several
of adverse side effects, or fear of being ridiculed systems for deriving motive scores (achievement,
(Schulte & Eifert, 2002). Patients’ outcome expec- power, and affiliation) from Thematic Apperception
tations are associated with outcome with a small Test stories have been developed (Smith,  1992),
effect sizes according to a meta-analysis (d = 0.24; with the Picture Story Exercise being the most
Constantino, Arnkoff, Glass, Ametrano, & Smith, widely used (Schultheiss & Pang, 2007). Although
2011) and recent studies (e.g., Thompson-Hollands, suitable for clinical research, these systems are not
Bentley, Gallagher, Boswell, & Barlow, 2014; but yet suited for routine clinical use because of miss-
see Vîslă, Constantino, Newkirk, Ogrodniczuk, & ing norms, questionable or unknown test–retest
Söchting, 2016). The patient’s m ­ otivation as well as reliability, etc. (Lilienfeld, Wood, & Garb, 2000;

Westermann, Grosse Holtforth, And Michal ak 419

Table 23.1  Bern Inventory of Treatment Goals

Problem/symptom Interpersonal Well-being/ Existential Personal Residual

oriented functioning growth category
Depression Intimate relationships Exercise, activity Self-reflection Attitude Regeneration
Suicidality Current family Relaxation/ and future toward self Psychosocial
Fears/anxiety Family of origin composure Finding Desires and rehabilitation
Obsessive/compulsive Other specific Well-being meaning wishes Somatic
Traumatic experiences relationships Self-control rehabilitation
Substance use Loneliness, grief Emotion
Eating behavior Assertiveness regulation
Sleep Contact/closeness
Sexuality
Somatic problems
Stress
Medication

Schüler, Brandstätter, Wegner, & Baumann, 2015). goals. In the second step (the nomothetic part),
Several alternatives for assessing implicit motives patients rate these individual goals on various dimen-
have been introduced. For example, Brunstein and sions to allow for interindividual comparisons.
Schmitt (2004) developed an Implicit Association Goals can be rated by the participants themselves or
Test (Greenwald, McGhee, & Schwartz, 1998) to by independent raters (e.g., categorization of goals
assess achievement motivation by evaluating the by content or according to the approach and
strength of association between achievement-related avoidance quality of the goals). Examples of this
adjectives and the self-concept. Slabbinck and col- idiographic–nomothetic approach are the Measure
leagues constructed a pictorial attitude variant of the to Elicit Positive Future Goals and Plans (Vincent,
Implicit Association Test to assess implicit power Boddana, & MacLeod, 2004), the Personal Projects
(Slabbinck, de Houwer, & van Kenhove, 2011) and Matrix (Little,  1983), the Personal Concerns
affiliation (Slabbinck, de Houwer, & van Kenhove, Inventory (Cox & Klinger, 2002), and its immedi-
2012). However, such assessment tools are too ate antecedents, such as the Concern Dimensions
time-consuming for routine clinical use. Questionnaires (Klinger, Barta, & Maxeiner, 1980)
Explicit motivational constructs can be assessed and the Interview Questionnaire (Klinger,  1987).
efficiently using questionnaire methods. A sample These instruments preceded and/or gave rise to
questionnaire to assess two dimensions of therapy other methods such as the Striving Assessment Scale
motivation is the Autonomous and Controlled (Emmons, 1986) and the Goal Assessment Battery
Motivations for Treatment Questionnaire (Zuroff (Karoly & Ruehlman, 1995). All these approaches
et  al., 2007). Based on the self-determination make it possible to assess theory-derived indices
theory proposed by Deci and Ryan (1985), the that seek to achieve a multilevel understanding of
Autonomous and Controlled Motivations for goals (e.g., goal importance, goal achievement,
Treatment Questionnaire measures patients’ auton- goal conflict).
omous motivation (identified and integrated) and Furthermore, various interviews to assess personal
controlled motivation (extrinsic and introjected) for goals have been developed (e.g. Adult Intentional
a treatment. An example for the assessment of and Motivational Systems, AIMS; Wadsworth &
values in the interpersonal realm is the Circumplex Ford, 1983), allowing for an extensive description of
Scales of Interpersonal Values (Locke, 2000). The the various goals and their mutual relationships.
principle of a circumplex structure implies that When standardized goal questionnaires (e.g., Elliot &
variables that measure interpersonal relations are Murayama,  2008; Ford & Nichols,  1991; Grosse
arranged around a circle in a two-dimensional space, Holtforth & Grawe,  2000; Grosse Holtforth &
with the dimensions being agency and communion. Grawe, 2003; Grosse Holtforth, Grawe, & Tamcan,
Personal goals are most often assessed in basic 2004; Reiss & Havercamp,  1998; Ryff,  1989) are
research using a combined idiographic–nomothetic utilized, the participants are presented with goals
approach. The first step (the idiographic part) is to that must be evaluated with respect to dimensions
ask the participants to generate a list of personal such as importance, strain, progress, or realization.

420 Motivation In Psychotherapy

Compared to other methods, standardized ques- degree of goal attainment can be assessed in the
tionnaires offer the advantage that the goal contents course of treatment or after termination by patients,
are comparable. Furthermore, goal assessment is less therapists, or independent raters. The goal attain-
dependent on recall processes (e.g., recency effects). ment scaling may then be viewed as individualized
However, the personal salience and ecological sensi- measures of treatment success (for a discussion of
tivity of the idiographic–nomothetic approach asso- methodological limitations of the individualization
ciated with the individual formulation of goals is of treatment goals including Goal Attainment
diminished by the standardized goal presentation. Scaling, see Hill, Chui, & Baumann, 2013; Hill &
Conflict matrixes are used to examine the interrela- Lambert, 2004; Watzke, Schulz, & Dirmaier, 2015).
tionship and possible conflicts among goals (e.g.,
Cox, Klinger, & Blount,  1999; Emmons & King, Personal Goals, Well-Being, and
1988). To measure the amount of goal integration or Psychological Problems
conflict that exists between pairs of goals, participants After considering methodological issues in assessing
compare each goal with every other goal and ask motivational constructs, we will now present research
themselves, “Does being successful in this goal have findings that underscore the importance of personal
a helpful, a harmful, or no effect on the other goal?”. goals for well-being and psychological problems.
A strategy to assess the person’s clinically relevant We will focus on personal goals because most of
personal goals is plan analysis (Caspar, 2011, 2018). the empirical research has used personal goals as a
According to Caspar, Grossman, Unmüssig, and unit of analysis. In everyday life, humans pursue
Schramm (2005), a “person’s plan structure is the multiple goals in various areas, such as family,
total of conscious and unconscious strategies this work, career, recreation, or spirituality, using vari-
person has developed to satisfy his or her needs” ous individual strategies (Karoly,  2006). Because
(Caspar et  al., 2005, p. 92). The patient’s plan there are a multitude of ways to pursue one’s goals
structure can be derived from various sources of in- successfully, there are also many ways to fail in
formation (e.g., biographical information, behav- reaching one’s goals. How effectively a person strives
ioral observations, and the patient’s impact on for his or her goals can be seen as key criterion of
others). The main question guiding the assessment effective adjustment (Karoly, 2006). Succeeding or
process is: What is the explicit or implicit purpose failing to reach one’s goals not only has important
of this patient’s behavior? In a simplified form, plan consequences for the individual’s happiness and
analysis can be done and used in collaboration with well-being (for reviews see Klug & Maier,  2014;
the patient to enhance his or her understanding of Schmuck & Sheldon, 2001), but also can contribute
certain parts of his or her functioning (Caspar, 2011, to the development and maintenance of serious psy-
2018). The result of a plan analysis is a graphic dis- chological problems and disorders.
play of the structure of the patient’s most important In the following, we will highlight selected
approach and avoidance goals as well as his or her ­findings as pertaining to the associations of goal
individual means (plans and behaviors) toward pur- functioning to well-being and psychopathology.
suing these goals. According to Pervin (1990), Karoly (1999), Grawe
Treatment goals can also be formulated and (2004), and Vansteenkiste and Ryan (2013), psy-
­assessed in a more or less standardized form. Various chopathology can develop when a person is unable
questionnaires and checklists for a standardized to attain his or her goals over an extended period
assessment of treatment goals have been developed of time, when goal attainment is threatened by
(e.g., Wood & McMurran,  2013; Driessen et  al., personal or external circumstances, or when dys-
2001; Grosse Holtforth, 2001; Kunkel & Newsom, functional processes occur in goal-oriented self-­
1996; A. Miller & Thompson, 1973). The attainment regulation. Concurrently, psychopathology can be
of individually formulated therapy goals can be seen as “disturbances to the normal processes and
measured using, for example, the Goal Attainment structures by which humans consciously and non-
Scaling procedure (Kiresuk, Smith, & Cardillo, consciously guide their actions, emotions, and
1994). In the first step, Goal Attainment Scaling thoughts in the service of achieving meaningful
procedures define possible areas of change. Then, life goals” (Karoly, 2006, p. 367).
the patient and therapist join forces to explore and Brunstein and Maier (2002) summarized findings
formulate as concretely as possible for each area from basic research on personal goals in a teleonomic
what would constitute an improvement to, stagna- model of subjective well-being (see Figure 23.1). In the
tion in, or deterioration of the current state. The teleonomic model, goal commitment, as well as

Westermann, Grosse Holtforth, And Michal ak 421

 Fit of goals (motive-congruence,
self-concordance,
content of goals)

Commitment to
Progress in Emotional
pursue personal
goal striving well-being
goals

Attainability of
personal goals

Figure 23.1  Teleonomic model of subjective well-being (Brunstein & Maier, 2002, p. 163, modified, Reprinted with permission).

goal attainability, is assumed to causally influence supports a person’s goals (Brunstein, 1993; Brunstein,
well-being. If someone pursues his or her goals with Dangelmayer, & Schultheiss,  1996; Ruehlman &
commitment (i.e., he or she identifies with the goals Wolchik, 1988).
and feels motivated to realize them) and if his or her However, a central assumption in the teleonomic
life situation facilitates the attainment of these model is that successful goal striving does not inev-
goals, progress in goal striving is more likely. Goal itably lead to happiness and well-being, because the
progress, in turn, is assumed to contribute to the goals also have to fit the person. Goals may be pur-
person’s emotional well-being. sued for extrinsic or intrinsic reasons, and the vari-
The basic assumptions of the teleonomic model of ous contents of goals also seem to make a difference.
emotional well-being have been supported by a mul- Many studies have shown that the pursuit of goals is
titude of research findings (Brunstein, Schultheiss, & especially associated with a sense of well-being if the
Maier,  1999). For example, through longitudinal goals are well integrated into the person’s self-system
studies on various groups of participants (Brunstein, (self-concordance; Sheldon, 2014), that is, if goals are
1999; Maier & Brunstein, 2001, Wiese & Freund, pursued because one has consciously accepted the
2005), it has been demonstrated that people who values underlying such behavior as personally impor-
(a) are strongly committed to strive for their goals tant and meaningful (identified regulation) or because
and (b) view their life circumstances as favorable for the pursuit of these goals is in itself satisfying and
goal striving achieved a greater degree of progress in rewarding (intrinsic regulation). In contrast, goals
goal attainment and greater increase in emotional are not integrated into the self-system if they are
well-being than people who were less committed to mainly pursued because of external reward (extrinsic
goals for which conditions were more unfavorable. regulation) or internal pressure (e.g. feelings of
In addition, people whose goals are in conflict with guilt or embarrassment, introjected regulation; for
each other or are poorly integrated (Michalak, reviews see Deci & Ryan, 2002; Kelly, Mansell, &
Heidenreich, & Hoyer, 2011) or who have goals that Wood,  2015). Whenever goals correspond with a
are abstract and not clearly formulated (Emmons, person’s personal values, interests, or motives or the
1996) show lower subjective well-being and satisfac- pursuit of the goals is itself satisfying, he or she will—
tion with life (for a meta-analysis, see Gray, Ozer, & even in times when the pursuit of goals is fraught
Rosenthal,  2017). Furthermore, dysregulated goal/ with difficulties or exertion—be more able to activate
action identification seems to relate to various psy- emotional resources and thus persist in the pursuit
chological symptoms and disorders such as depres- (e.g., Sheldon, Prentice, Halusic, & Schüler, 2015).
sion or social anxiety in the sense that patients with In addition, pursuing self-concordant goals is expe-
these disorders represent negative events at a more rienced as more effortless (Werner, Milyavskaya,
abstract and decontextualized level than healthy Foxen-Craft, & Koestner, 2016), and self-regulation
subjects (Watkins,  2011). In addition, more goal is supported by a congruence of motives and goals
progress can be also expected if the social network (Müller & Rothermund, 2018). Michalak, Klappheck,

422 Motivation In Psychotherapy

and Kosfelder (2004) showed that the degree of Furthermore, several studies found associations
self-concordance of goals is associated with levels of ­between goal conflicts, impaired well-being, and
psychopathology in patients with anxiety and mood psychopathology (for reviews see Kelly et al., 2015;
disorders. Concurrently, in a meta-analytical review Michalak et al., 2011).
by Koestner, Lekes, Powers, and Chicoine (2002), Pursuing a high proportion of avoidance goals
the positive effects of self-concordant goals on goal relative to approach goals is associated with less
attainment were consistently shown even after ­perceived goal progress and seems to be particularly
controlling for other relevant variables such as neu- detrimental to one’s well-being and functioning
roticism, goal efficiency, and commitment. (see Elliot & Friedman, 2007; Roskes, Elliot, & de
The content of goals can be differentiated in a Dreu, 2014; Tamir & Diener, 2008, for reviews).
similar, but not identical manner as the self-­ Avoidance goals may exert this negative influence
concordance of goals (Kasser & Ryan, 2001). Kasser because the monitoring and management of goal
and Ryan (1993,  1996) coined the term extrinsic process is harder for avoidance goals than for
goals for goals whose focus is to increase one’s status ­approach goals, because avoidance goals elicit more
in the eyes of others, compared to intrinsic goals, negative cognitions and emotions (Tamir & Diener,
which are geared toward the fulfillment of inherently 2008) and avoidance goals hinder the satisfaction
personal needs, such as competence, autonomy, of important personal goals as well as associated
and relatedness, and therefore fit people’s deeper, psychological needs (Grawe,  2004). Particularly,
psychologically fundamental needs. A series of an avoidance of aversive experiences may contribute
studies (e.g. Kasser & Ryan, 1993, 1996; Schmuck, to the development and perpetuation of mental prob-
Kasser & Ryan,  2000; Sheldon & Kasser,  1998) lems (Grosse Holtforth, 2008; Hayes, Strosahl, &
showed that people who mainly strove for extrinsic Wilson, 1999). Such negative experiences can relate
goals displayed a lower level of well-being than to various types of events, such as abandonment,
people who devoted their lives to the attainment of criticism, or failure (Grosse Holtforth, Grawe,
intrinsic goals (see also Kasser, 2016). Püschel, Schulte, Egger, & Berking, 2005). Also, approach goals that
and Michalak (2011) investigated associations are driven by avoidance motivation are associ-
­between goal fit and psychopathology in a sample of ated with depression (Sherratt & McLeod, 2013).
61 psychotherapy outpatients with heterogeneous For example, the approach goal “promotion at
diagnoses. In accordance with the teleonomic work” could serve the superordinate goal “partner
model, results showed that only motive-congruent not being disappointed” (Sherratt & McLeod,
goal progress was related to depression. Patients 2013, p. 1437).
who made more progress at goals that matched Empirical research showed that psychotherapy
their implicit motives experienced fewer depressive patients pursue more avoidance goals than normal
symptoms, whereas patients who failed to make controls and that the intensity of avoidance goals
progress at motive-matching goals experienced more correlates with the decreased levels of goal satisfac-
depressive symptoms. Motive-incongruent progress tion, poor well-being, severity of psychopathology,
did not have any effect on depressive symptoms. and other psychological problems in psychotherapy
Several studies with student samples demon- patients as well as in normal controls (Grosse
strated associations between goal functioning and Holtforth & Grawe,  2000,  2003; Oertig et  al.,
psychopathology. For example, in a study by Lecci, 2013; Roskes, Elliot, Nijstad, & de Dreu,  2013).
Karoly, Briggs, and Kuhn (1994), “negative” goal Moreover, avoidance goals might hinder patients’
characteristics such as high stress and difficulty, low attendance at an initial therapy appointment
goal structure, low expectations regarding control, (Murphy, Mansell, Craven, & McEvoy,  2016).
perceived insufficiency of own capabilities, and low However, avoidance goals do not have to be uni-
expectations of success were associated with in- formly maladaptive, but might protect individuals
creased depression and anxiety. Correspondingly, from being deeply frustrated and hurt in harmful
Cohen and Cohen (1996, 2001) found in an exten- environments (Grosse Holtforth, Bents, Mauler, &
sive prospective longitudinal study that children Grawe,  2006). Michalak, Püschel, Joormann, and
and adolescents who set high priority on materialis- Schulte (2006) examined avoidance tendencies in the
tic and hedonistic goals (i.e., extrinsic goals) showed explicit and implicit modes. In a sample of under-
a higher incidence of almost all Axis I and Axis II graduate students and psychotherapy patients,
diagnoses from the Diagnostic and Statistical Manual avoidance tendencies within the explicit system of
of Mental Disorders, third edition, later in life. personal goals as well as in implicit motives were

Westermann, Grosse Holtforth, And Michal ak 423

associated with psychopathological symptoms, even will use alcohol or other substances to find pleasure
when controlling for the other mode. and emotional relief. In various studies with students
Several studies examined goal functioning in with more pronounced alcohol-related problems,
specific mental disorders (Feixas et al., 2014; Michalak research showed that unfavorable goal structures
et  al., 2004; Stangier, Ukrow, Schermelleh-Engel, were associated with the amount of alcohol consumed
Grabe, & Lauterbach,  2007). Feixas et al. (2014) (Cox et  al., 2002; Fernandes-Jesus et  al., 2016,
demonstrated that patients with depression have more Kuntsche et al, 2014). Compared with students, alco-
goal conflicts than controls. Michalak et al. (2004) holic patients reported fewer goals and reported less
investigated the aspect of goal attainment as well as average commitment to them, but also reported
goal fit in a study with psychotherapy outpatients less average commitment relative to the return they
with anxiety and mood disorders. Both probability expected from their goal striving (Man, Stuchlikova, &
of goal attainment and, as mentioned previously, Klinger,  1998). It might be that alcoholics need
self-concordance of goals (intrinsically vs. extrinsi- more expected rewards to become committed to
cally motivated goal striving) correlated highly with goals. A study by Sevincer and Oettingen (2009)
symptom distress. In addition, Stangier et al. (2007) demonstrated that the relationship between goal
found that depressed inpatients showed higher scores striving and psychopathology is not unidirectional,
for inconsistencies among different goals/values as but a “double-edged causal sword” (Karoly, 2006,
well as between goals/values and their perceived p. 369). Sevincer and Oettingen (2009) found in an
­realization compared with controls. Strauman (2002; experimental study that alcohol consumption creates
Strauman & Eddington,  2017) proposed in his strong commitments even in light of low expecta-
self-regulation model of depression that individuals tions. However, in a longitudinal study, once sober
who are unable to pursue promotion goals effec- again, formerly intoxicated participants with low
tively are at risk for mood disorders because of their expectations did not follow up on their strong
chronic inability to satisfy these goals. In this model, ­commitments over a 3-week period. The authors
depression results from and maintains disruption of interpreted the findings as showing that alcohol seems
the mechanisms of incentive motivation (Dickson & to produce empty goal commitments, because com-
MacLeod, 2004; Strauman et al., 2006). Recently, mitments are not based on individuals’ expectations.
Strauman (2017) generalized his model to a generic In contrast, the expected short-term effects of alcohol
framework of psychopathology based on dysfunc- consumption (e.g., pleasure or relief ) are in line with
tional self-regulation. Empirical studies indeed the underlying motives (e.g., enhancement and
­indicate that an inability to attain promotion goals coping, respectively) in the daily life of individuals
is predictive of dysphoric mood and depressive with regular use, according to an experience sampling
symptoms (e.g., Scott & O’Hara,  1993) and that study (Piasecki et al., 2014). Taken together, these
psychosis is accompanied by higher goal incongru- findings corroborate the motivational model of alco-
ence (i.e., a lesser degree of goal attainment) compared holism by Cox and Klinger (1988, 1990, 2011).
to healthy controls (Westermann, Moritz, Caspar, &
Cavelti, 2017). Motivational Factors in Psychotherapy
Therapy motivation is a central issue in the Research and Practice
­treatment of patients with substance abuse disorders In the following, we will examine various ways
(Philips & Wennberg,  2014). In the motivational in  which motivational factors are relevant in the
model of alcoholism by Cox and Klinger (1988, 1990, ­practice of psychotherapy—either as a facilitators of
2011), dysfunctional goal characteristics ­possess a treatment process and outcome or as targets of
central role as pathogenic factors in the development ­psychological change. First, we will examine the role
and maintenance of substance abuse and addictions. of motivational factors in psychotherapy as they
The model assumes that the balance between the occur naturally in the process of treatment and
expectation of positive and negative affective conse- then we will outline therapeutic interventions that
quences of substance use determines the course and explicitly aim to change motivational factors.
outcome of an episode of alcohol consumption. The
satisfaction a person is able to draw from other areas goals, therapy motivation,
of his or her life strongly contributes to the decision and motive change
for or against the consumption of alcohol. When a Zuroff et al. (2007) examined the role of autonomous
person is unable to get satisfaction from other sources motivation in a randomized controlled trial com-
of reinforcement, the risk increases that he or she paring interpersonal therapy, cognitive-behavioral

424 Motivation In Psychotherapy

therapy, or pharmacotherapy with clinical manage- ­ erspective, how well a behavior is received by
p
ment for depressed outpatients. They found that another person depends on how effectively a behav-
­autonomous motivation assessed at Session 3 was a ior helps to satisfy the other person’s needs and goals.
stronger predictor of outcome than therapeutic According to Ryan and Deci (2000), a therapeutic
alliance across all three treatments. In addition,
­ relationship promoting the fundamental needs for
patients who perceived their therapists as more
­ competence, autonomy, and relatedness constitutes
­autonomy supportive reported higher autonomous a prerequisite for a successful integration of goals
motivation. In a recent study, Zuroff et al. (2017) into the self-system. If basic needs are met during
demonstrated that therapists who are able to foster therapy, this seems to be accompanied by fewer
autonomous motivation in their patients are more early terminations and better working alliance
effective (i.e., attain better outcomes). Moreover, (Keleher, Oakman, Capobianco, & Walter, 2017).
Dwyer et al. (2011) revealed a positive effect of the However, a therapist can go beyond supporting
degree of autonomy satisfaction on outcome in generic psychological needs that are assumed to be
cognitive-behavioral group therapy. Thus, it seems shared by all human beings. For this, the therapist
that fostering autonomous motivation in psycho- may individualize his or her behavior to accommo-
therapy is a general facilitator of favorable treatment date the patient’s individual goals. In their motiva-
outcomes. tional attunement approach, Grosse Holtforth and
Certain goal characteristics might influence the Castonguay (2005) described ways to tailor therapeu-
therapeutic process by enhancing or decreasing the tic interventions to the patient’s goals and motives
motivation to actively engage in treatment and to to foster the therapeutic relationship and therapeu-
attain treatment goals. Ryan, Plant, and O’Malley tic outcome. By showing motivationally attuned
(1995) found that alcoholic patients who were pres- ­behavior, the therapist attempts to satisfy important
sured to participate in a treatment program showed approach goals of the patient while activating avoid-
higher dropout rates compared to patients who expe- ance goals no more than necessary. Motive-oriented
rienced their participation as more intrinsically therapeutic relationship building is a prescriptive
motivated. In addition, Michalak et al. (2004) inves- model that enables therapists to proactively address
tigated the correlation of optimism about goal attain- patient’s approach and avoidance motives to prevent
ment and the self-concordance of patients’ general problematic behaviors that impede the therapeutic
goals with session outcome. Optimism as well as process such as excessive complaining (Caspar,
goal fit (i.e., self-concordance of goals) correlated 2011, 2018). Within the motive-oriented therapeutic
strongly with session success. This correlation was relationship framework, it is assumed that each
not mediated by the patients’ psychopathological problematic behavior has a superordinate, acceptable,
state, so it can be assumed that motivational aspects and thus unproblematic motive (e.g., avoid losing
are responsible for the correlation. Klappheck and control). Plan analysis is an approach that allows
Michalak (2009), analyzing the same sample, found therapists to infer the motives of individual patients
that only optimism to reach the goal of symptom (Caspar,  2011,  2018). Motive-oriented therapeutic
relief was related to treatment outcome. However, in relationship building and plan analysis have been
contrast to session outcome, self-concordance of goals shown to be clinically useful according to a growing
failed to predict treatment outcome. body of research (e.g., Brüdern et al., 2015; Kramer,
Caspar, & Drapeau, 2013; Kramer et  al., 2014a,
Motivational Interventions as 2014b) and has been also recommend for groups
Facilitators of Change such as patients with schizophrenia (Westermann,
Therapists can use motivational factors to facilitate Cavelti, Heibach, & Caspar, 2015).
change in at least two ways. Therapists can foster a A motivationally attuned therapist behavior is
good therapeutic relationship by tailoring the ther- assumed to foster each of the essential parts of the
apy to the patient’s motives and they can try to for- therapeutic alliance: therapeutic bond, agreement
mulate maximally helpful treatment goals. on therapeutic tasks, and agreement on therapeutic
goals (Bordin, 1979). The motivational attunement
Fostering the Therapeutic Relationship approach is similar to alliance fostering therapy pro-
One of the most important tasks of a therapist at the posed by Crits-Christoph et al. (2006), which is
beginning of psychotherapy is to establish a good conceptualized as a supplement to existing empiri-
therapeutic relationship and productive working cally supported therapies. Among other techniques,
alliance (Horvath,  1995). From a motivational maximally informing patients about the indicated

Westermann, Grosse Holtforth, And Michal ak 425

therapeutic procedures and discussing them with the patients’ goals and therapists’ goals found in earlier
patients until reaching an agreement will foster task studies indicates that it is necessary for the therapist
agreement (Crits-Christoph et al., 2006). The thera- to explicitly strive for this agreement (Dimsdale,
pist may also bolster motivationally unattractive tech- 1975; Dimsdale, Klerman, & Shershow, 1979; Moritz
niques by putting the task into the service of other et al., 2017; Polak, 1970; Schöttke, Trame, & Sembill,
approach goals and by activating other resources. 2014; Thompson & Zimmerman, 1969). A study by
For example, the therapist might say, “This exposure Schöttke et al. (2014) with a sample of 473 patients
exercise will finally enable you to spend relaxed indicated that a higher number of problem- and
afternoons downtown shopping with your daugh- symptom-focused therapy goals predict lower out-
ter and enjoying life a little more.” Motivational come. However, the study left unclear whether the
attunement may also help to prevent alliance rup- quantity of goals was detrimental or the quality
tures (Safran & Muran,  2000). Empirical results (e.g., not positive formulated goals such as “symp-
show that potential precipitants of alliance ruptures tom relief ”).
occur as either “therapist does something that the In the process of goal definition, the therapist
patient does not want or need” or “the therapist fails helps the patient to translate the often vaguely
to do something that the patient wants or needs” worded treatment objectives and wishes into well-
(Ackerman & Hilsenroth, 2001, p. 183). Therefore, formed therapeutic goals, so that they optimally
a therapist will be well advised to be aware of the fulfill the above-cited functions (e.g., Hanley, Sefi, &
patient’s salient approach and avoidance goals to Ersahin, 2016). Complementarily, patients can use
(a) not to miss important expectations or needs or self-­administered checklists as a structured goal
(b) commit interactional blunders that fit the patient’s assessment technique (Ramnerö & Jansson, 2016).
individual vulnerabilities. From this perspective, a Several characteristics of a well-formed therapeutic
problematic behavior such as refusing to take medi- goal can be formulated (Michalak & Grosse
cation can, for example, be understood as a patient’s Holtforth, 2006; Willutzki & Koban, 2004).
attempt to defend his or her need for autonomy Optimally, treatment goals are negotiated and
(Westermann et al., 2015). agreed on with the patient. In the goal selection
process, those goals should be preferred that corre-
Formulating Treatment Goals spond with a patient’s intrinsic (approach) goals so
Treatment goals may first come to mind when think- that they hold a maximum positive valence, urgency,
ing about goals in psychotherapy. Because patients and importance for the patient. The goals should
and therapists may have different goals for therapy, describe a change, an increase in skills, or the pres-
it is important to distinguish treatment goals from ervation of facilitative conditions. Therapists should
(a) naive treatment concerns presented by the ensure that the goals a patient chooses or formu-
­patients and (b) treatment goals defined exclusively lates are attainable. Complex and long-term goals
by the therapist. An agreement on therapy goals is should be divided into sufficiently concrete and
considered a central ingredient of the working alli- feasible low-level goals and should be divided into
ance. Naive treatment concerns are what a patient steps small enough for the patient to be able to
hopes to accomplish in the course of therapy and translate them into action. Goal attainment should
are usually closely connected to the problem the be initiated and maintained by the patient. Goals
person suffers from. These naive treatment concerns should not be in conflict with one another, and
can be seen as a subset of the patient’s general per- goal formulation should entail simple, concrete,
sonal goals (Pöhlmann,  1999). Naive treatment specific, observable, and detailed descriptions of
concerns may or may not parallel the goals for the current problematic state as well as the aspired
­therapy that the therapist holds. However, what the goal state. In addition, therapeutic goals should be
therapist sees as the goals of treatment maybe strongly formulated positively as approach goals (“to be
influenced by various factors, including therapeutic able to go shopping by myself ”) as opposed to
orientation (Arnow & Castonguay, 1996; Dirmaier, avoidance goals (“no longer scared when alone
Harfst, Koch, & Schulz,  2006; Philips, 2009). outside”). The goal-striving process should be
Empirically, agreement between the patients’ and the supported by implementation intentions (i.e.,
­
therapists’ treatment goals seems to have positive specifications as to when and where the goal will
­effects on the process and outcome of psychother- be pursued and how obstacles will be dealt with; see
apy (Tryon & Winograd,  2011; Wampold, 2015). Gollwitzer & Brandstätter, 1997) or other kinds of
However, the rather low correspondence between goal setting (Epton, Currie, & Armitage,  2017)

426 Motivation In Psychotherapy

and the patient’s social environment should be Such findings help to adjust therapist expectations
motivated to support the patient’s goals. Finally, and may serve as references for evaluating treatment
goals should be clearly measurable so the patient progress in various disorders.
can see the progress and feel motivated to further
engage in therapy. Changing Motivational Factors by
Empirical studies show that patients’ treatment Psychotherapy
goals differ depending on patients’ diagnoses. For First, we will describe general models of psychologi-
example, psychotherapy patients with eating or anx- cal change that ascribe a central role to motivational
iety disorders show a higher proportion of explicitly factors for change in psychotherapy. Then we will
symptom-oriented goals (e.g. “having fewer epi- demonstrate examples of interventions that have an
sodes of binge-eating,” “being able to go shopping explicit motivational focus. A fundamental assump-
by myself again”; Faller & Goßler,  1998) than do tion of attempts to change motivational factors in
patients with mood disorders. The latter show—in psychotherapy is that motivational change will con-
addition to disorder-typical goals (e.g., “being able tribute to symptom change and improvement of
to find pleasure in everyday activities”)—many well-being.
goals that focus on interpersonal or existential issues
(e.g., “resolving my marital conflicts”). Similar diag- General Models of Change
nostic differences could be found in other samples We will describe three general models of behavior
of in- and outpatients (Berking, Grosse Holtforth, change that are particularly relevant to psychotherapy.
Jacobi & Kröner-Herwig,  2005; Dirmaier et  al., These models are the Rubicon model of action phases
2006; Grosse Holtforth & Grawe,  2002; Grosse (Heckhausen, Gollwitzer, & Weinert, 1987), the
Holtforth, Reubi, Ruckstuhl, Berking, & Grawe, change model of general psychotherapy (Grawe, 1997),
2004; Grosse Holtforth, Wyss, Schulte, Trachsel, & and the transtheoretical model (TTM; Prochaska,
Michalak, 2009; Uebelacker et al., 2008). DiClemente, & Norcross, 1992).
So far, only a few studies have examined the The Rubicon model of action phases (Heckhausen
­association between the content of therapeutic goals et  al., 1987) is a well-established psychological
and therapy outcome. In a study analyzing the model for goal-oriented action that can be profitably
treatment goals of 2,770 inpatients in psychoso- applied to psychotherapy. Figure  23.2 shows the
matic rehabilitation, Berking et al. (2005) found ­different phases of the model. In the motivation phase,
that the level of goal attainment differed between goal a person contemplates his or her goals; the phase is
categories. For example, goals such as “reducing my completed by the formulation of an intention,
panic attacks” or “learning to accept myself better” constituting the shift from choosing to wanting.
had much better prospects of success than the goal From here on, all processes are directed toward the
“coping with my sleep problems” or “experiencing implementation of the decision, that is, toward
less pain.” Heapy and colleagues (Heapy et al., 2018) the attainment of a particular goal. Subsequently,
demonstrated that specific therapy goals of patients the person plans how to reach the goal, screens out
with chronic pain had an effect on pain intensity. competing intentions, and ultimately executes

Intention Intention Intention

formation initiation deactivation
Intention
realization
Motivation Volition Volition Motivation
“Rubicon”

Choosing Preaction phase Action Evaluation

Figure 23.2  The action phase model (Rubicon model) by Heckhausen, Gollwitzer and Weinert (adapted from Grawe, 2004, p. 50,
Reprinted with permission).

Westermann, Grosse Holtforth, And Michal ak 427

a­ dequate action. After realizing the action, the person For example, psychodynamic therapies predomi-
evaluates the action consequences with reference to nantly use interventions aiming at motivational
the pursued goal. clarification. To the right of the Rubicon, that is, when
In general psychotherapy (Grawe,  1997) the a patient has clear and strong intentions, the
term general denotes that rather than defining one’s ­therapist’s activities are geared toward supporting
interventions by therapy schools, therapists concep- the patient in implementing his or her intentions.
tualize their interventions in terms of general Behaviorally oriented therapies work predominantly
change factors. The assumed general change factors are on the right side of the Rubicon.
resource activation, problem actuation, motivational Perhaps the most testable of the mentioned gen-
clarification, and problem mastery. Whereas resource eral models is the transtheoretical model (Prochaska
activation and problem actuation are considered et al., 1992). The TTM describes the process of psy-
catalysts for change, motivational clarification and chological change as going through six subsequent
problem mastery refer to specific types of corrective stages: precontemplation, contemplation, preparation,
experiences (Alexander & French, 1946; Goldfried, action, maintenance, and termination. Individuals
1980). Motivational clarification, which is of partic- may also return from action or maintenance to an
ular relevance for this chapter, involves becoming earlier stage (relapse). Heckhausen, Gollwitzer,
aware of the motivational background of unpleasant and Weinert’s (1987) decisional Rubicon could be
emotions and reevaluating negative primary apprais- located between the contemplation and prepara-
als of situations and events (Grosse Holtforth, Grawe, tion phases. The authors also advise therapists to
& Castonguay,  2006). The psychotherapist for adjust their relational stance toward the patient to
each patient individually combines empirically each individual’s stage of change. Prochaska and
supported interventions that correspond to these Norcross (2001) proposed that in the precontem-
mechanisms of change based on a case formulation plation stage, the therapist should behave like an
and treatment plan (Caspar & Grosse Holtforth, understanding parent, later morphing into a Socratic
2010). In an experimental study with heterogeneous teacher in the contemplation phase. In the prepa-
outpatients Grosse Holtforth, Grawe, Fries, and Znoj ration phase, the therapist should assume the posi-
(2008) demonstrated differential effects for general tion of an experienced trainer, stepping behind again
psychotherapy depending on motivational factors. as a counselor in the action and maintenance
General psychotherapy, which combines motivation- phases. Research indicates that tailoring the therapy
ally clarifying interventions with mastery-oriented relationship and treatment intervention to the stage
interventions, yielded stronger reductions of inter- of change can enhance outcome, specifically in the
personal problems for patients with high levels of percentage of patients completing therapy and in
avoidance motivation compared to a cognitive-­ the ultimate success of treatment (Norcross, Krebs,
behavioral condition that focuses on mastery-­oriented & Prochaska, 2011).
interventions only. Although the TTM has been criticized, for exam-
Grawe (2004) adapted the Rubicon model for ple, for inconclusive empirical foundation as well
the systematization of change processes in psycho- as unresolved assessment problems, the TTM, like
therapy. In the Rubicon model, the therapist’s goal the Rubicon model and the change model of general
is to help the patient move through the phases of psychotherapy, possesses great heuristic value for
action to enable the patient to realize an action that practicing clinicians to conceptualize and structure
fulfills his or her psychological needs. Because the their interventions. In addition, empirical studies
Rubicon constitutes the difference between choos- corroborated the interplay of mechanisms from the
ing and wanting, the therapist may help the patient change model of general psychotherapy and the
on both sides of the Rubicon. The therapist may TTM (Mander et al., 2014).
help the patient to form clear intentions (motiva-
tional clarification) or to realize his or her intentions Motivational Change as a Central
(problem mastery), or both. By motivationally Mechanism
clarifying interventions, the therapist guides the
­ Motivational factors may change in psychotherapy,
­patient’s attention to the process of choice, raises even if motivational change is not explicitly part of
awareness for the involved motivational forces (wishes, the therapy rationale, or motivational factors may
fears, expectations, standards, etc.), and attempts to be the central mechanism of change that therapists
strengthen the patient’s volition by changing the explicitly try to implement. As an example of natu-
patient’s intentions in clarity, direction, or strength. ralistic motivational change, several authors found

428 Motivation In Psychotherapy

that unfavorable goal characteristics changed, even motivational interviewing (W. R. Miller & Rollnick,
without an underlying explicit rationale for working 2002), an approach that combines various motiva-
on these goal characteristics. For example, motiva- tional strategies to further treatment motivation
tional factors that were found to change in psycho- and therapy outcome, as well as other approaches
therapy were strong avoidance motivation (Grosse that aim at the resolution of patient ambivalence.
Holtforth et al., 2005), goal conflicts (Heidenreich, Two approaches for the treatment of emotional dis-
2000; Hoyer, Fecht, Lauterbach, & Schneider, 2001; orders that explicitly work on motivational factors
Michalak, 2000), or goal satisfaction (Berking, Grosse are self-system therapy (SST; Strauman & Eddington,
Holtforth, & Jacobi,  2003; Grosse Holtforth & 2017; Strauman et al., 2006) and well-being therapy
Grawe, 2002), and experiential avoidance (Ellis & (WBT; Fava & Tomba,  2009). Another approach
Rufino, 2016; Espejo, Gorlick, & Castriotta, 2017; that focuses on motivational change as a main change
Eustis, Hayes-Skelton, Roemer, & Orsillo,  2016; mechanism and has been explicated for several
Widdowson, 2014). ­psychological disorders is the acceptance and com-
Even though motivation can change even in mitment therapy (ACT; Hayes et al., 1999). Finally,
therapies that do not explicitly target motivational in the field of personality disorders, clarification-
variables, several approaches have been developed oriented therapy targets motivational change for
directly targeting motivational change. Some inter- changing patients’ dysfunctional interactional behav-
ventions have been tested in studies with nonclini- iors (Sachse, 2004).
cal populations that might be used as a heuristic for Motivational interviewing (W.  R.  Miller &
clinical interventions. For example, Roch, Rösch, Rollnick, 2002) is both a treatment philosophy and
and Schultheiss (2017) tested an intervention that a set of methods employed to help people increase
facilitates congruence between implicit motives and intrinsic motivation by exploring and resolving
explicit goals against two control conditions in a ­ambivalence about behavioral change. Motivational
nonclinical sample of 77 students. The intervention interviewing is highly compatible with the thera-
was accompanied by an increase in motivational peutic goal of fostering autonomous motivation for
congruence in the domain of power and achieve- therapy (Ryan & Deci,  2008). In motivational
ment, but not affiliation. Sheldon, Kasser, Smith, and interviewing, the therapist neither persuades nor
­
Share (2002) designed an intervention to ­improve ­coerces patients to change, but instead attempts to
self-concordance and integration of goals. In the explore and resolve the patients’ ambivalence, allow-
intervention, participants are asked to reflect on ing them to decide for themselves about whether they
their goals and are taught four specific strategies for want to change or not (Ryan & Deci, 2008). When
the regulation of goal-related experience, such as working with ambivalence and resulting resistance
Own the goal, Make it fun, Remember the big picture, against change, the therapist supports the patient by
and Keep a balance (Sheldon et al., 2002). Empirical confronting, exploring, and challenging introjected
results indicate that participants already high on past experiences of conditional regard (Assor, Roth, &
personality integration benefited the most from the Deci,  2004). Such introjects may, for example,
program in terms of goal attainment, whereas par- hinder a patient to disclose his or her feelings to the
ticipants with low levels of self-concordance did not therapist out of fear of disapproval. By providing an
profit from the program. Furthermore, goal attain- autonomy-supportive atmosphere, the motivational
ment may be facilitated by the formation of imple- interviewing therapist helps his or her patient to find
mentation intentions specifying the where, when, an internal source of motivation that guides and
and how of goal pursuit (Gollwitzer, 1993; Koestner fuels his or her future change efforts (Markland,
et al., 2002), also in populations with mental health Ryan, Tobin, & Rollnick, 2005). The therapist tries to
problems (Toli, Webb, & Hardy, 2016). improve intrinsic motivation by helping the patient
In the following we will highlight sample thera- become the primary agent of change (Arkowitz &
peutic approaches that attempt to influence goal Westra,  2009). Initially, motivational interviewing
processes at various levels. Whereas motivational was established in the area of alcohol and other sub-
change is at the core of psychodynamic approaches stance abuse (W. R. Miller & Rollnick, 2002) and
and these therapeutic approaches are rather well more recently was used in the context of a wider
known (e.g., Luborsky & Crits-Christoph,  1998), range of clinical problems (see Buckner, 2009; Westra,
we will focus here on more recent approaches for Constantino, & Antony, 2016).
the treatment of emotional problems that explicitly Self-system therapy was developed by Strauman
target motivational change. First, we will describe et al. (2006) and is based on a model of depression

Westermann, Grosse Holtforth, And Michal ak 429

as a disorder of motivation and goal pursuit resulting (8–12 sessions), that is, cognitive restructuring,
from chronic failure to attain certain kinds of scheduling of activities, assertiveness training, and
­personal goals. In an earlier study, Strauman et al. problem solving in addition to self-observation of
(2001) found that various empirically supported positive experiences.
treatments (cognitive therapy, CT; [A.  T.  Beck, In early therapy the therapist helps the patient to
Rush, Shaw, & Emery, 1979; J. S. Beck, 1995], inter- develop skills to continuously attend to positive
personal psychotherapy [Klerman, Weissman, aspects of daily experience or positive emotions using
Rounsaville, & Chevron, 1984], and pharmacother- structured diaries. Subsequently, the therapist helps
apy with selective serotonin reuptake inhibitors) were the patient to identify thoughts and beliefs leading
less effective for depressed patients with chronic to premature interruption of well-being by self-­
self-perceived failure in promotion goal pursuit than observation and challenges these thoughts (A. T. Beck
for other patients. According to regulatory focus theory et  al., 1979). In parallel, the therapist reinforces
(RFT; Higgins, 1989), promotion goals are aimed at and encourages activities that are likely to elicit
making good things happen, whereas prevention well-­being by graded task assignments. In the final
goals are aimed at preventing bad things from hap- sessions, the therapist instructs the patient to self-
pening. If this subgroup of depressed patients was monitor the course of episodes of well-being and
vulnerable to depression because of inadequate so- optimize behaviors aiming at the attainment and
cialization toward pursuing promotion goals, then preservation of well-being. Well-being therapy can
SST interventions to enhance promotion goal pur- be applied as a stand-alone therapy or as an addition
suit might help them recover from depression more to other forms of psychotherapy or pharmacotherapy.
completely. Strauman and colleagues summarized However, WBT is considered most appropriate for
SST in four questions directed to the patient: treating nonacute depression to address aspects that
“What are your promotion and prevention goals? have been omitted by other approaches (Fava &
What are you doing to try to attain them? What is Tomba,  2009). In an empirical test of WBT, 20
keeping you from making progress? What can you ­patients with depressive and/or anxiety disorders
do differently?” (Strauman et al., 2006, p. 368). To (major depression, panic disorder with agoraphobia,
improve the patient’s pursuit of promotion goals, social phobia, generalized anxiety disorder, obsessive–
SST flexibly combines techniques from other empiri- compulsive disorder) who had been successfully
cally supported psychotherapies, including cognitive treated by behavioral (anxiety disorders) or pharma-
therapy, interpersonal psychotherapy, and behav- cological (mood disorders) methods were randomly
ioral activation therapy, in the service of improved assigned to either WBT or CBT. Whereas both
goal pursuit. In a randomized trial comparing SST therapies showed a significant reduction in residual
with cognitive-behavioral therapy (CBT) in a sample symptoms as well as an increase in psychological
of 49 patients with depression, SST and CBT on well-being, WBT showed a significantly greater
average showed equal efficacy between treatments, ­reduction of residual symptoms immediately after
but patients with self-regulation deficits showed sig- treatment (Fava & Tomba, 2009; Weiss, Westerhof,
nificantly greater improvement with SST (Eddington, & Bohlmeijer, 2016).
Silvia, Foxworth, Hoet, & Kwapil, 2015). Acceptance and commitment therapy (Bach &
Well-being therapy (Fava & Tomba,  2009) is Hayes, 2002; Hayes et al., 1999) focuses on reducing
based on Ryff’s cognitive model of psychological experiential avoidance, which is considered a patho-
well-being (Ryff, 1989), which proposes six dimen- logical factor. Avoiding private experiences (i.e.,
sions of psychological well-being: environmental ­certain thoughts, feelings, or body sensations) is
mastery, personal growth, purpose in life, autonomy, ­assumed to result in failure to behave in a way that
self-acceptance, and positive relations with others. is in accord with one’s values. As the acronym ACT
Although labeled dimensions of well-being, these di- indicates, patients learn to accept their reactions
mensions are very similar to other motivational and be present, choose a valued direction, and take
constructs, for example, the dimensions of goal sat- action to develop more psychological flexibility
isfaction (Grosse Holtforth & Grawe, 2003). A WBT (Hayes et al., 1999). Patients are guided to face and
therapist strives to help the patient achieve better overcome experiential avoidance by learning to
well-being on all six dimensions to increase resilience perceive their inner experiences (thoughts, images,
(Fava, 1999; Fava & Ruini, 2003). To reach this emotions, memories, etc.) without any evaluation,
goal, WBT integrates psychological techniques by allowing and accepting them to come and go
from various sources within a short-term format without resisting them, by experiencing the here

430 Motivation In Psychotherapy

and now with openness and interest, and by observ- (e.g., abusing drugs or alcohol). Consequently, the
ing the processes within the self. The therapist focuses goal of motivation-focused ­interventions for per-
on values by helping the patient to discover what sonality disorders according to Horowitz’s model is
he or she considers most important in life, to set to change problematic interpersonal behavior by
goals according to these values, and to carry them changing the assumedly underlying motivational
out. A characteristic of ACT that distinguishes it structure. This should lead to more adaptive inter-
from, for example, CBT is that ACT focuses less personal strategies and behaviors that, in turn,
on symptom reduction than on empowering ­patients should lead to a better satisfaction of the full range
to pursue their goals in accordance with their of the person’s goals.
important values. Acceptance and commitment
­
Sachse (2010) proposed a conceptualization and
therapy has shown significant effects with a variety treatment of personality disorders (clarification-
of clinical disorders and problems; however, the oriented psychotherapy) that is compatible with
body of well-controlled studies does not suffice yet these assumptions. Like Horowitz (2004), Sachse
to conclude that ACT is generally more effective (2010) assumed that over their lives, people with
than other active treatments (Hacker, Stone, & personality disorders have developed a preponder-
MacBeth,  2016). For example, Forman, Herbert, ance of certain motives as well as dysfunctional
Moitra, Yeomans, and Geller (2007) found in a ran- interactional goals, strategies, behaviors, and
­
domized controlled effectiveness trial of ACT and ­cognitions for the satisfaction of these motives,
cognitive therapy for anxiety and depression that which he calls game structures. These game structures
patients in cognitive therapy and ACT showed large (i.e., often manipulating and opaque styles of inter-
and equivalent improvements in depression, anxi- action to force a partner to satisfy motives) consti-
ety, and other outcomes. However, the mechanisms tute the characteristics of people with personality
of action differed between the therapies; observing disorders. Thus, the actions of a patient with a
and describing one’s experiences mediated out- ­personality disorder are governed by predominant
comes for patients in the cognitive therapy group, motives as well as the developed game structures.
whereas experiential avoidance, acting with aware- In clarification-oriented psychotherapy, the thera-
ness, and acceptance mediated outcomes for those pist tries to help the patient explicate his or her
in the ACT group. interpersonal motives, change the associated dys-
Personality disorders can be characterized by the functional interpersonal schemas (goals, strategies,
interpersonal problems the patients experience. and behaviors), and establish new need-satisfying
According to the interpersonal theory of personality motivational-behavioral patterns in real-life inter-
disorders, salient frustrated motives are the potential actions. For example, with narcissistic patients,
reasons underlying interpersonal problems (Horowitz, therapists attune their behavior to the assumed
2004). Accordingly in Horowitz’s (2004; Horowitz narcissistic motives by normalizing the patient’s
et al., 2006) model of interpersonal motives, a person problems, maximally validating the patient’s
with a certain personality disorder is assumed to feel ­resources (but not the dysfunctional strategies),
frustrated with respect to some salient motive. For and cautiously directing attention to the discrep-
example, for patients with a narcissistic personality ancy between the patient’s self-doubts and his or
disorder, the assumed organizing motive is unre- her ­ resources. This discrepancy in conjunction
stricted admiration by other people. Consequently, with awareness of the costs of the maladaptive
narcissistic people may show behaviors like brag- ­behavior is assumed to fuel the patient’s motiva-
ging about their exceptional achievements. As a tion for change. Subsequently, the therapist moves
result, they often appear rather arrogant and repel to reconstructing the schemas and to practicing
other people, so that the person reports character- new, more adaptive strategies and behaviors for
istic ­recurring cognitions, fears, and interpersonal motive satisfaction in real-life interactions with less
problems, which are described as the diagnostic adverse side effects. Clarification-oriented psycho-
criteria in the Diagnostic and Statistical Manual of therapy has been explicated also as a general strat-
Mental Disorders, fifth edition. In response to fail- egy for other clinical disorders (Sachse,  2003).
ure to ­ satisfy the predominant interpersonal However, a recent randomized controlled trial
motive, a person with a personality disorder may with a total of 323 patients indicated that clarifi-
experience negative emotions, show maladaptive cation-oriented psychotherapy is not as effective
behavioral strategies (e.g., oversensitive counterat- as schema therapy (Bamelis, Evers, Spinhoven, &
tacks), or retreat to maladaptive coping strategies Arntz, 2014).

Westermann, Grosse Holtforth, And Michal ak 431

Conclusion: A Motivationally Informed which goals the patient cannot satisfy enough, and
Psychotherapy what the sources of the dissatisfaction are. The
In the concluding section, we will try to summa- sources of lacking goal satisfaction may be heteroge-
rize the implications of basic and clinical research neous, such as marital problems, academic failure,
for a motivationally informed psychotherapy. In a and discrimination at work. Motivational sources of
motivationally informed psychotherapy, psycho- goal dissatisfaction may be approach goals that are
therapists are faced with at least two tasks: on the too strong (e.g., very high standards for personal
one hand to help the patient change the factors achievement) or too strong avoidance goals (e.g.,
maintaining their psychological disorder(s) and on being very easily hurt by critical remarks of others).
the other hand to foster conditions that support Also, goal conflicts or ambivalences may be power-
the patient’s treatment motivation (see Schulte & ful sources of goal dissatisfaction (e.g., being ambiv-
Eifert, 2002). alent about ending the relationship to an alcoholic
A primary goal of psychotherapy is to decrease spouse may seriously hamper the patient’s wishes to
psychopathology and associated suffering. From a be in control of one’s life). Goal satisfaction may
motivational perspective, the overall goal of psycho- also be hindered if the person has not developed ad-
therapy can be defined more broadly as helping the equate strategies for goal satisfaction (e.g., bragging
patient to better satisfy his or her psychological behavior of narcissists). A motive-oriented treat-
needs, which should go along with better well-being ment plan will then outline motive-related ways to
and life satisfaction. Under this perspective, motiva- improve the conditions for change as well as ways
tional factors are considered one of the principle to  change motivational factors that contribute to
sources of psychological suffering that psychother- lacking goal satisfaction (Caspar, 2011).
apy is supposed to change. However, part of the The therapist can create favorable conditions for
therapeutic enterprise may also be to assist the pa- change by fostering a good therapy relationship via
tient in accepting and coping with problems that motivational attunement and by formulating ade-
are unchangeable, such as losses of significant others quate therapy goals. As shown in section Fostering
or one’s own limitations as, for example, caused by the Therapeutic Relationship, motivational attun-
physical disabilities. ement aims at strengthening the working alliance by
To optimally be aware of, use, and change mo- attuning to the patient’s most important approach
tivational factors in psychotherapy, a therapist has goals, by avoiding to inadvertently activate avoid-
various options for assessing motivational constructs. ance goals, and by using the motivational informa-
For reasons of practicality, the therapist will use tion to understand and resolve occurring alliance
observational, interview, or questionnaire methods ruptures. The treatment goals that the patient and
of assessment most likely in conjunction with an- therapist agree on at the outset of treatment should
amnestic information, rather than more stringent concretize the directions the therapy should take for
yet time-consuming methods of assessing implicit satisfying the patient’s personal goals. If a patient
motives. However, novel approaches such as meas- experiences difficulties in formulating clear treat-
uring motivational incongruence and conflicts during ment goals, strategies of goal imagery and goal con-
daily life of patients using experience sampling cretization may help the patient to get a clearer
might provide an additional data source for treat- picture of what he or she wants to achieve with the
ment planning and personalization (Westermann help of the therapist. The therapist will focus goal
et al., 2019). Motivational constructs that the ther- formulation on positive outcomes associated with
apist may assess at intake are therapy motivation, the planned changes and define goals that corre-
values, personal goals, motivational conflicts, and spond well with the patient’s values and motives and
treatment goals. If the therapist wants to use motive- are compatible with each other.
related measures for quality assurance purposes, Treatment goals should be formulated as approach
the improvement of goal satisfaction may be goals (“I will be able to confront my boss assertively
the central construct to assess (Grosse Holtforth & when I disagree”) instead of avoidance goals (“I no
Grawe, 2004). longer avoid confronting my boss when I disagree”),
For a motivation-focused case formulation, it should be controllable and attainable, and should be
will be central to get a clear picture of which ap- formulated as concretely as possible, and the criteria
proach goals the patient deems important, which for goal attainment should be explicitly stated.
avoidance goals he or she dreads most strongly, how Well-chosen and well-formulated therapy goals will
strong the suffering from goal dissatisfaction is, strengthen the patient’s commitment and endurance

432 Motivation In Psychotherapy

in goal striving and participation in therapy. Goal van der Spek, 2013). However, empirical tests of
attainment promises to be most likely if the patient serious gaming applications in clinical psychology
develops clear intentions for goal attainment, as well are scarce (e.g., Bul et al., 2016).
as implementation intentions. Strategies like Own We have highlighted several therapeutic ap-
the goal, Make it fun, Remember the big picture, or proaches that attempt to influence goal processes at
Keep a balance may help the patient in the process various levels. Motivational interviewing, as well as
of goal striving (Sheldon et al., 2002, pp. 14–15). other techniques, is suited to change patient am-
To facilitate change, therapists may also question bivalence toward treatment as well as other forms
potential defensive justifications for preserving old of ambivalence. Both SST and WBT are designed
goals and behaviors (Karoly, 2006). Another pow- to improve goal and need satisfaction in acutely or
erful force working against new goal striving may chronically depressed patients, respectively, with
be the influence of automaticity. Patients may varying emphases. Acceptance and commitment
make the experience that “old” maladaptive behav- therapy emphasizes overcoming experiential avoid-
iors or feelings are automatically triggered by situ- ance by accepting unpleasant experiences, develop-
ational cues. Such reactions may especially arise in ing clear values guiding one’s actions, and trying to
situations that the patient previously dreaded and efficiently pursue one’s goals. Clarification-oriented
avoided. The therapist will need to make these therapy for personality disorders intends to im-
­automatized associations consciously accessible to prove the patient’s need and goal satisfaction by
the patient and work with the patient on accepting raising awareness for dysfunctional interactional
(not avoiding) his or her own aversive experiences. strategies and behaviors and attempting to change
The sequence of awareness, acceptance, and new these strategies and behaviors.
reactions/new behaviors will have to be repeatedly We hope to have demonstrated the centrality of
run through with the patient to result in more sus- motivational factors in psychotherapy, either as fa-
tainable change. Such a training of deautomatizing cilitators of change or as targets of change. Motivational
previously automatic dysfunctional reactions and considerations and interventions may be used in all
behaviors will help the patient to recognize and kinds of psychotherapy and have great potential for
override the ­effects of automaticity in service of helping patients in overcoming their problems and
pursuing more need-satisfying goals (Karoly, 2006). living a happier and more satisfying life.
An important factor to consider is the context
of  goal striving. The more the patient’s social
Future Research/Open Questions
­network supports the patient’s goals, the more likely
As we have seen in this chapter, previous research
the patient will reach them. Depending on how
on motivational factors in psychotherapy has yielded
changeable patient and therapist perceive the level
findings that have great potential for advancing
of support for his or her goals, couple, family, or
psychotherapy. However, as we have also seen, a
systemic interventions will be indicated for trying
multitude of questions remain to be investigated
to change the level of support.
by future research. A few examples of such questions
Recently, alternative treatment modalities such
are as follows:
as Internet-based interventions have been devel-
oped and empirically tested (Andersson,  2016). 1. By which psychological mechanisms do
From a motivational perspective, a guided self-help motivational factors (treatment goals, motive
program via the Internet might fit the approach and satisfaction, conflicts, etc.) contribute to the
avoidance goals of a subgroup of patients better than development and maintenance of psychological
traditional face-to-face therapy (e.g., Westermann, disorders and problems? For example, how do the
Moritz, Berger,  2017), but such predictions have goals of patients with personality disorders
yet  to be empirically tested. Furthermore, serious influence their interpersonal behavior, and how
gaming—that is, the usage of computer games does this behavior relate to the satisfaction of
for  nonentertaining purposes such as behavior specific needs and goals?
change—might be a means for improving psy- 2. Which motivational factors predict the
chological interventions by linking them to psy- process and outcome of psychotherapy, and how is
chological needs such as pleasure or achievement. this prediction mediated? For example, do high
In an educational context, serious gaming has levels of ambivalence over the expression of
been demonstrated to facilitate learning outcome emotion reduce collaboration in treatment and
(Wouters, van Nimwegen, van Oostendorp,  & lead to worse outcomes?

Westermann, Grosse Holtforth, And Michal ak 433

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 CH A PT ER

24 Motivation in Education

Allan Wigfield, Lara Turci Faust, Jenna Cambria, and Jacquelynne S. Eccles

Abstract

This chapter begins with a discussion of the nature of children’s achievement motivation and how it
develops over the school years, with a focus on the competence-related belief, value, goal, interest, and
intrinsic motivation aspects of motivation that have been emphasized in much recent research on
motivation. Following is a discussion of how different aspects of classroom and school practices
influence motivation and how teacher–student relationships and peer relationships impact students’
motivation. Next is a consideration of how school transitions influence students’ motivation,
describing important differences in the structure and organization of schools at different levels of
schooling. The chapter describes some recent intervention work to boost children’s motivation in
different ways. The final section concerns how recommendations from motivation researchers align
with, or in some cases do not align with, state and national policies for improving student achievement.
The chapter concludes with suggestions for future research, such as the need for more research on
motivation in diverse groups of children and the next steps in motivation intervention research, and
provides further thoughts on motivation research–educational policy links.
Keywords:  achievement motivation, development of motivation, motivation and instruction,
teacher–student relationships and motivation, peers and motivation, motivational interventions,
motivation policy

Overview 2016; Wigfield, Tonks, & Klauda,  2016). Because

Motivation theorists are interested in the whys of of  this emphasis on self variables, much research
human behavior: what moves people to act (Weiner, on motivation has focused on motivation as a char-
1992). In terms of motivation and education, acteristic of the individual.
researchers studying school motivation look at
­ Motivation researchers also recognize the impor-
things such as the engagement and interest students tance of social influences on learning and motivation
have in different academic activities, the choices (Ladd, Herald-Brown, & Kochel,  2009; Wentzel,
students make about which academic activities to 2016). Indeed, many researchers and theorists now
do, their persistence at continuing the activities, posit that learning is an inherently social activity
and the degree of effort they expend. But what de- (Hickey & Granade,  2004; Vygotsky,  1978).
termines individuals’ choices, effort, and persistence Learning in classrooms is not done in isolation,
for different academic activities? Many motivation but  instead occurs in the context of relationships
researchers have focused on students’ self-beliefs, with teachers and peers (Juvonen & Knifsend,
values, and goals and how they relate to their 2016; O’Donnell,  2006; Webb & Palincsar,  1996;
achievement behaviors, such as choice, persistence, Wentzel, 2016). These relationships, and the different
and performance (Eccles & Wigfield, 2002; Ryan & roles that emerge for students and teachers in various
Deci, 2016; Schunk & DiBenedetto, 2016; Senko, classrooms, strongly influence how students learn.

443
Further, opportunities for social interactions around math and reading, even when previous performance
learning have been shown to improve children’s is controlled (see Wigfield et al., 2016, for review).
achievement in reading and other areas (e.g., Guthrie, Bandura’s (1997) construct of self-efficacy also
McRae, & Klauda,  2007; Johnson & Johnson, deals with individuals’ sense of competence; how-
2009). Along with social relationships, it is increas- ever, Bandura defined self-efficacy as a generative
ingly clear that the social contexts and organization capacity where different subskills are organized into
of classrooms and schools also have major influences courses of action. Bandura (1997) reviewed research
on students’ motivation and achievement (Nolen & showing that individuals’ efficacy for different
Ward,  2008; Perry, Turner, & Meyer,  2006; achievement tasks are a major determinant of
Wigfield, Eccles, & Rodriguez, 1998). ­activity choice, willingness to expend effort, and
In this chapter, we discuss children’s motivation persistence in and out of school (see also Schunk &
in school. We begin with a brief discussion of the DiBenedetto, 2016).
belief, value, and goal constructs prevalent in cur- Dweck and her colleagues (see Dweck,  2017;
rent motivation research and how they develop. We Dweck & Master,  2009, for reviews) discussed a
then discuss the influence of different aspects of construct related to competence beliefs, referred to
classrooms and schools on the development of stu- as individuals’ beliefs about intelligence, or mind­
dents’ motivation: tasks provided and classroom sets. They proposed that individuals hold one of two
teaching practices, teacher–student relationships, mindsets: an entity or “fixed” mindset in which indi-
peers and learning in groups, and school transitions. viduals believe that their abilities are fixed at a given
Next, we provide a discussion of some intervention level or an incremental or “growth” mindset in which
work based in the motivation theories and constructs individuals believe that their abilities can increase
reviewed in the first section and how these interven- through effort. These beliefs have important impli-
tions impact children’s motivation. The final section cations for motivation, particularly when academic
of the chapter focuses on whether current national activities or tasks become increasingly difficult. When
educational policies are in line with recommenda- individuals hold growth mindsets they continue to
tions from motivation theorists regarding educa- strive for success even when they are struggling to
tional practices that facilitate students’ motivation. master complex tasks. By contrast, individuals
We close with some suggestions for future research. holding fixed mindsets are more likely to give up
quickly when challenged and believe that showing
The Nature of Student Motivation effort indicates to others that one lacks ability.
Researchers have assessed many different constructs Researchers interested in individuals’ control
they posit to be crucial for students’ academic motiva- beliefs initially made a major distinction between
tion. To organize our discussion of these constructs, internal and external locus of control (e.g., Crandall,
we separate them into two broad groups. One group Katkovsky, & Crandall, 1965; Rotter, 1966. Internal
includes individuals’ sense of their competence control means the individual believes that he or she
and agency to achieve different outcomes. Another controls an outcome; external control means the
group concerns intrinsic and extrinsic motivation, outcome is determined by other things. Researchers
interest, values, and goals. Many of these constructs have confirmed the positive association between
are discussed in greater detail in other chapters in internal locus of control and academic achievement
this handbook. (see Findley & Cooper, 1983). Connell and Wellborn
(1991) integrated control beliefs into a broader
Individuals’ Sense of Competence theoretical framework based on the psychological
and Control needs for competence, autonomy, and relatedness
Many researchers interested in motivation focus on derived from self-determination theory (Ryan &
students’ beliefs about their ability and efficacy to Deci, 2016). They linked control beliefs to compe-
perform achievement tasks as crucial motivational tence needs: Children who believe they control their
mediators of achievement behavior (e.g., Bandura, achievement outcomes should feel more competent.
1997; Eccles et al.,  1983; Wigfield et al.,  2016). When the family, peer, and school contexts support
Ability beliefs are children’s evaluations of their children’s autonomy, develop their competence, and
competence in different areas. Researchers have provide positive relations with others, then chil-
documented that children’s and adolescents’ ability dren’s motivation (which Connell and Wellborn,
beliefs relate to and predict their achievement 1991, conceptualized as engagement) will be positive,
­performance in different achievement domains like and they will become fully engaged in different

444 Motivation In Education

activities, such as their schoolwork. When one or interest includes both knowledge and value about a
more of the needs is not fulfilled, children will topic or object and represents an enduring involve-
become disaffected (see Connell, Spencer, & Aber, ment with an activity. By contrast, situational inter-
1994; Skinner, 2016). est stems from conditions in the environment. Hidi
and Renninger (2006) described how situational
Individuals’ Intrinsic Motivation, interest generates curiosity, which can lead individ-
Interests, Values, and Goals uals to explore an activity further and develop indi-
Although theories dealing with competence, expect- vidual interest in it. This point is a crucial one for
ancy, and control beliefs provide powerful explana- this chapter, highlighting that features of activities
tions of individuals’ performance on different kinds that individuals do in school can increase their per-
of achievement activities, these theories do not sys- sonal interest in the activities. Further, there are sig-
tematically address another important motivational nificant but moderate relations between interest and
question: Does the individual want to do the task? learning of different kinds (Schiefele, 1996, 2009).
Even if people are certain they can do a task and Eccles and her colleagues have defined different
think they can control the outcome, they may not ways in which individuals can value activities such as
want to engage in it. Once the decision is made to schoolwork (see Eccles (Parsons) et al., 1983; Wigfield,
engage in a task or activity, there are different reasons Rosenzweig, & Eccles, 2017). Eccles (Parsons) et al.
for doing so. The constructs discussed next focus on (1983) defined three “positive” motivational com-
these aspects of motivation. ponents of task value: attainment value, intrinsic
A basic distinction in the motivation literature is value, and utility value. Attainment value refers to
between intrinsic motivation and extrinsic motivation the importance of the activity to the individual.
(Deci & Ryan, 1985). When individuals are intrin- Intrinsic value is the enjoyment the individual gets
sically motivated, they do activities for their own from performing the activity and so is conceptually
sake and out of interest in the activity. Deci, Ryan, linked to intrinsic motivation and interest (Wigfield
and their colleagues (e.g., Deci & Ryan, 1985; Ryan & & Cambria,  2010). Utility value is determined by
Deci,  2016) went beyond the extrinsic–intrinsic how well a task relates to current and future goals,
motivation dichotomy in their discussion of inter­ such as career goals. A task can have positive value
nalization, conceptualized as the process of transfer- to a person because it facilitates important future
ring the regulation of behavior from outside to goals, even if he or she is not interested in the task
inside the individual. They defined several levels in for its own sake. For instance, students often take
the process that range from purely external to more classes that they do not particularly enjoy but that
internalized regulation: external regulation coming they need to take to pursue other interests, to
from outside the individual; introjected regulation please their parents, or to be with their friends. In
based on the individual’s beliefs that he or she one sense, then, this component captures the more
should or must do the behavior; identified regulation extrinsic reasons for engaging in a task, but it also
of behavior that is based on the utility of that behav- relates directly to individuals’ internalized short- and
ior (e.g., studying hard to get grades to get into col- long-term goals. Finally, Eccles and her colleagues
lege); and finally, integrated regulation based on (Eccles (Parsons) et al., 1983) defined cost as what
what the individual thinks is valuable and impor- one must give up to do something else; for exam-
tant to the self. Even though the integrated level is ple, spending time on homework means less time
self-determined, it still does not reflect intrinsically for socializing with friends. When individuals see
motivated behavior. Intrinsic motivation only the cost of engaging in a task as too high, then they
occurs when the individual autonomously controls will value it less and so will be less likely to engage
the behavior, which may not be the case even at the in the task.
integrated level of regulation. Eccles and her colleagues have found that indi-
A construct closely related to intrinsic motivation viduals’ task values predict course plans and enroll-
is interest (Hidi & Renninger, 2006; Schiefele, 2009) ment decisions in mathematics, physics, and English
and researchers studying interest distinguish between and involvement in sport activities even after con-
individual and situational interest. As the name trolling for prior performance levels (Durik, Vida, &
implies, individual or personal interest is a charac- Eccles, 2006; Eccles (Parsons) et al., 1983; Meece,
teristic of the individual and is conceptualized either Wigfield, & Eccles,  1990). They have also shown
as a relatively stable disposition or as an active state. that both competence beliefs and values predict
Hidi and Renninger (2006) suggested that individual career choices (see Eccles, 1984).

Wig field, Turci Faust, Cambria, And Eccles 445

 The construct perhaps most directly related to performance-approach goals can be beneficial to
the purposes for doing an activity is achievement students; other theorists continue to think that mas-
goals. Researchers (e.g., Ames,  1992; Dweck & tery goals are the most favorable goals students can
Leggett, 1988; Nicholls, 1984) initially distinguished have. A complete discussion of this debate is beyond
three broad goal orientations that students can have the scope of this chapter; interested readers should
toward their learning (see Elliot, 2005; Senko, 2016, see Linnenbrink (2005), Maehr and Zusho (2009),
for reviews). One orientation, called learning, task- Senko (2016), and Murayama and Elliot (this volume).
involved, or mastery goal orientation, signifies the To conclude this section, researchers have identi-
child focusing on improving his or her skills, fied a number of important belief, value, and goal
­mastering material, and learning new things. The constructs that impact students’ motivation. These
second goal orientation, called performance or ego variables relate to achievement and choice in many
orientation, signifies the child focusing on maximiz- different academic areas. We discussed these con-
ing favorable evaluations of his or her competence structs individually and many researchers indeed
and minimizing negative evaluations of competence. have studied each one separately. There is increasing
The different terms used to label the first two goal interest currently in how they interrelate and relate
orientations occurred because different researchers to various achievement outcomes (e.g., Conley,
were working on them simultaneously, with each 2012; Wigfield & Cambria,  2010). For instance,
having a somewhat distinctive view of each orienta- having positive competence beliefs, intrinsic moti-
tion (see Pintrich,  2000; Thorkildsen & Nicholls, vation, and mastery goals for activities may be the
1998). Nicholls and his colleagues (e.g., Nicholls, most adaptive pattern for positive motivation in
Cobb, Wood, Yackel, & Wheatley, 1990) and Meece different school subject areas.
(1991,  1994) also described a work-avoidant goal Researchers also have studied how students’
orientation, which signifies that the child does not beliefs, values, and goals change across the school
wish to engage in academic activities. This orientation years; such changes are the topic of the next section.
has received less research attention in comparison to
the others. Development of Children’s Motivation
In the 1990s, researchers differentiated perfor- A substantial body of research shows that children’s
mance and mastery goal orientations into approach academic motivation declines across the elementary
and avoidance components. Elliot and Harackiewicz and secondary school years (see Wigfield et al., 2015,
(1996) and Skaalvik (1997), among others, defined for review). Many young children are optimistic
performance-approach goals as students’ desire to about their competencies in different areas, and this
demonstrate competence and outperform others. optimism changes to greater realism and (sometimes)
Performance-avoidance goals involve the desire to pessimism for many children as they go through
avoid looking incompetent. Elliot (1999; Elliot & school (Fredricks & Eccles, 2002; Jacobs, Osgood,
McGregor, 2001) and Pintrich (2000) proposed that Eccles, & Wigfield, 2002; Watt, 2004). Children’s
the mastery goal orientation also may be divided into intrinsic motivation for different academic subjects
approach and avoid components, rather than being also declines (Gottfried, Fleming, & Gottfried,
solely conceived as reflecting an approach tendency. 2001), as does their valuing of achievement (Jacobs
One issue with the approach–avoidance distinc- et al., 2002). Children also appear to focus more
tion that continues among goal orientation theorists on performance goals as they get older (Maehr &
is debate about their relative merits of the different Zusho, 2009). Although the pattern of these find-
kinds of goal orientation. Most goal orientation ings is clear, most of the research just mentioned is
theorists believe in the benefits of mastery goals for normative, describing mean-level change across all
both students and teachers (because they focus children. Researchers have shown that there are
students on meaningful learning and improve- different trajectories of change (Archambault,
ment) and many of these theorists state that such Eccles, & Vida,  2010; Musu-Gillette, Wigfield,
goal orientations should be focused on more Harring, & Eccles,  2015), but the overall pattern
strongly in school. Theorists also agree that per- remains one of decline.
formance-avoidance goals are debilitating. There These changes have been explained with respect
is a debate, however, about the relative merits of to children’s understanding of their performance
performance-approach goals. Because these goals and changes in the school environments children
relate positively to some important achievement experience. First, children both receive more informa-
outcomes such as grades, some theorists believe that tion about their performance and learn to interpret

446 Motivation In Education

it more clearly. Because they are with same-aged goals, changing the routine so that classroom learn-
peers in school, they also learn to compare them- ing stays novel and fresh, and providing a­ ccurate
selves more systematically with others, which can feedback that provides students with clear informa-
lead to decreases in motivation for some children tion about how they are doing.
(see Wigfield et al.,  2016). Second, schools focus Although there is research support for how these
more on evaluation and performance outcomes as practices can enhance students’ motivation, research-
children progress through school, which can nega- ers taking a sociocultural approach to motivation
tively impact some children’s motivation. We turn (e.g., Kaplan, Katz, & Flum,  2012; Perry et al.,
next to a more detailed consideration of schooling’s 2006) note that the dynamic and complex nature of
influences on students’ motivation. classrooms means that these practices may have dif-
ferent meanings in different classrooms and operate
School’s Influences on Students’ differently for different students. Other researchers
Motivation have made similar points about the dynamic, situa-
How do different kinds of tasks, activities, and tion-based nature of motivation itself (Hickey,
structures in school impact children’s motivation? 1997, 2008; Hickey & Granade, 2004; Nolen, 2007;
How do the relationships children have with their Nolen & Ward, 2008; Urdan, 1999). They argue that
teachers and peers influence their motivation? We motivation is not a stable individual characteristic
focus on these issues in this section. that operates uniformly across settings. Classrooms
themselves are very fluid settings that change depend-
Tasks and Classroom Practices and Student ing on who is in them and the interacting influences
Motivation of teachers, students, and classroom a­ ctivities. Thus,
In the chapter for the first edition of this handbook these motivation theorists challenge some of the
we focused on Stipek’s (1996) discussion of how premises of the social cognitive models of motiva-
different kinds of classroom practices and achieve- tion that focus on the individual as the main source
ment tasks can enhance students’ competence be- of motivation. An important research implication
liefs, intrinsic motivation, and mastery goals. These of these points is that we must look carefully at how
practices include teachers providing tasks with appro- practices shown to facilitate motivation operate in
priate levels of challenge; focusing on improvement different classroom settings to understand the breadth
as the main criteria for success, evaluation, and the of their impact as well as its limits. We return to this
basis for distributing rewards; and treating mistakes point in the future ­directions section.
as an important part of the learning process. We also
discussed Ames’s (1992) tasks, authority, rewards, Teacher–Student Relationships and
grouping, evaluation, and time allowed for learning Student Motivation
approach (TARGET) to increasing motivation.
­ A variety of researchers have studied how the affec-
In  her model, Ames described several additional tive relationships teachers have with students impact
methods by which teachers can foster students’ in- students’ motivation and achievement in school
trinsic motivation and mastery goal orientation in (see Juvonen & Knifsend, 2016; Wentzel, 2016, for
the classroom, including making tasks meaningful, reviews). When teachers support students emotion-
distributing authority between teachers and students, ally, they have higher school-related perceptions of
rewarding and evaluating students’ growth and im- competence, clearer positive social and academic
provement rather than basing them in normative goals, and willingness to engage in school activities.
comparisons, grouping students to foster collabo- These relations emerge even when children’s rela-
ration, and allotting enough time for meaningful tions with peers and parents are taken into account;
learning. research measuring support from all three kinds of
Building on this work, Urdan and Turner (2005) socialization agents shows that teacher support is
noted the following practices as shown to foster stu- particularly important for academic motivation and
dents’ competence beliefs, intrinsic motivation, and adjustment.
mastery goals: providing academic tasks or activities Teachers’ relations with students are crucial to
that are meaningful and moderately challenging, students’ early adjustment in school (Birch &
providing many opportunities for student choice Ladd, 1996), and the emotional quality of student–
of learning activities and control over them, focusing teacher relations during the early school years pre-
on mastery and improvement rather than test scores, dicts growth in their reading and mathematics
helping students set challenging but achievable achievement (Pianta, Belsky, Vandegrift, Houts, &

Wig field, Turci Faust, Cambria, And Eccles 447

Morrison, 2008). The importance of such relations a­cademic motivation over time. The role of peer
continues into middle school and beyond. Goodenow group influences is likely to vary across age. For
(1993) found that students’ perceptions of support example, peers may play an especially important
from teachers and their sense of belongingness in role vis-à-vis motivation and achievement during
their classrooms related strongly to their perceived adolescence, for two reasons: Adolescents are more
valuing of the schoolwork they were doing. Similarly, aware of, and concerned about, peer group accept-
Wentzel (2002) found that students’ academic ance and they spend much more unsupervised time
goals and performance were strongly related to their with peer groups than younger children (Rubin,
sense that their middle school teachers were Bukowski, & Parker, 2006). Consequently, adoles-
“caring.” Although extant research has provided cents should be especially susceptible to peer group
much ­important information about teacher–student influences on motivation and achievement.
relationships, Wentzel (2009) noted that much of
the work showing how teacher–student relations Learning in Groups and Motivation
impact student achievement is correlational and There is an extensive body of research on how stu-
she discussed a variety of design and measurement dents learn in groups and the impact of students
issues that must be considered in the next genera- on each other’s learning and motivation; much of
tion of this research. She further posited that we need this work has focused on cooperative learning (see
work investigating the mechanisms underlying the O’Donnell,  2006; Webb & Palincsar,  1996, for
observed relations of teacher emotional support systematic reviews of the research on group pro-
and student motivation and achievement. cesses in the classroom, and Johnson & Johnson,
2009, for a review of the effects of cooperative
Peers and Motivation learning). Motivation researchers have particularly
Peers are another important social influence on focused on how cooperative and competitive reward
motivation. When children are socially supported and structures in classrooms influence students’ moti-
accepted by their peers, they have stronger motiva- vation. Ames (1984) discussed how competitive
tion, have better achievement outcomes, and are reward structures heighten social comparison and a
more engaged in school (see Juvonen & Knifsend, focus on one’s ability relative to others. Cooperative
2016; Ladd et al., 2009, for reviews). Further, social reward structures help children focus on shared
competence and social support can help ease school effort and i­nterdependence. More broadly, the re-
transitions, including the transition from home to search on cooperative learning shows that children’s
school (Ladd,  1990). By contrast, socially rejected achievement often improves, social relations are
and highly aggressive children, and also those who are more positive, and students’ motivation is enhanced
victimized by others, are at risk for poorer achieve- (Johnson & Johnson, 2009). By working together,
ment and motivation (Birch & Ladd, 1996; Ladd students can create communities of learners and
et al.,  2009). Moreover, it appears that both the learn to co-regulate each other’s motivation and
quantity of children’s friendships with peers and the achievement (McCaslin & Good, 1996).
quality of the friendships are related to positive
outcomes; in fact, the quality of children’s friend- School Transitions and Changes
ships may be especially important as children move in Student Motivation
into adolescence (Berndt & Keefe, 1996). Entrance into kindergarten and then the transition
Peer groups in school can have either a positive from kindergarten to first grade introduces several
or a negative effect on motivation across various systematic changes in children’s social and academic
activity settings. Children who come together in worlds (Pianta, Rimm-Kaufman, & Cox,  1999).
peer groups often share similar motivational orien- First, classes are age stratified, making within–age
tations and activity preferences, and such groupings ability social comparison much easier. Second,
reinforce and strengthen children’s existing motiva- formal evaluations of competence by “experts” begin.
tional orientation and activity preferences over time Third, formal ability grouping begins, usually with
(e.g., Berndt & Keefe,  1996; Berndt, Laychak, & reading group assignment. Fourth, peers have the
Park,  1990; Kindermann,  1993,  2007). Whether opportunity to play a much more constant and sa-
such effects are positive or negative depends on the lient role in children’s lives. Each of these changes
nature of the peer groups’ motivational orientation. can impact children’s motivational development
High-achieving children who seek out other high (Pianta et al, 1999). Unfortunately, very little lon-
achievers as friends develop even more positive gitudinal research has focused on this transition

448 Motivation In Education

and  how it influences children’s motivation and structure can create many difficulties for students.
achievement (one important exception is Pianta First, the curriculum often is not integrated across
and colleagues’ work; see Pianta et al., 2008). different subjects. Second, students typically have
Instead, most of the research on the early ele- several teachers each day, with little opportunity to
mentary school years has focused on individual interact with any one teacher on any deeper dimen-
differences in the link between children’s early sion beyond the academic content of what is being
school experiences and their subsequent develop- taught and disciplinary issues. As a result, the like-
ment. This research suggests significant long-term lihood of students and teachers forming close,
consequences of children’s experiences in the early supportive bonds is much less in secondary schools
school years for their motivation and achievement, than in elementary schools.
particularly, experiences associated with ability group- Based in part on the research just reviewed,
ing and within-class differential teacher treatment. during the 1980s and 1990s different middle school
For example, teachers use a variety of information reform efforts were undertaken; many of the recom-
to assign first graders to reading groups, including mendations were included in a report by the Carnegie
temperamental characteristics like interest and per- Council on Adolescent Development (1989). These
sistence, race, gender, and social class (e.g., Alexander, changes include replacing departmentalized curric-
Entwisle, & Dauber, 1993; Brophy & Good, 1974). ulum structures with teams of teachers working with
Alexander et al. (1993) demonstrated that differences the same group of students and having some teachers
in first grade reading group placement and teacher– serve as advisors and counselors to students to
student interactions predict subsequent motivation ­enhance adolescent–teacher relationships. However,
and achievement even after controlling for initial relatively few of the middle school reform efforts
differences in reading competence. focused specifically on students’ motivation (see
As noted earlier, there are substantial changes Maehr & Midgley, 1996, for one important excep-
in  academic motivation and achievement across tion; we discuss their work later).
the upper elementary and secondary school years, Research on the transition to high school sug-
including changes in grades, interest in school, gests that similar changes occur at this transition
perceptions of competence in different areas, and (Lee & Smith,  2001; National Research Council,
increases in performance goals at the expense of 2004). For example, high schools are typically even
mastery goals. These changes are particularly large larger and more bureaucratic than middle and
for students who are doing poorly (either emotion- junior high schools. Lee and Smith (2001) provided
ally or academically) in school (see Eccles & Roeser, numerous examples of how the sense of community
2009). The transition from elementary to middle among teachers and students is undermined by the
school can accelerate these negative changes. size and bureaucratic structure of most high schools.
In ­­explaining them, Eccles, Wigfield, and Schiefele Such environments are likely to undermine the
(1998) discussed how the multiple changes that occur motivation and involvement of many students,
during this period (e.g., puberty, school transitions, ­especially those not doing particularly well academ-
changing relations with parents, increasing cognitive ically and those who are alienated from the values
maturity, increasing concern with identity, increas- of the adults in the high school. The coincidence of
ing sexuality and heterosociality, increasing focus on declining social support and the increasingly social
peer relationships) likely impact students’ motivation comparative and competitive evaluation systems at
and achievement. They also discussed how differences both the middle and the high school levels likely
in school environments between elementary and contribute to some adolescents’ decisions to with-
secondary schools, such as school size and structure, draw from school prior to graduation (Fine, 1991;
and tracking practices can contribute to these changes Roderick & Camburn, 1999). Those who are already
(see Eccles & Roeser,  2009; National Research on the margins of the school community both
Council, 2004, for more detailed discussion of these ­academically and socially are particularly likely to
changes). drop out.
The nature of instruction also changes: Secondary Even less work has been done within high school
school instruction often is organized and taught reform efforts with respect to motivation, the limited
departmentally—making it likely that secondary results of which are less consistent (National Research
school teachers teach several different groups of stu- Council, 2004). These reform efforts have followed
dents each day and are unlikely to teach any particular similar principles aimed at creating schools that
student for more than 1 year. This departmental better meet the competence, belonging, autonomy,

Wig field, Turci Faust, Cambria, And Eccles 449

and mattering needs of the adolescent students. The A/B studies were done with adults, using the
As is true for the middle school reform efforts, when Amazon Mechanical Turk platform. Yeager and
these principles are well implemented, improvements colleagues then conducted two large online studies
in students’ motivation, school engagement, and ac- with ninth graders testing the revised interventions
ademic performance are obtained (National Research (administered in two sessions) against either the
Council, 2004). However, successfully implement- original intervention or a control condition that
ing these kinds of changes has proven to be very gave participants general information about high
difficult at the high school level. school. In Study 1, students receiving the revised
mindset intervention had lower fixed mindset beliefs
Motivation Interventions than did those in the original intervention, were
There is a growing body of work examining the more willing to take on challenging problems, and
effectiveness of different kinds of interventions had lower performance goals. In Study 2, relative
designed to improve students’ motivation (see
­ to the control group, the intervention group had a
Karabenick & Urdan,  2014; Wigfield & Wentzel, higher overall grade point average (0.13 grade points)
2007, for more detailed information on a variety of and a reduced rate of receiving D and F grades.
motivation interventions). Interventions can be Yeager and colleagues concluded that the mindset
done at different levels, including working with intervention can be both taken to scale and improved,
individual students to improve aspects of their resulting in improved grades for the lowest achiev-
motivation such as their self-efficacy (e.g., Schunk & ing students and positive belief and behavior change
Rice,  1991) or working at the classroom or school in other students.
levels; we focus here on the latter kind of work and
organize our discussion around many of the motiva- Student Interest
tion constructs discussed earlier in this chapter. Renninger and her colleagues (2014) adapted an
intervention called ICAN, which they implemented
Interventions Focused on Single in after-school science workshops for at-risk middle
Motivation Constructs school students. ICAN uses writing activities to
Student Views of Ability help participants reflect on the concepts and specific
Blackwell, Trzesniewski, and Dweck (2007) provided skills they had learned and still would like to learn
seventh grade students with an eight-session inter- in the workshops. Results indicated that students
vention designed to help them develop an incre- receiving the ICAN intervention developed and
mental rather than entity view of their ability. The maintained their interest in science to a greater
intervention involved teaching children that they extent than did students in the control condition.
can grow their intelligence through their efforts and They also gained more science knowledge; this was
students were assigned randomly by classroom to true for participants with both high and low interest
the intervention or control group. The intervention in science. Renninger and colleagues concluded
significantly enhanced the intervention group’s in- that the findings “suggest that it is possible for the
cremental beliefs about their intelligence. Although inquiry setting to support achievement (science
overall students’ math grades declined over the course learning) when reflection is integrated into ongoing
of the year, this decline was reversed for the students practice” (p. 127).
in the intervention group who initially endorsed an
entity view of intelligence. Blackwell and colleagues Students’ Achievement Values
concluded that altering students’ views of their in- Over the past 10 years much intervention work
telligence impacted both their motivation and their ­focused on enhancing students’ valuing of different
mathematics achievement. academic subjects, notably in the science, technol-
Building on this work, Yeager et al. (2016) con- ogy, engineering, and mathematics areas (see
ducted several large studies with ninth grade students Harackiewicz, Canning, Tibbetts, Priniski, & Hyde,
that “scaled up” the mindset intervention (for 2015 Rosenzweig & Wigfield,  2016; Wigfield
­another example, see Paunesku et al., 2015). In an et al., 2016, for reviews), in part because students’
attempt to improve the original mindset intervention, valuing of different subjects influences their choices
they used two main methods: qualitative interviews of whether to continue taking them. This work
asking participants their opinions of the intervention often involves relatively brief interventions (see
and A/B testing in which modified mindset inter- Yeager & Walton, 2011) both in terms of the number
ventions were tested against the original intervention. of sessions and in terms of the length of each session.

450 Motivation In Education

By and large, results of this work show that these on enhancing ninth grade student’s math utility
interventions do enhance students’ utility value, value. They implemented the 1-hour intervention
interest, and achievement in the subject of focus in in 25 German high schools and either encouraged
the study. For instance, Hulleman and colleagues students to write a brief essay connecting math to
(Hulleman & Harackiewicz,  2009; Hulleman, their lives or asked them to read and respond to
Godes, Hendricks, & Harackiewicz,  2010) con- quotations from fellow students about the relevance
ducted experiments in which high school or college of math. Compared to a waiting control condition,
student treatment participants wrote a brief essay, students in both intervention conditions reported
either once in the lab or in class every 3 or 4 weeks, higher utility value for math, but effects were
about the relevance of what they were learning to stronger in the quotation condition than in the essay
their lives. A control group completed an unre- condition. Also, even though the intervention
lated task, such as summarizing what they learned ­focused on utility value, students in the quotation
(students were learning science, psychology, or a condition also reported higher perceptions of
new mental math technique). Results showed that, ­intrinsic and attainment value (but not lower per-
relative to the control group, the intervention ceptions of cost) than students in the control group.
boosted students’ utility value and interest in the Female students benefitted from the intervention
topics they were learning, as well as their achieve- more than males on some measures.
ment; however, the effects were stronger for stu-
dents who started with low expectations for their Students’ Achievement Goals
performance. Basing their work in Ames’s (1992) tasks, authority,
Canning and Harackiewicz (2015) found in a rewards, grouping, evaluation, and time allowed for
laboratory study that directly communicating util- learning TARGET approach, Maehr and Midgley
ity value information to low-confidence students (1996) worked with teachers and administrators in
undermined their mathematics performance and
­ an elementary and middle school to change the
interest, but when these students received this school culture from performance-goal based to
­information and generated their own examples of mastery-goal based over the course of 3 years. At the
utility value, they performed better and were more middle school they focused on creating teams of
interested in the math technique than when they teachers, creating “schools within the school,” less-
only generated their own examples. They also found ening the use of ability grouping practices, and
that low-confidence students preferred to read changing the student recognition patterns so that
­examples of utility value that connected to their eve- not just the honor roll students were recognized.
ryday life versus to their careers or academics. They also worked to loosen the rigid bell schedule so
Harackiewicz, Rozek, Hulleman, and Hyde (2012) that longer class periods were sometimes possible.
targeted high school students’ utility value by Despite some resistance to these reforms (especially
­intervening with their parents. Parents randomly from math teachers), the changes had positive
­assigned to treatment received brief materials a few ­effects on students’ motivation (Anderman, Maehr, &
times over 2 years on how to help their children Midgley, 1999).
make decisions about their futures, emphasizing
the importance of mathematics and science. Student Autonomy Support
Students whose parents received the materials took Reeve and his colleagues (see Reeve & Cheon, 2014,
significantly more math and science courses than for review) developed an autonomy-supportive
did those in the control group. Further, mothers’ ­intervention program (ASIP) derived from self-­
perceived utility value of math and science par- determination theory (Ryan & Deci,  2016) and
tially mediated these effects. Interestingly, however, ­designed to help teachers support student auton-
follow-­up analyses of these data done by Rozek, omy in the classroom. The ASIP model includes
Hyde, Svoboda, Hulleman, and Harackiewicz (2014) autonomy-supportive teaching methods such as
showed that the intervention improved course- taking students’ perspectives, being respectful of
taking only for lower achieving boys and higher students’ attempts to initiate their own learning
achieving girls. activities, and encouraging students to express their
Finally, some researchers have targeted several thoughts and feelings about what they are learning.
aspects of students’ achievement values. Gaspard They contrasted this with controlling practices such
et al. (2015) designed an intervention program cen- as pressuring students to follow teachers’ (rather than
tered on achievement values (called MoMa) focused students’ own) agendas in the classroom.

Wig field, Turci Faust, Cambria, And Eccles 451

 In a series of experimental studies in different Scaling-Up Brief Interventions: Issues
achievement domains, Reeve and his colleagues to Consider
(see Reeve & Cheon,  2014, for review) showed With the success of the brief social psychological–
that teachers receiving training in implementing based interventions on (relatively) small scales, there
ASIP methods became more autonomy supportive is interest among researchers and educational poli-
in their teaching. Their students reported more cymakers to take them to scale. We endorse this idea
­psychological need satisfaction than students in in general, but think it is important to point out
the control group, more autonomous motivation, several difficulties associated with schools attempting
greater classroom engagement, and higher achieve- to scale up the delivery of even brief psychological
ment. Interestingly, ASIP teachers themselves re- or educational interventions without knowledge of
ported higher need satisfaction, teaching efficacy, the complexities associated with the intervention’s
and well-being than control group teachers. Finally, success. A key lesson from the history of school
autonomy-supportive teachers actually provided reform is that although the superficial features or
more structure to their students than did teachers specific activities of an intervention can be scaled up
in the control group (see Jang, Reeve, & Deci, with relative ease, if done in absence of the theoret-
2010). Reeve and colleagues concluded that ASIP ically essential components of the intervention,
“represents a success story in education-based inter- administrators will not produce the intervention’s
vention research” (Reeve & Cheon, 2014, p. 332) intended effect (Yeager & Walton, 2011). The chal-
benefitting both students and their teachers partici- lenge of delivering social–psychological or educa-
pating in the intervention. tional interventions outside of laboratory contexts
may be more acute when they are delivered by
Intervention Research Focused teachers or other educational practitioners in dynamic
on Multiple Constructs school contexts. Teachers, operating independently
Guthrie, McRae, and Klauda (2007) reviewed the in their classrooms, may make small and seemingly
research on how different kinds of reading instruc- insignificant variations in how they deliver an inter-
tion programs influence motivation and achieve- vention, changing the intervention in a way that
ment, focusing specifically on Concept Oriented it  leads recipients to perceive a different meaning
Reading Instruction (CORI), a reading comprehen- than that which was intended and undermining the
sion instruction program that integrates science and intervention’s effectiveness (see Kaplan et al., 2012).
reading. The CORI program focuses on instruc- In addition, although social–psychological interven-
tional practices to enhance students’ motivation for tions potentially reduce heterogeneity in implemen-
reading and ability to use cognitive reading strategies. tation by being brief and discrete exercises, contextual
The classroom practices are designed to enhance distractions, such as a rowdy classroom, can under-
reading motivation including increasing personal mine an intervention’s effectiveness. Hulleman and
relevance of the material being learned, providing Cordray (2009) found that a social–psychological
choices with respect to learning activities, ensuring intervention administered in classrooms varied in
enough success that students’ self-efficacy is fostered, fidelity and resulted in no overall positive effect,
giving many opportunities for student collabora- whereas the same intervention administered in a
tion, and teaching in thematic units so that students laboratory setting was effective. It is also possible for
have clear content goals for learning. Guthrie and an intervention to be administered properly to dif-
colleagues’ meta-analysis of the work on CORI’s ferent individuals, but result in different psycholog-
effectiveness in boosting students’ reading motiva- ical experiences for each person that produce unique
tion, reading comprehension, and strategy use meanings and interpretations. These differences
showed that CORI is indeed effective in increasing may be caused by an infinite number of influences
these outcomes for students in grades 3 to 5. More associated with the participants’ interactions with
recently, Guthrie and his colleagues (e.g., Guthrie, their social context. Rosenzweig and Wigfield (2016)
Wigfield, & Klauda, 2012) implemented CORI in discussed how replicated intervention studies com-
seventh grade middle school classrooms and again monly produce mixed results and argue that much
found that students in the CORI treatment had of this variation is a result of untested individual
higher reading motivation and better reading (e.g., student gender, entering levels of motivation)
comprehension than students in the district’s regular and/or contextual (e.g., teacher–student relation-
reading program. ships, school culture) moderators that constrain the

452 Motivation In Education

effects of many interventions to certain groups or grade-level proficiency to their academic growth
situations. Studies that develop interventions with and allowed teachers more flexibility in the con-
consideration to these moderating influences are struction of their curricula (U.S.  Department of
necessary to expand the breadth of who is able to Education, 2015), making it possible for teachers to
be helped by social–psychological interventions tailor course topics and instructional strategies to be
and the diversity of motivational theory and educa- more relevant to students’ interests and daily life.
tional practice. Because students are affected by policies enacted at
In sum, research on the nature of motivation all levels of school governance, these new regulations
has informed the design of extensive classroom-based have direct and potentially powerful implications
interventions as well as brief social–psychological for student motivation depending on decisions made
interventions, which have been shown to increase by state and local policymakers, school administra-
students’ motivation and achievement in various tors, and teachers on the type of content, assessments,
domains. For the most part, these interventions and interventions delivered to their students. It is
have not been taken to scale, and as just discussed, unclear at the time we are writing this chapter
there are challenges to doing so. Further, to be whether these policies will remain in place during
scaled up, such interventions should align with the current presidential administration. We discuss
broader educational policies formulated at the state in this section what we believe are the most important
or national levels. Do they? That is the topic of the issues regarding education policies and their poten-
next section. tial effects on student motivation, focusing specifically
on course content, standardized assessments, and
National Educational Policies and publicly funded educational interventions.
Motivation Theory: What Is the Interface?
One of the challenges for motivation researchers is Course Content
that many of the reform efforts they espouse have In their ecological view of schools, Eccles and
not fit well with national educational policy, partic- Roeser (2009) discussed how the instructional con-
ularly the remains of the policies of the No Child text of school environments—conceptualized as the
Left Behind era in which a focus on performance, influence of teachers, other students, content area,
testing, and accountability were deeply entrenched. and instructional activities on students’ learning
The severe pressure that many teachers and princi- and motivation (Turner & Meyer, 2000)—has the
pals faced (and many still face) to produce higher most immediate impact on students’ motivation be-
test scores and other indicators of student perfor- cause of the time spent in classrooms and the direct
mance can lead to a strong focus on performance contract students have with others in these contexts
goals, often at the expense of focusing on how (Anderman & Gray,  2017). Instructional contexts
­efforts to enhance students’ interest and mastery can are determined by several individuals at the district
enhance their performance (Deci & Ryan,  2002). and federal levels. For example, course curricula are
We understand the importance of students showing predominantly determined by school or district
continual progress in their learning and believe administrators to align with standards in a particu-
teachers and principals must be accountable for this lar subject for a specific age group. The growing
progress. Yet focusing too much on test results can popularity of highly standardized educational stan-
come at the expense of focusing on deeper, mean- dards such as the Common Core State Standards
ingful learning. emphasizes the efforts to provide educators with
Fortunately, during the Obama era educational the tools to ensure that their students meet these
policies replacing No Child Left Behind prioritize academic standards. Although the Every Student
the use of evidence-based educational practices, and Succeeds Act and standards like Common Core do
the motivation interventions just described are not explicitly grant more decision-making power to
better aligned with these policies (see Harackiewicz, teachers, they highlight a shift to providing compe-
Smith, & Priniski, 2016). The passage of the Every tence-based learning goals instead of precise content
Student Succeeds Act in 2015 granted more auton- guidelines. This shift may not only encourage teach-
omy to local and state agencies to establish perfor- ers to choose content that they find relates more to
mance, assessment, and accountability standards for students’ interests, values, and goals, but also facili-
teachers and students. Further, the Every Student tate teachers affording students themselves more
Succeeds Act shifted evaluative focus from students’ choice and control in the content with which they

Wig field, Turci Faust, Cambria, And Eccles 453

engage, thus enhancing motivation of both teacher of students’ competence and motivation is the
and students in ways that are in line with the self-­ ­assessment of student learning. The use of standard-
determination theoretical approach to fostering ized tests as a measure of accountability in meeting
motivation (Ryan & Deci, 2016). educational standards has persisted beyond the era
As seen in our discussion of CORI, students’ of No Child Left Behind, although the stakes to stu-
motivation and engagement, strategy use, and read- dents, teachers, and schools associated with these
ing comprehension improve in environments where tests are thankfully not as high or severe (U.S.
they have some autonomy in selecting content, Department of Education, 2015). The reframing of
tasks, and methods (Guthrie et al.,  2006,  2012). educational assessments as tools to identify areas for
Autonomy was found to be particularly important improvement and strategy change as opposed to
at the middle school level when adolescents often “failures” deserving of harsh consequences has sig-
experience less autonomy in school at a period when nificant implications for all aspects of students’ aca-
the need for autonomy is heightened (Guthrie & demic motivation, evidence of which applies to
Klauda, 2014). In addition, Walkington and Bernacki both standardized and generalized achievement
(2014) found that middle and high school students ­assessment. Assessments tied to high stakes such as
adopted more positive attitudes toward math con- grade advancement, graduation, or career decisions
tent when instruction was presented in the context strongly encourage students and teachers alike to
of learners’ individual interests compared to generic adopt a performance-goal rather than a mastery-
textbook material. Students also displayed more goal orientation toward learning (Kumar, Gheen, &
effort and performed better on personalized tasks Kaplan,  2002). As noted earlier, there are mixed
compared to a control group, even after personaliza- empirical results regarding whether the processes
tion had been removed. and outcomes associated with performance-approach
As discussed earlier, Renninger et al. (2014) have goals are positive or negative (see Senko, 2016, for
shown that teachers’ direct promotion of student review). However, it is clear that high-stakes testing
interest in their classrooms can significantly influ- is associated with students experiencing a host of
ence student engagement in the subject material negative emptions when they do poorly (e.g.,
and enhance their academic achievement. Another achievement-related anxiety, shame, hopelessness)
option is for teachers to incorporate into the curric- and fear of failure (Elliot, Murayama, & Pekrun,
ulum problem-based instruction, which encourages 2011; Pekrun, Cusack, Murayama, Elliot, & Thomas,
students’ learning and situational interest by creating 2014). Furthermore, high-stakes assessments may
a need to solve complex authentic problems (e.g. have the power to affect students’ views of their
Knogler, Gröschner, & Lewalter,  2016). However, ­academic competence. When students receive their
because decision-making power over course content test scores, they often conduct an attributional
is still primarily in the hands of individuals other search to explain their success or failure (Weiner,
than teachers, it may be more feasible for teachers to 1986). Students may attribute their score to their
concentrate on helping students find meaning and academic ability—perceived as uncontrollable, stable,
value in course tasks. We previously discussed the and internal—or to the effort they put into prepar-
extensive evidence of both expectancy and value- ing for the test—perceived as controllable, unstable,
related beliefs as powerful predictors of interest, effort, and internal. How students choose to explain their
and performance. In particular, we highlighted util- test scores has a strong impact on their competence
ity value because it appears to be the task value com- beliefs, such that students who consistently attrib-
ponent most amenable to external influence and ute their academic failures to their low ability are
intervention (Harackiewicz & Hulleman,  2010). unlikely to believe that they will ever become highly
Educators can also make alterations in their instruc- competent within a given academic domain
tional style to facilitate the development of student (Anderman & Gray,  2017). As discussed above,
motivation by creating more opportunities for Dweck’s (2017) work on altering students’ mindset
­cooperative learning, given the importance of peer about their ability can successfully alter the debili-
relations to students (see Johnson & Johnson, 2009; tating beliefs that such students hold.
Juvonen & Knifsend, 2016). However, our discussion of these findings is not
meant to suggest that assessments themselves are
Testing and Other Assessment Practices inherently harmful. Periodic testing of student
­
One of the areas in which teachers and schools domain knowledge provides useful data to students,
have the strongest influence on the development teachers, parents, and administrators and helps to

454 Motivation In Education

identify which students need additional assistance without immediately manifesting into observable
and whether the current curricula is achieving the behavioral change, such as higher achievement or
goals of ensuring students are learning the knowl- evidence of increased motivation. Furthermore, be-
edge and skills appropriate for their age. In fact, cause the effects of many interventions progress at a
low-stakes assessments can be helpful to students slow pace, students may not show behavioral change
and teachers if they are administered frequently until well after the conclusion of the intervention
and give students a chance to fail without grim (Cohen et al.,  2017). These steady timelines for
consequences. In this manner, assessments pro- social–psychological and other, more large-scale and
vide students with the opportunity to receive time-intensive interventions often come into con-
more refined and responsive forms of feedback flict with the expectations of policymakers and the
that are most effective for enhancing feelings of public for tangible results that occur quickly. This
competence (Rigby & Ryan, 2011) and are essential tension was most apparent during the No Child
for students’ goal pursuit (Bandura, 1991). Left Behind era, in which schools that failed to
demonstrate improvement on standardized test
Policy’s Misalignment With Researcher scores for certain subgroups of students (e.g., ethnic
Recommendations for Enhancing minorities, low income, learning disabled) for
Motivation 2 consecutive years faced being labeled as low per-
As discussed earlier, over the past 2 decades, re- forming, with withdrawal of federal funding and
searchers have increasingly focused on intervention potentially being shut down (Ryan & Brown, 2005).
work designed to enhance children’s ability beliefs, A study by Goyer et al. (2017) showed that, although
interest, and achievement values and promote they earned low grades, ethnic minority students
mastery goals, with many studies having encourag- who felt an enhanced sense of belongingness in
ing results. Policymakers at different levels have middle school after an intervention were more likely
begun to notice this work. In particular, the success to attend college than students in the control group.
of the brief motivation interventions has attracted If the public continues to judge the efficacy of an
the attention of educational leadership and policy- intervention only by visible indicators of success,
makers in their ability to address fundamental such as test scores, rather than understanding that
problems, including low student achievement and long-term behavioral change often arises from
large group differences, at fairly minimal expense transformations of an invisible state of mind, we are
to individual schools and districts and resulting in at risk of abandoning educational policies and
long-term e­ ffects (see Yeager & Walton, 2011, for programs with similarly subtle benefits before they
more detailed discussion). have a chance to fully emerge (Cohen et al., 2017).
One crucial misconception regarding brief in-
terventions by many educational administrators Conclusion and Future Directions
and policymakers is that the causal force behind We have learned much about the nature of students’
any long-term impact of an intervention is the motivation and how it changes across the school
construction of some stable internal ability or non- years; indeed, research on students’ motivation in
cognitive skill (e.g., cognitive aptitude, self-control, educational settings has continued to flourish since
grit) and that interventions focused on these con- the publication of the first edition of this handbook.
structs can be a one-size-fits-all cure to students’ We also have learned much about how different
academic problems. However, the reality of social– kinds of tasks, activities, and other characteristics of
psychological interventions is that, although they school and classroom environments impact stu-
are powerful tools rooted in theory, they are also dents’ motivation, as well as how teacher–student
context dependent and reliant on the nature of the and peer relations influence motivation. Although
educational environment to which they are applied the frequently observed declines in student motiva-
(Yeager & Walton, 2011). Further, rather than rep- tion continue to be cause for concern, various moti-
resenting a cure, interventions serve as a catalyst vation-based intervention studies have shown that
for students’ motivational processes that can be the declines can be reversed. We have a growing
­repeatedly built on and eventually solidified through body of knowledge about how students’ motivation
students’ interactions with their social context can be enhanced in classrooms, which is a reason for
(Cohen, Garcia, & Goyer, 2017). optimism. We also are encouraged that (at least
Because interventions target students’ internal some) national educational policies seem to be more
processes, significant psychological change can occur in line with principles derived from motivational

Wig field, Turci Faust, Cambria, And Eccles 455

research, although the history of education has American and Hispanic American males nominated
proved policies are often fleeting. We close our classmates who were fashionable and athletic, but
chapter with some issues that need further research were not high achievers. This work shows why it
attention over the next few years. is  important to consider gender and ethnicity
­together, because there are different patterns for
How Does Motivation Vary in Different boys and girls in different ethnic groups with respect
Groups of Children? to motivation-related beliefs.
Many researchers studying children’s motivation Researchers interested in ethnic differences in
have long been interested in group differences, with motivation point to broader cultural and societal
a particular focus on gender and ethnic differences issues such as the perceived opportunity structure
in motivation (see Graham & Hudley, 2005; Meece, for different groups (e.g., if I work hard in school
Glienke, & Askew, 2009; Murdock, 2009; Wigfield, will it lead to more economic opportunities for me
Eccles, Schiefele, Roeser, & Davis-Kean,  2006, and members of my group?), discrimination, and
for reviews). This work shows that boys’ and girls’ stereotypes about the capabilities of individuals
competence-related beliefs and values tend to follow from different groups as impacting motivation and
gender stereotypic patterns, with boys having achievement (Aronson,  2002; Graham & Hudley,
more positive beliefs and values in domains such 2005; Murdock, 2009). The complex influences of
as math and sports and girls in reading/English and these factors on students’ motivation need further
music (Eccles,  1984; Eccles, Wigfield, Harold, & research attention. As Graham (1994) noted, study-
Blumenfeld, 1993). More recent studies show that ing within-group differences in various ethnic groups’
these patterns may be changing; for instance, Jacobs motivation and achievement is as important, if not
et al. (2002) did not find significant gender differ- more so, than studying between-group differences.
ences in value of math, though gender differences in Finally, cultural influences likely will impact the
competence beliefs in math (favoring boys) and success of various kinds of motivation interventions
English (favoring girls) were found, along with gender and must be taken into account in the design of
differences in English value (favoring girls) and sport future interventions. Motivation researchers are fo-
value and competence beliefs (favoring boys). cusing more on these issues, which is an ­important
Further, researchers working in other countries step for the field (e.g., Usher, 20
find somewhat different patterns in gender differ-
ences in children’s competence and values (Watt, What Are the Next Steps in Motivation
2004). The changing patterns in gender differences Interventions?
as well as the different findings from studies done in We are encouraged by the results from the different
different cultural contexts demonstrate the impor- motivation intervention studies discussed earlier
tance of continuing to assess gender differences in and note in particular the positive results of the
achievement motivation. “simple” scaled-up mindset interventions by Yeager
With respect to ethnic differences in motivation, et al. (2016). There are several important next steps
some research shows that African American chil- for research of this kind. We continue to need both
dren have more positive competence beliefs than do quasi-experimental and randomized trial design
European American children, but that these beliefs ­intervention studies done in classrooms to build a
do not relate as strongly to achievement for the strong experimental support for effective interven-
African American children (see Graham,  1994). tions. Second, we must do these kinds of studies at
Graham and her colleagues found interesting inter- different grade levels to see how effective programs
actions of ethnicity and gender, using a peer nomi- are with different aged students and how they need
nation measure asking who students admire in their to be modified for use with students of different
school that they describe as a way to measure task ages. We predict that it may be easier to change
value (Graham, Taylor, & Hudley, 1998; Taylor & students’ motivation when they are younger, before
Graham,  2007). They found that, during elemen- long-term patterns of failure and avoidance set in
tary school, African American, European American, for children performing poorly in school. However,
and Hispanic American children chose students because some motivation problems emerge later, we
who were fashionable, athletic, and high achievers need effective interventions for middle and high
as ones they admired; females in all groups and school students as well. Finally, given the concerns
European American boys continued to do so in of sociocultural motivational researchers about
middle school. However, in middle school, African the importance of context and how motivational

456 Motivation In Education

principles might vary in effectiveness across contexts, learning is relevant and interesting, and have the
we must assess the effectiveness of interventions in goals of mastering material and increasing their skills,
different kinds of classrooms. The simple large-scale they will perform very well in school. Motivation
mindset interventions conducted by Yeager and researchers, particularly those doing intervention
colleagues paid no attention to context and still work, should work with policymakers to ensure that
produced positive outcomes; Would the same be motivation is included in the debates about effective
true for other kinds of interventions? Perhaps more education policy and how best to assess children’s
complex interventions would be more affected by learning and promote both achievement and moti-
different classroom organization, practices, and vation. One good example of this type of work is
structure. This possibility awaits testing. the National Research Council’s (2004) book on
Given the complexity of the processes underlying engaging schools. More of this kind of work is
social–psychological and other motivation interven- needed.
tions and the potential for them to have foreseeable
in addition to unforeseeable side effects on its par-
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Wig field, Turci Faust, Cambria, And Eccles 461

 CH A PT ER
Advances in Motivation in Exercise
25 and Physical Activity

Martin S. Hagger

Abstract

Given the considerable epidemiological evidence linking regular physical activity with good health and
reduced risk of chronic disease, health psychologists have adopted theories and models of motivation
to understand the antecedents and processes that give rise to health-related physical activity. These
theories are important because they provide the basis for the development and evaluation of
interventions aimed at promoting increased physical activity in a largely sedentary population. This
chapter reviews three of the leading theories that have been applied in physical activity contexts: the
theory of planned behavior, self-determination theory, and achievement goal theory. Advances in
research that have aimed to promote better understanding of the factors that underpin motivation in
physical activity and the relevant processes are also reviewed, including implementation intentions,
the increasing importance of psychological needs, and theoretical integration. In addition, the role of
methodological improvements such as the measurement of implicit motivational processes and the
need for gold standard designs when evaluating physical activity interventions based on these theories
are highlighted. Future research must develop hybrid interventions adopting both motivational and
implemental strategies to change physical activity behavior, research should extend knowledge of the
relative contribution of implicit and explicit motivational processes on physical activity behavior,
and investigations to evaluate physical activity interventions should pay careful attention to design
and evaluation.
Keywords:  exercise, planned behavior, intention, autonomous motivation, achievement goals, implicit
processes, intervention design

Introduction the motivational variables that are associated with

There is strong epidemiological evidence linking individual leisure-time physical activity to develop
low levels of physical activity with chronic health population-based interventions to change behavior
conditions such as cardiovascular disease, obesity, (Biddle, Hagger, Chatzisarantis, & Lippke,  2007;
and cancer (Bauer, Briss, Goodman, & Bowman, Hagger & Chatzisarantis, 2014; Teixeira et al., 2015).
2014; World Health Organization,  2015). Inter­ Many behavioral approaches adopted to under­
national reports have highlighted the importance of stand people’s motivation to engage in physical activ­
regular physical activity as an important preventive ity have been based on social psychological theories
behavior in managing these health risks (World and models. The purposes of these theories are
Health Organization,  2014). However, it is clear threefold: (a) to identify the motivational correlates
that people in industrialized nations do not engage and antecedents of physical activity behavior; (b) to
in sufficient physical activity to minimize risks from identify the mechanisms and processes by which
these chronic conditions (Bauman et al., 2009). Such these correlates affect physical activity (e.g., mediation
reports have catalyzed considerable investigation into and moderation effects); and (c) to use knowledge

463
of the antecedents and mechanisms to inform and Protogerou, Johnson, & Hagger, 2018). For example,
design interventions aimed at changing behavior self-efficacy, a very important construct in the field
to  promote desirable health outcomes (Littlecott, of social psychology and derived from Bandura’s
Moore, Moore, & Murphy, 2014). In this chapter (1986) influential social cognitive theory, is a key
I  will review three dominant social psychological component in numerous theories of motivated
approaches to understanding motivation in physical social behavior such as protection motivation theory
activity and review recent advances in the field that (Rogers, 1975) and the theory of planned behavior
have aimed to enhance understanding and advance (Ajzen, 1991), a specific version of the broader rea­
knowledge of how to increase motivation and be­ soned action approach (Fishbein & Ajzen, 2009),
havior in physical activity. I will first review the and both have been applied to physical activity
research on the motivational theories and the con­ (Hagger, Chatzisarantis, & Biddle, 2002b; Rhodes,
tribution such research has made in identifying the Plotnikoff, & Courneya, 2008). Similarly, the con­
key constructs that influence physical activity behav­ struct of intention, which is a motivational con­
ior and which have been most effective in explain­ struct reflecting the degree of effort and planning
ing variance in physical activity behavior: Ajzen’s an individual is prepared to invest in pursuing a
(1991) theory of planned behavior and the reasoned behavior, is also a key component of numerous
action approach (Fishbein & Ajzen,  2009), Deci theories such as the theory of planned behavior,
and Ryan’s (1985b, 2000) self-determination theory, protection motivation theory, the theories of self-
and Nicholls’s (1989) achievement goal theory. I will regulation and trying (Bagozzi & Kimmel, 1995),
briefly review the research adopting these approaches and the theory of goal-directed behavior (Perugini
and evaluate their importance and level of contribu­ & Conner, 2000). Again, these theories have been
tion to the literature on motivation and physical adopted to explain behavior in a physical activity
activity. Most important, I will identify the advances, context (Bagozzi & Kimmel,  1995; Perugini &
theoretically, that researchers in the physical activity Conner, 2000). Similarly, these theories have differ­
domain have made to each of these theories, such as ent assumptions and perspectives. For example,
the use of implementation intention strategies, the attitudinal theories like the theory of planned
­
adoption of new perspectives on psychological needs ­behavior are belief based and focus on behavioral
(e.g., need thwarting), and the introduction of a predictions based on estimates of the future out­
2 × 2 achievement goal framework. I will also outline comes of a given behavior and individuals’ evaluation
how theoretical integration may benefit theoretical of those outcomes. In contrast, theories such as
research in physical activity contexts. Finally, I will self-determination theory (Deci & Ryan,  1985b,
review recent methodological advances in the psy­ 2000) adopt an organismic approach, steeped in
chology of physical activity, such as the use of im­ the humanist tradition, focusing on the contextual
plicit motivation and dual process theories of action, influences on motivated behavior and motivational
the importance of randomized controlled trials, orientations derived from the s­ atisfaction of innate
intervention mapping, and intervention fidelity to psychological needs. In this chapter I will focus on
ensure that the effective components of motivational three dominant motivational theories applied in
interventions to change physical activity can be iden­ physical activity contexts: the theory of planned be­
tified and replicated precisely. havior, self-determination theory, and achievement
goal theory. I will outline how the adoption of these
Three Key Motivational Theories theories has contributed to the understanding of
in Physical Activity physical activity behavior. I will also review how
The psychology of physical activity is a theory-rich these theories might help move the field forward in
discipline with many motivational theories and terms of developing a more comprehensive theory
models proposed to provide comprehensive and of the antecedents and mechanisms of physical
­definitive explanations of health behavior (Hagger, ­activity behavior and informing interventions and
2010; Hagger, Gucciardi, & Chatzisarantis, 2017). practical solutions to increase motivation to partic­
It is, however, important to note that many of these ipate in physical activity and promote engagement
theories have similar components and hypotheses, in physical activity behavior.
such that there is considerable overlap in the defini­
tions of constructs and the proposed mechanisms The Theory of Planned Behavior
by which these constructs affect physical activity The theory of planned behavior (Ajzen,  1991) as
behavior (Hagger, 2014; McMillan & Conner, 2007; well  as the broader framework, the reasoned action

464 Advances In Motivation In Exercise And Physical Activit y

approach (Fishbein & Ajzen,  2009), is a widely In terms of process and the operationalization of
adopted social cognitive theory aimed at explaining the model, intentions are hypothesized to lead
intentional behavior. It has been applied to many ­directly to behavior and mediate the effects of atti­
health-related behaviors, including physical activity tudes, subjective norms, and perceived behavioral
(Hagger et al.,  2002b). In the theory, intention is control on behavior. This means that intentions ex-
considered a motivational construct and represents plain the effects of attitudes, subjective norms, and
the degree of planning and effort people are willing perceived behavioral control on behavior. Intentions
to invest in performing any future planned action or are therefore necessary to convert these constructs
behavior. Intention is conceptualized within the into behavior. In terms of the role of perceived
theory as the most proximal influence on behavior ­behavioral control, this construct is predicted to
and is a function of a set of personal, normative, and moderate effects of intentions on behavior, such that
control-related belief-based social cognitive constructs effects of intentions are maximized when individu­
regarding the performance of the future behavior, als perceive they have high levels of control over the
termed attitudes, subjective norms, and perceived behavior. Ajzen (1991) also predicted direct and
­behavioral control, respectively. ­indirect effects for the perceived behavioral control
Attitudes refer to an individual’s overall evaluation construct on behavior. The effects of perceived
of the behavior and are usually tapped using direct ­behavioral control that are mediated by intention
measures and psychometric scales (Ajzen,  1991). reflect the level of perceived volitional control an
However, the sets of personal beliefs that the target individual has over the performance of the behavior
behavior will result in outcomes (behavioral beliefs) in the future, similar to self-efficacy. However, if
and whether such outcomes are salient (outcome ex­ perceived behavioral control closely reflected the
pectations) are hypothesized to underpin the direct degree to which participation in the behavior was
attitude measure (Ajzen, 1991). These can also be impaired by real environmental barriers or imped­
measured individually for each belief and outcome ances, the construct would serve as a “proxy” measure
and are considered indirect measures of attitude. of actual control and directly affect behavior unme­
Similarly, subjective norms are typically measured diated by intention.
directly as a person’s overall evaluation that signifi­ The most frequently cited or modal beliefs that
cant others would want him or her to engage in the underpin the attitude, subjective norms, and per­
target behavior. As with attitudes, subjective norms ceived behavioral control constructs in physical ac­
are sourced indirectly from sets of beliefs that reflect tivity contexts have been identified. The beliefs are
expectations that significant others will exert pres­ typically elicited from pilot research using open-
sure or cajole the individual to engage in the behavior ended measures that are content analyzed to provide
(normative beliefs) and the individual’s propensity sufficient information to develop the salient outcomes
to comply with those significant others (motivation to for the behavioral belief and outcome evaluation
comply). The construct of perceived behavioral measures, the salient referents for the normative
­control encompasses control-related perceptions with belief and motivation-to-comply measures, and the
respect to the target behavior, including actual barri­ salient barriers and control-related issues for the con­
ers and personal evaluations of limitation or capacity trol beliefs and perceived power measures. Research
with respect to the behavior. This led Ajzen to indi­ in physical activity has typically identified the follow­
cate that perceived behavioral control contained ing most frequently cited (modal) outcomes: “good
elements of Bandura’s (1986) self-efficacy construct companionship,” “weight control,” “benefit my over­
in that it captures judgments of how well one can all health,” “take too much time,” “fun,” “get fit,”
execute required actions to produce important out­ “stay in shape,” “improve skills,” “get an injury,” and
comes. The construct is also underpinned by a set of “makes you hot and sweaty” (Hagger, Chatzisarantis,
beliefs (Ajzen,  1991). Control beliefs refer to the Biddle, & Orbell, 2001). Similarly, important refer­
perceived presence of factors that may facilitate or ents identified include friends, colleagues, and family
impede performance of behavior, and perceived power members like parents, grandparents, and siblings
refers to the perceived impact that facilitative or (Hagger et al., 2001). The modal control beliefs iden­
inhibiting factors may have on performance of tified include barriers and facilitators that underpin
­behavior (Ajzen & Driver, 1991). An indirect measure the direct measure of perceived behavioral control:
of perceived behavioral control is formed from the “bad weather,” “age,” “heart pain,” “costs,” “fatigue,”
composite of the control beliefs multiplied by its and “no time” (Godin, Valois, Jobin, & Ross, 1991).
perceived power (Ajzen & Driver, 1991). As with behavioral and normative beliefs, research

Hagger 465
shows that control beliefs demonstrate considerable significant even after controlling for previous expe­
variance across different populations and behaviors. rience. This indicated that previous decision-making
For example, studies in the physical activity domain processes were accounted for by the variables in the
have identified “age” and “fear of having a heart model, but the most recent decision-making vari­
attack” among the control beliefs for older and clin­ ables remained salient as explanations of variance
ical populations (Godin et al., 1991), but these beliefs in physical activity intentions and behavior. It was
do not feature among the control beliefs of younger concluded that
populations, which focus more on inclement weather
while past behavior had a significant and direct
and lack of time (Hagger et al., 2001). Interestingly,
influence on intention, attitude, perceived behavioral
the comparatively limited research examining rela­
control, and self-efficacy, these cognitions are also
tions between the indirect belief-based measures and
necessary for translating past decisions about
the direct measures suggests that multiplicative com­
behavioral involvement into action. This is consistent
posites of the belief and value systems do not ac­
with the notion that involvement in volitional
count for a high degree of variance in the direct
behaviors such as regular physical activity involves
measures of attitudes, subjective norms, and per­
both conscious and automatic influences.
ceived behavioral control (Hagger et al.,  2001).
(Hagger et al., 2002a, p. 23)
Suggested solutions are to avoid multiplicative com­
posites when evaluating beliefs in tests of the theory This evidence indicates the general recognition
and focus on  the intensity (expectancy) measures of the theory of planned behavior as an important
alone, an approach that has been advocated and theoretical approach to the understanding of the
used successfully in studies in physical activity and motivational influences on physical activity behav­
other behavioral domains (Ajzen & Fishbein, 2008; ior. The considerable attention paid to the theory in
Bélanger-Gravel, Godin, Bilodeau, Poirier, & the literature is attributable to its effectiveness in ac­
Dagenais, 2013; French & Hankins, 2003; Hamilton, counting for variance in physical activity intention
Kirkpatrick, Rebar, White, & Hagger, 2017). and behavior, as well as its relative parsimony and
Formative research adopting the theory of planned role as a flexible framework for the study of psycho­
behavior in physical activity contexts has demon­ social influences and processes that underpin physical
strated that attitudes and perceived behavioral con­ activity behavior. For example, its role as a flexible
trol consistently and significantly predict intentions framework has been supported by research that
and explain approximately equal proportions of the has shown that the attitude, subjective norm, and
variance in physical activity behavior with a sub­ ­perceived behavioral control constructs mediate the
stantially lesser role for subjective norms (Hagger & effect of other distal constructs on intentions and
Chatzisarantis,  2005; Hagger, Chatzisarantis, & behavior such as personality (e.g., Chatzisarantis &
Biddle, 2002a). In addition to individual empirical Hagger, 2008; Conner & Abraham, 2001; Conner,
studies, a meta-analysis of 72 studies applying the Rodgers, & Murray,  2007; Hoyt, Rhodes,
theory of planned behavior in physical activity con­ Hausenblas, & Giacobbi, 2009; Rhodes & Courneya,
texts supported the trends in the physical activity 2003) and other individual difference variables
data across the literature (Hagger et al.,  2002a). (Chatzisarantis & Hagger,  2007; Fitch & Ravlin,
Using a meta-analytic path analysis, intention was 2005; Hagger, Anderson, Kyriakaki, & Darkings,
found to be the sole proximal predictor of physical 2007). However, researchers have also indicated that
activity and the effects of attitudes and perceived the theory does not account for all of the variance in
behavioral control on intentions were medium in intention and behavior, nor does it mediate the
magnitude and stronger than the effects of subjective ­effects of certain “external variables” on intentions
norms. In addition, studies that separated measures and behavior (e.g., Bagozzi & Kimmel, 1995;
of self-efficacy (reflecting personal capacity and Conner & Abraham, 2001; Conner & Sparks, 2015;
confidence estimates) and perceived controllability Rhodes & Courneya,  2003). Paradoxically, this
(reflecting perceived barriers) indicated that self- “weakness” has become the theory’s greatest strength.
efficacy explained additional variance in the predic­ Ajzen (1991) states that the theory should be viewed
tion of both intentions and behavior. Past behavior as a flexible framework into which other variables
also predicted all the theory constructs and atten­ can be incorporated, provided they make a mean­
uated their effects on intention and behavior. ingful and unique contribution to the p ­ rediction of
Nevertheless, the influences of the social cognitive intentions and there is a theoretical precedence for
constructs on intentions and behavior remained the inclusion of such variables.

466 Advances In Motivation In Exercise And Physical Activit y

 As a consequence, the theory has been adopted Sheeran,  2003) and, as mentioned previously,
by researchers in physical activity as a general frame­ ­perceived behavioral control has been differenti­
work to investigate the effect of a number of addi­ ated into self-efficacy and perceived controllability
tional social cognitive constructs on intention and (Armitage & Conner, 1999; Hagger et al., 2001).
behavior (Conner & Sparks,  2015). To the extent Even intentions have been distinguished from de­
that such constructs have a unique effect on inten­ sires, the latter being “emotional” forms of intention
tion or behavior and are not mediated by the core (Perugini & Bagozzi, 2001). In the same vein, re­
theory variables of attitude, subjective norm, and searchers have also investigated the extent to which
perceived behavioral control, the researcher has evi­ individuals are orientated toward or base their inten­
dence to support the inclusion of that construct tions on each of the core theory constructs (Sheeran,
within the theory. Several constructs have been found Trafimow, Finlay, & Norman,  2002; Trafimow &
to have a unique effect on intentions and/or behavior, Finlay, 1996). These modifications suggest that the
including anticipated affect and attitude ambiva­ antecedents of volitional behaviors, like physical
lence (Armitage & Conner, 2000), anticipated regret activity, may be more complex than originally con­
(Rivis, Sheeran, & Armitage, 2009), cultural norms ceived by the theory.
and ethnicity (Blanchard et al., 2008), descriptive These modifications were formalized in the pro­
norms (Rivis & Sheeran, 2003), group norms and posed reasoned action approach, in which Fishbein
membership (Terry, Hogg, & White, 2000), health and Ajzen (2009) summarized these advances and
locus of control (Hagger & Armitage, 2004), moral presented an expanded framework based on the
norms (Rivis et al.,  2009), past behavior (Hagger, theories of reasoned action and planned behavior.
Chan, Protogerou, & Chatzisarantis, 2016), proto­ Specifically, they distinguished between the affective
types (Norman, Armitage, & Quigley,  2007), or experiential and cognitive or instrumental subcom­
self-­identity (Hagger & Chatzisarantis, 2006), and ponents of attitudes, the injunctive and descriptive
self-schemas (Sheeran & Orbell, 2000a). subcomponents of subjective norms, and perceived
In addition to the effects of other constructs, control or autonomy (not to be confused with auton­
the influence of variations in the characteristics and omous motivation from self-determination theory)
nature of the core theory of planned behavior con­ and capacity or subcomponents of perceived behav­
structs on intentions, and of intention itself, on ioral control. Although this approach has received
behavior have been investigated (Sheeran,  2002). relatively little attention relative to the theory of
Examples include the stability of intentions (Sheeran, planned behavior, a meta-analysis of research making
Orbell, & Trafimow, 1999), the accessibility of atti­ the distinction between its component constructs
tudes (Doll & Ajzen, 1992), and hypothetical bias has demonstrated its utility (McEachan et al., 2016).
(Ajzen, Brown, & Carvahal,  2004). Following on However, it is important to note that many of the
from this, recent research has explored the effects modifications that make up the reasoned action
of ‘motivational coherence’ on the theory relations. approach make relatively modest increases in the
Sheeran and Conner (2017) illustrated that inten­ predictions within the model, and the separation of
tions were stronger predictors of health behaviors, the theory components into more specific, differen­
including physical activity, when the predictors of tiated constructs does not appear to affect the pre­
intentions (attitudes, subjective norms, and per­ diction of intentions and behavior at the global level
ceived behavioral control) were coherent or ‘point (Hagger & Chatzisarantis, 2005). Notwithstanding
in the same direction’. These findings illustrate that these modifications, the theory still performs rela­
the properties of the psychological constructs from tively well in terms of explaining physical activity
the theory are important in determining behavior. behavior and, in its most parsimonious form, can
In addition, researchers have sought to differen­ inform successful interventions to promote physical
tiate between the independent and fundamental activity (e.g., Darker, French, Longdon, Morris, &
concepts within each of the psychosocial compo­ Eves, 2007; Hagger & Chatzisarantis, 2005).
nents that predict intentions. For example, attitudes Although the theory of planned behavior and,
have been differentiated into cognitive or instru­ increasingly, the associated reasoned action approach
mental attitudes and affective attitudes (Conner, (Fishbein & Ajzen, 2009) have demonstrated con­
McEachan, Taylor, O’Hara, & Lawton, 2015; Lawton, siderable success in terms of predicting physical ac­
Conner, & McEachan, 2009; Lowe, Eves, & Carroll, tivity in numerous contexts and groups, numerous
2002), subjective norms have been differentiated into limitations have been identified (Head & Noar,
injunctive norms and descriptive norms (Rivis & 2014; Sniehotta, Presseau, & Araújo-Soares, 2014).

Hagger 467
One of the key limitations is that the relationship experience motivation to engage in activities and
between intentions and behavior is far from perfect. behaviors as autonomous or controlling will deter­
In fact, it frequently falls considerably short of a mine their persistence with the behavior in the future
large effect size and meta-analytic studies have typi­ and whether they gain certain adaptive outcomes
cally indicated that the relationship between inten­ such as satisfaction, enjoyment, and psychological
tions and behavior is relatively modest or even weak well-being. Organismic integration theory (OIT), a
(Hagger, Chan, et al., 2016; Hagger et al., 2002b). subtheory of self-determination theory, seeks to
This suggests a considerable shortfall exists in the provide an explanation for the processes by which
numbers of individuals who convert their positive people assimilate behaviors that are externally regu­
intentions into actual behavior (Rhodes & de Bruijn, lated and incorporate them into their repertoire of
2013). For example, Rhodes and de Bruijn’s meta- behaviors that are self-determined and integrated
analysis of research examining relations between in­ into their personal system. Central to OIT is the
tentions and physical activity participation revealed perceived locus of causality, which represents a grad­
that 42% of individuals reported having a positive uated continuum of motivational styles or regula-
intention to exercise but failed to participate in tions. The continuum, known as the perceived locus
physical activity subsequently. Numerous reasons of causality, is characterized by two relatively auton­
have been cited for this problem, such as a lack of omous forms of motivation, intrinsic motivation and
correspondence between the measures of intention identified regulation, and two relatively controlling
and behavior, the relative instability of intentions, forms of motivation, external regulation and intro-
and the moderating effect of numerous individual jected regulation (Ryan & Connell, 1989). Important
difference factors such as self-schema. These have for researchers and practitioners in the field of phys­
been frequently investigated and research has shown ical activity, individuals who act for autonomous
that the intention–behavior “gap” is strengthened reasons are more likely to persist in the absence
under conditions of high intention stability and of  discernable external rewards or contingencies.
among self-schematics (Sheeran & Orbell, 2000b). Therefore, if interventions can promote autonomous
However, the relationship remains relatively modest motives for engaging in physical activity among in­
in effect size, which means that people frequently dividuals, it is likely to lead to persistence over time
do not convert their “good” intentions to engage in and cede the health benefits of physical activity to
physical activity into actual behavior. Researchers those individuals. The major theoretical tenets of
have therefore sought to develop strategies that might self-determination theory have been outlined in
assist in moderating the intention–behavior relation­ detail elsewhere in this volume (see Ryan, Ryan, Di
ship, particularly strategies that enable individuals Domenico, & Deci, 2019, Chapter 6), so the present
to convert their good intentions to engage in physical review will focus on the specific application of self-­
activity behavior into actual action. These strategies determination in the domain of health-related
and advances will be reviewed in the “Theoretical physical activity.
Advances” section of this chapter. Research adopting the perceived locus of causality
from OIT has shown that autonomous forms of
Self-Determination Theory regulation are positively related to adaptive behav­
Self-determination theory (Deci & Ryan,  1985b, ioral and psychological outcomes in the domain of
2000) is a prominent motivational theory adopted physical activity. Autonomous motivation is asso­
to identify the contextual and interpersonal influ­ ciated with physical activity participation and
ences on human behavior and has received much ­adherence over time (Chatzisarantis, Biddle, & Meek,
attention in the physical activity literature (Hagger 1997; Chatzisarantis, Hagger, Biddle, Smith, & Wang,
& Chatzisarantis, 2007, 2008). Self-determination 2003; Fortier & Kowal, 2007; Ng et al., 2012), per­
theory is actually a metatheory comprising several ceived competence (Goudas, Biddle, & Fox, 1994),
subtheories that seek to explain human motivation physical activity intentions (Hagger, Chatzisarantis,
and behavior on the basis of individual differences & Harris, 2006b; Phillips, Abraham, & Bond, 2003;
in motivational orientations, contextual influences on Wilson & Rodgers, 2004), and psychological well-
motivation, and interpersonal perceptions. Central being (Gunnell, Crocker, Wilson, Mack, & Zumbo,
to self-determination theory is the distinction be­ 2013). Furthermore, environmental antecedents such
tween self-determined or autonomous forms of moti­ as autonomy support (Edmunds, Ntoumanis, &
vation relative to non-self-determined or controlling Duda, 2007) and people’s perceptions that the mo­
forms of motivation. The extent to which people tivational context is supportive of their autonomous

468 Advances In Motivation In Exercise And Physical Activit y

motivation (Koka & Hagger, 2010) have also been by two pervading dispositional motivational orien­
linked with autonomous motivational regulations tations: mastery oriented and performance oriented.
from OIT. Findings from previous research have been Individuals with a mastery-oriented or self-referenced
supported by meta-analyses of the effects of autono­ goal orientation tend to view success and failure in
mous forms of motivation on health behavior and terms of personal improvement, effort, and learning.
outcomes, including physical activity (Chatzisarantis Analogously, people with a performance-oriented or
et al.,  2003; Ng et al.,  2012). Interestingly, these other-referenced goal perspective tend to view success
analyses demonstrated process models in which au­ and failure in terms of their performance compared
tonomous forms of motivation mediated the effect to others, fulfilling normative standards, other-­
of perceived autonomy support on intentions and referenced goals, and normative comparison. This
actual health behavior. classic dichotomous conceptualization of achieve­
Another fundamental subtheory of self-determi­ ment motivation has formed the basis of numerous
nation theory is basic needs theory. Deci and Ryan theoretical traditions that have viewed achievement
(2000) suggest that the origins of self-determined goals as generalized orientations that affect indi­
motivation stem from individuals’ innate propensity viduals’ interpretation of competence across a
to satisfy three basic psychological needs: autonomy, wide variety of contexts (Ames, 1992; Dweck, 2017),
competence, and relatedness. These needs are per­ including physical activity (e.g.,Cury et al.,  1996;
ceived to be fundamental to all humans, and people Vlachopoulos & Biddle, 1997).
approach behaviors in an intrinsically motivated The dichotomy has been updated by Elliot and
fashion because they perceive it as being efficacious others (Elliot,  1999; Pintrich,  2000), who viewed
in satisfying psychological needs. The existence of achievement goals as dynamic, flexible, and change­
these needs has been justified empirically and research able interpersonal constructs that vary not only in
has illustrated that these needs are pervasive across terms of their perspective on competence but also in
different cultures (Sheldon, Elliot, Kim, & Kasser, their valence as either approach or avoidant. The inte­
2001). Basic needs theory is linked with OIT because gration of an approach–avoidance valence concur­
it charts the origins of autonomous or self-­ rent with the mastery–performance dichotomy has
determined motivational regulations. It is also led to the development of a 2 × 2 conceptualization
­important to note that the three basic needs are of achievement goals (Elliot & Church, 1997). The
complementary—that is, optimal functioning and 2 × 2 framework produces four distinct achievement
truly integrated behavior can only result if all three goal constructs: mastery-approach goals in which
psychological needs are supported. Satisfaction of competence is defined in terms of mastering skills,
basic psychological needs has been shown to be re­ improving technique, and enhancing self-referenced
lated to autonomous forms of motivation in physical outcomes and is positively valenced; performance-
activity contexts from the perceived locus of causality approach goals in which competence is defined in
consistent with self-determination theory (Hagger, normative terms and relative to the performance of
Chatzisarantis, & Harris, 2006a; Standage, Gillison, others and is positively valenced; mastery-avoidance
& Treasure,  2007) and interventions supporting goals in which competence is defined as personally
­autonomous motivation were found to increase psy­ referenced and is negatively valenced; and perfor­
chological need satisfaction as well as motivational mance-avoidance goals in which competence is de­
regulations (Edmunds et al., 2007). There is consid­ fined normatively and is negatively valenced. These
erable scope for further investigation to answer goal orientations should be viewed as “situation-­
questions relating to the role of needs in determining specific regulators of achievement behavior that are
physical activity behavior. For example, what happens energized and impelled by underlying motive dispo­
to physical activity when needs are not fulfilled or sitions” (Elliot & Church, 1997, p. 228). Readers are
thwarted? These questions will be addressed in the directed to Chapter 13 for a thorough treatment of
“Theoretical Advances” section of this chapter. achievement goal theory (Murayama & Elliot, 2019).
In the context of physical activity, variables such
Achievement Goal Theory and the 2 × 2 as intrinsic motivation (Barkoukis, Ntoumanis, &
Framework Nikitaras,  2007), perceived competence (Wang,
Achievement goal theory was developed to examine Biddle, & Elliot, 2007), and self-efficacy (Cumming
the effects of perceptions of success and failure on & Hall,  2004) have been shown to be related to
motivation in education contexts (Nicholls, 1989). approach goals, whereas fear of failure and extrin­
According to the theory, motivation is determined sic motivation have been shown to be related to

Hagger 469
avoidance goals (Barkoukis et al., 2007; Conroy & including physical activity, although significant, is
Elliot, 2004). Future research in the physical activ­ comparatively weak and is further compromised by
ity domain should be directed toward establishing the inclusion of past behavior (Armitage & Conner,
the links between the achievement goals from the 2001; Hagger et al.,  2001). Furthermore, meta-
framework and constructs from self-determination analyses of interventions and experimental manipu­
theory. For example, there are recognized congruen­ lations based on the theory of planned behavior
cies between achievement goal and self-determination aimed at changing intentions have corroborated
theories. However, there is increased need to look at these findings, demonstrating substantially larger
the overlap and distinctions in the context of the effects of interventions on intentions than behavior
2 × 2 framework. This will be investigated in more (Webb & Sheeran,  2006). These data present a
detail in the “Integration of Theories” section of problem for interventions based on this theory be­
this chapter. cause it seems that even though people may report
that they have good intentions to engage in physical
Theoretical Advances activity, people do not always behave in accordance
Although the three motivational theories have in­ with their intentions.
formed exercise psychologists’ understanding of the Solutions to this problem have been presented in
factors that influence physical activity behavior and the form of implemental approaches to behavioral
also provided a useful basis for interventions aimed engagement. Heckhausen and Gollwitzer (1987)
at changing physical activity behavior and health- presented an action-phase model that identifies two
related outcomes, questions remain with respect to complementary processes that lead to action: an in­
some of the limitations of the theories and the lack tentional (motivational) phase and an implemental
of information or research in particular areas in the (volitional) phase. The intentional phase encom­
physical activity context. I outlined some of these passes the processes that lead to the formation of
limitations and needs for research in the previous intentions to engage in a behavior captured aptly in
sections. For example, the theory of planned behav­ the theory of planned behavior by the antecedents of
ior is limited in that the link between intentions and intention. However, although intentions to engage
behavior was relatively modest; there is relatively in health-related behaviors may be a prerequisite for
limited information on self-determination theory in behavioral engagement, they are not always sufficient.
the role that psychological need satisfaction plays on The implemental phase outlines the process of how
physical activity behavior; and there is little research the identification of critical cues in the environment
on the conceptual and empirical links between the­ leads to the enactment of intentions and promotes
ories like achievement goal theory, the theory of strong links between the cue and the planned
planned behavior, and self-determination theory in action. Proponents of the action-phase model have
the physical activity domain. In the next two sec­ proposed that engaging in strategies that highlight a
tions, I will outline recent developments in the field critical situation or contingency in which the be­
of motivation in physical activity that attempt to havior will be initiated will be effective in promot­
address these outstanding questions with a view to ing behavioral engagement. Such strategies, known
advancing knowledge and understanding of physical as implementation intentions, require people to pro­
activity behavior. pose and write down when and where they will
enact their planned behavior (e.g., “if situation Y
Implementation Intention Approaches occurs, then I will perform response Z !”). Such exer­
One of the problems with motivational interven­ cises promote behavioral engagement by promoting
tions based on theories like the theory of planned increased accessibility of the critical cue in the envi­
behavior is that their effects on actual behavior ronment (Aarts, Dijksterhuis, & Midden, 1999)
have been relatively modest (Hardeman et al., 2002; and developing a link in memory between the critical
Sheeran et al., 2016; Steinmetz, Knappstein, Ajzen, situation (Y ) and the planned action (Z ) (Brandstätter,
Schmidt, & Kabst, 2016). The limited success of Lengfelder, & Gollwitzer, 2001). When intentions
such interventions has been attributed to the com­ are furnished with implementation intentions, be­
paratively weak relationship between intentions havioral initiation is therefore more efficient, guided
and behavior observed in formative research on the by automatic processes, and less vulnerable to lapses
theory. For example, meta-analyses have demon­ in memory or reliant on conscious processing.
strated that the average effect size of the intention– Augmenting intentions with implementation in­
behavior relationship for many health behaviors, tentions has shown to be effective in promoting

470 Advances In Motivation In Exercise And Physical Activit y

behavioral engagement in numerous health-related A relatively recent advance in this field is the
contexts (Hagger, Luszczynska, et al., 2016), includ­ adoption of hybrid intervention approaches that
ing cancer screening (Orbell, Hodgkins, & Sheeran, target both intention promotion using traditional
1997; Prestwich et al.,  2005), dietary behaviors intervention approaches targeting the antecedents
(Prestwich, Ayres, & Lawton,  2008; Prestwich, of intention from the theory of planned behavior
Perugini, & Hurling,  2009; van Osch et al., and implementation using implementation inten­
2009), alcohol consumption (Hagger, Lonsdale, & tion strategies. This research has demonstrated that
Chatzisarantis, 2012), and physical activity (Arbour & motivational interventions combined with imple­
Martin Ginis,  2009; Chatzisarantis, Hagger, & mentation intentions have a synergistic effect on
Thøgersen-Ntoumani,  2008; de Vet, Oenema, physical activity behavior (Koka & Hagger,  2017;
Sheeran, & Brug,  2009; Prestwich, Lawton, & Prestwich et al.,  2003). Such interventions have
Conner, 2003). Meta-analyses have also demon­ demonstrated considerable promise and indicate the
strated that implementation exercises have a strong importance of both motivation and implementa­
effect on behavioral enactment (Gollwitzer & tion when it comes to intervening to enhance phys­
Sheeran, 2006). In addition, investigations have ical activity behavior. Hybrid interventions should
demonstrated that changes in behavior as a result of therefore be advocated in the development of physical
forming implementation intentions are not a result activity interventions based on motivational theories
of changes in intentions or other constructs from in the future.
the theory of planned behavior (Orbell et al., 1997;
Sheeran & Orbell, 1999). Instead, there is evidence Psychological Needs and Need Thwarting
that the effect of implementation intention manip­ Self-determination theory is a relatively unique
ulations is mediated by the extent to which par­ ­approach in the melee of psychological theories ap­
ticipants engage in the implementation intention plied to physical activity because it is an organismic
exercises and form plans to enact their intentions approach that is based on three innate psychological
(Scholz, Schuz, Ziegelmann, Lippke, & Schwarzer, needs: autonomy, competence, and relatedness
2008). Such mediators are important because they (Deci & Ryan, 2000). According to the theory, it is
demonstrate the mechanisms for the effects and also the environmental support for these needs as well
highlight the dependence of the effect on compli­ as the extent to which an individual perceives these
ance with the implementation intention manipula­ needs to be satisfied that gives rise to autonomously
tions (Michie, 2008). motivated behavior. The latter “state” of motivation is
In the context of physical activity behavior, im­ clearly desirable for exercise psychologists, practitio­
plementation intentions have been shown to be ners, and interventionists when it comes to behaviors
effective in producing increased physical activity like physical activity because it means that individuals
participation and, therefore, reducing the intention–­ are more likely to engage and persist with the behavior
behavior gap. The body of research adopting these (i.e., be more effective at self-regulating their physical
kinds of intervention is increasing and has been activity) in the absence of any external contingency
applied to numerous types of physical activity such as (e.g., the presence of a social agent to “prod” and
walking (Arbour & Martin Ginis, 2009) and regular “coerce”) or tangible reward (e.g., money). In the
moderate to vigorous physical activity (Luszczynska theory, it is assumed that all individuals require these
& Haynes, 2009; Prestwich et al., 2008, 2009) and needs to be satisfied to function effectively in their
in different populations such as those with chronic environment, and research has suggested that people
diseases like obesity (de Vet et al., 2009) and cardio­ recognize the value of these needs and that they are
vascular disease (Luszczynska, 2006). A meta-analysis universal (Sheldon et al.,  2001). As a consequence,
of interventions and experimental trials adopting there has been considerable recent interest in the role
implementation intentions in the context of physical of psychological need satisfaction, motivational ori­
activity demonstrated a small to medium effect size entations toward physical activity, and actual physical
of implementation intentions on physical activity activity engagement and behavior.
behavior (Bélanger-Gravel, Godin, & Amireault, For example, several studies have shown global
2013). Suffice to say that the trends in this research psychological need satisfaction to be associated with
generally support the significant and positive effects actual physical activity behavior (Edmunds et al.,
for implementation intention interventions on phys­ 2007; Hagger et al., 2006a). However, this associa­
ical activity behavior found in studies adopting this tion was, unsurprisingly, mediated by contextual-
intervention approach in other behavioral contexts. level motivational orientations, indicating a process

Hagger 471
model. Psychological need satisfaction therefore acts psychological need satisfaction and, as a consequence,
as a distal factor influencing physical activity behav­ autonomous motivation to engage in physical activ­
ior by promoting autonomous forms of motivation ity. Research has demonstrated a significant relation­
toward that specific behavior. Support for this process ship between both perceived and actual autonomy
model has been relatively consistent in the literature support and psychological need satisfaction (Hagger
for both physical activity and other health-related et al., 2006a). It may be that thwarted psychological
behaviors. In fact, studies have demonstrated sig­ needs in certain contexts are not irreparable, and the
nificant indirect effects of satisfaction of the three provision of autonomy support may be most effec­
psychological needs on health-related behavior in a tive in bringing about changes in motivation for
physical activity context (Hagger et al., 2006a). This people with low need satisfaction. However, there is
demonstrates the relatively consistent effects of psy­ relatively little research adopting this approach in a
chological needs and the process model proposed by physical activity context, and there is a clear need
Deci and Ryan (Deci & Ryan, 1985b, 2000) in their for further inquiry in this direction to confirm these
exposition of the theory. hypotheses.
So what does the future hold for research into
psychological needs? A recent approach has been Integration of Theories
to  focus on occasions where psychological needs The Theory of Planned Behavior and
remain unsatisfied or are thwarted (Bartholomew, Self-Determination Theory
Ntoumanis, & Thogersen-Ntoumani, 2009; Gunnell Recently, researchers have sought to integrate psy­
et al., 2013; Hein, Koka, & Hagger, 2015). This is chosocial models such as the theory of planned
an important emerging area of research and it could behavior with other motivational theories like self-­
be argued that it is as important to examine the determination theory. This is because these ap­
effects of occasions when individuals in physical ac­ proaches are deemed to provide complementary
tivity contexts fail to have their psychological needs ­explanations of the processes that underlie moti­
satisfied and whether that impacts their physical vated behavior (Hagger & Chatzisarantis,  2016).
activity participation. If a person perceives the phys­ This is important with regard to the theory of
ical activity domain not to be a context in which his planned behavior because it provides information
or her needs are likely to be satisfied, this will prob­ as to the origins of the attitudes, subjective norms,
ably have two effects on the person’s behavior in and perceived behavioral control constructs. Several
that domain. First, it would likely lead to an avoid­ researchers have integrated these approaches in
ance response and desistance from physical activity mediational models to illustrate the processes that
participation and, second, the individual may seek lead to decisions to engage in social behavior. For
the satisfaction of those needs in other behavioral example, self-determined or autonomous motives
domains. These effects are most likely to occur when from self-determination theory have been shown to
the context fails to support needs. Recent evidence directly predict behavioral intentions (Chatzisarantis,
for this comes from some research conducted on Hagger, Biddle, & Karageorghis,  2002; Hagger
adolescent girls’ unhealthy weight-control behaviors et al., 2002a; Wilson & Rodgers, 2004). However,
(such as skipping meals, taking laxatives, and some researchers have tested a more complete model
vomiting). The research demonstrated that low psy­ in which different regulatory styles of autonomous
chological need satisfaction was associated with and controlled motivation from self-determination
high levels of these behaviors and this was mediated theory predict intentions via the mediation of atti­
by body image concerns (Thøgersen-Ntoumani, tudes and perceived behavioral control. This moti­
Ntoumanis, & Nikitaras, 2010). However, percep­ vational sequence has been supported in a number
tions that significant social agents, such as parents, of studies (Chatzisarantis et al., 2002; Hagger et al.,
supported autonomy were positively related to psy­ 2002a, 2006b).
chological need satisfaction. Researchers have recently The proposition that self-determination theory
proposed a ‘dual process’ model of self-determination (Deci & Ryan,  1985b,  2000) can augment social
theory, arguing that need support and need thwart­ cognitive theories such as the theory of planned be­
ing are separate processes with independent effects havior has been suggested previously, but it has only
on behavior (Jang, Kim, & Reeve, 2016). recently received empirical support. Numerous au­
Taken together, these findings indicate that inter­ thors have proposed that motivational, organismic
ventions that target autonomy-supportive behaviors theories such as self-determination theory could
of social agents may be a useful means to promote potentially offer explanations for the origins of

472 Advances In Motivation In Exercise And Physical Activit y

constructs in social cognitive theories. As Andersen, The second premise relates to the relative degree
Chen, and Carter (2000) stated, “most information of generality reflected by the constructs from the
processing [social cognitive] models are silent on mat­ two theories. The autonomous motives from self-­
ters central to self-determination theory” (p. 272). determination theory reflect dispositional motiva­
Deci and Ryan (Deci & Ryan, 1985b) have suggested tional orientations in a particular context and are
that social cognitive theories identify the immediate therefore expected to predict behavioral engagement
antecedents of behavior but neglect the origins of the across a variety of behaviors in that context. In the
antecedents: “Cognitive theories begin their analysis case of physical activity this can mean formal kinds
with what Kagan (1972) called a motive, which is a of exercise (e.g., going to the gym, participating in
cognitive representation of some future desired state. an aerobics class), sport (e.g., training for a particu­
What is missing, of course, is the consideration of the lar sport and competition), and informal or inci­
conditions of the organism that makes these future dental physical activity (e.g., walking to work, using
states desired” (p. 228). Constructs such as attitudes, stairs instead of the elevator). Vallerand (2007)
perceived behavioral control, and intentions from labels this form of motivation contextual-level moti-
social cognitive theories like the theory of planned vation because it reflects motivational orientations
behavior are measured as explicitly stated expec­ that affect all forms of behavior in a given context.
tancies regarding future behavioral engagement. However, the constructs from the theory of planned
Therefore, the integration of these theories may offer behavior are expectations for engaging in the behav­
more information as to the mechanisms that under­ ior in the future, and measures of these constructs
lie intentional behavior such as physical activity. therefore specify explicitly the behavior and time
The integration of the theory of planned behavior frame of that bout of behavior. Vallerand suggested
and self-determination theory is based on two key that contextual-level motivation affects motivational
premises. The first premise is based on the hypothesis orientations at the situational level in a top-down
that the relationship between autonomous motives fashion. Intentions in the theory of planned behav­
from self-determination theory and the constructs ior are hypothesized to be located at this level because
from the theory of planned behavior is a formative they reflect expectations for engaging in a specific
one. People who have high levels of autonomous target behavior at a specific future time. They are
motivation in a given domain are likely to experience therefore conceptualized as orientations to engage
their behavior in that domain as personally relevant in a behavior at the situational level. In addition,
and valued, in that it is concordant with their psy­ Vallerand also hypothesized that contextual-level
chological need for self-determination (Sheldon, motivation would influence cognitions at the situa­
2002). As a consequence, autonomously motivated tional level. It is therefore expected that motivation
people will have a greater tendency to critically ex­ at the contextual level would influence the beliefs
amine the importance and value of the outcomes of that underlie engagement in specific bouts of a be­
engaging in any future target behavior. In the case of havior in the future, which, according to the theory
physical activity, autonomous people will be likely of planned behavior, are constructs like attitudes and
to find information that points to the importance of perceived behavioral control. In accordance with
activity and thus form a positive attitude toward this theory, it would be expected that contextual-
future participation in that physical activity. In con­ level motives would predict the performance of
trast, people who report high levels of controlled ­behavior at the situational level and its antecedents.
forms of motivation will tend to focus on external There is a growing body of research that has
contingencies of the future engagement in physical ­supported the integration of the theory of planned
activity, which are likely to have little to do with the ­behavior and self-determination theory. The develop­
valued consequences of participating in physical ac­ ment of research in this area began with Chatzisarantis
tivity. Individuals with high levels of autonomous et al. (1997), who found that intentions based on
motivation are likely to feel more confident in reach­ self-determination theory (autonomous intentions)
ing their goals and engaging in subsequent behavior were a better predictor of behavior than “traditional”
to satisfy these goals because they quench their need forms of intentions. Similarly, Sheeran, Norman,
for competence. Links between autonomous motiva­ and Orbell (1999) found that intentions based on
tion and perceived competence have been found in attitudes were more likely to predict behavior than
previous research (G. C. Williams, Gagne, Ryan, & intentions based on subjective norms, and they sug­
Deci, 2002; G. C. Williams, McGregor, Zeldman, & gested that intentions based on attitudes reflected
Freedman, 2004). pursuing behaviors for personally valued outcomes

Hagger 473
(akin to an identified regulation) and, therefore, for and effort (Chatzisarantis et al., 2002). Since this
more autonomous reasons than intentions based on initial research, the indirect effect of autonomous
subjective norms, which reflected more controlling motives from self-determination theory on inten­
aspects of motivation such as external or introjected tions and behavior as stipulated by the proposed
regulations. Together, these results paved the way motivational sequence has been corroborated in
for more comprehensive studies in which the ef­ several studies (Hagger & Chatzisarantis,  2016;
fects of self-determined forms of motivation influ­ Hagger, Sultan, Hardcastle, & Chatzisarantis, 2015),
enced behavior. including the domain of physical activity (Hagger
Following these pioneering studies, researchers et  al.,  2009; Pihu, Hein, Koka, & Hagger,  2008;
have been committed to comprehensive tests inte­ Wallhead, Hagger, & Smith,  2010). Recent meta-
grating the theories adopting hypotheses from both analyses of studies integrating these theories have
component theories to address hypotheses relating provided support for the integrated motivational se­
to behavior in numerous contexts. Prominent among quence (Hagger & Chatzisarantis, 2009, 2016). The
these studies are those that outline a clear motiva­ analyses provide useful information for the process
tional sequence in which the generalized motiva­ by which social contexts influence behavior and rec­
tional orientations from self-determination theory ommendations for intervention. For example, we
influence constructs from the theory of planned be­ have shown that interventions can be designed in
havior in a physical activity context (Chatzisarantis such a way to change perceptions at any stage of the
et al., 2002; Hagger et al., 2002a). In such studies, motivational sequence, targeting either autonomous
the theory of planned behavior acts as a conduit for motives as a distal influence on intentions or atti­
the effects of autonomous forms of motivation on tudes and perceived control as a proximal influence.
physical activity behavior. The decision-making con­ This may lead to hybrid interventions that adopt
structs from the theory of planned behavior reflect techniques from both self-determination theory
the formation of plans to engage in physical activity (Chatzisarantis & Hagger, 2009) and the theory of
in the future and represent situational motivational planned behavior (Chatzisarantis & Hagger, 2005)
orientations toward physical activity behavior. The to promote increased physical activity participation.
self-determination theory motives serve to indicate
a source of information that influences the decision-­ 2 × 2 Achievement Goal Perspectives and
making process. For example, autonomous forms of Self-Determination Theory
motivation from self-determination theory are hy­ Achievement goal theory was developed by research­
pothesized to influence attitudes from the theory ers interested in examining the effects of young peo­
of planned behavior; an autonomous motivational ple’s perceptions of success and failure on motivation
disposition in a particular domain is likely to be in education contexts (Ames, 1992; Nicholls, 1989).
an  impetus to the formation of attitudes oriented An important tenet of the theory is that cues from
toward servicing personally valued goals and mediate the social context, known as the motivational climate,
the effects of autonomous motivation on physical have pervasive effects on motivation and behavior.
activity intentions. Two dimensions have emerged from research exam­
Hagger et al. (2002a) found that self-determined ining the effects of motivational climate on motiva­
forms of motivation affected intentions to engage in tion in educational settings: a task or mastery-oriented
physical activity behavior, but only via the mediation climate and an ego- or performance-oriented climate.
of attitudes and perceived behavioral control. This A mastery-oriented motivational climate tends to
provided support for the hypothesis that autono­ promote hard work, effort, cooperation, and personal
mous forms of motivation bias individuals’ decision-­ development among individuals acting in that cli­
making in favor of forming attitudes congruent with mate, whereas a performance-oriented climate tends
their personal goals (attitudes) and perceptions that to engender comparisons with others, competition,
the behavior will lead to competence-related out­ success based on ability, and reward and punishment
comes (perceived behavioral control). This was cor­ schedules for success and failure. Research in educa­
roborated in a subsequent study that furthered these tion has suggested that a mastery-oriented climate
findings to actual behavior. Autonomous motives tends to engender adaptive motivational patterns and
affected behavior via a motivational sequence begin­ is linked to increased psychological well-being and
ning with autonomous forms of motivation and persistence in behavior (Ntoumanis & Biddle, 1998).
ending with behavioral engagement mediated by The concepts of motivational climate and in­
attitudes, perceived behavioral control, intentions, trinsic motivation from self-determination theory

474 Advances In Motivation In Exercise And Physical Activit y

have been viewed as providing complementary theory in terms of dispositional orientations that
explanations of motivation. A mastery-oriented mo­ reflect perceptions about success and failure
tivational climate, in supporting effort, personal (Ntoumanis, 2005; Standage et al., 2003). Until
improvement, and self-references improvement, is recently, research in achievement goal perspectives
directly compatible with autonomous motivation had identified two pervading achievement goal
because such contexts have been shown to enhance ­orientations: task oriented and ego oriented. A task-
intrinsic motivation (Butler,  1987). In contrast, oriented motivational orientation means an individ­
performance-oriented climates have not been asso­ ual will tend to view success and failure in physical
ciated with autonomous forms of motivation, and activity contexts relative to personal improvement,
they may even undermine autonomous motivation effort, self-referenced goals, learning, and improve­
given its focus on external contingencies for success. ment. Analogously, ego-oriented persons will tend
More recently, Deci and Ryan (2000) have explicitly to view their success and failure relative to their per­
linked a mastery-oriented motivational climate with formance compared to others, fulfilling normative
the development of intrinsic motivation, stating, standards, other-referenced goals, and competition
and normative comparison. Research in physical
Both [theories] suggest that the use of salient
activity contexts has suggested that individuals who
performance-based rewards, social comparisons,
attach high value to task-oriented goals tend to have
and normatively based goal standards as motivational
more adaptive motivational patterns and, in particu­
strategies yield manifold hidden costs [and] that
lar, report high levels of intrinsic motivation in tasks
environments that are less evaluative and more
(Boyd, Weinmann, & Yin, 2002; Hein & Hagger,
supportive of the intrinsic desire to learn provide
2007; Standage et al.,  2003). This is irrespective
the basis for enhanced achievement and well-being.
of  whether they also endorse an ego-oriented goal
(p. 260)
perspective, and it is only when task orientation is
These theoretical links have been supported empir­ comparatively low that maladaptive motivational pat­
ically across many achievement-related behaviors terns such as avoiding evaluative situations and low
(Rawsthorne & Elliot, 1999). A burgeoning body of intrinsic motivation arise (Goudas & Biddle,  1994;
literature in the physical activity domain has also Goudas, Biddle, & Underwood, 1995). However, it
supported these theoretical links, and it seems that a must be stressed that there is a relative dearth of re­
mastery motivational climate promotes exercise ad­ search examining the effects of motivational climate
herence and is attributable to the context enhancing on autonomous forms of motivation in physical ac­
intrinsic motivation and competence (e.g., Hein & tivity contexts and, most important, even fewer
Hagger, 2007; Papaioannou, 2004). studies that have examined the role of interventions
Recent research has sought to examine the role to manipulate or change motivational climate and
of motivational climate in physical activity contexts its effects on self-determination theory variables
in promoting or thwarting autonomous forms of and physical activity behavior (Hagger, Hein, &
motivation (Ntoumanis, 2001; Standage, Duda, & Chatzisarantis, 2011). These should be prioritized in
Ntoumanis, 2003). Such studies adopt a longitudi­ future research.
nal approach, similar to those examining the effect
of perceived autonomy support on motivation and Measurement and Methodological Advances
intention (Hagger & Chatzisarantis, 2016), and there In this final section I outline two important method­
is considerable congruence in the motivational se­ ological advances that offer much promise in con­
quences put forward in these models. However, the tributing to the understanding of the motivational
models have tended to focus on participation within influences on physical activity behavior. The first
physical education rather than physical activity out­ focuses on the development of new measures of im­
side school. Importantly, these authors make explicit plicit, nonconscious constructs in the field of social
the links between a mastery-oriented motivational psychology and applying them alongside the ex­
climate and contexts that support psychological needs plicit measures of motivation traditionally opera­
and recognize the congruencies between the features tionalized in theories and models of motivation in
of the social context that support autonomous forms physical activity contexts. Such an approach ac­
of motivation from both theoretical perspectives knowledges that motivated behaviors like physical
(Ntoumanis, 2005; Standage et al., 2003). activity are not simply a function of explicit, con­
The achievement goal perspective has also been scious decision-­making processes but are also sub­
adopted alongside constructs from self-determination ject to more spontaneous, impulsive psychological

Hagger 475
variables (Hagger, 2016; Hofmann, Friese, & Wiers, developed through experience, and affect motivation
2008). The second focuses on the importance of and behavior in a variety of contexts. Such orienta­
using cutting-edge methodological features when tions may moderate the effects of situational factors
designing interventions based on motivational the­ that support or thwart intrinsic motivation on behav­
ories in physical activity research. I will argue for the ior (Hagger & Chatzisarantis, 2011; Hagger, Koch, &
consideration of intervention mapping and report­ Chatzisarantis, 2015). In addition, it has been sup­
ing of intervention protocols such that there is clear posed that these causality orientations may affect
congruence between the target theoretical constructs behavior independent of conscious decision-making
and the intervention components as well as the need (Elliot, McGregor, & Thrash, 2002), in much the
for state-of-the-art techniques to establish the effec­ same way as individual difference and personality
tiveness of the intervention, including treatment constructs tend to influence behaviors independent
fidelity checks. of intentional processes (Conner & Abraham, 2001;
Rhodes, Courneya, & Jones, 2002). Indeed, recent
Implicit Motivation evidence examining mediational models of motiva­
Research in social psychology over the past 10 years tion adopting OIT and basic needs theory have
has begun to shift away from models that focus ­indicated that generalized constructs such as basic
solely on deliberative, intentional, and explicit in­ need satisfaction predict exercise behavior directly,
fluences on behavior and sought to develop theories independent of contextual motivational orientations
that account for the nonconscious, impulsive, and and intentions (Hagger et al.,  2006b). These pro­
implicit influences on human behavior (Bargh & cesses therefore transcend the deliberative route by
Chartrand, 1999; Gibbons, Houlihan, & Gerrard, which these psychological constructs lead to behavior
2009; Hagger, 2016; Hofmann et al., 2008; Kehr, and suggest that people’s global causality orientations
2004; Strack & Deutsch, 2004). Such approaches may affect behavior directly, and the process is
have given rise to so-called dual process models of likely to be one of which the person is unaware and
motivation that recognize that behavior is a function therefore is implicit in nature.
of reflective, deliberative, volitional, and planned Recent research has included implicit motivational
inferences as well as those that are impulsive, auto­ constructs in the prediction of behavior adopting
matic, nonconscious, and unplanned (Deutsch a self-determination theory approach. Levesque and
et al., 2017; Hagger, 2017; Strack & Deutsch, 2004). Pelletier (2003) adopted priming techniques used
Interest in these automatic and implicit processes in previous studies examining implicit processes
has been mirrored by concomitant advances in meth­ to  activate either autonomous or nonautonomous
ods to measure implicit processes. Research adopting (termed heteronomous) motivational orientations.
implicit processes alongside more traditional self-­ Using this method, they found that priming auton­
report measures of cognition has illustrated that be­ omous and heteronomous motivation influenced
havior is influenced by both explicit and implicit participants’ perceptions of intrinsic motivation,
social cognitive variables and these effects are rela­ choice, and competence as well as persistence with
tively independent (Hagger, Trost, Keech, Chan, & subsequent problem-solving tasks consistent with
Hamilton, 2017; Hamilton, Kirkpatrick, Rebar, & explicit, consciously regulated motivational orienta­
Hagger, 2017; Perugini, 2005). tions. Similarly, Burton, Lydon, D’Alessandro, and
Given the increasing attention being paid to Koestner (2006) used a lexical decision task to meas­
­implicit processes, recent research has endeavored to ure implicit autonomous motivation and found that
examine the role of implicit processes in self- this measure predicted psychological well-being
determined motivation and behavior. This is based and academic performance independent of explicit
on theoretical premises that suggest that people have measures of autonomous motivation. Together, these
an implicit bias or propensity to approach behaviors studies suggest that the motivational influences from
in an autonomous or controlling manner. For exam­ self-determination theory can influence behavior
ple, Deci and Ryan (1985a) proposed causality ori­ and other outcomes implicitly and these effects are
entations theory, which introduced the notion that independent of explicit motivational orientations.
people have a generalized capacity to be oriented Studies have extended this research in the domain
toward and interpret situations as supportive of their of physical activity and explored the role of implicit
self-­determination. Therefore, people exhibit inter­ motivational orientations from self-determination
individual differences in their generalized causality theory on physical activity enactment and the relevant
orientations, which are global and relatively enduring, processes (Keatley, Clarke, & Hagger, 2012, 2013).

476 Advances In Motivation In Exercise And Physical Activit y

The studies necessitated the development of an motivational processes. This is clearly an important
implicit measure of motivational orientations based avenue for future research, and it will provide new
on self-determination theory using the Implicit and important information on the relative contri­
Association Test and then evaluated the extent to bution of the implicit and explicit motivational sys­
which the implicit motives tapped by the new meas­ tems on physical activity behavior.
ure predicted variance in physical activity behavior.
The Implicit Association Test is essentially a sorting Randomized Controlled Trials and
task that requires individuals to sort items from two Intervention Mapping
pairs of contrasted categories into logical sets and, The randomized controlled trial has often been
in doing so, measures the strength of association be­ cited as the gold standard for the evaluation of clin­
tween mental constructs that are bipolar in nature. ical trials of any intervention, and a considerable
The Implicit Association Test was developed with body of evidence has been recently established ex­
the distinction between intrinsic and extrinsic as cat­ amining the efficacy of theory-based psychological
egories of motivation and pleasant or unpleasant as intervention on physical activity behavior (Michie
the associated attributes. The words that represented & Abraham, 2008). Indeed, meta-analyses have ex­
the category were derived from a pilot study in which tolled the effectiveness of randomized controlled trial
participants were required to write down words as­ evaluations of theory-based interventions on physical
sociated with intrinsic and extrinsic categories. activity behavior and health-related outcomes such
The newly developed implicit measure of moti­ as fitness and weight loss in numerous contexts
vation was used to predict self-reported physical ac­ (e.g., Harris, Kuramoto, Schulzer, & Retallack, 2009;
tivity behavior alongside more explicit measures of Jenkins, Christensen, Walker, & Dear, 2009). There
motivational orientations from the perceived locus have also been meta-analyses and reviews focusing
of causality. Scores on the Implicit Association Test on intervention based on specific theories like the
were such that higher scores represented a strong link theory of planned behavior (Hardeman et al., 2002;
between the positive attribute and self-determined Sheeran et al.,  2016; Steinmetz et al.,  2016) and
motivation. Although there were relations between self-determination theory (Ng et al., 2012) or theory-
the implicit and explicit measures of motivation, based intervention protocols like motivational inter­
there was no direct effect of the implicit motivational viewing (Hardcastle, Fortier, Blake, & Hagger, 2017).
orientations on physical activity behavior. Rather, However, many of these reviews have been ham­
the explicit measures of autonomous and controlling pered and limited by the low quality of many of the
motivation both significantly predicted physical ac­ constituent studies. A key quality component that
tivity intentions and behavior. In one sample, there has often been cited as lacking is the sufficient detail
was a mediated effect from the implicit motivational in the reporting of the intervention and a lack of
orientation to intentions via the mediation of ex­ provision of clear protocols to permit the replica­
plicit controlling forms of motivation. This prelim­ tion of the intervention and the identification of the
inary evidence suggests that the implicit measure components of the intervention that are effective
of  self-determined motivation may have a role in in  changing behavior (Michie & Abraham,  2008;
influencing physical activity intentions, but the Michie, Johnston, Francis, Hardeman, & Eccles,
route is subsumed by explicit forms of motivation. 2008). These limitations have made it difficult to
Nevertheless, this is an important finding because it draw definitive conclusions as to the effectiveness of
suggests that physical activity is largely an inten­ particular interventions based on particular theories.
tional behavior under the volitional control of the For example, without sufficient detail it is difficult
individual and requires conscious and deliberative to establish whether the intervention satisfactorily
motivational factors to be enacted. However, research targeted the theoretical variable proposed by the
using implicit measures is in its infancy and requires researchers running the intervention and resulted
further validation work and research examining the in changes in the dependent variable (Michie &
independent prediction of implicit autonomous mo­ Abraham, 2008). Recent solutions to this have arisen
tives on motivation and physical activity. Furthermore, in the need to clearly map the intervention compo­
the present studies focused on self-reported physical nents onto the theoretical constructs the components
activity and, therefore, likely a more considered, in­ are purported to change (Michie & Abraham, 2008;
tentional form. It may be that implicit motivational Michie et al., 2008). A further problem is whether
orientations are more important in predicting forms there are sufficient detail and checks regarding
of activity that are less to do with explicit, deliberate whether the intervention has been carried out by

Hagger 477
the individuals administering the intervention as it similar to an instruction manual, giving the precise
is outlined in the intervention protocol. This would details of the intervention so that it can be replicated.
require checks to ensure that those administering Two other important methodological issues must
the intervention were keeping to task and that the be considered when it comes to the design, imple­
participants reported carrying out the intervention mentation, and evaluation of theory-based physical
correctly and accurately. This is known as treatment activity interventions. First, it is important that in­
fidelity (Bellg et al., 2004) and is widely recognized tervention designers include means to evaluate the
as essential to evaluating behavioral interventions in treatment fidelity of the intervention (Bellg et al.,
physical activity contexts (Quested, Ntoumanis, 2004; Quested et al., 2017). This must come in two
Thøgersen-Ntoumani, Hagger, & Hancox, 2017). forms. First, it is important to evaluate whether the
The aforementioned intervention components intervention has caused change in the specific theo­
have been termed the “active ingredients” of retical variable or variables targeted by the interven­
­interventions, and this has received much recent tion, similar to manipulation checks in experimental
­attention in the literature. Various “taxonomies” of research. It is therefore essential that the intervention
health-related behavior change intervention com­ includes not only the primary outcome variables,
ponents have been developed in the general domain whether that be physical activity behavior or any
of health behaviors (Michie et al., 2013) and, specif­ target outcome variables related to physical activity,
ically, for physical activity (Michie et al., 2011). The but also measures of the psychological variables re­
aim of these taxonomies is to provide a systematic lated to the intervention, both before and after the
description of the components of interventions and implementation of the intervention. Second, it is
provide a common terminology for describing and important that interventionists include means to
operationalizing behavior change interventions. This identify whether the intervention has been carried
is an  important step forward in terms of assisting out according to the proscribed protocol. If the in­
researchers and intervention designers in being more tervention is delivered by a clinician or a social agent,
explicit in identifying the specific components of an example of a fidelity check might include some
interventions that are proposed to be making the sort of observation of a subgroup of the agents de­
change in behavior (Michie,  2008). In addition, livering the intervention and coded independently
complimentary approaches identifying links between for the specific behaviors expected of those carrying
the behavior change components and the motiva­ out the intervention. It is important that this obser­
tional constructs assumed to explain or “mediate” vation is compared to similar observations for the
change in behavior have also been developed (Kok social agents executing the control condition com­
et al., 2016). These advances are clearly important ponents of the intervention. This will ensure that the
when it comes to translational research aiming to intervention is carried out precisely and effectively
capitalize on the research identifying antecedents in the manner outlined in the protocol.
and mechanisms from motivational theories applied Finally, I mentioned previously the importance
to physical activity contexts (Hagger,  2010; Moss- of including measures relating to the target theory–
Morris & Yardley, 2008). Furthermore, there is now related variables that the intervention components
a specific protocol for the coding of intervention are purported to target as a means to establish the
components that provides a blueprint for mapping effectiveness of the intervention (Hagger et al.,
the intervention components that are the likely active 2009). However, these components are also likely
ingredients of interventions (Michie & Prestwich, to be the salient mediators of intervention compo­
2010). This is a tool not only for those conducting nents and will provide an important test of the
systematic reviews and meta-analyses but also for mechanisms by which the intervention affects be­
those designing interventions to consider when it havioral outcomes. As an illustration, two of our
comes to pinpointing the components from forma­ recent interventions adopting theory-based inter­
tive research examining psychological correlates ventions have demonstrated the importance of ex­
likely to be the most viable target for intervention. amining the psychological mediators of interven­
Interventions aimed at changing physical activity tion components on behavior and motivational
behavior should therefore pay careful attention to outcomes in physical activity (Chatzisarantis &
providing clear details of the constructs that are the Hagger, 2005, 2009). For example, in a school-based
targets of interventions (based on formative research), intervention aimed at increasing physical activity
the intervention components that will be adopted behavior among school pupils, we trained teachers
to give rise to the intervention, and a clear protocol, to present their lessons in an autonomy-supportive

478 Advances In Motivation In Exercise And Physical Activit y

manner versus an information-only intervention Future Directions
(Chatzisarantis & Hagger,  2009). As predicted, 1.  Can an intervention designed to increase
physical activity behavior increased among the chil­ motivational climate as outlined by achievement
dren randomly allocated to the intervention group, goal theory result in changes in self-determined
but this was mediated perceived autonomy support, motivation, achievement goal orientations, and
which also served as the manipulation check, and actual physical activity behavior?
autonomous motivation and behavioral intentions. 2.  How do hybrid interventions that use
Similarly, we found that the effects of a school- motivational and implemental intervention
based intervention adopting the theory of planned components to promote physical activity affect the
behavior on physical activity intentions were me­ behavior of people who are resistant to change and
diated by attitudes and perceived behavioral control have low motivation versus those with high
(Chatzisarantis & Hagger, 2005). These data were motivation?
analyzed using path analyses with mediation analyses 3.  What are the differential effects of implicit
to examine the effects of the proposed mediators. and explicit motivational constructs on different
These analyses should be considered essential for the types of physical activity such as formal exercise
identification of the process by which the interven­ (e.g., going to the gym, attending an aerobics class)
tion exerts its effects on physical activity behavior and more “habitual” forms of physical activity
and are recommended practice. (e.g., walking to work)?

Conclusion
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Hagger 485
 CH A PT ER
Motivational Processes in Youth Sport
26 and Physical Activity

Maureen R. Weiss, Lindsay E. Kipp, and Sarah M. Espinoza

Abstract

Millions of children and adolescents participate in organized sports and physical activities worldwide.
Many in the general public, including parents, coaches, and policymakers, believe that participating in
sport enables opportunities for youth to gain confidence, learn teamwork, and attain life lessons.
However, positive outcomes are not an automatic consequence of participating in sport, illuminated by
reports of negative coaching behaviors, overinvolved parents, and competitive rivalries with teammates
and opponents. The potential for sport to improve youth participants’ perceptions of competence,
relatedness, enjoyment, and self-determined motivation is highly dependent on the quality of
interactions and relationships with important adults and peers. This chapter reviews the literature on
motivational processes in youth sport and physical activity with a specific focus on beliefs and behaviors
by parents, siblings, peers, and coaches that promote and sustain positive psychosocial and behavioral
outcomes for youth participants. Robust findings are translated to evidence-based best practices for
stakeholders in youth sport, and future research directions are offered to delve further into the
conditions that undergird positive motivational outcomes in youth sport and physical activity.
Keywords:  children, adolescents, sport, motivation, parents, siblings, peers, coaches

The significance of organized youth sport is etched back nearly 100 years (M. R. Weiss, 2016; Wiggins,
in history (Story,  1995; Wiggins,  2013). Early on, 2013). Interest has delved into the conditions that
sport served as a sanctuary for burgeoning immigrants encourage motivation to participate so that youth
seeking to socialize into American society and as a can accrue potential physical, social, and psycholog-
means to form close friendships, show autonomy ical benefits. In the previous edition of our chapter
from adult authority, and create order amid a chaotic (M. R. Weiss, Amorose, & Kipp, 2012), we compre-
lifestyle associated with industrialization. Later, hensively reviewed how the beliefs and behaviors
20th-century sport became an adult-organized of  parents, peers, and coaches affect youths’ self-
­enterprise and was viewed as a means to teach skills, perceptions, affective responses, and motivational
instill confidence, and build character, mostly for outcomes in a broad range of physical activity set-
boys. Today, after-school sport and physical activity tings. We update our earlier review by focusing on
programs are ubiquitous among boys and girls ages studies conducted in out-of-school-time sport and
5 to 18 years. Millions of children and youth partake physical activity programs, which enables us to clearly
in traditional team and individual sports as well as convey findings and implications in these contexts.
youth development programs that strive to system- Thus, studies in physical education and unstructured
atically teach life skills (M. R. Weiss, 2016). physical activity are not included. We also exclude
Because of the long-standing stature of sport in most studies of elite child athletes because this popu-
the lives of youth, academic study of the positive lation is unique and minuscule compared to the
and negative consequences of participation dates general population of youth participating in sport.

487
 We define motivation as reasons for initiating, social acceptance and approval (be with and make
sustaining, and discontinuing participation in an friends, be recognized by coaches), and (c) to experi-
activity (M. R. Weiss & Amorose, 2008). We examine ence enjoyment (have fun, be challenged). Similarly,
motivation as a cognitive construct in the form of studies on attrition from sport indicated that lack of
motivational orientations—intrinsic, extrinsic, self- improving skills, experiencing negative coaching,
determined, and controlling—and as a behavioral and not having fun paralleled competence, social,
construct, such as choice, avoidance, effort, and and enjoyment reasons for initially participating
persistence. In addition to motivational orienta- (M.  R.  Weiss & Amorose,  2008). These common
tions and behaviors, we identify related antecedents, motives for participation led to adopting theories
mediators, and outcomes of motivation in youth that highlight perceptions of competence, social rela-
sport. These include perceived competence, auton- tionships, and positive affect as contributors to moti-
omy, relatedness, and enjoyment (Stuntz & Weiss, vational orientations and behaviors (M. R. Weiss &
2010) and similar constructs with different labels Phillips, 2015).
(expectancies of success, perceived control, social Four theories predominate research on motiva-
support, positive affect) depending on the theory. tional processes in youth sport—competence moti-
Our review includes the factors that influence all vation theory (Harter,  1978), self-determination
these motivational constructs. theory (Deci & Ryan, 1985), achievement goal theory
Experiences in sport and physical activity are (Nicholls,  1989), and expectancy-value theory
developmentally significant by providing youth (Eccles et al., 1983). We refer readers to our previous
with opportunities to develop attitudes, behaviors, chapter (M.  R.  Weiss et al.,  2012) for in-depth
and skills that enable them to successfully function ­explanations of these theories. Here, we focus on
now and in the future. Understanding why youth the common threads of similarity that map onto
initiate and maintain—or conversely cease—partic- consistent findings of participation motives. First,
ipation can provide information on how to opti- although each theory has unique construct labels,
mize physical, social, and psychological benefits all identify perceptions of competence (or perceived
afforded from involvement. Thus, we explore social, ability or expectations of success) as a strong deter-
environmental, and contextual influences on moti- minant of motivational outcomes. Second, each
vational orientations, behaviors, and associated theory highlights influence by significant adults and
constructs in youth sport and physical activity. First, peers (or socializers’ approval, modeling, and rein-
we summarize the early descriptive research on par- forcement; autonomy-supportive and controlling
ticipation motivation, which unveiled reasons for behaviors; or task- and ego-involving motivational
becoming and staying involved and led to selected climate) on psychological constructs (perceived
theories for guiding research, which we also review. competence, autonomy or control, relatedness, goal
Second, we describe consistent findings on sources orientations) and motivational orientations and
and mechanisms of influence on youth motivation— behaviors. Finally, all acknowledge positive affect
family (parents, siblings), peers, and coaches—and (or joy or interest value) as a source, mediator, or
offer future research directions. Third, we translate outcome of motivation. As such, these commonali-
theory and research to applications for promoting ties align with competence, social, and enjoyment
self-determined motivation and participation. We motives for participating in sport.
conclude that positive experiences in youth sport These four theories accentuate the social–environ-
are not automatic but can only be realized when mental (e.g., parental behaviors, friendship quality,
social–environmental conditions meet the develop- coaching style) and intrapersonal factors (e.g., per-
mental interests and needs of youth. ceived competence, task values, perceived autonomy,
goal orientations) that explain motivational orien-
Youth Sport Motivation: From Descriptive tations and behaviors (e.g., effort, participation).
to Theory-Driven Studies Theories diverge slightly in how they construe moti-
Early research on participation motivation was purely vational orientation. Competence motivation entails
descriptive in an effort to uncover major reasons for whether youth are intrinsic or extrinsic in motivational
involvement (M.  R.  Weiss,  2013). Several studies orientation regarding preference for challenging
revealed robust motives for participating that cut versus easy tasks and independent mastery versus
across age, gender, and sport type: (a) to develop ­reliance on others for help (Harter, 1981). Achievement
and demonstrate physical competence (learn and goal theorists assess intrinsic and e­ xtrinsic orienta-
improve skills, do something well), (b) to attain tions to participate in accordance with task and ego

488 Motivational Processes In Youth Sport And Physical Activit y

goals (Nicholls, 1989), and expectancy-value theory modeling is a powerful means of enhancing
prioritizes achievement motivation in behavioral self-efficacy and  skill performance and reducing
­
terms, such as choice, effort, and performance fear (e.g., M.  R.  Weiss, McCullagh, Smith, &
(Eccles et al., 1983). Ryan and Deci (2000) refer to Berlant,  1998). W.  M.  Weiss and Weiss (2003,
intrinsic and extrinsic forms of motivation, but fur- 2006, 2007; W. M. Weiss, Weiss, & Amorose, 2010)
ther divide them into self-determined or controlling demonstrated the utility of the sport commitment
forms. Self-determined motivation refers to partici- model in explaining female gymnasts’ desire and re-
pating out of internally driven reasons, such as love solve to continue participation, particularly through
of the game, to confirm one’s identity, or to experience enjoyment and social support and constraints from
personal growth. Controlling motives refer to exter- parents, coaches, and teammates. Studies designed
nally driven reasons, such as being pressured by or from a positive youth development approach show
feeling obligated to others (or oneself) to participate. that structured activity programs that train coaches
Across theory-based studies, findings show that youth to deliver an intentional life skills curriculum are
who are motivated for intrinsic or self-determined successful in enhancing self-perceptions, connection
reasons exhibit higher perceived competence and to others, enjoyment, and continued participation
­enjoyment and continued participation compared to (see M. R. Weiss, 2019, for a review).
youth who are more extrinsic or controlling oriented
in motivation (M. R. Weiss et al., 2012). Sources and Mechanisms of Influence on
Theory-driven research on motivational processes Youth Sport Motivation
in youth sport has proliferated in the past 25 years We organize our review of research around sources
(M. R. Weiss, 2013). Numerous studies support the and mechanisms of social influence—family, peers,
tenets of each of the four theories. Those guided by and coaches—on motivational constructs. Within
competence motivation theory reveal the powerful the family, the bulk of research has been conducted
influence of parents’ beliefs and behaviors (e.g., on parents’ beliefs, behaviors, and styles relative to
Babkes & Weiss, 1999), peer group acceptance and their children’s self-perceptions, affect, and motiva-
close friendship (e.g., A. L. Smith, 1999), and coach tion, whereas remarkably scarce information exists
feedback patterns (e.g., Black & Weiss,  1992) on on siblings’ influence on their sisters’ and brothers’
motivational constructs. Parents, peers, and coaches sport experiences. Teammates and close friends
are also highlighted in studies guided by achievement ­connote important sources of social influence on
goal theory (e.g., Duda & Hom,  1993; Vazou, youths’ motivation in sport and physical activity.
Ntoumanis, & Duda,  2006). Coaching styles, The impact of coaches is highly visible, so it is not
­behaviors, and climate are the focus of many studies surprising that research on coaches’ feedback, inter-
stemming from self-determination theory (e.g., personal style, and motivational climate has grabbed
Hollembeak & Amorose,  2005; Kipp & Weiss, center stage.
2013), whereas parents’ supportive behaviors for
participating and positive beliefs about their child’s Parental Influence on Youth Sport
competence dominate tests of expectancy-value Motivation
theory (e.g., Bois, Sarrazin, Brustad, Trouilloud, & Twenty-five years ago, Brustad (1992) persuasively
Cury,  2002; Fredricks & Eccles,  2005). In our argued that research is needed that integrates paren-
review of research, we report reliable findings that tal socialization influences and children’s motivation
cut across theories on youth motivation in sport. in sport. In calling out the critical and central role
For example, findings for the relationship between parents play in their children’s sporting lives, he
coach-created climate and perceived competence or emphasized using social­ –cognitive–developmental
self-determined motivation are synthesized irrespec- theories, such as competence motivation and achieve-
tive of which theory guided the study. ment goal theories, to explore the mechanisms
Other theories have also been used to study by which parents shape children’s self-perceptions,
­motivational processes in organized youth sport ­affective outcomes, and motivational orientations
and physical activity. These include social cognitive and behaviors. In his concluding remarks Brustad
theory (Bandura,  1986), the sport commitment (1992) exhorted, “Everybody talks about parents
model (Scanlan, Carpenter, Schmidt, Simons, & in  sport, but nobody does any research on them!”
Keeler, 1993), and the positive youth development (p. 72). Now a quarter century removed from this
framework (Holt,  2016). Intervention studies conceptual paper, empirical research abounds on
based on social cognitive theory show that peer ­parental influence and children’s motivation in sport.

Weiss, Kipp, And Espinoz a 489

 A major advancement in expanding research on and  child-perceived parental beliefs about sport
parental influence in sport was customizing the competence and found that only reflected appraisals
expectancy-value model to highlight parental social- were significantly related to self-appraisals of ability,
ization influences on children’s motivational beliefs whereas actual appraisals by parents were not.
and behaviors (Eccles, Wigfield, & Schiefele, 1998). Studies using interview methods reveal that youth
This model specifies that family and child character- sport participants recognize that parents convey
istics (e.g., siblings, child gender) influence parents’ positive competence beliefs in alternative ways.
general and child-specific beliefs (e.g., perceptions These include expressing pride in the child’s accom-
of child’s competence), family socioemotional cli- plishments, being pleased with performance,
mate, and child-rearing style, which affect parents’ ­bragging to family members and friends about
behaviors toward their child (e.g., encouragement achievements, and showing greater interest in the
to be active). Parents’ beliefs and behaviors, in turn, child’s sport participation (Bhalla & Weiss,  2010;
affect the child’s ability beliefs, motivational ori- M.  R.  Weiss & Fretwell,  2005; M.  R.  Weiss &
entations, and participation behavior. The majority Hayashi, 1995).
of studies in the past two decades have been guided Parents also act as interpreters of experience
by this parent-specific model (e.g., Bhalla & Weiss, through expressions about the value of sport as an
2010; Fredricks & Eccles,  2002,  2005). Horn achievement domain (Horn & Horn,  2007).
and Horn (2007) point out that research primarily Paralleling findings on the parent–child linkage in
focuses on linkages between parental beliefs and competence beliefs, studies show that children’s per-
values, or parental behaviors toward and with their ceptions of the importance their parents place on
child, with the child’s self-beliefs and motivational being successful in sport are strongly related to their
orientations and behaviors. own task values and participation behavior (Bhalla
Fredricks and Eccles (2004) consolidated areas & Weiss, 2010; Eccles & Harold, 1991; Fredricks &
of parental influence into three categories of atti- Eccles,  2002,  2005; Stuart,  2003). Stuart (2003)
tudes, beliefs, and behaviors. These are: (a) parents divided boys and girls into high and low sport
as interpreters of experience (e.g., beliefs about child’s value groups based on survey responses for interest,
sport competence; beliefs about the value of sport), ­attainment, and utility values. Subsequent interviews
(b) parents as providers of experience (e.g., opportu- revealed that the high-value group identified paren-
nities, feedback, social support), and (3) parents as tal interest in sports as a strong source of their sub-
role models (e.g., parent activity level, sport experi- jective values, whereas the low-value group described
ence, involvement in child’s activity). Most studies parents as lacking sport experience and being
examined multiple parental beliefs and behaviors ­unsupportive of their children’s sport interests.
(e.g., beliefs about child’s competence, own sport Parent goal orientations represent another way in
involvement, and encouragement to participate) on which parents interpret experiences for their children
youths’ sport-related attitudes and behaviors. (Horn & Horn, 2007). Goal orientations are typi-
cally conceptualized as task or ego oriented, where
Parents as Interpreters of Experience task orientations refer to defining success in self-
Parents verbally and nonverbally communicate referenced terms (e.g., learning, effort, mastery)
how confident they are in their child’s ability and and  ego orientations characterize success in other-
their expectations for performing well (Horn & referenced terms (e.g., peer comparison, competitive
Horn, 2007). Using surveys, a robust finding is that outcomes). Duda and Hom (1993) found that chil-
children’s perceptions of their parents’ beliefs about dren’s task and ego orientations corresponded with
how competent they are in sports and physical activi- their perceptions of parents’ task and ego orientations
ties (i.e., reflected appraisals) are strongly related to but not with parent-reported orientations. Kimiecik
their self-appraisals of ability (Babkes & Weiss, and colleagues (Kimiecik & Horn, 1998; Kimiecik,
1999; Bois, Sarrazin, Brustad, Chanal, & Trouilloud, Horn, & Shurin,  1996) uncovered positive associa-
2005; Eccles & Harold,  1991; Fredricks & Eccles, tions between children’s perceptions of their parents’
2002, 2005). Some studies also show that parent- level of fitness task goal orientation with their own
reported beliefs about their child’s sport ability are task goal orientation. Thus, parents who view learn-
predictive of the child’s perceived physical compe- ing, mastery, and effort as indices of success are more
tence and activity duration (Bois et al., 2002; Bois, likely to encourage positive outcomes for their chil-
Sarrazin, Brustad, Trouilloud, & Cury, 2005). Babkes dren in sport (higher task goal orientation, perceived
and Weiss (1999) included both parent-reported competence, and motivated behavior).

490 Motivational Processes In Youth Sport And Physical Activit y

 More recently, parents’ communication of ability potential are linked to behaviors they
goal  orientations has been assessed through the ­exhibit, such as encouragement, social support,
motivational climate they create for their children feedback, reinforcement, and parenting style (Horn
(O’Rourke, Smith, Smoll, & Cumming, 2011, 2014). & Horn, 2007). Studies consistently show that chil-
Similar to descriptors for task and ego goals, a dren’s perceptions that their parents are encourag-
parent task-involving climate involves behaviors ing, supportive, and positive in giving feedback and
that emphasize the importance of learning, effort, reinforcement following performance are associated
and improvement, whereas an ego-involving climate with more favorable ability beliefs, task values, emo-
entails behaviors that reinforce favorable compari- tional experiences, and motivational orientations
son to others and performance outcome (Horn & and behaviors compared to players who report
Horn, 2007). Twenty years ago, White (1996, 1998) lower levels of these parent behaviors (Babkes &
contended that parents create a climate for their Weiss, 1999; Bhalla & Weiss, 2010; Brustad, 1993;
children in sport analogous to the climate created Fredricks & Eccles,  2005; M.  R.  Weiss &
by schoolteachers for students and by coaches for Fretwell, 2005; M. R. Weiss & Hayashi, 1995).
young athletes and developed a measure for assess- On the flip side of parents who are encouraging
ing athletes’ perceptions of parents’ task- and ego- and supportive lie concerns about parents who exert
involving climates. O’Rourke et al. (2014) found pressure on and place high expectations on their
that youth swimmers’ perceptions of parent task- and child to perform well (Horn & Horn,  2007).
ego-involving climates were related (in expected direc- Consistent findings show that children’s perceptions
tions) to end-of-season self-esteem, anxiety, and self- of parental pressure are associated with negative
determined motivation above and beyond predictions outcomes—higher anxiety and lower enjoyment,
by the coach-created climate. It is curious that parent intrinsic motivation, and participation behaviors
motivational climate is now emerging more frequently (Babkes & Weiss, 1999; Bois, LaLanne, & Delforge,
as a source of motivational influence, given that 2009; Brustad,  1988; Dorsch, Smith, & Dotterer,
Eccles’s model explicitly includes family climate and 2016; M. R. Weiss & Fretwell, 2005; W. M. Weiss
research has flourished on the coach-created climate & Weiss, 2007). O’Rourke et al. (2011) found that
and motivational outcomes (M. R. Weiss et al., 2012). the link between parental pressure and children’s
In addition, Brustad (1992) cited motivational climate competitive anxiety depended on athletes’ percep-
research in the ­academic domain as an exemplar for tions of the parent-created motivational climate.
conducting studies in sport, noting Higher perceived pressure coupled with a low-
mastery or high-ego climate was associated with
Ames and Archer (1987) suggested that parents
higher anxiety levels, whereas higher parental pressure
convey their own achievement perspectives to their
in the context of a high-mastery or low-ego climate
children through interactional patterns and reward
was associated with lower anxiety levels. This find-
systems. Parents thus may express to the child their
ing suggests that the effect of parental behaviors on
beliefs about the importance of personal improve­
motivational outcomes may depend on whether
ment as opposed to performing well in relation to
the prevailing climate encourages a self- or other-
others, may communicate attitudes about the
referenced definition of success.
relative importance of effort versus outcome, and
Parenting style connotes another means of
may convey beliefs about the importance of
­assessing the influence of parents as providers of
selecting an appropriate level of challenge. 
children’s sport experiences (Gaudreau et al., 2016;
(p. 68)
Holt, Tamminen, Black, Mandigo, & Fox,  2009;
We expect that parent motivational climate, in Kimiecik & Horn,  2012; Sapieja, Dunn, & Holt,
concert with other mechanisms of influence, will be 2011). Holt et al. (2009) interviewed parents about
a focus in upcoming research studies. child-specific beliefs and behaviors, and they inter-
viewed daughters about what their parents do when
Parents as Providers of Experience they perform well or poorly in sport. An autonomy-
Parents facilitate opportunities for their sons and supportive parenting style was reflected by being
daughters by signing them up for teams, purchasing highly involved but not exerting pressure in their
necessary equipment, transporting them to practices child’s experiences, whereas a controlling style
and competitions, and providing access to coaching was  characterized as being highly involved but
(Fredricks & Eccles,  2004). In addition, parents’ ­providing little or no autonomy support to children.
beliefs about the value of sport and their child’s Sapieja et al. (2011) conceptualized parenting style

Weiss, Kipp, And Espinoz a 491

as authoritative (highly demanding but emotionally Warner, & Bruening, 2008), female collegiate coaches
responsive to child’s needs) and authoritarian (highly were interviewed about parents’ influence on social-
demanding but low in responsiveness) and found ization over their life course. Parents as role models
that perfectionistic tendencies among male ado- emerged as a major theme—most respondents indi-
lescent soccer players varied by level of parent cated that one or both parents competed at the high
­authoritativeness. By contrast, Kimiecik and Horn school and/or college level and that sport involve-
(2012) examined children’s fitness-related perceived ment was a natural family activity. This degree of
competence, task values, and goal orientations as a parental involvement provoked their interest in
function of parenting style as high and/or low in becoming involved in sport and even in their career
challenge and support. Children in the high-challenge choice of coaching.
parenting groups reported greater fitness competence
and utility value than those in the low-challenge/ Sibling Influence on Youth
low-support group, and the high-challenge/high- Sport Motivation
support group scored highest in fitness task goal When presented with the most valuable player
orientation. award for the 2016–2017 season, professional bas-
ketball player Russell Westbrook used his acceptance
Parents as Role Models speech to highlight the constancy of his younger
Early research examining parent modeling was brother Raynard’s influence—during halftime of
­narrowly focused on correlating mother’s and father’s each of Russell’s more than 600 professional games,
physical activity level (assessed through objective or Raynard texted Russell with messages of support. In
self-report measures) with their child’s activity level front of the crowd gathered to recognize Russell’s
(e.g., Freedson & Evenson, 1991). However, modeling standout season, Russell described his mutual pride
is defined much more broadly as a powerful means in Raynard’s academic achievements: “You’re my
of conveying attitudes and behaviors for observers role model . . . I truly look up to you” (National
to learn and emulate (McCullagh & Weiss, 2002). Basketball Association, 2017). Russell’s special em-
To consider parents as role models, we must include phasis on his brother’s contributions to his basket-
factors such as parents’ enjoyment of sport, their sport ball career demonstrates the potential for siblings to
experiences (as an athlete or coach), their physical shape each other’s motivation. Sibling relationships
activity patterns, and involvement in their child’s receive attention in sport news and popular culture,
activity (Horn & Horn,  2007; M.  R.  Weiss and the media covers sibling phenoms like Venus
et al., 2012). and Serena Williams and Peyton and Eli Manning
Using this inclusive set of definitional criteria, with particular zeal—yet minimal research attention
there is strong evidence that parent modeling is has been devoted to understanding how sibling rela-
associated with children’s perceived competence, tionships influence sport motivation. Although it is
attraction to physical activity, motivational orienta- imperative to acknowledge that siblings exist as part
tions, and participation behavior (Babkes & Weiss, of larger, complex family units that may collectively
1999; Bhalla & Weiss, 2010; Bois, Sarrazin, Brustad, influence individuals, the unique influences of sib-
Trouilloud, et al.,  2005; Brustad,  1993; Davison, ling relationships are worth specific research atten-
Cutting, & Birch, 2003; Schoeppe, Liersch, Robl, tion: Most children have one or more siblings and
Krauth, & Walter, 2016). Bhalla and Weiss (2010) sibling relationships are some of the longest lasting
conducted a cross-cultural study of parental influ- across the life span (Conger & Kramer, 2010).
ence on their daughter’s ability beliefs, task values, The modest amount of existing research on sibling
and achievement in sport and school domains. influences in sport lacks theoretical basis (Blazo &
Interviews with Anglo-Canadian and East Indian Smith, 2018), and this dearth of theory-based work
adolescents revealed a role modeling higher-order limits the extent to which mechanisms of influence
theme, which entailed lower-order themes: play are known, the ages at which siblings exert the most
sports together, parent was their coach, heard par- formative effect, and the degree to which siblings
ents talking positively about sport, and motivated affect each other’s motivation (Horn & Horn, 2007).
by mother’s trophies. One Anglo-Canadian girl said, Though lack of scholarly focus and negligible use of
“She (mom) runs now, and she’s done marathons, theory make contemporary interpretations of sib-
and I’ve always sort of wanted to do that . . . I’ve just ling influence difficult, the literature suggests that
followed her [mother] in a way, so she got me moti- siblings can have both positive and negative effects
vated” (p. 500). In a retrospective study (Dixon, on motivational outcomes and behaviors in sport.

492 Motivational Processes In Youth Sport And Physical Activit y

Positive Sibling Influences and sisters’ competitions. They also received perks
Descriptive studies identify siblings as role models, like clothing and tickets because of their siblings’
important sources of social support, and providers participation. Although Blazo et al. (2014) did not
of unique opportunities (e.g., Blazo, Carson, Czech, comment on how these benefits may influence
& Dees, 2014; Côté, 1999; Fraser-Thomas, Côté, & motivation, it is reasonable to suspect that they con-
Deakin, 2008; Stevenson, 1990). Role modeling is tribute to motivational orientations and behaviors.
one of the more common ways siblings can posi-
tively impact each other’s sport experiences (Fraser- Negative Sibling Influences
Thomas et al.,  2008; Horn & Horn,  2007). Role Though role modeling, providing support, and
modeling in sport involves observing a sibling’s ­facilitating sport-related benefits are ways siblings
participation attitudes and behaviors or one sibling may enhance each other’s sport motivation, other
introducing another to sport in general or to a spe- ­dynamics of sibling relationships may serve to
cific sport (Horn & Horn, 2007). Blazo et al. (2014) ­undermine motivation. Siblings in families with
interviewed younger siblings of collegiate athletes, one or more children involved in sport may experi-
who cited their older siblings as role models and ence negative emotions, such as jealousy, bitterness,
their work ethic, determination, and commitment and unhealthy rivalry. For example, interviews with
to sport as influential to their own sport pursuits. 18-year-old elite athletes and their families revealed
However, as Côté’s (1999) study of elite youth ath- that siblings whose brother or sister specialized in
letes suggests, siblings have the potential to enhance sport developed feelings of jealousy and bitterness
one another’s motivation even when one is not as  their families devoted more resources to the
an  athlete and instead demonstrates work ethic ­specializer (Côté,  1999). Also through interviews,
in  ­another context, such as academics or music. Blazo et al. (2014) gleaned that younger siblings
Stevenson (1990) identified sibling role models as felt jealous of the attention their collegiate-athlete
meaningful contributors to sport commitment and ­siblings received from parents and of their sibling’s
perceived value of sport, further suggesting that athletic accomplishments. Sibling rivalries in family
­siblings affect motivational outcomes. units have been covered extensively in social and
In addition to serving as role models, siblings ­developmental psychology, but the significance of
provide social and emotional support that can sibling rivalries in sport has not been well studied.
­enhance their brother’s or sister’s sport motivation. Blazo and Smith (2018, p. 135) asked, “Is sibling
Younger siblings reported attending their older sib- ­rivalry adaptive or maladaptive in sport and physical
lings’ competitions as well as using phone calls and activity?” Davis and Meyer (2008) revealed both
text messaging to provide support when they could sides in interviews with same-sex sibling-athlete
not attend competitions (Blazo et al., 2014). Horn dyads—athletes reported being motivated to train
and Horn (2007) contend that in the early 21st harder and give more effort when competing against
century there may be fewer gender differences in their brother or sister than against someone who
sibling support than there were in past decades, was not their sibling, and they also reported feeling
when girls received less encouragement and support more pressure when competing against their sibling.
from brothers and sisters to participate in sport. More research is needed to determine the mecha-
M. R. Weiss and Barber (1995) compared socializa- nisms by which siblings and sibling rivalries impact
tion influences of female collegiate athletes in 1979 sport motivation.
and 1989 and discovered that those surveyed in
1989 perceived greater amounts of social support Future Research Directions on Family
from their older brothers and sisters during child- Influence (Parents and Siblings)
hood than athletes surveyed in 1979. Considerable progress in parent research has ensued
Beyond supporting each other socially and emo- since Brustad’s (1992) call to action 25 years ago. We
tionally, siblings may enhance each other’s sport know that parents are critical in socializing their
motivation by providing unique benefits. Younger children into and through sport by providing expe-
siblings of adolescent high-level athletes may receive riences, interpreting experiences, and being a role
opportunities that youth without older athlete- model. These types of influence are manifested in
siblings might not. For instance, Blazo et al. (2014) several ways, such as social support, encouragement,
found that through their older siblings’ athletic feedback, parenting style, expressed beliefs about
achievements, younger siblings met important child’s competence, and involvement in their child’s
coaches and traveled to new places for their brothers’ activity (e.g., attending games, being a parent-coach).

Weiss, Kipp, And Espinoz a 493

However, many avenues have yet to be explored supportive evidence for either side. Parents are
when it comes to parental and sibling influence. critical sources of influence concerning this choice,
First, despite appeals for studying diverse families given the young age at which some children are
(Fredricks & Eccles, 2004; Horn & Horn, 2007), starting to specialize. Research is needed to under-
the majority of research on parent–child relationships stand what parents believe are the upsides and
has been conducted with mother–father, White, downsides of early specialization, which likely guide
and middle-class or upper-middle-class families. their behaviors toward their child as providers and
Although authors report the breakdown of parent interpreters of experience. Only then can we make
and child demographics (e.g., race/ethnicity), there evidence-based recommendations for youth sport
are few purposeful samples of families of color, low policy and parent education.
income, or differing structural dynamics. Bhalla
and Weiss (2010) delved into parental beliefs and Peer Influence on Youth
behaviors of girls representing Western and Eastern Sport Motivation
culture to discern any differences based on cultural Teammates and friends are just as important as
norms and expectations. Otherwise, we know little significant adults when it comes to motivation
about families who vary in sociocultural characteris- in  sport, especially as youth seek to demonstrate
tics. In the early 21st century, variations exist beyond autonomy from adult figures in early adolescence
the once normative heterosexual parent structure, (A. L. Smith, 2003; M. R. Weiss & Stuntz, 2004).
yet families with single parents, same-sex parents, Children and adolescents are motivated to partici-
stepparents, or alternative caregivers (e.g., grandpar- pate in organized sport and physical activity for
ents) await further investigation. social reasons—to be with and make friends, attain
Second, a systems approach is needed to situate acceptance and approval from peers, and feel part of
how parents, siblings, and important others interact a group or team (M. R. Weiss, 2013; M. R. Weiss &
to affect children’s motivational orientations and be- Williams,  2004). Thus, research on peer groups
haviors (Brustad, 2010; Dorsch et al., 2016). Brustad and close friendships in organized sport is essential
(2010) advocated for a family-based approach to because peer interactions and relationships are best
promoting physical activity to attain the holistic understood within the social contexts in which they
benefits from participation. Although scarce empir- occur (e.g., Zarbatany, Ghesquiere, & Mohr, 1992).
ical research exists on sibling relationships regarding Organized sport and physical activity is a unique
sport motivation, the parent expectancy-value model social context because behavior and performance
(Fredricks & Eccles, 2004) explicitly includes family are highly visible, making peer comparison and
and child characteristics such as number of children, evaluation salient sources of information about each
sibling gender, and birth order. This model can be other’s physical competence (Horn, 2004). In turn,
used to study family systems. Bronfenbrenner and youths’ self-judgments about their abilities are
Morris’s (1998) ecological systems model depicts the strongly related to enjoyment and participation
proximal and distal sources of influence on children’s motivation (M.  R.  Weiss & Stuntz,  2004). To
­
development, including the dynamic interaction of ­understand how peers influence motivational out-
family, peers, coaches, community, and culture over comes, we summarize study findings related to three
the life course. Some research considers the relative topics: (a) peer group acceptance, (b) friendship, and
strength and types of influence by parents, coaches, (c) peer leadership.
and peers on motivational outcomes (e.g., Davison &
Jago,  2009; Garcia Bengoechea & Strean,  2007). Peer Group Acceptance
These studies include the myriad systems that chil- Peer group acceptance refers to how much a child
dren encounter in their lives currently and in transi- is liked or accepted by members of his or her peer
tions to adolescence and adulthood. Understanding group (e.g., teammates), whereas friendship refers
the interdependencies of social systems from a to a close, dyadic relationship (e.g., best friends).
life-span developmental perspective will expand Theory-driven studies show that higher peer group
knowledge about family influence in youth sport. acceptance is positively related to perceived compe-
Third, animated debate has ensued over the ben- tence, affective responses, and motivational
efits of early sport specialization versus early sport ­orientations and behaviors (A.  L.  Smith,  1999;
sampling (e.g., Anderson & Mayo,  2015; Horn, A.  L.  Smith, Ullrich-French, Walker, & Hurley,
2015). Pro and con arguments exist for specialization 2006; Ullrich-French & Smith,  2006,  2009;
and sampling, with little empirical research to provide M.  R.  Weiss & Duncan,  1992). Ullrich-French

494 Motivational Processes In Youth Sport And Physical Activit y

and Smith (2006) found that perceptions of higher and pressure from opposite-sex friends emerged as
peer acceptance were associated with greater self- influential for determining activity choices.
determined motivation among early adolescent Hartup (1995) contended that understanding
soccer players. A. L. Smith (1999) tested a model of the significance of friendships on youths’ develop-
relationships among peer variables and motivational mental outcomes should entail three issues:
outcomes and found that adolescents higher in (a) whether one has a close friendship, (b) who one’s
perceived peer acceptance reported higher physical friends are, and (c) the quality of one’s friendships.
self-worth, positive affect, intrinsic motivation, and Friendship quality refers to positive and negative
physical activity level (the latter for girls only). dimensions that characterize one’s relationship.
­
Social acceptance by peers has also been studied M. R. Weiss and colleagues conducted interrelated
within the concept of social goal orientations (e.g., studies to understand the nature of friendship quality
Allen, 2003; Stuntz & Weiss, 2003, 2009). Social specific to the sport domain (M. R. Weiss & Smith,
goal orientations, like task and ego orientations, 1999,  2002; M.  R.  Weiss, Smith, & Theeboom,
refer to how one defines being successful in a 1996). In the first study, M. R. Weiss et al. (1999)
domain; individuals who are high in social orienta- interviewed 8- to 16-year-olds about their friendships
tions define success as having positive relationships in physical activities. Twelve positive dimensions
with others. Stuntz and Weiss (2009) examined three (e.g., companionship, intimacy, loyalty, self-esteem
social goal orientations among adolescent sport enhancement) and four negative dimensions (e.g.,
participants. Group acceptance orientation means conflict, betrayal) emerged, and higher- and lower-
defining success as being liked and regarded highly order themes were used to develop and validate a
by peers; friendship orientation refers to defining measure of sport friendship quality (M. R. Weiss &
success in terms of developing a close, mutual rela- Smith, 1999).
tionship; and coach praise orientation refers to feeling With a context-specific measure in hand,
successful when gaining approval from a coach. The M. R. Weiss and Smith (2002) investigated age and
authors assessed social, task, and ego orientations in gender variations in friendship quality and relation-
relation to motivational outcomes and found that ships between friendship quality and motivational
youth scoring higher in peer group acceptance and outcomes among 10- to 18-year-old tennis players.
friendship orientations reported higher perceived Younger players (ages 10–13) rated companionship
competence, enjoyment, and intrinsic motivation. and pleasant play higher, whereas older players
Peer relationships that are characterized as low in (ages 14–18) scored higher on loyalty and intimacy,
social acceptance (e.g., rejected, neglected) can con- things in common, and conflict. Girls rated positive
tribute to negative motivational outcomes. Evans ­dimensions higher than boys, whereas boys rated
and Roberts (1987) observed boys in third through conflict higher. Things in common and compan-
sixth grade while they interacted with peers on the ionship/pleasant play positively predicted, and
school playground and interviewed them about friendship conflict negatively predicted, tennis
their experiences. Low-skilled boys were chosen last ­enjoyment and commitment, showing the motiva-
for teams, relegated to noncentral positions (such as tional significance of sport friendships. Since these
right field), and often denied playing time. These initial studies, friendship quality has been investi-
disparate opportunities and behaviors prevented low- gated in relation to psychosocial and motivational
skilled boys from developing physically (improving outcomes in sport and physical activity (Kipp &
sport skills) and socially (attaining acceptance from Weiss, 2013; McDonough & Crocker, 2005; Moran
peers) and were contributors to the negative affect & Weiss, 2006; A. L. Smith et al., 2006; Ullrich-
and low motivation for sport activities that emerged French & Smith,  2006,  2009). Kipp and Weiss
in interviews with these boys. (2013), in a study that simultaneously examined
friendship quality with teammates and perceived
Friendship coaching behaviors among adolescent female gym-
Friends serve as sources of companionship, as well nasts, found that friendship quality was positively
as instrumental and emotional support, which are related to perceived competence and teammate
related to physical activity motivation (M. R. Weiss relatedness, which in turn were associated with
­
& Stuntz, 2004). For example, Coakley and White higher psychological well-being.
(1992) interviewed adolescents about reasons influ- Some studies have examined the influence of
encing their decisions to maintain or discontinue multiple peer variables on motivational outcomes
physical activity. Social support from same-sex friends (A.  L.  Smith,  1999; A.  L.  Smith et al.,  2006;

Weiss, Kipp, And Espinoz a 495

Ullrich-French & Smith, 2006, 2009). A. L. Smith (e.g., loyalty, intimacy, self-esteem enhancement),
et al. (2006) found that 10- to 14-year-old sport and maintained sport friendships off the field. Based
participants who were higher in positive friendship on these links among peer constructs, Moran and
quality, lower in friendship conflict, and higher in Weiss (2006) suggested that social competence is
peer acceptance reported higher perceived compe- the glue that binds these characteristics and behaviors
tence and self-determined motivation and lower together. Individuals who are outgoing, get along
anxiety and self-presentational concerns than youth with others, and enjoy and respect each other are
with a negative profile (lower friendship quality, favorably appraised by their peers, engage in high-
higher conflict, and lower peer acceptance). Ullrich- quality friendships, and are seen as team leaders.
French and Smith (2006) examined the independent Price and Weiss (2011,  2013) investigated the
and interactive associations of friendship quality, peer nature of peer leadership on female adolescent soccer
group acceptance, and parent relationship quality teams through two interrelated studies. In the first
with perceived competence, enjoyment, and self- study (Price & Weiss, 2011), players who were rated
determined motivation among 10- to 14-year-old higher in effective leadership behaviors reported
soccer players, and they assessed continued partici- higher soccer competence, peer group acceptance,
pation in soccer 1 year later (Ullrich-French & behavioral conduct, and intrinsic motivation. These
Smith, 2009). Findings revealed that two or more athletes also reported greater perceptions of team
positive relationships (e.g., higher friendship quality cohesion and collective efficacy. In the second study,
coupled with higher peer acceptance or mother Price and Weiss (2013) examined the combined
relationship quality) were associated with more influence of peer and coach leadership on individ-
favorable motivational outcomes; also, peer (friend- ual and team outcomes. Effective peer leadership
ship quality and group acceptance) and parent rela- behaviors were positively related to players’ percep-
tionships predicted continued participation on the tions of task and social cohesion, whereas coach
same team 1 year later. behaviors were positively related to both individual
(perceived competence, enjoyment) and team out-
Peer Leadership comes (task cohesion, collective efficacy). Findings
Coaches occupy a formal leadership role on sport demonstrate the utility of considering the interac-
teams, but team members also represent sources of tive influence of peer and coach leadership because
leadership that motivate others to achieve instru- behaviors were related to team members’ psychoso-
mental and social goals (Glenn & Horn,  1993; cial attributes and team motivation differently
Moran & Weiss, 2006; Price & Weiss, 2011, 2013). ­depending on the source of leadership influence.
Peer leaders can fulfill formal (team captain) or
informal (lead by example) roles by displaying Future Research Directions on
­attributes and skills that inspire teammates’ motiva- Peer Influence
tional outcomes. Existing research shows that sports and physical
Early research focused on behavioral correlates of activities offer opportunities for peer interactions
peer leadership, with those higher in interpersonal and relationships that carry motivational salience.
attraction and sociability being rated higher in lead- Being accepted by one’s peer group, forming close
ership attributes (see M.  R.  Weiss et al.,  2012). friendships, and being exposed to effective peer
Several theory-driven studies show that effective leadership are consistently associated with favor­
peer leaders are characterized by both instrumental able self-perceptions, feelings of connection, and
(task-oriented) and expressive (social-oriented) be- intrinsic motivation to participate. By contrast,
haviors, such as facilitating teammates in attaining negative peer experiences have the opposite effect.
group goals and promoting a positive and accepting Despite progress made in the past decade, consider-
environment (e.g., Glenn & Horn,  1993; Holt, able work is needed to understand the developmental
Black, Tamminen, Fox, & Mandigo, 2008; Moran & significance of peer acceptance, friendship, and
Weiss,  2006; Price & Weiss,  2011,  2013). Some leadership on motivational outcomes in sport and
studies show that peer attributes of group accept- physical activity.
ance, positive friendship quality, and leadership are First, studies have mostly been cross-sectional in
intertwined (Moran & Weiss, 2006; Price & Weiss, design, and thus we know little about stability and
2011, 2013). Team members who were rated higher change over time in peer acceptance, friendship,
in leadership qualities and behaviors were well liked and leadership and, more important, whether peer
by their teammates, were higher in friendship quality influence on motivational outcomes is temporary or

496 Motivational Processes In Youth Sport And Physical Activit y

enduring. One exception is the research by Kipp and their effect on psychosocial and motivational
and Weiss (2013, 2015) on social predictors of need outcomes.
satisfaction and psychological well-being. At the Third, intervention studies that target improving
first assessment, they found that friendship quality peer relationships within sport teams as well as
with teammates predicted well-being indices of self-­ generalizing friendship quality off the field or court
esteem, positive affect, and eating attitudes through are essential. Sport and physical activity is a viable
effects on perceived competence and relatedness. context for pursuing this goal. For example, team-
At an assessment 7 months later, coach behaviors— building activities such as those employed by
but not friendship quality—predicted well-being Ebbeck and Gibbons (1998; Gibbons, Ebbeck,
through perceptions of competence. These findings Concepcion, & Li, 2010), in studies designed to en-
suggest that coaches are a more enduring source of hance self-perceptions, offer promise for improving
psychosocial growth for adolescents. More studies peer relationships through emphasis on interde-
are needed that establish social ties across time. pendent goals, group trust, and social support
Does one’s standing among teammates or a best and cohesiveness among group members. Another
sport friendship translate to more favorable percep- ­intervention possibility would be applying research
tions of competence, relatedness, and self-determined findings showing that the peer motivational climate
motivation over the course of a season? Does stability is associated with motivational outcomes (Vazou
of a close sport friendship translate to better social et al., 2006). Interventions can be designed with the
development and interest to stay involved in sport intent of improving peer relationships within teams
and physical activity? Longitudinal designs are by employing a cooperative climate that emphasizes
needed to determine the long-term impact of peer social goal orientations and positive motivational
acceptance, friendship, and leadership on motiva- outcomes. Finally, peer-assisted learning strategies
tional outcomes and tease out relative contributions such as peer modeling and mentoring offer an effec-
of peers and other socializers on motivational out- tive means for promoting positive peer relationships
comes over time. in physical activity contexts that ultimately have the
Second, it would be interesting to examine peer potential for optimizing participants’ perceptions of
relationships and motivational orientations and be- competence, relatedness, self-determined motivation,
haviors in response to social–environmental changes and participation behaviors (Martin Ginis, Nigg, &
associated with sport-level transitions (Horn, 2015; Smith, 2013; M. R. Weiss et al., 1998).
M. R. Weiss & Williams, 2004). Changes in struc-
ture, climate, performance emphasis, and evaluation Coach Influence on Youth
practices as well as makeup of the peer group and Sport Motivation
friendship selection can have a dramatic impact on Our review of research on coach influence is organ-
youths’ sense of self, feelings of belonging, and ized by mechanisms that have been systematically
motivation. Children often begin in instructional examined in the literature: (a) feedback patterns, (b)
leagues where program philosophy and coaching interpersonal leadership styles, (c) transformational
behaviors emphasize learning, improvement, and leadership behaviors, (d) motivational climate, and
camaraderie among teammates. With age and (e) multiple coaching mechanisms (e.g., Amorose,
­advanced skill, youth traverse a system of tryouts for 2007; Horn, 2008).
more competitive teams that often include demand-
ing schedules and travel. These higher levels empha- Feedback Patterns
size performance outcome, peer comparison, and The knowledge base on how coaches influence
teammate rivalry to compete for coveted spots on youths’ motivation-related thoughts, feelings, and
the team and playing time. In these transitions, behaviors began through research on coaches’ feed-
what happens to a best sport friendship when one back patterns (Horn,  2008). In several studies,
member of the dyad is successful at reaching the Smith, Smoll, and colleagues (e.g., Barnett, Smoll,
next level but the other one is not? What happens & Smith, 1992; R. E. Smith, Smoll, & Barnett, 1995;
when a youngster who ranked high in peer group Smoll, Smith, Barnett, & Everett, 1993) had youth
status within her or his team is moved up to the sport coaches undergo an intervention in which
next level where a social hierarchy already exists? To coaches were systematically trained to use greater
expand the knowledge base, it would be useful to praise for effort and good performances, encourage-
examine the impact that sport transitions have on ment following errors, and mistake-contingent
peer group acceptance, friendship, and leadership technical instruction and to curtail the use of punitive

Weiss, Kipp, And Espinoz a 497

behaviors and nonresponses. Athletes of trained including greater perceived competence, autonomy,
coaches reported higher self-esteem, enjoyment, and relatedness, self-determined motivational orienta-
intentions of returning the following season and lower tions, self-esteem, positive affect, and persistence.
anxiety and attrition rates compared to the control By contrast, controlling coach behaviors are linked
group. Smith and Smoll’s research, which primarily with lower perceived autonomy and relatedness and
used samples of male baseball players, inspired other higher controlling motivational orientations and
studies that included female athletes and various dropout (e.g., Amorose & Anderson-Butcher,
sports. These studies showed that coaches who 2007, 2015; Amorose, Anderson-Butcher, Newman,
provide positive and performance-contingent rein- Fraina, & Iachini, 2016; Jõesaar, Hein, & Hagger,
forcement, encouragement, and technical instruction 2012; Pelletier, Fortier, Vallerand, & Brière, 2001;
maximize motivational outcomes such as perceived Quested et al.,  2013). For example, Amorose and
competence, self-esteem, intrinsic motivation, Anderson-Butcher (2015) explored adolescent
­enjoyment, and persistence (e.g., Allen & Howe, ­athletes’ perceptions of autonomy-supportive and
1998; Black & Weiss, 1992; Coatsworth & Conroy, controlling coach behaviors and athletes’ perceived
2006; Horn, 1985). competence, autonomy, relatedness, and motiva-
Another approach to studying feedback patterns tional orientations. Autonomy support positively
has been to explore how coaches’ expectations of predicted more adaptive motivational outcomes
athletes’ ability levels ultimately influence athletes’ and negatively predicted maladaptive outcomes, and
self-perceptions, learning, and performance (Horn, controlling behaviors showed the opposite pattern
Lox, & Labrador, 2015). Horn’s (1984) study of ado- of associations. An interaction effect indicated that
lescent softball players showed that low-expectancy positive motivational outcomes were best predicted
athletes received more reinforcement than high-­ by higher autonomy support coupled with lower
expectancy athletes, but as explained further in Horn’s controlling behaviors. Thus, autonomy support by
(1985) reanalysis, this positive reinforcement is the coach may be most beneficial when controlling
often given inappropriately, such as for easy tasks or behaviors are kept at bay.
mediocre performances, resulting from lower per- Coaches who engage in autonomy-supportive
formance expectations for those athletes. Praise that behaviors provide social support and convey to ath-
is not genuine or not performance contingent may letes that their ideas are valued. In a similar vein,
signal to athletes that they are lower in ability. This studies of adolescent athletes have shown that types
notion was demonstrated by Horn’s (1985) findings of social support are related to positive motivational
that greater reinforcement after desirable perfor- outcomes (e.g., Reynolds & McDonough,  2015;
mances was negatively associated with gains in per- Stuntz & Spearance, 2010; W. M. Weiss & Weiss,
ceived competence, whereas greater constructive 2007). Stuntz and Spearance (2010) examined the
criticism following errors was positively associated degree to which coaches know and care about the
with gains in perceived competence among adoles- out-of-sport aspects of adolescent athletes’ lives (i.e.,
cent softball players. Therefore, reinforcement must cross-domain relationships). Greater cross-domain
be contingent to performance to optimize motiva- relationships with coaches were linked with higher
tional responses. sport enjoyment, and sport commitment was posi-
tively predicted by cross-domain relationships with
Interpersonal Leadership Styles both coaches and teammates. Thus, motivational
Studies focusing on interpersonal style refer to thoughts, feelings, and behaviors are optimized
­autonomy-supportive and controlling coach behav- when coaches acknowledge and support athletes,
iors (M. R. Weiss et al., 2012). Autonomy support is provide opportunities for choice and input, and
demonstrated when coaches allow for athletes’ choice minimize the use of external control.
and input, provide a rationale for activities, and
acknowledge athletes’ thoughts and ideas. Controlling Transformational Leadership Behaviors
coach behaviors include using rewards or punishment A recent approach to studying coach influence in
to control athletes’ actions, giving overly critical feed- sport is through transformational leadership (Horn,
back as a motivational strategy, and using their power 2008). According to Bass (1998), transformational
to dictate athletes’ behaviors both in and out of the leaders use four key behaviors to inspire their
sport setting (Mageau & Vallerand, 2003). ­followers to adopt attitudes and behaviors that max-
Autonomy-supportive coaching behaviors are imize their performance potential: (a) inspirational
associated with a multitude of motivational benefits, motivation (setting high achievement standards and

498 Motivational Processes In Youth Sport And Physical Activit y

exhibiting confidence in attaining them), (b) idealized & Raine, 2015). By contrast, greater perceptions of
influence (modeling desirable attitudes and behav- a performance climate are associated with higher
iors), (c) intellectual stimulation (facilitating negative affect and extrinsic orientations and lower
problem-solving and creativity among teammates), self-esteem and perceived autonomy and relatedness.
and (d) individualized consideration (recognizing For example, a study of adolescent female athletes
the needs and interests of each team member). As nicely demonstrated the motivation-related cogni-
such, transformational leader behaviors could influ- tive and behavioral benefits of a mastery climate
ence various motivational outcomes. For example, (Sarrazin, Vallerand, Guillet, Pelletier, & Cury,
coaches who exhibit confidence in athletes’ ability 2002). Higher perceptions of a mastery climate pre-
to achieve high standards should promote feelings dicted higher psychological need satisfaction (i.e.,
of competence, coaches who promote creativity and perceived competence, autonomy, and relatedness),
problem-solving should support athletes’ sense of whereas higher perceptions of a performance climate
autonomy, and coaches who model desirable char- predicted lower perceived autonomy. Psychological
acteristics and recognize athletes’ interests should need satisfaction was related to higher self-determined
support feelings of relatedness (e.g., Stenling & motivation, which predicted lower intentions to drop
Tafvelin, 2014). out and lower attrition 21 months later. Theeboom,
Greater transformational coach behaviors are de Knop, and Weiss (1995) examined the effect of a
associated with higher perceived competence, auton- mastery climate intervention compared to a perfor-
omy, relatedness, sport enjoyment, and effort mance climate control group in a martial arts pro-
among adolescent athletes (Arthur, Woodman, Ong, gram with 8- to 12-year-old participants. Youth in
Hardy, & Ntoumanis,  2011; Price & Weiss,  2013; the intervention group reported greater enjoyment,
Stenling & Tafvelin, 2014). Price and Weiss (2013) perceived competence, and intrinsic motivation and
simultaneously examined perceptions of coach and improved more in physical skills compared to the
teammate transformational behaviors among adoles- control group.
cent female soccer players. Transformational coach Some studies revealed that perceptions of higher
behaviors were associated with greater perceived performance climate coupled with higher mastery
competence, enjoyment, task cohesion, and collec- climate are positively related to adaptive outcomes,
tive efficacy. Thus, coaches who create inspirational such as perceived competence, cognitive engage-
goals, model desirable qualities, encourage creativity, ment, and team cohesion among adolescent sport
and recognize individual needs are setting the stage participants (Curran, Hill, Hall, & Jowett,  2015;
for motivational benefits among young athletes. Horn, Byrd, Martin, & Young,  2012; Kipp &
Weiss, 2015). It is important to note that these rela-
Motivational Climate tionships emerged for samples reporting relatively
Motivational climate is informed by how coaches high levels of a mastery climate and relatively low
define success, how they structure practices, and levels of a performance climate. In sum, motiva-
how they evaluate performances (Ames,  1992). tional benefits are reported when coaches engage in
These contextual cues, as well as athletes’ perceptions, behaviors consistent with a mastery climate, which
establish the type of climate that is typically catego- may buffer potential negative effects from competi-
rized into mastery (task-involving) and performance tive environments.
(ego-involving). In a mastery climate, the coach
emphasizes effort, improvement, and learning as Multiple Coaching Mechanisms
keys to success. In a performance climate, favorable Recent studies have included multiple coaching
social comparison and performance outcome (i.e., mechanisms as a means of determining the type of
winning, placement) are emphasized (Harwood, coaching behaviors that optimize young athletes’
Spray, & Keegan, 2008). motivational outcomes. Studies including feedback
Research consistently shows the motivational and reinforcement alongside either motivational
benefits of a mastery climate. A recent review of climate or autonomy support have shown a link
studies on motivational climate in sport and physi- between these coaching mechanisms and youths’
cal activity summarized findings that greater per- motivational thoughts, feelings, and behaviors
ceptions of a mastery climate are associated with (e.g., Curran, Hill, & Niemiec,  2013; McDavid,
higher perceived competence, self-esteem, positive McDonough, Blankenship, & LeBreton,  2017;
affect, autonomy, relatedness, and self-determined R.  E.  Smith, Smoll, & Cumming,  2007; M.  R.
motivational orientations (Harwood, Keegan, Smith, Weiss, Amorose, & Wilko,  2009). R.  E.  Smith

Weiss, Kipp, And Espinoz a 499

and  colleagues (2007) found that when they motivation in physical activity. Most research on
­supplemented their earlier coach training that focused coach influence has been with team sport athletes in
on feedback patterns with strategies for promoting a mid to late adolescence (Harwood et al.,  2015;
mastery climate, intervention youth showed lower Horn, 2008). Expanding samples to include more
performance anxiety over the course of a basketball individual sports is important because frequency
season, while control participants increased in and type of interactions with the coach may differ
anxiety. Weiss, Amorose, and Wilko (2009) found according to type of sport. For example, Kipp and
that female adolescent athletes reported greater Weiss (2015) noted that the social comparison in-
enjoyment, perceived competence, and intrinsic
­ herent in gymnastics could explain why perceptions
motivation when they perceived their coaches to of a performance climate were positively related to
engage in higher levels of positive and informational perceived competence. Additionally, research with
feedback after successful performances, place greater children and studies across transition periods would
emphasis on a mastery climate, and place less emphasis contribute to our understanding of which coaching
on a performance climate. These studies reinforce mechanisms are motivationally salient in various
the importance of using self-referenced criteria for developmental stages. For instance, Stuntz and
success and providing positive and informational Spearance (2010) found differences in coach influ-
feedback to motivate youth. ence for an adolescent sample versus a collegiate
Motivational climate and coach interpersonal sample. A similar comparison could be done from
style have also been included together as correlates late childhood to adolescence.
of motivational outcomes (e.g., Kipp & Weiss, Second, relatively little research exists on factors
2013,  2015; N.  Smith et al.,  2016; Zourbanos that influence coaches’ behaviors, such as athlete
et al., 2016). Kipp and Weiss (2013) assessed per- characteristics, the sociocultural context, and coaches’
ceptions of multiple coaching behaviors (mastery characteristics, values, and beliefs (Horn, 2008;
climate, autonomy support, performance climate, Horn et al., 2015). In one example, Price and Weiss
controlling behaviors), friendship quality, motiva- (2000) found that coaches who were higher in
tional outcomes (perceived competence, autonomy, ­emotional exhaustion (as an index of burnout) were
relatedness), and indices of well-being among perceived by their athletes as providing lower
­
female adolescent athletes. After controlling for amounts of instruction and social support. More
physical maturity, a composite variable of mastery ­research in this area would help us understand why
climate and autonomy support showed a positive, coaches behave the way they do.
direct relationship with perceived autonomy and Third, continued research on the relative, inter-
­relatedness and a positive, indirect relationship with active, or additive effects of multiple coaching
positive affect, whereas controlling behaviors were mechanisms and multiple socializers will add to our
negatively related to perceived autonomy. Thus, cre- understanding of how coaches influence athletes’
ating a mastery climate and engaging in autonomy- motivational thoughts, feelings, and behaviors. For
supportive behaviors are important for promoting example, autonomy-supportive behaviors may be
positive motivational outcomes among youth. less effective when controlling behaviors are also
present, and a mastery climate may serve as a buffer
Future Research Directions on Coach for potential performance climate cues evident in
Influence the competitive sport environment (e.g., Amorose &
Robust research findings have accumulated on how Anderson-Butcher, 2015; Kipp & Weiss, 2015). Of
coaches can optimize motivational outcomes among course, coaches are not the only source of influence
youth participants. In particular, coaches who pro- for youth. Some research has shown that (a) auton-
vide positive and performance-contingent feedback omy support by coaches and parents can have
and technical instruction, engage in autonomy-­ an  additive effect on motivational outcomes and
supportive and transformational leadership behaviors, (b) coaches have a stronger influence on youths’
and create a mastery climate are likely to set the stage motivation when there is a lack of support by other
for self-determined motivational orientations, positive social agents (e.g., Amorose et al., 2016; Gaudreau
self-perceptions, enjoyment, and continued involve- et al.,  2016). Additional research on multiple
ment. Still, questions remain about mechanisms of coaching mechanisms and multiple socializers will
coach influence that future research can address. aid in understanding the influence of the variety of
First, research with varied samples could improve cues that athletes receive from coaches, parents, and
our understanding of coach influence on youths’ peers each day.

500 Motivational Processes In Youth Sport And Physical Activit y

Translating Theory and Research to transformational leadership behaviors (e.g., setting
Evidence-Based Practices for Promoting realistic goals, modeling desirable behaviors, recog-
Motivation in Youth Sport and nizing the needs of each athlete), creating a mastery
Physical Activity motivational climate, and providing autonomy-
Theory-guided studies reviewed in the previous supportive behaviors, such as enabling athletes with
sections demonstrate that adult and peer socializers choice and voice and providing social support on
have a powerful influence on children’s and adoles- and off the field. Thus, coaches who define success
cents’ sporting lives. Parents, siblings, teammates, in self-referenced terms, provide opportunities for
and  coaches affect youths’ motivational outcomes athlete input, express concern for athletes as people,
through their expressed beliefs about the child’s and offer contingent feedback and instruction
competence, along with demonstrated behaviors ­following mastery attempts are likely to motivate
such as feedback, support, esteem enhancement, young athletes to sustain effort and attain perfor-
autonomy support, and reinforcement for skill mance goals. In turn, mastery experiences are a
improvement versus performance outcome (i.e., strong source of enhancing beliefs about compe-
motivational climate). In this section, we synthesize tence, relatedness toward the coach, enjoyment of
and consolidate this literature to provide evidence-­ their experiences, and continued participation.
based best practices for parents, coaches, and youth These coaching behaviors, however, may not be easy
sport organizations and policymakers. to implement, especially among novice coaches.
First, consistent findings show that parents Thus, youth sport organizations should ensure that
impact their children’s perceived competence, affec- coaches possess the competence, confidence, and
tive states, and motivational orientations and compassion to carry out effective motivational
­behaviors through their role as interpreters of expe- behaviors by requiring systematic training for
­
rience, providers of experience, and role models. ­implementing program goals in a developmentally
Parents’ beliefs about their child’s ability level affect appropriate manner.
their behaviors toward and with their child, such Finally, coaches are also in a position to promote
as facilitating opportunities, being encouraging, positive and supportive peer relationships within
conveying expectations, engaging in a parenting their teams. Since group acceptance, friendship
style, and creating a task- or ego-involving climate. quality, and peer leadership are associated with beliefs
Thus, parents who express positive beliefs about about ability, teammate relatedness, affective out-
their child’s competence and view sport as a valua- comes, and motivational orientations and behav-
ble achievement domain are likely to engage in iors, coaches can structure a cooperative climate at
behaviors that positively influence their child’s practice by creating activities that promote group
psychological need satisfaction and self-determined goal setting and interdependent problem-solving to
motivation. Such behaviors include parents being attain collective goals. By the same token, avoiding
active along with their child, being involved in their situations that promote intrateam rivalries and
child’s sport experiences (e.g. coaching, officiating), ­favoritism toward certain athletes will maximize
providing positive and contingent feedback for ­opportunities to enhance teammate relatedness and
participation and effort, and reinforcing skill learn- group cohesion, which in turn will enhance self-
ing and improvement over performance outcome determined motivation and continued participation
(i.e., a mastery motivational climate). Youth activity behavior. Coaches can also enable opportunities for
organizations can emphasize positive parent–child leaders to emerge within the group and not only
relationships by requiring a parent orientation rely on team captains. Allowing for other ways of
meeting, where the program philosophy and expec- choosing peer leaders may result in individuals with
tations are conveyed (e.g., being a good role model personal or psychological characteristics other than
at competitions) and specific information about athletic competence to emerge as respected leaders
lessons is provided that parents can reinforce at home of choice.
(e.g., replacing negative with positive self-talk). In sum, theory and research translate to practical
Second, a strong knowledge base shows that applications for youth sport stakeholders that opti-
coaches can influence young athletes’ perceived com- mize positive motivational outcomes. It is impor-
petence, autonomy, relatedness, and motivational tant to emphasize that positive outcomes are not an
orientations and behaviors through a variety of automatic consequence of participation in sports
mechanisms. These mechanisms include patterns of and physical activities like many people believe.
performance feedback and social reinforcement, Rather, adults must be aware that their verbal and

Weiss, Kipp, And Espinoz a 501

nonverbal behaviors convey beliefs about the child’s self-determination in exercise and sport (pp. 209–227).
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Amorose, A.  J., & Anderson-Butcher, D. (2007). Autonomy-
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outcomes are directly associated with quality of theory. Psychology of Sport & Exercise, 8, 654–670.
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on the transmission of beliefs and behaviors by independent and interactive effects of autonomy-supportive
and controlling coaching behaviors on adolescent athletes’
significant adults, including parents, coaches, and motivation for sport. Sport, Exercise, and Performance
program staff, as well as by important peers, such as Psychology, 4, 206–218.
siblings, friends, and the wider peer group. Amorose, A. J., Anderson-Butcher, D., Newman, T. J., Fraina,
M., & Iachini, A. (2016). High school athletes’ self-
Concluding Remarks determined motivation: The independent and interactive
effects of coach, father, and mother autonomy support.
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506 Motivational Processes In Youth Sport And Physical Activit y

 CH A PT ER

27 Work Motivation
Where do the Different Perspectives Lead Us?

Anja van den Broeck, Joseph Carpini, and James Diefendorff

Abstract

Work motivation is a crucial, yet complex resource for employees and organizations. Scholars have
investigated motivation at work through many theoretical lenses that are often examined in isolation
from one another. This chapter seeks to bridge these various perspectives, first by providing a review
of dominant theoretical lenses and second by presenting an integrative framework. The historical
review includes a consideration of reinforcement theory, Maslow’s need hierarchy, valence–
instrumentality–expectancy theory, the theory of planned behavior, goal-setting theory, self-regulation
theories, achievement goal theory, regulatory fit theory, and self-determination theory. Together, these
theories identify key mechanisms through which work motivation directs and regulates behavior, as
well as antecedents and consequences of motivation. The integrative motivation framework distills
insights from the various motivational theories, providing a heuristic to understand what (goal choice:
characteristics and content), how (goal striving: macro- and microprocesses), where, and when
(antecedents: personal and contextual) employees will be motivated to work.
Keywords:  employee motivation, rewards, values, needs, goal striving, goal choice, optimal
functioning

What do you pursue at work? Why do you want to psychology over the past 100 years (Kanfer, Frese, &
achieve this goal? And when and where are you Johnson, 2017).
most likely to go for it? These questions have been However, employee motivation has also been
central in guiding the literature on work motivation, shown to be complex (Diefendorff & Chandler,
which aims to understand the processes that affect 2011), and through the years, many different per-
the direction, intensity, and persistence of activities spectives have been developed to understand moti-
at work (Pinder,  2008). Employee motivation not vation at work. Although most theories provide an
only is crucial for employee behavior, but also influ- in-depth analysis of more narrow aspects of employee
ences a variety of other outcomes such as employee motivation (Maslow,  1943; Vroom,  1964), some
well-being and attitudes (Deci & Ryan, 2000; Gagné theories have adopted a broader, more encompass-
& Deci,  2005). Hence, employee motivation has ing approach (Deci & Ryan, 2000; Locke & Latham,
the potential to contribute to organizational success, 1990) (see Kanfer et al., 2017). Efforts to integrate
defined in multiple ways and through multiple path- these theories have reviewed motivation from
ways (Jiang, Lepak, Hu, & Baer, 2012). Given its key  perspectives (Grant & Shin,  2012), focused
importance for employees and employers alike, it on  particular publication outlets (Kanfer &
may come as no surprise that the study of work Chen,  2016; Kanfer et al.,  2017), or emphasized
motivation has been one of the most enduring and key elements in  the motivational process across
compelling topics in industrial and organizational theories (Diefendorff & Chandler, 2011).

507
 Our first goal is to provide a historical overview b­ehavior does not necessarily stem from hidden
of arguably the key theoretical perspectives that have mental processes. Rather, it can be directed and inten-
dominated the study of (work) motivation: rein- sified through external reinforcement and the moti-
forcement theory (Thorndike, 1911), Maslow’s need vational properties of such reinforcement can be
hierarchy (Maslow, 1943), valence–instrumentality– found by observing behavior. Reinforcement theory,
expectancy theory (Vroom,  1964), the theory of which is grounded in the behaviorist tradition
planned behavior (Ajzen, 1991), goal-setting theory (Thorndike, 1911; Skinner,  1969), assumes that
(Locke & Latham, 1990), and self-regulation theo- people can learn and enact (new) behaviors based
ries (e.g. Carver & Scheier, 1982; Frese & Zapf, 1994; on the consequences of their behavior: Behavior
Kanfer & Ackerman,  1989; Lord, Diefendorff, that is followed by instrumental gains is usually inten-
Schmidt, & Hall, 2010), as well as achievement goal sified, while behavior that is not rewarded or even
theory (Dweck,  1986; Elliot,  1999), regulatory fit punished tends to fade out.
theory (Higgins, 1997), and self-determination theory Studies have shown that the impact of rewards
(Deci & Ryan, 2000). This allows us to understand depends on the type of rewards (e.g. monetary
how the concept of motivation has developed and reward, prize, or verbal feedback, recognition) and
changed over the years. When available, we consider the way the reward is administered (e.g., expected or
each of the perspectives based on the available meta- not, salient during task performance or not, control-
analytic results, instead of focusing on particular ling or informative), as well as the type of outcome
findings from individual empirical studies. under consideration (e.g. performance, interest, cre-
The overview then gives insight into how these ativity), the context of the research (e.g., laboratory
theories have provided the basic principles needed studies versus applied studies in a school, sports, or
to comprehensively understand work motivation in work), and the type of sample (e.g., children, adults)
the early 21st century, that is: (a) To which goals and (see Byron & Khazanchi, 2012; Cameron, Banko, &
activities do they direct their behavior? How do Pierce,  2001; Deci, Koestner, & Ryan,  1999;
they choose between activities? And how do indi- Eisenberger & Cameron,  1996). Remarkably few
viduals reprioritize which goal should be the focus studies have explicitly examined the impact of
of attention and receive valuable, limited resources monetary rewards on employee performance. This
at a given moment? (b) How do individuals regulate limited set of studies shows that extrinsic incentives
their behavior to reach their goals over time and are associated with better employee performance
across changing circumstances? How do individuals (Wiersma,  1992), with this effect being larger for
persist over time, respond to obstacles and setbacks, performance quantity than for performance quality
and decide whether to increase effort, attempt differ- (Cerasoli, Nicklin, & Ford,  2014; Jenkins, Mitra,
ent strategies, or temporarily or permanently abandon Gupta, & Shaw, 1998).
the goal? and (c) Where and when does motivation
come to the fore and have its effects on behavior and Needs Theories
well-being? How can employees and organizations In contrast to reinforcement theory, which empha-
facilitate or hinder the motivational processes? By in- sized the importance of the environment, as well as
tegrating these principles in a heuristics framework in observable indicators of motivation, need theories
the second part, this chapter seeks to build a process focused squarely on internal psychological explana-
perspective on employee motivation that aims to en- tions for motivation. Both the theories on essential
hance our understanding of what, why, where, and biological drives and the simple stimulus–response
when employees are motivated for work. Before pre- paradigm of behaviorism were criticized by human-
senting this integrative motivational framework, we istic psychologists (e.g., Rogers,  1961). They advo-
first present an overview of the theories that have cated that people are not merely subjected to their
dominated the motivation literature. biological drives or reactive to their environment,
but should be considered inherently active and
Overview of the Theoretical Perspectives growth oriented when they—consciously or uncon-
External Stimuli: Reinforcement Theory sciously—strive to satisfy their psychological needs.
Before 1900, motivation was said to be determined According to Maslow (1943), these needs can be or-
by will (Descartes), biological features such as in- ganized into a hierarchy of prepotency: Relative
stincts (Darwin), or uncontrollable drives (Freud) satisfaction of a lower need elevates the relative im-
(see for an overview Reeve,  2014). However, these portance of a need higher in the hierarchy. First,
perspectives were vague, and the idea rose that people must satisfy their survival needs, followed by

508 WORK MOTIVATION: WHERE DO THE DIFFERENT PERSPECTIVES LEAD US?

social and personal needs. These include (in order) these factors to arrive at the motivational force for a
(a) physiological needs (e.g., hunger, thirst, air), (b) goal and then compare the motivational force values
safety needs (safe and predictable environment, free for two or more goals to decide which one to pursue.
of illness), (c) belongingness and love (e.g., interac- Value–instrumentality–expectancy theory holds
tion and affection from others), and (d) esteem a major position in the study of work motivation.
(stable high self-esteem and esteem from others). Meta-analytic findings indicate that high expectancy
Once these needs are satisfied, people can strive to and high value associate positively to a host of dif-
realize their full potential and (e) fulfill their need ferent outcomes such as job search and job choice
for self-actualization. They then become everything (Chapman, Uggerslev, Carroll, Piasentin, & Jones,
they are capable of becoming, for example, in terms 2005; Uggerslev, Fassina, & Kraichy, 2012), train-
of self-respect and achievement. ing motivation (Bauer, Orvis, Ely, & Surface, 2016),
Maslow (1943) brought the human side (back) performance, effort (van Eerde & Thierry, 1996), and
into the study of motivation and inspired subse- other behaviors such as negotiating (Reif & Brodbeck,
quent need theories such as the socialized needs for 2014) and faking (Ellingson & McFarland, 2011).
achievement, power, and affiliation (Alderfer, 1969; The most important meta-analysis on VIE (van
McClelland,  1965) (see Diefendorff & Chandler, Eerde & Thierry,  1996), however, proved that
2011; Pittman & Zeigler,  2007). The theory has VIE  is more useful in explaining choice behavior
become one of the most popular theories of motiva- (e.g., choice, preferences) rather than energy invest-
tion in management and organizational behavior ment or persistence (e.g., measured in terms of per-
education, featuring in first-year textbooks and the formance or effort) and also has higher predictive
popular press. This is, however, paradoxical, because validity at the within-person level (i.e., explaining
empirical evidence for Maslow’s theory remains lim- why a person selects one goal over another goal)
ited. From a review of the literature, Wahba and than at the between-subject level (i.e., explaining
Bridwell (1976) concluded that although the self-­ why one person chooses a higher goal than another
actualization need often emerges as an independent person). As an example, VIE may allow one to pre-
factor, Maslow’s other needs highly overlap in the dict whether a PhD student will engage in additional
context of work, and fulfilment of lower order needs reading or choose to work on an assignment that
is not necessary for higher order needs to arise. The makes up 50% of his grades: If the student expects
lack of clear support for the hierarchy assumption of that putting effort into the assignment is more likely
Maslow’s theory may indicate that behavior is deter- to help him achieve a valued career goal, he or she
mined by multiple needs at once, as suggested by likely opts for the latter. However, this may be differ-
Maslow himself, or a result of methodological and ent for a PhD student who sees additional reading
measurement problems (Wahba & Bridwell, 1976). as the preferred route to gaining knowledge.
In all, however, the lack of empirical support for Further developments in the cognitive domain
Maslow’s theory reduced scholarly interest in this ap- led to the theory of planned behavior (TPB, Ajzen,
proach and needs in general (Kanfer & Chen, 2016). 1991; Fishbein & Ajzen,  1975). This theory starts
from similar assumptions as VIE, but adds the social
Expectancy-Value Theory and Theory of context as an important determinant of individual
Planned Behavior motivation and includes behavioral intention as a
Whereas Maslow’s theory and related theories mediator between these determinants and actual
­focused on needs, the next tradition in the literature behavior. Specifically, TPB suggests that—next to
put cognitive process to the fore as the fundamental perceived behavioral control (similar to expectancy)
determinant of human motivation. Within this and attitude (similar to valence) toward a particular
cognitive tradition, Vroom’s value–instrumentality– behavior—the social context (social norms or what
expectancy (VIE) theory has been the most popular others will think) also will play a role. These factors
(Vroom, 1964). Vroom’s VIE theory contends that predict behavioral intentions, which may or may
people are motivated most when they believe (a) not result in the enactment of the behavior, depend-
that their actions or efforts will lead to a particular ing on the absence or presence of personal and envi-
level of performance (expectancy), (b) that this ronmental barriers. The theory thus states that an
performance will lead to one or more outcomes employee (e.g., a researcher) is more likely to intend
(instrumentality), and (c) that the outcomes are im- to engage in a particular behavior (e.g., start writing
portant, attractive, desirable, or satisfying (valence). a chapter) when he or she feels in control of the be-
According to this approach, individuals combine havior (e.g., if I want to write, I can write), when he

VAN DEN BROECK, CARPINI, AND DIEFENDORFF 509

or she considers the paper important (e.g., it is for Self-efficacy is fostered by previous success, seeing
the Oxford handbooks), and when his or her col- successful role models, and persuasion (Bandura,
leagues and superiors see it as valuable (e.g., it counts 1997; Locke & Latham,  1990). Feedback makes
as a publication). Whether the employee intentions people aware of the discrepancy between their
will materialize in actual behavior (e.g., the researcher current and aspired level of performance (Neubert,
will start writing), however, depends on other factors 1998), enabling individuals to evaluate—and poten-
(e.g., other deadlines that must be prioritized). tially alter—their goal-striving strategies (e.g., in-
Several meta-analyses have summarized the re- crease effort or persistence). However, feedback may
sults of TPB (e.g., Ajzen, 1991; Godin & Kok, 1996; also lead people to abandon a goal altogether if the
Hausenblas, Carron, & Mack, 1997). The most recent discrepancy is too big and the goal seems to be out
meta-analytic findings indicate that the theory can of reach. Goals should be difficult but attainable.
explain up to 20% of the variance in people’s behav- Other moderators of the goal–performance relation
ior. Perceived behavioral control plays an important are task complexity, ability, and situational constraints,
role because it relates to behavior both directly and such that goals are more effective in influencing
indirectly (via behavioral intent). Subjective norm, performance when tasks are not too complex, when
in contrast, seems to be the least important predic- employees are able, and there are few situational
tor of behavior (Armitage & Conner, 2001). impediments (Latham & Locke, 1991).
Meta-analyses in the realm of GST show that
Goals: Goal-Setting Theory characteristics of one’s goals matter: Setting specific
Another theory that was developed as part of the difficult goals may lead to a 10% increase in perfor-
cognitive revolution in the motivation literature mance, which can be further increased to 17% when
is  goal-setting theory (GST; Locke & Latham, feedback is also given (Mento, Steel, & Karren, 1987;
1990, 2002). The development of GST was inspired Neubert, 1998). Goal commitment generally relates
by scientific management (Taylor, 1911), which as- more strongly to goal achievement (i.e., reaching
signed tasks and formulated clear production goals the specified goal or not) than to performance per se
for the employees to reach. Hence, GST is one of the (Wofford, Goodwin, & Premack, 1992), which in-
first models that was explicitly formulated to under- dicates that goals should be rather hard compared
stand employee motivation. Goal-setting theory has to easy (Klein, Wesson, Hollenbeck, & Alge, 1999).
been nominated as one of the few theories in organ- Meta-analyses also point at the moderating role of
izational psychology that is both scientifically valid task complexity, such that the effect of goal setting
and useful (Miner, 1984; Pinder, 1984) and is consid- is stronger for simple tasks (e.g., reaction time) com-
ered one of the dominant theories in the work pared to complex tasks (e.g., scientific work) (Wood,
motivation literature (Fried & Slowik, 2004). Mento, & Locke, 1987).
In essence, GST assumes that conscious goals and
intentions drive performance by affecting the direc- Self-Regulation Theories
tion of employee behavior as well as their energy and Whereas the majority of theories reviewed up to this
persistence. Specifically, GST assumes that behavior point focused on the types of goals pursued (i.e.,
is determined by goal level, specificity, and commit- goal choice), self-regulation theories took a distinctly
ment. People perform better when their goals are (a) different approach by seeking to understand how
hard to reach rather than easy and (b) specific rather people regulate their behavior during goal pursuit
than general or vague and (c) when commitment (i.e., goal striving; Lewin, Dembo, Festinger, &
or acceptance (in the case of assigned goal) is high. Sears, 1944). Self-regulation is defined as the “mod-
Goal commitment or “one’s attachment to or deter- ulation of thought, affect, behavior or attention via
mination to reach a goal” (Locke & Latham, 1990, deliberate or automated use of specific mechanism
p. 125) is stronger when people see their goals as and supportive metaskills” (Karoly, 1993, p. 25) and
being important (i.e., valence) and they feel effica- is relevant once a goal has been identified (Heckhausen
cious (i.e., expectancy) in reaching the goals. People & Gollwitzer, 1987). Prominent self-regulation the-
are more likely to value goals when the goals are self- ories include the control theory (Carver & Scheier,
chosen or they can participate in goal setting (Locke, 1982), social cognitive theory (Bandura, 1986, 2012),
Latham, & Erez, 1988). If goals are assigned, com- the Rubicon model (Gollwitzer, 1990; Heckhausen
mitment is more likely when the goals come from & Gollwitzer,  1987), German action regulation
an authority, are supported by peers, are made theory (Frese & Zapf, 1994), and resource allocation
public, or are rewarded (Locke & Latham,  1990). theory (Kanfer & Ackerman, 1989).

510 WORK MOTIVATION: WHERE DO THE DIFFERENT PERSPECTIVES LEAD US?

 Control theory (Carver & Scheier,  1982) is Goal implementation theory (Gollwitzer, 1999;
founded on the premise that people regulate their be- Gollwitzer & Sheeran,  2006) further emphasizes
havior by monitoring discrepancies between goals and the cognitive processes underlying self-regulation.
behavior and reducing those discrepancies by exerting Following this theory, people adopt an open and de-
more effort or allocating more resources to the task. liberate mindset to assess the expectancy and value
While pursuing a given goal, people may (consciously of different goals in the goal establishment phase.
or unconsciously) direct attention to themselves and Next, in the planning phase, people adopt a narrow
create a self-focus/awareness. They may compare their mindset and turn their attention toward goals and
own input with reference to the standard they want to action-relevant information. In the following striving
obtain and adapt their behavior if a discrepancy is phase, people immerse in the activity and adopt a
detected. Whether goals will be achieved is—as also closed, action-focused mindset. Finally, in the eval-
stressed by TPB—also dependent on contextual fac- uation phase, thinking broadens again and one’s
tors outside the control of the individual. efforts are evaluated against the feasibility and desir-
Whereas control theory has been described as fo- ability of the goal.
cusing primarily on subsystem-level (i.e., lower level) Kanfer and Ackerman (1989) pay further atten-
goals (Vancouver,  2005), social cognitive theory tion to how resources are allocated during the goal-
(Bandura,  1986,  2012), predominantly adopts a striving process, which could clarify some notable
system-level approach and is more concerned with empirical results on VIE and GST. Specifically, it
the regulation of higher level goals. Similar to con- was observed that ability matters more when moti-
trol theory, social cognitive theory advances that vation is high, particularly when people learn new
idea that people seek to reduce discrepancies in goal tasks. This finding led to the proposition that people
striving, but—much in line with an organismic per- have limited resources and must carefully divide their
spective (see also Maslow, 1943)—it maintains that effort and attention, particularly when engaging in
people continuously create such discrepancies complex tasks. Resources can be invested in off-tasks,
themselves by setting more challenging goals. Note, on-tasks, and the self-regulatory processes them-
however, that most versions of control theory (Carver selves (i.e., self-monitoring, self-evaluation, and self-­
& Scheier, 1998; Lord & Levy, 1994; Neal, Ballard, reaction). In well-learned tasks, few resources are
& Vancouver,  2017; Powers,  1973; Vancouver, needed on-task and investments in the regulatory
2005) include a goal hierarchy assumption in which process are easily made, likely pay off, and increase
higher level goals (reflecting long-term, self-defining effort. In difficult or novel tasks, in contrast, it is
objectives) are responsible for the establishment of difficult to invest in self-regulation because available
lower level goals and, therefore, the creation of dis- resources are already allocated to activating the nec-
crepancies. As such, social cognitive theory and con- essary skills and knowledge to achieve the tasks’ re-
trol theory are very compatible, with control theory quirements. Investments in self-regulation may then
providing a description of the mechanisms underly- be costly and lower performance.
ing observed processes (Diefendorff & Lord, 2008). Finally, German action theory (Frese & Zapf,
Social cognitive theory is best known for its focal 1994) again adopts a cyclical process suggesting that
construct of self-efficacy, which is defined as an indi- after deciding which goal to pursue, people start
vidual’s belief about his or her capabilities to mobi- to explore the problem, generate action plans, and
lize the motivation, cognitive resources, and courses decide how to move forward. Subsequent actions
of action needed to perform a specific task and suc- are then closely monitored, including the consider-
ceed in a given level of performance (Wood & ation of feedback obtained during task engagement.
Bandura, 1989). According to Bandura (2012), self- Similar to control theory, goals are assumed to be
efficacy influences behavior directly as well as indi- hierarchically organized such that the attainment of
rectly, through increasing outcome expectancies, lower level goals helps to achieve goals higher in the
fostering goal commitment, and setting difficult goals hierarchy. Furthermore, German action theory con-
as well as strengthening one’s perceptions of being tends that goal striving can be regulated at the un-
able to cope with environmental factors that influ- conscious (sensor-motor), conscious (intellectual),
ence goal achievement. Self-efficacy is shaped by task and heuristic levels. Across these levels of regulation,
requirements, previous experience, and the assess- action plans range from rather simple (e.g., basic
ment of personal (e.g., resilience) and environmental blueprints of elementary behaviors) to more complex
resources (e.g., social modeling and social persua- (i.e., action plans) and heuristic (i.e., contributing
sion; Bandura, 2012; Gist & Mitchell, 1992). to unconscious metagoals). For example, in writing

VAN DEN BROECK, CARPINI, AND DIEFENDORFF 511

a paper, a scholar must regulate his or her typing Later developments in achievement goal theory
behavior; develop, execute, and evaluate plans to combined mastery and performance goals with the
write the sections of the paper; and monitor whether approach–avoidance framework, describing how
the paper meets the criteria for publication. people strive to approach positive, desirable end goals
One meta-analysis testing the link between goal versus wanting to avoid negative end states (Elliot,
activation and information processing demonstrated 1999; Elliot & McGregor, 2001). Mastery-approach
that goals allow people to quickly and easily access goals include a focus on improving one’s skills and
goal-relevant information (such as action plans) and accomplishing a task. Performance-approach goals
decrease the accessibility of non–goal related informa- refer to performing better than others. Mastery-
tion (Johnson, Lord, Johnson, Chang, & Lord, 2006). avoidance goals include avoiding being incompe-
Other meta-analyses have largely focused on testing tent and not being able to execute a task, whereas
specific aspects of self-regulation such as self-efficacy performance-avoidance goals refer to avoiding per-
and feedback. forming worse than others. While making good
Initial meta-analyses indicated that self-efficacy progress toward approach goals is generally accom-
is positively related to performance (Stajkovic & panied by feelings of hope and excitement (and an
Luthans, 1998) and work-related learning (Sitzmann eager approach to goal striving), making poor prog-
& Ely,  2011). However, other meta-analyses indi- ress is accompanied by sadness and regret. Making
cate that self-efficacy has little added value in pre- good progress with regard to avoidance goals is
dicting performance over and above other personal accompanied by feeling calm and relaxed, whereas
characteristics such as general mental ability, experi- making poor progress is typified by feelings of threat
ence, and the Big Five (Judge, Jackson, Shaw, Scott, and anxiety (and a vigilant approach to goal striving).
& Rich, 2007). Moreover, at the within-person level, Several meta-analyses have summarized the liter-
self-efficacy seems to be more a product of previous ature on achievement goal orientation. Most recently,
performance than a predictor of future perfor- van Yperen, Blaga, and Postmes (2015) found that
mance (Sitzmann & Yeo, 2013), so further research both mastery- and performance-approach goals re-
is warranted. lated positively to performance. The effect was
Kluger and DeNisi (1996) found that the provi- stronger for mastery-approach goals, perhaps because
sion of feedback generally leads to improved per- performance-approach goals are also paired with low
formance. The effect of feedback-seeking was also self-esteem and self-efficacy (Payne, Youngcourt, &
positive, but rather small (Anseel, Beatty, Shen, Beaubien, 2007). Performance- and mastery-avoid-
Lievens, & Sackett, 2015). However, in about 33% ance goals were negatively related to performance, but
of cases, the provision of feedback may negatively the results were less clear for mastery avoidance, par-
impact performance (Kluger & DeNisi, 1996). This tially because it has received relatively little attention
is the case when such feedback causes attention to in organizational research. However, in general,
shift away from the task to other goals of the self and, mastery-avoidance goals relate negatively to posi-
for example, increases ego involvement or decreases tive affect, performance, help-seeking, and cogni-
intrinsic motivation (Kluger & DeNisi, 1996). tive ability, just like performance-avoidance goals
(Baranik, Stanley, Bynum, & Lance,  2010). With
Achievement Goal Theory regard to antecedents, Payne et al. (2007) found
Achievement goal theory was initially developed to that achievement goals are predicted by one’s implicit
understand student motivation (Dweck, 1986), but theory of intelligence, but also by cognitive ability,
was later also applied to the work context (Button, need for achievement, self-esteem, general self-­
Mathieu, & Zajac, 1996). According to this theory, efficacy, and the Big Five. One’s general achievement
individual beliefs regarding the malleability of in- orientations may furthermore predict state orienta-
telligence will lead people to pursue different types tions as well as goal setting and feedback-seeking.
of goals. People who believe intelligence is malleable
likely develop a learning or mastery orientation, such Regulatory Focus Theory
that they aim to learn and measure their compe- Regulatory focus theory begins from the same prem-
tence and success vis-à-vis the task. In contrast, ise as reinforcement theory: People want to avoid
people who see intelligence as fixed seek to demon- pain and obtain pleasure. Applying this principle to
strate their capabilities and develop a performance the self-regulation process, Higgins (1997) differen-
orientation. For them, the key to success is to out- tiated between promotion and prevention focuses
perform others. that determine how people make decisions, select

512 WORK MOTIVATION: WHERE DO THE DIFFERENT PERSPECTIVES LEAD US?

goals, regulate behavior, and perform, as well as one’s type of motivation and advances—through a
which emotions and self-evaluations they experi- series of mini-theories (Vansteenkiste, Niemiec, &
ence during goal striving. People with a promotion Soenens, 2010)—that some types of motivation are
focus are sensitive to positive outcomes and seek to qualitatively better than others.
reduce discrepancies between their actual and ideal First, SDT stresses the importance of intrinsic
selves, which leads to approach orientation that motivation, or the engagement in an activity because
facilitates the pursuit of hopes and aspirations. it is inherently enjoyable or interesting (Deci, 1971;
Promotion-focused people feel engaged while striv- deCharms,  1968). Intrinsic motivation contrasts
ing for goals and joy (sadness) when goals are (not) with extrinsic motivation, or doing the activity
reached (Diefendorff & Lord,  2008). Conversely, to obtain a separate outcome. According to one of
people with a prevention focus aim to reduce the the first mini-theories of SDT, cognitive evaluation
discrepancy between their actual and ought-to selves theory (Deci,  1975), extrinsic motivation (i.e., re-
and strive to fulfill their obligations and responsi- wards) may decrease the intrinsic reward (i.e., enjoy-
bilities. They are loss aversive and therefore adopt an ment) inherent in particular activities, known as
avoidance orientation. They generally feel cautious the crowding out effect (Frey, 1997), the hidden costs
when trying to reach a goal and are relaxed (nervous) of rewards (Lepper & Greene, 2015), and the over-
when (not) reaching it. According to Higgins (1997), justification hypothesis (Lepper, Greene, & Nisbett,
people adopt a promotion focus when they have de- 1973). While some meta-analyses provided evidence
veloped strong nurturance needs and ideal selves for this claim (Deci, Ryan, & Koestner, 1999), the
during childhood and when situations are framed as issue of the impact of extrinsic motivation remains
gain/nongain situations. In contrast, people develop contentious and highly debated in the early 21st
a prevention focus when they have strong ought-to century (Cameron et al., 2001; Cerasoli et al., 2014;
selves and needs for safety and security and situations Lepper, Henderlong, & Gingras, 1999).
are framed as nonloss/loss situations. Regulatory focus A key advancement of SDT beyond cognitive
theory applies to stable, dispositional tendencies as evaluation theory was that it provided a more nu-
well as more situational adoptions of a promotion anced view in this debate suggesting that the detri-
versus prevention focus. mental effect of extrinsic motivation may depend
In their meta-analysis, Gorman and colleagues on the type of extrinsic motivation involved (i.e.,
(Gorman et al.,  2012) found that prevention and organismic integration theory; Deci & Ryan, 1985).
promotion focus relate to different antecedents and Specifically, SDT differentiates the extrinsic engage-
outcomes. A promotion focus relates positively to ment in an activity because of external (i.e., to obtain
optimism, positive affect, Extraversion, Conscien­ a reward from someone else), introjected (i.e., because
tiousness, self-esteem, and a learning orientation as I would feel bad if I do not), identified (i.e., because
defined by achievement goal theory, while a preven- it is personally important to me), or integrated
tion focus is negatively related or unrelated to these (i.e., because this is part of who I am?) reasons.
antecedents. Instead, a prevention focus is strongly External and introjected motivation represent moti-
related to anxiety, negative affect, and Neuroticism vation that is not or is barely internalized, which
and negatively related to Extraversion and self-­ elicits feelings of pressure and being controlled.
esteem. Specific to the workplace, a promotion focus Identified and integrated motivation, in contrast,
relates positively to job satisfaction, leader member are highly internalized types of motivation and, to-
exchange, affective commitment, task performance, gether with intrinsic motivation, reflect highly self-
and organizational citizenship behavior, and a pre- determined or autonomous motivation. According
vention focus relates negatively to the former two to SDT, autonomous motivation yields favorable
outcomes and was unrelated to the latter three. outcomes in terms of employee well-being, attitudes,
and behavior. The controlled types of motivation
Self-Determination Theory have less beneficial effects and may even lead to un-
Self-determination theory (SDT) is a macro-theory wanted outcomes.
of motivation, which begins with the premise that Apart from studying behavioral regulation (i.e.,
people are active and growth oriented in nature and the why of behavior), SDT also started to study the
interact with their environment to realize their full impact of different types of goals or values (i.e.,
potential (Deci & Ryan, 2000). Whereas other the- the what of behavior) in goal content theory (Kasser &
ories generally focus on the degree to which people Ryan,  1993,  1996). Tying in with the premise
are motivated, SDT pays particular attention to that  people are growth oriented by nature, SDT

VAN DEN BROECK, CARPINI, AND DIEFENDORFF 513

categorizes all values reflecting intra- or interpersonal passive. However, also other factors may influence
growth as intrinsic (i.e., self-development, affiliation, employee motivation. Again, the three basic needs
community contribution), while all (materialistic) are key: These factors that satisfy the basic needs
values that may lead away from this inherent growth also foster the development of high-quality moti-
tendency are extrinsic (i.e., status, power, financial vation and optimal employee functioning. A recent
success). A meta-analysis provided evidence for meta-analysis indicated that several personal char-
SDT’s assumption that the pursuit of extrinsic, ma- acteristics may facilitate the satisfaction of the
terialistic values at the expense of more intrinsic basic needs such as self-esteem, optimism, mindful-
values associates with more risky behavior and lower ness, proactive personality, and the Big Five person-
psychological well-being and health (Dittmar, Bond, ality dimensions (van den Broeck et al.,  2016).
Hurst, & Kasser, 2014). Further studies lend support Demographic variables are generally unrelated to the
for the idea of similar negative effects for the pursuit basic needs. At the contextual level, jobs with many
of materialistic values at work (Schreurs, Hetty van resources and few demands, organizational and
Emmerik, van den Broeck, & Guenter,  2014; van leader support, and perceived justice and person–
den Broeck, Schreurs, Guenter, & van Emmerik, organization fit satisfy the needs for autonomy, be-
2015; Vansteenkiste et al., 2007). longingness, and competence and therefore likely
Furthermore, to explain these positive (negative) have positive implications for employee motivation
implications of autonomous (controlled) motiva- and optimal functioning (van den Broeck et al., 2016).
tion and intrinsic (extrinsic) values, SDT developed An important conclusion of our review is that
basic needs theory (Ryan & Deci, 2002) The satis- the literature on (employee) motivation has contin-
faction of the basic psychological needs is said to be ued to focus on what Reeve (2014) described as
as essential for people’s functioning as water, sun- mini-theories aimed at understanding a particular
shine, and minerals are necessary for plants to blos- motivational phenomenon (e.g., goals) or empha-
som (Deci & Ryan, 2000). Three needs are deemed sizing a specific aspect of the motivational process
important, that is, the needs for autonomy (i.e., vo- (e.g., self-regulation). The notion of developing and
litional functioning), belongingness (i.e., to love testing an overarching or all-encompassing motiva-
and be loved), and competence (i.e., being effective). tional theory has not been successfully adopted in the
While autonomous motivation and intrinsic values field. Although the motivation literature may be
relate positively to these basic needs, controlled mo- too complex to capture all its nuances in an all-
tivation and extrinsic values relate negatively, which encompassing integrative model, we aim to integrate
explains their differential effects on people’s func- the key motivational principles in a heuristic con-
tioning. Meta-analytic results support this assump- ceptual framework, which is presented next.
tion also in the context of work and furthermore
showed that satisfaction of the basic needs relates to A Heuristic Conceptual Framework
various aspects of employee well-being (e.g., positive of Motivation and Directions for
affect, engagement, low burnout), attitudes (e.g., af- Future Research
fective commitment, low turnover intentions), and As depicted in Figure 27.1, at the core of our heuris-
behavior (e.g., in role performance, creativity, or- tic conceptual framework, we include the endoge-
ganizational citizenship behavior) (van den Broeck, nous processes that make up motivation “inside
Ferris, Chang, & Rosen, 2016). employees’ heads” (Grant & Shin, 2012, p. 2). Based
Finally, SDT also pays explicit attention to the on the perspectives described in the first section of
personal and contextual antecedents of employee this chapter, we include what Lewin, et al. (1994)
motivation that either enhance or undermine moti- labeled the processes of goal choice and goal striving.
vation (Gagné & Deci, 2005; Ryan & Deci, 2000). In addition, we move beyond narrowly focusing on
First, SDT focused on people’s general causality ori- goals to include insights regarding the exogenous
entation (causality orientation theory, Deci & Ryan, variables that cause and follow from employee mo-
1985). People with an autonomy orientation have a tivation, in terms of its antecedents and outcomes,
global inclination to interpret external events as in- respectively.
formational and therefore regulate their behavior Specifically, the heuristic conceptual framework
autonomously. People with a control orientation, in includes four major parts. First, answering the ques-
contrast, see external events as pressuring and eliciting tion of what employees pursue, we contend that
controlled motivation. People with an impersonal ori- all behavior at work is goal directed and can be iden-
entation feel out of control, helpless, ineffective, and tified in relation to goals at different levels of the

514 WORK MOTIVATION: WHERE DO THE DIFFERENT PERSPECTIVES LEAD US?

Exogenous Motivational Processes Endogenous Motivational Processes Exogenous Motivational Processes

Antecedents Goal Choice Outcomes

Content

Characteristics
Personal Level
Fixed characteristics
Stable traits
Momentary states Well-being

Optimal
Attitudes
functioning
Contextual Level
Social Structural Goal Striving
Job Social support Role conflict Behavior
Team Leadership Inter- Macro Micro
dependence

Organization Climate HR
Extrinsic External regulation
Introjected regulation Current status Desired status
Identified regulation
Integrated regulation Comparison
Intrinsic motivation

Feedback Plans
Mastery Mastery
approach goals avoidance goals
Action
Performance Performance
approach goals avoidance goals
Context

Promotion Prevention
focus focus

Figure 27.1  Heuristic conceptual framework of employee motivation.

goal hierarchy, including needs, goals, values, and a reward or punishment varies greatly and depends
even identities at work. Second, and pertaining to on prior personal experiences. Thus, Maslow high-
the question of how employees regulate their behav- lighted the importance of the content of the outcome
ior and allocate their resources, we contend that em- of behavior. Self-determination theory echoes this in-
ployees invest effort and persist in pursuing their sight by arguing intrinsic goals are of higher quality
goals through regulatory behaviors, being macro (more central to the self ) than extrinsic goals.
(e.g., mastery versus performance orientation) or Additionally, VIE further elaborated that other
micro (e.g., action regulation and resource alloca- characteristics of the goals matter too: Employees
tion) in nature. Third, we focus on where and when not only need to value the outcomes of their behav-
motivation arises, considering both the personal ior (valence; defined higher in the goal hierarchy),
and the situational antecedents of work motivation. but also should believe that they can perform at a
Finally, we describe the so what, or outcomes of work particular level (expectancy; defined lower in the goal
motivation in terms of employee optimal function- hierarchy) and that performance will lead to rewards
ing, including well-being, attitudes, and behavior. (instrumentality; strength of connection between a
current goal and higher level goal). Goal-setting
What: A Hierarchy of Goals theory further emphasizes this focus on goal charac-
Across the motivation literature, it is generally ac- teristics by arguing goals should, most of all, be spe-
cepted that employee motivation is made up of the cific and difficult but still attainable. Self-regulation
direction, intensity, and persistence directed toward approaches stressed the importance of goals eliciting
goal pursuit. However, goals are embedded in a hi- a discrepancy between one’s current and desired
erarchy, with much of the why or value of goal pur- states. Such a discrepancy should be large enough to
suit derived by considering goals and outcomes at be detected but not too large for people to abandon
levels higher in the goal hierarchy and much of the the goal. Self-regulation approaches also argued
how of goal pursuit derived by considering goals at goals can be arranged in hierarchies such that the
lower levels. Both the content and the characteris- achievement of lower order goals is a means by
tics of goals higher in the goal hierarchy matter for which higher order goals are achieved.
deriving value. While behaviorism simply contends Building on this work and the ideas of others, we
people strive to obtain rewards or avoid punishments, agree that the content and characteristics of goals
Maslow (1943) argued that what employees consider or  “internal representations of desired end states”

VAN DEN BROECK, CARPINI, AND DIEFENDORFF 515

(Austin & Vancouver, 1996, p. 338) can be captured research may be inspired by the suggestions of Eyal
in a goal hierarchy. People can pursue multiple goals, and Liberman (2012) that SDT’s intrinsic goals
which can be organized next to each other. Moving (e.g., altruism) are more abstract in nature than
from top to bottom, desired goals move from being extrinsic goals (e.g., promotion) and therefore are
abstract to more concrete (Vallacher & Wegner, 1989). less likely to be pursued because intrinsic goals are less
Various labels have been used to term the different specific, although they are highly desirable from an
levels (Austin & Vancouver,  1996): Some consider organismic perspective.
goal levels to range from movements to actions and
intellectual problems to metacognitions (Frese & How: Self-Regulation and Resource
Zapf,  1994), while others prefer to consider tasks, Allocation
project goals, identities, possible selves, and values at The early motivation perspectives described above
different levels in the hierarchy (Unsworth, Yeo, & paid little attention to self-regulation: While behav-
Beck, 2014). In general, however, moving up the hi- iorist explicitly refrained from considering internal
erarchy increases the value and meaning of the out- processes, Maslow and VIE predominantly focused
come, whereas moving down increases a focus on on the selection of goals. Goal-setting theorists
behaviors and reveals differences in goal difficulty started paying attention to goal regulation by con-
(and expectancy evaluations) (Vallacher & Wegner, sidering the role of subgoals, action plans, and feed-
1987). Realizing outcomes at the lower level con- back (Latham & Locke, 1991). However, only after
tributes to achieving higher order goals. the mainstream adoption of self-regulation theories
Which outcomes are prioritized over others and did research on the process of goal regulation and
at which level depends on the individual’s percep- resource allocation start to receive a lot of attention.
tions of goal expectancy, value, and discrepancy, as We contend that these different views on self-­
well as the degree to which particular outcomes help regulating behavior can be organized into macro and
achieve multiple higher or lower order goals or goals micro levels. First, at the macro level, self-regulation
that are more closely related to one’s self (Unsworth may be described in relatively broad terms, such as
et al., 2014). As an example of the latter, a professor when people engage in particular behaviors because
may write a book chapter rather than an article both of external, introjected, identified, or intrinsic moti-
because he or she can use it as teaching material and vation as stated by SDT (Gagné & Deci, 2005), have
because the chapter counts as a publication, while mastery or performance goals as described in achieve-
also closely aligning with his or her value of spread- ment goal theory, or are guided by a promotion or
ing knowledge. prevention focus as becomes evident from regulatory
Although several integrative goal frameworks focus theory. The macro perspective is thus mostly
such as the one presented here have been previously concerned with the content of why people pursue a
developed (Austin & Vancouver, 1996; Kruglanski particular goal, or rather how people frame the ac-
et al., 2002; Unsworth et al., 2014), several scholars tivities for which they strive (Reeve, 2014). Second,
have been critical of the literature. For example, at the micro level, self-regulation describes relatively
Cacioppo and Bernston (1995) noted, “the sheer more fine-grained processes such as self-control, re-
magnitude of this body of research is associated source allocation, and discrepancy monitoring and
with a certain danger. Heterogeneous perspectives reduction. These self-regulation processes reflect
can generate a large body of facts, an excess of vocab- both the structural and the phase-oriented nature of
ulary, and numerous microtheories,” and Spaulding behavioral regulation (Diefendorff & Lord,  2008)
(1994) advocated that “organizing this knowledge of included in control theory (Carver & Scheier, 1998),
goals across domains is as vital as understanding action theory (Frese & Zapf, 1994), resource alloca-
each domain in isolation” (in Austin & Vancouver, tion theory (Kanfer & Ackerman, 1989), and social
1996, p. 338). As is evident in our own review of the cognitive theory (Bandura, 1989). Generally speak-
literature, we believe these critiques are still valid in ing, these theories assume a feedback loop during
the early 21st century and encourage scholars to task engagement: Employees direct and focus atten-
integrate the processes of goal selection (choice) tion on themselves, monitor the specific aspects and
and goal striving in theory-building and empirical consequences of their behavior, and evaluate whether
research. In particular, research combining different it brings them closer to their desired goal. If a behav-
goal contents and characteristics would be useful ior does not bring employees closer to a desired goal,
in building and testing theory. For example, such employees will aim to understand what changes are

516 WORK MOTIVATION: WHERE DO THE DIFFERENT PERSPECTIVES LEAD US?

necessary to reach the desired state and modify their Where and When: Personal and Contextual
behavior accordingly. The required changes may be Antecedents of Motivation
simple (e.g., exerting more effort, abandoning the The perspectives focusing on goal choice and goal
goal) or more complex (e.g., developing a new plan, striving mentioned above identified different ante-
revising the goal). Following the modified behavior, cedents of motivation. Behaviorism paid particular
employees reassess the discrepancy between the cur- attention to the external environment, which ad-
rent and desired states, repeating the cycle until the ministers rewards and punishments, while Maslow
desired state is reached. Once the desired state is looked at internal antecedents of motivation in
achieved, an employee will select a new goal and the terms of needs. This early research thus set the stage
process restarts. to consider both the environment and the charac-
Combining these different perspectives on goal teristics of the employees themselves as antecedents
regulation may be a fruitful avenue for future re- of work motivation. The VIE theories maintained
search. Some studies already integrated the internal- that value, instrumentality, and expectancy were all
ization process of SDT with achievement goal theory determined by internal (e.g., values) and external
(Vansteenkiste, Lens, Elliot, Soenens, & Mouratidis, (e.g., ability) factors, while TPB contended that at-
2014) and recent measures assessing SDT’s different titude, perceived behavioral control, and subjective
types of motivation pay some attention to the role norm found their origin in behavioral, control, and
of approach and avoidance motivation, which is normative beliefs, respectively. Goal-setting theory
closely linked to regulatory focus theory. Additionally, furthermore considered personal and situational
we also suggest that macro- and microprocesses antecedents of goal level and goal commitment, for
are closely intertwined. The macro-level, regulatory example, in terms of prior performance and self-
processes shape the overall amount of resources efficacy and task complexity and task difficulty, re-
available with downstream implications for micro- spectively. It also pointed toward the importance
level regulatory processes. When ample resources of feedback, which was also key in self-regulation
are available, employees have the necessary resources theories. Finally, SDT pays considerable attention
available for micro self-regulation processes (Kanfer to the antecedents of motivation because it explic-
& Ackerman, 1989); however, when insufficient re- itly aims to study “the biological, social and cul-
sources are available, then microprocesses are likely tural conditions that either enhance or undermine
to be attenuated. However, it should be noted that the inherent human capacities for psychological
not all self-regulatory processes require resources growth, engagement and well-being” (Ryan &
and some may be performed without the aid of con- Deci, 2017, p. 3).
scious attentional resources (DeShon, Brown, & Much in line with Lewin’s paradigm that behav-
Greenis, 1996). In addition, some macro-regulation ior is a function of the person and the environment,
processes consume considerable resources. For ex- based on the overview of the key theories in the mo-
ample, externally regulated employees may be busy tivation literature, we contend that motivation may
with the opinions of others rather than the task at thus be determined by both the internal and the ex-
hand or their goal-striving process, while introjected ternal environment. The personal antecedents may
regulation employees may feel threatened by focus- range from fixed characteristics (e.g. gender, age) to
ing on their shortcomings. The negative emotions stable traits (e.g., Big Five) and momentary states
that are paired with these types of controlled moti- (e.g., emotions). Environmental characteristics may
vation may furthermore elicit a state orientation vary from one’s specific task and jobs to organiza-
rather than an action orientation (Kuhl,  1985). tional features and beyond. Modeling the antecedents
Identified and intrinsic motivation relate to positive of employee motivation in this framework allows us
emotions and concern a focus on the task itself and to include theoretical traditions in the job design
one’s relation with the task instead of a focus on literature, person–organization fit, and justice. These
others or one’s self-esteem. Therefore, these types of are motivational in nature (Locke & Latham, 1990),
motivation allow employees to invest more resources but are exogenous to the core motivational processes
in the task and in the regulation process. Future re- of goal choice and goal striving (Grant & Shin, 2012).
search may want to test these assumptions and ex- These frameworks are not used to explain employee
amine the micro self-regulations processes associated motivation per se, but aim to explain organizational
with holding mastery versus performance goals and/ behavior in general. Therefore, they were not in-
or an approach versus avoidance orientation. cluded in the key motivational theories in the first

VAN DEN BROECK, CARPINI, AND DIEFENDORFF 517

part, but are included here to describe the antecedents the distributed outcomes. Because this may not
of employee motivation. always be achieved (or preferred) in organizations,
Job design theories have pointed at the impor- procedural justice also became important, which
tance of job characteristics for employee motivation. referred to the process by which outcome alloca-
Hackman and Oldham (1976), for example, mod- tions are made. Finally, interactional justice was
eled variety, task identity, task significance, auton- developed as an extension of procedural justice. It
omy, and feedback for employees to see meaning in entails both interpersonal and informational justice,
their jobs, feel responsible, and have knowledge of referring to the respectfulness and politeness of the
their results. These critical psychological states, in communication and the truthfulness and adequacy
turn, give rise to internal motivation, as well as of explanations, respectively (Cohen-Charash &
other outcomes such as performance and turnover. Spector, 2001; Colquitt et al., 2013).
Later developments—mostly in western Europe— These three types of justice inversely relate to em-
included the social dimension of job design and ployee motivation in terms of intrinsic and extrinsic
included support from colleagues or supervisors satisfaction (Cohen-Charash & Spector, 2001), espe-
(Grant & Parker, 2009; Karasek, 1979). They fur- cially when people feel they are not getting what
thermore added the perspective that jobs may have they deserve. Receiving more than one’s fair share
not only motivating features, but also demanding seems less problematic (Kanfer & Chen,  2016).
characteristics that may activate and challenge em- Although justice is considered a motivational con-
ployees (Crawford, Lepine, & Rich, 2010; Karasek, struct, research has moved away from the study of
1979; van den Broeck, de Cuyper, de Witte, & motivation and shifted its attention toward social
Vansteenkiste, 2010), but can also be demotivating exchange and affect as mediating processes (see, for
and cause stress (Demerouti, Bakker, Nachreiner, & example, the meta-analysis of Colquitt et al., 2013).
Schaufeli, 2001; Siegrist, 1996). A recent meta-analysis, however, showed its relevance
At the team level, both supervisors and team as an antecedent of need satisfaction (van den Broeck
members are important. Supervisors or leaders play et al.,  2016), which calls for more research on the
important roles in satisfying employee needs, for impact of justice on employee motivation.
example, through servant (Mayer, Bardes, & Piccolo, Furthermore, we include person–environment fit
2008) or autonomy-supportive leadership (Deci, as an antecedent of employee motivation. Employees
Connell, & Ryan,  1989). Transactional and trans- may feel a fit or compatibility with various aspects
formational leaders may equally stimulate employee of organizational life (e.g. values, needs and abilities)
motivation (Judge & Piccolo, 2004), for example, and at different levels (e.g., their job, group, supervi-
by setting specific, task-related versus highly involv- sor, or organization) (Kristof, 1996; Kristof-Brown,
ing visionary goals, respectively (Berson, Halevy, Zimmerman, & Johnson, 2005). Meta-analytic re-
Shamir, & Erez, 2015; Deichmann & Stam, 2015) sults indicate that fit associates with attraction to
or enhancing leader member exchange (Martin, the organization and job pursuit intentions among
Guillaume, Thomas, Lee, & Epitropaki, 2016). Team applicants (Chapman et al., 2005; Uggerslev et al.,
members may equally satisfy each other’s needs 2012) and need satisfaction among employees
(Jungert, van den Broeck, Schreurs, & Osterman, (Greguras & Diefendorff,  2009; van den Broeck
2017) or enhance motivation by setting behavioral et  al.,  2016), which suggests that it may also be
norms (Armitage & Conner, 2001) or increasing goal ­relevant for other motivational processes.
commitment when goals are made public (Klein An area that also received little attention in the
et al., 1999). Group norms and team climate may motivation literature is how structural aspects of the
also have an impact (Chen & Kanfer, 2006; Parker organization may influence employee motivation.
et  al.,  2003), as was already shown in the famous Human resources (HR) practices, for example, are
Hawthorne studies (Mayo, 1949). Teamwork design, intended to allow organizations to make most of
including team autonomy and team independence, their human capital (Jiang et al., 2012) and thus aim
may equally impact action processes and efficacy to strengthen not only employee knowledge, skills,
(Courtright, Thurgood, Stewart, & Pierotti, 2015). and abilities, but also their motivation, because all
Also, justice plays a role. Starting from Adams’s are necessary for employees to perform (Iddekinge,
equity theory (Adams, 1963), scholars defined three Aguinis, Mackey, & Deortentiis, 2018). However, to
types of justice in organizations. Distributive justice date, the relationship between HR practices and em-
or the fairness of the outcome is closely linked to ployee motivation remains poorly understood. Some
equity theory because it describes the equitability in studies indicate that HR may influence fundamental

518 WORK MOTIVATION: WHERE DO THE DIFFERENT PERSPECTIVES LEAD US?

motivational processes such as need satisfaction feeling pressured or vulnerable, developing negative
(Marescaux, de Winne, & Sels, 2012) and goal set- attitudes, and engaging in defensive, deviant, or
ting (Shantz & Latham, 2011), but more research is compensatory behaviors (Vansteenkiste & Ryan,
necessary to understand the motivational potential 2013). Whereas the key perspectives in the motiva-
of HR practices. Interestingly, different theoretical tion literature generally examined a narrow set of
perspectives may lead to competing hypotheses about outcomes, we would like to invite motivation schol-
the effectiveness of particular HR practices such as ars to examine the differential impact of the various
pay. The debate regarding whether pay increases or motivational processes on the different facets of op-
decreases employee motivation as advanced in the timal functioning. In sum, the motivation literature
realm of reinforcement theory and SDT, respectively, addresses different aspects of employee motivation
is ongoing, as mentioned above. pertaining to goal choice and goal striving and sheds
light on both the antecedents and the consequences
For Which Outcomes: Well-Being, of these motivational processes. Admittedly, our
Attitudes and Behavior overview is not exhaustive, because it arguably in-
Across history, the different traditions in the motiva- cludes only commonly investigated theoretical
tion literature also highlighted different outcomes. perspectives on employee motivation. The heuris-
Behaviorism explicitly distanced itself from internal tic conceptual framework presented here includes
processes and only examined overt behavior. Maslow many more relationships with implications for em-
(1943), in contrast, brought back the attention to ployee motivation within and between the catego-
internal processes and stimulated Herzberg (1968) ries of antecedents, goal choice, goal striving, and
to formulate his two-factor theory predicting satisfac- consequences than could be mentioned here.
tion and dissatisfaction at work. While behaviorists Motivational antecedents influence goal choice and
were focused on behavior (i.e., employee perfor- goal striving, and the latter processes influence the
mance), Maslow brought employee well-being to outcomes. However, there are plenty of reciprocal
the fore. Value–instrumentality–expectancy theory relationships, for example, when high performance
furthermore added choice behavior and TPB allowed (outcome) increases self-efficacy (goal regulation)
researchers to pay attention to behavioral intentions and the selection of more difficult goals (goal
(such as turnover intentions) apart from actual behav- choice) or when the formulation of action plans
ior. Goal-setting theory again paid most attention (goal regulation) influences employees’ personality
to performance. Job satisfaction was only considered (antecedent).
a byproduct of high performance (Locke & Latham, The motivation literature is vast, and yet much
1990). Self-regulation theories also focused on goal remains to be done (Diefendorff & Chandler, 2011;
achievement, but added a perspective on emotions. Kanfer et al., 2017). Some of the challenges are to
Self-determination theory again broadens the scope further articulate the role of time (including the life
because it explicitly focuses on predicting psycho- span), to study motivation at different levels (from
logical growth, integrity, and well-being (Deci & the event level to the individual level to the team
Ryan, 2017). level), to pay closer attention to the role of context
Based on this literature, we like to consider opti- (e.g., how individual motivational processes are
mal functioning the ultimate outcome of employee shaped by taking place in different team situations),
motivation. Some authors defined optimal function- and to attend to the interplay of implicit and explicit
ing as “a human being’s maximal level of develop- motivations (Baumann, Kaschel, & Kuhl,  2005;
ment, operationalized using behavioral and w ­ ell-­being Bing, LeBreton, Davison, Migetz, & James, 2007).
indicators” (Gagné & Vansteenkiste, 2013, p. 63), Suggestions for future research are provided else-
whereas others added a cognitive component where and will not be reiterated here (see Kanfer &
(Fredrickson, 2004). Optimal functioning at work Chen, 2016; Kanfer et al., 2017). However, one of
can therefore be defined as the manifestation of intra- the most important challenges for the motivation
and interpersonal growth and development in terms literature is its fragmented state. As a result of this
of employee well-being (e.g., positive emotions and fragmentation, the literature lacks a comprehensive
vitality), attitudes (e.g., positive attitudes toward understanding of how various micro-theories relate
others and the organization), and behavior (e.g., to one another. We encourage scholars to theorize
performance, proactivity, and collaborative behav- and test more complex motivational paradigms that
iors). The antidote of optimal functioning then be- build, extend, and integrate theories from across the
comes evident from psychopathy (e.g., burnout), discipline.

VAN DEN BROECK, CARPINI, AND DIEFENDORFF 519

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 P A R T 
8
Epilogue
 CH A PT ER

28
Envisioning Progress and Perils
Musings on the Future of Motivation Research in a
Rapidly Evolving World

Richard M. Ryan and Emma L. Bradshaw

Abstract

This final chapter reflects on the rich contributions within this Handbook of Human Motivation on
diverse topics including self-regulation, biological mechanisms, awareness, defensiveness and
oppression, and the facilitation of engagement, learning, and behavior change. These processes are
examined within broad theoretical frameworks, as well as in specific domains such as close
relationships, physical activity, work, education, and psychotherapy. Building on these contributions, the
chapter projects forward in time to ask the question of whether future scientists and practitioners will
think these authors from the early 21st century were asking the right questions. The chapter includes
speculation on how developments in technology, research methodologies, big data, and globalization,
among other trends, will reshape the science of motivation not only in its focus and efficacy, but also in
its ethics and applications to the formidable problems likely to be faced by our species on a warming
and crowded planet.
Keywords:  human motivation, psychological science, diversity, global trends, interdisciplinary research

The introduction to this handbook highlighted the defensiveness, objectification, and oppression; and
historical turn within the field of motivation, from facilitating interest, choice, learning, and curiosity.
a near-exclusive focus on external sources of control These processes are examined within domains
over behavior, to a concern with the contents of such as close relationships, sport and physical
the “black box”—the psychological experiences, ­activity, work, education, and psychotherapy. These
processes, and mechanisms through which behavior contributions thus exemplify motivational science
is mediated. Far from being a mistaken route to sci- in the 21st century, in which a deeper understand-
entific knowledge, the study of the black box has ing of both mind and mechanisms is playing a
not only revealed core elements of our human ­significant role.
nature; it has also provided roadmaps for how to By going inside the black box, we increase our
design interventions to optimize people’s health, appreciation of human commonalities as well as
wellness, and communities. That is, these inner me- variations. Common mechanisms proposed within
diators, both biological and psychological, describe this volume included structural elements in moti-
us as creatures, shed light on why we do what we do, vation, such as the role of feedback within self-­
and ultimately provide keys to the organization of regulation, the universal contributions of specific
behavior and behavior change. Chapters within this brain systems to the two defining elements of moti-
second edition of The Oxford Handbook of Human vation, namely, energization and direction, and the
Motivation include research on multiple internal importance of high-quality relationships to resilience
mediators, focusing on topics such as enhancing and wellness. We also see that across varied develop-
self-efficacy, self-regulation, and awareness; decreasing mental and cultural backdrops there are common

527
needs for competence and relatedness and, perhaps Yet as a science of what moves people to action,
more controversial, autonomy. Amid such univer- ­understanding this interface is of the utmost import
sals, however, research on the inner processes and because new technologies are affecting our lifestyles,
mechanisms of motivation reveals significant varia- attitudes, and behavioral options in myriad ways,
tions, both within and between groups of people. both positively and negatively (Calvo, Vella-Brodrick,
Understanding these moderators of general ­principles, Desmet, & Ryan,  2016). In addition, our use of
whether they be gender, culture, or more nuanced technologies as researchers opens up new frontiers
genetic and epigenetic differences, is critical to our in both information gathering and ethical challenges.
basic and applied motivational science.
Although the science of motivation has become New Devices, New Behaviors
more complex, it is still far from unified. The prob- Let’s consider technologies already rising within our
lems and perils of motivation can be viewed through horizons. In the near term, people will increasingly
very different lenses. In fact, differences are not just be living within, and relying on, augmented realities;
apparent at theoretical levels—there are different virtual elements will more regularly become part of
metatheories underlying these perspectives, from our perceptual fields. Accompanying this, electronic
the purely mechanistic to the organismic, even implants will very soon allow us to operate devices
within the current volume. The clashes between through thought alone, often allowing effortless
such different perspectives do indeed sometimes fulfillment of intentions. Moreover, we may not
generate heat, but with heat also comes light. In even need to think at all. The likelihood is high that
our view, the very nature of the dialectic of science artificial intelligences will make many of our deci-
requires conflict and consequent attempts at syn- sions for us, from driving our cars to anticipating
theses to resolve those conflicts within more over- our biological and psychological needs. Our social
arching theoretical accounts. relations will increasingly be mediated by social
media, and many of us will traverse a world in
Into the Future which personal information will be accessible to
Having begun this volume with a description of the strangers, even as they first encounter us.
transition from 20th-century thinking to contem- Such changes are just a few of the many we can
porary ideas, in the closing of this handbook we readily imagine, because these changes are already
pause to consider what the future of this field might unfolding. These varied technologies represent exten-
hold. Forecasting is a hazardous function. Consider sions of human capacities and all can be harnessed to
that the greatest scientists of the 20th century could help fulfil our goals, purposes, and needs. Accordingly,
not have been more wrong about what the future they also pose dangers insofar as they can lead to
would hold; Freud, Skinner, Pavlov, Hull, and other unreflective actions, consumerism, alienation from
seminal figures of the past envisioned sciences that others, distortions of priorities, and numerous other
have not come to pass. So, it often seems that even issues of self-regulation and wellness.
those closest to a particular problem may not see the Despite the lack of synchrony between the pace
future accurately. Indeed, in 1901, Wilbur Wright— of motivation research and that of technological
of Wright brothers’ fame—told his brother Orville progress, future researchers will nonetheless look
that a successful flight was 50 years away. Just 2 years back to us, much as we have to those before us in
later, they took to the skies. Nonetheless, we shall the history of motivation science, to see how we
venture into this dangerous territory with some addressed questions concerning our coexistence
speculations, some extrapolating from what we have with emerging technologies. Many of these ques-
learned in this edition and some based only on our tions are straightforwardly motivational in nature:
armchair guesses. So here goes . . . For what purpose will we use these technologies?
How will their use affect us? How can we use moti-
Technology, Human Experience, vational design to enhance the effectiveness and
and Motivation Science phenomenological smoothness of technologies and
Most striking in our vision of the future of the augmentations? How can we regulate the seductions
motivation field is the likely impact of the technol- of new media and technology and better recognize
ogy explosion on societies, individuals, and even and avoid their harms? How can we understand
the methods of our science itself. Psychological sci- motivational ethics in our use of technologies to
ence has only recently been explicitly grappling inform and persuade? Questions such as these high-
with the issues of the human–technology interface. light the need to attend to and understand human

528 musings on the future of motivation research

technology interfaces as they exist now and as they and ethics. The future of motivational psychology
will evolve in the future (Calvo & Peters, 2014). will certainly be intertwined with that of big and
little data harvesting and the methods we use that
Embodied Thinking can be used both for good and for exploitation.
Something most all of the chapters in this second This “macro” reach of big data science is perhaps
edition have in common is a perfectly sensible outstripped only by our increasing micro reach. We
emphasis on embodied motivation. However, if cur- have tools to noninvasively dig into the black box
rent endeavors to create incorporeal cognitive stor- such as functional magnetic resonance imaging,
age systems are successful, disembodied intentions functional near-infrared spectroscopy, and event-
and behaviors and their underlying motivations will related potentials, methods used by authors within
be a new domain of study. If we can upload our this volume to explore motivational dynamics (e.g.,
thoughts, memories, and intentions to the cloud, Carver & Scheier,  2019, Chapter  3; Reeve &
the loss of temporal distance from our experiences Lee, 2019, Chapter 20; Quirin, Tops, & Kuhl, 2019,
will likely have new consequences for the empirical Chapter  22; Ryan, Ryan, Di Domenico, & Deci,
study of motivation. For example, often we acquire 2019, Chapter  6). The future (we personally hope
distance from need-thwarting situations or from ex- this is soon!) will clearly be bringing us new imaging
posure to conditioned reinforcers, and this distance techniques that are enhanced both in their temporal
leads to increased feelings of psychological and resolution (better at following events over time) and
emotional security and/or extinction of previously in their depth (better able to assess deeper brain
reinforced patterns. How will our behavior be structures) so that brain systems can be tracked
shaped when less buffered by the gift of time? What rather than just localized activations. Similarly, car-
if we can access memories, skills, and abilities from diovascular dynamics (e.g., see Gendolla, Wright, &
our pasts and experience them like they happened Richter, 2019, Chapter 21) will be able to be better
today? Possibilities such as these have important coordinated with brain dynamics, with beat-to-beat
implications for theory discussed in this handbook. analyses framing patterned neurological changes.
As just one example, Sedikides and Alicke (2019, Technologies, some already widely available, can be
Chapter 17) point to the self-enhancement process designed to simultaneously and nonintrusively
by which we are prone to poorly recall our failings collect psychophysiological metrics such as heart
compared to our merits; this and other robust moti- and respiration rates, heart rate variability, skin con-
vational effects associated with memory may need ductance, energy expenditure, and neurological
to be reimagined and newly operationalized under dynamics—all of which have links to motivation.
these developing conditions. The more temporally refined our analysis of biologi-
cal events, the more readily these can be coordinated
Technology and Innovation Within with phenomenological and structured self-reports,
Our Science implicit methods, and behavior observations into a
The issue of technology use, and its promises and richer and more exacting map of the contingencies
perils, is not just an object for our study; it also and dynamics inside the black box.
represents a concern that applies within our scien- Connecting these dots between neuroscientific
tific practices. For example, even as we write this progress and ideas associated with disembodied
text, the world is embroiled in controversy about motivation, we are inclined to also consider con-
the harvesting of personal information from social cepts theoretically situated deep within the black
media by big data companies and its use to manipu- box in a different way. Following from Thrash,
late and control behavior, from voting to consump- Wadsworth, Sim, Wan, and Everidge’s (2019) dis-
tion. These organizations are harnessing our own cussion of conscious and unconscious motives in
psychological science: applying at scale the con- Chapter 11, we too are led to think of Freud. Several
structs and statistical techniques that we researchers chapters in this edition emphasize the role of non-
develop and then combining them with the power conscious processes in motivation (e.g., see Custers,
to effectively gather the varied strands of biography Vermeent, & Aarts,  2019, Chapter  15), but as we
available on the Internet to profile and target indi- dive deeper into the black box using increasingly
viduals without their knowledge or consent. Such sophisticated neuroscientific tools and link them to
events highlight how we have more responsibility the potential creation of disembodied cerebral stor-
and power than our profession has to date acknowl- age systems, we may edge ever closer to making the
edged, without having yet articulated basic principles unconscious conscious. Given the supposed power

RYAN AND BRADSHAW 529

of the unconscious in motivation, any increase in its Health practitioners want to “nudge” people to
availability would swing the door wide open to the behaviors they favor. Everywhere in the world,
knowledge about its impact on our species. entities are competing for that greatest of finite
There are challenges and ethical issues at this ­resources: human attention.
micro interface as well. As we better understand the In the center of this push and pull is the question
interplay of brain systems, we also grow in the ca- of human volition. How much is it “open season”
pacity to intervene not just psychologically, but also on the exploitation of human urges, preferences,
surgically and pharmacologically. We will know and needs? Is there some limit to how deep manipu-
how to contain, control, and amplify all kinds of lations should go in the lab and in the field? For
human attributes, mental states, and capacities. To example, at one time, media regulatory agencies in
the extent that we manipulate and experiment with multiple countries attempted to ban the use of sub-
human motives, to what degree do we disrupt liminal stimuli within advertisements on television,
human nature and its diversity? Will we be supress- a movement that faded because such techniques
ing and redirecting existing diversities or interfering were thought to be ineffective. But the idea that one
with those that could arise? These are practical and could exert influence outside a person’s awareness
normative questions for motivational science in the without his or her consent remains a fundamental
present, because a future must build on them. issue. What are the analogous limits in the early
21st century to intrusive data collection and/or the
New Methods, New Questions targeted manipulation of individuals’ sentiments,
Reviewing the creative inquiries presented in this attitudes, and behaviors? How much should our sci-
handbook, one is struck by the increasing method- entific knowledge be used to maximize productivity
ological sophistication in the field. Multilevel and with whose benefit in mind? So far, as a science
modeling, growth curve analysis, person-centered we seem to be open to nearly all uses, and abuses, of
approaches, and other new analytic strategies open the knowledge base we have uncovered. From con-
up novel questions and provide new insights into sumer seduction to education, our techniques are
human interest, curiosity, fear, and defense. However, out there in action, often without careful reflection.
the complex questions regarding technological prog- Similar questions arise in the face of ostensibly
ress and social change presented here will demand inevitable artificial intelligence. While the jury ap-
commensurate growth in our analytical prowess. pears to still be out with regard to whether artificial
Several chapters in this edition explain that con- intelligences will become conscious, and what our
structs such as flow, curiosity, ego depletion, interest ethical obligations will be if they do, it seems likely
taking, and nonconscious processes could all be that many activities, menial and complex, and even
better explored via the development of more refined whole professions will be taken over by intelligent
measures, going beyond the limitations of tradi- machines. While this is an issue of ethical, eco-
tional strategies such as retrospective self-report, be- nomic, and social significance, it is also important
havioral monitoring, and variable-centered analyses. to the study of motivation. After all, as technology
Similarly, the advent of natural language processing begins to take care of some of our more basic goals,
and analytics provides another opportunity to attain what will we do? Van den Broeck, Carpini, and
less fettered responding and communication styles. Diefendorff’s (2019, Chapter  27) review on work
In addition, enhanced computing power will facili- motivation is relevant here too. When manual labor
tate the use of person-centered methodologies and is largely taken off the menu, what professions will
shed new light on the existence of meaningful we pursue and what will motivate us to choose
­subgroups otherwise overlooked because of the ho- them? In an optimistic view, one can see this social
mogeneity assumption central to variable-centered progress as an opportunity for us to invest ourselves
approaches (e.g., Bradshaw et al., 2019). in intrinsically rewarding, nonmaterial pursuits
such as purposeful work, meaningful relationships,
Motivating People While Respecting Them and healthy, caring communities. In a more dystopian
Our science of motivation is being harnessed, view we might see ourselves become increasingly
it  seems, by everyone. Organizations, schools, apathetic and/or invested in our digital and techno-
command-­and-control organizations, and even the logical worlds to the detriment of our connected-
entertainment industry want to apply motivational ness and vitality. In any view, the worlds of both
science for their varied purposes. Marketers and work and play will be changing in ways motivational
nonprofits alike want to know how to open a wallet. science will need to catch up with.

530 musings on the future of motivation research

Cultural Psychology, Diversity, not only about people within one’s own group, but
and Motivation Research also “different others.” In fact, research into the mo-
This discussion of human and technology interac- tivational processes underpinning orienting toward
tions is situated within the much broader discussion helping strangers (e.g., Martela & Ryan, 2016), civic
of global economies, cosmopolitism, and the shared duty (Wray-Lake, DeHaan, Shubert, & Ryan, 2019),
and unshared aspects of culture. In Chapter  2, societal issues (Randle, Eckersley, & Miller, 2017),
Schunk and Usher (2019) emphasize the centrality and making the world a better place (Bradshaw
of environmental cues in social learning, and et al., 2019; McFarland, Brown, & Webb, 2013) sug-
Scholer, Cornwell, and Higgins (2019, Chapter 4) gests that finding ways to expand people’s breadth
focus on cognitive orientations toward promotion of care to include increasingly distal others can be
or prevention. As cues and social emphases arise and psychologically beneficial to the actor as well as the
evolve and are readily accessible across cultural lines, recipient of care.
how will we change? Although we have focused mainly on the increas-
This question is particularly salient with regard ing sophistication of our research tools and techno-
to gender and ethnicity, given increased feminization logical capacities, we should note that in our future
and multiculturalism in motivation research. In we can anticipate new human problems as well, re-
the mid-20th century, mainstream research and garding which issues of human motivation are key.
theory were dominated by Western male theorists For example, it is clear to all but a few deniers that
(with some notable exceptions such as Ainsworth, our tiny earth is suffering under our own weight.
A. Freud, Maccoby, Loevinger, and J. Spence). It is We are crushing our planet with our populations
already clear that women’s voices have become more and our consumption. Motivational studies can aim
salient in the future, and this may, and hopefully at the heart of our seemingly unquenchable desires
will, change some of the field’s substantive focus and at the distinction of these appetites between
and sensibilities. what we merely want and what we need. We can
Similarly, the prevalence of Western samples has wonder, and should wonder, aloud whether our sci-
been thought to limit the generalizability of results, ence of motivation will be used more to manipulate
but technology has quickly eroded this problem preferences and market more consumption or can
within modern cultures because we now can sample be harnessed to help us curtail our damaging over-
and retest ideas broadly and quickly. Yet, simply reaches and perhaps instead cultivate and appreciate
having diverse samples for research does not fully the goods that will not hasten our demise. It seems
address the problem. If the questions we ask are many motivational psychologists already agree that
themselves culturally framed and conditioned (as materialism is addictive, but not a key to happiness
we know they are), they can obscure alternative (see Dittmar, Bond, Hurst, & Kasser, 2014).
cultural viewpoints and concerns. For example, Indeed, our motivation to improve the world
much Western-framed research is focused on out- for ourselves and for others will become central as
comes such as growth and achievement, rather we address a changing landscape of existential risk.
than being and belonging. The very focus on these Streams of science dedicated to solving the so-
outcomes represents a type of bias that shapes not called problem of death, using either technological
only research but also the priorities of interven- or biological means, are gaining momentum.
tion. We hope the future of our field will increas- Given that mortality awareness is thought to be a
ingly embrace reciprocal forms of inquiry and uniquely human characteristic and a source of mo-
greater participant involvement in the research itself tivation for our species (see Pyszczynski, Kesebir, &
(see Craven et al., 2016). Lockett, 2019, Chapter 5), prolongation of life will
Even as motivation researchers focus on cultural have important consequences for our science in
and ethnic variations and diversities, issues of terms of goal setting and pursuit, physical activity
common humanity may become more salient. and work, interests, curiosity, and more. If we are
Multicultural studies will need to emphasize the here forever, or even just for much longer, questions
role of group identifications in personality and mo- of what we do and why will need to be newly
tivation, as well as the processes associated with tol- ­answered.
erance and acceptance across a species noted for its
evolved sensitivities to differences. Regulation of Our Interdisciplinary Future
these sensitivities and implicit biases will be central Psychology represents an important coalescence of
to broadening people’s scope of concern to caring sciences. Our theories are influenced by neuroscience

RYAN AND BRADSHAW 531

and its underlying physics, while our findings are Gendolla, G.  H.  E., Wright, R.  A., & Richter, M. (2019).
informed by philosophy, evolutionary studies, eco- Advancing issues in motivation intensity research: Updated
insights from the cardiovascular system. In R. M. Ryan (Ed.),
nomics, and sociology. Within psychology, motiva- The Oxford handbook of human motivation (2nd ed.). New
tion science perhaps most sets the pace for this York, NY: Oxford University Press.
­empirical amalgamation of diverse disciplines. Given Martela, F., & Ryan, R. M. (2016). The benefits of benevolence:
the blurred boundaries between psychological, Basic psychological needs, beneficence, and the enhancement
physical, and biological sciences and between indi- of well-being. Journal of Personality, 84, 750–764. doi:10.1111/
jopy.12215
vidual and cultural sociological studies, consilience McFarland, S., Brown, D., & Webb, M. (2013). Identification
is especially critical in the field of motivation science. with all humanity as a moral concept and psychological
The very nature of what moves us to action is mul- construct. Current Directions in Psychological Science, 22,
tiply determined and interactive. 194–198. doi:10.1177/0963721412471346
If anything is clear from our futurist specula- Pyszczynski, T., Kesebir, P., & Lockett, M. (2019). A terror
management theory perspective on human motivation. In
tions, it is that the field of human motivation has no R. M. Ryan (Ed.), The Oxford handbook of human motivation
shortage of problems to investigate, methods to (2nd ed.). New York, NY: Oxford University Press.
refine, and issues to resolve. This second edition of Quirin, M., Tops, M., & Kuhl, J. (2019). Autonomous
The Oxford Handbook of Human Motivation should motivation, internalization, and the integrative self: A self-
give us hope in all these regards, especially if one regulation framework of interacting neuropsychological
systems. In R. M. Ryan (Ed.), The Oxford handbook of human
compares it even with the first edition that appeared motivation (2nd ed.). New York, NY: Oxford University
less than a decade before. Our prowess as researchers Press.
is growing, outpaced only by the concerns we must Randle, M., Eckersley, R., & Miller, L. (2017). Societal and
address as a field and as a species. It is our hope personal concerns, their associations with stress, and the
that when it is time for the 10th edition of this implications for progress and the future. Futures, 93, 68–79.
doi:10.1016/j.futures.2017.07.004
handbook, that generation of scholars will look Reeve, J., & Lee, W. (2019). Motivational neuroscience. In
back and be able to say “they were at least asking the R. M. Ryan (Ed.), The Oxford handbook of human motivation
right questions.” (2nd ed.). New York, NY: Oxford University Press.
Ryan, R. M., Ryan, W. S., Di Domenico, S. I., & Deci, E. L.
(2019). The nature and the conditions of human flourishing:
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532 musings on the future of motivation research

 INDEX

Note: Tables and figures are indicated by an italic ‘t’ and ‘f ’, respectively, following the page number.

A action-outcome learning  272–73 anxiety-buffer hypothesis  71

Aarts, Henk  276, 278, 279 action system  398–99, 399–400 approach–avoidance framework  512
ability Adams, J. S.  518 approach goals  423, 432
in goal implementation theory  511 adjustment to school  447 approach temperament  38
interventions to improve students’ adolescents approach valence  469
views of 450 peer groups for  448 approach vs. avoidance  249, 469
Abraham, C.  21 physical activity motivation for  494, Arndt, J.  71
academic functioning  340 495 Arnold, Felix  159
academic motivation. See Student ADORE. see Goals as Action-Desired artificial intelligence (AI)  528, 530
motivation Outcome Representations ASIP (autonomy-supportive intervention
academic performance tests  257 affect program) 451–52
acceptance, peer group  494–96 approach and avoidance  32 assessment practices  454–55
acceptance and commitment therapy defined 31 assimilation contrast  310
(ACT)  430–31, 433 mechanism of  31 associationistic processing  36
achievement domain  490 positive 33–35 astuteness 252
achievement goal orientation  236 and self-regulatory behavior  31–36 attachment to parents  338–30
Achievement Goal Questionnaire affect-driven influence  270 attainment of goals. See goal attainment
Revised 237 affective consequences  299 attainment value  445
achievement goals  229–41 affective consonance  401, 402 attitudes
achievement goal approach  230 affective consonance production  394, 401 and employee motivation  519
achievement goal theory  230 affective experiences  378 in planned behavior theory  465
and approach–avoidance affective response  211 attribute verifiability  309
distinction 232–35 affective stimuli  270 attribution theory  141
and competence  234–35 affirming the self  125 attrition from sport  488
and competence-based model  238–39 African American children  456 augmented realities  528
conceptual issues in  235–37 age authoritarian parenting style  491
development of  229–30 and friendship quality  495 authoritative parenting style  491
dichotomous model of  230 and goal focus  291 auto-biographical experiences  397.
emerging research in  237–40 AI (artificial intelligence)  528, 530 see also extension memory
future research, directions for  240–41 Ainsworth, M. D. S.  338 automatically-activated motivational
historical overview  230–32 Ajzen, I.  465–67 states 362
measurement issues in  236–37 alcoholism, model of  424 automaticity 433
potential-based 239 Alexander, K. L.  449 autonomic nervous system (ANS)  179
and response bias in measurement  240 Alexander, M. B.  121 Autonomous and Controlled Motivations
student, interventions to improve  451 Alicke, Mark  310 for Treatment Questionnaire  420
and 3 × 2 model  235 alliance fostering therapy  425–26 autonomous motivation
trichotomous model of  233 alliance ruptures  426 autonomy-supportive contexts  95
and 2 × 2 model  233–35 American dream  101 in education  93
achievement goal theory  469–70 Ames, C.  447, 448 and feedback  95
2 × 2 achievement goal perspectives Ames, Carole  230, 236 and feedback, positive vs. negative  95
and SDT 474–75 Ames’s integration  232 in healthcare  93
work motivation in  512 Amorose, A. J.  498, 500 and personality systems interactions
youth sport motivation in  488–89 amygdala  358, 360–61, 366 theory 394
achievement values  450–51 Ancel Joye, I.  383 in psychotherapy  419, 425
Ackerman, P. L.  511 Andersen, S.  259 relational supports  95
ACT (acceptance and commitment Andersen, S. M.  49, 473 and self-determination theory  394,
therapy)  430–31, 433 Anderson-Butcher, D.  498 473, 474
actional phase  295 ANS (autonomic nervous system)  179 in self-determination theory  468–69
action and awareness  170 anterior cingulate cortex  358–59, 361–62 in sport  94
action-oriented mode  399–400. anterior insula  99 in work environments  94
See also action system anxiety, competitive  491 autonomous self-regulation  367–68

533
autonomy 136 Blaga, M.  512 development of  446–47
in basic needs theory  469 Blazo, J. A.  493 and early relatedness  344–45
and choice  137, 144 Bodmann, S. M.  237 and engagement  338
control vs.  149 body image  324 and investment  338
and effort  147 body project  321 and IQ  339
in motivational interviewing  429 Bohn, V. K.  60 other factors in  347
neural mechanisms of  405–7 Boivin, M.  18 and parental beliefs  490
and physical health  138 Bond, R.  21 and relatedness, contextual variations
and self control  125 boredom 171 in 345–47
in self-determination theory  472 Bouquet, C. A.  275 and self-determination theory 
student  451–52, 454 Bowbly, John  69, 78, 337 340–42, 344
and student performance  137 Boyd, J. N.  292 and sense of responsibility to
autonomy support  96 brain glucose  121–22 parents 342–43
autonomy-supportive intervention brain structures  357f and socialization  341
program (ASIP)  451–52 Brehm, J. W.  374 variations in  456
autonomy-supportive leadership Bridwell, L. G.  509 See also student motivation
style  498, 500 brief interventions for student motivation Children’s Research Center  230
autonomy-supportive parenting style  491 and national education policy  455 Chirkov, V.  101
autonomy-supportive practices  347 scaling up  452–53 Choi, J.  93
autotelic experience  169 Briggs, C.  423 choice 135–50
autotelic personality  175–76 Brinkmann, K.  381, 383 and analytic mindset  140
Autotelic Personality Questionnaire  175 Bronfenbrenner, U.  494 and autonomy  144
avoidance goals  423, 432 Brownman, A. S.  49 biological and neuroscience perspectives
avoidance tendencies  423–24 Brumberg, Joan  321, 327 in 140–41
avoidant valence  469 Brunstein, J. C.  420 biological/neuroscience views of  140–41
Brustad, R. J.  489, 491, 493 cognitive views of  138–40
B BTAE (better-than-average effect)  309 cultural differences in  147–49
Balanced Inventory of Socially Desireable Burgess, P. W.  255 and depression  141
Responding 312 Burke, B. L.  70 effects of  143–49
Bandura, Albert  4, 12, 248, 444, 511 Burton, K. D.  476 and effort  146
Barber, H.  493 and environmental factors  136
Barreto, P.  384 C as focal task  145
Barsalou, Lawrence  274 Calogero, R. M.  326, 332 future research, directions for  149–50
basal ganglia  359 Canning, E. A.  451 and individual preference  144
basic behavior  419 Capa, R. L.  275 and memory  139
basic needs theory  469, 514 cardiac preejection period reactivity  381f as motivator  136–43
basic trust  400 caretaker-child interactions  49 and social class  148
Bass, B. M.  498 Carnegie Council on Adolescent and social interaction  142–43
Baumann, N.  404, 407 Development 449 choice overload  147
Becker, Ernest  69, 72, 79, 80 Carnevale, P. J.  258 cholinergic system  180
behavior Carstensen, L . L.  292 chronic accessibility  50
basic 419 Carter, C.  473 cingulate cortex  276
and employee motivation  519 Carver, C. S.  68 Circumplex Scales of Interpersonal
ideomotor 273 Casper, F.  421 Values 420
behavioral construct, in motivation  488 Castonguay, L. G.  425 clarification-oriented psychotherapy 
behavioral restraint  385–86 casual attribution theory  230 431, 433
behavior change  455 causality orientations theory  476 Clarkson, J. J.  121
behaviorism  3–4, 136, 517 Cesario, Joseph  53 classroom practices  447
behavioristic theory  98 challenge-skill balance  173, 174 classrooms, interventions in  452–53,
being in flow  176 challenge-skill relationship  176 455–57
Belk, R. W.  74 change, models of  427–28 climate, motivational  499, 500
benevolent sexism  324 chatoyant notion of the self  393 coaches
Berking, M.  427 Chatzisarantis, N. L. D.  473 factors influencing behavior of  500
Berlyne, D. E.  160, 160f Chen, S.  473 peer leaders vs.  496
Bernacki, M. L.  454 Cheon, S. H.  452 and youth sport motivation  489,
Bern Inventory of Treatment Goals  420t Chicoine, E.  423 497–500
beta-adrenergetic sympathetic impact  376 child development  488 youth sport motivational practices
better-than-average effect (BTAE)  309 children’s motivation for 500
Bhalla, J. A.  492, 494 and academic functioning  340, 343 coach praise orientation  495
big data  529 and attachment to parents  338–40 Coakley, J. J.  495
Billings, Josh  310 and autonomy-supportive coasting 34
black box model  4 practices 347 cognitive construct, in motivation  488
Blackwell, L. S.  450 and capability  338 cognitive dissonance  138

534 Index
 and choice  139 cultural relativism  102 discrepancy-reducing feedback
dissonant motivational state  139 cultural values  101 processes 28
cognitive dissonance reduction. culture discrepancy system  397–98
see affective consonance production and student motivation  456 dispositional flow  175
cognitive mediators  4–5 and youth sport motivation  494 Dispositional Flow Scale–2  175
cognitive modeling  15 curiosity 157–64 distal defenses  71
Cohen, A. L.  255 diverse 159 distributive justice  518
Cohen, J.  423 as for-its-own-sake motivation  159–62 diverse exploration  158
Cohen, P.  423 future research, directions for  164 diversity 531
collective agency  13 instinct of  162 division achievement  15
collective efficacy  22 interest vs.  161 domain-differential view  288
Common Core State Standards  453, 457 personal differences in  162–63 domain-general regulatory focus  49
competence and reduction of novelty/ domain-specific regulatory focus
and achievement goals  234–35 uncertainty 157–59 motivations 50
in basic needs theory  469 specific 159 Domingues, Rholfs  138
defined 234 and wonder  162 dopamine 355
parental beliefs about and self-appraisals Curiosity and Exploration Inventory  162 dopamine pathway. see dopaminergic
of 490 Custers, R.  279 system
in student motivation  444–45 cybernetic approach dopaminergic reward system  399
competence-based model  238–39 defined 27 dopaminergic system  98
competence motivation theory  488, 489 and motivational concepts  29 dorsal striatum  358
competitive anxiety  491 dorsolateral prefrontal cortex  99, 276,
competitive reward structures  448 D 358, 363
competitive youth sports leagues, D’Alessandro, D.  476 Dovido, J. F.  332
friendship in  497 Dang, J  120 Dreher, J. C. 275
concentration 170 data science  529 drive-increasing stimuli  158
Concept Oriented Reading Instruction Davis, N. W.  493 drive theory  136
(CORI) program  452, 454 deactivating emotion  39 DTA (death-thought accessibility
condition-experience model  172–73 death-thought accessibility hypothesis hypothesis)  71, 74
confirmatory factor analyses  51 (DTA)  71, 74 dual process models  476
Connell, J. P.  444 Deci, E. L.  425, 489 Duda, J. L.  490
Conner, M. T.  467 Deci, Edward  90, 92, 94, 286, 337 Dufour, A.  275
contextual-level motivation  473 declarative memory  141 Duval, S.  68, 81
control deKnop, P.  499 Dweck, C. S.  450, 454
in planned behavior theory  465 delay of gratification  257 Dweck, Carol  230, 249, 290, 384, 444
sense of  170 delegation hypothesis  255 Dworkin, A.  322, 323
in student motivation  444–45 Delgado, M. R.  140 Dwyer, L. A.  419, 425
controlling coach behaviors  498 Dembo, T.  232 dynamic casual modeling  407
controlling form of motivation  489 denial of autonomy  322 dysphoria 383
controlling motivation  468 denial of subjectivity  322 dysphoric individuals  383
controlling parenting style  491 DeNisi, A.  512
control theory  511 departmentalization, in secondary E
co-objectification 330 school 449 eagerness  48, 54
cooperative reward structures  448 depression 35 early sport sampling, specialization vs.  494
Cordray, D. S.  452 and choice  141 eating habits  199
core self  400 and emotional reactivity  39 Ebbeck, V.  497
CORI (Concept Oriented Reading mental contrasting  253 Ebner, N. C.  285, 291
Instruction) program  452, 454 and personal goals  423, 424 Eccles, J. S.  445–46, 449, 453, 490, 491
Corker, Katherine  53 and self-integration  400 ecological systems model  494
Cornwell, J. F. M.  58 well-being therapy in treatment of  430 education 443–57
correspondence of content  193 descriptive studies  488 future research, directions for  455–57
cortisol 179 desire to approach success  232–33 motivation-related interventions
Cosmides, Leda  89 desire to avoid failure  232–33 in 450–55
Côté, J.  493 Destin, M.  49 school’s influence on motivation
course content  453–54 Dewey, John  159, 160 in 447–48
Cox, Cathy  78 didactic instruction  15 and school transitions  448–50
Cox, W. M.  424 Di Domenico, T.  91, 99, 368, 406 source of student motivation in  444–47
Crits-Christoph, P.  425 differential expectancies  308, 312 effort 146
cross-domain relationships, differentiated view  231 and autonomy  147
with coaches 498 difficulty law of motivation  374 and choice overload  147
Csikszentmihalyi, Mihaly  80, 81, 170, dimensions of well-being  430 and difficulty  379f
171, 173 Dinnerstein, Dorothy  324 effort control  36, 38
cultural psychology  531 discrepancy-enlarging feedback loops  28 effort mobilization  255, 373

Index 535
effort-related cardiovascular response  376 European American children  456 fit, of personal goals  422
egalitarian goal  277 Evans, J.  495 fixed mindset  444
egocentrism 310 Every Student Succeeds Act  453, 457 flexible tenacity  260
ego control  403 exercise and physical activity  463–79 flow 169–82
ego depletion  113–28 future research, directions for  479 constructs related to  173–76
and brain glucose  121–22 integration of theories  472–75 dispositional 173
building resistance to  125–27 measurement and methodological dynamic process in  176
causes of  115–16 advances in  475–79 frequency 175
and challenges to depletion effect motivational theories  464–70 and happiness  170
theory 119–20 theoretical advances in  470–75 and motive congruence  198
and changing the self  116–17 existential anxiety  70 proneness  173, 174
consequences of  116–19 existential protection  324–25 and self-esteem  173
conservation of  123 existential psychotherapy  69 temporal dynamics of  177
and effects of motivation/ expectancy  4, 121 flow condition  173
conservation 122–24 expectancy-value theory flow experience  173, 178
and ego strength  114–15 work motivation in  509–10 conditions of  171–73
and expectancy  121 youth sport motivation in  488–90 and dopamine  180
future research, directions for  127–28 expectations, of coaches  498 emergent motivation and temporal
and interpersonal interactions  115 experience dynamics of  176–79
and memory  118 interpreters of  490–91 future research directions in  179
moderators of  124–25 providers of  490–92 neurophysiology of  179–82
operation of  120–22 experience fluctuation model  171–72, 171f psychological covariates of  173
overcoming 122 experience integration  397 and stress response  179
and passivity  117, 127 experience sampling method (ESM)  Flow Proneness Scale  175
physiological markers of  119 174, 178 Flow Questionnaire  174
and rest and replenishment  124 experiential avoidance  430–31 flow scale for human-computer
ego goal orientation  446 experimental system  36 interaction 174
ego involvement  231 explicit motives  418, 420 flow state  170–71, 173
ego-oriented motivation  475 exploratory behavior  158 Flow State Scale-2  174
ego strength  115 extension memory  397. for-its-own-sake motivation  159
and changing the self  116 see also auto-biographical experiences Forman, E. M.  431
and cognition  119 external locus of control  444 Fournier, M. A.  102
and interpersonal interactions  115 external regulation  92, 445, 468 Fraley C.  340, 344
and self control  115 external stimuli  508 Fredericks, J. A.  490
Einstein, Albert  286 extrinsic aspirations. see life goals Fredrickson, Barbara  321, 322, 327
elective selection  286 extrinsic goals  423 Frenzel, A. C.  215–18
electroencephalographic methodology  119 extrinsic motivation  366 Freud, Sigmund  200, 398
elementary school  449 defined 91–92 Freund, A. M.  285, 294
elite child athletes  487, 493 and identified regulation  93 Friedrich, A.  377
Elliot, A. J.  446 and inherent integrative process  92 friendship
Elliot, Andrew  232, 233, 234, 237, 238 and integrated regulation  93 peer group acceptance vs.  494
Elsner, B.  273 and introjection  92 and youth physical activity
embodied motivation  529 and relative autonomy  93 motivation 495–96
emotional drain  331 in self-determination theory  513–14 friendship orientation  495
emotional reactivity  39 extrinsic regulation  422 friendship quality  495–97
employee motivation Fries, A.  428
conceptual framework of  514–15, 515f F Frodi, A.  342
importance of  507 Facchin, S.  324 Fulmer, C. A.  60
See also work motivation facilitators of change  425–27 functional domains  288
empty goal commitments  424 false self  398
endurance 126 family members  489–93 G
engagement 444 fantasy realization  249 Galinsky, A. D.  323
Ennis, G. E.  380 Faucher, E. H.  71 Gallup World Poll  312
entity theory  231 feedback 510 game structures  431
environmental factors feedback loop  28 Gaspard, H.  451
and choice  136 feedback patterns  497–98 Gebauer, J. E.  312
and human experience  136 feedback processes  28–29 Geller, P. A.  431
epinephrine 179 Feixas, G.  424 gender 23
Epstein, Herman  36 female subordination  323 and friendship quality  495
equity theory  518 Ferguson, C. J.  277 and sibling support for youth
ESM (experience sampling method)  Festinger, L.  232, 247 sports 493
174, 178 first grade, transition into  448–49 and student motivation  456
ethnicity, and student motivation  456 Fishbein, M.  467 Gendolla, A.  376, 380

536 Index
general psychotherapy (change model)  428 anti-goal 28–29 Harmon-Jones, C.  405
German action theory  511–12 clear 172 Harmon-Jones, E.  77
Gibbons, S. L.  497 egalitarian 277 Hartup, W. W.  495
Gilbert, S. J.  254 emergent 177 Haws, K. L.  49
goal attainment  247–62 goal program  30 Hayes, J.  71
and competitive situations  257 hierarchy of  515–16 Heapy, A. A.  427
derailment 256 learning  230–31, 290 heart rate  376
and goals vs. motivation  247–49 maintenance 291 Heckhausen, H.  295, 399, 417, 418,
and implementation intentions  253–61 managing multiple goals  287 428, 470
interventions related to  261–62 mastery 232 Heckhausen, J.  417, 418
and mental contrasting  249–53 mastery-approach 233 hedonic incentive  386
optimism about  425 mastery-avoidance 233 hegemonic masculinity  323
self-regulation of  249–61 motivation vs.  247–49 Hennecke, M.  294
Goal Attainment Scaling procedure  421 nonfocal 35 Herbert, J. D.  431
goal difficulty  16 performance  230–31, 232 Herzberg, F.  519
goal-directed behavior  254 personal best  235 Hess, T. M.  380
goal-directed response  253 prevention 249 heteronomous motivational
goal focus promotion 249 orientations 476
actional phase  295, 296f, 297 proximal  172, 176 heterosexual maleness  323
and age  291 and self determination theory Hidi, S.  445
and deadlines  298 (SDT) 97 Higgins, Edward T.  47, 49, 54, 58,
and loss avoidance  291 setting  510, 516 512–13
and motivational phase  295–98 in student motivation  445–46 high-maintenance interactions  115
postactional phase  295, 296f subgoal 30 high schools
preactional phase  295, 296, 296f Goals as Action-Desired Outcome student autonomy in  454
predecisional phase  295, 296f Representations (ADORE)  271, transition to  449–50
process and outcome  290t 272f, 279 high-stakes assessments  454
and resource demands  293 goal selection  287 Hillgruber, A.  374
and responses to feedback  298–99 goal-setting theory (GST) Hirt, E. R.  121
and time perspective  292 and employee motivation  519 Hispanic American children  456
goal implementation theory  511 work motivation in  510 Hodge, K.  94
goal orientation goal striving  248 Holt, N. L.  491
change 292–93 goals vs. motivation  247–49 Hom, H. L.  490
maintenance 291 Goldenberg, J. L.  324 homeostasis 29
of parents  490–91 Gollwitzer, P. M.  254, 255, 258, 262, Hommel, B.  273
stability  292–93, 294 428, 470 Horn, J. L.  490
goal orientation and focus  285–300 Goodenow, C.  448 Horn, T. S.  490, 492, 498
and adult development  286–89 Gorman, C. A.  513 Horowitz, L. M.  431
age and  291–92 Gotez, Thomas  215–16 Houser-Marko, Linda  299
change throughout adulthood  288 Goyer, J. P.  455 HR (human resources)  518–19
and change vs. stability  292–95 Graham, S.  456 Huang, Y.  331
and feedback on progress toward Grawe, K.  418–19, 428 Hull, Clark  158
goals 298–99 Greenberg, J.  67, 69, 70, 72 Hulleman, C. S.  237, 451, 452
and motivational phase  295–98 Griffith, H. R.  380 human agency  13
and process vs. outcome  289–99 Grolnick, W. S.  96, 341, 347 human resources (HR)  518–19
and related constructs  289–90 Grosse Holtforth, M.  418–19, 425, 428 Hyde, J. S.  451
and successful development  286–87 Grossman, C.  421 hypomanic personality scale  39
goal pursuit  269–80 group acceptance orientation  495 hypothalamus 361
as automated behaviors  272 group learning  448
environmental reward cues  279 growth mindset  444 I
and environmental stimuli  271 Gruenfeld, D. H.  323 IAPE (implicit-affect-primes-effort)  378
future research, directions for  279–80 GST. See goal-setting theory ICAN intervention  450
and habitual action selection  272–74 Guay, F.  18 idealized influence  499
means vs. outcomes  286 Guenther, C. L.  310 identified regulation  93, 368, 422,
outcome/reward representation  gut-feelings 363 445, 468
277–79 Guthrie, J. T.  452 identity relatedness  249
and reward cues  275–77 identity theory  198
stimuli as trigger for  274 H ideomotor behavior  273
unconscious source of  274–75 Hackman, J. R.  518 ideomotor learning study  278
without awareness  270–72 Hagger, M. S.  466, 474 idiosyncratic negative event  251
goal-reason combinations  238 happiness 170 I-D model  163
goals 39 Harackiewicz, J. M.  198, 215, 237, 294, if-then plans  377
achievement (See achievement goals) 446, 451 IJzendoorn, Van.  339

Index 537
imaginary audience  328 interactional justice  518 in youth sports and physical
immediate and unambiguous interdisciplinary research  531–32 activity 489
feedback 172 interest intrinsic reward  366
implementational mindset  296 conceptualizations of  209–11 intrinsic value, in task value  445
implementation intention strategies  current research on  212–20 introjected regulation  422, 445, 468
470–71 four-phase model of  207, 208t, 209 introjection  92, 429
implicit-affect-primes-effort (IAPE)  378 future research, directions for  220–21 intuitive behavior system. see action
implicit aging  378 individual 213 system
Implicit Association Test  420, 477 situational  207, 213
implicit–explicit motive congruence  student, interventions to improve  450 J
187–201 in student motivation  445–46 Jack, W.  77
antecedents of  197 sustaining 213 Jacobs, J.  456
consequences of  197–99 and wonder  162 James, William  308
future research, directions for  200–201 See also interest development jealousy 493
and independence hypothesis  191–92 interest development  205–21 Jelinek, S.  53
methodological factors in  192–95 and earlier/later phases of interest  213–15 Jia, L.  121
and picture story exercises vs. fluctuations/shifts in  214–15 job design  518
questionnaire measures  188–91 four-phase model of  207, 208t, 209 Joormann, J.  423
and self-determination  196 individual  207–9, 208t Jost, J. T.  326
and stress  197 longitudinal studies on  212–13 Juhl, Jacob  76
substantive variables moderating  measurement considerations with  justice 518
195–96 211–12
implicit–explicit systems  180–81 situational 208t K
implicit motivation study complementarity with  215–18 Kanfer, R.  511
in exercise and physical activity  476–77 triggers for  212–14 Kanze, D.  53
in psychotherapy  418–20 as value  210 Kappes, A.  252
implicit processes  476 internal frame of reference  102 Kappes, H. B.  253
implicit self  396 internalization  92, 332, 398 Karoly, P.  423
impression management  308 neural mechanisms of  405–7 Kasser, T.  423, 429
incentive-based information  362 in student motivation  445 Kasser, Tim  286
incentive learning  274 see also extrinsic motivation Kazen, M.  404, 407
incremental theory  231 internalized rules  398 Kehr, H. M.  197, 198
independence hypothesis  191 internal locus of control  173, 444 Keller, Helen  205–6, 220
individual interest  207–9, 208t, 213 internally guided decision making  368 Kent, M.  403
individualized consideration  499 Internet-based interventions  433 Kierkegaard, Søren  313
individuated-entity versus aggregate interpersonal interactions  115 Kimiecik, J. C.  490
comparisons 310 interpersonal leadership styles  498, 500 Kimiecik, J. D.  492
Inesi, M. E.  323 interpersonal theory  431 kindergarten, transitions to and
information processing  512 interpreters of experience, parents as  from 448–49
inherent integrative process  92 490–91 Kingler, E.  424
inspirational motivation  498 interracial interactions  115 Kipp, L. E.  495, 497, 500
Institute for Child Behavior and intervention design  478 Kirk, T.  258, 262
Development 230 intervention mapping  477–79 Kitsantas, Anastasia  290
instrumentality 322 interventions Klappheck, M.  422–23
insula 360 Internet-based 433 Klappheck, M. A.  425
integrated regulation  93, 445 motivational change in  429 Klauda, S. L.  452
integrative self  395–97 tailored to clients  418, 425 Kluger, A. N.  512
and ego control  403 See also specific interventions Kochansa, G.  347
and implicit self  396 interviews, to assess personal goals  420 Koestner, R.  423, 476
me-self vs. I-self  396 intrapersonal factors, in youth sport Koestner, R.  197
and negative emotion  402–3 motivation 488 Köllner, M. G.  193
and personality development  400, 401 intrinsically motivated behaviors  160 Kosfelder, J.  422–23
and self-congruence  397 intrinsic aspirations. see life goals Koskey, Kristin L. K.  216–17
and self-decision  401 intrinsic goals  423 Krings, F.  324
and self-doubt  402 intrinsic motivation  91, 136, 144, 366–67 Krott, N. R.  251
and self-positivity  400 defined 91 Kuhl, J.  395
and self-relaxation  402–3 and mastery-oriented motivational Kuhn, K.  423
intellectual stimulation  499 climate 475
intention and neural networks  99 L
and physical activity  464 in organismic integration theory  468 Langdon, Rae  322
in planned behavior theory  465–68 in self-determination theory  513–14 Latham, G. P.  375, 387
and self-determination theory  473–74 for students  445–46 leadership, peer  496
intention memory  398–99 students’ age-related decline in  446 leadership behaviors, of coaches  498–99

538 Index
leadership styles, of coaches  498, 500 McClelland, David  187, 188, 189, 192, 248 moratorium diffusion  198
learned motivational states  362–65 McDougall, William  162 morbidity 114
expectancy 363–64 MCII (mental contrasting with Morris, P. A.  494
reward 362–63 implementation intentions)  261–62 mortality concerns  325
value 364–65 McKinley, N. M.  329 mortality salience hypothesis (MS)  70,
learning McRae, A.  452 72–75
enactive 13 meaning  79, 80 motivation
goals 16 Medalia, A.  93 antecedents of  517–18
and goals  230–31 medial prefrontal cortex (MPFC)  99, 276 defined 488
in groups  448 Meece, J. L.  446 employee (see employee motivation)
social influences on  443–44 memory 139 modern study of  6
task-involved 446 declarative 141 work (See work motivation)
vicarious 13 extension 397 motivational attunement approach  425–26
learning goals  16, 230–31, 290 intention 398–99 motivational change  428–31
learning theory  247 selective self (see selective self-memory) motivational clarification  428
Lecci, L.  423 mental contrasting  251, 402 motivational climate  474–75, 499, 500
Lee, V. E.  449 and approach/avoidance goals  251 motivational constructs
Lekes, N.  423 and astuteness  252 assessment of  432
Lens, Willy  238 and depression  253 in psychotherapy  418–21
Leotti, L. A.  140 and fantasy realization  249 motivational interventions
Levesque, C. S.  476 and goal pursuit  250 as facilitators of change  425–27
Lewin, Kurt  136, 232, 514, 517 mechanisms of  252 for students  450–55
Liening, S.  197 and reality as obstacle  250 for youth athletes  497
life goals  97, 98 mental contrasting with implementation motivational interviewing  429, 433
Lifton, R. J.  75 intentions (MCII)  261–62 motivational model of alcoholism  424
limbic system  362 mentoring, for youth athletes  497 motivational neuroscience  355–69
Linnenbrick-Garcia, Linda  216–17 mesocortical pathway  361 automatically-activated motivational
Locke, E. A.  375, 387 mesolimbic dopamine system  362 states 362
Locke, K. D.  418 mesolimbic pathway  361 automatically activated motivational
loss-based selection  286 Mestas, M.  240 states 362
low-stakes assessments  455 metacognition 219 autonomous self-regulation  367–68
Ludeke, S. G.  314 metamotivation 60–61 brain structures/pathways, key  357–62
Lydon, J. E.  476 metamotivational beliefs  61 current research on  355–57
metamotivational control  61 future research, directions for  368–69
M metamotivational monitoring  61 learned motivational states  362–65
MacInnes, J.  197 metatheories 528 neural core of  363f
MacKinnon, Catherine  322 Meyer, B. B.  493 person-generated motivational
Maehr, M. L.  451 Michalak, J.  422–25 states 365–67
Maehr, Marty  230 Michigan Omnibus Personality research practices in  355–57
Magee, J.  323 Inventory 311 top down vs. bottom up research 
Magee, J. C.  323 mid-brain dopaminergic pathway  407 355–56
maintenance goals  291 middle school motivational phases
Makransky, G.  314 student autonomy in  454 actional  295, 296f, 297
Manderlink, G.  294 transition to and from  449 postactional  295, 296f
Manning, Eli  492 Midgley, C.  451 preactional  295, 296, 296f
Manning, Peyton  492 Midgley, Carol  237 predecisional  295, 296f
Manzey, Christine  216–17 Miele, David  61 motivational processes  15–18
Marien, H.  279 mimicry 273 motivation intensity theory  373–87, 374f
Maslow, A. H.  508–9, 515, 519 mindfulness 103 ability, fatigue and aging  378–80
mastery-approach goals  233, 469 mindset(s) and depressive symptoms  377–78
mastery-avoidance goals  233, 469 interventions focused on improving  450 difficulty/effort, variables
mastery climate  499 in student motivation  444 affecting 377–78
mastery goal orientation  446, 451 Mischel, W  248, 257 effort measurements in  375–76
mastery goals. see learning goals mnemic neglect  311 and effort-related cardiovascular
mastery models  14–15 model of interpersonal motives  431 response 376
mastery-oriented motivational Moitra, E.  431 empirical evidence for  376–77
climate  474, 475 Molden, D. C.  49 importance of success, variables
material incentive  382–83 MoMa intervention program  451 affecting 381–86
in depressed individuals  383 Monti, J. D.  345 material incentive  382–83
and gender-specific effects  385 mood-behavior model  378 objective task difficulty, moderation
and outcome expectancy  383–84 mood disposition  210 effects of  378–81
and social incentive  384 Moradi, Bonnie  331 and unclear difficulty  375
Mayer, Richard  356 Moran, M. M.  496 and unfixed difficulty  375

Index 539
motivation phase (Rubicon model of O parents
action phases)  427 Obama, Barack, and administration  453 as interpreters of experience  490–91
motivation research, future of  527–32 objectification theory as providers of experience  490–92
and cultural psychology  531 and anxiety  324 relationship quality with  496
and methodologies  530 and body image  323 as role models  490, 492
and technology  528–30 cognitive development theories in  and youth sport motivation  489–92
motive change  424–25 328–30 youth sport motivational practices
motive congruence co-objectification 330 for 500
antecedents of  197 denial of autonomy  322 passivity  117, 127
and eating habits  199 denial of subjectivity  322 Patalakh, M.  197
integrative model for  190 and dissonance  326 Patterns of Adaptive Learning Scale  237
multiple-moderator approaches  196 and emotional drain  331 Paulhus, D. L.  312–14
and need satisfaction  197 and gender development  329 Pavolvian-to-instrumental transfer  274
and referential competence  197 and instrumentality  322 Payne, S. C.  512
and volitional strength  198 and mortality concerns  325 peer-assisted learning strategies  497
and well-being  198 and ownership  322 peer group acceptance  494–96
and work  199 self-objectification  322, 324 peer leadership  496
See also implicit–explicit motive situational/contextual factors peer modeling  489, 497
congruence in 327 peers
motive-oriented therapeutic relationship situational motivators of  330 and student motivation  448
building 425 socialization theories in  327–28 and youth sport motivation  489, 494–97
motive-oriented treatment plan  432 object-recognition system. see discrepancy PEESE (precision-effect estimate
motor areas  359 system with standard error)  119–20
motor resonance  273 observational learning  14 Pekrun, Reinhard  215–16
Mouratidis, Athanasios  238 obsessive-compulsive disorder  403 Pelletier, L. G.  476
MPFC (medial prefrontal cortex)  99, 276 Oettingen, G.  249, 251, 252, 261, 262, PEP (pre-ejection period)  376
MS (mortality salience hypothesis)  70, 424 PEP (pre-ejection period) reactivity  382
72–75 OIT (organismic integration perceived behavioral control
multidirectionality 286 theory) 468–69 in planned behavior theory  465
Murayama, Kou  98, 141, 237, 240, 356 Oldham, G. R.  518 and self-determination theory  474
Murphy’s Law  308 O’Malley, S.  425 perceived power  465
Murray, Henry  187 openness to experience  163 perceptions of competence
optimal arousal  158 (perceived competence)
N optimal experience  169 and positive reinforcement from
naive treatment concerns  426 optimism, about goal attainment  425 coaches 498
narcissistic personality disorder  431 optimization 286 in youth sport motivation  488
national education policy optional functioning  519 performance-approach goals  446, 469
motivation theory and  453 Orbell, S.  473–74 performance-avoidance goals  446, 469
and researcher recommendations  455, orbitofrontal cortex  358, 361, 362 performance climate  499
457 organismic integration theory performance-contingent
National Research Council  457 (OIT) 468–69 reinforcement 497–98
naturalistic motivational change  428–29 O’Rourke, D. J.  491 performance goal orientation  446
needs 90 other-referenced goal perspective  469 performance goals  16, 230–31, 446–47
need satisfaction  197 outcome expectancy  17, 364 performance orientation  512
needs theories  508–9 outcome focus  289, 290. performance-oriented motivational
negation implementation intention  256 See also goal focus climate  474, 475
negative affect  404 out-group hostility  80 personal best goals  235
negative emotion  402–3 override impulses  123 personal goals
neural mechanisms assessments of  420–21
and personal systems interaction P defined 418–19
theory 405 Pak, H.  249 in psychotherapy  421–24, 432
and self-determination  406–7 parasympathetic deactivation  376 personality disorders  431
and self-referential information  406 parasympathetic nervous system personality interactons theory  197
neuroscience. See motivational neuroscience (PNS)  179, 180 and discrepancy system  395
neutral stimuli  270 PARCS (predictive and reactive control and intuitive behavior control  395
Nicholls, John  230, 231, 446 systems)  394, 405 process of  396f
Niemic, C. P.  96 parental beliefs, in youth sport personality systems interactions
No Child Left Behind  453–55 motivation 490–91 theory  394, 395, 401
Norcross, J. C.  428 parental involvement  345 personal relationships
norepinephrine 179 parental pressure, and youth sport anxiety-buffering effects of  78
Norman, P.  473–74 motivation 491 and existential threats  79
nucleus accumbens  358 parental socialization  489–90 personal systems interaction theory  404
Nussbaum, M. C.  322 parenting style  491–92 person–environment fit  518

540 Index
person-generated motivational states  process focus  290. See also goal focus goals in  430
365–67 Prochaska, J. O.  428 and group dynamics  60
intrinsic and extrinsic motivation  promotion goals  430 measuring/manipulating of
366–67 prospect theory  123 motivation in 50–51
psychological needs  367 providers of experience, parents as  490–92 and metamotivation  60–61
self-regulation and goals  365–66 provision of choice  143 origins of motivation in  49–50
volition 365 proximal environment  341 prevention motivation in  48–49
PET (precision-effect test)  119–20 proximinal defenses  71 promotion and prevention goals in 
PFC (prefrontal cortex)  180–81, 358 Przybylinski, E  259 51–56
phenomenology 69 PSEs. See Picture Story Exercises promotion motivation in  48
physical activity. See exercise and physical psychological change  455 promotion/prevention vs. approach/
activity; youth sport and physical psychological housekeeping  308 avoidance in  51
activity psychological need satisfaction scope of  48
physiological arousal  139 and motivational climate  499 undesired end states  53
Pichora-Fuller, K. M.  382 in self-determination theory  471–72 work motivation in  512–13
Picture Story Exercises (PSEs)  187 psychological science  528, 528–30 reinforcement theory  508
and problems of measurement  189 psychological selection  177 reinforcement value  4
and questionnaire measures  188 psychopathology relatedness, in basic needs theory  469
Pintrich, P. R.  446 development of  421 relatedness of children to parents  337–48
planned behavior, theory of  464–68 and fit of personal goals  423–24 attachment theory on  338–40
and implementation intention psychophysiological states  355 and categories of children’s
strategies 470–71 psychotherapy 417–34 motivation 338–40
integration with self-determination future research, directions for  433–34 contextual variations in  345–47
theory 472–74 motivational constructs in  418–21 importance of early  344–45
Plant, R. W.  425 motivational factors in  424–31 and non-relatedness factors  347
PNS (parasympathetic nervous personal goals in  421–24 self-determination theory on  340–42
system)  179, 180 PTSD (posttraumatic stress disorder)  76 and sense of responsibility  342–44
Pomerantz, E. M.  343–45 Pugh, Kevin J.  216–18 relationship-specific identities  49
portable electroencephalography Punnett square  219f relative autonomy  93
headsets 356 purpose religious orientation  80
positive adaptation  96 and achievement goals  236 Renninger, K. A.  445, 450, 454
positive affect  488 defined 236 reproductive fitness  323
positive reinforcement  497–98 pursuit of goals. See goal pursuit resource allocation  516–17
positive youth development Püschel, O.  423 rest and replenishment  124
framework 489 restraint intensity  386
postactional phase  295 Q retention 14
Postmes, T.  512 quadrant model  171 retrospective self-administered
posttraumatic stress disorder (PTSD)  76 questionnaires questionnaire 175
potential-based achievement goals  239 for assessment of explicit motives  420 reward, and work motivation  508
potential motivation  374, 374f, 383 for assessment of personal goals  420–21 reward-aversion model  160
Powers, T. A.  423 Quinn, D. M.  332 reward cues  275–76
Powers, William  28, 37 Quirin, M.  398, 403, 404 reward prediction error  363
Pratto, F.  332 reward processing  276, 276t, 278, 279
preactional phase  295 R Reznik, I.  49
precision-effect estimate with standard Radtke, T.  402 RFT. See regulatory focus theory
error (PEESE)  119–20 Ramsay and Pang study  193 Richardson, M.  21
precision-effect test (PET)  119–20 randomized controlled trials  477–79 Richter, M.  377
predecisional phase  295 rational system  36 Riediger, M.  294
predictive and reactive control systems raven matrices  251 rigidity/flexibility 260
(PARCS)  394, 405 Rawolle, M.  197 riskiness 54–55
pre-ejection period (PEP)  376 Raynor, J.  287 Roberts, G. C.  495
pre-ejection period (PEP) reactivity  382 reduction to appearance  322 Roberts, T. A.  321, 324, 327
prefrontal cortex  365 reduction to body  322 Roch, R. M.  429
prefrontal cortex (PFC)  180–81, 358 Reeve, J.  451–52, 514 Roeser, R. W.  453
prevention goals  430 referential competence  197 Roisman, G. I.  345
prevention-inducing recall activities  61 regulations 468 role models
Price, M. S.  496, 499, 500 regulatory fit paradigm  49 parents as  490, 492
primary aversion system  162 regulatory focus questionnaire  50 siblings as  493
primary goods  102 regulatory focus strength measure  50 Rösch, A. G.  429
primary reward system  162 regulatory focus theory (RFT)  47–62 Rosenberg, M.  308
principles 30 choice of motivation in  56–59 Rosenzweig, E. Q.  452
priority management  35 desired end states  53 Rosiman, G.  345
procedural justice  518 “fit” in  59–60 Rotter, J. B.  4, 11

Index 541
Routledge, C.  72, 76 self-continuity 294 self-enhancement and self-protection 
Rozek, C. S.  451 self control 307–15
Rubicon model of action phases  427–28, and automatization  124 and better-than-average effect  309–10
427f and autonomy  125 five pillars of  308
Russell, Bertrand  315 and brain glucose  121–22 functionality of  307–8
Ryan, R. M.  423, 425, 489 defined 113 and overclaiming  313–14
Ryan, Richard  90, 92, 96, 286 and depletion model  114 and selective self-memory  310–12
Ryff, C. D.  430 and ego strength  115 and self-serving bias  308–9
and endurance  126 and socially desirable responding 
S and expectancy  121 312–13
Sachse, R.  431 and morbidity  114 self-esteem
Saguy, T.  331, 332 and smoking  126 and cultural worldviews  77
Sailer, P.  261 self-control strength. see ego strength and flow  173
Sapieja, K. M.  491–92 self-decision 401 and mortality salience hypothesis  74
SBP (systolic blood pressure)  376, 380 self-determination 196 self-evaluation 384
scaling up  452–53 self-determination theory (SDT)  89–104, self-evaluative process  68
Scheier, M. F  68 136, 196, 394, 403 self-infiltration  394, 404
Schiefele, U.  449 2 × 2 achievement goal perspectives self-inhibition 403–5
Schimel, J.  71 and 474–75 self-integration. See integrative self
schizophrenia 255 autonomy-supportive vs. controlling self-internalization 404
Schmitt, C. H.  420 climates in  95–96 self-modeling 15
Schnetter, K.  249 and basic psychological needs  90 self-motivation 403
Schoenrade, P.  80 basic psychological needs in  90–92 self-objectification 322. See also sexual
Scholer, A.  57, 61 and behaviorism  90 and self-objectification
school(s) controlled motivation in  91–92 self-positivity 400
influence of, on motivation  447–48 and cultural values  101 self-positivity bias and self-
transitions between  448–50 economic/political systems in  integration 400–405
school reform  457 102–4 self-protection
Schöttke, H.  426 in exercise and physical activity  464, defined 307
Schrager, S. M.  237 468–69, 471–72 and terror management theory  308
Schramm, E.  421 future research, directions in  517 See also self-enhancement and
Schulte, D.  423 and goals  97 self-protection
Schultheiss, O. C.  193, 429 integration with planned behavior self-referenced goal orientation  469
Schultz, W.  362, 363 theory 472–74 self-regulation 15
scientific management  510 internalization and extrinsic defined 510
SDR (socially desirable responding)  motivation in 92–93 and goal setting  515
312–13 intrinsic vs. extrinsic aspirations in  and habitual responses  258
SDT. See self-determination theory 97–102 and resource allocation  516–17
Sears, P. S.  232 life goals in  96–97 self-regulation theory  510–12
Sedikides, C.  312 motivation and wellness within  90 self-regulatory behavior  27–42
SEEKING system  162 and needs  90 dual process models of  36
selective self-memory  310–12 and need satisfaction  103 and feedback control  28–31
and defensiveness  314 neural mechanisms in  406–7 and hierarchicality  36–37
nonmotivational factors in  314 relationships in  96–97 “how” vs. “what” of  40–41
origins of  311 and self-actualization  90 and impulse vs. control  37–40
and self-boosting  311 and student motivation  444 and priority management  35–36
self-access 400–404 taxonomy of motivation  92f self-regulatory depletion  142, 144
self-affirmation 308 underlying systems in  403 self-regulatory processes  15
self-appraisals of ability  490 and work motivation  513–14 self-relaxation 402–3
self-awareness work motivation in  513–14 self-report questionnaire  236
defined 68 youth sport motivation in  488, 489 self-serving bias (SSB)  308
objective self-awareness theory  68 self-determined motivation  489 self-system therapy (SST)  429–30, 433
self-awareness theory  81, 384 self-doubt 402 self-threat  308, 311
escaping self-awareness  81–82 self-efficacy  4, 18–22, 173 self-threatening feedback  311
and existential anxiety  81 effects of  20–21 self variables, in motivation theory  443
self-boosting 311 and gender  23 sequences 37
self-centrality breeds self-enhancement and performance  512 serious gaming  433
principle 308 and physical activity  464 Sevincer, A. T.  424
self-concepts 397 in planned behavior theory  465, 466 sexism, benevolent  324
self-concordance, of personal goals  and self-regulatory processes  21 sex role stereotypes  328
422–23 in social cognitive theory  18–22, 511 sexual and self-objectification  321–32
self-congruence 397 sources of  18–19 culture of  327–30
self-consciousness, loss of  170 in student motivation  444 as existential protection  324–25

542 Index
 the motivating but consequential body socially desirable responding (SDR)  T
project 331–32 312–13 TARGET approach  447, 451
as power/dominance  323–24 social projection  259 task goal orientation  490–91
situation motivators of  330 social psychological-based task involvement  231
as system justification  325–26 interventions  452–53, 455–57 task-oriented motivation  475
theoretical frameworks for  322–23 social relationships task value  445
sexual objectification and learning  443–44 taxonomies of health-related behavior  478
and anxiety  324 in youth sport motivation  488 teacher–student relationships  447–48
benevolent sexism  324 social support team-building activities  497
and body image  324 from parents  491 team members  518
cognitive development theories in  and student motivation  448 technology 528–30
328–30 sociocultural approach to telenomic model of subjective well-being 
and female menstruation  325 motivation 447 421–22, 422f
and internalization  332 Soenens, Bart  238 temporal dynamics
and mortality concerns  325 Sperance, A. L.  498, 500 future research directions in  178–79
and power  323 spontaneous alteration  158 research on  178
and self-objectification  324 spontaneous satisfactions  366 study of  177
and sex role stereotypes  328–30 sport commitment model  489 temporal perception  170
socialization theories in  327–28 sports. See youth sport and physical tension state  293
Share, T.  429 activity terror management theory (TMT) 
Sheeran, P.  467, 473–74 sport specialization, sampling vs.  494 67–83, 308
Sheldon, K. M.  429, 433 SSB (self-serving bias)  308 and cultural differences  75, 77–78
Sheldon, Kennon  286, 299 SST (self-system therapy)  429–30, 433 current research utilizing  70–72
Short Flow Scale  174 stability goals  294 development of  69–70
sibling rivalries  493 Stangier, U.  424 existential anxiety in  72
siblings 492–93 sternberg memory task  380 and inevitability of death  70
Silvestrini, N.  386 Stevenson, C. L.  493 and mortality salience  385
Simon effect  258, 259 Stewart, C. C.  380 personal dimension in  74–76
Simon task  258 Stewart, Victoria C.  216–17 physical dimension in  72–74
situated cognition  274 stimulus perception  255 and posttraumatic stress disorder
situational interest  207, 208t, 213 Stipek, D. J.  447 (PTSD) 76
Skaalvik, E.  446 strategic vigilance  54 self-awareness in  67–69
Skinner, B. F.  3, 4, 274 Strauman, T. J.  424, 429–30 social dimension in  76–79
Slabbinck, H.  420 striatum  276, 355, 360 spiritual dimension in  79–81
Smith, A. L.  494–96 stroop interference task  115, 119 and theory perspective on human
Smith, J.  449 stroop test  123 motivation 67
Smith, K.  429 Stuart, M. E.  490 transcendence of death in  81–82
Smith, R. E.  497–500 student achievement testing practices  454–55
Smoll, F. L.  497–98 social competence and  448 test-operate-test-exit (TOTE)  27, 30
SNS (sympathetic nervous system)  179 and student–teacher relationship  448 Theeboom, M.  499
social cognitive theory  11–24 student autonomy  451–52, 454 Thematic Appreciation Test  187, 248,
conceptual framework of  12–13 student motivation 270, 419
future research, directions for  22–24 school’s influence on  447–48 theories of reality  77
motivational processes in  15–18 school transitions effect on  448–50 theory of planned behavior (TPB)
and self-efficacy  18–22 source of  444–47 and control theory  511
self-efficacy in  18–22 student–teacher relationships  447–48 and motivation  517
self-regulatory processes in  15 Stuntz, C. P.  495, 498, 500 and work motivation  509–10
symbolic processes in  15 subcortical insula  363 theory of resultant valence  232
vicarious processes in  13–15 subjective norms  465 therapeutic relationship, fostering 
and work motivation  511 substance abuse disorders  424 425–26, 432
and youth sport motivation  489 suffering, as therapy motivation  419 therapy expectations  419
social cognitive transference  49 Sullivan, Anne  206 therapy motivation
social comparisons  17–18 superego 405 defined 417
social competence supervisors 518 See also psychotherapy
and peer leadership  496 suppression-oriented implementation  256 Thomas, C.  384
and student motivation  448 Svoboda, R. C.  451 threat immunity  310
social–environmental factors  488 symbolic immortality  75, 79 3 × 2 model  235
social goal orientations  495 symbolic processes  15 time perspective  292
social influence, in youth sport sympathetic nervous system (SNS)  179 TMT. see terror management theory
motivation 489. See also specific system justification theory  326 Tolman, E. C.  247
groups, e.g. parents systems approach, to youth sport Tolman, Edward Chase  4
socialization, parental  489–90 motivation in families  494 Tomkins, Silvan  160–61
social learning theory  11 systolic blood pressure (SBP)  376, 380 Tooby, John  89

Index 543
Tops, M.  398 ventromedial prefrontal cortex  100, 358 in goal-setting theory  510
TOTE (test-operate-test-exit)  27, 30 vicarious processes  13–15 and needs theories  508–9
TPB. See theory of planned behavior; VIE (values–instrumentality–expectancy) in regulatory focus theory  512–13
theory of planned behavior theory  509, 515, 517 in self-determination theory  513–14
transformational leadership volitional decision making  368 in self-regulation theory  510–12
behaviors 498–99 volitional strength  198 work-avoidant goal orientation  446
Transient Hypofrontality Theory  181 Vroom, V. H.  509 work motivation  507–19
transtheoretical model (TTM)  428 in achievement goal theory  512
treatment fidelity  478 W in expectancy-value theory  509–10
treatment goals Wadden, Thomas  252 future research, directions for 
formulation of  421, 426–27, 432–33 Wahba, M. A.  509 514–19
in psychotherapy  419, 420t Walkington, C.  454 in goal-setting theory  510
Trzesniewski, K. H.  450 Watson, J. B.  274 and needs theories  508–9
TTM (transtheoretical model)  428 Watson, John  3, 4 in regulatory focus theory  512–13
Turner, J. C.  447 Watt, Helen M. G.  215–16 in self-determination theory  513–14
Twenge, J. M.  101 WBT (well-being therapy)  430, 433 in self-regulation theory  510–12
2 × 2 model  233–35, 469–70 weekend effect  103 Work-Related Flow Scale  174
Weinert, F. E.  428 Wright, R. A.  380
U Weinstein, N.  96 Wright, Wilbur  528
Ullrich-French, S.  494–96 Weiss, M. R.  492–97, 499, 500
unclear difficulty  375 well-being 198 Y
undermining effect  367 dimensions of  430 Yalom, Irvin  74, 76
unfixed difficulty  375 and employee motivation  519 Yamauchi, H  93
Unmüssig, C.  421 telenomic model of subjective  Yeager, D. S.  450, 456–57
Urdan, T.  240, 447 421–22, 422f Yeomans, P. D.  431
urge magnitude  386 well-being therapy (WBT)  430, 433 younger siblings  493
utility value  364, 445, 451 Wellborn, J. G.  444 youth sport and physical activity 
Wentzel, K.  448 487–502
V Westbrook, Russell  492 best practices for motivation in  501–2
Vallerand, R. J.  473 White, A.  495 coach influence in  497–500
values  17, 418, 420, 445–46 White, R.W.  91 cultural significance of  487
values–instrumentality–expectancy (VIE) White, S. A.  491 parental influence in  489–92
theory  509, 515, 517 Wicklund, R. A.  68, 81 peer influence in  494–97
Van Heil, A.  98 Wigfield, A.  338, 449, 452 sibling influence in  492–93
Vansteenkiste, Maarten  98, 238 Wilko, A. M.  500 studies in  488–89
van Yperen, N. W.  512 Williams, Serena  492
Veling, H.  276 Williams, Venus  492 Z
Ventis, W. L.  80 Wincott, D. W.  398 Zafeiriou, A.  378
ventral striatum  358 wonder 162 Zedelius, Claire  276
ventral tegmental area  360 work 507–19 Zimbardo, P. G.  292
ventrolateral prefrontal cortex  403 in achievement goal theory  512 Zimmerman, Barry  290, 365
ventromedial prefrontal-amygdala in expectancy-value theory  509–10 Znoj, H.  428
pathway 361 future research, directions for  514–19 Zuroff, D. C.  419, 424–25

544 Index