Formal Aspects of Theories of Development''2

475

Experimental Aging R6eqrch, Volume 6, Numbet 5, 1980

Formal Aspects of Theories of Development''2 John A. Meacham3 The presentation of theories of adult development and aging in terms of their formal aspects can promote precision and clarity in theory construction, facilitate communication between subdisciplines of gerontology, provide a vehicle for the heuristic impact oftheories and models upon each other, and alert older persons, practitioners, and researchers that there is a variety of models available for describing social and psychological changes. Theories may be categorized as simple or cumulativb sequences, the latter permitting withinperson response variation, and as disjunctive or conjunctive sequences, the latter implying that some characteristics are subordinate to others. These categories are illustrated with familiar examples from social, personality, and cognitive development, with particular attention given to the formal aspects of Erikson's theory.

This paper provides an expansion and illustration of three principal conclusions: First, there are a number of distinct advantages to gerontology as a discipline in making explicit the formal aspects of various theories of development. Second, there is currently available a variety of stage models that could be put to greater use by gerontologists in their work. Third, a more precise use of the stage concept will be needed in order for gerontology to continue to move forward as a discipline, Advantages to Gerontology as a Discipline

A number of distinct advantages accrue to any discipline as the formal aspects of its theories are made more explicit. Theories are based in part on a surface content, that is, the social and psychological features of behavior and development that are to be explained, and that are called upon as causes

or explanations. Theories also reflect an underlying form, organization, 'This is an expanded version of a paper originally presented at a colloquium for the Multidisciplinary Center for the Study of Aging, State University of New York at Buffalo, April, 1979; also presented at the meeting of the Cerontological Society, Washington, DC, November, 1979. 'zThe concern in this paper is entirely wilh description of the social and psychological phenomena that are to be explained. Explanation requires more complex models, in particular ones that avoid attribution of traits to persons without consideration of the social context [see, e.e., 13:2ll sFrom Boys Town Center, Catholic University of America, Washington, DC 20064, U.S.A.

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metaphor, or model [17]. The particular formal model on which a theory is based can be quite influential in guiding the attitudes of professionals working with the elderly, and in determining what research questions are

prompted by the theory, the ease with which the theory can be communicated to and understood by other researchers, and the future course of development of the theory.

There are many formal models on which theories may be based. The major categories that may be distinguished are quantitative models, which assume that a particular behavioral dimension remains a valid one for describing individuals throughout the life span, and qualitative models, which assume that the critical dimensions of behavior are transformed and reorganized into stages at various points in the life span [5; l7]. Whether quantitative or qualitative models are better cannot be determined aside from a consideration of the questions that the models and particular theories address. I recently heard an invited speaker, before a group of professionals who work in the community with older persons with health and financial problems, describe the course of adult development and aging as an ,,unfa vorable process after growth is complete, ending in death." The life course

was illustrated as climbing to a peak or plateau of performance, then "going downhill," first gradually, then abruptly. While this model may be accurate for some phenomena of adult development and aging, it is certainly inapproprate for many other social and psychological changes. The impact of such an underlying model upon the attitudes and efforts of those who work with the elderly can be devastating. If one believes that clients are now "going downhill," then expectations for maintenance or improvement of skills and conditioirs are low. Such expectations certainly affect the motivation and efforts of those working with the elderly, and it is difficult to prevent such expectations from being conveyed to the clients themselves. As Kuypers and Bengtson [9] have pointed out in their description of the social breakdown syndrome, the expectations of others can have a major role in determining the activities that older people engage in, the level of performance that they set for themselves, and the likelihood that particular behaviors and skills will be learned or forgotten. A frequent question both from professionals and from older persons concerns the age when the "decline"-in memory, sexual abilities, intelligence, etc.-begins. Of course, even in those cases where a quarititative, decline model may be accurate, no particular age can be determined in advance for a specific individual. Nevertheless, people of all ages do internalize age norms [14] and adjust their behavior and expectations for behavior change according to those norms. If one is younger than the age of decline, one fears it; if one

THEORIES OF DEVELOPMENT

has passed the age attempting to excel.

of

decline,

it

provides

a rationale for no

477

longer

No doubt a substantial portion of social and psychological decline among the elderly is a consequence of the overgeneralization of the quantitative growth, plateau, and decline model, in contrast to qualitative, stage models. Riegel [18; 19; 20] has documented the historical development of quantitative models in Britain, and the development of qualitative, stage models in continental Europe. The British model emphasized the accumulation of property and-at a psychological level-of information, as well as competition among members of the species. when comparisons were made between groups, the dimensions chosen were those on which white; adult, upperclass males'had accumulated the most. Differences between groups were interpreted as deficits, and non-Europeans, the young and the old, the lower classes, and women necessarily fell short. In contrast, the more explicit and rigid social class hierarchies of continental Europe promoted a greater awareness of differences between groups, and of the need to evaluate groups relative to their own standards. Rousseau, for example, called attention to special needs and activities of childhood, while Locke, on the other hand, had emphasized that children ought to be made to be like adults. For the British or what was to become the Anglo-American paradigm, differences are deficits; for the continental European paradigm, which fostered the development of stage models such as those of Freud and Piaget, differences are merely differences. one need not agree with this broad historical overview. The key point is that quantitative models have tended to raise as a research question how older people compare with younger people as the standard, and the dimensions chosen for comparison have been those on which younger people have accumulated and excelled. Qualitative models, on the other hand, promote research interest in each age group for its own sake, and the research questions concern the qualities that are both positive and unique for each group. The underlying, formal aspects of theories in gerontology not only guide the research questions that are raised. To the extent that the formal aspects of theories of social and psychological development can be made explicit, these theories will have been specified with greater precision and clarity. This in turn should facilitate communication among researchers and between subdisciplines of gerontology of the essential features of theories and of social and psychological processes. Although researchers in various subdisciplines may not readily grasp the significance of the behavioral content with which particular theories are concerned, they should be able to easily understand the formal aspects of theories since these are, by definition, content free. Such communication across subdisciplines can be of

t-

478

MEACHAM

great heuristic value to gerontology, for theoretical models that heve been applied successfully to solve a particular set of problems in one sub-

discipline may very well have applicability-as formal models-within other subdisciplines. In short, the future course of development of a theory may be altered by specification of its formal aspects, thus permitting it to be influenced by other models and theories.

A Family of Formal Models There is currently a variety of models that can be put to greater use by gerontologists in describing social and psychological changes in adult development and aging. what follows is based in large part upon earlier work by van den Daele [22;23 24], Flavell [3], and Labouvie-vief [Note

ll; these authors should be consulted for more details than can be provided here. several models are represented in Figure l, in which the letters A, B, c, etc. represent different characteristics, with time moving from left to right. These sequences of changes may be categorized as simple or cumulative sequences, according to whether the invidual is permitted to have only one (simple) or several (cumulative) characteristics at a given point in development. People may be single or married, but not both at the same time. However, people may at one point in life know how to play bridge, chess, and golf. These sequences may also be categorized according to whether they are disjunctive or conjunctive. when the characteristics are disjunctive, the relationship between them is one of separateness or lack of overlap. when the characteristics within a particular sequence are conjunctive, some of the characteristics are included within or subordinate to other characteristics in the sequence. such characteristics are indicated in Figure I by a prime. Additions

A number of examples of the simple, disjunctive sequence (Model l) may be given. The letters A, B, C, etc, may represent the stages of life, from infancy through young adulthood, middle age, young-old, and old_old; the

consecutive stages of being single, married, and then single through widowhood or divorce; or the sequence from school to work to retirement. The relationships between categories are disjunctive-being married does not include being single, being retired does not include working. The simple disjunctive sequence also provides a representation of Havighurst,s [6] description of the developmental tasks that should be mastired, if we understand A, B, c, etc. to stand for sets of tasks specific to each major portion of the life span (for example, the developmental tasks of later

THEORIES OF DEVELOPMENT

Additions

4',79

Deletions

First in, Iast out" First in, first out Simple Sequences (only one characteristic permitted)

Disjunctive (separate, not overlapping)

(l) A-B*Q...

(5)

(single, married, widowed)

---

(9)

A*B*C

Conjunctive (inclusion, subordination)

(2)

A*a'B*a'b'C...

(6) ...a'8,*A, (10) ...b ,C*C @iaget:cognitivedevelopment) (Piaget)

Cumulative Sequences (several characteristics at once) Disjunctive

(3)

A*AB*ABC... (roles: child, parent, grandparent; games)

(7)

...AB*tr (ll) ...BC*C (games) (roles)

Conjunctive

(4)

A-A'B*A'B'C... (8) ...A,B,*A , (Kohlberg: moral judgment)

'After Labouvie-Vief (Note l).

Figure 1. Models of Development

(lZ) ...B,C*C (Kohlberg)

480

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maturity include adjusting to retirement and reduced income, meeting social and civic obligations, etc.). The simple, conjunctive sequence (2) is illustrated by two major developmental theories, those of Piaget [6] and Freud [10]. Piaget describes the development of understanding of oneself and the surrounding world as an invariant sequence of four stages: sensorimotor, preoperational, concrete operational, and formal operational. The relationship between the stages is conjunctive because, as the child passes from one stage to the next, the higher-order logical structures incorporate and reorganize the structures of the earlier stages. The earlier characteristics are represented in Figure I by a lower-case letter to indicate that, although they are retained by the individual in their transformed form, they are no longer directly observable in the individual's behavior. This second model is also illustrated by Freud's description of the sequence of personality development (oral, anal, phallic, latency, genital). Each stage in the sequence includes an integration of aspects of the earlier stages. Although the theories of Piaget and Freud are not generally considered together, they are found to be quite similar,.at least at this level of analysis of their formal aspects. The cumulative, disjunctive sequence (3) is illustrated by the sequence of roles within the family of child, parent, and grandparent. As individuals grow older, they accumulate these roles, although at any par.ticular moment the individual may engage in only one. An additional example of this third model includes the accumulation of games that one knows how to play, for example, bridge, chess, and golf. The cumulative, conjunctive sequence (4) is illustrated both by Kohlberg's [8] theory of moral judgment and by Freud's description of the unfolding of the structures of personality. Kohlberg finds that people's judgments in response to moral dilemmas tend to be typical of one of six stages of moral judgment. In contrast to Piagetiah research, research on moral judgment often reveals that an individual who reasons according to the logic of a higher-order stage may also, from time to time, reason according to the logic of lower stages. Thus Kohlberg's theory, although

derived from Piaget's simple, conjunctive model, permits a variety of responses within individuals. The sequence of unfolding of the structures of personality, with the ego developing out of the id in order to cope with reality, and the superego developing out of the ego in order to cope with adult and societal expectations, also illustrates the cumulative, conjunctive model. Deletions Some social and psychological changes in adult development and aging

THEORIES OF DEVELOPMENT

481

require a description of the loss or deletion of characteristics. LabouvieVief [Note l] has suggested a useful distinction between two kinds of deletion: first in, last out models, and first in, first out models. In first in, last out models, those characteristics that were acquired first are the last to be lost (5-8). Model 6 represents the possibility of regression through the stages in Piaget's theory. It has been observed that older adults occasionally do not reveal the formal operational structures considered typical of late adolescence [5], and regression due to neurological decay or lack of occupational and educational opportunities for maintenance of logical structures has been suggested. There are, of course, other explanations for the observation, including lack of appropriate experience for initial acquisition of the structures. Model 6 also represents regression to an earlier stage

of psychological development within Freud's theory. Note that for both these examples of regression the earlier stages are not recaptured precisely as they were, because they have been transformed during the forward course of development within a conjunctive sequence (the primes are retained in Figure 1, model 6). In short, when the formal aspects of these developmental theories are considered, regression from adulthood to childlike stages is not possible, since these stages have been transformed from their original condition. Only model 7, cumulative disjunctive, permits a return to an earlier, unchanged characteristic, For example, one may have become interested in, successively, bridge, chess, and golf. In late adulthood, one's interest in golf and then chess may wane, leaving bridge. In first in, first out models [Note 1], those characteristics that were acquired first are the first to be lost (9-12).In the simplest of these, simple disjunctive (9), deletion of A occurs through the addition of B. This simplest model illustrates that, from a formal view, loss or deletion of characteristics is not necessarily negative, but may instead be a process by which development may progress (note models I and 9 are identical). In models 9-12, older or lower-order characteristics are lost, while the individual may continue to acquire newer or higher-order characterisitics. An example of model ll, cumulative disjunctive, is the succession of roles within the family of child, parent, and grandparent. The first of these to be lost would typically be that of child, when one's parents die (one might consider the role of grandchild as an earlier loss). The next role to be lost, if one outlived one's children, would be that of parent. Similar examples include the transitions from student to teacher, from employee to supervisor, and from a first career to a second career, as well as changes in preference for leisure activities, games, etc. Labouvie-Vief [Note 1] has pointed out that, if the sequence of acquisition and loss of strategies for remembering follows a first in, first out model, then we may be misinterpreting the failure of older

482

MEACHAM

persons tc p€rform well on rote memory tests (the type on which they have usually been tested). If one assumes a first in, last out model (for example,

7), then poor performance on rote memory (A) would suggest that performance would also be poor on later-acquired, higher-order strategies (C) such as those that might be involved in recalling prose material. On the other hand, if one assumes a first in, first out model (for example, l1), then poor performance on an early-acquired, lower-order strategy (A) would provide'no information regarding performance on higher-order strategies (C). In short, the formal aspects underlying a particular theory of development can play an important role in determining the implications of a particular set of data. Model 12, cumulative conjunctive, is illustrated by Kohlberg's theory of moral judgment: with development, the likelihood of judgments typical of the earlier stages becomes less. Again, the loss or deletion of certain characteristics can be seen as a positive development. A second example is that of a gambler who starts a career by matching pennies, graduates to betting horses, and then concludes by playing high-stakes poker. At each stage, the motive of the preceding stage is transferred to the

newer activity, and the original gambling activities are successively discarded.

Individual Differences

Variability of behavioral characteristics between individuals

is

represented by the alternative courses of development of models l3 and 14 of Figure 2. Model 13 represents Gutmann's [4] conception of sex role changes across the life span. This model is a cumulative conjunctive model,

with two divergent sequences [convergent sequences are also possible; see 221. The childhood years may be considered as a period of relative lack of differentiation. The second stage is initiated by parenthood, which creates an emergency within the family and necessitates a greater specialization and subordination of roles. Following the departure of children, both parents are able to relax their stereotypical behaviors: men become less aggressive and more affiliative, while women become more aggressive and less sentimental.

Analysis of the formal aspects of Erikson's [; 2] theory of psychosocial development is difficult [as Van den Daele, 23, p. 2O has noted] . Although it would at first appear that a simple, disjunctive model would be sufficient, with A, B, C, etc. representing the successive crises of trust, autonomy, initiative, etc., this model does not represent adequately Erikson's suggestions that (a) the solutions to earlier crises are carried forward and affect the resolution of later crises, and (b) the themes of each of the eight crises exist in some form throughout the life span. These two features are represented

THEORIES OF DEVELOPMENT

(13) AB

/

483

Ab,-AB'

H*

(ls)

\

h

A,B-A'B

/ a.Bcdefgh

a.b.Cdefgh...

\

/

a.b-Cdefgh...

(la) Abcdefgh /

\ a-Bcdefgh

a-b.Cdefgh...

\ a-b-Cdefgh...

Figure 2. Diverging and Converging Models

/\

\/ H-

H

484

in model 14, a

MEACHAM

diverging, simple conjunctive model. The diverging

sequences represent the traditional interpretation of optimal resolution of the life crises as choice of the positive ( + ) characteristics of each stage over

(-). Erikson, however, presents a more complex description: "What the individual acquires at a given stage is a certain ratio between the positive and the negative which, if the balance is towsrd the positive, will help him to meet later crises with a better chance for unimpaired total developrnent (p. 6l; emphasis added)." Keller [Note 2] has advanced an interpretation of the resolution of the crisis of ego integrity and despair that is quite different from the traditional one. Ego integrity is considered as the construction of a synthesis of opposing issues and attitudes. Erikson [2] provides support for such an interpretation: "Some writers are so intent on making an achievement scale out of these stages that they blithely omit all the 'negative' senses (basic mistrust, etc.) which are and remain the dynamic counterpoint of the 'positive' ones throughout life (p. 273)." Keller's research procedure permitted older people to either choose one of two opposing statements, or to choose both (the latter would not be permitted in a procedure based on the traditional interpretation). For example, given the two statements "There have been many good.things in life; there have been many bad things in life," one person responded: "Both are true, but from bad things we often learn much leading to good. And if all things were pleasant, that might lead to complacency, or we wouldn't experience good as such anymore. So all good isn't good." Keller's data provided better support for various predictions when responses such as this were scored for ego integrity than when traditional scoring procedures were followed. If the interpretation of ego integrity as a synthesis of opposing issues and attitudes is accepted, then a formal model of Erikson's theory would have to include, in addition to diverging sequences, at least some converging sequences within individuals (model l5). the negative

Precise Use

of

Stage Models

Just as there are dangers in the uncritical extension of quantitative models

for the description of all phenomena in adult development and aging, so there can be dangers in applying stage models too readily [see, for example, the criticisms by Kastenbaum, 7, pp. 4l-45 of the stage theory of the dying processl. As it becomes more fashionable to speak of stages of adult development and aging, with associated crises of transition from one to the next, it will become more important to conduct empirical research that bears on issues such as the following: What is the evidence that the stages

THEORIES OF DEVELOPMENT

485

have horizontal structure 125, p. 1941, thatis, that the designation of a particular stage provides a meaningful integration of a set of otherwise discrete behaviors? what is the evidence that the stages have vertical structurel25, p. 1941, that is, that the various stages themselves can be organized along some common dimensions of development, and so are parts of a more comprehensive life cycle? Do earlier stages affect later stages? wohlwill characterizes Erikson's theory, for example, as high on horizontal structure but low on vertical structure, while Kohlberg's is relatively low on horizontal structure and higher on vertical structure. Third, is the sequence of stages invariant, or can variations be expected as a function of sex, social class, ethnicity, particular life events, etc.? A good example of the gathering of necessary research evidence is Havighurst's [6] validation of the developmental tasks associated with various life stages. Both horizontal and vertical structure were demonstrated through consistently high correlations among tasks both within and across ages [p. 321j. A second example is the description of periods in the adult development of a group of men by Levinson [1]; l2]. Horizontal structure is provided through the descriptions of periods such as "leaving the family" and "getting into the adult world." Levinson Il] provides explicit statements regarding the invariance of the sequence of periods [p. 319] as well as the nature of the vertical structure: "Each period is 'interpenetrated' with the others. The current period is predominant, but the others are present in it. It is not the case that a period begins, runs its independent course, and ends, to be followed by another period that has its own separate character lp. 321).,, Model 16, a simple conjunctive model, provides a representation of this theory: Abc*a ,Bc*

a'b'C...

Conclusion

In summary, it has been shown that a variety of stage models already exists that could be put to greater use by gerontologists in describing changes across the life span or within any portion of the life span. Doing so would provide many alternative models in terms of which practitioners and older persons can conceptualize the social and psychological processes of adult development and aging. Second, the consideration of alternative models can direct our attention to data and features of theories that would otherwise be disregarded, as shown in the example of Keller's [Note 2] research. Formal models make clear that deletions or losses in the course of development need not'necessarily be negative (cf. the discussion of models 9 ll) and that the notion of regression to childlike stages is overly simplistic (except perhaps in the case of model 7; the seven ages of life

and

MEACHAM

486

fit either model 7 or 9 , dependseven ages is understood as cumulative or

described by Shakespeare in ,4s You Like 1/

ing on whether the sequence of simple-Shakespeare is not clear on this point). Third, the use of formal models can facilitate communication between theorists, researchers' and practitioners in various subdisciplines of gerontology. Even a theory as well known and as frequently cited as Erikson's is seen to be open to various interpretations when its formal aspects are considered carefully. Although one might argue that this is due to deficiencies in the notation system

presented here-and certainly any such System can be improved-there are

more detailed notation systems already available [see, for example' 22;23: 24; and,3l. It appears more likely that our theories will need to be specified with greater rigor if the discipline is to progress. Fourth, construction of a taxonomy makes possible the recognition of similarities among theories and the inference and subsequent discovery of similar processes, as well as the recognition of critical gaps in what is currently known. Just as the periodic table led to the search for new elements to fill gaps in the table, so we may wonder what social and psychological processes correspond to models 8 and 10

in Figure l.

Reference Notes 1. Labouvie-Vief , G. Growth and regression sequences in odult cognitive organization. Paper presented at the meeting of the Gerontological Society, Dallas, November' 1978.

2. Keller, A. Ego integrity, perspectiye-taking, and cautiousness. Doctoral dissertation, University of New York at Buffalo, 1978.

State

References

l. Erikson,E.H. Identityandthelife-cycle.

Psychologicallssues, 1959,1(l,WholeNo. 1),

50-100.

2. Erikson, E.H. Childhood and society. New York: Norton, 3. Flavell, J.H. An analysis of cognitive-developmental Monographs, 1912, 86, 279-350.

4. Gutmann, D. Parenthood: A

1963.

sequences. Genetic Psychology

key to the comparative study of the life cycle. In N. Datan and

L.H. Ginsberg (Eds.), Life-span developmental psychology: Normative lde crises. New York: Academic Press, 1975.

5. Harris, D.B. (Ed.). The concept of developmenr. Minneapolis: University of Minnesota Press, 1957.

6. Havighurst, RJ. Human development and educdtion. New York: David McKay, 1953. 7. Kastenbaum, R. Is death a life crisis? On the confrontation with death in theory and practice. In N. Datan and L.H. Ginsberg (Eds.), Life-span developmental psychology: Normative life crises. New York: Academic Press, 1975.

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8. Kohlberg, L. Development of moral character and moral ideology. In M.L. Hoffman

L.w. Hoffman

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9. Kuypers, J.A., & Bengtson, v.L. Social breakdown and competence: A model of normal

aging. Human Development, 1973, 16, l8l-201. 10. Langer, J. Theories of developmen. New york: Holt, Rinehart and Winston, 1969. 11. Levinson, D. The seasons of a mon's /r/e. New york: Knopf, 1978. 12. Levinson, D.J., Darrow, C.M., Klein, 8.B., Levinson, M.H., & McKee, B. periods in the adult development of men: Ages l8 to 45. The Counseling psychologist, 19.76,6,2l-25.

13. Meacham, J.A. A transactional model of remembering. In N. Datan & H.W. Reese (Eds.)' Lde-span developmental psychology: Diolecticol perspectives on experimental

research. New York: Academic Press, 1977.

14. Neugarten, B.L., Moore, J.W., & Moore, J.C. Age norms, age constraints, and adult socialization. American Journal of sociology, 1965, 70(6). Also in B.L. Neugarten (Ed.), Middle age and aging: A reader in social psychology. Chicago: university of chicago press, 1968.

15. Papalia, D.E., & Del vento Bielby, D. cognitive functioning in middle and old age adults. Human Development, 1974, 17, 4U.-443. 16. Piaget, J. Psychology of intelligence. Towawa, NJ: Littlefield, Adams, 1969. 17. Reese, H.w., & overton, w.F. Models of development and theories of development. In L.R. Goulet & P.B. Baltes (Eds.), Life-span developmental psychology: Resecrch and theory. New York: Academic Press, 1970.

18. Riegel, K.F. The influence of economic and political ideology upon the development developmental psychology. Psychological Butletin, 19'72, 78, l2g-141.

of

19. Riegel, K.F. Psychology mon omour: A countertext. Boston: Houghton Mifflin, 197g. 20. Riegel, K.F. Foundations of dialectical psychology. New York: Academic press, 1979. (Also Stuttgart: Klett-Cotta Verlag, in press.) 21. Riegel, K.F., & Meacham, J.A. Dialectics, transaction, and piaget,s theory. In L.A. pervin & M. Lewis (Eds.), Perspectives in interactional psychology. New york: plenum, 197g. 22. Yan den Daele, L.D. Qualitative models in developmental analysis. Developmental

Psychology, 1969,

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23. van den Daele, L.D. Intrastructure and transition in developmental analysis. Human Development, 1974, 17, l-23. '24. Yan den Daele, L.D. Formal models of development. In K.F. Riegel & J.A. Meacham (Eds.), The developing individual in a chonging world (Yol. l). The Hague: Mouton, 1976.

25. Wohlwill, J.F. The study of behavioral developmenl. New york: Academic press, Received June

2,

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July 17,

1980

F.l

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