What would happen if we all decided that doing X is right instead?

Utilitarianism can be summed up by the following two claims:

  1. The right action in any situation is the one that produces the greatest balance of benefit over harm.
  2. Everybody counts equally.

Each of these components requires some explanation. First, what is meant by “benefit”? Different utilitarian philosophers have interpreted this term differently. Some have held that what is important is happiness. That is, we should maximize the total amount of happiness or pleasure for all concerned. Others have held that what is important is actual welfare or well-being. They argue that we should maximize the extent to which we actually help people (and minimize harm) regardless of whether or not that makes them happy. This distinction will not matter much for us in this course, but it is good to be aware that there are different interpretations of what it means to “benefit” somebody.

One thing that utilitarians generally agree on, however, is that they are concerned with all types of benefits, both short-term and long-term. So, utilitarianism asks us to consider all foreseeable benefits and harms that may result from our actions, not just ones that will result immediately. One final note about the notion of benefit: utilitarians are concerned not just with harms and benefits that are guaranteed, but also with harms and benefits that are possible or likely. When a benefit or harm is possible or likely, utilitarians tell us to include the degree of possibility in our calculations: a potential harm or benefit that is very unlikely counts for less than a potential harm or benefit that is very likely (though they must still be counted to some extent).

Second, what is the significance of the utilitarian’s claim that “everybody counts equally?” For one thing, this means that we are never justified in giving extra weight to our own preferences just because they are our own.  Nor are we justified in giving preferential treatment to the interests of family or friends; as far as moral decision making goes, strangers matter just as much. It also means, for example, that the interests of a poor man ought to count for just as much as the interests of a king.

This does not mean that utilitarianism demands that we all benefit the same amount from every decision. Sometimes, that won’t be possible. What’s important to utilitarians is that in making a decision, everyone’s interests are given equal consideration. Note further that utilitarians do not require that we maximize benefit to each person. What matters for utilitarians is the total amount of benefit or harm, when we “add up” the benefits and harms for each person. So an action that harms a few people in order to benefit a lot of people would likely be endorsed by utilitarians.

At this point it is imperative to point out that utilitarianism is often described as cost-benefit analysis (CBA).  However this is a serious misunderstanding of the theory.  Utilitarianism is not CBA, yet in this course, and many others, students consistently make this mistake.   CBA is an economic theory whereasutilitarianism is a moral theory.  The goal of CBA is cost-effectiveness while the goal for utilitarians is a morally justified outcome that benefits, and reduces harm for the greatest number of people in order to create a better society for all. The notion of utility must be defined, and everyone counts equally.  Confusing this moral theory with CBA is inaccurate and can be quite unfair to those who have developed it.

It is also important to note that there is disagreement among various utilitarian thinkers over the meaning of the term “everybody.” Does “everybody” mean “all humans”? Or, “all creatures capable of feeling pain”? (Peter Singer, author of the book Animal Liberation, is a famous modern-day utilitarian who holds roughly the latter view.) Most utiliarians take the term “everybody” to mean “all persons.”

Strengths & Weaknesses of Utilitarianism

The main intuitive strength of utilitarianism lies in its emphasis on equality. It seems right (to most people) that, when it comes to making moral decisions, all people ought to count equally. For a utilitarian, everybody counts equally: men and women, the young and the old, and people of different races, religions, or sexual orientation.

The primary weakness of utilitarianism lies in its single-minded emphasis on outcomes. This narrow focus, according to critics, neglects important considerations such as justice. For example, imagine a situation in which the police are having trouble catching a killer. Let us imagine that the police have reason to think that the killer has left the country, but that the public is so upset about this murder, and about the police’s failure to solve the crime, that the city is on the brink of civil unrest. If riots break out, there will be much destruction of property, and possibly loss of life. In such a situation, reasoning based solely on outcomes might suggest that the police would be justified in framing an innocent man for this crime. Providing they were sure they could do so successfully, “solving” the crime in this way might well bring peace to the city. But wouldn’t this be grossly unfair – unjust – to the man they framed? Worries such as this have led many moral theorists to the conclusion that while the net benefits of a course of action are important, they cannot be the whole story.

A further criticism of utilitarianism is that it seems to imply very burdensome obligations. For example, you’ve got a choice with what to do with the money in your savings account. You can save it for a rainy day, or you could give it all to a famine relief organization. If you save the money, you will benefit yourself. But if you gave it all to famine relief, you might actually save lives. The utility-maximizing thing to do would be to empty out your bank account and send the money to a charitable organization. And, according to a strict utilitarian, if you fail to do so you will have done something morally wrong. In fact, a strict utilitarian seems forced to say that owning any luxuries at all (television, computer, nice clothes and so on) is unethical, given that you could do more good by giving that money to charity. While most of us would agree that we could all do a little more to help those less fortunate, most people find it implausible that it could be morally obligatory to give away all non-essential goods. To most people, such an act would seem heroic; according to a utilitarian, it is mandatory.

A final worry about utilitarianism lies in its apparent insensitivity to special duties and particular obligations. For example, most people would intuitively think it right that we should pay more attention to the well-being of our family than to the well-being of strangers. Imagine a different version of the example from the previous paragraph. Now, the choice you will have is whether to save money for your children’s education, or instead send that same amount of money to relief organizations overseas. Sending your kids to university will of course benefit them, but not nearly as much as the same money would benefit starving people in another country. For utilitarians, the choice seems clear. Yet most people would say, again, that this asks too much of us.

A Further Complication: “Rule Utilitarianism”

In response to certain criticisms, some utilitarian philosophers have developed a special variety of utilitarianism called “Rule Utilitarianism.” Without going into too much philosophical detail, the basic idea is straightforward. Standard utilitarian thinking says that, in any situation, you should choose whatever action is going to maximize benefit for the group of people affected. Rule utilitarians say, “No way! You shouldn’t choose on a case-by-case basis like that! We should establish rules of thumb that will reliably maximize benefit for the group in the long run; then, in any situation, all you have to do is follow those rules.” In other words, while regular utilitarians ask you to choose actions that maximize utility, Rule Utilitarians ask you to follow RULES that, in the long run, will maximize utility.

A quick example may help. Imagine a situation in which you consider telling a lie to get out of a jam. A utilitarian might advise you to ask yourself, “Will telling a lie in this situation maximize benefit, taking everyone into consideration?” A rule utilitarian, on the other hand, is more likely to advise you to ask yourself, “Would a rule of thumb that advocated lying in situations such as this maximize benefit in the long run?”

Deontology: Theories of Duty

This group of moral theories assumes that right and wrong is a matter of doing one’s duty.  In this course we will look at two theories: the very famous theory provided by Kant and Ross’s theory of prima facie duty.

Kantian Theory

Another group of philosophers has said that in making moral decisions we should focus not on the consequences of our actions, but on whether or not we are doing our duty. The word “deontology” means roughly “a theory of duties.” The two most influential deontologicalmoral theories are those of Immanuel Kant and W.D. Ross.

Immanuel Kant (1724-1804) is one of the most influential philosophers of all time. His theory is considered the primary deontological theory in ethics and is typically the one that leads to the best arguments.  Kant argued that we should make moral decisions based upon what he called the “categorical imperative.” He was particularly opposed to utilitarianism because it did not seem to produce what he would consider ‘moral’ since the intent of the person acting was ignored.  The Categorical Imperative is the one, over-arching super-rule of ethics, for Kant. He gave us two different “versions” of the Categorical Imperative, which he thought were 2 different ways of expressing the same key idea.

The FIRST version of the Categorical Imperative says (roughly) that in any situation, we ought to act according to that principle which we could consistently translate into a moral law for all rational agents. And we should do so, according to Kant, regardless of the consequences of doing so. Kant, for example, thought that we have a duty to tell the truth, since nobody could consistently ask that lying become a universal law. After all, if it was permissible to tell lies all the time, no one could believe anyone. The vast majority of our interactions with each other assume that we are each telling the truth.  This is what makes a lie so noteworthy, and it also provides the liar with an advantage over others…if they can get away with it.  If everyone lied all the time, however, then there would be no advantage to lying,  since no one would believe anyone anyway.  Thus lying is morally wrong because it produces a logical contradiction. (Lying is an advantage and lying is not an advantage).  So, you can’t wish that everyone lied, without tying yourself in logical knots!

Some people interpret the first version of the Categorical Imperative as The Golden Rule where we’re told “Behave only as you would want others to behave, too.” That’s not a good way of understanding Kant, (in fact Kant was quite concerned that he’d be misunderstood this way) because morality is not about focusing on what WE would want.  We cannot put ourselves at the center of every moral issue and decide that whatever we want must be morally right.  That would be moral subjectivism.  What’s important, for Kant, is whether a given way of acting COULD be embraced by all of us, as a shared rule withoutproducing a logical contradiction.

But Kant’s disregard for consequences also means that he thought we should tell the truth regardless of the outcome of doing so. It’s not too difficult to think up examples of situations in which telling the truth could do a great deal of harm. For Kant, such harms are an acceptable consequence of doing one’s duty.

The details of Kant’s moral theory are complicated. We will focus on just a few key elements. Why did Kant say that we should act according to rules that could serve as a moral law for all rational agents? The reason is roughly that Kant wanted to emphasize the equal and inherent moral worth of all people due to their rationality.  Rationality is a capacity that adult humans share and does not have anything to do with intelligence, education etc.  It’s simply the ability to think rationally, if one so chooses.  Since the people around you have moral worth due to their rationality, they deserve to be treated with respect. Further, since you have this moral worth, you should act in a suitable manner – that is you should act like a responsible moral person, someone who is capable of figuring out what the right thing to do is and doing it. This notion of equal, inherent moral worth is one that continues to be influential in moral and political philosophy.

The SECOND version of the Categorical Imperative focuses more directly on this idea of the moral worth of all humans. According to the 2nd version, Kant says that in making ethical choices, you should always act in such a way that you are treating human beings as “ends” (i.e., as inherently valuable and worthy of respect), rather than as “mere means” (i.e., rather than as tools that you can use and manipulate for your own purposes.) The core idea, here, is respect. We should never treat other people as if they were mere instruments, mere tools to be used in getting the things we want.  The second version of Kant’s moral theory tells us that it is wrong to sacrifice one human for another, or to treat that person as less than ourselves.  Their rationality gives them inherent moral worth which is equal to yours, so there is no good reason to suggest that your needs, wants, desires etc count for more than anyone else’s.  Without good reason, then actions are unjustified and thus immoral.

Ross’s Prima Facie rules

The second deontological theory we will look at is presented by W.D. Ross, in his book The Right and the Good (1930). However, this is a challenging theory to apply as it provides no specific guidance and is easily challenged.  It’s good to know that Ross’s theory is another type of deontology, but it’s unlikely to provide convincing arguments in a course like business ethics which addresses very specific issues.

Unlike Mill or Kant, Ross held that there was no one moral principle that could cover every situation. Ross held that various kinds of situations, and various kinds of relationships, produced different kinds of obligations. He thus devised a list of what he called “prima facie obligations” or prima facie duties. The seven kinds of duties which Ross identified are: Fidelity, Reparation, Gratitude or Reciprocity, Beneficence, Nonmaleficence, Justice and Self-improvement. (A moral theory making use of several distinct moral principles like this is called a pluralistic moral theory.) The Latin term “prima facie” means roughly “arising at first sight.” This term is used here to signal Ross’s contention that in any particular situation, we may well be faced with more than one apparentobligation.

For example, imagine you have made a promise to have lunch with a friend. But on the way to lunch, you are the first to arrive at an accident scene, and you may be able to help. If you stop to help, you will have to miss lunch with your friend. In such a situation, according to Ross, you have a prima facie duty (of fidelity) to keep your promise to your friend. You also have a prima facie duty (of beneficence) to stop and help at the accident. In such a situation, Ross says that our actual duty will depend on the circumstances. How bad is the accident? Do you have medical training? How urgently did your friend need to see you? Ross says that there is no formula for balancing our various obligations in situations such as this: we must make what Ross calls an “all-things-considered judgment.”

Ross’s framework is attractive to some since it recognizes that a variety of different kinds of ethical reasons might apply in different situations. Sometimes, for example, it’s most important to create the most benefit, and sometimes it’s more important to focus on treating people with respect. However, the biggest problem for this theory is that Ross does not tell us how to balance these different ethical reasons in real life.  It’s therefore not clear how to put this theory into action, answer specific questions about what our duty is, and is easily refuted since there is no particularly compelling reason to privilege one duty over another.

One sees evidence of the influence of deontological ethics in modern talk of rights. Philosophers often talk in terms of a necessary connection between one person having a duty to do something, and other person having a related right. For example, if I have a right to enjoy my property, then you may be said to have a duty (or obligation) not to interfere with my enjoyment of my property. Similarly, if I have a duty to honour a promise I made to you, then you might be said to have a right to expect that I fulfill my promise.

Strengths and Weaknesses of Duty Theory

The main strength of duty theories is likely to be found in their tendency to prohibit absolutely certain kinds of apparent injustices. Only a duty-based theory can make sense of an absolute prohibition. And it does seem like certain actions (think up your own examples!) ought to be thought of as completely prohibited, as utterly immoral no matter what. (A utilitarian, on the other hand, can never forbid particular types of actions categorically. Whether a given action is right or wrong will, again, depend on the consequences.)

One common criticism of duty theory lies in the lack of a “decision procedure” or formula for resolving conflict between various duties. For example, Kant’s categorical imperative implies a duty not to lie as well as a duty not to hurt others. But sometimes it seems like we must lie in order to avoid harming someone.  Kant attempts to address this concern by elaborating on his concept of contradiction.  However, this is a much more significant problem for Ross since the various duties listed by Ross can easily come into conflict which makes this a very problematic theory to apply in the real world.

Other Types of Theories

Other moral theories do not provide clear answers on what is right or wrong, but rather attempt to offer a way to resolve specific problems, or focus on how we ought to live, rather than telling what we ought to do.  These theories can be useful in helping navigate questions about why we should honour contracts, or what sort of people we should be to live good lives, but they do not provide answers about what actions to take in specific cases.  However, as you become more familiar with ethical reasoning, it will become clearer how to incorporate these considerations into the problems of business ethics, although it’s unlikely they will give us answers to bigger questions on their own.

Social Contract Theory or “Contractarianism”

Contractarianism, or social contract theory, has come in many “flavours” over the past two centuries. Historical contractarians include Thomas Hobbes (1588–1679), David Hume (1711–1776) and Jean Jacques Rousseau (1712–1778); important modern day contractarians include the late John Rawls and Canada’s own David Gauthier. But the unifying starting point is that morality is, above all, a social phenomenon.

Social contract theorists ask us to consider what moral rules rational people would accept if they were setting up a society from scratch. That is, imagine for a moment that you lived in a world without rules. (Not just without government or law enforcement, but without rules altogether.) Such a world would likely be very nasty. (Or, as Hobbes famously wrote, life would be “solitary, poor, nasty, brutish and short.”) Now ask yourself, in order to escape such a nasty situation, what rules would rational folks agree to be bound by? That is, what would be the terms of the “contract” that people in such a situation would agree to? What should the “rules of the game” be? The social contract argument says roughly that if it would be rational to agree to a particular rule when devising a new society, then we should consider ourselves bound to follow that rule in our moral decision-making.

An important part of (most versions of) contract theory is a focus on reciprocity. That is, social contract theorists strongly believe that all moral obligations have to be reciprocal: they have to go in both directions. For example, if we were devising a new society, it would be reasonable for me to promise not to steal – so long as you promise the same thing. Contractarians ask, “what is a reasonable restriction on my behaviour, given how others are acting?”

Strengths and Weaknesses of Contractarianism

The main attraction of contractarianism lies in its emphasis upon consent. That is, contract theory bases moral obligation on what people can agree to. On such a conception, morality is not imposed upon us, but agreed to. Many have thought this an attractive vision of what ethics is about.

The main criticism of social contract theory is based upon the theory’s reliance on “hypothetical” consent. As real people in real situations, we might reasonably ask, “Why should I care what I would have agreed to in some other situation?”

Virtue Theory

Virtue theory has its historical roots in the work of the ancient Greek philosopher, Aristotle (384–322 BCE). Modern virtue theorists include Alasdair MacIntyre and Elizabeth Anscombe. Virtue theory is a way of looking at ethics that says that rather than focusing on rules and obligations, we ought instead to focus on the development of good character traits, or virtues. Among the virtues typically mentioned are courage, generosity, temperance, justice and truthfulness. For Aristotle, for example, the virtue of courage was to be found in avoiding being cowardly (a vice) and also avoiding being rash (also a vice).

Given their focus on personal characteristics, instead of asking “What should we do?” virtue theorists ask, “What sorts of people should we be?” For virtue theorists, actions themselves are only significant insofar as they demonstrate certain kinds of personality traits. Virtue theorists tell us that rather than thinking about what rules we should follow, we should think instead about what sort of person sets a good moral example. We should follow good moral examples when we see them, and we should strive to set a good moral example ourselves. In particular, the focus is not on the value of particular actions, but on whether – over the long run – we are displaying the appropriate kinds of character traits.

One reason many people find virtue theory appealing is that it seems to be consistent with how morality is experienced in life. That is, we often think not in terms of doing the right thing in any one circumstance, but of being – and striving to become – a good person. Further, virtue theory seems to accord well with the common intuition that actions sometimes matter less than the character of the people who perform them. When a bad person does something with good consequences, we seem justified in denying him praise.

The main criticism of virtue theory, perhaps, is that it is hard to say much about what kind of person one is without reference to the kinds of actions she performs or the kinds of rules she follows. What is it about an individual that makes her deserve being called “truthful?” One obvious answer is that she is truthful if she always follows the rule, “Tell the truth.” How do we tell whether a person is brave? By checking to see whether she commits brave acts. This casts doubt on the merit of a focus on virtues that is divorced from the notion of good actions.

Module Summary

We have now reviewed the basic details of a number of moral theories, namely deontological or duty ethics, utilitarianism, social contract theory, and virtue theory. In this course, we will not take a position on which of these theories is the most defensible, or the best suited to issues in business ethics. Each of these theories constitutes a sophisticated attempt to arrive at a general account of how we should live our moral lives.

The approach we will take in this course is to think of these various moral theories as tools. These theories provide a set of concepts, and a range of arguments that we can use to discuss issues in business ethics. What we will likely find is that for some kinds of issues, it will seem to make sense to reason like a utilitarian. A corporate executive, for example, might make good use of utilitarian reasoning in deciding which of two factories should be closed. It might be argued that, other things being equal, it makes the most sense for her choose whichever course of action will cause the least suffering – that is, close the factory that employs the fewest people. For other issues, a focus on duties and rights will seem more plausible. For instance, an office manager might consider searching every employee’s desk in hopes of finding out who has been stealing office supplies. This might be the most efficient way to solve the problem – it would maximize benefit – but it would also be a breach of the workers’ right to privacy.

In yet other cases, we may want to focus on the need to develop certain kinds of virtues, as when a corporate executive decides on a course of action based upon the example she knows she will be setting for her employees.Thus for any moral problem we discuss, we now have a toolbox consisting of various kinds of arguments that we can apply. We must exercise caution in using this toolbox, however. Each of these moral theories was conceived of as a stand-alone option that in important ways denies that the others are correct. Kant, for example, explicitly denies that consequences matter, so we can’t be both a Kantian and a utilitarian. There is thus something fishy about being a utilitarian one day and a deontologist the next. We can, however, reasonably claim to use both “utilitarian arguments” and “contractarian arguments” (for example). But we do a disservice to the devoted proponents of those theories if we allow ourselves to think that we are actually following the theories.

A further cautionary note: in taking advantage of the availability of all four of these theories, we may be tempted to choose which theory to use based on what conclusion we want to reach. Think, for example, of the problem faced by a sales manager whose most important customer refuses to deal with female sales reps. He has the choice of keeping his female reps off this account, and thus harming their careers, or allowing female reps an equal chance at this account, and risk losing a key customer. If I already believe that discrimination is inherently morally evil, then I may be tempted to appeal only to rights-based theories, and will be tempted to say that the manager should not cave in regardless of the consequences. (This might be the right course of action, but as students of moral philosophy we should never simply assume so.) We must therefore be careful not to use moral theories, and the sophisticated arguments they provide, simply to back up our existing beliefs.

Moral Relativism

Some people find the idea of a moral theory difficult to understand. A theory is supposed to be something that applies to everyone. But doesn’t each of us have different ideas of wrong and right? Questions like this often lead people to a position called “moral relativism.” Moral relativism is the doctrine that moral truth or value is relative to the beliefs of some individual or group. Effectively, the view is that something is right for me but not be for you and we can just agree to disagree.  That’s a nice sentiment but not very defensible.  If I think stealing your wallet is ok because I need the money, and you disagree with me, surely we want to say more than let’s agree to disagree.  This seems to miss the point about ethics and ethical actions.

Relativism comes in two types. The most common sort is cultural relativism, which is the doctrine that morality is relative to the beliefs or practices of particular cultural groups. The second, more extreme form of relativism is known as “subjectivism.” Subjectivism is the doctrine that morality is relative to the beliefs of the individual.

While an extended examination of moral relativism is beyond the scope of this course, the frequency with which some version or another of this doctrine pops up suggests that it warrants at least a brief mention. First, let us deal very briefly with subjectivism. Very few people, if any, actually believe that right and wrong is relative to the individual. In fact, our everyday moral practices imply that we do all believe in at least some shared values. For example, it is only because we have shared moral beliefs that we bother blaming people when we think they’ve done something wrong. We only blame people for their actions when we think those actions have failed to live up to some shared standard. What about cultural relativism? A thorough examination of the merits of cultural relativism is, again, beyond the scope of this course.

For our purposes, it will be sufficient to point out two things. First, there does seem to be a remarkable degree of agreement, even among members of very different cultures, as to the basic principles of morality. All cultures put restrictions on lying. All cultures see justice as a good thing. Different peoples may differ in how they apply those principles, or in the relative weight assigned to them, but they honour them none the less suggesting that they are not, in fact, relative at all.

Second, from the point of view of moral philosophy, the fact that “my culture believes doing X is morally wrong” is never sufficient reason to believe that doing X is wrong. As philosophers, we always want to ask questions like, “Why do we think doing X wrong?” “How do we know that doing X is wrong?” “What would happen if we all decided that doing X is right instead?”

 

 

Who, other than the companies that profit from hooking people on this addictive but nonessential product, could find fault with a move to protect the nation’s children from potential harm?

Editorial

                                       Editorial on Trump cravenly backtracks on vaping.

Faced with a troubling outbreak of a mysterious vaping-related illness and the skyrocketing use of electronic cigarettes among teens, President Trump announced in September that the Food and Drug Administration would pull flavored electronic-cigarettes from the market, possibly within weeks.

“People are dying,” the president said during a televised news conference with the heads of the FDA and the Department of Health and Human Services. He promised quick action, and he was right to do so. At that point, six people had died from the new illness, and hundreds more had been hospitalized with severe lung damage. An alarming number of the victims were young adults or teens who said they used vaping devices for both cannabis and nicotine. Since then, 44 people have died, and more than 2,000 people have been sickened.

Trump’s plan, reportedly urged by his wife and eldest daughter, was a good one (and a rare smart move on public health policy from an administration better known for dismantling environmental protections). Never mind that it wasn’t a perfect answer to the current crisis. Even then, the vaping illness was suspected to be primarily caused by use of black-market vaping devices modified for cannabis or THC and containing vitamin E oil. (Health officials are now pretty sure that’s what’s causing the illness.)

But a ban on flavored electronic cigarettes is still good public health policy. Vaping use among minors has grown precipitously in recent years — doubling in just the last two years to about a quarter of all high school seniors, studies show. The trend is primarily driven by an attraction to flavors like candy and fruit. Nearly 80% of teens who vape said they did so because of the flavors. And even if they aren’t using the aftermarket products associated with the vaping illness, the high levels of nicotine in electronic cigarettes hook users quickly, and nicotine use presents its own health risks.

ADVERTISING

inRead invented by Teads

There was also solid precedent for the move Trump proposed. In 2009, the FDA prohibited the makers of traditional cigarettes from using flavors other than menthol because of their appeal to kids. Public health officials say the ban on flavors was a main factor in teens losing interest in cigarette smoking, which fell to an all-time low in 2018.

It seemed possible that Trump’s ban would go into effect. Vaping isn’t the political third rail that guns are, and it’s not as complicated, controversial or fraught as, say, immigration or Middle East policy. Who, other than the companies that profit from hooking people on this addictive but nonessential product, could find fault with a move to protect the nation’s children from potential harm?

We should have known better.

According to the Washington Post, the FDA was set to announce on Nov. 5 that it would order flavored electronic cigarettes to be banned for sale within 30 days. But the day before the announcement, reports said, Trump decided not to sign the “decision memo” out of concern that it might lead to job losses that could be used against him during his reelection campaign.

This is just another example of Trump’s tendency to say one thing and then do another. Such was the case when Trump said he would support sensible gun control (such as closing loopholes on background checks) after a particularly bad run of mass shootings, but then flip-flopped after strong words from the National Rifle Assn. Or when the president said his administration would stop separating families at the border and continued to do it anyway. Or when he abandoned a highly touted proposal to reduce drug prices by blocking a practice that benefits drug-buying insurance middlemen. We could do this all day.

It seems the country is led by a man so concerned with hanging on to his job that he would throw over an entire generation of children in the process.

It’s not too late for Trump to come to his senses and sign the order that would direct the FDA to ban electronic cigarette flavors immediately — before he could change his mind again. But we won’t hold our breath.

 

 

What changes in customer needs & wants and/or changes in environment it has faced; and how it has evolved and adapted to stay relevant?

 

December 2019

Research on the evolution of the brand Coca-cola

Contents

 

Section Page
Executive Summary  
Section One :  
Section Two :  

 

Section Three :  
Section Four :  
Section Five  
Appendix, Reference  

 

Executive Summary

 

Overview

This report examines the evolution of the Coca-cola over the different key stages of its brand development over time

Brand Building and Management

History

Here is the questions for the assignment

Choose a large established brand and, using a range of relevant tools, frameworks and/or theories explain the evolution of that brand over time, including:

  • A critical assessment of the brand’s health at key stages of development.
  • What changes in customer needs & wants and/or changes in environment it has faced; and how it has evolved and adapted to stay relevant? In the second section of the report you should cover the following areas, considering a strategic viewpoint:
  • Outline, using relevant branding concepts, theories and/or frameworks, and justify how the brand should evolve in the future.
  • Consider the potential for partnerships or other collaborations. Critically assess the recommended targets.
  • Recommend metrics, tools and techniques that the organisation should consider using to evaluate the health of the brand and develop maximum brand value in the future.

You must critically research and apply in your coursework relevant academic theory and sources, course concepts and frameworks and industry material, fully referenced using the Harvard system.

 

https://www.coca-colacompany.com/content/dam/journey/us/en/private/fileassets/pdf/2011/05/Coca-Cola_125_years_booklet.pdf

PART B: A 3,500 word individual report (70% of overall grade)

Choose a large established brand and, using a range of relevant tools, frameworks and/or theories explain the evolution of that brand over time, including:

  • A critical assessment of the brand’s health at key stages of development.

Brand equity Is the “added value” with which a brand endows a product; this added vaiue can be viewed from the perspective of the firm, the trade, or the consumer. The author’s focus is on how to buiid strong brands with the consumer, how to sustain that brand equily over time, and how to expand and protect a business by ieveraging brand equity.

http://eds.a.ebscohost.com/eds/pdfviewer/pdfviewer?vid=1&sid=4c0ed47d-1659-46ad-8bbc-91e9ab8b3491%40sessionmgr4006

 

 

 

 

 

 

 

Qualitative research

Brand Leadership summary – David A.Aaker & Erich

http://eds.a.ebscohost.com/eds/pdfviewer/pdfviewer?vid=1&sid=4c0ed47d-1659-46ad-8bbc-91e9ab8b3491%40sessionmgr4006

 

80s

In April 1985 Coca-cola presented one of the classic marketing mistakes where it replaced its forerunner coca cola brand with a new formula. The main drive was competitiveness against “Pepsi- Cola’s “Pepsi Challenge”. At the time coke was threatened to be taken over the cola market. As in 1982 Coca cola introduced diet coke which it caused to lose its market share. Coca cola felt it had to take drastic action therefore initially starting to advertise and in store blind taste testing between Coca-Cola and Pepsi-Cola starting in their home town texas which Pepsi won these tests. With these results Coca-cola’s strategy was to reformulate the recipe to sweeter taste similar to Pepsi. They called it “The New Coke” which has completely backfired and taken negatively by the public.However within three month the company re introduced the original coke and rebranded it as “Coca- cola Classic” and join the “New Coke”in the marketplace. This experience taught Coca-Cola a valuable lesson about branding.

For instance building brand loyalty which is able to achieve positive impact.

  • It could marketing cost as loyal customers wont need, sales promotion wouldnt be needed
  • Barriers to entry for new competition
  • Better leverage within the trade

 

 

90s

 

2000s

Market Research

The April 23rd 1985 launch of New coke is still seen as one of the biggest failures in the world of marketing. Despite winning several blind taste tests, public outcry meant that New coke was eventually replaced with the old formula, labelled as Coca-Cola classic.

Two things went wrong.

  1. There was a flaw in the market research taste tests as it was assumed that taste was the deciding factor in consumer purchase behaviour. Consumers were not told that only one product would be marketed so were not asked if they would give up the original formula for New coke.
  2. No one realised the symbolic value and emotional involvement people had with the original coke.

Relevant variable that would affect the problem solution were not included in the research.

  1. Identify the opportunity – Is it something that fits within an existing category or is it a new product category?
  2. Explore the solution – engage in primary research using surreys focus groups, in depth one-on-one interviews.

T- Technological. New technology may be employed in packaging design of containers.

L- Legal. Coca Cola look at packaging from a recycling point of view as this appears to consumers who are concerned about waste.

In 1985 the Coca Cola company decided to terminate is most popular soft drink and replace it with a formula it would market as New coke. Before coca-cola launched New coke they had invested us $4,000,000 in market research and undertook 200,000 blind taste tests. Blind taste tests and focus groups were the basis of the launch of New coke in 1985.

Secondary

Quantitative – subjective and often open ended. Eg. Interviews with customers or focus groups which result in a wide range of answers based on personal experiences and feelings. Coca-Cola use focus groups and interviews when carrying out their 5 stage process.

Limitations

Example of the process:

Coca-Cola use research to find out what customers want and how happy they are with products that are on offer. Primary research methods help with determining if products need improving in different ways eg. taste, aesthetics.

Secondary research can be used to back up a theory and results of primary research. Market research helps to reduce risk in the decision making process and measures progress over time.

O – Opportunities are events and developments external to an organisation, Coca Cola could look for new territories for its products.

T – Threats are developments external to the organisation, which could damage overall performance. They could be to do with new products of competitors like Pepsi for Coca Cola or government policy that affects costs such as an increase in corporation tax.

Once key issues have been identified with the SWOT analysis, they feed into the marketing objectives.

PESTLE Analysis

Types of Data

E- Economic. Are there any constraints that might affect marketing a new product. In a recession would customers have enough disposable income to keep buying their product.

S- Social. Coca Cola ask people for their opinion for example when finding a name for a new drink.

Coca Cola 5 Stage Process

Data and information that has been collected before by the organisation itself or by another organisation.

Eg. Coca Cola can use data from external agencies such as:

  • Commercial market research organisations
  • Government statistics departments
  • Competitors company reports & websites
  • Trade publications
  • The general media such as the financial times, the guardian and the economist

Quantitative – numbers and figures that can be analysed mathematically and/or presented graphically. Eg. sales figures, market values, customer preference questions. The customer preference questions would be used by Coca-Cola if they were trying to determine colour of new packaging for example.

Uses of data

Testing of Coca-Cola Vanilla for England.

  • Taste testing to come up with the right flavour formulation that British consumers would enjoy.
  • Focus groups to determine preffered packaging design.
  • Test marketing to find out the potential for favourable product sales.

This examines the relationship between a business and its matching environment.

S- Strengths are the internal features of an organisation, which provide a competitive advantage. In Coca Cola this would be its highly effective manufacturing process.

W- Weaknesses are internal aspects of the organisation which are not as good as the competition as are not performing effectively. Coca Cola would have a weakness if staff have not been trained effectively an systems and procedures.

Market Research – Coca Cola

E – Environmental Coca Cola looks at packaging from a recycling point of view as their appeals to consumers who are concerned about waste.

https://prezi.com/gpx7femsiafw/market-research-coca-cola-business-unit-3-assignment-2/

Pepsi Co. Advertising Mistakes

  • Packaging redesign January 2009
  • Intended to modernize image
  • Unit sales dropped by 20%
  • After just one month, returned to original design
  • In 2010 Gatorade relaunched as “G”
  • Logo awareness dropped from 82% to 34%
  • The company has stuck by the redesign
  • In the early 90s, Pepsi believed they had the next big thing: Clear soda
  • Named Pepsi Crystal, the soda was caffeine free and marketed as a healthier option
  • However, the drink was really only 20 calories less than regular Pepsi
  • Initially, customers bought the product but sales quickly dropped as there were not enough repeat customers
  • After a year Pepsi pulled the plug
  • In the 60’s, Pepsi had a successful campaign “Come Alive With Pepsi”
  • However, when the campaign was taken to China it hurt sales considerably
  • When translated the phrase read: “Pepsi brings your ancestors back from the dead”
  • In the early 90’s, Pepsi devised a campaign in an attempt to beat Coca-Cola sales in the Philippines
  • The campaign was a giveaway of 1 million pesos for the winning specially marked bottle cap
  • Pepsi sales increased by 40%
  • However, the company had sold about 800,000 caps marked 349 and this number was not to be the winner
  • A mistake in announcing the winning number named 349 as a winning number
  • When Pepsi was not able to deliver on their promises of prize money, riots ensued and they reported about 32 Pepsi trucks as burned, stoned, or overturned by the people of Manila
  • While the company had only budgeted about $2 million for the campaign, they ended up having to spend $10 million for a goodwill gesture as well as facing thousands of lawsuits

Tropicana

Expanding to China

Image by Tom Mooring

  • http://www.cracked.com/article_20438_the-6-most-baffling-marketing-disasters-by-famous-companies.html
  • http://www.searchenginejournal.com/worst-marketing-disasters-2013/80679/
  • http://investorplace.com/2011/02/loud-sun-chips-pepsi-branding-disaster-failure/#.VAORC2RdW5Y
  • https://blog.theidealists.com/things-that-make-you-go-hmmm/worlds-most-burning-questions-1-historys-greatest-marketing-disaster/
  • http://www.cbsnews.com/news/grief-at-gatorade-facebook-rebranding-fail-to-reverse-a-sales-slide/

https://prezi.com/-y7o4gh3m-c9/pepsi-co-advertising-mistakes/

 

  • What changes in customer needs & wants and/or changes in environment it has faced; and how it has evolved
    and adapted to stay relevant?

  • In the second section of the report you should cover the following areas, considering a strategic viewpoint:

 

  • Outline, using relevant branding concepts, theories and/or frameworks, and justify how the brand should evolve in the future.

 

  • Consider the potential for partnerships or other collaborations. Critically assess the recommended targets.

 

  • Recommend metrics, tools and techniques that the organisation should consider using to evaluate the health
    of the brand and develop maximum brand value in the future.
  • Think about the assisgnment– what are the current associates , use it to critical evaluate ,
  • Demonstrate here is what the brand is today here it is what I want to be

Finally you are trying to achieve is Resonance iechoicinga football team

Look at Kellersthree – do you feel excited to use it

Sense of community 0 Nike

Active of engagment- Nike

  • You must critically research and apply in your coursework relevant academic theory and sources, course concepts and frameworks and industry material, fully referenced using the Harvard system.

Points to follow- Reading widely is good – from reading list and then beyond reading

Reading list

Books – Brands and brand management in Strategic Brand Managment : building, measuring and managing brand equity

Principles of Marketing

  • Book

 

  • by Philip T. Kotler

 

  • 2017

 

Product and Services Management

  • Book

 

  • by Paulina Papastathopoulou; George J. Avlonitis

 

  • 2006

 

  • Recommended

 

Business-to-Business Brand Management

  • Book

 

  • by Mark S. Glynn; Arch G. Woodside

 

  • 2009

 

  • Book
  • Authors

Kevin Lane Keller

  • Published date

2012

  • Publisher

Pearson Education Limited

  • Pub place

Harlow

  • Edition

Global ed of 4th revised ed

  • ISBN

9780273779414

 

 

 

Using some of the core models from the course is also good

What is bibliography? How to use it

 

REMEMBER Use models that relate to Brand building model

 

Think carefully about using non branding models – are they really needed?

 

Use critical analysis wherever relevant

 

  • Pros and cons
  • Counter arguments
  • Risks/Mitigations
  • Basis for conclusion

ole tips for critical assessments

 

Justify things in level 6 instead of only inserting things

don’t go too far on the narrative i.e. history of company using  500 words devotes words for explanation and critical analyses

 

Consider evidence base for brand associations – esp historical associations

i.e. brand they say they are premium but you can see they are doing lots of promotion

apple associates what apple stood for – secondary literature is imp maybe there is an academic research , or report. Try to get evidence how people felt of the brand

 

 

Ensure you are using models that you understand and use it appropriately

You can use models that don’t work and explain how it doesn’t work and this other model instead to make it work

i.e. Atkinson 2018 – took a picture on phone Brand Heath – Different Brand Statuses but it doesn’t show whether the brand has good brand health it can only tell what you can do to focus on possible solutions

 

Consider competitors where relevant – i.e. pepsi and Coca cola

It can support critical assessment – if your brand didn’t do something other brand did and worked for them

You can say competitors responded to trends better than your brand did  – it can be direct or wider scope

Can develop future development areas

  • g. can support critical assessment
  • g. can support future development ideas

Remember this is brand building strategy not a business strategy module

 

Propose specific solutions and be don’t be afraid o creativity

 

What are the strategies used by Teachers and Teaching assistants, with children who have dyslexia in UK primary schools.

  • Dyslexia Still Matters

chrome-extension://oemmndcbldboiebfnladdacbdfmadadm/http://entrust.education/Pages/Download/3BF4B368-D4D0-41A4-92E7-3B49B1B58168

  • Dyslexia and Literacy Difficulties: Policy and Practice Review. A consensus call for action: why, what and how?

chrome-extension://oemmndcbldboiebfnladdacbdfmadadm/http://www.thedyslexia-spldtrust.org.uk/media/downloads/inline/dyslexia-and-literacy-difficulties-policy-and-practice-review.1381764954.pdf

  • Effective Interventions for Struggling Readers(Second edition, 2019)

chrome-extension://oemmndcbldboiebfnladdacbdfmadadm/https://www.education.ie/en/Publications/Education-Reports/Effective-Interventions-for-Struggling-Readers-A-Good-Practice-Guide-for-Teachers.pdf

  • Working to deliver a better special education service

https://www.sess.ie/dyslexia-section/report-task-group-dyslexia-2002#main-content

 

chrome-extension://oemmndcbldboiebfnladdacbdfmadadm/https://dyslexiaida.org/wp-content/uploads/2015/01/DITC-Handbook.pdf

 

  • Impact Report2013-15www.thedyslexia-spldtrust.org.uk

chrome-extension://oemmndcbldboiebfnladdacbdfmadadm/http://www.thedyslexia-spldtrust.org.uk/media/downloads/inline/impact-report.1432041879.pdf

  • DYSLEXIA INTERNATIONAL: BETTER TRAINING, BETTER TEACHING

chrome-extension://oemmndcbldboiebfnladdacbdfmadadm/https://www.dyslexia-and-literacy.international/wp-content/uploads/2016/04/DI-Duke-Report-final-4-29-14.pdf

 

 

What are the features of an effective Key Performance Indicator (KPI)?

Financial and Resource Management MAN4FRM
Assignment 1 support document
The following is to support you in your submission for the above module, it should be used in conjunction with the module learning materials and information/guidance from the Module Tutor team.
Submission date and time: Thursday 12 December, 10.00 a.m. UK time
Reflective Questions
Below are some questions to help you consider what is required for the assignment. They are intended to prompt your preparation and planning of your assignment submission.
Please note, this is NOT a definitive list; you need to ensure that you are clear on the requirements of the task then apply the relevant aspects of your learning, reading and experience to complete it.
The following questions are always worth considering, as they help you understand the audience for and purpose of the task:
•What is your role in this scenario?
•Who are you writing to and why?
•What does the task require you to produce or create?
The following questions are related to your specific assignment brief:
Task 1
1)What presentational software will you use for your presentation?
2)What are the features of an effective slide presentation?
3)What is sustainability, and how can it be measured?
4)What are the features of an effective Key Performance Indicator (KPI)?
5)How does the use of KPIs lead to improvement in organisations?
6)What KPIs would be effective in this scenario and why?
7)What images could you use to make your presentation more visually appealing?Remember you must reference images appropriately.
Task 2
1)What are the features of an effective essay?
2)What is management accounting?
3)What are the benefits of effective management accounting?
4)How can management accounting help managers achieve their goals?
5)How can the managers at MAN4FRM use management accounting to help themachieve their goals?
Writing at Level 4
What is expected at Level 4
Overall approach
Writing at Level 4 requires you to show you understand your learning and can present and interpret your findings appropriately.
What the marker wants to see
Understanding of the key learning. You can describe and explain your learning accurately.
Evidence of information from sources outside of the VLE resources.
Application of your learning to the scenario or case study in your assignment.
Evidence of interpretation (see below).
Evidence of interpretation
Interpretation is the way you show your understanding of the information you have presented in your assignment.
Interpretation means that you use your learning to answer questions, solve problems and make decisions, based on your scenario or case study.
Support available
UCEM e-Library
For help with independent research and finding additional source materials
Email library@ucem.ac.uk for support
Study Skills
VLE area
For help developing your academic skills and further advice on how to carry out analysis and critical thinking.
Assessment Handbook in the Student Hub
For information about the different expectations at different levels of study.
The ‘Glossary of Assessment Terms’. has definitions of key assessment terms that explain what is required from the tasks in your assessment.
Academic Support Tutor
Each module has an Academic Support Tutor who you can contact via email and the Study Support Forum

How does the principal inspire and build teachers’ professional confidence?

Focus Group Questions: Collective Teacher Efficacy

Interview Question Source of CTE Research Foundation Leadership Competency Research Question
1.How is the school’s mission and goals shared and promoted by the principal?

How are teachers involved?

 

Social Persuasion

 

Affective States

 

Bandura’s Four Sources of Efficacy Beliefs

 

Building Vision and Setting Direction

 

 

Unity of purpose

 

 

Managing the Teaching & Learning Programme

 

Research Question 2

What beliefs held by the Principal have influenced the school’s collective teacher efficacy?

 

2. How is the school’s vision for teaching & learning shared and promoted by the Principal?

How does the Principal communicate standards and expectations?

 

3. In what ways does the Principal influences school culture?

How is relational trust developed?

What leadership approaches are adopted by the Principal?

How does the principal build team?

How is success shared and celebrated?

 

4. How does the principal inspire and build teachers’ professional confidence?

Modeling or sharing of success?

Messaging- briefings / PD / Bulletins

Verbal feedback?

 

Mastery Experiences

 

Vicarious Experiences

 

Social Persuasion

 

 

 

Building instructional

knowledge and skills

 

Bandura’s Four Sources of Efficacy Beliefs

 

 

 

 

 

Brinson and Steiner’s

Building Collective Efficacy

 

Understanding & Developing People

 

Redesigning the Organisation

 

Building Relational Trust

 

 

Research Question 3

What behaviours enacted by the Principal have influenced the school’s collective teacher efficacy?

 

5. How does the principal’s influence the ways in which teachers are provided feedback on teaching and learning?

Principal’s role?

Peer feedback?

Lesson Observations / Performance reviews & targets

6. What professional learning opportunities has the principal provided to support teacher professional development and growth?

Staff PD sessions?

NAU?

Mentoring?

Readings and podcasts/videos?

 

 

Mastery Experiences

 

Vicarious Learning

 

Social Persuasion

 

 

Creating opportunities for teachers to

collaboratively share

skills and experience

 

Bandura’s Four Sources of Efficacy Beliefs

 

 

 

 

 

Brinson and Steiner’s

Building Collective Efficacy

 

Understanding & Developing People

 

Redesigning the organisation

 

Promoting and Participating in Teacher Development

 

Research Question 4

What practices employed by the Principal have influenced school’s collective teacher efficacy?

 

7. What structures has the principal put in place to enable teachers to collaboratively share skills and promote team learning?

What? How?

(probe PLC’s)

 

 

8. How does the principal involve teachers in school improvement and decision making?

Opportunities for teacher leadership?

School improvement groups?

School priorities?

 

 

Affective States

 

 

 

Involving teachers in

school decision making

 

Bandura’s Four Sources of Efficacy Beliefs

 

Brinson and Steiner’s

Building Collective Efficacy

 

Collaborative Decision Making

 

Redesigning the Organisation

 

Understanding and Developing people

Research Question 3

What behaviours enacted by the Principal have influenced the school’s collective teacher efficacy?

 

Research Question 4

What practices employed by the Principal have influenced school’s collective teacher efficacy?

9. What could the principal do differently / more to build collective teacher efficacy and a positive school culture?

 

       

 

EFFECT OF THE EXPANSION OF THE PANAMA CANAL IN THE NAVIGATION AND LOCAL ECONOMY.

 

LINKS: EFEECT OF THE EXPANSION OF THE PANAMA CANAL IN THE NAVEGATION AND LOCAL ECONOMY

https://www.tandfonline.com/toc/tmpm20/current

Why does time pressure have this dampening effect on creativity?

People often come up with their best ideas
when time is tight-at least thafs what
many executives assume. The trouble /s,
as new research reveals, it’s not true.
Creativity
Under the G
TRULY BREAKTHROUGH IDEAS tarely hatch overnight.
Consider, for example, Charles Darwin’s
theory of evolution, which had a protracted evolution
of its own. Darwin spent decades reading scientific
literature, making voyages on the HMS Beagle to the
Galapagos and other exotic destinations, carrying out
painstakingly detailed observations, and producing thousands
of pages of notes on those observations and his ideas
for explaining them. It’s inconceivable that his breakthrough
would have occurred if he’d tried to rush it. In
business, too, there are striking examples ofthe value of
having relatively unstructured, unpressured time to create
and develop new ideas. Scientists working at AT&T’s
legendary Bell Labs, operating under its corporate philosophy
that big ideas take time, produced world-changing
innovations including the transistor and the laser beam.
Their ingenuity earned the researchers several Nobel
prizes. They, like Darwin, had the time to think creatively.
But we can all point to examples where creativity
seemed to be sparked by extreme time pressure. In 1970,
during Apollo 13’s flight to the moon, a crippling explosion
occurred on board, damaging the air filtration system
and leading to a dangerous buildup of carbon dioxide in
the cabin. If the system could not be fixed or replaced, the
astronauts would be dead within a few hours. Back at
NASA mission control in Houston, virtually all engineers,
scientists, and technicians immediately focused their attention
on the problem. Working with a set of materials
identical to those on board the spacecraft, they desperately
tried to build a filtration system that the astronauts
might be able to replicate. Every conceivable material was
considered, including the cover of afiight procedure manual.
With little time to spare, they came up with something
that was ugly, inelegant, and far from perfect but
that seemed like it just might do tbe job. The engineers
quickly conveyed the design with enough clarity that the
cognitively impaired astronauts were, almost unbelievably,
able to build the filter. It worked, and three lives
were saved.
The business examples of creativity under pressure are
decidedly less dramatic than that, but they abound as
well. The lauded design firm Tdeo has put its innovative
spin on personal computers, medical equipment, automotive
electronics, toys, and even animatronic movie robots
– and many of the new designs for those products
were drawn up in three months or less. If you’re like most
managers, you have almost certainly worked with people
who swear that they do their most creative work under
tight deadlines. You may use pressure as a management
technique, believing that it will spur people on to great
leaps of insight. You may even manage yourself this way.
If so, are you right?
Based on our research, the short answer is “no.” When
creativity Is under the gun, it usually ends up getting
killed. Although time pressure may drive people to work
more and get more done, and may even make them/ee/
by Teresa M.Amabile, Constance N. Hadley, and Steven J. Kramer
52 HARVARD BUSINESS REVIEW

Creativity Under the Gun
more creative, it actually causes them, in general, to think
less creatively. Of course, the short answer is not the
whole story. Let’s take a look at what time pressure is, how
it feels when people experience It at work, and the different
ways it can be managed to enhance creativity.
Fighting the Clock
Maria was a software developer on a team charged with
creating an on-line system through which health care
providers could access vital information about certain
high-risk patients. It was critical that the new system be
error-proof because the targeted patients were elderly
or severely disabled individuals; in life-threatening situations,
accurate information about them had to be
communicated instantly. Unfortunately, the original contract
for the project had vastly underestimated the time
required to develop it. As a result, Maria and her team
found themselves under extreme time pressure as the
deadline approached. (Maria’s identity, like all individual,
project, and corporate identities in this article, has been
disguised.)
The team was working almost around the clock, even
though it was becoming clearer with each passing day
that the complex technical problems it encountered simply
could not be solved adequately within the original
time frame. Yet senior management, as well as the project
leader, pressed the team to meet the deadline, no matter
what. Maria recorded her experiences during this time in
a daily diary:
“At 7:30 this moming, my team leader asked me what
my game plan was for the day and if I could be available
for a rollout meeting. I wrote out on a flip chart what I
thought needed to be done today, looked at the list, and
told him it was two or three days of work. Now, as I am
burned out and preparing to leave for the day, I look at
the flip chart and realize that, at best, 20% ofthe work has
been accomphshed. This one-day list is really a four- or
five-day list The thing that most sticks in my mind from
the entire day is that blasted flip chart with so little
crossed off.”
A few days later, Maria seemed even closer to the end
of her rope:
“I told my supervisor that the hours 1 am working are
completely unacceptable and that I planned to leave the
company if this continued to be the norm on projects
Teresa M. Amabile is the Edsei Bryant Ford Professor of
Business Administration at Harvard Business School in
Boston. Constance N. Hadley is a doctoral student in organizational
behavior at Harvard Business School. Steven J.
Kramer is an independent researcher and writer based in
Wayland, Massachusetts.
here. The look on his face was a bit aghast. Was he really
shocked? Could this possibly be a surprise? All afternoon
I felt physically drained, as if I were running on low hlood
sugar. I slept very poorly last night, several hours awake
in the middle of the night. I feel physically exhausted
again right now-lack of mental clarity, lack of motivation
about the project.”
Maria wasn’t alone in her sense of the extreme time
pressure the group was working under. Richard, another
member of the team, kept his own diary during this period
and had this to say:
“The team leader announced that the project’s core
hours-when everyone is expected to be in the office and
working – have been extended: ‘They are now 8 AM to
7 PM, and don’t make social plans for the next three
weekends, as we will likely be working.’ This project is
now officially a death march in my mind. I can’t fathom
how much work we have left, how severely we underestimated
this project, and how complex this dog has
become. At every turn, we uncover more things that are
unsettled, incomplete, or way more complex than we ever
thought.”
We collected more than 9,000 such diary entries in a
recent study of 177 employees in seven U.S. companies.
Our objective was to look deeply at how people experienced
time pressure day to day as they worked on projects
that required high levels of inventiveness, while also measuring
their ability to think creatively under such pressure.
Specifically, we asked each ofthe partic ipants-most
of whom were highly educated knowledge workers – to
complete a diary form on-line in which they rated several
aspects of their work and their work environment that
day, including how much time pressure they felt. In a separate
section ofthe form, we also asked them to describe
something that stood out in their minds about that day,
and we carefully analyzed those short entries for evidence
of creative thinking. (See the sidebar “Trapping Creativity
in the Wild” for a detailed description of our research
method, including our study’s specific definition of “creative
thinking.”)
What we saw in those diary entries was both fascinating
and sobering. Many ofthe people in our study reported experiences
similar to Maria’s: They often felt overworked,
fragmented, and burned out. At the most basic level, then,
we found support for recent observations in the popular
press that Americans are feeling a time crunch at work,
creating what one Newsweek reporter called a nation of
“the quick, or the dead-tired.” The problem has been with
us for some time. As early as 1995, US. News & World Report
described a nationwide poll showing that more than
half of Americans wanted more free time, even if it meant
earning less money. And in 1996, according to a Wall Street
Journat~NBC News survey, 75% of those people earning
54 HARVARD BUSINESS REVIEW
Creativity Under the Gun
Trapping rreativity in the Wild
Many ofthe findings we report in
this article are drawn from a study of
time pressure and creativi^ that we
recently conducted with Jennifer
Mueller of Yale School of Management
and William Simpson and Lee
Fleming, both of Harvard Business
School. That study included data from
177 employees who were members
of 22 project teams from seven U.S.
companies within three industries
(chemical, high tech, and consumer
products). More than 85% ofthe participants
had college degrees, and
many had graduate education. In
order to be included in the study, a
team had to be identified by senior
management as working on a project
where creativity was both possible
and desirable. In other words, these
projects, and our participants, were
considered the “creative lifeblood”
oftheir organizations. We believed
that we could better understand
what these people were experiencing
each day, and what was really
infiuencing their creativity, if we
tracked what was happening in
realtime.
To accomplish this, we e-mailed
each member of each team a brief
daily questionnaire throughout the
entire course oftheir projects. We
asked them to fill it out and return
it to us at the end of each workday.
Somewhat amazingly, 75% ofthe
questionnaires that we sent out
were returned completed even
though some ofthe projects we followed
lasted more than six months.
This yielded the very high number
of returns (9,134) that we analyzed in
this study. The questionnaires contained
several numerical-scale items
about the work and the work environment,
including one that asked participants
to rate the day’s time pressure
on a seven-point scale. A similar item
asked them to rate the creativity of
their work that day
The most interesting part ofthe
questionnaire was the narrative
diary entry, in which we asked participants
to briefiy describe one event
that stood out in their minds from
the day-anything at all that related
to the project, the team, or their work.
(We did not ask them to focus on creativity.)
Because we asked for just one
standout event each day, the diaries do
not present a comprehensive account
of everything that happened that day
We assume, though, that they are a
representative sample ofthe important
things that were happening. And
although we saw some clear patterns
in the results.further research will be
necessary to determine definitively
what is causi ng what.
The diary entries provided rich information
about what people were
doing and experiencing each day. We
derived a “creative thinking” measure
by coding each diary narrative. A
narrative was considered to have evidence
of creative thinking if It described
an event in which the person
was engaged in any form of creative
thinking as the term is used in everyday
language; this included mentions
ofdiscovery,brainstorming, generating
ideas, thinking fiexibly, or “being
creative.” We also included many of
the cognitive processes that theorists
believe are important in facilitating
creative thinking: learning, insight,
realization, awareness, clarification,
remembering, and focused concentration.
All of these processes are
included in what we call “creative
thinking,””thinking creatively,” or
“creativity” in this article. (For more
details on the methods and findings
of our research, see the working
paper by Teresa M.Amabiie, Jennifer
M. Mueller, William B.Simpson,Constance
N. Hadley, Steven J. Kramer,
and Lee Fleming,”Time Pressure and
Creativity in Organizations: A Longitudinal
Field Study,” HBS,2002.)
In preparing this article, we went
beyond the statistical analyses ofthe
time-pressure study to develop a
richer view ofthe conditions under
which time pressure may or may not
have negative efFects. For that purpose,
we looked at four extreme conditions:
days of very high time pressure
when creative thinking did happen;
days of very high time pressure when
creative thinking didn’t happen; days
of very low time pressure when creative
thinking did happen; and days
of very low time pressure when creative
thinking didn’t happen. We took
a sample of 100 diary entries from
each of these four work conditions
and read them carefully to discern patterns
that distinguished them from
one another-for instance, that creativity
seemed more likely when people
were able to focus on a single activily
for most ofthe day.
In addition to that qualitative analysis,
we used the numerical ratings that
the participants reported in the questionnaires
to examine the number of
hours they worked; the degree of challenge,
involvement, and time pressure
they felt; the number of people they
vworked with; and the degree of distraction
they felt. The results of our
analyses are summarized in the exhibit
“The Ti me-Pressu re/Creativity
Matrix.”
THE INNOVATIVE ENTERPRISE AUGUST 2002 55
Creativity Under the Gun
more than $uxi,cxx> a year cited managing their time as
a bigger problem than managing their money.
Time pressure has become a fact of life for the American
worker. On the average day, our study participants reported
feeling”moderate”time pressure-and that was the
average. A great many of the participants’ workdays were
characterized by “extremely” high levels of time pressure.
“Today I realized that our time to get ready for the upcoming
presentations was almost nonexistent,” wrote one
participant in a fairly typical entry. Another, in a different
company, lamented that, “Overnight, 1 had to come up
with a fully detailed plan for the remainder ofthe development
phase, to let us know how far behind we were.”
Perhaps not surprisingly, although our participants
said time pressure was rather high most ofthe time, we
noticed a trend whereby time pressure seemed to build as
work projects went from early to later stages; as with
Maria’s project, people felt more and more pressed for
The Time-Pressure/Creativity Matrix
Our study suggests that time
pressure affects creativity in
different ways depending
on whether the environment
allows people to focus on
their work, conveys a sense
of meaningful urgency about
the tasks at hand, or stimulates
or undermines creative
thinking in other ways.
Time Pressure
high
low
Creative thinking under low time
pressure is more likely v^hen people
feel as if they are on an expedition.
They:
• show creative thinking that Is more
oriented toward generating or exploring
ideas than identifying problems.
• tend to collaborate with one person
rather than with a group.
high
Creative thinking under extreme time
pressure is more likely when people
feel as if they are on a mission. They:
• can focus on one activity for a significant
part ofthe day because they are
undisturbed or protected.
• believethatthey are doing important
work and report feeling positively
challenged by and involved in the
work,
• show creative thinking that is equally
oriented toward identifying problems
and generating or exploring ideas.
Likelihood
of Creative
Thinking
low
Creative thinking under low time
pressure is unlikely when people feel
as if they are on autopilot They:
• receive little encouragement from
senior management to be creative.
• tend to have more meetings and
discussions with groups rather than
with individuals.
• engage in less collaborative work
overall.
Creative thinking under extreme time
pressure is unlikely when people feel
as if they are on a treadmill. They:
• feel distracted.
• experience a highly fragmented workday,
with many different activities.
• don’t get the sense that the work they
are doing is important.
• feel more pressed for time than when
they are”on a mission”even though
they work the same number of hours.
• tend to have more meetings and discussions
with groups rather than with
individuals.
• experience lots of last-minute
changes in their plans and schedules.
56 HARVARD BUSINESS REVIEW
Creativity Under the Gun
time as deadlines approached. Interestingly, we also observed
a slight trend in time-pressure changes during the
week: The time pressure started out relatively low on
Mondays, increased through the week to a peak on Thursdays,
and decreased on Fridays. This may be because managers’
expectations for productivity are somewhat lower
on Mondays and Fridays. Or perhaps it’s simply that, on
the days bracketing the weekend, people are already (or
still) in a weekend mind-set and less subject to feeling the
time pressure that exists. We also found that people were
more likely to report high levels oftime pressure on days
when they were traveling for work or working off-site. It’s
possible that people try to pack more work into such days
to minimize the total time spent away from the office.
And, of course, the many hassles of travel itself undoubtedly
contribute to feelings of being pressed.
Energy and Frustration
As described in the diaries, the days when our study participants
felt extreme time pressure were noticeably different
from the days when they felt less time pressure.
People tended to work more hours and were involved in
a greater number of activities, having to switch gears
more often, on time-pressured days. That provides us with
our first clue about how time pressure might affect creativity-
a clue to which we will return later.
People experienced different feelings as time pressure
increased, but we can’t simply say that they felt better or
worse, lt was a mixed bag. At first, people felt more involved
in and challenged by their work:”l am under a lot of pressure
to start up the manufacturing machine for our new
product this week….I was actually happy to run to the
hardware stores for hose fittings and bolts. For the first
time, 1 feel like we are truly making real progress.” And, in
surprising contrast to Maria’s reaction of feeling drained,
people generally felt more energized under high pressure.
As one diarist reported,”We are three-quarters ofthe way
there! I really enjoy seeing the team pull together.”
But some people also experienced deep frustration as
time pressure increased; “I frequently feel I am swimming
upstream on this project and always buried with work.” In
particular, they seemed frustrated by constant distractions
from other team members on time-pressured days.
One of our study participants told a particularly vivid
story about his frustration with a colleague:
“We had a meeting about what is going wrong with the
filtration program and how to come to an acceptable level
of understanding and information gathering. As usual,
Paul, Emilio, Sarah, and 1 were going at breakneck speed
trying to make sure we’re all pulling together. But Raj
could only repeatedly say, ‘But what part of my job don’t
you want me to do, if you expect me to do that?’ He was
argumentative and negative, and al! I could think was,
‘Stop it!’ I was able to control myself and didn’t scream at
him, but I was close.”
When we look at the whole picture of how people were
experiencing time pressure, it seems they were working
hard, spending long hours on the job, and sometimes feeling
jazzed about what they were doing. But at the same
time,there was a lot offrustration-another clue that will
help us understand time pressure’s effects on creativity.
The Pressure Trap
Our study indicates that the more time pressure people
feel on a given day, the less likely they will be to think
creatively. Surprisingly, though, people seem to be largely
unaware of this phenomenon. In their assessments of
their own creativity each day, the participants in our
study generally perceived themselves as having been
more creative when time pressure was high. Sadly, their
diaries gave the lie to those self-assessments. There was
clearly less and less creative thinking in evidence as time
pressure increased.
Moreover, tbe drop in creative thinking was most apparent
when time pressure was at its worst In the daily
diary form, participants were asked to rate the time pressure
they felt on a scale of one to seven, with seven being
the highest level of pressure. On the days rated a seven,
people were 45% less likely to think creatively than they
were on any ofthe lower-pressure days.
Managers might think that the occasional uncreative
day is simply the price paid for keeping work on a highly
productive schedule. If your creative juices freeze up on
a particularly busy Thursday, they might argue, you’ll be
able to get back to creativity on Friday when the demands
have died down a bit. But maybe not. To our surprise,
more time pressure on a certain day meant less creative
thinking that day, the next day, and the day after that. In
other words, whether because of exhaustion or enduring
postpressure cognitive paralysis, our study participants
seemed to experience a “pressure hangover” that lasted
a couple of days at least.
That lingering time-pressure effect showed up whether
we examined time pressure day to day or over longer
periods. The higher the overall sense oftime pressure that
participants felt during the first week oftheir projects, the
lower the level of creative thinking we saw from them
during the first half of their projects (a period that varied
from three weeks to four months). And the higher the
overall sense oftime pressure at the midpoint, the lower
the level of creative thinking in the second half
Why does time pressure have this dampening effect on
creativity? Psychological research over the past 30 years,
along with theories about how creativity happens, can
THE INNOVATIVE ENTERPRISE AUGUST 2002 57
Creativity Under the Gun
A Peek into
the Diaries
These diary excerpts
were written by study
participants who experienced
the four work
conditions described in
this article. See if you or
your employees might
say something similar
about experiences in
your own organization.
On a Mission
(High Time Pressure,
High Likelihood
of Creative Thinking)
“At the end ofthe day today, after getting
the documents ready, it hit me as to how
creative Katherine and I had been together
when we had worked in a room,
away from the telephones, noise, interruptions,
and other distractions. I felt very
satisfied with the work we produced.”
“Just as I was knee-deep in Is and Os,
staring at an execution trace ofthe
firmware (which was acting strangely),
I got three phone calls in a row. I was
about ready to throw the damn phone
across the room. Fortunately, it stopped
ringing after that, and I was able to
refocus and find the problem. Hooray.”
“We found out today that the drop test on
one of our products was not done properly,
and we needed a way to pad our
product in a rush. I remembered that we
had $10 million worth of an obsolete cell
cushion that we were getti ng ready to
write off, and I suggested we use that.
It worked great!”
“I brought in some of my personal camera
equipment today and used it to create a
high-magnification video analysis system..
, I felt this was very creative work on
my part-passing on my knowledge of optics
and photography to an engineer who
will continue with this work.”
On an Expedition
(Low Time Pressure,
High Likelihood
of Creative Thinking)
“In my meeting with Seth to discuss
the imaging model, several ideas he
mentioned meshed with ideas I had,
and I came away with a better and
more detailed model.”
“Wendy brought in her samples ofthe
ILP films and presented them to me in
a way that really made sense and triggered
a lot of good ideas on my end.”
“John spent time discussing promotional
opportunities with me, and I felt like I
was really learning something.”
“I tried out my patterned adhesive wine
labels in the lab. Bought wine at the
grocery store and committed sacrilege
by pouring it into the sink. My patterned
adhesive didn’t really work well,
but I made some interesting observations
that helped me understand the
problem a little better.”
“While brainstorming ideas for solving
the axle retention problem, I discovered
a way to reduce the cost of our current
wheeled container. In addition, this may
give us a better product that is easier
to produce. I made a few calls to begin
investigating the feasibility.”
help to explain. Psychologists have long believed that creativity
results from the formation of a large number of associations
in the mind, followed by the selection of associations
that may be particularly interesting and useful. In
a sense, it’s as if the mind is throwing a bunch of balls into
the cognitive space, juggling them around until they collide
in interesting ways. The process has a certain playful
quality to it; in fact, Einstein once referred to creativity as
“combinatorial play.” If associations are made between
concepts that are rarely combined – that is, if balls that
don’t normally come near one another collide-the ultimate
novelty ofthe solution will be greater.
Considerable research, drawn from experiments and
from observations of creative activities, supports this view
of the creative process. And some recent research suggests
that the success of the combinatorial process depends
both on having sufficient time to create the balls to
juggle-exploring concepts and learning things that might
somehow be useful -and having sufficient time to devote
to the actual juggling. For example, one study we and our
colleagues conducted found that people who allocate
more time to exploratory behaviors while doing a task
produce work that is rated by experts as more creative.
Another study found that simply having a few minutes to
think through a task – studying the materials, playing
around with them-can lead to more creativity than having
to dive into the task cold. So we have still more clues about
how being under the gun might affect the creative process.
58 HARVARD BUSINESS REVIEW
Creativity Under the Gun
On a Treadmill
(High Time Pressure,
Low Likelihood
of Creative Thinking)
“\ spentthedaytryingtogeta business
plan finished-or at least startedfor
this strategic alliance. I was very
frustrated by constant interruptions,
which make it necessary to get this
type of work done before or after
hours.”
“Today was a very long day spent in
several meetings. We spend so much
time covering old issues instead of
driving the business forward.”
“I was informed that I have to come
up with a new launch rationale by
Monday so it can be reviewed by the
operating team. The relaunching
of the old printers is devoid of any
logical strategy. Now I have to make
up one that sounds good.”
“One problem after another occurred
today I had intended to complete
several different items for the product
transfer,but I spent the day fighting
fires instead”
On Autopilot
(Low Time Pressure,
Low Likelihood
of Creative Thinking)
“Very low energy today. Must be
the weather, but I feel whipped.
Focused on organizing and planning.
Put out an agenda for the
optimization meeting tomorrow.”
“Overall feeling of depression
today.”
“Mostly just doing paperv^/ork.
I cleaned up a lotof outstanding
items.”
“The team had an all-day meeting
with the general manager. He just
raised three questions, rather
than giving us a clear leadership
response to what we’ve done.”
“Today I gave a two-hour presentation
on product strategy and
plans for the new product launch
to our European marketing managers.
I was disappointed by their
[apathetic] response. The same
old issues came up and a moderately
negative attitude prevailed.”
Protecting Creativity
Even though time pressure seems to undermine creative
thinking in general, there are striking exceptions. We
know, from our own study and from anecdotal evidence,
that people can and do come up with ingenious solutions
under desperately short time frames. What makes the difference?
It’s time to put the clues together.
When we compared the diary entries from the timepressured
days when creative thinking happened to the
entries from tbe time-pressured days when no creative
thinking happened, we found that the creative days featured
a particular-and rather rare-set of working conditions.
Above all else, these days were marked by a sense
of focus. People were able to concentrate
on a single work activity for
a significant portion of the day. As
one diarist jubilantly declared: “The
event of the day was that I had no
standout events. I was able to concentrate
on the project at hand without
interruptions.” This focus was
often hard-won, as the individuals or
their managers went to great lengths
to protect their work from interruptions
and other disturbances: “There
were so many interruptions for chitchat
that I couldn’t get any decent
work accomplished. I eventually had
to go work very quietly in another
room to get some of it done.”
Indeed, tbis sense of focus implies
some degree of isolation. On the
time-pressured days that still yielded
creative thinking, we noted that collaboration
was limited. When it happened,
it was somewhat more likely
to be done in a concentrated way-for
instance, working with another individual
rather than in a group: “I had
a chance to talk at the end ofthe day
with Susan. She helped confirm that
the path 1 was taking was right and
helped me figure out some ofthe differences
in the codes. Her help will
keep me going.”
Another key condition for achieving
creativity on the high-pressure
days was interpreting the time pressure
as meaningful urgency. People
understood why solving a problem or
^ ^ ^ ^ ^ ^ ^ ^ completing a job was crucial, and
they bought into that urgency, feeling
as though they were on a mission. (See the exhibit
“The Time-Pressure/Creativity Matrix” for a summary of
the work conditions our study participants experienced.)
They were involved in their work and felt positively challenged
by it. The sense of urgency and the ability to focus
are probably related, for two reasons. If people believe
that their work is vitally important, they may be more
willing and able to ignore a variety of distractions in
their workdays. Meanwhile, managers who share this
sense of urgency may free people from less-essential
tasks. This was clearly the case in the Apollo 13 mission:
All nonessential work was abandoned until the air filtration
problem was solved and the astronauts were returned
home safely.
THE INNOVATIVE ENTERPRISE AUGUST 2002 59
Creativity Under the Gun
But when this protected focus was missing on timepressured
days-and it very often was-people felt more
like they were on a treadmill. On these days, our diarists
reported a more extreme level of time pressure even
though they were not working more hours, and they felt
much more distracted. When recording the number of
different activities they performed, they were likely to use
words like “several,” “many,” and “too numerous to count.”
They were pulled in tcx) many directions, unable to focus
on a single activity for any significant period of time. One
diarist, paraphrasing the oft-repeated lament, said: “The
faster I run, the behinder I get.”
Our first clue, that people might have to switch gears
more often under time pressure, underlies this treadmill
condition; many things are clamoring for people’s attention
simultaneously. Remember, too, our clue that feelings
of time pressure are associated with frustration, especially
frustration with other members of a team. We
suspect that interruptions contribute to that frustration.
Other evidence adds to the picture of a distracted, disturbed,
confiising environment on treadmill days. People
had many more meetings and discussions with groups
rather than with individuals. Moreover, they often had to
cope with last-minute changes to schedules and plans. In
many ways, they seemed to be operating under greater
uncertainty: “At the meeting, we discovered that the work
we have done to date may have to be completely redone
because of a decision made by upper management to
change the way the new system will process customer orders.”
On these low-focus, time-pressured days, people
weren’t very likely to see what they were doing as important
or to feel a meaningful sense of urgency to complete
a project or task.
Did an absence of time pressure guarantee that people
would be more creative? Certainly not. Under any level of
Don’t befooled into thinking that time pressure
will, in itself, spur creativity. That’s a powerful
illusion but an illusion nonetheless.
time pressure, low or high, reports of creative thinking
were relatively rare; they showed up in only about 5% of
the 9,otxvplus daily diary reports. Under low time pressure,
the differences in whether creativity happened or
not seem to lie in the way people were spending their
days. Most noticeably, when people exhibited creativity
in the absence of time pressure, they were more oriented
toward exploring and generating new ideas than identifying
problems to be solved. (Remember our clue from
the psychological literature on combinatorial play.) People
behaved as if they were on an expedition. In addition,
if people in this condition worked with someone else,
they tended to spend the day (or part of it) collaborating
with only one other person; collaboration with many people
was rare. Having a single focal point to bounce new
ideas off of might help people stay oriented toward the
work on these more relaxed days, in contrast to having
many “playmates” at once.
Finally, of course, there were days when people didn’t
feel under much time pressure and didn’t show any evidence
of creative thinking. They seemed tt) be doing their
jobs, putting one foot in front of the other, without engaging
too deeply in what was happening. They behaved
as though they were on autopilot. On these days, there was
a generally low level of collaborative work, although
there were more meetings and discussions that involved
groups rather than individuals. And people felt the least
encouragement from high-level management to do creative
work. Perhaps if creativity had been encouraged
more, these individuals would have made better use of
their relatively low-pressure days.
Lessons for Managementand
Self-Management
Our research focused on knowledge workers – people
who, according to researcher Leslie Perlow, are most
likely to suffer from a “time famine” in contemporary
American organizations. These are the people from
whom we need and expect the highest levels of creativity;
they are developing the products, services, and organizations
of tomorrow. They are also the people who are most
handicapped in their quest to be creative.
— There’s no doubt that creative thinking is possible
under high-even extreme-time pressure. But
this seems to be likely only in a situation that, research
suggests, is not the norm in modem organizations:
being able to become deeply immersed, and
stay deeply immersed, in an important, urgent problem.
Given the demands in most organizations for
communication and process checks, as well as the
•” prevalence of highly interdependent work roles,
protected creativity time does not occur naturally.
What, then, can managers do to minimize the negative
effects of time pressure and use it appropriately in the service
of creativity? What can each of us do to maintain our
own creativity in today’s pressured organizations?
Our first suggestion is the obvious one: Avoid extreme
time pressure whenever possible, particularly if you are
looking for high levels of learning, exploration, idea gen-
60 HARVARD BUSINESS REVIEW
Creativity Under the Cun
eration, and experimentation with new concepts. Don’t
be fooled into thinking that time pressure will, in itself,
spur creativity. That’s a powerful illusion but an illusion
nonetheless. Complex cognitive processing takes time,
and, without some reasonable time for that processing,
creativity is almost impossible.
Of course, it would be foolish to think that the ideal for
creativity is a complete absence of time pressure on a
particular work project. Given the demands that modern
life puts on people, it’s too likely that other things
would steal attention from the project-the urgent
would drive out the important-and nothing ^
would be accomplished. Moreover, it would be
easy for people to slip into autopilot mode if there
were no sense of urgency. Our research suggests
that low time pressure doesn’t necessarily foster
creative thinking-but that it can do so when people
are encouraged to leam, to play with ideas,
and to develop something truly new. Consider the
creativity-shielding practices at 3M. For many
years, that innovation powerhouse has had a tradition
of protecting 15% of the workweek for ere- ^~
ative endeavors. All its R&D scientists devote that
time to exploring whatever new ideas or pet projects most
intrigue them personally, even if those ideas and projects
are far afield from their assigned work.
For most companies, the best way to avoid undue time
pressure is to articulate goals at all levels of the organization
that are realistic and carefully planned, avoiding
the optimism bias that plagues a lot of corporate planning.
Announcing that a certain number of new products
will be developed in the coming year, without a sense of
the feasibility of that goal, will probably cause extreme
time pressure to ripple through the organization – right
down to the people who are actually supposed to be coming
up with the ideas for those products. Signing a contract
that promises to deliver items to a client by a certain
date, without careful scoping of what the project will
likely involve, can lead to the treadmill mentality that we
saw on Marie’s team. People may continue to advance
the work, but they won’t have the creative insights that
will send the project leapfrogging ahead to truly exciting
solutions.
In situations where time pressure can’t be avoided,
managers should focus on protecting time-pressured people
who are supposed to be doing creative work from interruptions,
distractions, and unrelated demands for a significant
portion of each workweek. This concentration on
“real work” can reduce the time fragmentation that we
saw in so many of our participants’ daily diaries.
Perlow’s research in a high-tech firm, as reported in
her book Finding Time: How Corporations, Individuuls, and
Families Can Benefit from New Work Practices (Cornell
University Press, 1997), showed that engineers who agreed
to give one another such uninterrupted quiet time during
specified periods each day were able to get more done on
their projects and felt better about their workdays. Her research
also suggested, unfortunately, that it is difficult to
sustain such a major change in workday norms without
deep cultural change in the organization.
Creativity can also be supported under time-pressured
conditions if managers can help people understand why
tight time frames are necessary. It’s much easier to feei
Signing a contract that promises to deliver items
to a client by a certain date, without careful
scoping of what the project will likely involve,
can lead to the treadmill mentality.
that you are on a mission ifyou accept that there is an important,
urgent need for the work you are doing, rather
than feeling that an arbitrary deadline has been handed
down simply to make you run ever faster on your treadmill.
Our research suggests that managers should alst> encourage
one-on-one collaborations and discussions, avoiding
an excess ofthe obligatory group meetings that may
contribute to feelings of fragmentation and wasted time.
Finally, people may be better able to concentrate on their
work if managers minimize abrupt changes in scheduled
activities and plans.
* • *
In short, the key to protecting creative activity-including
your own – is to offset the effects of extreme time pressure.
The obvious way to do that is to reduce the time
pressure. But in cases where it is unavoidable, its negative
effects can be softened somewhat by getting your people
and yourself in the mind-set of being on a mission – sharing
a sense that the work is vital and the urgency legitimate.
It also means ruthlessly guarding protected blocks
ofthe workweek, shielding staff from the distractions and
interruptions that are the normal condition of organizational
life. The best situation for creativity is not to be
under the gun. But ifyou can’t manage that, at least leam
to dodge the bullets. ^
Reprint R0208C
To order reprints, see the last page of Executive Summaries.
To further explore the topic of this article, go to
httpy/explore. hbr.org.
THE INNOVATIVE ENTERPRISE AUGUST 2002 61
Harvard Business Review Notice of Use Restrictions, May 2009
Harvard Business Review and Harvard Business Publishing Newsletter content on EBSCOhost is licensed for
the private individual use of authorized EBSCOhost users. It is not intended for use as assigned course material
in academic institutions nor as corporate learning or training materials in businesses. Academic licensees may
not use this content in electronic reserves, electronic course packs, persistent linking from syllabi or by any
other means of incorporating the content into course resources. Business licensees may not host this content on
learning management systems or use persistent linking or other means to incorporate the content into learning
management systems. Harvard Business Publishing will be pleased to grant permission to make this content
available through such means. For rates and permission, contact permissions@harvardbusiness.org.

What are the conclusions drawn from the articles in relation to your topic?

Please refer to the articles in attachment for this assignment :
In this DB, you will synthesize the four research articles about your topic discussed in Modules 1 & 2. A synthesis includes an analysis of the aggregate of articles, not the individual articles. e.g. clustering and interrelating ideas from the studies to form an overall representation of the conceptual definitions, descriptions, interventions, instruments, and strengths and weaknesses of the body of knowledge represented by the articles. See the examples in Chapter 7 (in particular, Synthesizing Sources and Discussion of Empirical Literature) and Chapter 18 related to Quantitative Research in Gray, Grove, & Sutherland (2017). This is a discussion, not a paper! Be succinct and refer to the questions below.

Use the following questions to synthesize your four articles:

1. What are the conclusions drawn from the articles in relation to your topic?

2. Identify similarities and differences of the studies. These may include a discussion of the samples, research designs, and findings, for example.

3. Are there conflicting findings among the articles?

What are you aware of as you say this? What is happening in your body? What is it like inside right now?

The Therapeutic Relationship in Emotion-Focused Therapy
Leslie Greenberg
York University
Important qualities of the relationship that make it therapeutic are discussed. The relationship is seen
as both therapeutic in and of itself and as providing a facilitative environment from specific change
processes. The role of the relationship in emotion-focused therapy is discussed within this framework.
The relationship in emotion-focused therapy is seen as curative by serving an affect-regulation
function, which is internalized over time by the client. This function is accomplished by offering a
soothing affect-attuned bond characterized by the therapist’s presence and empathic attunement to
affect as well as acceptance and congruence. Second, the relationship is seen as functioning as a
means to an end by offering an optimal environment for facilitating specific modes of emotional
processing. In our view, affect is much more likely to be approached, tolerated, and accepted in the
context of a safe relationship.
Keywords: presence, affect regulation, empathic attunement, acceptance, emotion processing
Emotion-focused therapy (EFT; Greenberg, 2002, 2010; Greenberg
& Watson, 2006) views the relationship, characterized by the
therapist’s presence and the provision of empathy, acceptance, and
congruence, as an affect-regulating bond.1 Over time, this interpersonal
regulation of affect is internalized by the client as selfsoothing
and enhances the capacity to regulate his or her inner
states. In this view, the therapist’s overall attitude, not only his or
her techniques, is seen as influencing the client’s well-being.
Elements such as pacing and facial, tonal, and postural communication
of affect all create a therapeutic emotional climate. An
important goal of EFT is client enhanced self-soothing and emotional
transformation, and EFT sees the relationship as both a
direct predictor of this change and a context in which techniques
can be successfully used to reach this end.
In our view, the relationship thus serves a dual purpose in
psychotherapy (Greenberg & Watson, 2006). First, the relationship
is therapeutic in and of itself by serving an affect-regulation
function, which is internalized over time by the client. This function
is accomplished by offering a soothing affect-attuned bond
characterized by the therapist’s presence and empathic attunement
to affect as well as acceptance and congruence. Second, the relationship
functions as a means to an end. The relationship offers the
optimal environment for facilitating specific modes of emotional
processing. Affect is much more likely to be approached, tolerated,
and accepted in the context of a safe relationship.
In the most general terms, EFT is built on a genuinely positively
regarding, empathic relationship, and on the therapist being highly
present, respectful, and responsive to the client’s experience. Consistent
with this, an abundance of research points to the therapeutic
relationship as being central to client growth and change, given
that differential therapeutic outcomes may only be minimally
attributed to specific techniques (Norcross, 2011). Furthermore,
recent research has identified therapeutic presence as a core therapeutic
stance that contributes to the development of a positive
therapeutic relationship (Geller & Greenberg, 2012; Pos, Geller &
Oghene, 2011). Therapeutic presence is defined as the therapist’s
ability to be fully immersed in the moment, without judgment or
expectation, being with and for the client, which facilitates healing.
EFT therapists also assume that it is useful to use techniques to
guide the client’s emotional processing in different ways at different
times. The relationship thus is seen as curative in and of itself
and as a foundation for specific techniques to work and so is both
directly and indirectly related to outcome (Weerasekera, Linder,
Greenberg, & Watson, 2001)
Treatment Principles
EFT is based on two major treatment principles: The provision
of a therapeutic relationship and the facilitation of therapeutic
work (Greenberg, Rice, & Elliot, 1993). As their ordering implies,
the relationship principles come first and ultimately receive priority
over the task-facilitation principles. In the relationship with the
client, the overall therapeutic style combines what EFT therapists
call following with guiding. In following, the therapist enters
the client’s internal frame of reference, empathically following the
client’s experience and responding to it in an affectively attuned
manner. This is combined with a more guiding process-directive
style to deepen experience. The therapeutic relationship thus, as
well as being curative, also promotes the therapeutic work of
exploration, emotional transformation, and the creation of new
meaning. With safety, exploration deepens and the client is able to
say, “I just feel like I am sinking, sinking into a deep black hole,”
the therapist responds with “just feeling hopeless like I can try and
try but nothing works” (following) and the client responds, “Yes
1 Informed consent for purposes of research, training, and publishing
have been received for case material presented, and number of details of
the client and the situation have been changed to disguise the material for
reasons of confidentiality.
Correspondence concerning this article should be addressed to Leslie
Greenberg, Department of Psychology, York University, 510 St. Clements
Avenue, Toronto, Canada M5N1M4. E-mail: lgrnberg@yorku.ca
This document is copyrighted by the American Psychological Association or one of its allied publishers.
This article is intended solely for the personal use of the individual user and is not to be disseminated broadly.
Psychotherapy © 2014 American Psychological Association
2014, Vol. 51, No. 3, 350–357 0033-3204/14/$12.00 http://dx.doi.org/10.1037/a0037336
350
and I can see the light but just can’t quite reach up it.” Here, we see
facilitated by the therapist’s validation of this painful state, the
client enters a domain of emotional processing of painful feelings
that would never have been reached without the safety and empathy
in the relationship. He allows the client to reach the painful
emotion that needs to be processed to move on. Subsequently, in
response to the therapist’s reflection that the client needs the
support of a mother that she never received (guiding), the client
both grieves the loss and accesses a sense of having deserved more
and begins to reorganize.
Purely following, without a contribution from the therapist and
without the sense of direction emerging from a dialogue, can result
in therapy not progressing efficiently or just going in circles. At the
same time, leading by the therapist without following is ineffective
and may be counterproductive, undermining the client’s efforts to
develop as an empowered, self-organizing person. When disjunction
or disagreement occurs, the client is viewed as the expert on
his or her own experience, and the therapist always defers to the
client’s experience. Thus, therapist interventions are offered in a
nonimposing tentative manner, as conjectures, perspectives, “experiments,”
or offers, rather than as pronouncements, lectures, or
statements of truth.
Relationship Principles
The relationship is built on the following three subprinciples: (a)
Empathic attunement: being fully present, enter the client’s internal
frame of reference and track the client’s immediate and evolving
experiencing; (b) Therapeutic bond: genuinely communicate
empathy, caring, and warmth to the client; and (c) Task collaboration:
facilitate involvement in goals and tasks of therapy.
In EFT, the relationship is seen as being curative in and of itself
in that therapists’ empathy and acceptance promotes breaking of
isolation, validation, strengthening of the self, and self-acceptance.
The relation with the therapist also provides a powerful buffer to
the client’s distress by the coregulation of affect. A relationship
with an attuned, responsive, mirroring therapist is essential in
developing interpersonal soothing and emotion regulation. This
type of relationship helps clients regulate their overwhelming
disorganizing emotions by breaking the sense of isolation and the
unbearable aloneness of emotional pain. Over time, the interpersonal
regulation of affect becomes internalized into self-soothing
and the capacity to regulate inner states (Stern, 1985). When an
empathic connection is made with the therapist, affect-processing
centers in the brain are affected and new possibilities open up for
the client. This type of relationship creates an optimal therapeutic
environment that both contributes to clients’ self-acceptance and to
affect regulation and also helps the client feel safe to fully engage
in the process of self-exploration and new learning. Another important
aspect of a helping relationship is establishing collaboration
on the goals and tasks of therapy. This is essential to developing
the experience that the two of us are working together to
overcome the problem. Getting agreement on goals and tasks is
dependent on understanding the client and what might be helpful
to the client and so it is an enactment of empathy. Goal agreement
in EFT often is achieved by being able to capture the chronically
enduring underlying pain with which the client has been struggling
and establishing an agreement to work on resolving the pain rather
than setting a behavioral change goal.
The Relationship and Affect Regulation
It is important to explore how affect regulation occurs to understand
the important affect-regulating role of the relationship. In
our view, emotion regulation is an integral aspect of the generation
of emotion and coterminates with it (Campos, Frankel, &
Camras, 2004) rather than involving self-control of emotion. The
type of implicit affect regulation that results from a good therapeutic
relationship occurs through right hemispheric processes, is
not verbally mediated, is highly relational, and is most directly
affected by such things as emotional communication, facial expression,
vocal quality, and eye contact (Schore, 2003).
The therapists’ facial, postural, and vocal expression of emotion
clearly set very different emotional climates and are aspects of
their ways of being. Clients’ right hemispheres respond to therapists’
micro affective communication as well as to their explicit
words, and all these influence clients’ processes of dynamic selforganization.
The therapist who conveys genuine interest, acceptance,
caring, compassion, and joy, and little anger, contempt,
disgust, and fear creates the environment for a secure emotional
bond. In the analysis of the classic film, Three Psychotherapies, by
Rogers, Perls, and Ellis with Gloria, Magai and De Haviland
(2002) studied the emotional climate created by the therapists. This
analysis revealed that each of these therapists, in their behavior in
the film, in their theories, and more generally in their personalities
and personal lives, expressed and focused on very different emotions.
Rogers showed interest, joy, and shame. Perls showed contempt
and fear and Ellis anger and fear. Anyone who has seen this
film can see that they created very different therapeutic environments.
Gloria at points becomes defensive with both Ellis and Perls but
not with Rogers whom she sees as a warm father. The categorical
emotions such as interest, anger, sadness, fear, and shame, expressed
by the therapist are important and strongly influence the
relational environment. The vitality aspects of the therapists’ emotional
expression, such as rhythm, cadence, and energy, are also
important in affective attunement.
In clinical work, regulation is thus not easily achieved through
the conscious system alone. A validating relationship is crucial to
affect regulation. People with underregulated affect have been
shown to benefit both from interpersonal validation as much as
from the learning of explicit emotion regulation and distresstolerance
skills (Linehan et al., 2002). Problems in vulnerable
personalities arise most from deficits in the more implicit forms of
regulation of emotion and emotional intensity. Although deliberate
behavioral and cognitive forms of regulation—more left hemispheric
process—are useful for people who feel out of control to
help them cope, over time, it is the building of implicit or automatic
emotion regulation capacities that is important to achieve
transformation for highly fragile, personality disordered, clients
(Schore, 2003). Implicit forms of regulation often cannot be
trained or learned as a volitional skill. Directly experiencing
aroused affect, being soothed by relational or nonverbal means—a
more right hemispheric process (Schore, 2003)—is one of the best
ways to build the implicit capacity for self-soothing. Being able to
soothe the self develops initially by internalization of the soothing
functions of the protective other (Stern, 1985). Soothing then most
centrally comes interpersonally in the form of empathic attunement
and responsiveness to one’s affect and through acceptance
This document is copyrighted by the American Psychological Association or one of its allied publishers.
This article is intended solely for the personal use of the individual user and is not to be disseminated broadly.
RELATIONSHIP IN EFT 351
and validation by the therapist. The provision of a safe, validating,
supportive, and empathic environment in therapy helps soothe
automatically generated underregulated distress. Internalizing the
soothing of the therapist is one of the best ways of developing
implicit soothing. Empathy from the other over time is internalized
and becomes empathy for the self and this leads to a strengthening
of the self (Bohart & Greenberg, 1997; Bohart, Elliott, Greenberg,
& Watson, 2002; Elliott, Bohart, Watson, & Greenberg, 2011).
Over time, this interpersonal regulation of affect is internalized
into self-soothing or the capacity to regulate inner states. These
optimal therapeutic relational qualities thus facilitate the dyadic
regulation of emotion through provision of safety, security, and
connection. This breaks the client’s sense of isolation, confirms
self-experience, and promotes both self-empathy and selfexploration.
When an empathic connection is made with the therapist, affectprocessing
centers in the client’s brain are effected and new
possibilities open up for the client (Schore, 2003). This creates an
optimal therapeutic environment that not only contributes to clients’
affect regulation by providing interpersonal soothing but also
helps them to feel safe to fully engage in the process of selfexploration
and new learning. Effective therapeutic work is only
possible when the client feels safe and secure with the therapist.
Developing a sense of safety and security for the client emerges
through therapists’ ability to be fully present and empathically
engaged, in a genuine validating manner (Geller & Greenberg,
2012). When the therapist is fully in the moment with a client, his
or her receptive presence sends a message to the client that he/she
is going to be heard, met, felt and understood, which elicits a
feeling of safety in the client. Current neuroscience research is
beginning to reveal the neurological underpinnings of client safety
through therapists’ presence and affective attunement. Porge’s
(2011) Polyvagal Theory explains that when clients feel met and
felt by the therapist, they not only feel aligned with the therapist,
but the brain likely establishes a state of “neuroception” of safety
(Porges, 2011). This creates a feeling of security in clients, which
allows them to trust the therapist and to open and engage in the
necessary therapeutic work. Neuroception is a novel construct
created to describe how neural circuits discern safety, danger, or
life threat outside the realm of awareness. Neuroception takes
place in the primitive parts of the brain as an unconscious process
that is manifested in our autonomic nervous system as an adaptive
mechanism to prepare us for defensive strategies of fight–flight or
shutdown.
For instance, clients with trauma backgrounds may have autonomic
nervous systems that preclude the down-regulation of defense
strategies and predisposes them to feel unsafe even when
there is no observable risk. Hence, challenges in the social world
of these clients occur, as they respond defensively even when there
is no risk. Hence, in the Polyvagal Theory, the regulators of
emotions and physiology are embedded in relationship. The core
of the social engagement system in mammals is reflected in the
bidirectional neural communication between the face and the heart
(Porges, 2011). From this perspective, arousal can be physiological
arousal or emotional dysregulation and can be stabilized through
social interaction that includes warm facial expression, open body
posture, vocal tone, and prosody (rhythm of speech). The therapist’s
presence and overall safety providing attitude thus influence
the client’s well-being. Therapists’ pacing, facial, tonal, and postural
communication of affect all create a therapeutic emotional
climate that leads to physiological soothing.
The Therapeutic Alliance
Numerous studies have shown that a positive therapeutic alliance
is associated with good outcome (Horvath, Del Re, Fluckiger,
& Symonds, 2011). The alliance reflects three important aspects of
therapeutic work, the bond or the feelings the participants have
toward each other, the level of agreement that exists between them
about the goals of therapy, and the ways in which they will go
about meeting those goals (Bordin, 1979). A recent study that
looked at clients who were being treated for depression in
cognitive– behavioral and emotion-focused psychotherapy found
that clients’ perceptions of the Rogerian relationship conditions
were highly correlated with clients’ ratings of the therapeutic
alliance in both approaches and that presence and empathy were
correlated (Watson & Geller, 2005) and were associated with
changes in clients’ level of self-esteem, and their self-report of
interpersonal difficulties, while therapists’ acceptance of their clients
was predictive of changes in depression.
The development of collaboration also has been established as
an important, empirically supported aspect of the therapeutic relationship
(Horvath & Greenberg, 1994). Thus, as well as creating
the emotional climate that secures a warm trusting bond, it is also
important to foster a collaboration on tasks and goals through the
course of therapy, wherein client and therapist agree to work with
both avoided emotions and underregulated emotions. With research,
we (Horvath & Greenberg, 1989) came to see the client’s
perceived task relevance and task collaboration as more predictive
of outcome than empathy. In fact, perceived task collaboration
emerged from an enactment by the therapist of his or her empathic
understanding of the client. This enactment might occur by making
a suggestion that helped deepen the client’s exploration or experience.
For example, a response like “if your father was here what
would you like to say to him from your anger” enacts an understanding
of what the client needed and would be experienced as
more helpful than a verbal communication of an understanding of
the client’s inner world such as “so that left you feeling so angry
at him.” Proposals thus were enactments of empathy. Collaboration
thus became an important foundational principle of an EFT
approach and a core ingredient of our theory of relationship.
From this, we have identified a number of ways to assist in the
development and maintenance of the task agreement dimension of
the alliance when working with emotions. The first of these involves
conveying that the primary focus of treatment is the client’s
concerns and underlying painful feelings. The therapist conveys
that a central intention of therapy is to help clients to open up and
reveal their inner feelings, meanings, and fears—to risk being
vulnerable with their therapists in the hope that together they can
come to a better understanding of the clients’ inner and outer
worlds and effect meaningful change that will ameliorate clients’
sense of despair. Without this exploratory goal being adequately
negotiated between the parties, the therapy will likely end prematurely
or not progress. From the start, the client is implicitly being
trained, by the therapist’s consistent empathic focuses on the
client’s internal experience, to attend to this internal experience.
Therapists in the early phase of therapy convey understanding,
acknowledge client’s pain, validate his or her struggles, and focus
This document is copyrighted by the American Psychological Association or one of its allied publishers.
This article is intended solely for the personal use of the individual user and is not to be disseminated broadly.
352 GREENBERG
on the emotional impact of events in the client’s life. By the
therapist’s attentive listening, presence, and caring and by the
attitude conveyed by the therapist’s face, body, hands, and eyes
that validates the client specialness, the client comes to feel seen,
valued, and respected and is thereby more inclined to trust and be
open. By attending to clients’ core humanness and expressing
unconditional confidence in clients’ strengths and capacities for
growth, the therapist helps reveal clients’ uniqueness and strength.
It is by seeing the possibility of growth in another being that this
possibility is stimulated. This is an important aspect of the relationship
in all approaches. The deeply held therapeutic stance of
presence and the attitude of empathy, positive regard, and a focus
on strengths and resources help create an emotional bond of trust
and respect and help develop the safe environment and a secure
base for the exploration that will take place as the therapy progresses.
This is a relational principle that is universal to all helping
relationships. In addition to creating a bond, a rationale is provided,
right from the start, that the goal of treatment is for the
person to access and become aware of underlying feelings and
needs involved in their difficulties. If, however, their emotions are
underregulated, the goal becomes finding better ways of coping
with feelings that seem overwhelming. People are told that their
feelings provide important information about how they are reacting
to situations and that it is important to get clear on what their
emotions are telling them. There is a strong emphasis from the start
on validating and accepting the pain that people feel. When people
come to therapy they do so because they are suffering and feel
some form of pain—it feels like something in their life or inside of
them is broken. It is with the quickness and sureness with which
the therapist can grasp the nature of the client’s chronic enduring
pain that an emotional bond and collaboration to work on it will be
created. Once the chronic enduring pain has been articulated, the
person’s sense of isolation is broken. There is a sense of relief that
it has been spoken, that someone understands, and that the person
now is not so alone in the struggle. Hope is created and agreeing
to work on resolving the chronic enduring pain creates an alliance,
spurred by this hope. Resolving the articulated enduring pain
becomes the goal of treatment and the basis for the working
alliance.
Therapeutic Presence
Therapeutic presence involves therapists being fully in the moment
on a multitude of levels, physically, emotionally, cognitively,
spiritually, and relationally (Geller & Greenberg, 2002, 2012;
Geller, Greenberg, & Watson, 2010). The experience of therapeutic
presence involves (a) being in contact with one’s integrated and
healthy self, while (b) being open and receptive, to what is poignant
in the moment and immersed in it, (c) with a larger sense of
spaciousness and expansion of awareness and perception. This
grounded, immersed, and expanded awareness occurs with (d) the
intention of being with and for the client, in service of his or her
healing process (Geller & Greenberg, 2002, 2012). A more detailed
description of our empirically validated model of therapeutic
presence can be found in other publications (see Geller & Greenberg,
2002, 2012). Presence is a relational stance that is fundamental
to evoking an experiential and neuro-physiological sense of
safety in the client, which in turn can promote a positive therapeutic
alliance and effective clinical work across different therapeutic
approaches.
To establish a positive alliance, it is important for therapists first
to be present to their clients. A question often asked by trainees is:
What does one need to do to help a constricted client access
feeling? But this implies that it is something one needs to do to the
client. My answer is that the ability to access emotions depends
first and foremost on the type of relationship created. It is the
therapist’s ability to be present that will help the client access
emotion. A qualitative analysis of therapists’ experience of presence
revealed that therapeutic presence involves being receptively
open and sensitive to one’s own moment-by-moment changing
experience, being fully immersed in the moment, feeling a sense of
expansion and spaciousness, and being with and for the client
(Geller & Greenberg, 2002). It is these qualities that will help
create the climate that will lead clients to attend to their momentby-
moment affective experience. It is important that therapists are
able to be receptive and open to their clients’ emotional experiences.
The kind of “presence” that seems to be therapeutic is the
state of mind in which there is an awareness of moment-bymoment
emotional reactions as well as thoughts and perceptions
occurring in the client, in the therapist, and between them in the
therapeutic relationship. This means that therapists need to let go
their own specific concerns, the quarrel with their spouse this
morning, the falling value of the dollar, or an upcoming vacation
and truly show up in the session. To be present for clients is to
empty oneself, to clear a space inside so as to be able to listen
clearly in the moment to the narratives and problems that clients
bring. Therapists need to see their clients’ faces and hear their
voices. It is through the therapist’s undivided and focused attention
that clients feel valued and are able to clearly discern their own
concerns and difficulties. By giving clients their full attention,
therapists are able to more fully resonate with their clients’ feelings
and their experience of events and provide the level of
empathic responding that will be most optimal at different points
during the session.
Dialogue of this type often leads to heightened moments of
meeting or what Buber (1958) referred to as I-Thou contact. In
these moments, people share living through an emotional experience
together. Here an intersubjective experience is lived while it
is occurring: It is a shared experience of attending to and experiencing
the same thing at the same time and knowing that the other
is coexperiencing the same thing. Each person experiences something
of the other’s experience and knows that this is occurring.
This creates a strong bond, a sense of togetherness that breaks any
sense of existential isolation and promotes trust and openness. It
also is a lived moment of experience that remains indelibly
stamped in memory. These moments produce therapeutic change
both in the people’s sense of self and their way of relating.
We see the Rogerian conditions of empathy, positive regard or
acceptance, and congruence (Rogers, 1957) as part of a single
therapeutic way of that of being fully present with the other.
Empathy has been established as one of the three empirically
supported aspects of the relationship, one that correlates moderately
(e.g., r .32) with outcome (Bohart et al., 2003; Elliott,
Bohart, Watson, & Greenberg, 2011). The sense that another is
accepting and can be trusted, to the extent that one perceives the
other as congruent and sincere, is important to the sense that one
is valued and liked by the other. Through sensing the therapist’s
This document is copyrighted by the American Psychological Association or one of its allied publishers.
This article is intended solely for the personal use of the individual user and is not to be disseminated broadly.
RELATIONSHIP IN EFT 353
unconditional acceptance of their experience, clients lose their
preoccupation with the therapist and their energy becomes available
to turn inward and contact their own experience. Reduction of
interpersonal anxiety leads to capacity for tolerance of more intrapersonal
anxiety. Clients are able to face and accept more of
their experience with the unconditional acceptance of another.
Genuineness and Congruence
The positive real relationship, composed of what Gelso and
colleagues term congruence and realism, is an important aspect of
the therapeutic relationship that enhances the alliance and client
progress (Gelso, 2011; Gelso & Hayes, 1998; Kolden, Klein,
Wang & Austin, 2011) Congruence or authenticity can be broken
into two separate components (Lietaer, 1993): Awareness of one’s
own internal experience and the willingness to communicate to the
other person what is going on within (transparency). The deeper
level intentions include the intentions to facilitate the others’
development, to be accepting and noncritical of the other, to
confirm the others’ experience, to focus on their strengths, and
above all to do the other no harm. These intentions, and more, are
what determine whether congruence is therapeutic. The case of
transparency or the communication component of congruence is
much more complicated than the self-awareness component. Being
facilitatively transparent involves many interpersonal skills
(Greenberg & Geller, 2001). This component involves not only the
ability to express what one truly feels but to express it in a way that
is facilitative. Transparency thus is a global concept for a complex
set of interpersonal skills embedded within a set of therapeutic
attitudes. These skills appear to depend on three factors: first, on
therapist attitudes, second, on certain processes such as facilitativeness,
discipline, and comprehensiveness, and third, on the
interpersonal stance of the therapist.
The set of skills involved in facilitative congruent communication
is best explicated by looking at congruent interaction in terms
of the interactional stance taken by therapists as described by a
circumplex grid of interpersonal interactions (Benjamin, 1996).
This grid is based on the two major dimensions of autonomy/
control and closeness/affiliation. Consistent with interpersonal theory,
this grid outlines a set of complementary responses that fit
each other and that interactionally “pull” for each other. Thus,
attack pulls defensiveness or withdrawal, and affirmation pulls for
disclosure and revelation. The skill of congruent responding involves
not reacting in a complementary fashion to a negative
interpersonal “pull” of the client, like recoiling when attacked; but
rather, to act in such a way as to “pull” for a more therapeutically
productive response from one’s client, such as clear expression.
This would be achieved by an empathic understanding response to
an attack rather than by recoiling.
What to do when the therapist is not feeling affirming but is
feeling angry, critical, and rejecting and cannot get past this
feeling, to something more affiliative? As we have said, an interactional
response to be facilitatively congruent involves first connecting
with the fundamental attitudes or intentions of trying to be
helpful, understanding, valuing, respecting, and nonintrusive or
nondominant. This will lead to these feelings being expressed as
disclosures. If the interpersonal stance of disclosing the difficult
feeling is adopted, rather than the complementary stances of expressing
it by attacking, or rejecting, or seducing then this congruent
response is more likely to be facilitative. It is not the content
of the disclosure that is the central issue in being facilitative; rather
it is the interpersonal stance of disclosure in a facilitative way that
is important. What is congruent is the feeling of wanting to
disclose in the service of facilitating, and the action of disclosing.
The different ways of being facilitatively congruent in dealing with
different classes of difficult feeling thus are to some degree specifiable.
They all involve adopting a position of disclosing. Expressing
a feeling that could be perceived of as negative, in a stance that
is disclosing, rather than expressing it in the stance that usually
accompanies that feeling, will help make it facilitative because
disclosing is an affiliative and nondominant form of interaction
whereas being angry is clearly nonaffiliative and may be dominant.
Disclosure, implicitly or explicitly, involves willingness to, or an
interest in, exploring with the other what one is disclosing. For
example, when attacked or feeling angry therapists do not attack
the other but rather disclose that they are feeling angry. They do
not use blaming “you” language. Rather they take responsibility
for their feelings and use “I” language that helps disclose what
they are feeling. Above all they do not go into one up, escalatory,
positions in this communication, but rather openly disclose feelings
of fear, anger, or hurt. When the problem is one of the
therapists experiencing nonaffiliative rejecting feelings or loss of
interest in their clients’ experience, the interactional skill involves
being able to disclose this in the context of communicating congruently
that the therapist does not wish to feel this. Or therapists
disclose these feelings as problems getting in the way and that they
are trying to repair so that they will be able to feel more understanding
and closer. The key in communicating what could be
perceived as negative feelings in a congruently facilitative way is
to communicate it in a nondominant affiliative disclosing way with
appropriate nonverbals. Both timing and type of client need to be
considered in deciding whether or not to disclose.
Coaching as an Aspect of the Relationship
In addition to presence and being with the client, EFT therapists
also lead and guide client processing—an activity that we have
termed coaching. In EFT, certain client in-session problem states
are seen as markers of underlying emotional processing difficulties
that offer opportunities for differential interventions best suited to
help facilitate productive work on that problem state. Thus, if a
client enters a self-critical state, this is an opportunity to intervene
with a two-chair dialogue to resolve splits. The therapist is thereby
seen as setting a task for the client to work on. Therapeutic work
thus involves engaging clients in particular tasks suitable to states
that the clients enter into in the session.
We have come to view a therapist who works in this way as
emotion coaches (Greenberg, 2002). Coaches provide guidance on
how to process emotions and emotion-related problems in adaptive
ways. The therapist both promotes and validates awareness and
acceptance of emotional experience and coaches clients to engage
in tasks that promote new ways of processing emotion. Coaching
entails both acceptance and change. The nondirective following
style provides change toward acceptance of what is while the more
leading style provides guidance, introduces novelty and the possibility
of change.
Emotion coaching involves a partnership of coexploration in a
growth-promoting process aimed at helping people achieve goals
This document is copyrighted by the American Psychological Association or one of its allied publishers.
This article is intended solely for the personal use of the individual user and is not to be disseminated broadly.
354 GREENBERG
of emotional awareness, regulation, reflection, and transformation
(Greenberg, 2002). It involves facilitating awareness of emotions,
new ways of processing the emotion, and provides guidance in
ways of soothing or regulating the emotion. Awareness in turn
involves helping clients verbally label emotions while they are
being felt, helping them accept the emotion and talking with clients
about what it is like to experience an emotion. In addition, coaching
clients involves facilitating the utilization of adaptive emotions,
usually anger and sadness, to guide action and transform
maladaptive emotions usually fear, shame, or anger. It is important
to note that people often cannot simply be taught new strategies
conceptually for dealing with difficult emotions, but rather have to
be facilitated experientially to engage in the new process and only
later explicitly taught what to do. For example accessing anger or
a getting to an emotionally experienced need or goal may be very
helpful in overcoming a sense of depressive hopelessness or defeat.
However, explicitly teaching people that this is what they
should do is not nearly as helpful as interpersonally facilitating this
by asking them at the right time in the right way what it is they feel
or need.
Some clients, however, are extremely externally focused and
helping them contact their feelings can be challenging. A persistent
gentle pressure to focus on current internal experience is required
by means first, of empathic responding and emotion inquires, and
later, by process directives that focus the client’s attention on
internal experience. The client is encouraged to become aware of
internal experience and to develop mindful awareness (Perls, Hefferline,
& Goodman, 1951). Later process directives like suggesting
the client repeat key phrases that stimulate emotion in the
session can be used to intensify experience and make it more vivid.
A balance needs to be struck between allowing clients to tell their
story and tracking their reactions, and explicitly directing their
attention internally. Questions that are used in this phase and
throughout therapy are: What are you aware of as you say this?
What is happening in your body? What is it like inside right now?
Using empathic exploratory responses and emotion awareness
questions, the therapist therefore coaches clients to approach,
tolerate, regulate, and accept their emotional experience. Acceptance
of emotional experience as opposed to its avoidance is the
first step in emotion awareness work. Having facilitated the acceptance
of emotion rather than its avoidance, the therapist then
helps the client in the utilization of emotion. Here clients are
helped to make sense of what their emotion is telling them and to
identify the goal/need/concern which it is organizing them to
attain. Emotion is used both to inform and to move.
In addition, believing that clients cannot leave a place before
they have arrived at it, the focus in the relational dialogue is on
acceptance and validation of emotion rather than on modification
of cognition or awareness of, or insight into, interpersonal patterns.
It is only after validation of what is being experienced as shown in
the transcript below that transformation via accessing new affect
and creation of new meaning comes into play. The relational
emphasis is more on facilitation of strength than correction of
error.
Case Example
An example of a therapist responding to a client’s sense of
isolation after the loss of her father is given below to exemplify
the type of empathic attunement and exploration characteristic
of the relational style in EFT. A number of details of the client and
the situation have been changed for confidentiality.
T53: Do you think you could put your friend in the chair and
talk to her?
C54: No [pause]
T54: It’s really hard a one for you. [Pause] What are you feeling
right now?
C55: [small voice:] Scared. [ Vulnerability begins to emerge]
T55: [gently: ] Scared. [Pause] Uh-huh. Just so scared about . . .
C56: What will happen to the little [rueful laugh: ] relationship
that we have.
T56: Uh-huh, scared that if you assert yourself here, you could
lose her.
C57: What change will it bring in her, toward me. I don’t think
I could handle it. (T: mhm)
T58: “If I assert my feelings or if I express my true feelings of
anger toward her, will it ruin the shred of a relationship that we do
have? (C: mhm) Will it ruin the little bit of contact I do have.” It
might destroy even those little threads, and it’s so scary to think
about not having that relationship. (C: mhmm mhm)
C59: Yeah. It is such a risk. I don’t know if I can bear the loss.
Without her it’s like I would have nothing.
T59: Just a feeling that, “Without that connection I will be left
totally alone.”
C60: Yes, that’s how I would feel, totally alone, not anything to
anybody.
T 60: Uh-huh, without any value to anyone.
C61: Yes, it’s like feeling that I could die without anyone
knowing.
T62: No one would even know.
C62: Yes. I feel tight in my throat (T: mhm). My stomach hurts.
In the above segment, the therapist responds empathically to the
client’s vulnerability in a prizing and congruent manner. This helps
the client’s vulnerability emerge at C55, when she reports feeling
scared. The therapist validates the scared feelings, and in C59 the
client begins to articulate the unbearable sense of loss. This leads
her toward focusing on a bodily felt sense of pain and the therapist
as shown below guides her to regulate the feeling and to explore it
to access the implicit meanings.
T64: That’s good. [Pause] Good calming breaths [Pause] [Whispers:
] Take a minute, just to relax. Quiet down inside [long pause].
So there’s this feeling inside. What’s it like?
C65: Sometimes it’s just like I want to go crawl in my bed and
just stay in there and nobody bother me [ vulnerability emerges
further]
T65: Mhm, mhm. “I just want to shut my eyes and shut all the
pain shut out (C: Mhm, mhm) And shut all the people out. Yeah
(C: mhm). I just want to make all the pain go away.”
After a deepening to get to core vulnerability, the acceptance
and validation by the therapist helps the client stay with the painful
vulnerable feelings, while the therapist listens for what is worst or
most painful about the whole thing.
T68: What hurts the most right now? I know it’s really hard
(Pause). What part of it is hardest?
C69: It’s like I’m drowning, (T: [whispered:] drowning) and I
keep reaching up, and I’ve been struggling since I was a kid.
T69: [whispering:] Like you’re drowning, and a little piece of
you, one hand, one arm just keeps reaching up.
This document is copyrighted by the American Psychological Association or one of its allied publishers.
This article is intended solely for the personal use of the individual user and is not to be disseminated broadly.
RELATIONSHIP IN EFT 355
At the same time as witnessing and receiving the helpless
aspects of her experience and making vivid the depths of the
client’s despair, the therapist is listening for the genuine emergence
of adaptive emotions and for the wants and needs in the
personality. This begins to emerge above in the image of reaching
up and is developed through exploring feelings tied to an episodic
memory of a time in her childhood when she nearly drowned. She
then reorganizes into a more resilient state and begins to access her
need for contact and comfort and safety from others and begins to
reach out for it by saying “I would like to hold onto my relationships
with them (friends and siblings). There are moments when I
know I can make it. It’s just sometimes it feels so overwhelming
and I go to that place.”
Conclusion
People develop from infancy to their demise in relationships.
Relationships are crucial to healthy human development, and therapeutic
relationships are a major vehicle for personal growth and
development. In this article, I have argued that the relationship is
first and foremost an affect-regulating bond, one that is, in and of
itself, facilitative of psychological change and conducive to growth
and well-being. Second, the therapeutic relationship, characterized
by presence, empathy, acceptance, and congruence, helps clients to
feel safe enough to face dreaded feelings and painful memories.
These I have argued are universal principles of all therapeutic
relationships.
Empathic responding by therapists helps clients become aware
of their emotional experience, label it in awareness, and modulate
it so that it is not overwhelming or excessively muted so that its
message is lost. Empathic exploration facilitates the client turning
inward to explore and unpack their inner subjective world views
and feelings about events (Elliott, Watson, Goldman, & Greenberg,
2004). In addition acceptance in the mind of valued person
can have profound effects on physiological processes. Warmth,
compassion, openness, and respect toward the client’s experience,
caring for the client as a separate person, with permission to have
his or her own feelings and experiences, is a crucial aspect of a
therapeutic relationship. Warm, accepting, empathic relationships
with a genuine therapist lead to greater self-acceptance and cure
the pain of isolation.
In EFT, once an alliance, consisting of a warm bond and
collaboration between client and therapist, has been consolidated
and safety established, the therapist guides clients toward new
ways of processing emotion, coaching them to become aware of,
regulate, reflect on, and transform their emotions. It is in the
blending of these various elements of a curative relationship with
the facilitation of specific change processes that successful therapy
emerges.
References
Benjamin, L. S. (1996). Introduction to the special section on structural
analysis of social behavior. Journal of Consulting and Clinical Psychology,
64, 1203–1212. doi:10.1037/0022-006X.64.6.1203
Bohart, A. C., Elliott, R., Greenberg, L. S., & Watson, J. C. (2002).
Empathy. In J. Norcross (Ed.), Psychotherapy relationships that work
(pp. 89–108). New York, NY: Oxford University Press.
Bohart, A. C., & Greenberg, L. S. (Eds.). (1997). Empathy reconsidered:
New directions in psychotherapy. Washington, DC: American Psychological
Association. doi:10.1037/10226-000
Bordin, E. S. (1979). The generalizability of the psychoanalytic concept of
the workingalliance. Psychotherapy, 16, 252–260. doi:10.1037/
h0085885
Buber, M. (1958). I and Thou (2nd ed.). New York, NY: Charles Scribner’s
Sons.
Campos, J. J., Frankel, K., & Camras, L. (2004). On the nature of emotion
regulation. Child Development, 75, 377–394. doi:10.1111/j.1467-8624
.2004.00681.x
Elliott, R., Bohart, A., Watson, J., & Greenberg, L. (2011). Empathy.
Psychotherapy, 48, 43–49. doi:10.1037/a0022187
Elliott, R., Watson, J., Goldman, R., & Greenberg, L. (2004). Learning
emotion focused therapy. Washington, DC: American Psychological
Association.
Geller, S., & Greenberg, L. (2002). Therapeutic presence: Therapists
experience ofpresence in the psychotherapy encounter in psychotherapy.
Person Centered and Experiential Psychotherapies, 1, 71–86.
Geller, S. M., & Greenberg, L. S. (2012). Therapeutic presence: A mindful
approach to effective therapy. Washington, DC: American Psychological
Association. doi:10.1037/13485-000
Geller, S. M., & Greenberg, L. S., & Watson, J. C. (2010). Therapist and
client perceptions of therapeutic presence: The development of a measure.
Journal of Psychotherapy Research, 20, 599–610. doi:10.1080/
10503307.2010.495957
Gelso, C. J. (2011). The real relationship in psychotherapy: The hidden
foundation of change. Washington, DC: American Psychological Association.
doi:10.1037/12349-000
Gelso, C., & Hayes, J. (1998). The psychotherapy relationship: Theory,
research and practice. New York, NY: Wiley.
Greenberg, L. S. (2002). Emotion-focused therapy: Coaching clients to
work through their feelings. Washington, DC: American Psychological
Association. doi:10.1037/10447-000
Greenberg, L. S. (2010). Emotion-focused therapy:Theory and practice.
Washington, DC: American Psychological Association.
Greenberg, L., & Geller, S. (2001). Congruence & Therapeutic Presence.
In G. Wyatt & P. Saunders (Eds.), Rogers’ therapeutic conditions:
Congruence (pp. 131–149). Herefordshire, UK: PCCS Books.
Greenberg, L. S., Rice, L. N., & Elliot, R. (1993). Facilitating emotional
change: The moment by moment process. New York, NY: Guilford
Press.
Greenberg, L., & Watson, J. (2006). Emotion-foccused therapy of depression.
Washington, DC: American Psychological Association. doi:
10.1037/11286-000
Horvath, A. O., Del Re, A. C., Fluckiger, C., & Symonds, D. (2011).
Alliance in individual psychotherapy. Psychotherapy, 48, 9–16. doi:
10.1037/a0022186
Horvath, A., & Greenberg, L. (1989). The working alliance inventory.
Journal of Counseling Psychology, 36, 223–233. doi:10.1037/0022-
0167.36.2.223
Horvath, A., & Greenberg, L. (1994). The working alliance: Theory,
research and practice. New York, NY: John Wiley.
Kolden, G. G., Klein, M., Wang, C., & Austin, S. (2011). Congruence/
genuineness. Psychotherapy, 48, 65–71. doi:10.1037/a0022064
Lietaer, G. (1993). Authenticity, congruence and transparency. In D. Brazier
(Ed.), Beyond Carl Rogers: Towards a psychotherapy for the 21st
century (pp. 17–46). London, UK: Constable.
Magai, C., & Haviland-Jones, J. (2002). The hidden genius of emotion.
Cambridge, UK: Cambridge University Press.
Linehan, M. M., Dimeff, L. A., Reynolds, S. K., Comtois, K. A., Shaw
Welch, S., Heagerty, P., & Kivlahan, D. R. (2002). Dialectical behavior
therapy versus comprehensive validation plus 12 step for the treatment
of opioid dependent women meeting criteria for borderline personality
disorder. Drug and Alcohol Dependence, 67, 13–26. doi:10.1016/S0376-
8716(02)00011-X
This document is copyrighted by the American Psychological Association or one of its allied publishers.
This article is intended solely for the personal use of the individual user and is not to be disseminated broadly.
356 GREENBERG
Norcross, J. C. (2011). Psychotherapy relationships that work: Evidence
based responsiveness (2nd ed.). New York, NY: Oxford University
Press. doi:10.1093/acprof:oso/9780199737208.001.0001
Perls, F., Hefferline, R. F., & Goodman, P. (1951). Gestalt therapy. New
York, NY: Dell.
Porges, S. W. (2011). The Polyvagal theory: Neurophysiological foundations
of emotions, attachment, communication, self-regulation. New
York, NY: Norton & company.
Pos, A., Geller, S., & Oghene, J. (2011). Therapist presence, empathy, and
the working alliance in experiential treatment for depression. Paper
presented at the meeting of the Society for Psychotherapy Research,
Bern, Switzerland.
Rogers, C. R. (1957). The necessary and sufficient conditions of therapeutic
personality. Journal of Consulting Psychology, 21, 95–103.
Schore, A. N. (2003). Affect dysregulation & disorders of the self. New
York, NY: Norton.
Stern, D. (1985). The interpersonal world of the infant. New York, NY:
Basic Books.
Watson, J., & Geller, S. (2005). The relation among the relationship
conditions, working alliance, and outcome in both process experiential
and cognitive/behavioral psychotherapy. Psychotherapy Research, 15,
25–33. doi:10.1080/10503300512331327010
Weerasekera, P., Linder, B., Greenberg, L., & Watson, J. (2001). The
development of the working alliance in the experiential therapy of
depression. Psychotherapy Research, 11, 221–233. doi:10.1093/ptr/11.2
.221
Received February 7, 2014
Revision received March 10, 2014
Accepted March 12, 2014
The Latest on Psychotherapy Research and Practice at Your Fingertips!
Psychotherapy goes mobile! Our new Psychotherapy app is a free mobile app that offers
searchable journal content from the most recently published articles to Psychotherapy archives
going back to 1963. The app enables users to
• search full content for Psychotherapy back to Volume 1, Issue 1
• learn more about the journal through its journal information page
• download full-text articles for online and offline reading
• bookmark, take notes, and share your favorite articles
• receive notifications for new journal content, special issues, and online-first publications
Download the Psychotherapy app today on your Apple and Android mobile devices!
Apple Devices:
1. Tap the “App Store” icon.
2. Tap the “Search” icon on the App Store toolbar.
3. Tap the search box and use the virtual keyboard to enter “Psychotherapy”.
4. Tap “Search” on the keyboard or tap “Psychotherapy” when it is listed as a result.
5. Tap “Install”.
Android Devices:
1. Tap the “Play Store” icon.
2. Tap the “Search” icon.
3. Use the virtual keyboard to enter “Psychotherapy”.
4. Tap the “Search” icon to initiate the search.
5. Locate the Psychotherapy App and tap “Install”.
6. Tap “Accept and Download”.
Please note that in order to be able to access full text of journal articles via Psychotherapy app, you
must be an active member of APA Division 29 or a subscriber to any of the APA PsycNET Gold,
Gold Plus, or Platinum database packages. If you wish to renew your database package, please visit
https://my.apa.org. Visit http://www.divisionofpsychotherapy.org/ for information on how to join
Division 29.
For more information about APA Journals®, see www.apa.org/pubs/journals
This document is copyrighted by the American Psychological Association or one of its allied publishers.
This article is intended solely for the personal use of the individual user and is not to be disseminated broadly.
RELATIONSHIP IN EFT 357