Psychology of neuroticism and shame

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PSYCHOLOGY OF EMOTIONS, MOTIVATIONS AND ACTIONS

PSYCHOLOGY OF NEUROTICISM AND SHAME

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PSYCHOLOGY OF EMOTIONS, MOTIVATIONS AND ACTIONS

PSYCHOLOGY OF NEUROTICISM AND SHAME

RAYMOND G. JACKSON EDITORS

Nova Science Publishers, Inc. New York

Copyright © 2010 by Nova Science Publishers, Inc. All rights reserved. No part of this book may be reproduced, stored in a retrieval system or transmitted in any form or by any means: electronic, electrostatic, magnetic, tape, mechanical photocopying, recording or otherwise without the written permission of the Publisher. For permission to use material from this book please contact us: Telephone 631-231-7269; Fax 631-231-8175 Web Site: http://www.novapublishers.com NOTICE TO THE READER The Publisher has taken reasonable care in the preparation of this book, but makes no expressed or implied warranty of any kind and assumes no responsibility for any errors or omissions. No liability is assumed for incidental or consequential damages in connection with or arising out of information contained in this book. The Publisher shall not be liable for any special, consequential, or exemplary damages resulting, in whole or in part, from the readers‘ use of, or reliance upon, this material. Independent verification should be sought for any data, advice or recommendations contained in this book. In addition, no responsibility is assumed by the publisher for any injury and/or damage to persons or property arising from any methods, products, instructions, ideas or otherwise contained in this publication. This publication is designed to provide accurate and authoritative information with regard to the subject matter covered herein. It is sold with the clear understanding that the Publisher is not engaged in rendering legal or any other professional services. If legal or any other expert assistance is required, the services of a competent person should be sought. FROM A DECLARATION OF PARTICIPANTS JOINTLY ADOPTED BY A COMMITTEE OF THE AMERICAN BAR ASSOCIATION AND A COMMITTEE OF PUBLISHERS. LIBRARY OF CONGRESS CATALOGING-IN-PUBLICATION DATA Psychology of neuroticism and shame / [edited by] Raymond G. Jackson. p. ; cm. Includes bibliographical references and index. ISBN 978-1-61761-876-5 (Ebook)

Published by Nova Science Publishers, Inc. † New York

CONTENTS Preface Chapter 1

Chapter 2

Chapter 3

Chapter 4

Chapter 5

Chapter 6

ix Neuroticism: The Personality Risk Factor for Stress and Impaired Health and Well-Being Sharon Grant

1

Shame in Chinese Classic Philosophy: An Investigation through the Lens of Mencius HuaNan Gong

37

The Manifestation of Neuroticism in the Use of Information and Communication Technology Lauren L. Saling and James G. Phillips

59

College Students' Perceptions of Reintegrative Shaming for Criminals Gina Robertiello

85

Behaving Aggressively: The Role of Shame in Prisoner Confrontations Michelle Butler

109

Neuroticism and Positive Personal Characteristics: Test of a Two-Factor Model of Their Effects on Affective Health Bruce W. Smith, Jennifer F. Bernard and J. Alexis Ortiz

129

Chapter 7

The Dynamics of Shame and Psychiatric Ill-Health Bengt Starrin and Åsa Wettergren

Chapter 8

Understanding Neuroticism in Emerging Adulthood: Integrating the Contributions of Erikson and Fromm Adam C. Lorincz and Steven Abell

Chapter 9

Therapy for Shame-Based Perfectionism Neil Pembroke

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169 183

viii Chapter 10

Contents Increasing the Predictive Utility of Neuroticism for Health Behaviors: The Role of Implicit Neuroticism Jennifer Boldero, Nick Haslam and Jennifer Whelan

Chapter 11

Shame: A Self-Determination Theory Perspective Sarah McLachlan, David Keatley, Chris Stiff and Martin Hagger

Chapter 12

Why Neuroticism May Be Relevant to Understanding Response to Meditation-Based Interventions: A Review of Some Forgotten Literature Brian L. Thompson

Chapter 13 Index

Neuroticism and Psychoticism as Correlates of Suicidal Behavior David Lester

197 211

225 235 239

PREFACE This book reviews the literature on the Big Five and physical and mental health, focusing on neuroticism as the personality risk factor for stress and impaired health and well-being. This book also examines biological and psychological mechanisms underlying the toxic effect of neuroticism, and possible intervention strategies are discussed. Moreover, whether individuals with neurotic traits are more prone to use information and communication technology are considered, as well as the potential to develop addictions to technology. In addition, Eriksonian identity formation in emerging adulthood is analyzed, with a special emphasis on how the unique epigenetic struggles of this developmental period may lead to experiences of neuroticism and anxiety. Moreover, numerous researchers suggest the experience of shame is linked to aggressive behavior. In this book, prisoner self-narratives are explored to determine whether the presence of shame in their identity influenced their involvement in confrontations. Whether shaming has something to do with psychiatric health is discussed as well. In addition, the utility of self-determination theory (SDT) in understanding the experience of shame and the effects of being motivated by shame avoidance is explored. Key constructs and mechanisms from SDT that explain the adaptive and maladaptive effects of shame experience and shame avoidance on behavior are also identified and discussed. Chapter 1 - This chapter reviews the literature on the Big Five and physical and mental health, focussing on neuroticism as the personality risk factor for stress and impaired health and well-being. Although neuroticism is often associated with excessive or unfounded symptom and illness reporting, studies of objective health outcomes, such as longevity or mortality, have confirmed that the trait does indeed play a genuine role in objective health status. With regard to mental health, neuroticism is associated with a range of conditions, and recent work has linked the trait with DSM-IV personality disorders. In addition, neuroticism is a strong and consistent predictor of both subjective (hedonic) and psychological (eudaimonic) dimensions of well being. This chapter presents an overarching process model, describing the effect of neuroticism on various intermediate mechanisms that tie situational stressors to negative health and well-being outcomes. Evidence is reviewed linking neuroticism with stressor exposure and emotional reactivity, negative cognitive appraisal, maladaptive and ineffective coping, and risky health behavior. The combined/interactive effect of neuroticism and other traits on vulnerability is also considered. The chapter examines biological and psychological mechanisms underlying the toxic effect of neuroticism, and concludes with a discussion of possible intervention strategies.

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Chapter 2 - In the West, shame is believed to arise from feelings toward sex, which is the origin of knowledge of goodness and evil as well as the origin of the conscience. In the Bible, sexual shame is elevated as the beginning and the source of other types of shame, so at the same time it is the prototype and standard of other types of shame. However, the generality and power of sexual shame need not be universal. In Chinese traditional thinking it is clear that shame is closely bound up with taste (eating), which occupies the primal location and plays an important role in ―taste.‖ In ancient Chinese words and expressions, the meaning of ―shame‖ is ―dedication‖ and ―delicious (food)‖ and the word ―shame‖ is used as both verb and adjective. Shame firstly involves delicious food. Beginning with the Confucian Analects, ―shame‖ in relation to the meaning of delicious food stirs feelings of morality. This reason for this association is that shame is related to the delicious food that comes from ―sheep,‖ as well as the values of goodness, beauty, and faith. Generally speaking, ―shame‖ is related to all valuable things. The shape of ―xiu‖（羞 means shame) in the Chinese ancient character shows an uncertain expression of conflict when people decide whether or not to capture the sheep. In this sense, the shame is derived from what one thinks and feels when a person faces beautiful and valuable things. Mencius regards the concept of shame as a category of morality, and the concept‘s role as an important source of human‘s nature and conscience is greatly consolidated. Furthermore, shame is the basic foundation that defines man as man. The Confucians decline the human‘s shield of morality in order to emphasize the effects of shame. Under this teaching, they merged substance (体) with function (用): existing with shame. For the Taoist who stresses the discipline of the mind, shame is taken as a defense to retain the ―nativeness‖ of the mind. Chapter 3 - The present paper considers whether individuals with neurotic traits (anxiety, depression, shyness, low self-esteem) are more prone to use information and communication technology. We have previously found that individuals with low self esteem and social anxiety are prone to use the internet. The internet offers the opportunity to edit one‘s selfpresentation through email and blogging benefitting the socially anxious. As the internet serves to document behaviour, it also provides evidence of emotional or irrational behaviours. Procrastinators prefer email, and those prone to panic are more likely to post messages on discussion groups. There is also evidence that neurotic individuals send more SMS. The present paper also considers the potential to develop addictions to technology. There is limited research addressing neuroticism as a predictor of the use of information and communication technology, nevertheless, this is an area of potential interest, particularly as the internet serves to document behaviour and self presentation in a way that was hitherto not possible. Chapter 4 - Restorative justice is a theory of justice with a rehabilitative or reintegrative approach. The emphasis is on repairing the harm caused by the behavior; benefitting the injured parties, as well as the offender. In Criminal Justice courses across the nation, this topic has been hotly debated. Is restorative justice working? Is it fair to the victim? Does it fulfill any of the goals of punishment? Although laypersons might feel differently, those taking courses on crime and justice have discussed the topic at length, and many have supported this approach. Some are working in the criminal justice system and some are working on degrees in order to obtain a position in the criminal justice system. After discussing the theory of restorative justice, especially the research of John Braithwaite, it was the researcher's intention to determine student perceptions of restorative justice efforts, and

Preface

xi

their views on the utility and success of this approach. This research was conducted via the administration of a survey in courses at a private catholic college in New Jersey, with social science and non-social science majors. Results demonstrated that male and female social science students had similar perceptions about the topic, and that their opinions were similar to those of the non-social science majors as well. Almost all respondents thought the goal of punishment in the U.S. should be to protect society. They thought prisons should offer programs to help rehabilitate offenders, and that reintegrative shaming would work better with juvenile offenders. Most did not think that restorative justice efforts were fair to the victim (because this effort is not punitive enough), and they did not think criminals were treated too leniently today. However, most respondents did think that a victim should participate in the punishment of their victimizer (i.e. they should have a say). They did not think shaming criminals deterred the behavior of the criminal or the behavior of onlookers, or that reintegrative shaming caused less stigma. Finally, most did not think that our current punitive techniques caused offenders to think worse of themselves. Chapter 5 - Numerous researchers suggest that the experience of shame is linked to aggressive behaviour (see Scheff, 2000; Scheff & Retzinger, 1991; Tangney & Dearing, 2002). In this paper, prisoner self-narratives are explored to determine whether the presence of shame in their identity influenced their involvement in confrontations. The self-narratives of 89 adult male prisoners were examined to determine whether the prisoners expressed themes of shame in their self-narratives, the types of shame they experienced and if these experiences of shame influenced their involvement in confrontations with other prisoners. Results indicate that individuals expressing themes of shame in their self-narrative were more likely to engage in confrontations than those who did not express such themes. In particular, those who were insecure in their sense of self seemed to be more likely to react aggressively to behaviours which undermined their identity and were more likely to feel pressurised to conform to prisoner norms of masculinity and aggressiveness. This suggests that the expereince of shame may predispose individuals with an insecure self to engage in confrontations as a means of ego defence. Potential ramifications and limitations are discussed. Chapter 6 - The purpose of this chapter is to examine the effects of neuroticism and positive personal characteristics on affective health in the context of a two-factor model. The model posits that neuroticism will primarily impact negative affect while positive personality characteristics will primarily impact positive affect. The relationship between neuroticism, positive personal characteristics, and affective health was examined in three large samples of undergraduate students. The positive personal characteristics assessed included extraversion, resilience, optimism, spirituality, purpose in life, and indicators of social and emotional intelligence. Multiple regression analyses were used to simultaneously examine the effects of neuroticism and the positive characteristics on negative affect and positive affect. The results consistently showed that neuroticism was a strong predictor of negative affect while positive characteristics were generally not related to negative affect when controlling for neuroticism. In addition, the positive characteristics were still related to positive affect when controlling for neuroticism. Finally, neuroticism was not related to positive affect when controlling for all positive characteristics at once but was usually related to less positive affect when controlling for one at a time. The main implication is that neuroticism should be considered within the context of both the positive and negative domains of human experience. Neuroticism may

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have its strongest impact on negative affective health while positive characteristics may have their strongest impact on positive affective health. Chapter 7 - In the Icelandic sagas shame, humiliation, respect and honour are central themes. The sagas describe a culture where there are strongly regulated rituals for how a man can obtain and sustain his honour. It is only possible to be happy with oneself after gaining respect in the eyes of the other. An honourable man who has been humiliated and insulted and has been unable to get revenge, compensation or reconciliation looses his status and reputation as an honourable man. It leads to self contempt and deep depression. Contrary to what was the case in the Icelandic sagas, shame and humiliation are hidden and privatized in modern society. We feel ashamed of our shame. In this article we explore the question if, parallel to the Icelandic sagas where shame without redress could lead for instance to apthy, modern types of shame and shaming is equally associated to psychiatric illhealth. Chapter 8 - This commentary will focus on an exploration of Eriksonian identity formation in emerging adulthood with a special emphasis on how the unique epigenetic struggles of this developmental period may lead to experiences of neuroticism and anxiety. Recent lines of research (Arnett, 1998, 2000, 2001) suggest that emerging adulthood is a time of profound identity exploration for young people. Emerging adults explore issues of identity concerning work, love, purpose, and meaning amidst a period of life marked by increased freedom and significant decision-making. However, contemporary western society seems to foster a prolonged adolescence in emerging adulthood. While emerging adults begin to make choices concerning their identities and their life course, they are relatively free of adult responsibilities and commitments. Meanwhile, Erikson (1950, 1968, 1982) perceived the conflict between identity versus role confusion as an integral struggle in adolescence. With the shift in contemporary society toward a prolonged adolescence, many emerging adults face questions concerning identity in a developmental period which differs markedly from traditional conceptions of adolescence. Greater freedom afforded by college, separation from parents, and increased autonomy to make life decisions makes emerging adulthood unique. Erikson (1950, 1968) felt that lacking a coherent sense of identity causes great anxiety, as does the struggle to achieve this sense of identity. Meanwhile, Fromm (1941, 1947, 1955) suggests that freedom, while perceived of as liberating, actually, causes a great deal of anxiety and that humanity tends to escape from freedom rather than embrace and capitalize on its potential. Therefore, the understanding of a great deal of anxiety and neuroticism in emerging adulthood may lie in an integration of these theories. The increased freedom of emerging adulthood, combined with the potentially stressful issues of identity, intimacy, and facing the incoming commitments of adulthood, may contribute to increased experiences of anxiety and neuroticism. The anxiety produced by increased freedom may lead some to seek escape from this very freedom, which in turn, may cloud and disrupt identity exploration and commitment leading to role confusion and even more anxiety. For instance, automaton conformity (becoming totally immersed in one‘s culture and forsaking an individual sense of identity) could alleviate the anxiety of freedom, but it may exacerbate the anxiety of role confusion throughout emerging adulthood. Finally, potential solutions for such neuroticism and anxiety are suggested based upon the theories of Erikson (1950, 1968, 1982) and Fromm (1941, 1955).

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xiii

Chapter 9 - Psychologists have been aware for a long time of the significant psychological distress associated with ―the tyranny of the shoulds‖ (K. Horney). The tyranny that perfectionists subject themselves to often leads to self-condemnation and depression. While perfectionism has been associated with guilt dynamics, the form of perfectionism that is most frequently discussed by psychologists is connected to self-condemnation for perceived failures to reach the high standard set for personal achievement. There is therefore a strong link between perfectionism and inferiority shame. Three approaches to the treatment of shame-based perfectionism are developed. The first approach is based in cognitive therapy. It is argued that perfectionism is grounded in a faulty core belief about the self—namely, ―I am what I achieve.‖ It is further argued that release from perfectionism requires embrace of the belief that what is ultimately most important is a personal conviction that one is good, worthy, and loveable. The second method makes use of strategies developed by John Bradshaw for accepting and affirming all one‘s sub-selves. Bradshaw‘s approach is critiqued, however, for the way in which shame-based and guilt-based perfectionism are confused. This confusion leads to significant deficiencies in his therapeutic system. The third method is a modification and adaptation of Heinz Kohut‘s strategy of ―mirroring‖ developed for use in work with clients with narcissistic personality disorder. Therapeutic mirroring is a stance of affirmation, acceptance, and admiration. It is contended that shame-based perfectionism is associated with conflict between the grandiose and idealizing selves that expresses itself through criticism and condemnation. It is suggested that a strong therapeutic intervention is to help the client replace condemnation with mirroring. Chapter 10 - There is considerable evidence that neuroticism is associated with selfreported physical health, although the exact mechanisms involved are not clear. However, self-reports of neuroticism may be distorted by concerns about social desirability and/or lack of awareness, thus potentially biasing its correlations with health behaviors. In this chapter, we first review issues concerning the explicit (self-report) measurement of neuroticism. We then review recent research which indicates that explicit and implicit measures of neuroticism are at best weakly related. Discussion then focuses on how implicitly assessing neuroticism might enhance our understanding its associations with outcome variables, including health behaviors. This discussion also considers the characteristics of two related implicit measures, the Implicit Association Task (IAT; Greenwald, McGhee, & Schwartz, 1998) and the Go/Nogo Association Test (GNAT; Nosek & Banaji, 2000). Preliminary evidence is presented that suggests that the GNAT may be a more appropriate measure than the IAT. We present evidence from two large undergraduate samples that GNAT-assessed neuroticism predicts self-reported health behaviors over and above self-reported neuroticism. The chapter closes with the suggestion that measuring neuroticism both implicitly and explicitly is a promising research strategy for understanding its associations with other variables. Chapter 11 - Shame has been identified as an intense unpleasant emotion (Wicker, Payne, & Morgan, 1973) with potentially deleterious effects on motivation and goal-striving (Fischer & Tangney, 1995). This chapter aims to explore the utility of self-determination theory (SDT) in understanding the experience of shame and the effects of being motivated by shame avoidance. Key constructs and mechanisms from SDT that explain the adaptive and maladaptive effects of shame experience and shame avoidance on behaviour will be identified and discussed. Specifically, introjected regulation, one of six regulatory styles specified by SDT, is particularly pertinent to well-documented associations between shame, maladaptive

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coping, and avoidant behavioural tendencies (e.g., Tangney, Fischer, Flicker, & Barlow, 1996). Introjected regulation is considered a psychological mediator characterised by avoidance of thoughts of shameful experiences or behaviours that could result in shameful emotional reactions in the future. The value of SDT in explaining and evaluating behavioural consequences of shame will be discussed using applied examples from educational, health, and resource conservation research. As the regulatory styles proposed by SDT have differing patterns of associations with psychological well-being, behavioural quality, and persistence, the theory can offer both an account of the consequences of shame and methods through which to reduce maladaptive reactions to this emotion. Ideas for further research approaching shame from an SDT perspective will be proposed, including an examination of whether inducing particular motivational orientations could serve as a buffer against the maladaptive effects of shame. Chapter 12 - Before the explosion of interest in mindfulness-based interventions (e.g. Hayes, Follette, & Linehan, 2004), early meditation researchers explored the impact of personality traits on response to sitting meditation practice, particularly with Transcendental Meditation. The purpose of this chapter is to provide a brief overview of that early research and explore how some of the findings of these often forgotten studies may be incorporated into contemporary research on meditation-based treatments. Given the incidence of depression in individuals high in neuroticism, particular emphasis is placed on understanding how neuroticism might impact and be impacted by Mindfulness-Based Cognitive Therapy for depression (Segal, Williams, & Teasdale, 2002). Chapter 13 - A review of research indicated that suicidal behavior is consistently associated with Eysenck‘s measures of neuroticism and psychoticism. It is suggested that future research should explore the value of a zonal analysis involving these two traits in identifying different rates and types of suicidal behavior.

In: Psychology of Neuroticism and Shame Editor: Raymond G. Jackson, pp. 1-36

ISBN: 978-1-60876-870-7 © 2010 Nova Science Publishers, Inc.

Chapter 1

NEUROTICISM: THE PERSONALITY RISK FACTOR FOR STRESS AND IMPAIRED HEALTH AND WELL-BEING Sharon Grant Faculty of Higher Education, Swinburne University of Technology, Melbourne, Australia

ABSTRACT This chapter reviews the literature on the Big Five and physical and mental health, focussing on neuroticism as the personality risk factor for stress and impaired health and well-being. Although neuroticism is often associated with excessive or unfounded symptom and illness reporting, studies of objective health outcomes, such as longevity or mortality, have confirmed that the trait does indeed play a genuine role in objective health status. With regard to mental health, neuroticism is associated with a range of conditions, and recent work has linked the trait with DSM-IV personality disorders. In addition, neuroticism is a strong and consistent predictor of both subjective (hedonic) and psychological (eudaimonic) dimensions of well being. This chapter presents an overarching process model, describing the effect of neuroticism on various intermediate mechanisms that tie situational stressors to negative health and well-being outcomes. Evidence is reviewed linking neuroticism with stressor exposure and emotional reactivity, negative cognitive appraisal, maladaptive and ineffective coping, and risky health behavior. The combined/interactive effect of neuroticism and other traits on vulnerability is also considered. The chapter examines biological and psychological mechanisms underlying the toxic effect of neuroticism, and concludes with a discussion of possible intervention strategies.

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INTRODUCTION Chapter Overview The first section of this chapter provides a historical overview of the personality-illness relationship, including the role of psychological stress in mediating this relationship. Discussion of stress focuses on the Transactional Model of Stress and Coping, in which cognitive appraisal and coping mediate between potentially stressful events and the subsequent experience of stress, illness, and disease. The Five-Factor Model (FFM) of trait personality (extraversion, neuroticism, conscientiousness, agreeableness, openness) is then introduced as a powerful framework for understanding the role of personality in illness and disease. The next section of the chapter identifies neuroticism as the personality risk factor for stress and impaired health and well-being. The section begins with a review of studies on the relationship between FFM personality and physical and mental health outcomes. Discussion of the relationship between personality and mental health focuses on DSM-IV personality disorders, a topic area which has generated considerable interest in recent years. The relationship between personality and well being in the general population is also discussed. In the next section, explanatory mechanisms or mediating processes in the personalityillness relationship are examined. An overarching process model is presented which describes the effect of neuroticism on various intermediate mechanisms that tie situational stressors to health and well-being. The chapter concludes with a summary and discussion of possible interventions to appease the detrimental impact of neuroticism. It is noted that future research should focus on the direct evaluation of explanatory mechanisms underlying the personality-illness relationship.

The Personality-Illness Relationship: Where It Began The idea of a relationship between personality and illness began in ancient Greek philosophy, with Hippocrates‘ notion of mind-body dualism (Brantley & Garrett, 1993). Hippocrates believed that four bodily humors provided the basis for personality: black bile, blood, phlegm, and yellow bile (Friedman & Booth-Kewley, 1987). The four humors were theorized to correspond with specific temperaments - melancholic (depressed), sanguine (optimistic), phlegmatic (apathetic), or choleric (angry) respectively – with a person‘s predominant humor determining his or her ‗personality type‘ (Friedman & Booth-Kewley, 1987). Hippocrates‘ theory was later expanded by Galen, a second century physician who believed that humoral imbalance, an excess of any one humor, would give rise to illness and disease (Brantley & Garrett, 1993; Elliot & Sheldon, 1997; Friedman & Booth-Kewley, 1987; Michaels, Michaels, & Peterson, 1997). In contrast, a balance between the humors was thought to promote ‗good humor‘ or well-being (Winter, 1996). However, with the emergence of Cartesian dualism interest in the personality-illness relationship declined and the area did not re-emerge as a legitimate field of scientific enquiry until much later (Brantley & Garrett, 1993).

Neuroticism: The Personality Risk Factor for Stress and Impaired Health…

3

Modern interest in the personality-illness relationship arose from Freudian psychology, in particular the psychodynamic treatment of hysterical paralysis (see Brantley & Garrett, 1993; Elliot & Sheldon, 1997; Friedman, 1990; Friedman & Booth-Kewley, 1987). Freud drew attention to the effect of unconscious conflict on physiological arousal and related symptoms (Emmons & King, 1988). The psychodynamic tradition gave birth to ‗Specificity Theory‘, the notion that a given illness could be attributed to the influence of a specific trait or underlying conflict (Brantley & Garrett, 1993). By mid-century, there was considerable interest in the topic, which came to be known as ‗psychosomatic medicine‘: the study of mental disturbance and organic disease (Friedman, 1990). Interest in Specificity Theory persevered throughout the 1950s and 1960s (Brantley & Garrett, 1993), however much of the research was methodologically questionable and the field eventually fell into disrepute (Friedman, 1990). In the 1960s and 1970s, attention shifted to the relationship between quantifiable life events and illness (e.g., Holmes & Rahe, 1967), and psychological stress was introduced as a mediator of the personality-illness relationship (Brantley & Garrett, 1993; Lazarus, 1990). Since then, stress has become a pivotal context in which to examine personality and illness (see e.g., Wiebe & Smith, 1997). While interest in the personality-illness relationship has fluctuated over time (Brantley & Garrett, 1993; Elliot & Sheldon, 1997; Suls & Rittenhouse, 1987), there is currently much interest in the topic (Korotkov & Hannah, 2004; Michaels et al., 1997; Wiebe & Smith, 1997), with considerable attention to the role of personality in the stress-illness relationship since the mid-1980s (Vollrath, 2001). Given the importance of stress and related concepts in the personality-illness literature, the stress-illness relationship will be discussed in some detail below. Renewed interest in personality and health has been driven by the progression of health and personality psychology, and behavioral medicine more generally (Korotkov & Hannah, 2004; Suls & Rittenhouse, 1990). In recent years, studies linking personality to objective health outcomes, such as illness onset and longevity, have seen a resurgence of research in this area, with such studies dismissing longstanding criticism regarding the limited predictive validity of personality measures (Smith, 2006).

Stress as a mediator of the personality-illness relationship The role of personality in stress and related health outcomes is recognized in epidemiology, physiology, sociology, and psychology, with each discipline adopting its own unique theoretical and/or methodological approach (Parkes, 1994). However, a central thesis, regardless of the discipline, is that susceptibility to stress-related illness and disease is not random but systematic; that is, a person may be more or less vulnerable or resilient on the basis of personality (Friedman, 1990). Psychological models of stress vary, although most include a basic tri-level structure in which the effect of an antecedent variable or ‗stressor‘ is altered by or filtered through moderating or mediating variables (e.g., cognitive appraisal, coping) to influence the outcome variable, ‗strain‘ e.g., health (see Deary et al., 1996). Perhaps the most influential model to have emerged is Lazarus and Folkman‘s (1984) Transactional Model of Stress and Coping. Within this model, cognitive appraisal is theorized to mediate between the perception of a potentially stressful event and the subsequent experience of stress to influence the individual‘s psychological and physiological response to the event.

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Cognitive appraisal can be defined as an individual‘s evaluation of the significance of a potentially stressful event for personal well-being, given his/her goals and needs (Kuppens, Van Mechelen, Smits, De Boeck, & Ceulemans, 2007). According to Lazarus and Folkman, the appraisal process is tri-phasic: (1) Primary Appraisal – assessment of the event‘s significance for personal well-being; (2) Secondary Appraisal – (a) assessment of what can be done about the event, given one‘s available resources and (b) subsequent initiation of a coping response; and (3) Reappraisal - re-assessment of the event, including whether a further coping response is required. It should be noted that cognitive appraisal is not necessarily conscious in this model (Siegall & Cummings, 1995). Primary appraisal is subdivided into (1) ‗irrelevant‘, (2) ‗benign-positive‘ and (3) ‗stressful‘ (Monroe & Kelley, 1997; Peacock & Wong, 1990), where the latter is thought to arise from the appraisal of (a) harm (possibility of damage/loss), (b) threat (possibility of future damage/loss), or (c) challenge (possibility of gain/growth and damage/loss) (Monroe & Kelley, 1997; Peacock & Wong, 1990; Tomaka, Blascovich, Kesley, & Leitten, 1993). Harm appraisal is ‗post hoc‘ by definition, in that it does not occur until after the stressful event, while threat and challenge appraisal are ‗a priori‘, occurring before or in anticipation of the stressor (Peacock & Wong, 1990; Tomaka et al., 1993). The appraisal of a situation as harmful, threatening, or challenging is associated with an alteration in the intensity of mood or affect, triggering a cycle of change in the person‘s psychological and physiological functioning (Cox & Ferguson, 1991; Dewe, Cox, & Ferguson, 1993; Siegall & Cummings, 1995). Challenge appraisal may fluctuate between potential growth/gain and potential damage/loss, and can therefore oscillate between a state of positive and negative physiological arousal (Semmer, 1996). While primary appraisal is concerned with assessment of the event‘s significance for personal well-being (Callan, Terry, & Schweitzer, 1994; Peacock & Wong, 1990), secondary appraisal is concerned with assessment of whether one can manage the event categorized as ‗stressful‘ during primary appraisal (Cox & Ferguson, 1991; Hobfoll, 1988; Monroe & Kelley, 1997; Peacock & Wong, 1990). During secondary appraisal, the individual must assess available coping strategies or preferred coping styles in light of the situation at hand and select a coping response (Cox & Ferguson, 1991; Matheny, Aycock, Curlette, & Junker, 1993; Peacock & Wong, 1990). A coping response is not initiated unless the event is appraised as stressful in the first instance therefore coping is dependent on the outcome of primary and secondary appraisal (Dewe et al., 1993; Siegall & Cummings, 1995). It is during the coping phase that the individual is able to test the ‗workability‘ of secondary appraisal (Payne, 1991). The fact that coping is interwoven with cognitive appraisal as a key variable in the stimulus-response process is a defining characteristic of the Transactional Model of Stress and Coping (Dewe et al., 1993; Monroe & Kelley, 1997). Coping, any behavioral or cognitive attempt to control, reduce, or prevent distress in the presence of internal or external demand (Folkman & Lazarus, 1980; Lazarus, 1990), is thought to influence physiological arousal via its impact on (a) the intensity or duration of the stressor and/or (b) the likelihood that the stressor will recur or be appraised as stressful in the future (Wiebe & Smith, 1997). Although the central purpose of coping is to reduce tension and restore equilibrium through stressor reduction, coping may be adaptive or maladaptive (Parkes, 1994). Stress is thought to arise from (a) the appraisal of an event as harmful, threatening, or challenging, and (b) the appraisal that an adequate or appropriate coping response is

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unavailable (Cohen, Kamarck, Mermelstein, 1983; Cohen & Edwards, 1989). The stressor is manageable to the extent that the individual‘s perceived coping resources (secondary appraisal) are appraised as high in relation to the perceived threat (primary appraisal) associated with the event (Bouchard, 2003). At a general level, stress is hypothesized to contribute to illness and disease through deregulation of (a) the autonomic nervous system (e.g., cardiovascular and neuroendocrine activity) and (b) immune system functioning (Brantley & Garrett, 1993; Brown, 1993; Michaels et al., 1997; Siegrist, 1995; Wiebe & Smith, 1997). Reappraisal is concerned with the individual‘s subsequent assessment of the stressful event. Information and experience gained from the initial person-environment transaction is used to re-evaluate the situation and assess whether a further coping response is required (Tomaka et al., 1993). If the event is appraised as irrelevant or benign at this point, then no further coping response is initiated. If on the other hand, the event is still appraised as stressful, there is a continuation of the cognitive appraisal-coping-reappraisal sequence. To summarize, according to the Transactional Model of Stress and Coping, an individual‘s response to a potentially stressful event is a function of the perceptual inter-face between person and environment, as opposed to the quality or intensity of events per se (Cohen et al., 1983; Fleming, Baum, & Singer, 1984; Monroe & Kelley, 1997). With regard to strain, the causal mechanism is the individual‘s cognitively-mediated response (cognitive appraisal, coping) to the stressful event, the product of which is related to physiological arousal and subsequent vulnerability to stress-related illness and disease (Cohen et al., 1983). Several of models theorize a central role for personality in this process. For example, personality may influence the likelihood that a person will experience a stressful event (stressor exposure), his/her assessment of that event (cognitive appraisal), the selection of more or less adaptive coping strategies (coping), the extent of his/her emotional or physiological reaction (reactivity), and the etiology and progression of stress-related illness and disease e.g., due to underlying pathology (Cohen & Edwards, 1989; Friedman, 1990; Leventhal & Tomarken, 1987; Mäkikangas & Kinnunen, 2003; Siegall & Cummings, 1995; Suls & Rittenhouse, 1990; Wiebe & Smith, 1997). As discussed later in this chapter, empirical work has identified a clear role for stress and related mediating processes in explaining the personality-illness relationship.

The ‘Big five’ traits and the personality-illness relationship Much of the variance in personality can be accounted for by the ‗Big Five‘ factors of extraversion, neuroticism, conscientiousness, agreeableness and openness (Costa & McCrae, 1992; Goldberg, 1993; McCrae & John, 1992). Stone and Costa (1990) described the Five Factor Model (FFM) as a powerful framework for understanding the role of personality in illness and disease. Preliminary support for the Big Five – then labelled Surgency (extraversion), Emotional Stability (neuroticism), Conscientiousness, Agreeableness, and Culture (openness) – first appeared in the early 1960s (Goldberg, 1993; Winter, 1996). However, sporadic support for the Big Five throughout this decade, coupled with a demoralization of personality psychology in the 1970s, meant that the FFM did not emerge as a dominant framework until much later (McCrae & John, 1992). The 1980s saw mounting evidence for the validity of the FFM, and the subsequent development and broad application of the NEO Personality Inventory (NEO-PI) (Costa & McCrae, 1985), and later the NEO-PI Revised and the NEO-FFI (Costa & McCrae, 1992), as major assessment tools for the Big

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Five (Digman, 1990; McCrae & Costa, 1987; McCrae, Costa & Busch, 1986; Rust, 1999). The NEO-PI-R measures 30 facets or sub-traits classified according to the Big Five domains: (1) Extraversion (activity, assertiveness, excitement seeking, gregariousness, positive emotions, warmth); (2) Neuroticism (angry hostility, anxiety, depression, impulsiveness, selfconsciousness, vulnerability); (3) Conscientiousness (achievement striving, competence, deliberation, dutifulness, order, self-discipline); (4) Agreeableness (altruism, compliance, modesty, straightforwardness, tender-mindedness, trust); and (5) Openness (actions, aesthetics, fantasy, feelings, ideas, values). The role of traits - defined and measured according to the FFM - in the personality-illness relationship is a relatively young research pursuit. Historically, the personality dimension that has received the most attention in this context is ‗Type A‘ behavior pattern (TABP) (Jex, 1998). TABP first came to prominence in the field of cardiology in the 1950s (see Friedman & Rosenman, 1959), based on the observation that people with coronary heart disease (CHD) frequently exhibited ‗hurry sickness‘ e.g., ambitiousness, competitiveness, explosive speech, impatience, irritability, rapid jerky body movement, tense facial and body musculature, time urgency (Dembroski & Costa, 1987; Järvikoski & Härkäpää, 1987; Powell, 1987). TABP was measured on a single dimension from ‗Type A‘ to ‗Type B‘, where Bs exhibited such behavior to a lesser extent. The general argument was that ambitious, hard-driving, Type As were more likely to succeed than their Type B counterparts, but simultaneously risked paying a hefty price in relation to their health (Spence, Helmreich, Pred, 1987). However, inconsistent evidence for a TABP-CHD relationship led to a reconceptualization of TABP as a multi-dimensional construct, as opposed to a global coronary-prone behavior pattern (Dembroski, 1985; Ganster, Schaubroeck, Sime & Mayes, 1991; Spence et al., 1987). A distinction was drawn between ‗toxic‘ versus ‗protective‘ Type A behaviors, and attention quickly shifted to hostility as the likely toxic component (Costa, Stone, McCrae, & Dembroski, 1987; Dembroski, 1985; Dembroski & Costa, 1987; MacDougall, Dembroski, Dimsdale, & Hackett, 1985). There is now considerable evidence to support the view that the relationship between TABP and CHD is dimension-specific (Costa et al., 1987; Dembroski, 1985; Dembroski & Costa, 1987, 1988; Ganster et al., 1991; MacDougall et al., 1985). Spence et al. (1987) identified a two-factor model of Type A behavior, ‗achievement striving‘ and ‗impatienceirritability‘, which subsequently gained popularity in the literature (see e.g., Bluen, Barlin, & Burns, 1990; Lee, 1992; Lee, Ashford, & Jamieson, 1993; Spector & O‘Connell, 1994; Spence et al., 1987; Spence, Pred, & Helmreich, 1989; Ward & Eisler, 1987a, 1987b). Achievement striving is positively related to academic and job performance, problem-focused coping, and job satisfaction, suggesting a protective function (see Bluen et al., 1990; Lee, 1992; Lee et al., 1993; Spence et al., 1987; Spence et al., 1989). However, this dimension may be associated with disordered achievement-related self-regulation (Ward & Eisler, 1987a, 1987b). In contrast to achievement striving, impatience-irritability is negatively related to problem-focused coping and job satisfaction, and positively related to depression (see Bluen et al., 1990; Lee, 1992; Lee et al., 1993; Spence et al., 1987; Spence et al., 1989). Within the FFM, achievement striving is captured by the dimension of conscientiousness. Impatience-irritability on the other hand, is captured by neuroticism and antagonism or low agreeableness. This chapter reviews the literature on the Big Five and the personality-illness relationship, focussing on neuroticism as the personality risk factor for stress and impaired

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health and well-being. Consistent with Suls and Martin (2005), the chapter focuses on neuroticism scores that fall at the high end of the normal personality continuum.

NEUROTICISM AS A RISK FACTOR FOR STRESS AND IMPAIRED HEALTH AND WELL-BEING This section focuses on studies of the relationship between personality and physical and mental health outcomes. Explanatory mechanisms underlying the personality-illness relationship are considered later in the chapter.

Neuroticism and Physical Health While neuroticism is negatively related to physical health, extraversion, conscientiousness, openness, and agreeableness are generally positively related to physical health. When discussing the relationship between personality and physical health, it is important to distinguish between two different types of studies that exist within this literature: those based on self-reported health outcomes, such as symptom and illness reports or perceived health status, and those based on objective health outcomes, such as diagnosed disorders and diseases or mortality (c.f Smith, 2006). The importance of this distinction is elaborated below.

Self-reported health outcomes Neuroticism has been consistently linked with self-reported symptoms and illness. For example, Jerram and Coleman (1999) found that neuroticism was associated with higher selfreported illness, poorer perceived health, and higher physician utilization among the elderly. In contrast, agreeableness and openness were associated with good perceived health, and conscientiousness was associated with higher physician utilization but good perceived health among men, while agreeableness was associated with lower physician utilization and lower self-reported illness among women. Goodwin and Engstrom (2002) found that low neuroticism and high extraversion, conscientiousness, and openness were associated with good perceived health among both healthy and unhealthy respondents. While self-report measures are convenient, such measures are more likely to indicate illness behavior - behavior associated with the perception of illness e.g., absenteeism, physician utilisation, over or under reporting symptoms, self-medicating - as opposed to objective health status per se (Smith & McKenzie, 2006; Wiebe & Smith, 1997). The association between neuroticism and self-reported symptom and illness reporting may reflect the trait anxiety or negative affectivity (NA) facet of the trait. NA is characterized by a generalized sense of negative emotionality or subjective distress (Watson & Clark, 1984; Watson, Clark, & Tellegen, 1988; Watson & Pennebaker, 1989). Those who score high on NA tend to be introspective, and to dwell on the negative side of themselves, others, and the world in general (Watson & Clark, 1984; Watson & Pennebaker, 1989). As a result, they have a negative self-concept and feel dissatisfied on the whole (Watson & Pennebaker, 1989). As such, NA may increase self-focused attention or somatic concern, leading to a preoccupation

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with sensation and illness and an increased tendency to perceive, report, or act on sensation as illness (Wiebe & Smith, 1997). Watson and Pennebaker (1989) described NA as a general trait of somatopsychic distress that is associated with a broad range of self-reported symptoms. They found that NA was unrelated to objective health status. Recent research has shown that neuroticism is associated with negative aging self-stereotypes, which in turn affect perceived health status (Moor, Zimprich, Schmitt, & Kliegel, 2006). The relationship between neuroticism and excessive or unfounded symptom and illness reporting is consistent with an Illness Behavior Model. According to this model, neuroticism is related to subjective health status via hyper-vigilance and hypochondriasis. However, other studies have refuted a general attentional or recall bias hypothesis. For example, Johnson (2003) found that neuroticism was positively related to tension symptom reporting (e.g., high blood pressure, neck pain, migraine) but was unrelated to asthma or common cold symptom reporting. Stone and Costa (1990) suggested that the disposition to report symptoms in the absence of organic disease may indicate (a) a tendency to worry about health more than usual due to anxiety, depression, or a general vulnerability factor; (b) hyper-sensitivity to pain; (c) a history of reinforcement for adopting a sick role; (d) an illness or disease-prone experience of life and subsequent tendency to perceive, recall and report symptoms in a manner consistent with this; or (e) symptoms that are due to something other than organic disease. According to this view then, the tendency to over-report symptoms can be attributed to individual differences in subjective experience rather than a report bias (Goodwin, Cox, & Clara, 2006).

Objective health outcomes In light of the ambiguities associated with self-reported health outcomes, researchers are increasingly turning their attention to prospective studies of objective health outcomes. Such studies have confirmed that neuroticism does indeed play a genuine role in objective health status. Several studies have examined the relationship between personality traits and mortality or outcomes associated with the prevalence and course of specific physical disorders or diseases. Wilson et al. (2005) found that high neuroticism (90th percentile) was associated with a 33% increase in risk of death among those aged 65 or older, compared with low neuroticism (10th percentile). High extraversion was also associated with higher risk, although the risk (21%) was substantially lower than for high neuroticism. Adjustment for baseline cognitive, social, and physical activity attenuated the effect of both traits, suggesting that these variables were possible mediators. A recent study of risk of mortality from particular causes (Shipley, Weiss, Der, Taylor, & Deary, 2008) revealed that a one standard deviation increase in neuroticism was associated with a 12% increased risk of death from cardiovascular disease. This remained significant after adjustment for age, gender, occupational social class, education, smoking, alcohol consumption, physical activity, and health. However, neuroticism was not associated with death from lung cancer and other forms of cancer, respiratory disease, or stroke. Extraversion was a protective factor for risk of death from respiratory disease in this study. Goodwin and Friedman (2006) examined the relationship between the Big Five and common mental and physical disorders among adults in the general population. They found that neuroticism was associated with increased likelihood of a wide range of mental and physical disorders, while conscientiousness was associated with reduced likelihood. A study of the relationship between neuroticism and physical disorders among adults in the general community (Goodwin et al., 2006), showed that neuroticism was associated with increased

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odds of arthritis (odds ratio [OR] = 1.5), diabetes (OR = 3.33), kidney/liver disease (OR = 2.56), stomach/gallbladder problems (OR = 2.27) and ulcer (OR = 3.23). These associations persisted after adjusting for differences in demographic characteristics and comorbid mental health disorders. A twin study (Charles, Gatz, Kato, & Pedersen, 2008), indicated that the likelihood of having a physical condition at 25-year follow up was related to higher prior neuroticism, although some associations were attenuated when familial similarity was controlled. Other studies have focused on progression or recovery in relation to specific conditions. A recent study (Ironson, O‘Cleirigh, Weiss, Schneiderman, & Costa, 2008) reported that facets within the domains of extraversion (assertiveness, positive emotionality, gregariousness), conscientiousness (achievement striving, order) and openness (ideas, aesthetics) were associated with slower HIV disease progression. In addition, profile analyses indicated that the following ‗types‘ were associated with slower disease progression: low neuroticism plus high extraversion, low neuroticism plus high conscientiousness, high extraversion plus high conscientiousness, high extraversion plus high agreeableness, and high extraversion plus high openness. In contrast, low extraversion plus low openness was associated with faster disease progression. Once again, the results suggest that high neuroticism is a risk factor, while high scores on the remaining traits confer an adaptive effect. Chung, Berger, Jones, and Rudd (2006) investigated the relationship between personality traits and post-traumatic stress disorder (PTSD) symptoms and health problems in older patients following myocardial infarction (MI). They found that neuroticism predicted all post MI PTSD symptoms as well as general health problems, while low agreeableness (antagonism) predicted hyper-arousal symptoms only. In addition, extraversion, conscientiousness, and openness were unrelated to post-MI PTSD or general health problems. The results remained significant when controlling for angina, angioplasty, bypass surgery, heart failure, and previous mental health problems. The authors noted the consistency between their findings and the general PTSD literature, where neuroticism is the primary personality risk factor for developing PTSD.

Neuroticism and Mental Health Psychopathology Neuroticism is associated with a range of mental disorders, most notably anxiety, mood, substance, and personality disorders (see e.g., Clark, Watson, & Mineka, 1994; Costa & McCrae, 1990; de Graaf, Bijl, Ravelli, Smit, & Vollenbergh, 2002; Frokjaer et al., 2008; Hirschfeld, Klerman, Lavori, & Keller, 1989; King, Bernardy, & Hauner, 2003; Mangold & Wand, 2006; Weinstock & Whisman, 2006; Zonderman, Herbst, Schmidt, Costa, & McCrae, 1993). In addition, the trait has been linked with first instance of mental disorders in the general population, as well as symptom severity, treatment efficacy, and remission and recovery among psychiatric patients (Goodwin et al., 2006). A full review of the role of personality in mental health is beyond the scope of this chapter. Therefore, the discussion below will focus on personality disorders (PDs) only. The relationship between broad dimensions of normal personality, as measured by the Five Factor Model, and PDs has become a major focus for research, with an abundance of

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studies in the past decade (for reviews see Samuel & Widiger, 2008; Saulsman & Page, 2004). Led by Widiger and colleagues, recently there has been considerable discussion of the implications of this research for Diagnostic and Statistical Manual of Mental Disorders, Fifth Edition (DSM-V) (see e.g., Widiger & Samuel, 2005; Widiger, Simonsen, Krueger, Livesley, & Verheul, 2006; Widiger & Lowe, 2008; Widiger & Trull, 2007). For example, are personality disorders best diagnosed using categorical or dimensional models of classification? The basic argument is that PDs can be conceptualized as ‗extreme variants‘ of normal personality dimensions. Widiger and Lowe (2007) highlighted three advantages of a Five-Factor Model of PDs: (a) precise yet comprehensive description of both abnormal and normal personality functioning; (b) avoidance of the limitations/problems inherent in the categorical diagnostic system (e.g., heterogeneous category membership, boundary with normality is unstable, diagnostic co-occurrence); and (c) integration of research on general personality functioning into current description and understanding of PDs. Saulsman and Page (2004) conducted a meta-analysis of studies examining the relationship between the Big Five domains and the 10 PD diagnostic categories included in DSM-IV: Antisocial, Avoidant, Borderline, Dependent, Histrionic, Narcissistic, ObsessiveCompulsive, Paranoid, Schizoid, and Schizotypal. They examined maladaptive personality domains both within and across PD categories. Findings revealed that (high) neuroticism and (low) agreeableness were common across most PDs (except Dependent), while high or low extraversion and, to a lesser extent high or low conscientiousness, were common to some PDs but not others. In general, effect sizes for neuroticism and agreeableness were substantial and directionally-consistent across the PDs. Neuroticism was positively associated with PDs characterized by emotional distress (Avoidant, Borderline, Dependent, Paranoid, and Schizotypal) and agreeableness was negatively associated with PDs characterized by interpersonal problems (Antisocial, Borderline, Narcisstic, Paranoid, and Schizotypal). For extraversion, PDs characterized by gregariousness showed a positive association (Histrionic and Narcissitic), while those characterized by shyness and withdrawal showed a negative association (Avoidant, Schizoid, Schizotypal). For conscientiousness, PDs associated with orderliness showed a positive association (Obsessive-Compulsive), while those associated with recklessness showed a negative association (Antisocial and Borderline). The magnitude of the effect sizes for each PD indicated that, overall, the Five-Factor Model was better at conceptualizing some PDs (Avoidant and Borderline) than others (Obsessive-Compulsive and Schizoid). Results were generally consistent across both clinical and non-clinical samples. The authors concluded that high neuroticism-low agreeableness is likely to be an issue for a substantial number of PD patients. It may be that low agreeableness exacerbates the effect of high neuroticism on mental ill health. A limitation of the Saulsman and Page meta-analysis was that it focused on a domainlevel analysis, rather than a facet-level analysis based on the 30 sub-traits of the FFM. The authors acknowledged that for some PDs, lower order facets may show a consistent pattern (all high or all low), whereas for other PDs lower order facets may be inconsistent (some high and some low). Notably however there were few facet-level studies available for analysis at the time of this meta-analysis. Samuel and Widiger (2008) replicated and extended the Saulsman and Page metaanalysis by conducting both a domain-level analysis and a facet-level analysis, using 18 new, independent samples. While the Saulsman and Page meta-analysis indicated that five of the 10 PDs were meaningfully related to neuroticism, Samuel and Widiger found that only one of

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these PDs (Borderline) correlated above .20 with the impulsivity facet. Furthermore, the Antisocial and Dependent PDs correlated with neuroticism for different reasons: Antisocial PD correlated only with the angry hostility and impulsiveness facets, whereas Dependent PD correlated with the other four facets. Similarly, the Antisocial, Borderline, Paranoid, Narcissistic, and Schizotypal PDs all correlated with low agreeableness, but the facet-level analysis indicated that only one of the PDs (Narcissistic) was associated with the modesty facet. The authors concluded that PDs may be associated with the same FFM domain but for largely different reasons. On the basis of their findings, they suggested that the five global domains may be too broad to have diagnostic utility. The development of explanatory models of the relationship between personality traits and psychopathology is in its infancy. The question remains as to how neuroticism, agreeableness and extraversion are maladaptive among those with PDs. Saulsman and Page (2004) noted that extreme scores on personality traits are not sufficient for the development of PDs. Clark (2005) proposed that innate temperament dimensions interact with life stress to differentiate into risk factors for psychopathology through developmental pathways.

Well-being A discussion of the relationship between personality and mental health would not be complete without considering dimensions of psychological functioning in the general population. Well-being is an important index of psychological functioning and quality of life, and represents a desired mental state for most people (Schmutte & Ryff, 1997; Siegrist, 2003). Based on the current conceptulization in the literature, well-being can be defined as a multi-dimensional construct consisting of both hedonic and eudaimonic dimensions (Ryan & Deci, 2001). Hedonic or ‗subjective well-being‘ includes the dimensions of negative affect, positive affect, and life satisfaction (Diener, 1984; Diener, Oishi, & Lucas, 2003; Lucas, Diener, & Suh, 1996). Domain-specific measures of satisfaction, such as job satisfaction, may also be used (see Grant & Langan-Fox, 2007). In contrast, eudiamonic or ‗psychological wellbeing‘ is based on a broader approach which includes autonomy, environmental mastery, personal growth, positive relations, purpose in life, and self-acceptance (see Deci & Ryan, 2006; Ryff, 1989; Ryff & Singer, 1996). The relationship between personality and subjective well-being has been widely studied, with two major meta-analyses in the past 10 years. A meta-analysis (DeNeve & Cooper, 1998) of the relationship between 137 distinct personality constructs and subjective wellbeing found that when personality traits were grouped according to the Big Five, neuroticism was the strongest predictor of negative affect (.23) and life satisfaction (-.24), however extraversion and agreeableness were the strongest predictors of positive affect (.20 and .17 respectively). More recently, Steel, Schmidt, and Shultz (2008) performed a separate metaanalysis of the relationship between personality and subjective well-being, based only on the NEO-PI. They reported substantially larger meta-analytic correlations than those reported by DeNeve and Cooper, suggesting that combining disparate measures of the Big Five within the same analysis may attenuate the relationship between the traits and subjective well-being. Consistent with DeNeve and Cooper, neuroticism was the strongest correlate of negative affect (.54) and life satisfaction (-.38), and extraversion was the strongest correlate of positive affect (.44). VittersØ (2001) argued that it is important to identify the unique contribution of neuroticism and extraversion to subjective well-being, given that the two traits are typically

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correlated, particularly within the FFM. VittersØ found that when neuroticism was controlled in multiple regression analysis, the effect of extraversion on subjective well-being was substantially diminished or disappeared altogether. In a similar study, Hills and Argyle (2001) investigated the relationship of emotional stability (the positive analogue to neuroticism) and extraversion to happiness. They found that happiness was more strongly related to emotional stability than to extraversion, with emotional stability accounting for a greater proportion of the total variability explained in multiple regression analysis. Consistent with the subjective well-being literature, neuroticism and extraversion have also emerged as major correlates of psychological well-being. However, the other three traits, and in particular conscientiousness, are also important in this context. A study (Siegler & Brumment, 2000) of facet-psychological well-being correlations indicated that over 80% of the correlations within the domains of neuroticism, extraversion and conscientiousness were significant, compared with less than half of the correlations within the domains of agreeableness and openness. Adjusting for various spurious effects (i.e., common affective underpinnings, shared item content and source overlap), Schmutte and Ryff (1997) found that neuroticism was negatively related to autonomy, environmental mastery, purpose in life and self-acceptance; extraversion was positively related to all dimensions of psychological well-being except autonomy; conscientiousness was positively related to environmental mastery, purpose in life, and selfacceptance; and agreeableness and openness were positively related to positive relations and personal growth respectively. A factor analysis of the Big Five and well-being dimensions (van Dierendonck, 2005) revealed four factors: a well-being factor on which all subjective and psychological wellbeing scales loaded with neuroticism; a self-actualization factor consisting of personal growth, purpose in life and conscientiousness; an interpersonal relations factor consisting of positive relations and extraversion and agreeableness, and a fourth factor consisting of autonomy and openness. A study (Bardi & Ryff, 2007) of the combined/interactive effect of neuroticism and other traits in the prediction of psychological well-being following relocation, found that participants who scored low on neuroticism and high on openness reported higher environmental mastery and self-acceptance one month after relocation, and higher personal growth late in the post-relocation adjustment process. In addition, neuroticism had a significant main effect on all six aspects of psychological well-being, predicting lower postmove well-being scores. Together, these studies suggest that neuroticism is consistently related to all dimensions, except personal growth; extraversion is consistently related to environmental mastery, positive relations, purpose in life, and self-acceptance; conscientiousness is consistently related to environmental mastery, purpose in life and self-acceptance; and agreeableness is consistently related to positive relations. Other studies have examined the relationship between the Big Five and subjective and psychological well-being simultaneously. Keyes, Shmotkin, and Ryff (2002) found that people who scored low on both subjective and psychological well-being had the highest average for neuroticism and the lowest average for extraversion and conscientiousness. In contrast, those who scored high on both subjective and psychological well-being demonstrated the opposite trait profile. Openness distinguished between types with high

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psychological well-being but low subjective well-being, and types with low psychological well-being but high subjective well-being. Grant, Langan-Fox and Anglim (2009) examined the relationship between personality and well-being using a structured model comparison approach. Nested models were compared with the aim of answering the following research questions: (1) Does the size of the relationship between personality and well-being differ for subjective versus psychological well-being? (2) Does the size of the relationship between personality and well-being differ for particular personality traits? (3) Does the relationship between particular personality traits and well-being differ for subjective versus psychological well-being? (4) Given a particular personality trait (e.g., neuroticism), is the relationship between that trait larger for some wellbeing dimensions (e.g., negative affect) than for others? That is, is the relationship larger than the average personality-well-being relationship for that trait? They found that, overall, the relationship between personality and well-being was larger for psychological well-being than for subjective well-being. However, neuroticism showed a similar relationship to subjective and psychological well-being, and extraversion and conscientiousness showed a slightly stronger relationship with psychological well-being. Agreeableness showed a stronger relationship with subjective well-being than with psychological well-being, while openness showed a stronger relationship with psychological well-being. An examination of the overall relationship between the personality traits and well-being revealed that neuroticism showed the largest relationship with well-being, followed by extraversion, conscientiousness, openness and agreeableness in that order. Furthermore, neuroticism was the strongest correlate of both subjective and psychological well-being. Positive affect and negative affect showed larger than average correlations with extraversion and neuroticism respectively; personal growth showed a larger than average correlation with openness; positive relations showed larger than average correlations with extraversion and agreeableness; and purpose in life showed larger than average correlations with conscientiousness. Environmental mastery and self-acceptance were not examined in this study.

EXPLANATORY MECHANISMS: MEDIATING PROCESSES IN THE PERSONALITY-ILLNESS RELATIONSHIP Research on stress has made an important contribution to our current understanding of the role of personality in health and well-being, ―The association of increased stress with various illnesses is the single most important finding in convincing adherents to the medico-mechanical model of disease that psychosocial factors may play a role in the etiology of illness‖ (McClelland, 1985, p. 455).

The remainder of this chapter focuses on an overarching process model, describing the effect of neuroticism on various intermediate mechanisms that tie situational stressors to health and well-being. This model can be summarized as follows:

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Stressor exposure

Cognitive appraisal

(Stress

) Coping Reactivity Health behavior

Health / Well-being

The various subsections below outline how neuroticism is implicated in each of these phases of the stressor-illness process. Note that research on stressor exposure and reactivity is reviewed in the same section, given that studies have typically examined these two variables concurrently.

Neuroticism and Stressor Exposure and Reactivity Several studies indicate that neurotics report greater exposure to stressful life events and daily hassles (David, Green, Martin, & Suls, 1997; Fergusson and Horwood, 1987; Gunthert, Cohen, & Armelli, 1999; Magnus, Diener, Fujita, & Payot, 1993; Ormel & Wohlfarth, 1991; Poulton and Andrews, 1992; Zautra, Afflect, Tennen, Reich, & Davis, 2005) and are more likely to react to these stressors with emotional distress (Brow, 2008; Bolger & Shilling, 1991; Bolger & Zuckerman, 1995; Malyszczak et al., 2007; Marco & Suls, 1993; Suls, Martin, & David, 1998; Zautra et al., 2005). For example, longitudinal research has shown that neuroticism is associated with greater exposure to stressful life events during adulthood (Fergusson & Horwood, 1987; Magnus et al., 1993), and a daily diary study (Bolger & Schilling, 1991) found that neuroticism was associated with greater exposure to stressors, greater emotional reactivity to these stressors, and greater distress in general. Malyszczak et al. (2007) reported that patients with higher neuroticism scores were more likely to develop psychological distress under stress caused by somatic illness. A recent study (Brow, 2008) of stress in the wake of 9/11 revealed that neuroticism was associated with greater emotional distress. Neuroticism is also associated with stressor exposure within particular life domains, such as the work and interpersonal domains. For example, neuroticism has been linked with higher occupational stress among managers (Ahmad, James, & Ahmad, 1991) and medical consultants (Deary et al., 1996), and higher acculturative stress among international students (Duru & Poyrazli, 2007; Mangold, Veraza, Kinker, & Kinney, 2007). One study (Andreassi, 2007) found that neuroticism predicted higher scores on four measures of work-family conflict (work-to-family, family-to-work, strain-based, and time-based), while extraversion was unrelated to the four outcome measures. Neuroticism has also been linked with higher exposure to interpersonal conflict (Bolger & Zuckerman, 1995) and other negative relationship outcomes (Karney & Bradbury, 1995; Hellmuth, & McNulty, 2008). Zautra et al. (2005) found that neuroticism was associated with negative events, relationship stress, and negative affect but was unrelated to positive events or relationship enjoyment. In contrast, extraversion was associated with positive events, relationship enjoyment, and positive affect, but was unrelated to negative events, relationship stress, and negative affect. In addition, neuroticism exacerbated the effect of a day‘s negative events on negative affectivity.

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A study of the relationship between the Big Five and emotional reactivity to daily hassles (Suls, Green, & Hillis, 1998) found that those who scored high on neuroticism reported greater exposure and emotional reactivity to daily hassles, and greater distress in relation to recurrent hassles than those who scored lower on neuroticism. In addition, high neuroticism and low agreeableness were associated with a lagged-effect of prior (negative) mood on distress. In contrast, extraversion, conscientiousness and openness were unrelated to emotional reactivity or distress. Studies of personality and physiological reactivity to stress typically focus on cardiovascular reactivity or immune system functioning (Friedman, 2000). Chida and Hamer (2008) found that neuroticism was associated with decreased cardiovascular reactivity but poor cardiovascular recovery in response to stress. Findings were explained in terms of a heightened orienting response, whereby neurotics are highly attentive to external stimuli and therefore exhibit a reduction in stressor reactivity but persistence of physiological arousal after the stressor has been removed. Other studies have shown that neuroticism is associated with blunted cortisol reactivity in response to acute stress and poor antibody response (Phillips, Carroll, Burns, & Drayson, 2005). In recent years, several studies have utilized Vollrath and Torgersen‘s (2000) 8 personality types to examine the combined effect of neuroticism, extraversion and conscientiousness on stressor exposure (Grant & Langan-Fox, 2006; Lau, Hem, Berg, Ekeberg, & Torgersen, 2006; Tyssen et al., 2007). The 8 types represent unique configurations of high and low neuroticism, extraversion, and conscientiousness. Although the dichotomization of continuous personality variables into ‗high‘ and ‗low‘ categories can compromise predictive power due to loss of information (Rovik et al., 2007), the general thesis is that examining the interplay of traits (typological approach) provides a more comprehensive and detailed picture of personality than single trait models (dimensional approach), thus enabling the more reliable identification of those at risk (Tyssen et al., 2007). Two studies have shown that types characterized by high neuroticism and low conscientiousness report higher stressor exposure (Vollrath and Torgersen, 2000; Grant & Langan-Fox, 2006). A study of stress during medical school training (Tyssen et al., 2007) found that types combining high neuroticism with low extraversion and high conscientiousness were at risk for experiencing more stress, whereas types combining low neuroticism with high extraversion and low conscientiousness were protected against stress. Similarly, Lau et al. (2006) reported that the combination of low neuroticism and high extraversion was associated with lower stress among police officers, while the combination of high neuroticism and low extraversion was associated with higher stress in this context.

Explaining the neuroticism-stressor exposure and reactivity link Bolger and Zuckerman (1995) proposed that personality traits may influence (i) stressor exposure only (Differential Exposure Model), (ii) reactivity only (Differential Reactivity Model), or (iii) both exposure and reactivity (Differential Exposure-Reactivity Model). According to the Differential Exposure Model, personality influences stressor exposure but once these stressful events occur, everyone reacts in the same way. This model is consistent with a mediated effect model in which personality predicts higher stressor exposure which in turn predicts higher strain or illness. In contrast, the Differential Reactivity Model is based on a moderated effect model in which personality predicts reactivity to stressors and therefore moderates the effect of stressor exposure on strain. The research on neuroticism cited above is

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consistent with a Differential Exposure-Reactivity Model (Bolger & Zuckerman, 1995), with the trait affecting both the stressor exposure and reactivity phases of the stress-strain process, thereby increasing susceptibility to stress-related illness and disease through both mediated and moderated pathways. It may be that neurotics elicit more frequent, severe, or prolonged stressful events through their own cognitive styles and behavior (c.f. Lemos-Giráldez & Fidalgo-Aliste, 1997; Suls & Rittenhouse, 1990; Wiebe & Smith, 1997). For example, dysfunctional thinking patterns associated with neuroticism may impair decision making, leading to conflict or other problems that increase stressor exposure (Suls & Martin, 2005). It is also possible that neurotics are more likely to self-select (or be selected) into high pressure jobs or dysfunctional interpersonal settings. An alternative explanation is that neuroticism predicts perceived stress (stress perception hypothesis) rather than external stressor exposure per se (differential exposure hypothesis; Conard & Matthews, 2008). Since stressor exposure is typically assessed via self-report measures, it may be that neurotics do not experience more negative events at all but simply have a lower threshold for appraising events as negative (Suls & Martin, 2005). For example, chronic negative emotionally may mean that neurotics are more likely to notice and recall negative information. Suls and Martin (2005) recommended the use of informants as a potential strategy for tackling this methodological problem. The effect of neuroticism on reactivity could arise from its influence on (i) coping strategy choice (Differential Coping Choice Model), (ii) coping strategy effectiveness (Differential Coping Effectiveness Model), or (iii) both coping strategy choice and effectiveness (Differential Choice-Effectiveness Model) (Bolger & Zuckerman, 1995). In the Differential Coping Choice Model, the effect of personality on reactivity is mediated by coping choice: Personality predicts differential choice of coping strategies and these strategies in turn lead to different health outcomes. In other words, once particular coping strategies are chosen, these are equally as effective (or ineffective) for everyone. Thus, neurotics may simply choose maladaptive coping strategies in response to stressful events, which in turn lead to poor health outcomes. In the Differential Coping Effectiveness Model, personality moderates the effect of coping on reactivity. According to this model then, neurotics may experience more reactivity following a stressful event not because they routinely choose maladaptive strategies but because they choose strategies that are ineffective for them alone. Alternatively, it may be that neurotics try potentially effective coping strategies but fail to persist with these due to low self-efficacy or chronic negative affect (Suls & Martin, 2005; Tyssen et al., 2007). The relationship between neuroticism and coping is discussed in more detail later in the chapter. Another possibility is that the effect of neuroticism on reactivity reflects the presence of an underlying third variable, such as an in-born defect or deficit that is responsible for both the overt expression of neurotic traits, and the tendency to react more to stress (Friedman & Booth-Kewley, 1987; Suls & Rittenhouse, 1990; Wiebe & Smith, 1997). According to this Constitutional Predisposition Model, neuroticism is a marker rather than a maker of vulnerability (Suls & Rittenhouse, 1990). Recent work has supported the link between neuroticism and autonomic nervous system deregulation, and genetics appear to be least partially responsible for this effect (see Riese et al., 2007). A final possibility is that hyperreactivity increases neuroticism. However, neuroticism is likely to have causal precedence (Suls & Martin, 2005). For example, Suls and Martin suggested that the vulnerability of neurotics is likely to be rooted in biological or learned sensitivity to negative stimuli, for

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instance heredity or early socialization. They noted that the vulnerability of neurotics seems to extend to all types of stressors while other dimensions of personality, such as low agreeableness, are associated with hyper-reactivity to particular kinds of problems only.

Neuroticism and Cognitive Appraisal In addition to showing greater stressor exposure and reactivity, neurotics are also more likely to appraise events as stressful and difficult to manage. A study of primary appraisal among students (Gallagher, 1990) found that neuroticism was positively related to threat appraisal and negatively related to challenge appraisal. In contrast, extraversion showed a positive but weaker relationship with challenge appraisal. Hemenover and Dienstbier (1996) found that students who scored high on neuroticism and low on extraversion rated an exam stressor as more threatening (primary appraisal) and more difficult to cope with (secondary appraisal). Similarly, neuroticism was positively related to appraised threat and stressfulness among prospective students preparing to take a law school entry exam (Maxim, 2000). In the occupational context, Deary et al. (1996) found that (negative) cognitive appraisal and emotion-focused coping mediated the effect of neuroticism on self-reported stress. Other studies have examined the effect of all Big Five traits on cognitive appraisal simultaneously. A study of caregivers (Watson & Hubbard, 1996) found that neuroticism had a negative effect on secondary appraisal while the remaining traits generally had the opposite effect. Neuroticism was inversely related to perceived control and problem-solving confidence, as well as an overall factor of perceived problem-solving ability. In contrast, conscientiousness was positively related to perceived control, problem-solving confidence, and problem-solving ability. Extraversion and openness showed a positive relationship with perceived problem-solving confidence and problem-solving ability, and agreeableness was positively related to perceived problem-solving ability only. Penley and Tomaka (2002) examined the relationship between the Big Five and cognitive appraisal in relation to an acute stressor: preparing and presenting a speech on a controversial topic. Neuroticism was associated with negative secondary appraisal, whereas conscientiousness and openness were associated with positive primary appraisal, and extraversion, conscientiousness and openness were associated with positive secondary appraisal. In addition, neuroticism was positively correlated with perceived (post task) stress, while extraversion, conscientiousness, and openness were negatively correlated with this outcome variable.

Explaining the neuroticism-cognitive appraisal link According to reward sensitivity theory, neuroticism and extraversion capture individual differences in the functioning of two different brain systems: the Behavioral Inhibition System (BIS) and the Behavioral Approach System (BAS) respectively (Smillie, Pickering, & Jackson, 2006). The BIS causes the person to move away from goals in anticipation of an emotional punishment and the BAS causes the person move toward goals in anticipation of an emotional reward (McAdams, 2009). This theory suggests that the relationship between neuroticism and primary appraisal could reflect a selective attention bias or underlying appraisal tendency. That is, those who score high on neuroticism may be ‗punishment sensitive‘, selectively attending to potential negative outcomes i.e., threat/damage or loss (Gallagher, 1990; Hemenover and Dienstbier, 1996). In contrast, those who score high on

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extraversion may be ‗reward sensitive‘, selectively attending to potential positive outcomes i.e., challenge. Indeed, Hemenover (2001) found that the neuroticism-cognitive appraisal relationship was mediated by a self-reported tendency to rely on negative information and that the extraversion-cognitive appraisal relationship was mediated by a self-reported tendency to rely on positive information. Kuppens and Van Mechelen (2007) suggested that neurotics are more sensitive to potential personal threats present in unpleasant evaluative events. They found that neuroticism was associated with higher appraised threats to selfesteem. With regard to neuroticism and secondary appraisal, the negative effect of neuroticism on perceived coping ability may indicate a depletion of coping resources, due to the ongoing management of chronic negative emotionality. Alternatively, it may be that neurotics have fewer coping strategies available to them to begin with (Revenson, 1990). The original formulation of the Transactional Model of Stress and Coping conceptualized coping as a discrete, situation-specific response, however it is now reocgnized that coping is more likely to be ‗dispositional‘ or trait-like in nature (Carver, Scheier, & Weintraub, 1989; Cox & Ferguson, 1991; Dewe et al., 1993; Newton & Keenan, 1990). Indeed, Carver and Scheier (1994) found that dispositional coping was a significant predictor of situational coping. Dispositional coping is defined as ―a characteristic or typical manner of approaching or confronting a stressful situation and dealing with it‖ (Endler, 1997, p. 143). As discussed in the next section, neuroticism is typically associated with maladaptive and ineffective coping (e.g., Deary et al., 1996; Fickcova, 2001; McCrae & Costa, 1986; Shewchuck, Elliott, MacNair-Semands, & Harkins, 1999). As such, neurotics may feel less efficacious in the face of stressful events, based on past coping experience. The relationship between neuroticism and cognitive appraisal is consistent with a Stress Moderation Model of the personality-illness relationship (Wiebe & Smith, 1997). Within this model, personality is theorized to (i) attenuate, exacerbate, or prevent the appraisal of a situation as stressful, and/or (ii) guide the selection of more or less adaptive coping strategies in response to stressful events, thus influencing physiological reactivity and subsequent health outcomes (Wiebe & Smith, 1997, Suls & Rittenhouse, 1990). Statistically, this model can be represented as a mediated, moderated effect model, in that personality moderates the effect of stressor exposure on strain, an effect mediated by cognitive appraisal.

Neuroticism and Coping While there are several typologies of coping strategies, a certain level of convergence has emerged around the broad theoretical distinction between problem-focused and emotionfocused coping strategies (Dewe et al., 1993; Folkman & Lazarus, 1980; Ingledew, Hardy, Cooper, & Jemal, 1996). The former aim to alter or manage stressful events; the latter aim to regulate the emotional distress associated with such events. Emotion-focused coping is often subdivided into (a) reappraisal strategies, which aim to manage interpretation of the stressful event e.g., ‗making the best of a bad situation‘, and (b) avoidance strategies, which aim to minimize tension by evading the stressful event (Bowman & Stern, 1995; Cook & Hepner, 1997; Cox & Ferguson, 1991). Avoidance coping strategies include person-oriented strategies, such as social diversion, and task-oriented strategies, such as distraction (Endler & Parker, 1994). Problem-focused coping may be more adaptive when the stressor is changeable

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or controllable, while emotion-focused coping may be more adaptive when the stressor must be accepted and endured (Forsythe & Compas, 1987; Lazarus, 1990). Avoidance forms of emotion-focused coping are generally considered to be maladaptive. While avoidance coping may be effective in the short-term, it is likely to lead to poor adjustment in the long-term (Hobfoll, 1988). For example, avoidance coping may be difficult to maintain when stressor exposure is chronic or ongoing, such as in the occupational context (Bowman & Stern, 1995). Indeed, studies have shown that avoidance coping exacerbates the effect of job-related stress on strain (Long, 1993; Parasuraman & Cleek, 1984). If coping is governed by dispositional styles rather than situation-specific strategies, then it seems reasonable to assume that stable personality traits account for some of the stability in coping (Bouchard, 2003). Indeed, past research has consistently shown that neuroticism is positively related to emotion-focused and avoidance coping and negatively related to problem-focused coping (see e.g., Bouchard, 2003; Deary et al., 1996; Hooker, Frazier, & Monhan, 1994; Matthews et al., 1996; O‘Brien & De Longis, 1996; Vollrath, Torgersen, & Alnæs, 1995; Watson & Hubbard, 1996). For example, an early study (McCrae & Costa, 1986) found that neuroticism was positively related to escapist fantasy, hostility, indecisiveness, passivity, sedation, self-blame, wishful thinking, and withdrawal, all of which were perceived as ineffective in relation to problem-solving and distress reduction. In addition, these strategies were negatively related to well-being. Subsequent studies have reported similar findings: O‘Brien and DeLongis (1996) found that neurotics reported more escape-avoidance and confrontive coping and less planful problem solving; Fickova (2001) reported an association between neuroticism and maladaptive and ineffective coping among adolescents; and Penley and Tomaka (2002) found that neuroticism was positively related to emotional regulation and defensive coping among students. More recently, Brow (2008) reported that neuroticism was positively related to use of maladaptive coping strategies, such as denial and self-blame, and inversely related to effective coping strategies, such as acceptance and active coping, in the immediate aftermath of 9/11. Studies using the COPE Inventory (Carver et al., 1989), a widely used measure of coping, have shown that neuroticism is positively correlated with behavioral disengagement, denial, mental disengagement, substance use, and venting, and negatively correlated with active coping, planning, positive reinterpretation, and suppression of competing activities in both clinical and non-clinical samples (Vollrath et al., 1995; Watson & Hubbard, 1996). A recent study of parents rearing children with disabilities (Glidden, Billings, & Jobe, 2006) found that neuroticism was associated with accepting responsibility (self-blame) and escape-avoidance. Escape-avoidance in turn predicted higher depression and lower current and child-related subjective well-being. Conscientiousness has also emerged as a powerful predictor of coping. In fact, conscientiousness was the strongest Big Five predictor of coping in the Fickova (2001) study. In contrast to neuroticism however, this trait is positively related to problem-focused coping and negatively related to avoidance coping (e.g., Deary et al., 1996; Hooker et al., 1994; Matthews et al., 2006; O‘Brien & De Longis, 1996; Penley & Tomaka, 2002; Watson & Hubbard, 1996). For example, Watson and Hubbard (1996) found that conscientiousness was positively related to active coping, planning, and suppression of competing activities, and negatively related to behavioral disengagement, escape-avoidance, mental disengagement, and substance use. The positive relationship between conscientiousness and problem-focused coping has been replicated in the occupational context (see e.g., Deary et al., 1996) and is

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consistent with the goal-directed and self-disciplined nature of those who score high on this trait (Penley & Tomaka, 2002). Extraversion is positively related to emotional and instrumental social support seeking (e.g., Amirkan, Risinger, & Swickert, 1995; Fickova, 2001; Hooker et al., 1994; Vollrath et al., 1995; Watson & Hubbard, 1996), however its overall relationship with coping is somewhat inconsistent. For example, when controlling for other traits, O‘Brien and De Longis (1996) found that extraversion failed to demonstrate an independent effect on coping, and Penley and Tomaka (2002) found that extraversion was unrelated to coping. In contrast, McCrae and Costa (1986) found that extraversion was positively related to positive thinking, rational action, restraint, and substitution, all of which were perceived as effective in relation to problem-solving and distress reduction. The relationship between agreeableness and coping is modest. This trait is positively and consistently related to social support seeking, and positively (though less consistently) related to problem-focused and emotion-focused coping (e.g., Hooker et al., 1994; O‘Brien & DeLongis, 1996; Penley & Tomaka, 2002). Watson and Hubbard (1996) found that agreeableness was positively related to planning, positive reinterpretation, and negatively related to substance use. In contrast, Fickova (2001) reported a weak relationship between agreeableness and coping. Penley and Tomaka (2002) found that agreeableness was positively related to passive endurance, which they interpreted as consistent with the compliant nature of those who score high on this trait. Openness is related to a range of coping strategies, though notably some research has reported a weak association. In an early study, McCrae and Costa (1986) found that openness was negatively related to turning to religion, a finding that was later replicated by Watson and Hubbard (1996). In addition, openness was positively related to humour in the McCrae and Costa (1986) study, and positively related to planning and positive reinterpretation, and negatively related to escape-avoidance in the Watson and Hubbard (1996) study. Consistent with Watson and Hubbard (1996), O‘Brien and DeLongis (1996) found that openness was positively related to positive reappraisal, while Penley and Tomaka (2002) found that openness was positively correlated with active coping and negatively correlated with passive endurance. A study of coping with marital problems (Bouchard, 2003) found that openness was positively related to planful problem solving. A recent meta-analysis of the personality and coping literature (Connor-Smith & Flachsbart, 2007) indicated that all Big Five traits predicted specific strategies. Neuroticism predicted less problem-solving and cognitive restructuring, whereas extraversion and conscientiousness showed the opposite pattern. In addition, neuroticism predicted dysfunctional coping strategies such as wishful thinking, withdrawal, and maladaptive forms of emotion-focused coping but, along with extraversion, it also predicted support seeking. In addition, personality was a stronger predictor of coping in younger samples, stressed samples, and samples that reported dispositional rather than situational coping. Given that neuroticism, extraversion, and conscientiousness tend to show the strongest association with coping, some studies have examined the combined effect of these three traits. Such studies suggest that personality types that combine high neuroticism with low conscientiousness report less problem-focused coping and more avoidance coping than other types (Grant & Langan-Fox, 2006; Vollrath & Torgersen, 2000).

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Explaining the neuroticism-coping link The relationship between neuroticism and coping is consistent with the Differential Coping Choice and Stress Moderation models described earlier. That is, neurotics appear to choose passive and maladaptive coping strategies, such as venting and avoidance coping, in response to stress. Thus, neuroticism moderates the effect of stressor exposure on strain, an effect mediated by coping. The choice of emotion-focused coping strategies among neurotics may be driven by chronic emotionality, with neurotics preferring to use strategies that regulate emotional distress (Terry, 1994 cited in Bouchard, 2003). Connor-Smith and Flachsbart (2007) suggested that personality may influence coping strategy choice via stressor exposure. For example, given that neurotics report higher stressor exposure, they may choose avoidance coping strategies to escape from an abundance of stressors, whereas those who experience lower stressor exposure may be better placed to use other strategies. The strong and consistent relationship between neuroticism and avoidance coping could also be driven by the anxiety facet of the trait (Tyssen et al., 2007).

Neuroticism and Health Behavior Health behavior refers to any behavior that has a consequence for health, though not necessarily as a goal e.g., adherence to prescribed medical treatment, diet/eating, drinking, exercise, general self-care, preventative health care e.g., medical screening, relaxation, sexual promiscuity, sleeping, substance use, thrill seeking etc. (Friedman, 2000; Ingledew et al., 1996). There is some evidence that personality precipitates dangerous or risky health behavior (Lemos-Giráldez & Fidalgo-Aliste, 1997; Suls & Rittenhouse, 1990), with neuroticism once again exerting a negative or maladaptive effect. Vingerhoets, Croon, Jeninga, and Menges (1990) found that adults who scored higher on neuroticism demonstrated poorer everyday health behavior (i.e., sleeping, breakfast, snacking, good weight, smoking, alcohol, physical activity) than those who scored lower on neuroticism. Similarly, Booth-Kewley and Vickers (1994) found that neuroticism was negatively related to wellness behavior (e.g., exercise, healthy diet, vitamin intake) and accident control, and positively related to risk taking. Conversely, conscientiousness and agreeableness were positively related to wellness behavior and accident control, and negatively related to risk taking. Openness was also associated with greater substance-related risk taking, and was the only significant predictor of this aspect of health behavior, suggesting that it also has a maladaptive effect in this context. Peltzer (2004) found that neuroticism and psychoticism were inversely related to preventative health behavior, while optimism was positively related to health behavior. There is some evidence to suggest that the link between personality and health behavior is established early, with some gender-specific differences. A study of the relationship between personality and risky behavior in children (Markey, Markey, Ericksen, & Tinsley, 2006) indicated that risky behavior among girls was related to behavior patterns associated with neuroticism, introversion and disagreeableness, while risky behavior among boys was related to behavior patterns associated with extraversion and disagreeableness. A longitudinal study of adulthood predictors of health-promoting behavior in aging (Holahan & Suzuki, 2004) found that neuroticism was negatively related to positive psychosocial behavior, while easygoingness was positively related to positive psychosocial behavior and health practices.

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There is also some evidence to suggest that health behaviors mediate between neuroticism and depressive symptoms (see Gallant & Connell, 2003). While the bulk of evidence suggests that neuroticism is associated with risky health behavior, one study (Vollrath, Knoch, & Cassano, 1999) has reported conflicting findings. Vollrath et al. (1999) investigated the relationship between personality and (a) perceived susceptibility to health risks and (b) risky health behavior (being drunk, drunk driving, risky sexual behavior, smoking) among university students. Neuroticism was positively correlated with perceived susceptibility to three of the four health risks; however path models indicated that this higher perceived susceptibility could not be explained by a higher frequency of risky health behavior. In fact, those who scored high on neuroticism engaged in less risky health behavior. In other words, they tended to worry about health risks despite being no better or worse in terms of their actual health behavior. Agreeableness was the most consistent predictor of perceived susceptibility to health risks and risky health behavior, such that those who scored high on this trait were more optimistic about future health risks and engaged in less risky health behavior. Findings for conscientiousness were similar to those for agreeableness. Openness was unrelated to perceived susceptibility to health risks and actual risky health behavior. Friedman‘s (2000) commentary on the mechanisms underlying the relationship between neuroticism and health behavior helps to reconcile these inconsistent findings. Friedman suggested that neuroticism can lead people down two alternate pathways: On the one hand, pessimism, resentment, and anxiety may lead neurotics to give up on medical regimens, turn to substance abuse, and avoid interpersonal assistance. On the other hand, vigilance about symptoms, advancement in medical practices, and adherence to treatment may lead neurotics to avoid risky health behavior. These differential outcomes are likely to be influenced by stress: Based on an analysis of data from the Terman Life Cycle Study, Friedman found that neurotics who faced parental divorce as children were at increased risk for premature mortality. With regard to the combined effect of neuroticism, extraversion and conscientiousness on health behavior, types combining high neuroticism with high extraversion or low conscientiousness engage in more alcohol and drug abuse, drunk-driving, smoking, and risky sexual behavior (Vollrath & Torgersen, 2002, 2008). High extraversion-low conscientioussness types also demonstrate more risky behavior. Other typological studies have focused on the combination of high neuroticism with low extraversion, or the so-called ‗Type D‘ personality. Denollet (1997) identified Type Ds as a coronary heart disease (CHD) subgroup characterized by problems with negative emotionality and self-expression and depressive symptoms. Williams, O‘Brien, and Colder (2004) found that the combination of high neuroticism and low extraversion predicted poorer health behavior self-efficacy. Controlling for the main effect of neuroticism, Type Ds reported significantly less health behavior and less social support than non-Type Ds. Williams et al. concluded that health behavior may play a role in explaining the link between Type D and poor clinical prognosis among cardiac patients.

Explaining the neuroticism-health behavior link The relationship between personality and health behavior may reflect individual differences in how people respond to social regulation (Tucker, Elliot, & Klein, 2006). For example, neurotics may react more negatively to overt attempts by others to influence their

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health behavior (Tucker et al., 2006). In contrast, conscientiousness people may willingly practice positive health behavior, due to a sense of obligation and responsibility to others. Indeed, people who score high on conscientiousness tend to internalize societal norms regarding sensible health-related behavior and to adhere to prescribed treatment recommendations (Goodman & Friedman, 2006). An alternative explanation is that neurotics engage in risky health behavior as a means of dealing with stress. Coping strategies may include positive health behavior, such as exercise, or negative health behavior, such substance use (Gallant & Connell, 2003), which is typically conceptualized as a form of avoidance coping (Ingledew et al., 1996). In the Health Behavior Model, a specialized version of the Stress Moderation Model discussed above, personality is thought to guide the selection of more or less adaptive health-related coping strategies in response to stress, thus influencing physiological arousal and subsequent health outcomes (Wiebe & Smith, 1997). In addition, some health behavior may be directly beneficial or detrimental to health, over and above any stress moderating effect (Ingledew et al., 1996). For example, regular planned exercise to reduce tension may have a direct, positive effect on health (Ingledew et al., 1996). Conversely, while alcohol and drug use may temporarily numb psychological distress, excessive and routine use, such as in conjunction with chronic stress, may have a direct, negative effect on health (Begley, 1998; Lepore, 1995). In support of the Health Behavior Model, Korotkov (2008) found that emotional stability, introversion, conscientiousness and openness were associated with higher engagement in health practices under high stress/distress.

CONCLUSION In summary, neuroticism is associated with a range of physical conditions as well as psychopathology and impaired well-being. In addition, neuroticism has been linked with heightened stressor exposure, negative cognitive appraisal, maladaptive coping, risky health behavior, and exaggerated emotional reactivity. These findings suggest that neuroticism may influence health and well-being indirectly, via stressor exposure or risky health behavior, or in interaction with stressful events by moderating their effect on health and well-being, via cognitive appraisal, coping, or reactivity (Bolger & Shilling, 1991; Bolger & Zuckerman, 1995; McCrae & Costa, 1991; McAdams, 2009; Magnus et al., 1993). In contrast, the remaining traits, in general, appear to confer an adaptive advantage in relation to stress, health and well-being. For example, extraversion and conscientiousness are associated with positive primary and secondary appraisal and/or adaptive forms of problem-focused coping. In addition, research suggests that the combination of high neuroticism with low extraversion and/or low conscientiousness is associated with stress vulnerability, while the combination of low neuroticism with high extraversion and/or high conscientiousness is associated with stress resistance. The aim of personality-illness research is to (a) identify the traits (or personality types) that confer risk, (b) to elucidate the mechanisms underlying vulnerability, and (c) to develop intervention strategies for preventing or managing illness and disease (Smith & MacKenzie, 2006). Research on personality and illness is particularly relevant to prevention and the early

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diagnosis of those at risk, given that traits can serve as a visible marker of underlying or emerging pathology (Suls & Rittenhouse, 1990). Suls and Martin (2005) described the relationship between neuroticism and stressor exposure, reactivity, cognitive appraisal, and coping as a ‗neurotic cascade‘ of reinforcing factors: people who score high on neuroticism report more major life events and daily hassles, show exaggerated affective reactivity to these stressors, appraise or perceive potential stressors as more threatening, and choose maladaptive coping strategies or use coping strategies ineffectively, making recovery from a negative mood more difficult. Maladaptive coping efforts reinforce the neurotic‘s negative self-concept and sense of helplessness and pessimism, making it more difficult to deal with recurring problems. Interventions to appease the detrimental impact of neuroticism should focus on these multiple processes, in particular: helping neurotics to alter dysfunctional thinking patterns and situational choices that increase stressor exposure; recognize potential positive outcomes when interpreting events rather than focusing on negative information; increase their problem-solving self-efficacy; expand their coping skills, including choosing and persisting in the use of adaptive coping strategies; and develop long-term strategies for managing anxiety and negative emotionality. With regard to PDs, generic behavioral interventions could be targeted at those with high neuroticism and low agreeableness, whereas specialized behavioral interventions may be required for extraversion- and conscientiousness-related PDs (Saulsman & Page, 2004). Prevention strategies should utilize scores on neuroticism as a screening tool for physical and mental health problems, to identify early those who are likely to benefit from treatment. The evidence reviewed above indicates that neuroticism is a consistent risk factor for a range of negative health and well-being outcomes. Although several explanatory mechanisms have been identified in the literature, few studies have evaluated these mechanisms directly, prompting a call for future studies to address this problem (Smith & McKenzie, 2006). Given that neuroticism is associated with a range of conditions, it is likely that the underlying mechanisms are heterogeneous (Goodwin et al., 2006). These mechanisms may include biochemical or psychophysiological pathways beyond the stress process (Goodwin et al., 2006; Smith, 2006). For example, consistent with a direct effect or ‗top-down‘ or dispositional model, both neuroticism and well-being measures show strong correlations over time and strong genetic components in twin studies (Bouchard & Loehlin, 2001; Jang, Livesley, & Vernon, 1996; Lykken & Tellegen, 1996; Nes, Roysamb, Tambs, Harris, & Reichborn-Kjennerud, 2006; Weiss, Bates, & Luciano, 2008), suggesting an underlying genotype. Mechanisms underlying comorbid physical and mental health disorders also need to be explored. A further issue is the direction of causality: ill health or its treatment may increase neuroticism, due to factors such as discomfort/pain or functional limitations associated with illness (Goodwin et al., 2006; Charles, et al., 2008). Equally plausible is a positive or reinforcing feedback loop between negative emotionality and physical ill health. As Smith (2006, p. 230), noted “the elucidation of mechanisms will be important not only for the advance of basic science and its translation into risk reducing intervention; the issue of mechanisms is also important for the credibility of the general perspective that personality can influence health‖.

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In: Psychology of Neuroticism and Shame Editor: Raymond G. Jackson, pp. 37-58

ISBN: 978-1-60876-870-7 © 2010 Nova Science Publishers, Inc.

Chapter 2

SHAME IN CHINESE CLASSIC PHILOSOPHY: AN INVESTIGATION THROUGH THE LENS OF MENCIUS HuaNan Gong Chinese Professor of Philosophy, Department of East China Normal University, Translated from Mandarin by Chad Meyers (MA Student in the Department of Philosophy of East China Normal University)

ABSTRACT In the West, shame is believed to arise from feelings toward sex, which is the origin of knowledge of goodness and evil as well as the origin of the conscience. In the Bible, sexual shame is elevated as the beginning and the source of other types of shame, so at the same time it is the prototype and standard of other types of shame. However, the generality and power of sexual shame need not be universal. In Chinese traditional thinking it is clear that shame is closely bound up with taste (eating), which occupies the primal location and plays an important role in ―taste.‖ In ancient Chinese words and expressions, the meaning of ―shame‖ is ―dedication‖ and ―delicious (food)‖ and the word ―shame‖ is used as both verb and adjective. Shame firstly involves delicious food. Beginning with the Confucian Analects, ―shame‖ in relation to the meaning of delicious food stirs feelings of morality. This reason for this association is that shame is related to the delicious food that comes from ―sheep,‖ as well as the values of goodness, beauty, and faith. Generally speaking, ―shame‖ is related to all valuable things. The shape of ―xiu‖（羞 means shame) in the Chinese ancient character shows an uncertain expression of conflict when people decide whether or not to capture the sheep. In this sense, the shame is derived from what one thinks and feels when a person faces beautiful and valuable things. Mencius regards the concept of shame as a category of morality, and the concept‘s role as an important source of human‘s nature and conscience is greatly consolidated. Furthermore, shame is the basic foundation that defines man as man. The Confucians decline the human‘s shield of morality in order to emphasize the effects of shame. Under this teaching, they merged substance (体) with function (用): existing with shame. For the Taoist who stresses the discipline of the mind, shame is taken as a defense to retain the ―nativeness‖ of the mind.

Keywords: shame, self, having a sense of shame

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INTRODUCTION Chinese philosophers attached much importance to ―shame.‖ Mencius, in particular, took ―shame‖ as one of the four innate principles, the transcendental ground upon which all virtues and forms of virtuosity unfold, including appropriate actions and affirmative will.T Here, in the thinking of Mencius, the origin and fountainhead of man‘s appropriate actions (义) springs out from man‘s innate sense of shame and feeling of disgust in the face of everything improper. Shame unfolds in the current of life‘s vital upsurge, actively receives the other and greets the world, and thereby keeps a vigilant watch over the ascent of one‘s character as it matures into full-bodied virtuosity. This chapter reviews the direction of this path mapped out by Mencius, and aims at uncovering the dual significance of this path: On one hand, Mencius finds an indispensible value in ―shame‖ as a beneficial ingredient in the cultivation of one‘s virtue and the elevation of one‘s taste; and on the other hand, consolidates the elusive dimension of ―the other,‖ the universal norms and principles difficult to implement within the structure of the mind‘s willing disposition to ―take responsibility by oneself and for oneself‖; this chapter strengthens these three dimensions along the path towards the social level, where they can reach greater universality.

Part I. Shame of Sexuality and Shame of Taste Everyone might initially think of shame in the sense of the ―shame of sexuality‖ in association with the passions of both males and females. In fact, there is an intimate connection between ―shame‖ and ―sex.‖ For instance, in German the word scham means embarrassment, shame, shyness, and so on, but also simultaneously points to a human‘s external genital area. Shame and one‘s genitals are not only interconnected semantically, but are also intimately interrelated in thought. The German language emerged in a comparatively recent age, and the German view of shame received deep influence from the biblical tradition. The Bible‘s typical explications of sexuality and shame can be found in the third, fifth and seventh chapters of Genesis: ―For God knows that when you eat of it your eyes will open, and you will be like God, knowing good and evil … then both of their eyes had opened and they knew that they were naked; and they sewed fig leaves together and made themselves aprons.‖ Scheler once gave an insightful account of the overall significance of this myth; he said, ―As regards the genealogy of morals, the myths of the old testament present rather trenchant wisdom through pictorial descriptions of universal truths, and show that the emotional T

The ethical concepts (仁 ren) (义 yi ) (礼 li) are certainly three of the most important concepts in the Chinese discursive tradition and have already been matched with numerous English counterparts throughout the history of translation and cultural communication between the East and West. In this chapter, I will be rendering these terms in the vein of the tradition inaugurated by philosopher David Hall and sinologist Richard Ames. The latter two thinkers have offered translations that are the most sensitive to the unmatchable expressivity of Chinese characters on one hand and the Christian character of their standard Western counterparts on the other. As a reference for the explanation of these terms, please read: The Analects of Confucius: A Philosophical Translation by Roger T. Ames. In addition, since this chapter takes the character of shame as a guide through the ancient Chinese world of concepts, the work has a genuine genealogical flavor to it, and so I chose to translate his work with the help of a variety of genealogical concepts cultivated by Gilles Deleuze in his work, Nietzsche and Philosophy. So for reference of any of the concepts concerning will in this paper, for instance, my employment of affirmative and active will can be traced by to prior definitions given by Deleuze.

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reaction of shame is the origin of knowledge concerning good and evil.‖1 A sense of shame is initially a feeling of sexual shame as the origin of knowledge concerning good and evil, the generator of conscience. In this myth, a feeling of shame for one‘s sexuality is elevated to the genesis or beginning of any sense of shame in general, and because of this it becomes the archetype and measure for all other senses of shame. The feeling of shame for one‘s sexuality, this particular realm of shame, is without any doubt a more common and rather intense sort of shame. However, the universality and intensity of sexual embarrassment really doesn‘t imply that it is the universal source of shame. We can see very clearly in the tradition of Chinese thought, for instance, that shame is primarily bound up in an intimate bond with ―taste‖ (for food), and moreover that it occupies its chief position and plays its most important role in just this sort of bond. In the pre-Qin dynastic archives, the following senses of ―shame‖ were widely employed: 1: 惟羞刑暴德之人同于厥邦。（《书·立政》） A leader merely offering (羞) to punish the morally inept as a substitute for moral aptitude will be seen as morally inept by everyone in his land. 2: 可荐于鬼神，可羞于王公。（《左传·隐公三年》） The delicious foods offered (荐) to the gods can be offered （羞） to noblemen as well. 3: 雍巫有宠于卫共姬，因寺人貂以荐羞于公。（《左传·僖公十七年》） The lady YongWu was favored by the noble GongWei, because a eunich, Diao, recommended (荐) her as a beautiful woman (羞) to the noble family. 4: 包羞（《易·否·六三》） Pack (包)the delicious foods (羞) In the excerpts archived above, the concept we have been reviewing through the Chinese ideogram for shame (xiu 羞) has the significance of ―to offer‖ as in the first example, in which shame was offered as punishment (羞刑). However, xiu (羞) has the meaning of ―delicious‖ (in the sense of food) in the fourth example of packing delicious food (包羞); in the second citation, where the delicious foods offered (荐) to the gods were tasteful enough to offer (羞) to the nobles; but also in the third passage, where xiu 羞 is employed

1

Scheller, Max: The Subversion of Values, translated from the Chinese version by TiLun Luo, Beijing. JiuZhou Press; 2004, pp. 385.

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metaphorically to ―offer or recommend (荐) a beautiful woman (羞).‖ So, shame is employed both as a verb and a noun. In the book The Explanation of Scripts and Elucidation of Characters we find the following definition: ―xiu 羞; to offer. From 羊T1—lamb, which is put forward as an offering—丑.T2‖ Taking xiu 羞 always and only in this sense of offering obviously shrinks the bulk of this character‘s signifying capaciousness; however, the above mentioned explication shows the bond of signification between xiu 羞—yang 羊—chou 丑, and without a doubt brings our minds closer to the overflowing expressivity of xiu 羞. Lamb—羊—is primarily valued for its sweet tasty flesh, and for this reason xiu 羞 is predominantly bound up with taste in food. The character for so-called ugliness—丑— considered as it is written in its radical form at the bottom of xiu 羞, does not signify the distasteful opposite of beautiful and virtuous things here, but rather expresses the idea of hands—手T3—or more precisely the idea of hands in movement, ―to raise one‘s hands.‖ In the The Explanation of Scripts and Elucidation of Characers we find the following definition: ―Chou 丑 means the handling loop of a utensil —纽.T4 It also means December, when all creatures initially spring into movement, use each other, and transform into events; —丑—is formally traced back to the image of a hand—手; in time strokes were added: from hand— 手—to—>丑—and distinguished the concept of hands raising.‖ Corresponding to this, 羞 functions as a verb to point to the action of taking the things most beautiful and beneficial to oneself and giving them up as an offering. So at what point in time did the character xiu 羞 metamorphose at the level of signification; when did its chief sense as a signfier for ―tasty‖ transform to express both ―shame (羞耻)‖ and ―humiliation (羞辱)?‖ First off it would be worthy for us to look at The Book of Changes and this character‘s expressive value in the texts of later generations.

T1

羊 pronounced Yang (y-ah-ng) with a rising tone. 羊 is written alone as the word for lamb and sheep, but is also

T2

丑 pronounced Chou with a falling-rising tone. When this character stands by itself in modern Chinese it means

written in its radical form as a conceptual addition to more complex ideograms such as in the character xiu 羞. ugly, but in the character xiu 羞 it is used as a radical and so it is used in a different sense, which will be clarified in the following paragraph. T3

手 is pronounced [Shou] with a falling-rising tone precisely as 丑 [Chou] is pronounced; it is just that a slight difference has formed between them on the phonetic level: (Ch)ou 丑 is an affricate [ts

] whereas (Sh)ou

手 is a fricative [s ]. This is evidence pointing towards a prior conceptual bond in some form existing between the two somewhere in the genealogy of their spoken and written lifeline, even though this conceptual bond seems to have been disjoined or just simply forgotten in their common use today. T4

纽 pronounced Niu with a falling-rising tone. The character contains moving hands—Chou 丑—as its chief signifying part, and it is followed by the character for interwoven threads—糸—written in its radical form. Altogether, 纽 forms the idea of hands interwoven, symbiotically woven together into webs of interaction.

Shame in Chinese Classic Philosophy

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Turning to The Book of Changes section 93 we find the following passage on constancy— 恒T5—bu 不 heng 恒 qi 其 de 德, huo 或 cheng 承 zhi 之 xiu 羞 (as one fails to keep one‘s powers in sound equilibrium and constant virtuosity, outsiders advance upon his tasty foods). In this case xiu 羞 still expresses tasty foods just as it did in the earlier example we gave of xiu 羞 in The Book of Changes section 63 where ―包羞”expresses the packing of tasty, cooked flesh. In the seventh volume of Collected Commentaries on The Book of Changes, ZhiDe Lai appropriately pointed out regarding this section on Heng 恒 that ―If the wife of a man cannot uphold her post with constant virtue, but instead loses chastity through extramarital relations, then her husband will lose the potency required to tolerate her, and she will be expelled as a result. Regarding the second line of the first passage on Heng—恒 : huo 或 cheng 承 zhi 之 xiu 羞; huo 或 means outsider; cheng 承 means to advance; xiu 羞 means tasty, the image of food and drink. Since an outsider advances upon his taste for the wife, instigating extramarital affairs, the outsider simultaneously advances shame (xiu 羞) upon the husband… If we rely upon earlier commentary of this work, where xiu 羞 is interpreted here as shame/humiliation, then…‖2 The people involved in the debate here concerning this passage on Heng—恒—seem to have already noticed this kind of transformation of significance attributed to this character xiu 羞. To retrace our steps back to the origin of this transformation we cannot but open the Confucian Analects. Everyone is familiar with the habit of pre-Qin thinkers to cite authoritative texts in order to express their own thoughts. A successful citation at this time was not sought via the simple reduplication of the already said, but was sought rather as an appropriation of past writings; the aim was to raise the power of past writings, allowing them to enter into an approximation with the living situation, so the past and present of thought abut historically and contract together. In this respect, Confucius, Mencius, and Zhuangzi all had a highly distinguished mastery over this art. In the Analects, Confuc —恒—discussed above in The Book of Changes in order to express his virtue oriented thought, and at the same time incorporate this passage into his ethical system, and due to this xiu 羞 took its ethical turn being defined as ―shame‖ and ―humiliation.‖ This is without a doubt one key transformation: xiu 羞 in the sense of delicious taste transformed into xiu 羞 in the sense of ―shame.‖ Confucius gave xiu 羞 a new significance, yet in a way that tightly integrated the concept of shame into the concept of good taste. Duplicitously engaging social bonds has no integrity.

T5

恒 pronounced [Heng] with a rising tone. The character means keeping something in constancy and in some cases eternity. 2 ZhiDe Lai: Collected Commentaries on The Book of Changes; Beijing, JiuZhou Publishing House: 2004; pp. 385. Translated by Chad Meyers.

42

HuaNan Gong Feigning ritual propriety (li 禮) is shameful (xiu 羞). Exploiting the force of bravery is furtive disloyalty (GuoYu: Volume Two3). Although one‘s parents have already passed away. So how was ―xiu 羞”in the sense of ―delicious foods‖ able to transform into ―xiu 羞”in

the sense of ―shame?‖ This question begs us to once again return to the Chinese character xiu 羞 itself. We said before that xiu 羞 is composed of the two characters yang 羊 and chou 丑 written in their radical form. The explanation given in the Artificer’s Record tells us: ―yang 羊; synonym for shan 善 (good or beneficial).‖ The Explanation of Scripts and Explication of Characters4 states: ―yang 羊, synonym for xiang 祥 (auspicious).‖ ―yang 羊 (sheep)‖ is a symbol of beneficence and auspiciousness. The reason why yang 羊 was able to become a symbol for ―beneficence‖ and ―auspiciousness‖ on the one hand might be due to the meek and tamable quality associated with the lamb, and the mellifluous taste associated with its flesh. The Explication of Characters states: ―mei 美5 synonym for sweet; composed of lamb (yang 羊) on top and big (da 大6) on bottom. Lamb is domesticated for the cultivation of edible goods. The mei 美 and good (shan 善) are equivalent semantically.‖ In the same book, we find more interrelated ways of explaining mei 美 such as: ―if the sheep is big, then it is mei 美 (羊大则美)”and also ―the shepherd acts for mei 美 (羊人为美).‖ Looking at them etymologically, ―shan 善 (good)‖ and ―yang 羊 (lamb)‖ are related. The Explication of Characters states: ―shan 善 is a synonym for auspicious. From jing 誩 (to struggle), and yang 羊 (lamb); it is related to mei 美 and yi 義.‖7 We could even take notice of the character ―yi 義,‖ which is also related to yang 羊. The Explication of Characters states: yi 義 means a self distinguishing itself in society through a dignified manner. Composed of wo 我 (self, I, me) and yang 羊.‖ Xuanzhu Xu stated concerning yi 義 that, ―This character has the same significance as shan 善 (good), because they both follow from yang 羊.‖ Xiu 羞 and yang 羊 3

Translated from the Chinese by Chad Meyers. In this paper, all of the citations from Classical Chinese texts are my renderings. 4 说文解字 shuo wen jie zi. I will just use the following abbreviation hereafter: The Explication of Characters. 5

美 is pronounced mei (just like the English word: may) with a falling-rising tone. This character now commonly expresses a sense equal to the word beautiful in English, but its sense in ancient writings is complex: it not only expresses the aesthetic sense of beauty, but also refined virtuosity, as well as the refining process of cultivation and the selective power of good taste needed to consummates all things beautiful, good, and virtuous.

6

大 da means big, great, large, and even vast.

7

yi 義, simplified: (义) another Chinese Character without equal. Since it stands as one of the chief characters/concepts in ancient Chinese writings, a whole philosophical system must be chosen to unfold the layers of its sense. I will be following the philosophical tradition established by Roger Ames, and translate it as ―fitting, appropriate,‖ ―appropriate actions,‖ and similar such renderings.

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these two things of good taste are related to the Chinese characters that express proper social values such as goodness (shan 善), virtuosity/beauty (mei 美), and the appropriate integration of self into society (yi 義). In a wider sense, xiu 羞 is related to everything valuable. A fulcrum of this relation is in the significance of the radical for moving hands (chou 丑) written at the bottom of xiu 羞. These valuable things all appear at hand, and must meet the acceptance of social others; so those who have an ethical nature (or even those seeking moral excellence) need to acutely perceive and consider many questions: what relationship do I have to these valuable things? Is it mine? Should I take it or not? The character xiu 羞 shows just this kind of hand raising the lamb to be weighed, at the precipitous moment when one desires to take custody of a valuable without having yet appropriated it; xiu 羞 as ―shame‖ is precisely this vacillating disposition extended through the senses and thoughts one has when facing the lamb or any other thing of the beneficial and valuable sort. ―Having shame‖ manifests precisely this conscientious, turbulent mood, or shall we rather say the mood where conscience emerges and its power activates. We can also weigh this sentiment within the juncture of thought Confucius spoke of: ―view a gain and review its appropriateness (yi 義).‖ As it was shown above, the face value of the character yi 義 shows the self taking its own lamb (yang 羊), one takes the things that belong to oneself, and by extension: do the things that what one should do, and fashion the proper style to take care of them. The precondition of acting up to this point is being able to contemplate if one should or shouldn‘t appropriate something attainable in the face of it, what kind of style should be fashioned to go about appropriating it, what significance this kind of action has, and so on; in a word, the precondition of ―having propriety (yi 義)‖ is having shame (xiu 羞). Following the analysis above we would only want to point out that ―shame (xiu 羞),‖ food, and delicious taste all share a fully intimate kinship in the world of Chinese thought. The etymological nature of this intimate kinship shows, however, that within the world of the Chinese language, the deepest sense of shame is not ―a sense of sexual shame,‖ but is much rather a ―shame (xiu 羞)‖ tied to a sense for delicious foods. Even though the signifying radical for food (shi 食) within the original Chinese ideogram (xiu 饈) was later cut off from the ideogram we currently use (xiu 羞), this semantic differentiation just clarifies that thought is in a process of differentiation, a refining process, but differentiation really doesn‘t write off the genealogical kinship that ties them back together to their source: it is a relation of kinship both in thought and linguistic sense. Ethics of food occupies the source, and becomes the origin and springhead of other ethics (for instance sexual ethics).8

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Part II. The Role of a Sense of Shame: From Shame to Appropriate Conduct In contradistinction to the ethics of Confucius, which emphasizes the internality of an affirmative will (ren 仁) and the externality of appropriate conduct (义), Mencius reiterated the immanence of affirmative will by emphasizing the co-immanence of appropriate action. As regards the affirmative will and appropriate activity of this internal virtue, Mencius distinguished ―four principals‖ of internal nature to serve as their transcendental ground; in particular, he uncovered a ―sense of shame and disgust‖ as the origin and source of ―appropriate action,‖ posited ―shame‖ as an a priori ground, and thereby enlightened a by no means inessential region of the will (xin 心). If we say that shame (xiu 羞) was still a rather unimportant ethical category in Confucius‘ time, then it is here in the thought of Mencius when shame‘s position and role as an ethical category was relegated to noble rank; it was even treated as one of the vital wellsprings of man‘s natural tendency toward good; it was treated as the origin of conscience, nay, it was treated as the chief basis through which humans find a way to become humane. All humans have a will that cannot hold back from helping humans … a will without a compassionate sensibility is inhuman; without a sense of shame and disgust for the inappropriate, there is no human either; a will that cannot politely decline is not actively human; a will that is insensitive to the difference between true and false is inhuman. A sense of compassion is the intrinsic potential of good in the affirmed will; a sense of shame and distaste for willing the improper is the scale of values tipping in favor of appropriate action. The will to politely decline is the balance of power necessary for integrating properly into the ritual order; the will to sense true and false is the original scale of authenticity proper to wisdom and wit. Four beginnings of good taste condition the human will, just as if it has four bodies. If there are these four original sources of potential good, and the self‘s will says it is unable, it is the self‘s reactive treachery upon itself; If there are these four potentials, and one who has realized the active will to command is labeled impotent, then it is reactive treachery against affirmative command. With all of these four powers conditioning the self, one‘s wit will expand with adequate ideas, just as the fire‘s spark ignites the flammable, and the spring‘s source unfailingly reaches the unfilled. If indeed some capacity can be fulfilled, it will be reached by these four oceans; if indeed one doesn‘t fulfill some capacity, it will openly disrespect one‘s progenitor‘s commands (Mencius: Gong Sun Chou: Volume One).

Modern researchers of philosophy continuously criticize this passage purely and simply from logical terms to say, ―four senses of will (xin 心)‖ cannot serve as the necessary and sufficient conditions of a human. However, what this argument, which hosts no shortage of problems in logical terms, actually reveals to us is: a human without a sense of shame and disgust isn‘t becoming as a human, or at the very least, isn‘t becoming of an ethical person, which is to say that this human is not equipped with the resources and competence necessary to become an ethical person. Using today‘s language to say it: a sense of shame and disgust is the necessary precondition for an ―ethical human being.‖ ―Ethical humans‖ need to know ―the should,‖ ―the appropriate action (yi 義),‖ and also must put each ―should‖ into will (xin 心). ―A sense of shame and disgust for willing the improper is the principle of appropriate action,‖ emphasizes precisely this internal equivalence between the imperative command ―should‖

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and human nature. The ―appropriate action (yi 義)‖ here points at once to the appropriate action to consummate the aim of any virtue internal to a person, the consistent and stable character that each person has, and also points to the norms and standards of behavior that exist in an external form. This transcendental ―principle‖ is the precondition, starting point, and ground of virtuosity and universal moral standards. Or we could say that moralities, norms, and behavioral codes will only have authenticity and real possibility after they have been established upon ―principles (duan 端).‖ What is ―shame and distaste for the inappropriate‖ then? In Zhuxi‘s Collected Commentary on the Four Books, he explained: ―shame (xiu 羞) is the humiliation felt for the ill works of one‘s own authorship, disgust (e 恶) is the detestation felt for the ill deeds of another.‖ Zhifu Wang completely inherited this explanation from Zhuxi. According to this explanation, ―shame‖ and ―disgust‖ respectively point to different subjects: shame faces the ill work one has done and develops, whereas disgust faces other people‘s ill doings and develops. The ―ill works‖ here in ―the humiliation felt for one‘s own ill works‖ refers to something unwell in the effect of some action, yet still could point to the ―ill motives‖ that led to the action. The former points to the violation of objective norms and principles as so many actualized disobediences that have already become facts; the latter points to the rehearsal within one‘s mind where one unfolds behavior in conflict with norms, yet without any trace of this behavior formed in actuality. ―Shame‖ could dispatch for ―the unwell potential for real acts as well as real acts,‖ but will much more so arise in the case of ―still only half-willing to do well.‖ ―Willing wellness only partially and half-way‖ is not necessarily ―willing illness;‖ affairs that have ―the capacity to be shamed‖ are still not necessarily ―shameful‖ or ―despicable.‖ Therefore the territory under the custody of ―shame‘s range‖ is much wider; its ethical significance is much weaker in comparison to ―shameful‖ and ―malign.‖ The arising of shame is not exhaustively generated by infractions against moral standards that have taken place, and its cause is also not exhausted by self-accusations for the things one has done incorrectly; its arising more prominently leans toward the ―undeveloped,‖ that is, it leans toward evaluations concerning several kinds of possibilities, at any time it may take concern with what one has not done well, worrying about a potential loss of dignity or respect. Because of this, shame primarily expresses itself in the spirit of conscious selfprotection. Speaking with regard to those who have ―shame,‖ they themselves know how to do much better, the best, or rather how they could do much better in the future, but haven‘t yet for that matter willed the force necessary to go do it; because of this, even though they have not infracted against or disobeyed any norms clearly stipulated in writing, shame will continuously reappear since they either do not fully affirm the will to do it or do it negatively and thereby doom the potential for better situations to mere dreamscapes that are barren of paths to realization. Thus, ―shame‖ is related to a hierarchical order of values. To be able to realize much higher and more noble values, but in actuality fall into a lower degree of values, or, to be just satisfied in a lower degree of values exhibit two modes of being subordinate to the rank and file of ―capable of being worthy of shame.‖ Shame arises in the sinking potential of self-worth. ―Shame‖ is of course spiritual in the vital sense (inspiring, expiring, and uninspiring); however, the body will also become the origin of shame. Bodily defects, improper physical deportment, and the like all might stimulate the upsurge of shame. A child gradually beginning to sprout self-awareness will

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become embarrassed due to the exposure of his or her own body parts (for instance, sexual organs), and in the same way will become bashful, shy, and even ashamed due to selfexposure in public in the case of saying and doing inappropriate words and deeds. ―A will without a sense of shame and distaste for the inappropriate is not human.‖ ―Shame‖ will arise due to concerns over loss of self, and thus shame can prevent humans from sinking into the ―inhuman.‖ However, how can ―shame‖ prevent humans from sinking? In the end, how big of a role can ―shame‖ play? ―A sense of shame and distaste for the inappropriate‖ initially manifests itself as ―the fear of shame.‖ People who have shame ―fear shame;‖ concerned with the result of ―feeling ashamed‖ to effectively appear, however, the multiple attributes of shame that are feared stay in the order of possibly occurring without having already occurred. As soon as what is feared occurs, a person will directly ―blush,‖ that is, their ―sense of shame‖ will emerge. ―Fearing shame‖ makes people circumspect, causes them to recoil with twangs of conscience, allowing them to refrain from action and leave certain things undone. Being able to feel degrees of shame for breaking a norm, or even for not being able to meet the expectations other‘s have for oneself, on the one hand, reveals that the one who feels shame has self-worth, an acute sensitivity to perceive and register the complex fabric of norms and standards, as well as the level of attentiveness in the other‘s expecting gaze; and on the other hand, out of a care for self-worth and concern for having and losing respect comes the correction of blunders and errors. The people, who have a determinate social role, all have relatively determinate expectations from society, including self-expectations, family expectations, and community expectations concerning the capacities, identities, and virtues they must uphold. Having some identity as a property of oneself means that this identity simultaneously demands things from its owner, including demands upon the owner to adopt a kind of style to look at things, here things, gesticulate, speak, and move; this is also to say, there are not only demands upon each person to perform actions ―correctly,‖ but also for each person to perform all such acts ―appropriately.‖ Taking ―appropriate‖ (even ―the most perfect fit‖) as a measure, means ―the criteria for things capable of causing shame‖ contains negative values, and therein contained are sexual values. Thus, in the Analects ―ritual propriety‖ serves as the reference framework for ―shame‖: ―Duplicitously affirming social bonds has no integrity, defiling ritual propriety (li 禮) is shame (xiu 羞), exploiting bravery is treachery.‖ In the Analects, Second Section, the listening, looking, speaking, and acting proper to observing ritual propriety is not only ―right,‖ but also ―just right,‖ graceful; due to this, observing ritual propriety sculps a tenor on top of ―right.‖ Precisely for this reason, that which shame, in relation to observing ritual proprity, touches upon or manages is the region of neutral taste relatively distant from ―disgusting.‖ The things that fall within this jurisdiction of neutral taste may not certainly be ―just right,‖ however they are all ―right.‖ These areas of ―shameful to act‖ counteract the approach of ―disgust,‖ and the things that are left undone due to their being a ―shame to act‖ allow people to distance themselves from potential or actual ―disgust.‖ Thus, regardless of whether you feel embarrassed due to having done something that was ―a shame to do,‖ it is still due to ―a shame to do‖ that such things are left undone; a person capable of doing shame always hosts a much wealthier will to intend towards benefaction and good taste.

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As Mencius expressed it, ―affirmatively executing appropriate acts‖ (―right‖) still cannot outweigh ―virtuosity.‖ Genuine virtuosity requires ―an execution from affirmative appropriation (―just right‖). Execute upon the overflowing potential of affirmatively appropriating what is ―right‖ to do, that is, one must be sensitive of ones affirmative will to carry out appropriate acts. To be aware of oneself doing something is admittedly of the utmost importance, but doing something always has limits; ―not doing something,‖ however points to the unlimited self-sensitivity of not willing to do ―inappropriate acts,‖ which expresses much more depth of self-sensitivity in the actor‘s body. Thus, Mencius thought, people who genuinely have the virtue of acting appropriately are acting forthright from the upsurge of potential coming from what they are not willing to do: ―all humans have some potential not willing to do many inappropriate and disgusting things, and extending this potential in their active will is appropriate action‖ (Mencius: Fully Executing the Will). The reason for ―not willing to do‖ is due to clearly understanding that ―doing‖ will fall into ―inappropriate action.‖ ―Those who are good to themselves can refrain from doing‖ (Mencius, Ten Thousand Chapters: first section). The concern at every moment in the will of the self, who loves its own will for being good to itself, really doesn‘t point to any actual ―ill-doing;‖ it points rather to potential ―ill-doing.‖ This kind of worry over ―inappropriateness‖ prevents the undertaking of inappropriate acts, and for this reason, it is the power of undoing an act. Why must the way connecting us to the ―will to action‖ be paved by the ―will not to act‖? How do ―shame‖ and ―distaste‖ build the way connecting the ―will to action?‖ ―Disgusting taste‖ is a repulsive and revolting sensation felt in relation to ―inappropriate actions‖; are these repulsive and revolting feelings that rise up from within our will able to safeguard humans from doing ―inappropriate things‖? Confucius said ―[o]nly those with an affirmative will are able to love people and loath people‖ (Analects 理仁). ―Disgust‖ is an emotional sensitivity that takes the self as the center, criteria, and point of departure. The average person‘s emotional sensitivity is more often than not limited to him or herself, and only those people who have genuinely affirmed human dignity are able to actively reach the unity of emotions and reason (able to give free reign to desires without over-stepping the boundary), an individual‘s loves and hates unfold in line with universal norms and principles. Good and bad have the clear-cut distinction of personal characteristics. The Great Learning states: genuine virtuosity ―is like enjoying good color, like repulsing disgusting smells.‖ ―Disgust‖ is a scale to weigh the subject‘s level of virtue and ethical standards, and the ―ability to loath‖ marks the establishment of the subject‘s ethics and morals. But ―disgust‖ primarily points toward the illnesses of other people; that which points toward oneself and is concerned with the construction and protection of the subject‘s ethical capacities and standards, however, is ―shame.‖ Mencius said: All humans cannot bear to will something bad; if they extend this into the area that bears the action of their will, it is affirmatively willing. All humans have some potential they are not willing to enact; if they intensify this into what they are willing to enact, it is appropriate action. Humans can realize the will that has no desire to do negative to humans, and by realizing it, affirmative willing will becomes inexhaustible. Humans can realize the will that does not speculate for the sake of profiting from actions, and by realizing, appropriate action becomes inexhaustible. Humans are able to immunize their wills from the suffering effects of inappropriate speech, so there will be no place where they will react

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So how to extend this ability to sense inappropriateness through the feelings of shame and revulsion to the point where it becomes active in the willing execution of appropriateness. Confucius thought, reaching a willingness to act from the will to not act inappropriately allows one‘s sense of shame and repulsion for inappropriate actions to expand into an active willingness to do what is appropriate. Not acting primarily points toward unsuitable actions, that is, behavior that is prohibited by norms, but it also includes what cannot be done as well as the things one is unwilling to do, that is, the actions that one‘s able forces cannot reach and any behavior that one‘s will is unwilling to carry out. The consequence generated by acting out what is unsuitable to do will be the other directing blame and the gaze of disrespect at the actor. On the one hand the actor accepts the depreciation the other has for the actor, but facing the judgments his or her conscience gives the actor is much more important. ―Unwilling to act‖ is not merely being self-sensitive of acting unsuitably and the consequences resulting therein, but is also being able to self-consciously author acts of refined taste and self-willingly hold the ground of virtuosity. The unfolding of shame within a person is then ―like facing the abyss, like treading on thin ice,‖ With a fresh and bright willingness, repulse inappropriateness and safeguard the greatness of appropriate action. However, ―to protect,‖ and ―safe guard‖ is still only negative in regard to the cultivation of virtuosity, and shame still has a precious, positive value. Just as we posited earlier in this essay, ―shame xiu 羞‖ is ―offering,‖ the offering of ―beautiful taste;‖ it is taking things that have value and presenting them out into the open. With regard to human beings, it is precisely making one‘s intrinsic values, the ―taste‖ appropriate to oneself emerge into sensible life. This kind of offering from within one‘s will to the outside is without a doubt primarily based upon intrinsic values with depth. Mencius thought the four potentials were just these values with depth that every person inherits as an a priori property. ―Potential‖ is the beginning of value; it is also the origin of value. (Mencius) said: The resourceful spring undulating along, no need to rest from dusk through dawn. Fertile for a thousand fields providing forth, depositing itself without reserve into the four seas. Those with original sources are all this way, inheriting inexhaustible resources, giving forth without taking away.

This wellspring of values is just like a spring in the mountain, under conditions without small objects of desire to block it up, it will overflow with emergent potential from dusk through dawn without exhaustion. However, this wellspring of values does not appear readymade; it requires persistently unearthing its clog without slack. Mencius used the metaphor of ―digging a well‖: ―[t]he one who can will to act appropriately is ground-breaking like a digger of wells; digging a well and leaving nine stones to clog it, is the same as discarding the well‖ (Mencius: Fully Executing the Will, Volume One). With neither self-brutality nor selfabandonment, plumb the depths of one‘s self to unearth the root of good taste within the will, and realize the inherent good within the will, activate one‘s intrinsic property of good taste out in the open, and for the sake of dignity ram down the bedrock foundation. To discover the

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wellspring of values and the source of integrity one still needs to take one more step to make the well fluidly gush-forth; Mencius said: ―[w]ith all of these four powers conditioning oneself, one‘s wit will expand with adequate ideas, just as the fire‘s spark ignites the flammable, and the spring‘s source unfailingly reaches the unfilled.‖ The four sources manifest themselves like flames igniting and a springs filling. The people who have ―shame‖ will take the acute sensibility of their perceptive style and moment by moment retrieve themselves back to recoil this original spring with the weight of its essentially good taste; they will take every idea, every action, and every affair back to this inherent source of value. And supposing that at once this upsurge discontinues or stops, then this spring has no way to gush out, and thus embarrassment, a sense of shame will surge forth, flooding every nook of one‘s passions. Shame will break through the object clogging the well, the object blocking the will, and thereby allow inner virtue to unfold freely and fluently into an external form. In this sense, ―shame xiu 羞‖ and ―appropriate actions yi 義‖ embody and manifest a homogeneous value, and thus Mencius in (告子上) said: ―[a] sense of shame and distaste for willing the improper is the will of appropriate action.‖ Here Mencius puts the two in direct equivalence, and doesn‘t merely see the sense of shame and distaste for willing the inappropriate as the ―source‖ of ―appropriate actions.‖ Just as Scheller had argued, shame originates from the imbalance and disequilibrium between the spirit of a human‘s existence and a human‘s bodily demands.9 Within the philosophy of Mencius, shame arises within the conflict between the ―big body‖ (―appropriate action‖) and the ―small body‖ (―reactive bodily functions‖), an antithesis. ―reactive bodily functions is my desire; appropriate action is my desire, the two of them cannot reach a mutually acceptable contract, do not select the will to react to bodily functions and select the will to act appropriately.‖ ―The desirable‖ (good) can will multiples (diversity) and is not just one (monotony). Within a determinate social-historical assemblage, a diversity of desirables has its gradient hierarchy, its order, and with regard to an individual person, there is also a diversity of desirables and multiple hierarchies, and orders. These hierarchies and orders of values shows that there will be difference in terms of individual bodies, however speaking with regard to the integral members of an entire social body, there still remains a collectively shared measure: its bottom line is having a sense of shame and distaste for the improper, its ultimate degree then points to ―do not select reactive bodily functions, select appropriate activity.‖ The human life that has significance moves unceasingly from the bottom line in a tendency towards the approach of this aim of ultimate integrity. In actuality shame produces in the reverse process: that is, from the highest, most noble degree of value tending to fall into the decadence of the basest values. The role of a sense of shame occurs in preventing this decadence and loss of integrity, maintaining and protecting the integrity of the highest values. Only upon the condition that there is shame does appropriate activity become possible, and this is what Mencius called: ―a sense of shame and distaste for willing the improper is the inherently potent source of appropriate activity.‖ In Mencius‘s view, the small body follows the development of elementary vital life and unfolds, and a human will fall into the decadent danger of inhumanity at any random time for this reason. During the process of using ritual propriety to cultivate the desire of the small 9

See for reference: Scheller‘s The Subversion of Values: p. 167. Translated by Chad Meyers from the Chinese edition done by TiLun Luo, Beijing; 1997.

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body, the Confucian tradition enabled the big body to overflow with integrity through each sliver of time, allowing the properties of diverse forces to integrate and fortify together into a chi of unmatched refinement to drive away and disperse the chi of cults, the chi of brutality, and by protecting the big body, this chi immunized it from the invasive, reactive forces of cult illnesses. This mode of life allowed the fullness of internal values to radiate outwards to favor each individual small body, allowing the big body to express its dignity through each small body. In Fully Executing the Will, Volume One, Mencius said: ―The double affirmation of human life in the appropriate activation of ritual propriety and wisdom is rooted in the will, the four of these potentials together generate the colors of the face, and with bright cultivated eyes it can be seen in the face. It is inherited from the genealogy leading you, it is deposited in four substances, and these four substances express it clearly without a word.‖ After the body has undergone a transformation of spirit, the differences between the body‘s shame and the spirit‘s shame will gradually converge. When a human is ―ashamed to the point where there is no place to host of self-toleration,‖ not only will the face flush read and the ears roseup crimson, but the eyes will lose all clue where to fall upon and refocus, the back will poiseup stiff as if a sword-like gaze pierced it, and the hands and feet barren of any place of employment. Even though the big earth stretches vastly into the distance, the arising of shame in you will strip your feet of any place where you can stand your ground. Thus, the body can have shame, and become ashamed due to physical causes; the body in the same way also bears the shame of spirit, and infiltrates into a spirit‘s shame. Due to this, the protection given to a person‘s spirit will manifest itself in ―the shame to due something,‖ that is, it will consider the significance of doing something before it is actually done, ―a shame to‖ shows that one‘s spirit is endowed with the wealth of elevated capacity to perceive itself. What ―由仁义行”emphasizes is not doing something wrong and feeling ashamed, but much more importantly a sensitive forecast of ―shame‘s range.‖ Of course, a sense of shame, and the will to shame can emerge to the foreground at any time: prior to doing something ―a shame to do,‖ during and after the event of doing something ―the shame for being able to will it,‖ and in the same way it can protect inherent values. Thus, only after one has appropriated a sense of shame and a will to shame can ―appropriate activity (义)‖ become ―intrinsic ethicality,‖ and have significance (意义). Comparatively speaking, ―appropriate action‖ is a property of rationality, universal standards, and morality; whereas a sense of shame and distaste for the improper is a property of an individual person‘s concrete existence, a property of a person‘s passions. The significance Mencius communicated through both of them was in one aspect the universal, formal standards laid a foundation for individual existence, and in another aspect very different from the way Confucius integrated the external form (observing ritual propriety) with the internal substance (affirmative will), Mencius emphasized the integration of rational form (affirmative will, appropriate action) with emotional substance (a sense of compassion, a sense of shame and disgust for the improper).

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Part III. The Structure of a Sense of Shame: The Self without a Need for the Other In everyday life there often occurs the following kind of situation: someone did something inappropriate or unseemly, and afterwards the doer of the deed will worry about other people having seen, the gaze of the other makes him embarrassed beyond words and he carefully checks the circumference of his locality, and when realizes there is no one to be found, he will more often than not sigh a breath of relief. This is almost as if all of shame is established upon the precondition of the other‘s existence. Just like Sartre said, Shame is the comprehension of the unity of the three following dimensions: I; the presence of others; I feel shame in the presence of others. If one of these three dimensions 10 disappears, then shame will also disappear.

Shame is shame ―I feel shame for myself,‖ and the subject of this statement ―I‖ is pointing to the present self-reflective cognition and the I that has emotions, and the latter ―myself‖ is pointing towards the subject that speaks and acts. I self-reflect and cognize, judge if words and speech are either suitable or unsuitable, and will have a corresponding emotional reaction. Is the frame of reference for the self-reflective cogito ―an other person?‖ The other‘s attentive gaze and even the other‘s existence can actually provoke me to reflect upon myself, but is the other person able to adequately serve as the necessary conditions for the occurrence of shame? With no such gaze of another person around, when I realize that I didn‘t uphold even the bare minimum of moral code, when I blurt out a statement I can‘t even tolerate, or do something even I feel is less than half- decent, I will independently still produce the feeling and sense of shame. Most of the time, ―deeds that weigh on the conscience‖ are done in situations where there are no others around, that is, they are done and the other cannot see them or know about them. When the other is not around, the other will not attentively look at me, but I myself, however, will be very clear about the significance of my words and actions. To say that one‘s words and actions disobey a universal standard of conduct, we are saying that this universal standard is external (the other‘s understanding and grasp), and also internal (oneself understanding, grasping). According to the so-called ―the master advises not to will some deed of ill-conscience, so as to avoid the midnight ghost from calling at the door,‖ the arrival of the ―ghost‖ comes following self-will, that is, self-criticizing and self-evaluating due to having done something that breaks a norm. The other person doesn‘t know, the other person isn‘t around, and the self will still feel embarrassed, and even produce shame. For this reason, ―having shame‖ isn‘t necessarily like Sartre‘s argument was able to prove ―the existence of the other.‖ We should say rather, ―having shame‖ can only prove the existence of ―conscience,‖ proving the existence of ―emotions that respect norms and principles;‖ it also proves the existence of norms and principles (―appropriate conduct‖). The other‘s existence and the other‘s gaze are only the embodied manifestation of norms and principles. Because of this, we can also without any difficulty the interrelation between ―shame,‖ ―respecting elders,‖ and ―appropriate conduct.‖

10

Sartre, Jean-Paul: Being and Nothingness: p. 380. Translated from the Chinese version by XuanLiang Chen. An Wei Literature Press, 1998.

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Of course, we also will say ―feel embarrassed for someone.‖ The shame of the embarrassed person is instigated by the other person, but the subject of embarrassment is ―I,‖ it is ―I‖ feeling that the actions that some person willed did not meet what some person should will to do. ―To feel embarrassed for someone‖ is actually to say: this someone under these circumstances should ―be embarrassed‖ just the same as anyone with dignity would ―feel embarrassed,‖ the person that should feel shame is this ―someone,‖ and should not be the ―substitute.‖ The precondition of shame is that there is a self with dignity, and substituting for the other‘s sense of shame is doubtlessly a negation of this self with dignity; this is equal to saying, you are a person without dignity, and if you had dignity you ought to feel ashamed. Thus, this kind of saying ―feeling shame for someone‖ actually expresses the speaker‘s attitude about what should have been done under some kind of circumstance. For instance, in Mencius‘ Li Lou, he records such a situation of a Man of the Kingdom chi going out begging for food and his wife felt shame for him. Mencius‘ critique goes like this: ―as the master of appropriate action views it, the way a man seeks to achieve riches, recognition, and benefit does not make a man‘s wife and concubine feel shame, but that it doesn‘t make them weep together—how rare indeed!‖ The man of the kingdom of chi is actually injuring his own dignity through the warped way he goes about getting wealth and riches, and thus it is this man himself who ought to feel shame. The content and cause of the shame that is felt by the wife and the concubine lay in the unhealthy way they deal with this man, not the crooked way of searching for wealth and riches. For this reason, the shame that the wife and concubine feels regard themselves respectively, and they don‘t feel ―shame‖ for this man of chi. Genuine ―shame‖ is something the other can‘t substitute, just like one can‘t feel the happiness of others for them, or genuinely feel another‘s sadness. Although feeling shame for another person was instigated by the appearance of that person, the shameful one is still oneself and can‘t be the other. We can get a relatively clearer realization of this characteristic of ―shame‖ within a passage Mencius wrote in a criticism of BoYi and LiuXia Hui: Boyi wouldn‘t follow an order unless it came from a master of appropriate will, nor would he give a hand to someone unless they were a friend. He wouldn‘t stand in the court of an ill-willed ruler, nor exchange words with an ill-willed man. If he stood in the court of a ruler of an ill will, or exchanged words with a distasteful man, it would be for him like taking up the dynastic crown to go sit in a pit of ash, adorning the court robe just to go lay down in a puddle of mud. His will was so sensitive to things of distaste he repulsed them away out of intense disgust; if he were thinking where a fellow villager were standing, and the villager dawned his hat improperly askew, the mere sight of such a scene would stain enough of his nature for him to walk away with disdain. Accordingly, although a feudal prince would summon him with an invitation of fine words, he wouldn‘t suffer it; he couldn‘t suffer it because taking an order from a feudal prince just wouldn‘t be worth his while and that is all. On the contrary, LiuXia Hui wouldn‘t feel a spot of shame under a decadent ruler, nor would he make bureaucrat of the lowest office feel base. Holding office, he did not conceal his considerable ability, but wouldn‘t swerve an inch from the path of his principles. If overlooked, he would not complain; if he fell into poverty, he wouldn‘t ask for pity at all. Thus he said, ―[y]ou be you, I‘ll be me. If you took off your gown and stood stark naked beside me, how could you even sully my name at all.‖ Thus it was always out of his nature‘s content to be in the company of any and all without losing anything of himself. If anyone stopped him and asked him to stay he‘d stay, because there was nothing more worth of him to go and that is all.

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Mencius said: Boyi‘s wills narrowness, LiuXia Hui wills no respect: two things a master of appropriate willing chooses not to will.

As stated above, that which shame has an issue with is the self. LiuXia Hui didn‘t feel shame for a corrupt prince, and the reason lies in the self-character of shame, your shame is your shame, my shame is my own. From his view, when the other person was unclothing right next to him, the person who should feel shame is the other person, but not himself. If it is said that LiuXia Hui‘s way of doing things has problems, then his problem was in carrying the self-character of shame all the way through to its extreme, and because of this, only concentrating upon ―cultivating and repairing oneself‖ and not bringing that cultivation and repair to bear upon the ―wellness of people,‖ ―the welfare of the commoners‖; LiuXia Hui lacked the passion to realize the universality of ―appropriate action‖ in the greater public realm. Speaking in regard to ―a sense of shame and distaste for the improper,‖ when this sense falls short of the beneficence and loving concern proper to the nature of affirmatively willing, ―exhausting‖ and ―achieving‖ can both be due to ―shame‖ and ―solely be of aid to oneself,‖ but it cannot however ―affirm that aid twice for the public realm.‖ Confucius said of LiuXia Hui that, ―his will descended to insult himself,‖ but there were ―ethics within his words, and worries within his ways‖ (Analects). His body and will accepted disgrace but not shame, the reason lies in that ―shame‖ is the shame of ―I‖ regarding itself: self-protecting not to lose it, thus no feeling of shame, and disgust is also this way. Due to arising from itself, within ―shame‖ and ―the things ashamed of‖ the concern and attention paid to the other person been put into suspension. So-called ―narrow‖ and ―no respect‖ both touch upon omitting the ―other‖ due to the omission of a loving will and a ―will with a sense of compassion.‖ With regard to LiuXia Hui, the other person unclothing touches upon the other person‘s shame, not his own shame. We still ought to distinguish ―shaming others‖ and ―feeling shame for others.‖ The former refers to me awakening the other‘s sense of shame, the other ought to feel shame for himself. ―Feeling shame for others,‖ is actually the self taking a small sphere of its own sense of ―good shame‖ to come and do the shaming of ―the other person‘s self.‖ Because of this, what ―feeling shame for an other self‖ touches upon is still ―the other person‘s self‖ and not a person besides this ―other person.‖ LiuXia Hui having ―no shame under the corrupt prince‖ refers to not shaming for getting along with the corrupt prince, the corruption is with the prince but not with me. However, if shame is only blaming oneself, how then does the sense of shame and distaste for willing the inappropriate lead to ―appropriate action?‖ ―Appropriate action‖ refers to each person‘s ―should,‖ the path that each person should follow. Serving as a father, one should be ―merciful,‖ serving as a son, one should be ―filial.‖ The different identity of each self and not another person‘s identity should determine the concrete content of ―appropriate action.‖ The other omitted, ―appropriate action‖ has no concrete unfolding but is still there. Because of this, Mencius posited ―carrying out action by affirmatively willing appropriate action,‖ and opposed carrying out actions due to the other‘s face and the other‘s gaze. What this kind of sense of ―appropriate action‖ is weighted upon is its own ―should,‖ but not a balance or equity between rights and duties. The individual person of itself respects and carries the responsibility of ―laws‖ or ―duties‖; the individual internalizes ―appropriate action‖ into ―conscience,‖ through ―self-cultivating‖ work. Upon the body of a person who has morality, respecting and undertaking the responsibility for prescribed norms is embodied as a relationship of ―I‖ towards my own conscience.

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What the Confucians continuously strived after and held in high esteem was a ―study of being oneself,‖ and ―being a self‖ is constructing itself, building itself up, that is, establishing an ―I and me‖ with dignity. This ―I‖ only takes responsibility for myself, taking responsibility for absolute laws, and principles (appropriate action, nature). ―To cultivate chi, the greatest and most unbending, crammed in between the heavens and the earth ….‖ ―Loved ones not closely relating is against its affirmative will; rulers not ruling is against its wisdom; observers of ritual propriety not responsive is being against its respect; those who have not reached the object of their actions all reflectively demand their various selves, they correct themselves and the great social realm returns it‖ (Mencius: Li Lou). Behavior having not reached the intended effect primarily demands researching the self, scanning its own action. It is needed at any time to accept the conscience‘s direction and retuning. ―Shame‖ shows the self there is an attitude to deal with facts, and also at the same time declares an attitude of the future. ―shame‖ isn‘t done for another person to see; it is overflowing from inside to outside. The Confucian theory of ―being careful alone‖ has a deep explication with regard to the significance of the self-other state of affairs. ―Not seeing what is hidden, not showing what is subtle, thus the master of appropriate willing is vigilant of himself when alone‖ (Zhong Yong). Zhuxi commented on this saying: ―Speaking within inaudible allusions, acting within the imperceptibly minute; traces although unformed will converge at a time, then the self moves; although the other does not know, the self alone knows this, then the work of unity in the realm will have no one who can see it take place, but it passes into them. Thus the master of appropriate willing is eternally vigilant, and within this vigil he adds circumspection, thus he stops people‘s desires from grasping the sprouts, and doesn‘t allow them to nourish and grow within this subtle, hidden realm, to the point of keeping them far away from the principle of this path‖ (Zhong Yong). ―Concealing‖ is another kind of ―showing‖: that is, the showing to oneself under the situation where there is no attention paid by the other; ―subtle‖ is another form of ―obvious‖: obvious in the sense of the self clearly and distinctly sensing it. These two occupy the region of inaudible allusions that the other doesn‘t see and doesn‘t know, and this is also to say, whether the other person appears or not, there will be no influence upon the activity of the self‘s conscience, there will be no influence upon my perception of ―appropriate actions.‖ In this sense, ―being vigilant alone‖ manifests the selfsufficiently appropriate actions of the self. Taking the ―sense of shame and distaste for willing the inappropriate‖ to serve as one of the four sources of good taste, focuses upon the role of ―shame,‖ and stipulating internal willingness as its ultimate ground. Mencius‘ way of seeing ―shame‖ is doubtlessly heir to a few consistent places of communication with ―being vigilant alone.‖ ―That which a person has the capacity for without learning is its conscience‘s capacity. That which one doesn‘t think about but knows, is the conscience knows. The baby picked up by a child isn‘t ignorant of its love for its relatives, and the growing one‘s next to him, he not unknowingly respects his brothers. Relatives closely relating is affirmative will. Respecting elders is appropriate action. The absence of others is the arrival of the great public realm (Mencius: Fully Executing the Will (trans. Chad Meyers). ―Appropriate action‖ is ―affirmative will‘s‖ natural growth and extension, or this is to say, ―appropriate action‘s‖ ground and foundation is upon ―the affirmative willingness of relatives closely relating.‖ Even if it is like this, the two also still can be equal. ―The sense of shame and distaste‖ of ―the beginning of appropriate action‖ is in a parallel beginning with ―the sense of compassion‖ of ―the beginning of affirmative will.‖ The precondition of shame and the capacity of shame is knowing ―true and false,‖ and

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knowing ―deference with refined language,‖ and because of this, the sense of shame and distaste can cover up the will to refined deference and the sensitivity to true and false. If it is said that ―the relating‖ of ―relatives relating closely‖ is a naturally occurring emotion, then the content ―the sense of shame and distaste for willing the inappropriate,‖ ―the will of refined deference,‖ and ―the sensitivity to true and false‖ ―respect‖ could then be said to serve as the rational emotions constructed upon the foundation of the seniority system. Having seniors and inferiors, having order, having ethics and rational patterns thus it could be distinguished in the ―tranquility‖ relative to motion, and the ―purity‖ relative to filth. Those who have shame are respectful of themselves, respect themselves and thereby honor themselves (having selfhonor): People who respect people are respected in return. Taking this as a ground, Song and Ru traditions adopted ―respect‖ to replace Buddhist ―purity‖ and Daoist ―stillness‖ and served as the most important work on the cultivation of the will‘s nature.

Section IV. Having a Sense of Shame and Having a Being of Shame Moral cultivation requires a sense of shame persisting to continuously spring forth, and a moment will not emerge merely having sense of shame and then a shameless springing forth as Scheller and Sartre both understood the sense of shame: only when being seen by the other‘s gaze will shame appear. For this reason, establishing the existence of the sense of shame means establishing the sense of shame that springs forth ―without resting from dusk through dawn,‖ which requires that ―shame‖ gather the stipulation and guarantee of substance and function. Merely speaking with regard to activity, the emergence of shame might merely be a sudden spur of the moment ―event‖; it might be a discovery made by suddenly turning one‘s head back to look. Scheller said: ―In some kind of sense of the phrase ‗sense of shame,‘ the sense of shame is a kind of form of feeling ourselves, and due to this, it is attributed to the region of self-feeling; this is the substance of the sense of shame. Since there is an event occuring in all of our senses of shame, I want to call it ‗turning back to myself.‘‖ 11 ―‛Shame‘ is always shame for the sake of some thing; it is related some fact; this fact spontaneously ‗demands‘ shame, and this has absolutely no relation to our individual modes of ‗I.‘‖12 Scheller and Sartre have no way to accept that human‘s have innate goodness under the theoretical tradition of original sin. They also have no way to accept ―the sense of compassion, that all humans have it; the sense of shame and distaste for the inappropriate, that all humans have it.‖ Scheller said: ―The mind‘s sense of shame takes the existence of spiritual individuals as its precondition, therefore, the body‘s sense of shame ultimately universally exists in the human body and at any point in time in human development…On the contrary, the mind‘s sense of shame is definitely not a universal attribute of humans, and will not appear at any stage of an individual‘s and race‘s development.‖13 Without a framework of shame‘s substance and function shame will become a distinct event randomly emerging within the process of individual and racial development, and due to this, Scheller has a ―turn back to myself‖ speech about shame. On the contrary, in the Confucian tradition, shame is the unified source of substance and function, this is just as MuZong San had summarized it: 11

马克斯·舍勒：(价值的颠覆), pp. 179-180. Trans. Chad Meyers Same as above: pp. 184. 13 Same as above: pp. 197-198. 12

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―substance, that is, activity.‖ Confucians very early on determined a substance of shame‘s ―resourceful spring undulating along, no need to rest from dusk through dawn,‖ and only once there is this ―substance,‖ is it possible for ―the acting self to have shame (Confucius),‖ ―eternally bright and wise (Song Ming lixue),‖ and this is also to say, shame can and also should unfold at any time in any circumstance of a human‘s development. Upon the foundation of the sense of shame, these three: fearing shame, embarrassment and humiliation unfold as a unified process and form; people with a sense of shame have concern over the loss of self-dignity and the sinking of self-value, and therefore ―fear shame.‖ Due to fearing shame there is the capacity not to act, having respect; because of this, fearing shame is subordinate to the future. At the very moment when self-dignity is lost or falls, and at the very moment when self-value sinks, one will deeply perceive the situation about to happen; it enacts an attack upon positive self-perception, self-frustration, that is, emotive perception and emotional reaction, and thus ―shy away.‖ The loss of self-dignity and the sinking of self-value are kinds of facts that will persistently produce effects in my sense of shame: aftertastes, reflections, being ashamed for what the past had expected out of my deepest sense of value; being ashamed regards the sense of shame and distaste for willing the improper, and only due to it can I feel ashamed. Shame and Being unfold the same path, fearing shame, embarrassment, and feeling ashamed (these three) respectively correspond to dasein‘s three dimension: future, present, and past. Due to having had an experience feeling ashamed now engenders concern for the next repeat of self-dignity suffering an attack, then the fear of shame emerges out of my concern over being ashamed again, and lastly, the feeling of shame emerges from being afraid of shame … the sense of shame and distaste for willing the improper is substance (being) flowing without rest from dusk through dawn, ceaselessly persistent to emerge with functions. Mencius took ―shame‖ to serve as one of the most important sources of dignity, and values; ―shame‖ takes humans and sculpts them into moral people. A person with dignity, yet without a sense of shame and distaste for willing the inappropriate, will decay towards natural humans and even all the way towards beasts. Because of this, we can much more appropriately understand the deepest layer of sense in Mencius‘ statement: ―A shameless and tasteless will is not human.‖ Due to this kind of wellspring, people self-respect, self-form and self-dignify, and thus are able to suppress the decadence of natural humans, thereby pulling away with distance from the theory of ―life being called sex.‖ Mencius took shame to serve as the source of values, the root of existence; the social order of values that it provides is the content of a real sense of shame, and its universal significance then lies in taking shame to serve as human existence‘s real form and source of inspiration.14 Speaking from existentialism, ―shame‖ is not only one of the most important modes of self-unfolding, but it is also one of the most important modes of the self to pass along and exchange ways of relating to the world: take shame to perceive the world, to respond to the world. The ten thousand creatures and the others have all been pulled up to face my inherent will; the ten thousand creatures and the others‘ emergence primarily act as entities that have some kind of significance for me, capable of producing entities that have some kind of function in relation to me. 14

Of course, in the framework of Confucian thought, the ten thousand things and the other person are able to become existing beings that have taste, because they have the same kind of emotional connection to a sense of compassion.

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Our experience and rationality are both grounded in this kind of existential mode—in other words, this kind of existent mode correspondingly sculpted a kind of special way to experience and special way to think that is founded upon ―shame.‖ By using shame to receive entities, the self-character of shame determines not only that entities that humans are concerned about are objective self-existent substances, but rather entities that produce interrelations with humans and generate effects upon humans; they are entities becoming ―events.‖ Taking shame to connect with entities makes entities become ―events‖: ―entities are also events‖—this classic explanation precisely shows the special concern of this kind of experiential mode and rational way to think. Confucians tended towards the self-formation of human ethicality, and thereby they broke open a function for the sense of shame. Due to this breaking through of shame‘s sense into a function, they could sculpt an existence out of the unified source of substance and function: the being of having shame. Speaking with regard to Daoists who were also completely focused upon the will‘s self-formation, shame was also made to serve as a kind of important mountain pass for protecting the nature of the will. In Zhuang Zi‘s Outer Documents and Random Collections, shame had been taken several times out of Confucius‘ mouth for his own employment, but in a way that modified shame‘s significance from its basic Confucian employment. For instance: In the sheer proximity of an eloquent speaker, he even felt shame to open his ears to hear it; and for paying an eloquent speaker like that a personal interview! How would he be able to take it! (Zhuangzi: Ze Yang)

As a father, he must be able to make himself known explicitly to his son; as an elder brother, he must be able to guide his younger brother. If a father cannot make himself known explicitly to his child, or if an elder brother cannot guide his younger brother, then relationships between father–son and elder brother–younger brother are worthless. Your brother is a thief who steals very valuable things and harms the world; if you cannot guide him out of this path, and you are a genius, then you should feel shame to be one (Zhuangzi: Dao Zhi). It isn‘t difficult to see that the region of shame in Daoism and the region of shame in the mind of Confucians like Mencius cover similar ground; however, Doaists emphasized selfguarding the naturally potent ―simplicity‖ of the will; they took speech, acts, and things that injured the nature of the will‘s basic simplicity as their particular sensitivity to shame: lose the simple inherent nature and feel shame. They had shame and there were many words and actions they weren‘t willing to do, and only in this way were they able to protect themselves and not lose. In Zhuangzi we find a story of a northerner who ran into a glimpse of the emperor Shun; he saw it as an affair to mourn his principles over, he saw it as scraping the self-protecting bottom line, and was therefore ―shamed to see it,‖ willing to make a move out of the way to see an emperor and as a result through himself into the deep abyss. In Zhuangzi: Make Way for the King someone carrying a jar knew about mechanical efficiency, and also knew that mechanisms will bring along mechanical events, that mechanical events in turn will generate a mechanical heart, and thus felt a ―shame to will‖ mechanically. ―Shame‖ then became the safeguard of simple intrinsic nature, ―the range of shame‖ being the selfprotecting bottom line. Therefore, shame reached a concern of importance for the Daoist style of cultivating the nature of the will. Because of this, it could be said that in Daoism the sense

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of shame generated a being of shame, which is without a doubt one more great principle of understanding on this path of thought and existence.

REFERENCES Du, Yu. (1997). Chuqiu Jing Zhuang Jijie 春秋经传集解 (Collected Commentaries the Spring and Autumn Annals). Shanghai: Shanghai Guji Press. Guo, Qingfan (2004). Zhuangzi JIshi 庄子集释 (Collected Works of Zhuangzi). Beijing: Zhonghua Shuju. Jiao, Xu. (1996). Mengzi Zhengyi 孟子正义 (Commentary on Mencius). Changsha: Yuelu Shushe. Jiao Xun (2003).Yi Zhangju易章句 (Commentary on the Book of Change). Kong Anguo,Kong Yinda (2000). Shangshu Zhengyi尚书正义 (Commentaries on the book of history). Beijing: Beijing University Press. Li Zhehou and Liu Gangji, eds. (1984). The History of Chinese Art. Beijing: Chinese Social Science Press. Ren Jiyu(1959). Laozi de Yanjiu 老子的研究 (A Study on Laozi). In Laozi Zhexue Taolun Ji 老子哲学讨论集 (a collection of essays on the philosophy of Laozi). Beijing: Zhonghua Shuju. Zhenzhou: Jiuzhou Press. Sartre, Jean-Paul (1998). Being and Nothingness. Translated from the Chinese version by XuanLiang Chen. An Wei Literature Press. Scheller, Max (2004). The Subversion of Values, translated from the Chinese version by TiLun Luo, Beijing. JiuZhou Press. Wang Fuzhi (1996). Chuangshan Quanshu 船山全书 (Collected Works of Chuangshan). Beijing: Zhonghua Shuju. Xu, Shen (1963). Shuowen Jiezhi 说文解字 (The Explanation of Characters). Beijing: Zhonghua Shuju. Zhao, Qi. & Sun, Shi. (1999). Mengzi Zhushu 孟子注疏 (Commentaries on Mencius). Beijing: Beijing University Press. Zheng Xuan, Kong Yinda (1999). Liji Zhengyi 礼记正 (Commentaries on the Book of Rites). Beijing: Beijing University Press). ZhiDe, Lai (2004). Collected Commentaries on The Book of Changes. Beijing, JiuZhou Publishing House. Translated by Chad Meyers. Zhu, Xi. (1983). Sishu Zhangju Jizhu 四书章句集注 (explanation and collected commentaries on the Four Books). Beijing: Zhonghua Shuju.

In: Psychology of Neuroticism and Shame Editor: Raymond G. Jackson, pp. 59-83

ISBN: 978-1-60876-870-7 © 2010 Nova Science Publishers, Inc.

Chapter 3

THE MANIFESTATION OF NEUROTICISM IN THE USE OF INFORMATION AND COMMUNICATION TECHNOLOGY 1

2

Lauren L. Saling1 and James G. Phillips2

School of Social Sciences and Liberal Studies, Charles Sturt University School of Psychology, Psychiatry, and Psychological Medicine, Monash University

ABSTRACT The present paper considers whether individuals with neurotic traits (anxiety, depression, shyness, low self-esteem) are more prone to use information and communication technology. We have previously found that individuals with low self esteem and social anxiety are prone to use the internet. The internet offers the opportunity to edit one‘s self-presentation through email and blogging benefitting the socially anxious. As the internet serves to document behaviour, it also provides evidence of emotional or irrational behaviours. Procrastinators prefer email, and those prone to panic are more likely to post messages on discussion groups. There is also evidence that neurotic individuals send more SMS. The present paper also considers the potential to develop addictions to technology. There is limited research addressing neuroticism as a predictor of the use of information and communication technology, nevertheless, this is an area of potential interest, particularly as the internet serves to document behaviour and self presentation in a way that was hitherto not possible.

The internet was initially a directory of searchable information, but increasing access to a variety of social networking applications now means that not only can corporations decide how they present themselves to the world, but individuals can also decide how they present themselves. Given that personal information is now available on the world wide web, the lives of individuals are increasingly subject to scrutiny. Some members of the community are potentially more vulnerable to this phenomenon than others. As the ill-considered word or act cannot be undone once in cyberspace, and can leave long lasting electronic traces, it is important to understand how personal style can influence the use of information and communication technology. Within this context the present chapter considers how neurotic

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tendencies may manifest when using information and communication technologies such as the internet and mobile phones. The internet was the product of the efforts of computer scientists and it provides increasing opportunities for government and commercial sectors to get their message out to the general public. As such, the internet is of great interest to business, market researchers, and psychologists. As the user base of this technology has shifted from highly trained professionals, to the general community (and even to marginalised sections of the community), there have been efforts devoted to standardisation and improving usability (e.g. W3C) (Nielsen, 2000). Psychologists in the area of Ergonomics and Human Factors have assisted in the evaluation of the usability of technologies (i.e. human machine interaction). Nevertheless the disciplines of Ergonomics and Human Factors are somewhat lacking in understanding technologies that seek to enhance human to human interaction. This is an unfortunate historical accident that arises because most ergonomics texts (e.g. Fitts & Posner, 1967; Norman, 1988) overlooked interpersonal interaction, and until recently continued to do so (e.g. Wickens & Hollands, 2000). This is increasingly becoming an issue in the face of the emergence and widespread acceptance of the internet as a tool to support interpersonal interaction. Indeed, within the commercial sector there has been a growing realisation that usability alone does not determine internet use. Other factors such as affect and aesthetics (Lavie & Tractinsky, 2004; Norman, 2002; Tractinsky, Katz, & Ikar, 2000) also appear to drive the use of the internet and mobile phones. In particular, there is a growing need to understand people‘s use of technology to support their social interaction. Although overlooked by most, some early ergonomists made attempts to address communication and social interaction (Argyle, 1967; Welford, 1966; 1968; 1987). This is a useful starting point from which to consider people's use of information and communication technology. Argyle (1967) and Welford (1968) attempted to extend ergonomic models of human-machine interaction to human to human interaction (see Figure 1). Each person was viewed as an information processing channel, and social interaction was modelled as an interplay between two information processing channels, where one communication channel represented person A and the other communication channel represented person B. The communication channels incorporated what was known about human information processing at that time, and involved stages responsible for encoding (perception), transmission (interpretation or translation), and decoding (responding). The channels had limited capacity for processing information and were perceived as involving feedback loops. For example, in this case, person A's actions elicit responses from person B as feedback. Note that information comes from A to B from a variety of sources verbal (intended) and non-verbal (unintended), and social skill in part is reflected by the appropriate control of messaging (Argyle, 1967). Hence within the context of the internet or mobile phones, it is likely that emotional reactivity may influence the number of messages and the response to feedback, whereas a willingness to self-disclose is likely to influence the choice of communication channel (see Phillips, Saling, & Blaszczynski, 2008). Indeed, it is important to understand such tendencies as they have a direct relevance to privacy legislation (Wang, Lee, & Wang, 1998) and an individual‘s franchise in an increasingly electronic government (Toregas, 2001).

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Figure 1. Ergonomic Model of Human to Human Interaction.

Unfortunately the psychological disciplines most associated with the use of computer technology (i.e. Ergonomics and Human Factors) have tended to overlook the reasons and motivations underpinning behaviour (Skinner, 1985). Indeed a lot of current psychological research addresses behaviours that are intrinsically motivated, and where primary, and even secondary, reinforcers are not immediately apparent. Hence early attempts to address social interaction borrowed concepts from Behaviorism (Argyle, 1967; Welford, 1976). Argyle (1967) suggested that social interaction was likely to continue where interaction was reinforcing and furthered an individual's goals (Argyle, 1967). Behaviorist theory would suggest that the amount of interaction will depend upon reinforcement history, while the communication channel chosen is liable to be that channel that maximises reinforcement (Hernstein, 1961). Nevertheless the concept of reinforcement is somewhat circular in usage. Reinforcement is invoked to explain increases in behaviour, but when Behaviorists are asked to define reinforcement, it is typically defined as that which increases behaviour (Meehl, 1950). In other words that which is to be explained (explanandum) is also the explanation (explanans). This problem was addressed by discussing tendencies for reinforcements to work across situations (Hernstein, 1961; Premack, 1959), in other words to infer predispositions to respond within the organism. This explains our current interest in personality as a potential predictor of the use of information and communication technology.

Neuroticism as a Primary Personality Feature Personality theories consider the relationships between a constellation of response tendencies and predispositions as a method of predicting behaviours. Personality is typically

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construed in the psychological literature as involving a number of dimensions (Eysenck, 1994; McCrae & John, 1992). Eysenck (1991) postulated three primary dimensions of personality: Extraversion, Neuroticism and Psychoticism. According to Eysenck‘s model, neuroticism, like extraversion and psychoticism, represents a higher order personality factor that is comprised of a number of lower order traits. According to this model, neuroticism is thought to include a number of traits such as anxiety, depression, guilt feelings, low self-esteem, tension, irrationality, shyness, moodiness and emotionality (Eysenck, 1994). Collectively these traits have been understood to be markers of emotional instability. It should be noted, however, that not all neurotic individuals will display all of the traits underpinning neuroticism. Another broadly accepted model of the structure of personality, the five factor model (Costa & McCrae, 1992) specifies five dimensions of personality, Neuroticism, Extraversion, Agreeableness, Conscientiousness, and Openness. As is the case with Eysenck‘s model, each of these higher order factors is comprised of a number of lower order traits. Therefore, neuroticism is considered to be a primary personality dimension in both models of personality.

The Biological Basis of Neuroticism Eysenck‘s (1967, 1994) three factor model invokes a biological basis for personality dimensions. Eysenck located the neural substrate for neuroticism in the hypothalamus and limbic system and argued that differences in levels of neuroticism between individuals is due to differing levels of instability associated with this system with respect to the stress response. As such, Eysensk‘s model postulates that individuals with high neuroticism will typically have an exaggerated response to stress and this response will manifest for a far longer period than the exposure to the stressor. Empirical studies have revealed conflicting findings with respect to stress reactivity in individuals with high neuroticism. For instance, Bono and Vey (2007) found the individuals with high neuroticism demonstrate an intense stress response, that manifests behaviourally as anxiety or depression, and has been shown to correlate with a number of physiological measures including increased heart rate. However, Chida and Harmer (2008) performed a meta-analysis of 729 studies that investigated the relationship between personality variables and stress response and recovery. The meta-analysis revealed that although individuals with high neuroticism did not display a heightened stress response they were slower to recover from stress-induced cardiovascular excitation (Chida & Harmer, 2008). Further the authors postulate that the lack of stress reactivity in those with high neuroticism could be due to continuous exposure to stress in such individuals which ultimately dulls their acute stress reaction. Certainly, this analysis reveals that individual with high neuroticism have an altered response to stress. The biological basis of neuroticism has been addressed by investigating the brain areas involved using imaging techniques. The neural correlates underpinning neuroticism and its link to anxiety and mood disorders have recently been explored using functional magnetic resonance imaging (Haas, Omura, Constable & Canli, 2007). Haas et al. (2007) investigated the brain activation associated with an emotional conflict task in individuals with high trait neuroticism. The authors noted that those individuals who obtained high scores on the

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anxious form of neuroticism (as compared to the depressive form) displayed activation of the amygdala and subgenual anterior cingulate, which are brain areas associated with anxiety and mood disorders. As such, activation of these areas appears to provide the basis for the connection between neuroticism and anxiety and mood disorders. Kumari et al. (2007) found that when a stressful situation is merely anticipated, rather than actually presented, individuals with high neuroticism experienced a greater intensity of fear than individuals who scored low on measures of neuroticism. In this experiment, participants were told that they would be experiencing an electric shock and self-report measures as well as physiological measures, such as heart rate, were recorded. Interestingly, individuals with high neuroticism reported a greater intensity of fear than that reported by those with low neuroticism. In addition, there was decreased brain activation in those with high neuroticism when compared to participants with low neuroticism. The authors explained this finding as being due to suppression by the fear response, an avoidance mechanism often employed by individuals with high ‗resting arousal‘. As such, individuals with high neuroticism may have less effective coping strategies, and rely on avoidance coping mechanisms (Robinson, Ode, Wilkowski & Amodio, 2007). This will be elaborated upon later in this chapter.

Personality, Information Processing and Problem-Solving As indicated previously, personality variables appear to be associated with the individual‘s response to stress, in particular the way in which the individual manages stress and their ability to process information when under stress as well as the problem solving strategy adopted in stressful situations. Stress appears to have a number of different effects on information processing. Where stress is acute and short-lived, it may improve task performance as it serves to focus the individual‘s attention on task demands (Andreano & Cahill, 2006). However, chronic stress, particularly where there is prolonged exposure to high cortisol levels, results in performance decrements (Jelici, Geraerts, Merckelbach & Guerrieri, 2004). Even acute stress can result in performance decrements particularly in tasks of working memory (Elzinga & Roelofs, 2005). The working memory system is involved in holding small amounts of information active for a short time period such that crucial information can be selected for further processing. As such, decrements associated with working memory will undermine information processing. It is thought that optimal functioning of the working memory system is particularly important under conditions of stress where the individual needs to efficiently process the essential features of incoming stimuli. Thus, any compromise to this system when stressed, serves to compromise the individual‘s ability to process information. Stress and arousal are known to change how information is processed. With danger or threat there tends to be a narrowing of attention (Wickens, Lee, Liu, & Becker, 2004, p. 330). The range or breadth of attention is restricted, such that stressed or aroused individuals concentrate very hard on the source of stress or how to avoid it, but there is a concomitant tendency to ignore surrounding information. The tendency to ignore surrounding information means there is a loss of "context" or situational awareness. When stress and arousal leads to a focus upon a clear and functional solution then the tendency to focus can be useful. However, when the solution is not immediately obvious, a focus induced by stress and arousal can

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compromise efforts to problem solve. Focussed attention may not be appropriate when the solution to a problem requires a broader integration of cues, an appreciation of context, or a flexible approach to circumstances. In other words, stress and arousal are thought to cause a rigidity or "cognitive tunnelling" such that people focus exclusively upon one issue to the detriment of a more flexible consideration of a wider set of options (Wickens et al., 2004, p. 330). Although, researchers have considered relationships between extraversion and information processing capacity (e.g. Brebner, 1991), less has been done in terms of furthering the understanding of how neuroticism influences information processing. Extraverts have been considered to be under aroused and hence stimulus seeking to maintain optimal arousal levels (Eysenck, 1967). However, Brebner (1980) refined this position, invoking separate mechanisms for stimulus excitation/inhibition and response excitation/inhibition. Brebner (1980) suggested that extraverts are predisposed to respond, whereas introverts are predisposed to inspect stimuli. There is some evidence to support this position (e.g. Brebner & Cooper, 1974; Brebner & Flavel, 1978). Although Brebner primarily studied extraversion, he did propose a model of emotional reactivity in the journal "Personality and Individual Differences" which has implications for other personality types. Brebner (1998) proposed an adaptive model of decision making that could be applied to emotional responses and hence can be used to draw inferences as to the nature of information processing in individuals with high neuroticism. The advantage of such a model is that it has been validated in other domains and hence can make some useful predictions. Brebner‘s model implied that neurotic individuals were less considered in their information processing, accumulating less information before reacting. On this basis, neurotic individuals would be fast and inaccurate in their emotional responses. From this, one can make predictions about their use of information and communication technology. For instance, individuals with high neuroticism scores might be more likely to use the more immediate SMS (text) rather than voice calls, and may use this technology in an ill-considered fashion. This is reinforced by findings that under conditions of high stress, individuals typically behave more impulsively as demonstrated by shorter reaction times (Duncko, Johnson, Merikangas & Grillon, 2009) and individuals with high neuroticism act as if under stress (hyper-aroused). Although, such behaviour may be adaptive in situations where there is a genuine threat, it becomes maladaptive where the individual experiences constant high level stress, such as that displayed by neurotics, and ultimately undermines functioning.

The Coping Style of Neurotic Individuals Coping typically refers to the individual‘s ability to deal with stress. A narrow focus to problem solving is typical of neurotic individuals and is associated with low emotional intelligence and emotion-focussed coping (Brebner, 2001). There appear to be a number of facets of emotional intelligence involving the ability to identify emotions, to integrate emotions and thoughts and to manage emotions (Mayer, Salovey & Caruso, 2000). Matthews et al. (2006) explored the relationship between emotional intelligence, personality and taskinduced stress. Emotional intelligence predicts coping such that individuals with high emotional intelligence are better able to cope with stressful situations. In particular, the authors investigated the five personality dimensions identified in the five factor model;

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Neuroticism, Extraversion, Agreeableness, Conscientiousness, and Openness (Costa & McCrae, 1992). Matthews et al. (2006) found that neuroticism was related to distress, worry and emotion-focussed coping. Such individuals therefore do not exhibit high emotional intelligence but rather demonstrate difficulties in managing task-induced stress. Indeed, on tasks requiring emotional regulation, those with high neuroticism tend to perform poorly (Bono & Vey, 2007). Neuroticism has been found to reliably predict tense arousal in performance-oriented settings (e.g. Thayer, 1989). Connor-Smith and Flachsbart (2007) examined the relationship between coping style and personality as personality features may either facilitate or sabotage coping. In particular, the authors explored coping associated with the five personality dimensions (Costa & McCrae, 1992). Extraversion and conscientiousness predicted positive coping strategies including problem solving. Neuroticism, on the other hand, predicted negative coping strategies including withdrawal and emotion-focussed coping. Emotion-focussed coping typically involves avoidance of the negative emotion associated with the stressful situation and tends to be associated with a worse outcome than problem-focussed coping that aims to address the source of stress. In general terms, individuals with high neuroticism appear to experience more negative affect and are typically less happy than those who attain low scores on measures of neuroticism (Brebner, Donaldson, Kirby & Ward, 1995) and report higher levels of stress (Costa, Somerfield & McCrae, 1996) which ultimately undermines their capacity to manage stressful situations. Research implies that neurotic individuals would be predisposed to use the internet for procrastination, and be less adaptive in their use of the internet. Perhaps making more requests for assistance. As will be outlined later, there may be some evidence to support this position.

Measuring Neuroticism Two instruments are commonly used in psychological research and clinical practice to measure levels of neuroticism. The NEO-PI-R is the instrument used to measure personality that is based on the five factor model (Costa & McCrae, 1985), while the EPQ (Eysenck & Eysenck, 1975) is based on Eysenck‘s three factor model. Like other personality measures, the measurement of neuroticism involves self-report such that the individual endorses or fails to endorse statements which are thought to encapsulate neuroticism. The more statements that the individual endorses that are thought to reflect neuroticism, the higher the neuroticism score the individual achieves. In considering the relationship between neuroticism and the use of technology, it is noteworthy that traits such as anxiety, depression, low self-esteem, irrationality, and shyness also contribute to the construct of neuroticism (Eysenck, 1994; McCrae, 1990) and as such the presence of these traits is taken to reflect evidence of neuroticism (Allred & Smith, 1989). Therefore research incorporating these traits also requires discussion here.

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Neuroticism as a Predictor of Psychopathology and Behavioural Problems Individuals who obtain high neuroticism scores on measures such as the NEO-PI-R or the EPQ, may display a predisposition for problematic behaviours including anti-social behaviour and mood disorders. Thus for instance, antisocial behaviour in the workplace has been found to correlate with high levels of neuroticism (Duffy, Shaw, Scott, & Tepper, 2006). This behavior tends to be characterised by undermining others such that their ability to establish positive social relationships and achieve work-related success is diminished. Other authors have noted a correlation between intimate partner-directed violence and neuroticism (Hellmuth & McNulty, 2008). Further, an individual displaying neurotic traits is more likely to have difficulty in dealing with uncertainty (Hirsh & Inzlicht, 2008) and is prone to the development of anxiety (Borkovec & Sharpless, 2004) and depression (Roelofs, Huibers, Peeters, Arntz, 2008). It is of note, however, that the impact of neuroticism on behaviour cannot be measured in isolation as other personality factors can mediate the effect of neuroticism and vice versa. However, even when controlling for other factors, high neuroticism certainly does appear to be associated with problematic behaviours, particularly behaviours which impact on social relationships. Given this, individuals with high neuroticism may find it difficult to establish social networks. This is of particular relevance where the development of social connections relies on face to face interaction. Such individuals may welcome the opportunity to foster social relationships in an environment where they can edit their self-presentation. Various internet applications, such as social networking sites, weblogs as well as mobile phone applications, such as SMS, offer this. As such it is of definite interest to investigate personality variables that predict the use of mobile phones and the internet. This is particularly pertinent with the ever-growing ubiquity of such technology. To this end a variety of personality traits have been examined such as self-esteem, perfectionism, extraversion and neuroticism. The present discussion will be limited to neuroticism and its associated traits.

Personality Predictors of Internet Use Early studies observed a tendency for shyness and loneliness to dispose people towards internet use. For instance, Scealy, Phillips and Stevenson (2002) found that shy individuals, particularly males, were more likely to use the internet for recreational activities. This finding is of interest as it suggests that although the internet affords the opportunity for shy and socially anxious individuals to pursue social relationships without the need for anxietyprovoking face to face contact, this is not necessarily the pursuit of choice for such individuals. Rather, they may pursue other internet-based activities including leisure/recreational activities. Matanda, Jenvey and Phillips (2004) found that better educated individuals were more likely to seek out entertainment on the internet, while the young and lonely used the internet for entertainment. Thus it is not clear whether heavier internet use is a cause or a consequence of neurotic tendencies such as social anxieties (Kraut et al., 1998). Through its various applications, including social networking sites and weblogs, the internet enables users to develop and maintain friendships without the need for face to face interaction. Social networking sites such as Facebook allow users to create an online profile, comprised of among other things, current relationship, vocational status, photos of the user

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and family and friends (Zhao, Grasmuck & Martin, 2008). Personal blogs are used to convey daily information, thoughts and aspiration, akin to a diary (McNeill, 2003). For both of these applications, the user controls the content of information disclosed. As such, individuals who find it difficult to establish social networks, due to social anxiety, low self-esteem, shyness and the like, may find that the internet environment offers an attractive alternative. For instance, Hertel, Shroer, Batinic and Naumann (2008) found the individuals with high neuroticism showed a preference for the use of email over face to face interactions. This was particularly obvious where there was the potential for social threats in the communication situation. Moreover, it has been noted that the self-efficacy and sociability of shy, socially-anxious individuals is enhanced by establishing online social networks (Ando et al., 2004; Sakomoto et al., 2002; Tidwell & Walther, 2002). Given that social anxiety results from a desire to present oneself in a positive manner in combination with a lack of presentational confidence (Leary & Kowalski, 1994), it naturally follows that socially anxious individuals would explore online friendships. People who have high neuroticism and its associated traits of social anxiety and low self-esteem, may feel very anxious following a face to face interaction as they have little control over their self-presentation. It has been found that online interactions cause less anxiety for such individuals than do face to face encounters (Rice & Markey, 2009). Given that such individuals may avoid face to face social encounters leading to social isolation, it would appear that online friendships have the potential to enhance psychological well-being by providing access to a social network. Some researchers argue, however, that online friendships are of dubious quality and that there may in fact be detrimental effects due to having large numbers of ‗cyber-friends‘ which distracts from ‗real‘ social relationships (Cummings, Butler & Kraut, 2002; Kraut et al., 1998). However, there is growing evidence that online friendships are often grounded in offline friendships, either because online communication solidifies already existing weak face to face social networks or because online friends may become offline friends (McKenna & Bargh, 2000). As such, online social networks have the potential to avert loneliness and may assist in the development of social skills (Ando & Sakamoto, 2008). In addition to observations that internet use can be associated with social anxiety, there are indications that internet use is also related to avoidance and poorer problem solving. For instance, there are tendencies for the internet to be used for purposes of procrastination (Lavoie & Pychyl, 2001). Procrastination is a form of task related avoidance (Mann, Burnett, Radford, & Ford, 1997). Indeed, Phillips and Reddie (2007) noted that procrastination was a predictor of higher amounts of email use in the work place. In particular, Baker and Phillips (2007) found that people reported that they should have been doing something else when they were responding to emails instead. Tendencies towards procrastination can ultimately detract from productivity as time and resources are not devoted appropriately (Beswick, Rothblum, & Mann, 1988). Phillips, Jory and Mogford (2007) investigated the relationship between decisional style and performance upon online assessments in university students using WebCT (an internetbased application for assignment submission, discussion boards and subject evaluations among other applications). Phillips, Jory and Mogford (2007) found that procrastinators were less likely to submit their online assignments (see Rossett, 2000). Their response to the course of study was also of interest. Phillips, Jory and Mogford (2007) found that procrastinators

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were more likely to provide negative course evaluations. Research indicates that losers tend to blame circumstance (Weiner, 1986), and in this case procrastinators potentially attributed their poorer performance to features associated with the course of study (Higgins & Snyder, 1989) when in reality they were contributing to their poor performance through late submission (or non-submission) of assignments (Beswick, Rothblum, & Mann, 1988). The consequences of avoidance within the educational sector are comparatively minor. Nevertheless, the use of the internet as a form of task avoidance can be irrational and maladaptive within the work place. For instance Lim (2002) observed that staff used the internet at work for personal purposes to redress perceived workplace injustices. As the browser history and download accounting keep records, this is potentially unwise. There were other indicators of irrationality associated with internet use. Phillips, Jory and Mogford (2007) considered whether decisional style (Mann, Burnett, Radford, & Ford, 1997) could predict the use of discussion groups. The authors found that students who scored high on the decisional style of hypervigilance (characterized by a feelings of time pressure and a tendency to a panic) were more likely to post messages on discussion groups. This is interesting because Radford, Mann and Kalucy (1986) have previously found high correlations between hypervigilance and scores on the Beck Depression Inventory (r=0.48) and Middlesex Hospital Questionnaire (r=0.68) in 39 patients hospitalised for depressive and psychoneurotic conditions. Individuals with high neuroticism typically find it difficult to establish and maintain social connections due to their negative affectivity (Stokes, 1985). Amichai-Hamburger and Ben-Artzi (2000) explored the relationship between neuroticism and internet use. The authors found that there was a positive correlation between high internet use, particularly of sociallyoriented internet sites, and high neuroticism particularly in females. In a follow-up study, Amichai-Hamburger and Ben-Artzi (2003) examined the impact of internet use upon users‘ well-being, with a view to investigating whether internet use promotes well-being in users who have high neuroticism scores. This study concurred with Stokes‘ (1985) model, and indicated that high neuroticism and its associated loneliness, leads to a high uptake of internet applications which ultimately promotes well-being. Although, the use of internet applications to foster social networks may be beneficial for individuals who find it difficult to develop social connections in more traditional contexts, such individuals are also prone to the development of internet overuse. For instance, Jin, Su and Cao (2007) found that neuroticism was a predictor of internet overuse.

Problematic Internet Use Internet applications, particularly those that foster the development of social networks, be they social networking sites or interactive gaming sites, provide an avenue for individuals who have difficulties in forming offline relationships to nevertheless foster social connections. Therefore, such activities have the potential to promote user well-being, particularly in individuals who have high neuroticism, introversion, social anxiety and low self-esteem. However, given that such individuals would be drawn to the internet, it is not surprising that the use of such internet applications can become excessive and potentially problematic.

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Internet addiction (Young, 1998), like other addictive behaviours is characterized by problematic overuse to the detriment of other activities. As such, other domains of the user‘s life may be undermined by heavy internet use (Kraut et al., 1998). These include social, educational, health-related and vocational dimensions. Indeed, Suler (1999) outlines eight factors that may distinguish between pathological and non-pathological internet use. Each of these factors is understood as a spectrum, ranging from normal to pathological. The number and nature of other domains that are disrupted owing to the pursuit of internet-related activities is of relevance to the classification of normal versus pathological internet use, such that the more aspects of functioning affected, the more likely the internet use is to be pathological. Another factor that Suler identifies is the number or nature of needs served by the internet use. An individual whose needs are largely addressed by their internet use such that their internet use becomes increasingly pervasive and necessary (to avert negative affect), is more likely to experience pathological internet use. There is some evidence for this position. For instance Ceyhan and Ceyhan (2008) found that loneliness and depression were significant predictors of internet overuse and that in these individuals the internet became a necessary tool to avert negative affectivity.

Personality and Self-Presentation As indicated earlier, the internet provides the opportunity for user‘s to edit their selfpresentation. Of interest, it has been noted that individuals with high neuroticism and introversion will locate their real selves on the internet rather than in more traditional social interactions (Amichai-Hamburger, Wainapel & Fox, 2002). This is because face to face interactions impose many constraints on self-presentation, while the online interface enables the user to present their ideal self, an identity that may not be possible to reveal in offline interactions due to factors such as anxiety or shyness (Bargh, McKenna & Fitzsimmons, 2002). As such, the fact that the user has control over the nature of information revealed to other users and the manner in which they market themselves to others, enables individuals who find it difficult to establish social connections in face to face contexts, to connect with like-minded individuals. Indeed, it has been demonstrated that an individual‘s online persona may differ from his/her offline persona (Suler, 2004). Using anonymous internet applications, such as chat rooms, facilitates user control over self-presentation as there are no constraints applied. More surprising is that even where the interface is not anonymous, such as social networking sites (e.g. Facebook,), users may nevertheless construct an identity (Zhao et al., 2008). Suler (2004) suggests that the change in identity demonstrated online is best understood as disinhibition. Thus users say and do things that they would not say and do in a face to face context. This disinhibition may be positively or negatively valenced such that people may behave more kindly to others online than offline or rather may become more aggressive online (Suler, 2004). Thus for instance, Whitty and Carville (2008) found that people reported being more likely to tell a self-serving lie via e-mail, followed by phone and then face to face. Interestingly, participants also preferred email when delivering harsh truths as well, suggesting that people would be less inhibited in what they had to say to both strangers and friends on-line.

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The enhanced opportunity to control messages on the internet appears to influence the choice of communication channel adopted (see Phillips, Saling, & Blaszczynski, 2008). Thus individuals who want to control their self-presentation display a preference for the use of SMS (text messaging) over phone calls (Rettie, 2007). Such individuals find the use of phone calls to be anxiety provoking and hence opt for the use of messaging instead. Similarly, weblogs are often used by those who wish to self-disclose in a non-face to face forum.

Psychological Predictors of Blogging Blogs or weblogs are a relatively new internet application which involve a personalized web page, typically belonging to a single author, where regular entries are made to update readers about the area of the blogs content (Herring, Scheidt, Wright & Bonus, 2005). Blogs take a number of forms including personal, political and interest-based blogs. The personal blog, like a personal diary, facilitates the expression of the personal narrative and has been demonstrated to provide catharsis and hence appears to promote psychological well-being. However, unlike a paper-based diary, a blog is shared with the online community. Not only is the blog read by others, but there is also an interactive feature associated with blogs such that readers can comment on the blog‘s content (Miura & Yamashita, 2007). As such, blogs enhance the development of social support and friendship with like-minded users. Baker and Moore (2008a) investigated the change in psychological well-being for bloggers and non-bloggers who used a social networking site (MySpace). The authors found that only the bloggers had improved well-being, particularly with respect to social integration and perceived social support. In contrast, there was no change in these measures for nonbloggers. This suggests that blogs provide additional avenues for developing social connections, over and above those offered by other internet applications including social networking sites. However, in another study, Baker and Moore (2008b) asked MySpace users if they intended to blog in the future. Those users who scored higher on measures of psychological distress and lower on measures of satisfaction with current social integration were more likely to express an intention to blog. This suggests that although blogging may have beneficial psychological effects, it may also be the case that those individuals who are attracted to blogging are experiencing greater psychological distress, have less social support and fewer coping resources than non-bloggers. Indeed, as is the case with other internet applications, certain personality features can predict a tendency to engage in blogging. In particular, Guadagno, Okdie and Eno (2008) found that individuals with openness to experience and high neuroticism were more likely to be bloggers than those with low neuroticism. This effect was more pronounced for females as compared to males. The authors postulate that given the difficulties which those high in neuroticism experience with respect to establishing and maintaining face to face social relationships, blogs provide a forum to foster social relationships. Thus blogs may be of particular benefit to those individuals who find it difficult to make social connections in more traditional ways.

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Psychological Predictors of Mobile Phone Use and Overuse The mobile phone is predominantly a device for social interaction (Bianchi & Phillips, 2005), but it does offer some potential for display in social settings. For instance Butt and Phillips (2008) found that extraverts with low agreeableness scores were more interested in ringtones and wallpaper. However it is likely that anxious or neurotic individuals use the mobile phone for other reasons. Indeed Phillips, Butt and Blaszczynski (2008) observed a tendency for neurotic individuals to be less interested in the new features of mobile phones. Instead Plant (2000) reported the mobile phones were carried as a form of security in case of emergencies. Although people may carry mobile phones as a form of security, this "safety net" application does not correlate with actual mobile phone usage (Walsh, White, & Young, 2007), but it does suggest that neurotic individuals may spend time checking that they are carrying their mobile phones and that the phone is charged. Mobile phones have the potential to enhance psychological well-being by offering the user an avenue for establishing and maintaining social contacts. Like the internet, mobile phones enable users to keep in touch with family and friends without the need for face to face interactions. This opportunity is heightened by applications such as SMS where only a few words are needed to stay in touch. As is the case with internet use, there appear to be personality variables that predict the use and potential overuse of mobile phones. Butt and Phillips (2008) explored the relationship between personality factors and self-reported mobile phone use in order to determine whether personality factors predict the pattern and nature of mobile phone use. Indeed, personality variables did seem to predict both the amount of mobile phone use and the nature of the communication used (i.e. SMS versus voice). In particular, individuals with higher neuroticism and extraversion scores, or lower agreeableness and conscientiousness scores spent more time messaging using SMS than making voice calls on their mobile phones (Butt & Phillips, 2008). Bianchi and Phillips (2005) investigated the relationship between personality variables (low self-esteem, neuroticism and extraversion) and problem mobile phone use. Problem mobile phone use was measured by asking participants questions about their mobile phone use which indicated features of addiction. Questions addressed aversive consequences associated with withdrawal from the mobile phone, using the mobile to escape from life problems and negative life consequences associated with mobile phone use. The authors found that low self-esteem and extraversion were predictors of problem mobile phone use. Although, neuroticism was not found to be a significant predictor of mobile phone use, as mentioned earlier in this chapter, low self-esteem is a trait of neuroticism and therefore, this aspect of neuroticism does appear to predict problematic mobile phone use. Ha, Chin, Park, Ryu and Yu (2008) investigated the variables associated with problem mobile phone use. The authors found that excessive users reported more anxiety, depression and lower self esteem than those who used their mobile phones moderately. These users tended to experience the use of the mobile phone as excessive and uncontrollable. The users demonstrated a strong attachment to their mobile phones, and the phones appeared to form a strong part of their self-identity. Similarly, Walsh and White (2007) examined problem mobile phone use from the perspective of the importance of the mobile phone to the user‘s identity. In particular, Walsh and White (2007) explored excessive mobile phone use in terms of the theory of planned behaviour (Ajzen, 1988; 1991). The theory of planned behaviour postulates that there are

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cognitions underlying behaviour such that the individual engages in a rational, systematic evaluation of crucial information prior to acting (Ajzen 1988; 1991). The authors found that mobile phone use was critically associated with self-identity such that individuals reported that the use of the mobile phone was important to their lives. It appears that mobile phone use was highly reinforced for these users and had become part of their identity. This suggests that the users would not readily stop using their mobile phones even where the use of the phone had become problematic (including financial difficulties due to excessive phone use, dangerous use such as when driving and the like, Walsh & White, 2007). Thus, although mobile phone use can have positive consequences in providing a forum for individuals to maintain their social network, there is also the potential for negative consequences to arise where mobile phone use becomes excessive. Thus rather than offering a forum for individuals to maintain contact with friends and family irrespective of distance, mobile phones can in fact interfere with social functioning. Indeed, mobile phone use can become so excessive that it can be considered to be an addiction (Munoz-Rivas & Agustin, 2005). The kinds of problems that have been identified as arising from excessive mobile phone use include dependence, prohibited or dangerous use of a mobile phone such as when driving and financial difficulties leading to significant debt particularly for young people (Billieaux, Van Der Linden & Rochat, 2008).

Neurotic Traits, Behaviours and the Use of Information and Communication Technologies As discussed above, neurotic traits such as shyness, anxiety, low self-esteem and emotional lability potentially manifest as avoidance coping (procrastination). There may be an interest in recreational applications of the technology, with a preference for text based interactions over voice or face to face interactions, and ineffective coping strategies often requiring increased assistance. This has been observed as higher use of the internet by the shy (Scealy et al., 2002), socially anxious (Matanda et al., 2004), and those with low self esteem (Armstrong et al., 2000). This can manifest as a preference for text based interactions on both the internet (Baker & Moore, 2008b; Guadagno et al., 2008) and mobile phones (Billieux et al., 2008; Reid & Reid, 2004). Poorer coping and greater levels of emotional distress can manifest as panic (Phillips, Jory, & Mogford, 2007) and intentions to Blog (Baker & Moore, 2008b). These findings are summarised in Table 1.

Behavioural Mechanisms Contributing to Addiction Addiction is defined as the compulsive engaging in a destructive behaviour which persists in the face of aversive consequences (e.g. see Lemon, 2002). The behaviour is detrimental to at least one aspect of the individual‘s functioning including social, vocational, educational or personal domains. There is an urge to engage in the behaviour and the individual will typically experience increasing tension if prevented from engaging in the behaviour. In some cases there may also be a desire to avoid withdrawal (an aversive state which may have different features depending on the particular substance or behaviour) or to

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attain the pleasurable effects of the addictive behaviour, but this feature does not apply to all addictions (Holden, 2001). There are a number of models of addiction each of which has different implications for the cause, management and prognosis of addictions. For instance, the disease model of addiction situates the aetiology and management of addiction in the medical realm. Thus addiction is viewed like any other disease requiring medical treatment and is thought to be out of the control of the sufferer. The learning model of addiction, in contrast, locates the source of addictive behaviours in the past experience of the individual such that the behaviour is learned. Depending on the particular notion of addiction endorsed, the individual who demonstrates the addictive behaviour may or may not be thought of as being in control of or responsible for their behaviour (Cohen & Saling, 2008). There are distinctions drawn between behavioural addictions (such as gambling, Shaffer, 1989 and overeating, Kelley, 2004) and chemical addictions (drugs, alcohol) although there is considerable overlap between these types of addiction both in terms of the manifestations and the underlying mechanisms (Marks, 1990). The technological addictions (Griffiths, 1995), a subset of behavioural addictions, are of particular interest here. Technological addictions, like other behavioural addictions are associated with the formation of strong habits. Some have suggested that the technologies are addictive because they are exciting (Shaffer, 1996). Others feel that as these behaviours occur in response to recently developed technologies, they must be tapping into existing mechanisms and predispositions (see Griffiths, 1996, 1998). According to Griffiths (1996) the technology may afford access to the object of interest. While some have dismissed the technological addictions as a byproduct of some other primary presenting problems (e.g. Shaffer, Hall, & Vander Bilt, 2000), the pervasiveness of the technology may still pose additional risk. There remains the possibility that we might overlook emerging areas of concern such as internet overuse (Armstrong et al., 2000; Griffiths, 1998), or overlook specific categories of possibly inappropriate use involving sex (Griffith, 2001) or gambling, that may be far more pervasive when being offered on the internet (Griffiths, 1996) mobile phones (Griffiths, 2003) or on television (Griffiths, 2007). Table 1. Neurotic traits, behaviours and use of information and communication technologies Neurotic Trait

Behavioural Manifestations

Relevant Internet Research

Anxiety

Avoidance (Procrastination)

Shyness, Social Anxiety

Preference for text based social interaction

Low self esteem Emotionally Labile

Preference for recreation

Lavoie & Pychyl (2001) Phillips & Reddie (2007) Baker & Phillips (2007) Amichai-Hamburger et al (2002) Ando et al (2004) Hertel et al, (2008) Guadagno, Okdie & Eno (2008) Armstrong, Phillips, & Saling (2000) Baker & Moore (2008b) Phillips, Jory, & Mogford. (2007)

Requests for help (Panic)

Relevant Mobile Phone Research Butt & Phillips (2008) (low conscientiousness) Reid & Reid (2004) Rettie (2007) Butt & Phillips (2008)

Ha et al. (2008) Bianchi & Phillips (2005) Billieux et al. (2008)

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Learning theory can potentially account for addiction by invoking the Matching law (Hernstein, 1961). The Matching law suggests that organisms choose behaviours that maximise their levels of reinforcement (Hernstein, 1961). Under normal conditions, the matching law operates to mediate the choice as to which behaviours to engage in, however, this mechanism can also operate abnormally resulting in addiction (Heyman, 1996). In the case of the addictions, it is argued that an inappropriately high weighting is assigned to the object of addiction (Blum, Cull, Braverman, & Comings, 1996; Jacobs, 1986). In such circumstances the addictive activity is pursued to the exclusion of more adaptive behaviours. For instance, Billieux et al (2008) considered whether mobile phone use could be predicted by features of impulsivity such as: reacting without thinking; lack of perseverance; lack of premeditation; urgency: and sensation seeking. Indeed, Billieux et al. (2008) found that features of impulsivity did predict excessive and problematic mobile phone use. The urgency component of impulsivity was found to be the strongest predictor of problem mobile phone use, while the other facets of impulsivity did predict various aspects of mobile phone use. Urgency is defined as the tendency to experience strong impulses particularly under conditions of negative affect. Thus mobile phone use appears to represent an activity upon which the user becomes dependent as the user experiences a strong impulse to use the phone, potentially to alleviate negative affect (see Jacobs, 1986). As indicated previously, concepts of reinforcement can be somewhat circular in usage (e.g. Meehl, 1950), hence we considered some factors that might predispose responding across situations (Hernstein, 1961; Premack, 1959). As such, we have explored neuroticism (and its associated traits) that may predispose the individual to technological addictions. At least some of the phenomenology associated with the ‗irresistibility‘ of addictions can be explained in terms of the automatisation of behaviour.

Addiction as Automaticity Automatic behaviour refers to behaviour that has become habitual and therefore occurs more readily than non-automatised behaviour. Traditionally, automaticity has been conceptualised as being stimulus-driven, lacking intention, attention and awareness (Bargh, 1994; Schneider & Shiffrin, 1977), however, newer models of automaticity have arisen suggesting that automaticity is a far more flexible process than earlier formulations implied (Saling & Phillips, 2007). Setting this debate aside, automatic processes do offer behavioural routines such that everyday behaviour can be readily performed (Bargh & Chartrand, 1999). Email is proportionately the most common internet application (e.g. Scealy, Phillips, & Stevenson, 2002) potentially eliciting frequent checking responses (Baker & Phillips, 2007). Thus email use often becomes habitual. As such, email use may be engaged in inappropriately, (for instance at work to the detriment of other work-related activities) and excessively. As habits strengthen (Newell & Rosenbloom, 1981) and behaviours become automatic (Schneider & Shiffrin, 1977) people experience less conscious involvement in the task. Indeed, there can be a tendency for people to engage in automatic behaviour without intention (Reason, 1979). Behavioural addictions, therefore may be conceptualised as over-learned behaviours (hyper-automatised) such that it becomes hard to resist engaging in these behaviours (see

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Bargh & Chartrand, 1999). This would explain the phenomenology whereby some people report a difficulty associated with suppressing the urge to perform an addictive behaviour. Indeed, LaRose, Lin and Eastin (2003) postulate that addictive behaviours may become conditioned responses such that the behaviour is regularly triggered by internal or external cues and there is a reduction in self-regulation (see also Davis, 2001). This can be compounded by the fact that the individual may have limited resources in the form of poor self-esteem, negative affectivity and limited coping strategies. As we have discussed previously in the present chapter, neuroticism is associated with low self-esteem, negative affectivity and emotion-focussed coping, thus neuroticism appears to predispose people towards addictive behaviours, in this case excessive internet or mobile phone use.

Implications and Future Directions The previous section has demonstrated that Neuroticism may potentially predict the amount and nature of use of information and communication technologies. Neurotic tendencies such as procrastination and anxiety may predispose people to a greater tendency to use email, engage in blogging and the use of social networking sites. In addition, tendencies to panic may lead to posting more messages upon discussion boards. This is of note since there is typically a permanent record of these behaviours on the internet, and tendencies to use these technologies impulsively can lead to problems. Gottschalk (2005) warns that it is difficult to delete potentially incriminating emails. Not only can they be forwarded by recipients indefinitely, but they are backed up in multiple locations such as on servers or on backup tapes. This makes inappropriate messages hard to locate and delete. Thus it can be hard to take back the thoughtless message once sent. In addition, Wang, Lee and Wang (1998) have drawn attention to potential misuse of personal information. People may commit personal information to emails, or put it on social networking or blogging sites. In addition, it may be reasonable for organisations to track consumer behaviour for purposes of quality assurance. Nevertheless, personal information and behaviour patterns may be made available to other individuals or organisations, either inadvertently due to poor storage, or the information may be sold on to third parties without the individual's consent. Hence there is potential concern as to the uses to which personal information on the web may eventually be put (Wang, Lee, & Wang, 1998). There are other reasons for considering how the construct of Neuroticism influences internet usage. Neuroticism is also of interest as it may predict use of eGovernment services. Governments are seeking to deliver services electronically in the interests of efficiency (Toregas, 2001). Nevertheless democracies cannot deliver these services unless they are accessible to all (due to considerations of principles of equal opportunity and the like). The World Wide Web consortium (W3C) has developed guidelines to assist in enhancing the usability of the web, but there remain concerns that sections of the community are not making use of this technology. There is a concern that there is a digital divide between the electronically franchised, and those that do not access and avail themselves of the benefits of the technology. Heeks and Bailur (2007) indicated that far more systematic work is required in areas of eGovernment and factors influencing uptake and use of eGovernment services. Research indicates that one of the predictors of the use of eGovernment services is trust (Horst, Kuttschreuter, & Gutteling, 2007). Given that neurotic individuals are prone to

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anxiety, neuroticism is a potential predictor of an unwillingness to engage in electronic transactions or use eGovernment services. Alternatively neurotic individuals might be more likely to be respond rashly and require assistance from help desks or other forms of government intervention (Toregas, 2001), imposing greater burdens on help desks and call centres. Although western democracies are based upon one person, one vote, it is sometimes the case that people ‗vote‘ frequently. For instance, one person may attempt to overwhelm public officials on an issue by logging the same complaint multiple times (Toregas, 2001). It is possible for multiple complaints to be logged to make an issue appear more important than it actually is. As we have observed that individuals who posted on discussion groups were more prone to panic (Phillips, Jory, & Mogford, 2007), the suggestion that neurotic and irrational people should be able to effectively make use of information offered by search engines and menus may be unrealistic.

CONCLUSION Although more research has been devoted to social anxiety as a predictor of internet use, there are some indications that other neurotic traits could be associated with greater levels of internet use. The internet can be used as a tool for procrastination and as a method of controlling self-presentation. Information and communication technologies, particularly those fostering social connections can be of great benefit particularly to those shy and socially anxious individuals who find it difficult to develop and maintain face to face social connections. However, use of these technologies can become excessive and problematic, serving to undermine the individual‘s functioning. This can occur in a number of ways, for instance the individual may no longer devote sufficient time to other activities including those in the vocational and educational domains. Further, neurotic individuals may be particularly vulnerable to the creation of permanent electronic traces. If it is difficult to take back the hasty and ill-considered word, it becomes an even more difficult proposition when the illconsidered word is backed up on tapes, compact disks and servers all over the world.

ACKNOWLEDGMENTS The authors would like to acknowledge the assistance of Rowan Ogeil.

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In: Psychology of Neuroticism and Shame Editor: Raymond G. Jackson, pp. 85-107

ISBN: 978-1-60876-870-7 © 2010 Nova Science Publishers, Inc.

Chapter 4

COLLEGE STUDENTS' PERCEPTIONS OF REINTEGRATIVE SHAMING FOR CRIMINALS Gina Robertiello Felician College New Jersey

ABSTRACT Restorative justice is a theory of justice with a rehabilitative or reintegrative approach. The emphasis is on repairing the harm caused by the behavior; benefitting the injured parties, as well as the offender. In Criminal Justice courses across the nation, this topic has been hotly debated. Is restorative justice working? Is it fair to the victim? Does it fulfill any of the goals of punishment? Although laypersons might feel differently, those taking courses on crime and justice have discussed the topic at length, and many have supported this approach. Some are working in the criminal justice system and some are working on degrees in order to obtain a position in the criminal justice system. After discussing the theory of restorative justice, especially the research of John Braithwaite, it was the researcher's intention to determine student perceptions of restorative justice efforts, and their views on the utility and success of this approach. This research was conducted via the administration of a survey in courses at a private catholic college in New Jersey, with social science and non-social science majors. Results demonstrated that male and female social science students had similar perceptions about the topic, and that their opinions were similar to those of the non-social science majors as well. Almost all respondents thought the goal of punishment in the U.S. should be to protect society. They thought prisons should offer programs to help rehabilitate offenders, and that reintegrative shaming would work better with juvenile offenders. Most did not think that restorative justice efforts were fair to the victim (because this effort is not punitive enough), and they did not think criminals were treated too leniently today. However, most respondents did think that a victim should participate in the punishment of their victimizer (i.e. they should have a say). They did not think shaming criminals deterred the behavior of the criminal or the behavior of onlookers, or that reintegrative shaming caused less stigma. Finally, most did not think that our current punitive techniques caused offenders to think worse of themselves.

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INTRODUCTION The retributive theory of the 1970‘s led to a major prison population increase via the ―get-tough‖ attitude and the war on drugs. Although retribution still dominates in our correctional system today (and interestingly, among the current population of college students surveyed), there have been many efforts to repair out criminal justice system. One of those efforts has been the theory of restorative justice. It incorporates rehabilitative and retributive elements, and can assist offenders to make changes. Research has demonstrated that police and prison officials cannot convince offenders as well as their families and peers can. These efforts can therefore unite communities (Yeh, 2008). Studies on the use of alternative means of ―punishment‖ within the college environment (and elsewhere) have been experimented with over the years due to worries about the damaging effects of labeling the offender. A student conduct program at Colorado State for example, with restorative justice sanctions, has been used for students involved in less serious crimes like nuisance parties and open container violations. Colorado uses this technique more than any other college in the country. In one particular situation, a student was drinking and assaulted someone. He was assigned an alcohol management course, community service, and the opportunity to meet with the family he victimized. He also agreed to speak with students in the neighborhood about the perils of drinking, where he accepted responsibility for his behavior. In another situation, this technique was used for students who released a snake into the classroom, and in another where anti-gay slurs were used. In all of these cases, students were given the opportunity to share feelings, admit guilt, and apologize. They only qualification for this sanction is that they show remorse for their behavior. This program is seen as a blend of mediation and restitution, where together the harms caused can be identified, as well as a unique way to repair the harm. A facilitator is used to assist with this process (Lipka, 2009). By reintegrating offenders back into the community, they are shown consideration which may make them more likely to be repentant, and decrease their recidivism rates. Other colleges and universities have adopted the restorative justice model, including Clemson, Guilford College, Skidmore, and Michigan State. In Michigan, facilitators are utilized through the Office of Student Conflict Resolution. At Clemson, restorative justice techniques are used for cases of vandalism, disorderly conduct, and other minor violations of the law. At Wells College (New York), the program is customized and voluntary so there are fewer repeat offenders and more success. One common thread within all of these schools is allowing students to hear first-hand how their behavior affected others.

RESEARCH Research on labeling theory demonstrates that shaming persons may cause more crime. That ―label‖ is the social reaction, which might lead to more crime as the individual‘s reaction to the label. It stigmatizes offenders, and might make the criminal an outcast. Therefore, if we insulate offenders from counterproductive shame, reintegration instead offers an option that is both disapproving and forgiving at the same time. According to Braithwaite‘s research, this approach will control the individual from committing a crime again. If this is true, it would

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demonstrate that deterrence theory works. Deterrence theory works through fear of shame, especially if one has strong ties to the community (because they don‘t want to let people down). In fact, families and peers may be more effective agents of social control than law enforcement. Briathwaite (1989) notes that shaming itself is necessary for social control, but stigma is not. In fact, the stigmatized groups are often excluded from conventional society and prevented from participating in conventional behavior. This could lead to those groups banding together in negative ways. In fact, research on labeling shows that there is a stigma attached to the label, and that individuals who are labeled a criminal will identify with that stigma. They are then excluded from conventional roles, and their deviance may spiral. Their opportunities to engage in crime become more attractive, and those labeled individuals tend to cluster together to support each other. Of course, other situational variables need to be examined to determine whether a label really has such a dramatic affect on individuals. For example, media coverage and gossip might influence behavior. Opportunity is an important variable as well; those with blocked opportunities might be more inclined to commit crime. Shaming involves disapproval and an attempt to invoke remorse. The notion of reintegrative shaming involves efforts to welcome the offender back into the community. A key concept involved in reintegrative shaming includes interdependency or closeness/attachments, which is similar to the work of Travis Hirschi. In his Social Control Theory, people do not commit crimes because they are closely bonded to their community, church, friends, family, school, sports, and work (Hirschi, 1969). Research also shows that illegitimate opportunities increase where there is social disorganization and in societies where there is residential mobility, there is more stigmatizing shaming. Restorative justice seeks engagement with the offenders to take responsibility for the harm done and for them to appreciate the consequences of their behavior. According to Ruth-Heffelbower and Gaboury (2008), restorative justice views an offense as collective—it is against a person or group. Thus, efforts to restore the offender involves interaction between the offender and the community. Some programs that fit this model include those that teach conflict resolution skills to prison inmates. Others teach them how to reconnect with their families after incarceration. Studies show that instilling these skills can help inmates change aggressive and violent behavior (Ruth-Heffelbower and Gaboury, 2008). In the United States and Europe, victim-offender mediation has been used in a similar manner. This option has enabled the victim and offender to share their feelings in the presence of a mediator (Zehr, 2008). Parker (2008) discusses the utility of restorative justice programs by telling the story of a mother whose fifteen year old daughter was murdered. Through the Sycamore Tree Project, the mother was able to participate in a faith-based, in prison program where she could address criminals similar to the offender who murdered her daughter. This experience allowed her to let go of some of the anger, and allowed prisoners to understand the perspective of the victim. This program was developed by Prison Fellowship International, to bring together victims and offenders for meetings in the prison setting. Topics discussed included the impact of the crime, confession, repentance and making amends. In this particular case, both the offenders and the victim‘s parents benefited (Parker, 2008). However, most research shows that even with these techniques in place, reform of offenders is modest (Levrant et al, 1999; Andrews and Bunta, 2003). Further, there are some concerns about the effect on due process rights. Zhang and Zhang (2004) conducted an

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analysis of reintegrative shaming via the National Youth Survey, and they found no effect on predatory delinquency. Hay (2001) found no interaction effect of shaming and reintegration, and no positive effects of parental disapproval. Interestingly, Hay (2001) examined reintegrative shaming with parents in disciplining their kids. He found that forgiveness by peers actually increased the likelihood of participation in further criminality! Further, Botchkovar and Tittle (2005) for example, found that mediation for participating in gossip did not reduce misconduct in Russian women, and that any shaming might have negative consequences. Another concern is net widening. Lo, Maxwell and Wong (2006) for example, found that diversionary methods are more restorative, but more intrusive social control for minor offenses makes it easier for offenders to violate their conditions. Miethe, Lue and Reese (2002) concur. They tested this theory with juveniles in drug court, and found that drug court is actually more stigmatizing than reintegrative. Thus, the risk for recidivism was higher (because they were observed more and their treatment was less anonymous). Consequently, there were more opportunities to observe new violations. Due to these findings, Miethe, et al (2002) suggest the need to examine the form and contact of the type of social control. There is also a danger in using restorative justice techniques with serious offenses because it might trivialize those offenses. According to Harris (2006), interviews with participants who attended a court case or family group conference in Australia showed shame-related emotions for those who perceived social disapproval for their driving while over the legal alcohol limit. The study demonstrated that restorative justice interventions were more reintegrative in nature. However, they were not perceived as less stigmatizing by the participants, reiterating the need to examine the form and contact of the type of social control. In another study, Rodogno (2008) examined the relevance and desirability of shame and guilt in restorative justice conferences. It was found that this question is not easily answered. Instead, both emotions can be beneficial or detrimental depending on the nature of the shame and guilt, as well as cultural and situational factors. In the corporate setting, Levi (2002) tested the theory of reintegrative shaming with financial crimes. He found that large corporations are concerned about their reputations, so he thought they would commit fewer violations. Although shaming would be a common response by the media or social and occupational reference groups, he found that the threat of stopping firms from doing new business was a more effective deterrent than shaming (Levi, 2002). Some research on applying reintegrative shaming to the corporate world has been conducted in an attempt to decrease criminal activities (Barnard, 1999). In one test of Braithwaite‘s theory on tax offenders, taxpayers who thought their enforcement experience had been reintegrative were less likely to report evading their taxes two years later. (Murphy & Harris, 2007). Pynchon (2009) agrees that post-offender shame-reduction programs necessary for restorative justice efforts to meet the goal of rehabilitation. She examined the use of these efforts in Alcoholics Anonymous. According to Van Ness and Weber (2008) Victim Offender Dialogue programs in prisons provide victims and victim survivors the opportunity to meet with their offenders to discuss the crime and issues surrounding it. Face-to-face meetings between inmates and victims (or surviving family members) have been utilized in the name of restorative justice (RuthHeffelbower and Gaboury, 2008).

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Makkai and Braithwaite (1994) found support for this approach in other venues. For example, they found greater compliance with standards in nursing homes when health inspectors used the reintegrative shaming approach. Chen (2002) found support for Braithwaite‘s premise that reintegrative shaming is more effective in preventing criminal behavior (than the fear/threat of punishment) in Chinese society. This is due to the fact that shaming is particularly meaningful in a society with strong social bonds. Chen (2002) found that in Chinese society social norms are followed based on moral socialization. According to Sampson and Laub (2005), reintegrative shaming describes a family environment where informal social controls work. Sherman (1993) also found that reintegrative shaming sanctions promote deterrence. Wheeldon (2009) found that restorative justice efforts can lead to greater cooperation between individuals and the community. Interestingly, the majority of states have used restorative justice language in law or policy documents (Zehr, 2008). According to Ahmed and Braithwaite (2004), children who bully others are less likely to acknowledge shame. By that acknowledgement, individuals take responsibility for what happened and take steps to make amends. They found that the extent to which parents used non-stigmatizing shaming in response to their children‘s bullying did decrease the bullying. Robbers (2009) tested this theory with sex offenders and found that there are many barriers to successful reintegration for these offenders due to labeling and the legal requirement for registering as sex offenders. In addition, there are housing restrictions and community involvement restrictions for these offenders that make it even more difficult for them to be reintegrated back into the community. In Virginia, some sex offenders participated in a residential treatment program and said it played a major role in preventing their re-offending. Community involvement and church-related outreach has also been found effective in limiting the public stigma associated with their crime; which is critical to reintegration. McAlinden (2006) found that reintegrative shaming can be coordinated with retributive framework to better manage the label and stigma associated with sex offenders. She found that public awareness of sex offending leads to stigma. Stigma leads to social exclusion and a possible return to offending. Thus, a restorative approach brings the informal justice process closer to the community, increasing their involvement in the process of restoring and reintegrating the offender. Since there are criticisms of the reintegrative approach, combining it with current regulations rather than using it as an alternative, may be a step in the right direction. (McAlinden, 2006). A number of other researchers (Morris, 2002; Daly, 2002; Grasmick, Bursik and Arneklev, 1993) have extended restorative justice techniques to the serious crime of sex offending and domestic violence because current regulations are failing to reduce recidivism. (In fact, some of the students surveyed in the current study thought it would be appropriate to try with sex offenders). Unfortunately, Vandiver, Dial and Worley (2008) found that the stigma associated with the sex offender registry is difficult to overcome. The registry requirements have led to a loss of friends (i.e. a very small support group), which hinders resources for success. Further, the stigma in housing, employment and interpersonal relationships can be very damaging. Vandiver et al (2008) found at least one negative effect of the registry on female sex offenders, and difficulty for them to reintegrate back into their communities after this label. Yet, they found that when members of the community take a strong stance to integrate the offenders back, it does increase legitimate opportunities for employment and relationships, decreasing their loss of self-esteem and feelings of being cut off from the community.

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UNIQUE PROGRAMS Koss, et al (2004) examined the RESTORE program which is a community based, restorative justice program for sex crimes including sexual assault and rape. The response of the criminal justice system often disappoints victims since they have little control over the proceedings, and sometimes assessments of the situation are flawed. Reintegrative shaming says that those directly harmed should have a say (via the use of mediation and sentencing circles). Their study found that there were more apologies in these conferences. The use of a case manager as well as the use of impact statements by the victim, have also been found to be beneficial. Interestingly, only 47% of the students in the current study thought victims should have a say in the sentencing of their offender (see results below). Circle sentencing is an alternative method of sentencing offenders, which involves the community in the sentencing process. The offender and victim sit in a circle to discuss the impact of the offense, and to determine an individualized sentence. The process is normally used for less serious offenses (like assault and unlicensed driving). Pautz (2009) attempted to implement ―circles‖ in the classroom to develop stronger relationships between students and teachers, without turning conflicts into power struggles. Instead of using the standard response of letting students rely on teacher intervention to solve problems, students can learn to use other skills to deal with problems on their own. Problem solving-focused conflict resolution methods can be accomplished in cooperation, and lead to students holding each other accountable to develop their own solutions. With this technique, children can be reintegrated back into the group when conflict occurs. Rather than treating ―behavior‖ problems with disciplinary action, use it as an opportunity to work together, and meet the need to resolve emotions in the offender. According to Wachtel and Mirsky (2009) restorative justice practices improve the relationships between students, parents, teachers and administrators by incorporating techniques that hold students accountable. Rather than punishing students when they misbehave, efforts are taken to involve the student in repairing the harm they caused. This helps to fix relationships and fosters a sense of responsibility and respect for others. Other research on the use of restorative justice in the school setting has proven successful. Rather than using retributive techniques (like punitive detention) to handle children who misbehave, a school in South Dakota implemented an alternative called the Circle of Courage (Brendtro, Broken-leg and Van Bockern, 2002). Instead, the Restorative Justice Center responds more positively to heal and restore, and create a better school climate (Van Bockern, Ashworth, Ailts, Donnelly, Erickson, and Woltermann, 2008). In particular, it has been noted that the more punitive techniques are ineffective in changing behavior, and might instill more trauma, fear and isolation. Researchers have noted that children can develop problem solving skills and healthy self-concepts if their emotional needs are met (Brendtro, Ness, and Mitchell, 2001). Circles of Support have also been used with sex offenders for those at high risk for reoffending. They offer a network of informal support and treatment which involves moderating between the police, media and the community. In order to be successful these alternatives must be voluntary in nature. There must be public awareness and media management to understand the risks as well as the fact that most offenders will not re-offend if given appropriate treatment and support (Grubin, 1998).

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Fitzgerald (2008) did not find that the process of circle sentencing reduced the frequency or the seriousness of offending, and there were no significant differences between the treatment and control group in the percentage of offenders whose next offense was less serious. However, this does not mean that circle sentencing is not meeting other objectives. It might have a crime prevention value that is difficult to measure (if it strengthens the informal social controls that exist in Aboriginal communities). Further, Menzel (2005) found that circle sentencing helps the offender take responsibility for his or her behavior, but the results are only short-lived. Offenders are only embarrassed and regretful at the time of their apology, but not after. In New Zealand, Family Group Conferences have been experimented with. They originated in 1989, to be used for juvenile offenders. Courts served as a backup instead of the norm, and Peacemaking Circles were utilized. The conference (or circle) allows the offenders to admit their wrongdoing and acknowledge responsibility. A facilitator assists with the process, where the focus is on the harm to the offender, and on taking proactive steps to remove or transform shame. The community plays a vital role in this process, which has been found more healing than the punishment-oriented model of most courts (Zehr, 2008). Group Conferencing gives the victim a voice (which most students surveyed thought was important), and makes the offender accountable. The offenders can hear how their behavior impacted others, and the victims (or a representative for the victims) can hear the apology. Outcomes are negotiated, and the support provided tends to decrease the seriousness and the rates of re-offending because it diverts young people away from supervisory court orders and from falling deeper into the criminal justice system. Interestingly, most victims/ representatives do participate in this process (Grant, 2008). It is also important to consider the role of agents of the criminal justice system. Conti (2009) found that police recruits who were exposed to degradation, developed maladaptive coping skills and increased hostility. Thus, restorative justice training for correctional officers has also been assessed (Ruth-Heffelbower and Gaboury, 2008). Some studies show that youthful offenders that did not apologize during family conferences were three times more likely to re-offend (Morris and Maxwell, 1997). Hosser et al (2008) conducted a study of young prisoners in Germany to see if shame/guilt would be related to criminal behavior after release. They found decreased recidivism with older prisoners and decreased recidivism among prisoners with higher intelligence. They also found a positive effect of shaming and a negative effect of guilt on recidivism, meaning that those who expressed guilt were less likely to re-offend. Additionally, they found that shame and guilt together contributed to a 14% difference in the proportion of recidivists twenty-four months after release from a first prison term. It appears guilt supports pro-social behavior and motivates people to admit mistakes (Hosser, et al, 2008). According to Workman (2008), the first few months is the most challenging for released prisoners since they need assistance with housing, employment and interpersonal relationships. According to her research, if prisoners get help from mentors and the community during this time frame, their chances of re-offending drops by almost 40%. This can be accomplished through the use of a holistic approach to prisoner reintegration known as ―Restorative Reintegration‖ Operation Jericho, developed by the Prison Fellowship. Anecdotal evidence suggests moderate success via the use of trained church-based mentors who facilitate relationships with the prisoners and other community organizations in order to reduce the barriers they face (Workman, 2008).

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Although this program in itself is not sufficient to sustain long term change, it has been found that prisoners respond positively to this approach since it builds on existing strengths, and assists with accommodating employment, social, financial, health and rehabilitative needs, while including the community. Research suggests that restorative reintegration occurs when the community is involved through informal support, with less stigma and shame. In addition, by providing opportunities for praise and approval, mutual respect is promoted and the offenders can reconcile with their victims (Workman, 2008). Radosh (2008), prison programs for women that only address parenting and occupational skills are not enough to reduce recidivism. Instead, a comprehensive approach that treats offenders in a humane and supportive way is a more therapeutic response to their crimes. According to Tosouni and Ireland (2008) restorative conferencing predicted more shameguilt than traditional court processing. In addition, feelings of shame-guilt significantly lowered intentions of re-offending. Noll & Harvey (2008), found that restorative justice can be applied to clergy-perpetrated sexual abuse because it can aid the healing process for the victims as well as the church and the offenders. Grant (2008) examined two new restorative justice approaches; ROPES and The Children‘s Koori Court. ROPES is a diversionary program that involves interaction between young offenders and the police. When the program is completed, charges are struck out and the offender has no criminal record. The program has produced low rates of reoffending in pilot studies. The Koori Court is another restorative justice approach that attempt to make the court process less alienating. There is again communication between the defendant, the victim and the community. In addition, defendants must acknowledge the authority of the Elders/Respected Persons from the Aboriginal community. They must consent to participate as well. After the open exchange of information, the judicial officer (who is now better informed) will determine the appropriate sentence. The context of the offending and the prospects for rehabilitation are better addressed, and the sentence can be more individualized and appropriate than mainstream court. Because of this, cases in the Children‘s Koori Court take much longer than normal court proceedings. However, the pilot program showed that the proceedings help to understand behavior and change it (Grant, 2008, Harris, 2006). Unfortunately, evaluations of the Koori Courts pilot program (which showed that their use reduced the levels of recidivism among Koori defendants) have been criticized for the use of inadequate follow-up periods. Thus, findings cannot be taken as evidence of the effectiveness of Koori Courts in reducing recidivism.

RESULTS Summary of the Sample of 200 Students A twenty question survey was developed to be administered at a private college located in a mixed urban and suburban area of Northern New Jersey. The survey consisted of mostly closed-ended questions to assess student perceptions of the utility of restorative justice efforts, as well as some open-ended questions regarding which types of crimes and/or

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criminals this effort would work best for. Included on the survey was a legend, with the definitions of ―reintegrative‖ shaming, and some other important terms related to the contents of the questionnaire. Two hundred surveys were administered to students at this college, in fourteen different classrooms, over the course of three weeks. The survey was completely anonymous, and students were required to be age 18 or older to qualify to complete it. Both male and female students completed the survey, with a larger percentage of female students overall. Approval from the college‘s Institutional Review Board was obtained, and students were given Informed Consent forms before completion of the survey. There were 141 females and 58 males in the sample (1 person did not answer the gender question). Most respondents did not aspire to a career in Criminal Justice (163) or 81% of the sample, but 34 respondents did. Interestingly, those who did aspire to a career in Criminal Justice were not all Criminal Justice majors. Some were Business, Psychology, Sociology, Philosophy, Religion, Nursing, Physical Therapy, and Biology majors. Overall, majors were very diverse. In the sample of 200 students, sixteen different majors were represented. Most majors came from the Nursing Division (44 students). Twenty-six were Business majors and another twenty-six were Education majors. There were nineteen Criminal Justice majors, sixteen Psychology majors, and sixteen Biology majors. For a complete list of majors represented, see Table 1. It was hypothesized that Social Science students would have some prior knowledge about the topic, since they have learned about restorative justice efforts in both their lower and upper level criminal justice and sociology courses. Thus, the responses of Political Science, History, Criminal Justice and Sociology students were examined separately from the rest. First, the overall findings of the entire group will be summarized. Table 1. Majors Represented in Sample of 200 Students Majors Nursing Business Education Criminal Justice Psychology Biology No answer Art Sociology History English Arts & Sciences Communications Philosophy Political Science Pre Med Physical Therapy

Number of Students 44 26 26 19 16 16 15 9 9 8 6 3 3 3 2 2 2

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Overall, in the sample of 200 students, the majority agreed with question number 1, 2, 3, 4, 5, 6, 8, 9, 10, and 15 (see questionnaire in Appendix A). However, there were only three questions in which 75% or more of the sample agreed with the question, and that was on question #5, 10 and 15. On question #1, 121 respondents (or just over 60% of the total sample) agreed that restorative justice efforts are working to control or reduce crime. Seventy-eight did not, and one ―no answer‖ response was recorded. On question #2, 113 respondents (or just over 56% of the sample) agreed that restorative justice efforts are fair to the victim. Eighty-five disagreed, and there were two ―no answer‖ responses. On question #3, 127 respondents (more than 60% of the sample overall) thought criminals were treated too leniently today, and 73 did not. On question #4, 129 (60% of respondents) thought the goal of punishment in the U.S. should be to rehabilitate offenders, and 67 did not. Three respondents did not answer the question, and one responded with ―depends‖. On question #5, 90% (or 181 respondents) agreed that the goal of punishment in the U.S. should be to protect society by locking up offenders. There were fifteen respondents who disagreed, three who did not answer, and one who answered ―depends‖. On question #6, 145 respondents (just over 70% of the sample) agreed with the statement that the goal of punishment in the U.S. should be retributive. Fifty-one disagreed, three did not respond, and one said ―depends‖ again. On question #8, 149 (just over 70%) agreed that criminals can change their behavior for the better. Forty-seven disagreed, one said ―sometimes‖ and two said ―depends‖. On question #9, 123 respondents (just over 60%) agreed that efforts to reintegrate the offender back into the community will help them to become better people in the future. Seventy-one disagreed, two responded that it ―depends‖, and one responded ―sometimes‖. On question #10, 175 respondents (or 81% of the sample) agreed that prisons should offer programs to help rehabilitate offenders. Twenty-five respondents disagreed. On question #12, responses were almost evenly distributed, but a slightly larger percentage of respondents agreed that shaming a criminal will deter the general public from committing crimes (i.e. general deterrence). Fifty-two percent agreed and almost 48% disagreed with the statement. There was one respondent who did not answer the question. On question #15, 157 respondents (or 75% of the sample) agreed that reintegrative shaming would work better with juvenile offenders. Forty-two disagreed, and one person did not answer the question. The majority of respondents disagreed with questions 7, 11, 13 and 14. On question #7, responses were almost evenly distributed with 47% agreeing and almost 53% disagreeing with the question of the appropriateness of the victim participating in the punishment of their victimizers (one person did not respond to the question). On question #11, only 41% agreed with the statement that shaming will deter the criminal from committing a future crime. The majority (116 respondents) disagreed, and there were two respondents that left the question blank. On question #13, 80 respondents (or 40% of the sample) agreed with the statement that reintegrative shaming causes less stigma. One-hundred and seventeen disagreed, and three did not answer the question. On question #14, responses were almost evenly distributed, but the majority disagreed with the statement that using regular punishment techniques (that are not reintegrative), causes offenders to think worse of themselves. Ninety-two respondents (or 46%) disagreed, and almost 54% disagreed with the statement. One did not answer the question.

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Table 2. Crimes that Reintegrative Shaming Will Work For. Crime No Response Theft Juveniles Drugs Non-Violent Offenders Robbery Rape Sex Offenders Driving Under the Influence Breaking and Entering/Burglary Any Crime Assault Tax Evasion/Fraud Murder Crimes of Necessity Abuse Vandalism Violent Gun Peeping Toms To Prevent Future Crime

Number of Students 55 28 20 20 16 14 9 8 5 5 4 3 3 2 2 2 1 1 1 1 1

On Question #16, respondents were asked for which crimes or criminals ―reintegrative shaming‖ would work best for. Although 55 respondents did not list a crime, the most common responses were: Theft, Juveniles, Drugs, Non-Violent Offenders, and Robbery. See Table 2 for a list of responses to this question. On Question #17, respondents were asked for which crimes or criminals ―reintegrative shaming‖ would not work for. Many respondents did not list any crime, but the most common response was Murder, then Rape, and then Sex Offenders. See Table 3 for a list of responses to this question. Question #18 examined the number of majors from each discipline (which are summarized in Table 1), and Question #19 examined the number of students interested in the field of Criminal Justice. Overall, there were 34 students who expressed an interest in this field. One student did not respond and two were not sure (163 were not interested in Criminal Justice). On question #20, the gender of the respondents was revealed.

Summary of the Male Students Although males only comprised 29% of the sample, it is interesting to examine the differences in their perceptions in comparison to the female students who were surveyed.

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Gina Robertiello Table 3. Crimes that Reintegrative Shaming Will Not Work For. Crime Murder No Answer Rape Sex Offenders Major Crimes Drugs Abuse Repeat Offenders None All Non violent Gang Hate Robbery Hit and Run Assault No Family Stealing Adults ―Crazy‖

Number of Students 63 58 22 11 9 8 4 4 4 3 3 1 1 1 1 1 1 1 1 1

Overall, in the sample of 58 male students, the majority agreed with question number 5, 6, 8, 9, 10, and 15. On question #5, 90% (or 51 males) agreed that the goal of punishment in the U.S. should be to protect society by locking up offenders. There were seven respondents who disagreed. On question #6, 43 males (just over 74%) agreed with the statement that the goal of punishment in the U.S. should be retributive, and fifteen disagreed. On question #8, 46 males (or 80%) agreed that criminals can change their behavior for the better, and twelve disagreed. On question #9, 40 males (almost 70%) agreed that efforts to reintegrate the offender back into the community will help them to become better people in the future, and eighteen disagreed. On question #10, 48 males (or 82%) agreed that prisons should offer programs to help rehabilitate offenders, and ten disagreed. On question #15, 47 male (or 80%) agreed that reintegrative shaming would work better with juvenile offenders, and eleven disagreed. On question #1 and #14, only 29 male respondents (exactly 50% of the males) agreed that Restorative Justice efforts are working to control or reduce crime, and that using regular punishment techniques (not reintegrative) causes offenders to think worse of themselves. On question #2, 31 male respondents (or just over 60%) agreed that Restorative Justice efforts are fair to the victim. Twenty-three disagreed, one did not answer the question, and one male respondent ―depends‖. On question #3, 35 male respondents (just over 60% of the sample overall) thought criminals were treated too leniently today, and 22 did not. On question #4, 36 (just over 60% of male respondents) thought the goal of punishment in the U.S. should be to rehabilitate offenders, and 22 did not.

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On question #7, 11, and 13 less than 50% of the male respondents agreed with the statements that shaming will deter the criminal from committing a future crime, that shaming will deter the criminal from committing a future crime, and that reintegrative shaming causes less stigma. On question #12, thirty-five males (or less than 60% of them) agreed that shaming a criminal will deter the general public from committing crimes (i.e. general deterrence). Twenty-five males disagreed with this statement. Overall, there were eleven male respondents who were interested in a career in criminal justice.

Males Aspiring to a Career in Criminal Justice Of the eleven male respondents who aspired to a career in criminal justice, most agreed with question number 1, 2. 5, 8, 9, 10, 13, and 15. Ninety percent agreed with question #5, which stated that agreed that the goal of punishment in the U.S. should be to protect society by locking up offenders. Almost 82% of the males interested in a career in criminal justice (9 of them) agreed with questions #8, #9 and #10 (that criminals can change their behavior for the better, that efforts to reintegrate the offender back into the community will help them to become better people in the future, and that prisons should offer programs to help rehabilitate offenders). On question #1 and #15, almost 73% thought restorative justice efforts are working to control crime, and that reintegrative shaming would work better with juvenile offenders. Sixty-three percent of these males (or 7 of them interested in a career in criminal justice) agreed with question #2 and #13 (that restorative justice efforts are fair to the victim, and that shaming causes less stigma). Fifty-four percent of the males interested in a career in criminal justice agreed with question #6 and #12 (that the goal of punishment in the U.S. should be retributive, and that shaming a criminal will deter the general public from committing crimes). Only 45% agreed with question #3, 4, 7 and 11 (that criminals were treated too leniently today, that the goal of punishment in the U.S. should be to rehabilitate offenders, that it is appropriate for victims to participate in the punishment of their victimizer, and that shaming will prevent future criminality). Finally, only four of the males interested in a career in criminal justice (40%) agreed with question #14 (that using regular punishment techniques (not reintegrative) causes offenders to think worse of themselves). Interestingly, those males who expressed an interested in a career in criminal justice were not only criminal justice majors; there were Accounting, Biology and Nursing majors in this group as well.

Male Social Science Majors The researcher thought it would be interesting to compare the social science majors to the non-social science majors in this study to determine if perceptions were different depending on career choices. There were fourteen male social science majors in the sample, including History, Criminal Justice, Sociology and Political Science. Some students were double majors within the discipline. Overall, a large majority of these students agreed with question 1, 5, 6, 8, 9, and 10, and 14. On question #6, 93% agreed that the goal of punishment in the U.S. should be retributive, and on question #8 almost 86% agreed that criminals can change their

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behavior for the better. On questions #5 and #9, 79% agreed that the goal of punishment in the U.S. should be to protect society by locking up offenders, and that efforts to reintegrate the offender back into the community will help them to become better people in the future. On question #1 and #10, 70% thought restorative justice efforts are working to control crime, and that prisons should offer programs to help rehabilitate offenders. Almost 65% agreed with question #3 (that criminals are treated too leniently today), and almost 65% of the male social science majors were interested in a career in criminal justice. Only 56% of male social science majors agreed with question #2 and #4 (that restorative justice efforts are fair to the victim and that the goal of punishment in the U.S. should be to rehabilitate offenders). Exactly 50% agreed with question #7 and #12 (that the victim should have a say in the punishment of their victimizers, and that shaming a criminal will deter the general public from committing crime). Only 44% agreed with question #13 (that reintegrative shaming causes less stigma), and only 35% agreed with question #11 (that shaming will deter the criminal from committing future crime). Only 21% agreed with question #14 (79% disagreed with the statement that using regular punishment techniques causes offenders to think worse of themselves).

Male Non-Social Science Majors There were 44 male respondents who were non-social science majors. Included in this group were Business, Nursing, English, Teacher Education, Psychology, Communications, Philosophy, and Graphic Design majors). Their opinions were slightly different from the male social science majors. Overall, 91% of these respondents agreed with question #5 (that the goal of punishment in the U.S. should be to protect society) and 86% agreed with question #10 and #15 (that prisons should offer programs to help rehabilitate offenders and that reintegrative shaming works better for juvenile offenders). Seventy-seven percent agreed with question #8 (that criminals can change their behavior for the better). On question #6, 68% agreed that the goal of punishment should be retributive, and on question #9, 66% agreed that efforts to reintegrate the offender back into the community will help them to become better people in the future. Almost 60% of respondents agreed with questions #3, 4, 12 and 14 (that criminals are treated too leniently today, that the goal of punishment in the U.S. should be to rehabilitate offenders, that shaming a criminal will deter the general public from committing a crime, and that regular punishment techniques that are not reintegrative cause offenders to think worse of themselves). Only 52% agreed with question #2 and 11 (that restorative justice efforts are fair to the victim, and that shaming criminals will deter them from committing a future crime). Only 46% agreed with question #13 (that reintegrative shaming causes less stigma) and only 44% agreed with question #1 (that restorative justice efforts are working to control or reduce crime). Thus, the male non-social science students tended to agree with questions #5, 8, 10, and 15, where the male social science majors were more likely to agree with questions #1, 5, 6, 8, 9 and 10, and strongly disagree with question #14.

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Summary of the Females Students There were many more females in this sample of college students because there are more female students at the college overall. One-hundred and forty-one female students were surveyed (or 70% of the entire population examined). Overall, female students‘ perceptions were similar to the males overall. They were most inclined to agree with questions #5, 6, 8, 10 and 15 (where the males overall were most inclined to agree with the same questions (in addition to question #9). Ninety-one percent of the females overall agreed with question #5 (the goal of punishment in the U.S. should be to protect society), and 90% agreed with question #10 (prisons should offer programs to help rehabilitate offenders). Seventy-seven percent (or 109 females) agreed with question #15 (that reintegrative shaming works better for juvenile offenders), and 72 agreed with questions #6 and #8 (the goal of punishment in the U.S. should be retributive, and that criminals can change their behavior for the better). Sixtyfive percent agreed with questions #1, 3 and 4 (that restorative justice efforts are working to control or reduce crime, criminals are treated too leniently today, and that goal of punishment in the U.S. should be to rehabilitate offenders). Only 58% agreed with question #2 and #9 (that restorative justice efforts are fair to the victim, and that efforts to reintegrate the offender back into the community will help them to become better people in the future), and only 50% agreed with question #12 (that shaming a criminal will deter the general public from committing a crime). Only 48% agreed with question #7 (that it is appropriate for victims to have a say in the punishment of their victimizers), and 45% agreed with question #14 (that regular punishment techniques that are not reintegrative cause offenders to think worse of themselves). The smallest percentage (38%) agreed with question #11 and 13 (that shaming criminals will deter them from committing a future crime, and that reintegrative shaming causes less stigma).

Females Aspiring to a Career in Criminal Justice Sixteen percent (or twenty-three) of the females overall aspired to a career in the field of criminal justice. Again, there were representatives from majors other than Criminal Justice, and some double majors. Those majors included: Sociology, Business, Psychology, Philosophy, Religion, Nursing, Physical Therapy, and Biology. Responses were similar to their male counterparts. The majority agreed with question #1, 2, 4, 5, 8, 10 and 15. The majority of males who aspired to a career in criminal justice agreed with some of the same questions (#1, 5, 8, 10, and 15) as well as question #9. Ninety-six percent of these females agreed with question #10 (that prisons should offer programs to help rehabilitate offenders), and 91% agreed on question #5 that the goal of punishment in the U.S. should be to protect society. Eighty-three percent agreed with question #15 (that reintegrative shaming works better for juvenile offenders), and 74% agreed with question #1, 2, 4 and 8 (that restorative justice efforts are working to control or reduce crime, that restorative justice efforts are fair to the victim, that the goal of punishment in the U.S. should be to rehabilitate offenders, and that criminals can change their behavior for the better). On question #12, 70% agreed that shaming a criminal will deter the general public from committing a crime, and 65% of female respondents on question #9 agreed that efforts to reintegrate the offender back into the community will help them to become better people in the future. Sixty-one percent of

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respondents on question #6 and #14 agreed that the goal of punishment in the U.S. should be retributive, and that regular punishment techniques that are not reintegrative cause offenders to think worse of themselves. On question #3 and #13, only 52% agreed that criminals are treated too leniently today, and that reintegrative shaming causes less stigma. Forty-eight percent agreed that shaming criminals will deter them from committing a future crime on question #11, and forty-three percent agreed that it is appropriate for victims to have a say in the punishment of their victimizers on question #7.

Females Social Science Majors There were twenty-one female social science majors in the sample, including those from History, Criminal Justice, Sociology and Political Science. Ninety percent of them agreed with question #10 (that prisons should offer programs to help rehabilitate offenders), and over 80% of them agreed with question #5 (that the goal of punishment in the U.S. should be to protect society). Almost 80% of them (16 of 21) agreed with question #1, 4, and 15 (that restorative justice efforts are working to control or reduce crime, that the goal of punishment in the U.S. should be to rehabilitate offenders, and that reintegrative shaming works better for juvenile offenders). Seventy-one percent (15 of the 21 female social science majors) said they aspired to a career in criminal justice. Sixty-six percent of the female social science majors agreed with question #6 and # 12 (that the goal of punishment in the U.S. should be retributive, and that shaming a criminal will deter the general public from committing a crime). Almost 60% of them (12 of the 21) agreed with question #2, 3, and 8 (that restorative justice efforts are fair to the victim, that criminals are treated too leniently today, and that criminals can change their behavior for the better). Fifty-percent of them agreed with question # 9, 11, 13, and 14 (that efforts to reintegrate the offender back into the community will help them to become better people in the future, that shaming criminals will deter them from committing a future crime, that reintegrative shaming causes less stigma, and that regular punishment techniques that are not reintegrative cause offenders to think worse of themselves). Finally, only 33% agreed that it is appropriate for victims to have a say in the punishment of their victimizers, on question #7.

Female Non-Social Science Majors When examining the female non social science majors, their opinions were almost exactly the same as the male non-social science majors. They were most likely to agree with questions #5, 6, 8, 10 and 15, with the same top four answers as their male counterparts. Of the 120 females in this sample, 98% agreed with question #10 (that prisons should offer programs to help rehabilitate offenders) and 93% agreed with question #5 (that the goal of punishment in the U.S. should be to protect society). Seventy-eight percent agreed with question #15 (that reintegrative shaming works better for juvenile offenders), and 75% agreed with question #8 (that criminals can change their behavior for the better). Seventy-three percent agreed with question #6 (that the goal of punishment in the U.S. should be retributive), and 66% agreed with question #3 (that criminals are treated too leniently today).

Table #4. Responses by Sub-Population of Sample. Sample-> Question: 1. restorative justice efforts are working to control or reduce crime 2. restorative justice efforts are fair to the victim 3. criminals are treated too leniently today 4. the goal of punishment in the U.S. should be to rehabilitate 5. the goal of punishment in the U.S. should be to protect society 6. the goal of punishment in the U.S. should be retributive 7. it is appropriate for victims to have a say in the punishment of their victimizers 8. criminals can change their behavior for the better 9. efforts to reintegrate the offender back into the community will help them to become better people in the future 10. prisons should offer programs to help rehabilitate offenders 11. shaming criminals will deter them from committing a future crime 12. shaming criminals will deter the general public from committing a crime 13.re-integrative shaming causes less stigma 14. regular punishment techniques (not reintegrative) cause offenders to think worse of themselves 15.re-integrative shaming works better for juvenile offenders

Entire Pop

Males

Female

60%

50%

65%

Social Science Males 70%

Social Science Females 80%*

Males Aspiring to a CJ Career 73%

Females Non Social Aspiring to a CJ Science Career Males 74% 44%

Non Social Science Females 63%

56%

60%

58%

56%

60%

60%

74%

57%

58%

60% 60%

60% 60%

65% 65%

65% 56%

60% 80%*

60% 60%

52% 74%

60% 60%

66% 63%

90%*

90%*

91%*

79%*

80%*

90%*

91%*

91%*

93%*

70%

74%

72%

93%*

66%

74%

61%

68%

73%

47%

43%

48%

50%

33%

43%

43%

40%

50%

70%

80%*

72%

86%*

60%

80%*

74%

77%*

75%*

60%

70%

58%

79%*

50%

70%

65%

66%

59%

81%*

82%*

90%*

70%

90%*

82%*

96%*

86%*

98%*

41%

50%

38%

35%

50%

50%

48%

52%

36%

52%

60%

50%

50%

66%

60%

70%

60%

48%

40% 46%

49% 50%

38% 45%

44% 21%

50% 50%

50% 50%

52% 61%

46% 60%

33% 44%

75%*

80%*

77%*

65%

80%*

80%*

83%*

86%*

78%*

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There was less support for the remaining questions. On question #1 (restorative justice efforts are working to control or reduce crime), and question #4 (the goal of punishment in the U.S. should be to rehabilitate offenders), there was only 63% support, and on question #9 (efforts to reintegrate the offender back into the community will help them to become better people in the future), there was only 59% support. Fifty-eight percent agreed with question #2 (restorative justice efforts are fair to the victim), and 50% agreed with question #7 (it is appropriate for victims to have a say in the punishment of their victimizers). Less than onehalf of the female non-social science majors agreed with questions 11-14. Only 48% agreed with question #12 (shaming a criminal will deter the general public from committing a crime), and only 44% agreed with question #14 (that regular punishment techniques that are not reintegrative cause offenders to think worse of themselves). Further, only 36% agreed with question #11 (that shaming criminals will deter them from committing a future crime), and only 33% agreed with question #13 (reintegrative shaming causes less stigma).

CONCLUSION Overall, there were not many differences between the Social Science and non-Social Science majors regarding their views on restorative justice. It appears overall support from the entire sample (75% or more) existed on questions #5, 10 and 15. For the females overall, there was a 75% or higher agreement on questions #5, 10 and 15 as well. For the males overall, there was a 75% or higher agreement on questions #5, 8, 9, 10 and 15. When examining the students who aspired to a career in criminal justice, there was 75% or higher support for the males on question #5, 8, 9, 10 and 15, and for the females, there was 75% or higher support on question #5, 10 and 15 (74% of them agreed with question #1, 2, and 8 as well). When examining the social science majors, the males expressed a 75% or higher agreement with questions #5, 6, 8, and 9. Interestingly, 79% of them disagreed with question #14, and only 65% of them agreed with question #15 (where most of the overall sample was very supportive). The female social science majors expressed 75% or higher support for question #1, 4, 5, 10 and 15. Thus, they felt a bit different than their male counterparts. Finally, when examining the responses of the non-social science majors, there was 75% or higher agreement with questions #5, 8, 10, and 15 for the males and #5, 8, 10 and 15 for the females. It is apparent that the non-social science majors felt similarly, regardless of their gender. In addition, it appears the non-social science majors were less likely to agree with questions #1, 2, 4, and 9 than the social science majors and those who aspired to a career in criminal justice. Table #4 summarizes the findings for each group. To summarize, none of the sample (or sub-populations within the sample) demonstrated 75% or higher belief that restorative justice efforts are fair to the victim, or that criminals are treated too leniently today. Thus, they were more likely to believe that a victim should participate in the punishment of their victimizer, and did not think shaming criminals would deter the behavior of the criminal or the onlookers. They did not think reintegrative shaming causes less stigma, or that our current punitive techniques cause offenders to think worse of themselves. In fact, the subjects of this study were a punitive group; a large majority thought our criminals were treated appropriately (not too leniently) today. To take this a step further,

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the Social Science Males demonstrated 75% or higher belief that the goal of punishment should be retributive (although the rest of the sample did not go this far). Interestingly, the Social Science Males were the only group most supportive of the belief that efforts to reintegrate the offender back into the community would help them to become better people in the future. Males (including those overall, those in and not in the social sciences, and those aspiring to a career in the criminal justice system), were most likely to believe that criminals could change their behavior for the better. Non-social science females also agreed with this statement. Only Social Science Females demonstrated 75% or higher belief that restorative justice efforts were working to control or reduce crime, and that the goal of punishment should be to rehabilitate offenders. The across-the-board support for questions #5, 10 and 15 were astounding. Almost all respondents thought the goal of punishment in the U.S. should be to protect society. They thought prisons should offer programs to help rehabilitate offenders, and that reintegrative shaming would work better with juvenile offenders.

REFERENCES Andrews, D. A. & Bonta. (2003). The Psychology of Criminal Conduct, 3rd edition. Cincinnati: Anderson. Ahmed, E. & Braithwaite, V. (2004). ―What, Me Ashamed?‖ Shame Management and School Bullying‖. Journal of Research in Crime and Delinquency, 41, 269-94 Barnard, J. (1999). Reintegrative Shaming in Corporate Sentencing. 72 S. Cal. L. Rev. 959. Brendtro, L. K., Brokenleg, M. & Van Bockern, S. (2002). Reclaiming youth at risk: Our hope for the future (rev. ed). Bloomington, IN: National Educational Service. Brendtro, L. K., Ness, A. & Mitchell, M. (2001). No Disposable Kids. Longmont CO: Sopris West. Botchkovar, E. V. & Tittle, C. R. (2005). ―Crime, Shame and Reintegration in Russia‖. Theoretical Criminology, 9(4), 401-442. Braithwaite, J. (1989) Crime, Shame and Reintegration. UK: Cambridge. Cambridge University Press Chen, X. (2002). ―Social Control in China: Applications of the Labeling Theory and the Reintegrative Shaming Theory” International Journal of Offender Therapy and Comparative Criminology, 46, 45-63. Cloward, R. A. & Ohlin., L. (1960). Delinquency and Opportunity. New York: Free Press. Cohen, A. K. (1955). Delinquent Boys: The Culture of the Gang. New York: Free Press. Conti, N. (2009). ―A Visigoth System: Shame, Honor, and Police Socialization‖. Journal of Contemporary Ethnography, 38 (3), 409-432. Daly, K. (2001). ―Conferencing in Australia and New Zealand: Variations, research findings and Prospects‖. In A. Morris & G. Maxwell (Eds.), Restorative justice for juveniles: Conferencing mediation and circles (59-89). Oxford: UK: Hart. Fitzgerald, J. (2008). Does circle sentencing reduce Aboriginal offending? Contemporary Issues in Crime and Justice, 115 (May) 1-12. Grant, P. (2008). Interventions that work: Dealing With Young People in Conflict with the Law. Canberra: Australian Institute of Criminology.

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Grasmick, H. G., Bursik, R. J. & Arneklev, B. J. (1993). ―Reduction in drunk driving as a response to increased threats of shame, embarrassment and legal sanctions‖. Criminology, 31(1), 41-67. Grubin, D. (1998). Sex Offending against Children: Understanding the Risk. Police Research Series Paper 99. London: Home Office. Harris, N. (2006). Reintegrative Shaming, Shame, and Criminal Justice. Journal of Social Issues. 62(2), 327-346. Hay, Carter. (2001). ―An Exploratory Test of Braithwaite‘s Reintegrative Shaming Theory.‖ Journal of Research in Crime and Delinquency, 38, 132-35. Hirschi, T. (1969). Causes of Delinquency. Berkeley: University of California Press. Hosser, D., Windzio, M. & Greve, W. (2008). ―Guilt and Shame as Predictors of Recidivism: A Longitudinal Study With Young Prisoners‖. Criminal Justice and Behavior, 35, 138152. Houts, S. S. (1995). ―Explaining Alcoholism Treatment Efficacy With the Theory of Reintegrative Shaming‖ Alcoholism Treatment Quarterly, 13, 2-38. Koss, M. P. & Bachar, K. J., Hopkins, Q. & Carlson, C. (2004). ―Expanding a Community‘s Justice Response to Sex Crimes Through Advocacy, Prosecutorial, and Public Health Collaboration: Introducing the RESTORE Program‖. Journal of Interpersonal Violence 19, 1435-1463. Levi, M. (2002). ―Suite justice or sweet charity? Some explorations of shaming and incapacitating business fraudsters‖ Punishment and Society, 4 (2), 147-163. Levrant, S., Cullen, F. T., Bulton, B. & Wozniak, J. F. (1999). ―Reconsidering Restorative Justice: The Corruption of Benevolence Revisited? Crime and Delinqueny, 45(1), 3-27. Lipka, S. (2009). With ―Restorative Justice‖, Colleges Strive to Educate Student Offenders. The Chronicle of Higher Education, April, 17, A26-A28. Lo, T. W., Maxwell, G. M. & Wong, D. S. W. (2006). ―Diversion From Youth Courts in Five Asia Pacific Jurisdictions: Welfare or Restorative Solutions‖ International Journal of Offender Therapy and Comparative Criminology, 50, 5-20. Makkai, T. & Braithwaite, J. (1994). ―Reintegrative Shaming and Compliance with Regulatory Standards.‖ Criminology, 32, 361-386. McAlinden, A. (2006). Managing risk: From regulation to the reintegration of sexual offenders. Criminology & Criminal Justice, 6, 197-218. Menzel, K. (2005). Circle Sentencing as a Shaming Sanctions. Restorative Justice Online. Washington, D.C.: PFI Center for Justice and Reconciliation. Miethe, T. D., Lu, H. & Reese, E. (2000). ―Reintegrative Shaming and Recidivism Risks in Drug Court: Explanations for Some Unexpected Findings‖ Crime and Delinquency, 46, 522-541. Morris, A. & Maxwell, G. (1997). ―Reforming Juvenile Justice: The New Zealand experiment‖ The Prison Journal, 77, 125-134. Murphy, K. & Harris, N. (2007). ―Shaming, Shame and Recidivism: A Test of Reintegrative Shaming Theory in White-Collar Crime Context‖. British Journal of Criminology, 47(6), 900-917. Noll, D. E. & Harvey, L. (2008). ―Restorative Mediation: The Application of Restorative Justice Practice and Philosophy to Clergy Sexual Abuse Cases‖. Journal of Child Sexual Abuse., 17(3/4), 377-396.

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Parker, L. (2008). Finding Release in Prison: A Victim’s Story. Washington, D.C.: Restorative Justice Online: Prison Fellowship International. Pautz, M. (2009). Empowering the Next Generation: Restorative Practices in a Preschool. Washington, D. C. Restorative Practices E-Forum: Prison Fellowship International. Pynchon, V. (2005). Shame by Any Other Name: Lessons for Restorative Justice From the Principles, Traditions and Practices of Alcoholics Anonymous. 5 Pepperdine Dispute Resolution Law Journal, 299. Robbers, M. R. (2009). ―Lifers on the Outside: Sex Offenders and Disintegrative Shaming‖, International Journal of Offender Therapy and Comparative Criminology 53(1), 5-28. Rodogno, R. (2008). Shame and Guilt in Restorative Justice. Psychology, Public Policy, and Law, 14(2), 142-176. Radosh, P. F. (2008). Reflections on Women‘s Crime and Mothers in Prison: A Peacemaking Approach. In, F., John Wozniak, (Eds.), editors. Transformative Justice: Critical and Peacemaking Themes Influenced by Richard Quinney. Lanham, M. D. Lexington Books. 191-206. Ruth-Heffelbower, D. & Gaboury, M. T. (2008). Victim-Offender Programs in Correctional Settings--Can They Effectively Bridge Divergent Perspectives? In, Laura J. Moriarty, (Eds.), ontroversies in Victimology, Second Edition, P 133-146.Cincinnati, OH: Anderson Publishing. Sampson, R. J. & Laub, J. H. (2005). ―A Life-Course View of the Development of Crime‖ Annals of the American Academy of Political and Social Science, 602, 12-45. Sherman, Lawrence. (1993). ―Defiance, Deterrence, and Irrelevance: A Theory of the Criminal Sanction.‖ Journal of Research in Crime and Delinquency, 30, 445-73. Sutherland, E. H, & Cressey, D. R. (1960). “A Theory of Differential Association” in Principles of Criminology, 6th Edition. (Ed. Elaine S. Cressey). Philadelphia: J.B. Lippincott Company. Tosouni, A. & Ireland. C. (2008). Shaming Youthful Offenders: An Empirical Test of Reintegrative Shaming Theory. International Journal of Restorative Justice., 4(2), 53-79. Vandiver, D. M., Dial, K. C. & Worley, R. M. (2008). ―A Qualitative Assessment of Registered Female Sex Offenders: Judicial Processing Experiences and Perceived Effects of a Public Registry” Criminal Justice Review 33, 177-198. Van Brockern, S., Ashworth, J., Ailts, J., Donnelly, J., Erickson, K. & Woltermann, J. (2008). ―The Restorative Justice Center: An Alternative to School Detention‖. Reclaiming Children and Youth, 17(3), 22-27. Van Bockern, S., Brendtro, L. & Brokenleg, M. (2000). ―Reclaiming Our Youth‖. In Villa, R.A. and Thousand, J. S., eds. Restructuring for Caring and Effective Education: Piecing the Puzzle Together. Baltimore: Paul H. Brooks Publishing Co. Inc. Vandiver, D. M. (2006). ―Female sex offenders: A comparison of solo offenders and cooffenders‖. Violence and Victims, 21(3), 339-354. Van Ness, D. W. & Weber, R. (2008). In-Prison Victim Offender Dialogue in the US. Washington, D.C.: Restorative Justice Online: Prison Fellowship International. Vogg, J. (1998). ―Delinquency and Shame: Data from Hong Kong.‖ British Journal of Criminology, 38, 247-264. Wachtel, T. & Mirsky, L. (2009). Safer Saner Schools: Restorative Practices in Schools and Education. Bethlehem, P. A. International Institute for Restorative Practices.

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Wheeldon, J. (2009). ―Finding common ground: restorative justice and its theoretical construction(s)”. Contemporary Justice Review., 12(1), 91-100. Wong, D. (1999). ―Culturally Specific Cases of Delinquency: Implications for Juvenile Justice in Hong Kong‖. Asia Pacific Journal of Social Work, 9, 98-113. Workman, K. (2008). Restorative Reintegration: A New Approach to Prisoner Aftercare in New Zealand. Auckland, NZ: Prison Fellowship New Zealand. Yeh, M. L. (2008). Restorative Justice, Affirmative Action Sentencing Legislation and the Canucks: Lessons From our Northern Neighbor. Washington University Global Studies Law Review., 7(3), 661-681. Zehr, H. (2008). Doing Justice, Healing Trauma: The Role of Restorative Justice in Peacebuilding. South Asian Journal of Peacebuilding, 1(1), 19-36. Zhang, L. & Zhang, S. (2004). ―Reintegrative Shaming and Predatory Delinquency‖ Journal of Research in Crime and Delinquency, 41, 433-53. Survey on Reintegrative Shaming (Please circle the appropriate response) 1. Do you think ―restorative justice‖ efforts are working to control or reduce crime? YES NO 2. Are restorative justice efforts fair to the victim (does it fulfill the goal of punishing offenders)? YES NO 3. Do you think criminals are treated too leniently nowadays? YES NO 4. Do you think the goal of punishment in the U.S. should be to rehabilitate offenders? YES NO 5. Do you think the goal of punishment in the U.S. should be to protect society (by locking up offenders)? YES NO 6. Do you think the goal of punishment in the U.S. should be retributive (punishment for the sake of punishment---the criminal did something illegal, and should pay for the crime)? YES NO 7. Do you think it is appropriate for the victim to participate (and have a say) in the punishment of their victimizer? YES NO 8. Do you think criminals can change their behavior for the better? YES NO 9. Do you think that efforts to reintegrate the offender back into the community will help them to become better people in the future? YES NO 10. Do you think prisons should offer programs to help rehabilitate offenders? YES NO 11. Do you think ―shaming‖ a criminal will deter the criminal from committing a future crime (deterrence)? YES NO 12. Do you think ―shaming‖ a criminal will deter onlookers/the general public from committing a crime at all? YES NO 13. Do you think reintegrative shaming causes less stigma? YES NO 14. Do you think using regular punishment techniques (not reintegrative) cause offenders to think worse of themselves (what is called a self-fulfilling prophecy)? YES NO 15. Do you think reintegrative shaming would work better with juvenile offenders? YES NO

College Students' Perceptions of Reintegrative Shaming for Criminals 16. For which crimes do you think reintegrative shaming would work best? 17. For which crimes do you think reintegrative shaming would not work? 18. What is your major _________________ 19. Do you aspire to a career in the criminal justice system? YES 20. Are you male or female? MALE

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Key: Restorative justice is a theory of justice with a rehabilitative or reintegrative approach. The emphasis is on repairing the harm caused by the behavior, benefitting the injured parties, as well as the offender. Shaming-is a show of social disapproval Reintegrative Shaming-where the offender must own up to his/her behavior, but is then accepted back into the community

In: Psychology of Neuroticism and Shame Editor: Raymond G. Jackson, pp. 109-128

ISBN: 978-1-60876-870-7 © 2010 Nova Science Publishers, Inc.

Chapter 5

BEHAVING AGGRESSIVELY: THE ROLE OF SHAME IN PRISONER CONFRONTATIONS Michelle Butler* School of Sociology, Social Policy and Social Work, Queen‘s Univeristy Belfast, 6 College Park, Belfast, BT7 1LP, Northern Ireland

ABSTRACT Numerous researchers suggest that the experience of shame is linked to aggressive behaviour (see Scheff, 2000; Scheff & Retzinger, 1991; Tangney & Dearing, 2002). In this paper, prisoner self-narratives are explored to determine whether the presence of shame in their identity influenced their involvement in confrontations. The self-narratives of 89 adult male prisoners were examined to determine whether the prisoners expressed themes of shame in their self-narratives, the types of shame they experienced and if these experiences of shame influenced their involvement in confrontations with other prisoners. Results indicate that individuals expressing themes of shame in their self-narrative were more likely to engage in confrontations than those who did not express such themes. In particular, those who were insecure in their sense of self seemed to be more likely to react aggressively to behaviours which undermined their identity and were more likely to feel pressurised to conform to prisoner norms of masculinity and aggressiveness. This suggests that the expereince of shame may predispose individuals with an insecure self to engage in confrontations as a means of ego defence. Potential ramifications and limitations are discussed.

Keywords: Shame: Sense of Self: Insecurity; Aggression; Prison

INTRODUCTION For me […] when you are talking to someone you would like their attention, when you call someone you would like them to answer you with respect. Well for me, I found it *

Corresponding author: Telephone: 0044 798 6831727, E-mail: [email protected]

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Michelle Butler disrespectful when he turned around and shouted ―WHAT!‖ at me. I felt like punching his fucking lights out, pardon my language, that was what I felt like and I let him know as well. […] I don‘t take disrespect. I‘m from somewhere where we don‘t take disrespect. If you disrespect me, I‘ll honour myself. But if I think it is not worthwhile, I will just walk away. 1 Know what I mean? That is the way it is. (Int. #63, age 31)

Shame is believed to be a painful emotion that is normally accompanied by a sense of ‗being small‘, shrinking, powerlessness and imagery of how one‘s defective self would appear to others (Tangney & Stuewig, 2004). It is seen as involving negative comparisons of one‘s self with others, resulting in feelings of worthlessness and inferiority (Tangney, 1990; Tangney & Dearing, 2002). Shame has also been conceptualised as a social emotion arising from threatened social bonds and/or a detrimental change in social status (Cooley, 1902; Lynd, 1958; Lewis, 1971; Braithwaite, 1989; Scheff & Retzinger, 1991; Scheff, 2000). Consequently, feelings of shame may arise from an individual‘s perception of themselves, their behaviour, how they imagine they are perceived by others and how others behave towards them (Lynd, 1958; Lewis, 1971). In recent decades the concepts of shame and shaming have received considerable attention in the study of crime, conflict and violence (Braithwaite, 1989; Scheff & Retzinger 1991; Tangney & Fischer, 1995; Gilligan, 1996, 2001). In particular, researchers have explored the potential links between shame and aggression with many arguing that the experience of shame and proneness to shame is linked to aggressive behaviour (Katz, 1988; Scheff & Retzinger, 1991; Gilligan, 1996, 2001; Tangney & Dearing, 2002; Tangney, Wagner, Fletcher & Gramzow, 1992; Wright, Gudjonsson & Young, 2008). In this paper, the potential relationship between shame and aggression is explored to examine how and in what circumstances shame may influence an individual‘s involvement in aggressive behaviour in a prison setting.

Shame and Aggression The experience of shame is believed to be linked to aggression, feelings of anger and a reduced likelihood of dealing with anger in a constructive manner (see Gilbert & Miles, 2000; Tangney & Dearing, 2002; Tangney et al. 1992; Wright et al. 2008). Katz (1988) argues that the transformation of shame and humiliation into rage is the primary cause of violence. He believes that individuals experiencing shame and humiliation feel as if their sense of self is being threatened and engage in confrontations to defend their claim to moral worth. In such circumstances, Katz (1988) suggests that individuals will feel justified in hurting others in order to regain a sense of dignity and control over their identity. Indeed, research indicates that the experience of disrespect may make violence possible as it allows an individual to go against his/her general moral inhibitions by providing a justification or excuse for aggression (Butler & Maruna, 2009). Toch (1992) also examined the motivations driving an individual‘s use of aggression and concluded that the majority of violent offenders engage in confrontations out of a concern with defending, promoting, and/or compensating for their identity. Similarly, Gilligan (1996, 2001) theorises that individuals experiencing the emotion of shame tend to engage in confrontations as they attempt to deflect threats to their identity. 1

This notation is used to refer to interview with participant number 63, who was aged 31 years.

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Accordingly, feelings of shame may lead to aggression as individuals engage in confrontations2 as a means of deflecting threats to their identity arising from the experience of shame. However, as shame is thought to incorporate the view of the other, ―What brings shame is taking toward oneself what one presumes is the view that others would have, were they to look‖ (Katz, 1999: 149). Consequently, what is experienced as shameful will vary depending upon one‘s point of reference, who ‗the other‘ in question is and the esteem within which ‗the other‘ is held. As such, negative evaluations by well-respected peers may be experienced as more shaming than negative evaluations by strangers and/or out-group members (Ahmed, Harris, Braithwaite & Braithwaite 2001; Ellemers Doosje & Spears, 2004). In this way, shame, and what is experienced as shaming, may vary from one individual to another and from one social environment to the next. Nonetheless, it may be possible to detect commonalities in the experience of shame within a group of people from a similar social environment. Research suggests there are different types of shame which are believed to be differentially involved in facilitating aggressive behaviour (e.g. Braithwaite, 1989; Harris, 2003; Scheff & Retzinger, 1991). Scheff and Retzinger (1991) propose two different types of shame: resolved/acknowledged shame and unresolved/unacknowledged shame. According to Scheff and Retzinger (1991), everyone experiences varying levels of personal shame but some shame is acknowledged and can therefore be resolved, whilst other shame is denied and/or not fully acknowledged, becoming problematic in its impact. Scheff and Retzinger (1991) argue that while both types of shame may result in anger and aggression, it is the experience of unresolved/unacknowledged shame which can lead to prolonged displays of violent behaviour. Unresolved/ unacknowledged shame is thought to result in more aggressive confrontations through the development of shame spirals. Shame spirals are believed to occur when individuals behave aggressively to deflect feelings of shame but then become ashamed of their behaviour and feel ashamed of feeling ashamed (Scheff & Retzinger, 1991; Scheff, 2000). Lewis (1971) had previously argued that it was not the experience of shame per se that leads to confrontations but rather unresolved / unacknowledged shame. Nevertheless, how the different expressions of shame may lead an individual to engage in confrontations has not been fully explained. Sullivan (1950) argues that individuals are motivated to achieve and/or maintain a sense of security in their identity. When they are confronted with events that question, threaten or challenge their identity, they will experience feelings of psychological anxiety which they attempt to reduce through the use of ‗security operations‘ (see Sullivan, 1950). Examples of security operations include rejecting one‘s rejectors or by forcing others to behave in a more in a more ‗appropriate‘ manner in the future (de Zulueta, 1994; Gilligan, 1996, 2001; Sykes, 1958). Security operations involve distracting one‘s attention away from distressing events and focusing on other thoughts and/or behaviours believed to return a sense of security and power to the ego. Engaging in confrontations is thought to be one such ‗security operation‘ through its ability to distract an individual‘s attention away from feelings of psychological anxiety and return a sense of agency and power to the self (Gaylin, 1984; Katz, 1988; de 2

Throughout this paper the term ‗confrontations‘ is used to refer to the occurrence of fights, assaults, arguments and threats of violence. When the expression ‗prisoner confrontations‘ is used, it refers specifically to the occurrence of confrontations between adult male prisoners.

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Zulueta, 1994; Gilligan, 1996, 2001). Consequently, experiences of shame may produce feelings of psychological anxiety, prompting individuals (especially men) to engage in confrontations as a means of protecting the self. de Zulueta (1994) suggests that damaged attachment bonds (i.e. damaged relationships with others, especially parents) can result in feelings of shame and humiliation as parental and cultural conditions fail to provide the individual with a sense of self-worth and self esteem. Feelings of shame are also thought to arise from wider social processes, such as exclusion, discrimination and stigmatisation, as society‘s perception of an individual can influence their conceptualisation of themselves and their relationships with others (Tajfel & Turner, 1979; Tajfel, 1981; de Zulueta, 1994; Young, 1999, 2003). This implies that problematic relationships with others and/or experiences of stigmatisation, discrimination or exclusion may result in feelings of shame and contribute to the development of insecure attachments with other people. Individuals with insecure attachments are thought to be unsure of themselves and their moral worth (Crocker, Lee & Park, 2004). As a result, insecurely attached individuals are believed to experience more feelings of shame and fear negative evaluations by others than those who are securely attached (Wagner & Tangney, 1991; Mikulincer, 1998). Further, researchers argue that an individual‘s relationships with others can influence the development of their sense of self (see Fairburn, 1952; Mead, 1934). Attachment theorists, such as Bowlby (1969), place a particular emphasis on early family relationships as being important for the development of the self. Insecure attachments are believed to contribute to the development of an insecure self (Ainsworth, Blehar, Waters & Wall, 1978; Crocker et al. 2004; de Zulueta, 1994; Miller, 2001). Individuals insecure in their sense of self tend to hold less positive views about themselves and seek external validation of their self-worth from others (Baumeister, Tice & Hutton, 1989; Vohs & Heatherton, 2001; Crocker, et al. 2004). This need for external validation can also lead these individuals to be more susceptible to conforming to social norms in order to achieve status amongst their peers (Crocker, Luhtanen, Cooper & Bouvrette, 2002; Crocker et al. 2004). This suggests that shame, particularly unresolved/unacknowledged shame, may lead those who are insecure to engage in confrontations as a means of defending and/or promoting their ego. These studies, therefore, indicate that for those who are insecure in their identity, shame may be experienced as threatening to their ego in the form of disrespect, being treated like a ‗nobody‘, a ‗loser‘, or somehow inadequate. In such circumstances, individuals may behave aggressively in an attempt to gain some semblance of control over their identity and reassert a sense of dignity and pride in their identity through being ‗hard‘ and/or a ‗badass‘ (see Miller, 2001; Young, 2003). However, these feelings may be further amplified in a prison setting as imprisonment represents a symbolic rejection of the individual by society.

Aggression in Prison Confrontations are a frequent part of prison life, with many prisoners engaging in physical fights, assaults, arguments and threats at some point during the course of their imprisonment (Boyle, 1977; Clemmer, 1940; Home Office, 2003; James, 2003; King & McDermott, 1995; McVicar, 1974; O‘Donnell & Edgar, 1996, 1998; Sykes, 1958;). Sykes (1958) argues that confrontations occur as prisoners struggle to deal with the ‗pains‘ of

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imprisonment. According to Sykes (1958), prisoners‘ involuntary segregation from the community, powerlessness within the prison regime and inability to demonstrate their masculinity through heterosexual relationships may be experienced as psychologically threatening to their sense of self (Sykes, 1958). Edgar, O‘Donnell and Martin (2002) built upon this work to argue that prisoners use aggression to make statements about their identity, place within the social hierarchy, power and reputation. These findings emphasise the importance of defending one‘s identity, masculinity and possessions as a motivating factor in prisoner confrontations. Recent research by Crewe (2005) highlights how prisoners may engage in confrontations not only out of a concern for their identity in the prison environment but also to protect their reputation outside of the prison setting. Crewe states that in English prisons there appears to be a decline in overall prisoner solidarity and a rise in solidarity amongst regional and ethnic peer groups. As prisoners may already have friends and/or associates detained in the same prison, how they behave in prison can impact upon their identity in the community. As a result, prisoners can become involved in confrontations due to their friendship networks, gangs and/or loyalties to regional or ethnic peer groups out of a desire to maintain their image in front of these peers. In particular, incidents of disrespect and insults are believed to trigger confrontations as prisoners attempt to ‗save face‘ by defending a specific image they are trying to project (Bourdieu, 1965; Goffman, 1967; Luckenbill, 1977). Prison norms of ‗toughness‘ and physical retaliation also mean that status within the prison environment tends to be based upon displays of physical strength. Consequently, many prisoners attempt to gain status in the prison environment and deflect threats to their self-image and/or social status through the use of aggression. In addition, researchers state that when an individual‘s access to social capital and/or symbolic indicators of social status is limited, being treated in a respectful manner becomes especially important for indicating their social worth (Anderson, 1999; Bourgois, 2003; Sennett, 2003). Prison is an environment where social capital is limited. As a result, threats and challenges to a prisoner‘s identity may be experienced as particularly distressing for prisoners. Anderson (1999) states that individuals with limited access to social capital may use aggression as a means of demanding that others acknowledge their social worth and treat them with dignity and respect. Within male prisons, the expression of masculinity is thought to be largely limited to displays of ‗toughness‘ (Sabo, Kupers & London 2001; Sykes, 1958; Toch, 1977). Therefore, confrontations for male prisoners can represent a particular way of deflecting threats to their identity as they attempt to replace feelings of shame with feelings of pride achieved through the aggressive display of ‗manly‘ behavior (see Gambetta, 2006; Gilligan, 1996; Sim, 1994). In particular, the nature of the prison environment appears to reinforce definitions of masculinity based on ‗toughness‘, as the prison environment is predominantly a male working class environment with a social hierarchy based on physical dominance and power (Scraton, Sim & Skidmore, 1991; Sim, 1994; Sabo et al. 2004). This is evident amongst the informal prison inmate code in which prisoners are expected to be ‗manly‘, tough and avoid displays of physical weakness (Crewe, 2005; Sykes & Messenger, 1960). Prisoners who appear tough and able to defend themselves from exploitation and/or manipulation achieve status while those who do not are perceived as weak and an easy target for future victimisation (Sykes, 1958; McCorkle, 1982; Edgar et al. 2002). This can lead prisoners who would not normally behave aggressively to ‗put on a front‘ and behave aggressively to achieve the respect of their

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masculine peers and/or avoid appearing weak to others (Sykes, 1958; McCorkle, 1982). In this way, the prison environment can place added importance on the use of aggression as a means of achieving status and respect amongst their fellow prisoners, and to communicate that they are men and should not be victimised (Gambetta, 2006; McCorkle, 1982). In this paper, prisoner self-narratives are explored to determine whether the presence of shame in their identity influenced their involvement in confrontations. A self-narrative is a story that an individual constructs to explain their behaviours, feelings, motivations and desires within a meaningful and sequential framework (McAdams, 1985, 1994, 2001). It can provide an individual with a sense of identity and self as well as reflecting how an individual views him/herself and their experiences (McAdams, 1985, 1994, 2001). Gilligan (1996) proposes that individuals who express themes of shame in their identity tend to engage in more confrontations than others. For this reason, prisoner self-narratives are investigated to discover whether these individuals reported themes of shame in their self-narratives, the types of shame they experienced and if these themes of shame influenced their involvement in confrontations with other prisoners.

Prisoners‟ Experiences of Shame Eighty-nine adult male prisoners were voluntary recruited using a random stratified sampling technique from an English Category C3 prison. These participants were male and ranged in age from 21-65 years, with a mean age of 31 years and a standard deviation of 9.39. The majority were either white British or black Caribbean and were serving sentences for burglary, robbery and drug-related offences. However, some were also serving sentences for wounding with intent, harassment, grievous bodily harm and manslaughter. Over half stated they were from a working-class background, while the remainder either reported a lowermiddle-class or middle-class background. The majority (over 80 per cent) had no school qualifications, while 60 per cent had a history of drug addiction. They were asked to complete various social and psychological questionnaires, whilst also taking part in semi-structured interviews about their life experiences both in and outside of prison. The participants were asked to think of their life as a story and to describe significant moments in their lives and why these moments were important to them. All interviews were tape-recorded, transcribed and then coded for themes of shame. These men were not asked to describe events within which they had experienced shame. Rather, themes of shame were only coded if they were already present within the men‘s self-narratives. One month later, the participants were also asked to complete a self-reported involvement in prisoner confrontations questionnaire. This was to allow a quantitative and qualitative exploration of the presence of shame in the participants‘ self-narratives and the impact of this shame on their involvement in confrontations. An inductive content analytic approach was used to identify the different themes of shame emerging within their self-narratives. The participants‘ responses to the life history interview were first coded using open coding4 to identify the different forms of shame present 3

Category C prisoners are thought to lack the skills and/or motivation to escape and are therefore deemed as a minimal threat to the public. 4 Open coding is a technique in which the data is grouped into different categories (see Strauss & Corbin, 1990).

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within their self-narratives and then axial coding5 was used to organise the different forms of shame by recurring themes. From examining the participants‘ life stories there appeared to be two different categories of shame which could both simultaneously be present within the men‘s self-narratives: unresolved/unacknowledged shame and acknowledged/resolved shame6. The participants‘ experiences of unresolved/unacknowledged shame appeared to fall into two different sub-categories: a stigma sub-category and a deflected shame sub-category. The stigma sub-category emphasised the stigmatising origins of unresolved shame and consisted of feeling automatically judged by others, perceiving others as unfairly treating the individual as inferior or feeling rejected by society and/or significant others. The following extracts illustrate some examples of shame within the stigma sub-category: Even without knowing what you have done, knowing that you have been in prison makes you a bad person, you automatically become a criminal, you‘re automatically judged, that is what it is, you can‘t avoid it, you can‘t get out of it and it makes a very big difference in my life. (Int. #72, age 35) I am making the effort but I don‘t know if anyone is going to give me a job when I get out. […] I think that companies […] just treat you like shit knowing that you‘ve got a record you‘ll suffer anything, do you know what I mean? And when they start treating you like shit and you put your foot down and stop suffering, they turn around and say ‗Hey look we told you, it is the type of person he is, good for nothing‘. (Int. #13, age 39) Some people live on the outskirts of London, like the private places and that, some people don‘t grow up to see things like some of us have seen, they don‘t care, they don‘t care, do you get me? They just want us to kill each other and put the other person away. (Int. #21, age 24)

The deflected shame sub-category focused on feeling disproved of as a person by others for transgressing a social norm but no acceptance of responsibility for that transgression and/or projecting blame on to others or refusing to accept responsibility when others feel the individual is to blame. Examples of deflected shame included: My dad used to hit me, sometimes when I was bad, sometimes, I‘m not saying for no reason at all, but for silly things that were unnecessary. Hmm, that is kinda where my life, I mean […] I wouldn‘t be here now if it weren‘t for that point in my life. […] I wouldn‘t say I‘ve achieved my full potential. I wish sometimes if things could have been different, I mean there are a lot of things surrounding what I have done and why I am here in prison that are not entirely in my control. I mean there are a lot of things that are uncontrollable out there. (Int. #1, age 22) 5 6

Axial coding builds on the categories identified through open coding and is used to organise these categories by recurring themes to form a comprehensive scheme of categories and sub-categories (see Strauss & Corbin, 1990). To assess the accuracy of the shame coding scheme an independent rater blind to the research questions and hypotheses of the study was asked to randomly code one third of the participants‘ life history interviews. This resulted in a Cohen‘s Kappa of .77 for themes of unresolved/unacknowledged shame and .82 for themes of acknowledged/resolved shame, which suggests the shame coding scheme is more than adequate. Cohen‘s Kappa is a statistical technique used to measure the degree of agreement by two different people over the coding of items beyond that which would be expected by chance. Cohen‘s Kappa of .75 or above is considered to be very good.

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Michelle Butler I was doing a lot of drugs, being mean, and aggressive, telling my [adoptive] mum that I hate her and trying, trying to blame anyone that was close to me that it was their fault that I don‘t know anyone of my family. (Int. #48, age 29)

Similar to the pattern found in unresolved/unacknowledged shame, the participants‘ experiences of resolved/acknowledged shame also appeared to fall into two different subcategories: an acknowledged shame sub-category and a ‗making good‘ (see Maruna, 2001) sub-category. Within the acknowledged shame sub-category the participants acknowledged their feelings of shame, disappointment, remorse, loss of status and/or accepted responsibility for their behaviour. Examples of acknowledged shame were: You start to think more and more, you know, turn my life around and be a better husband, be a better father because I feel, you know, that I have let them down, you know, I feel ashamed of myself because I think I‘m a dad, I‘m a husband and I‘ve let them all down. (Int. #38, age 41) I was just like, I was hurt, I was, I weren‘t even angry and that, I was just hurt. I felt like I let everyone down, my mum and that, my friends and I let myself down because I do so well to get my first job and get my first record out and that and then to get nicked for something like drugs was just like, totally out of the question. (Int. #4, age 22) Staying in those crack houses, I know I shouldn‘t say this now because I know it can happen to anyone, but I used to always look at other people who used to stay in those houses as scum. […] When I was working and coming into those houses to buy drugs I‘d be looking at them and thinking ‗Go wash or something‘ […] and then a couple of years down the line that was me. […] It took a lot of self-respect. I saw people who knew me as me and I couldn‘t face them, do you get me, I‘d be walking down the street and I would see them coming and it took a lot of respect from me. (Int. #76, age 34)

The ‗making good‘ sub-category involved an attempt to resolve feelings of shame by endeavouring to deal with these emotions and/or attempting to make amends for their prior behaviour: She still loves me to death but I know deep down in her mind she has had a big shock with this [watching him being arrested]. […] I‘ve apologised to her. […] I want to make her as comfortable as she can be because I know that she is still suffering, she is still hurting, she is still suffering. […] So, I just want her to be as happy as possible. (Int. #32, age 22) I was looking at my life and I didn‘t really like what I saw and I‘ll tell you why, it was because of my kids again, cause I wanted to set a good example and […] I weren‘t. […] Them getting bigger you know at school when people would ask them ‗What do your parents do? What does your mum do? What does your dad do?‘ and no answer for that. I was thinking about those things. […]Yeah, I was thinking deep. […] I was really looking at life, like family life […], responsibilities, real responsibilities, putting to rights first and foremost in my life […]. Trying to be a good role model for my kids and just to play a better part to society, you know what I mean. (Int. #63, age 31)

Over 75 per cent of the men described experiencing some form of shame within their life story without being specifically asked about their experiences of shame. Themes of either

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unresolved/unacknowledged or acknowledged/resolved shame were present in almost half of the men‘s self-narratives, while just over a quarter described experiencing both forms of shame. A tobit regression analysis7 was used to test whether these themes of shame could predict the men‘s involvement in prisoner confrontations during a one month follow-up period, whilst controlling for possible confounding demographic, sentence and psychological variables8. The regression analysis revealed that themes of shame significantly predicted the men‘s follow-up involvement in confrontations, with those expressing themes of shame, especially unresolved/unacknowledged shame, tending to engage in more confrontations than those who did not express such themes (see Butler, 2007). These findings suggest that themes of shame may predispose individuals to engage in confrontations and that a more in-depth analysis of the men‘s self-narratives may help us to understand the relationship between shame and aggression.

„Confrontational‟ Self-Narratives The self-narratives of 20 confrontational men and 20 non-confrontational men were analysed to explore how themes of shame may lead some men to engage in more confrontations than others. A grounded theory approach was used to examine whether there were consistent themes emerging within their self-narratives which could distinguish between those who engaged in confrontations and those who did not. Using the participants‘ scores on their follow-up self-reported involvement in prisoner confrontations questionnaire, the selfnarratives of 20 of the ‗most confrontational‘ participants (i.e. those who obtained the highest scores) were identified. An analysis of these self-narratives revealed that there were three emerging narrative themes which may further our understanding of how some men come to engage in more confrontations than others: a disruptive family environment; feeling stigmatised, discriminated against and excluded; and doubting their ability to succeed. Twelve of the 20 confrontational men recounted experiences of a disruptive family environment. These men appeared to be struggling with the memory of a difficult childhood in which they recalled major family disagreements, being kicked out of the family home, family break-up through divorce, feeling abandoned by being taken into care and the lack of a secure and loving home due to being constantly moved in and out of foster homes and/or penal institutions. The consequences of these experiences varied but in general the men described these events as resulting in feelings of betrayal, distrust and a lack of security and stability. In some cases, participants believed the distrust they felt for their parents resulted in a general distrust of letting others get close to them. For example: I didn‘t know who I could trust. All I knew was I could trust my brother, and me and him had to stick together. […] I still don‘t forgive them for splitting up, I still don‘t forgive them for lying to me. I don‘t forgive them for not listening to me when I needed help. Our relationship just went downhill. […] I thought if you can‘t trust your mum and dad, who can 7 8

A tobit regression analysis is a specific type of regression analysis used on non-normally distributed data. This regression model was found to be significant and accounted for 38.42 per cent of the total variance to be explained (χ2 (5)= 32.52; p