EFEC-LESSON 19

Saying of the day: May your resolve to awaken and live in true power be indomitable. May the
lessons you are due to learn arrive in gentle ways. May your dark nights of the soul be few and
far between. And may you shine so brightly that, at the end of your days, all will pause and say:
Ah, there was one who lived life fully and completely.
Robin Sharma ( Discover your destiny)
TYPES OF WRITINGS( focus on letter, summary and report-writing)
1) LETTER-WRITING
The tone of any letter to be written will depend on the purpose of the letter.Letters
can be broadly classified into two categories:
(i)
social letters ( mostly informal and conversational)
(ii)
business letters ( formal)
(i)

Social letters

The following can be used as pointers, but at the end of the day, the personal style
of the person predominates:
1) the style should be easy and conversational.
2) As a rule, social letters are unpremeditated and spontaneous, informal and
easy.
3) They can touch on many subjects in whichever order they want. But change
your paragraphs whenever you change ideas.
4) Colloquial language can be used.
5) But it does not mean that abuses and careless language should be used.
6) Rules of spelling, grammar, idiom and punctuation should be adhered to unless
you want to be classified as uneducated.
7) Normally, the letter should be addressed to dear X, Y, etc. If you are writing to a
person older to yourself or whom you respect a lot ( e.g. a teacher), then you
can use: Dear Miss X
8) The forms of subscription can be as follows:
Yours affectionately, your affectionate ( or loving) son, yours very sincerely ( to
friends), with love and best wishes, etc
9) For acquaintances or friends, you can also use with kind regards
10) Note that sincerely should not be used in letters beginning with the formal
Dear Sir. The proper word of subscription is faithfully or truly.
(ii)

Business letters

The following points are helpful when you write a business letter:
1) Be formal.
2) Keep the letter clear, concise and to the point.
3) Certain forms of polite expressions are used, such as I shall be much obliged if
you will send me. Or Kindly dispatch at your earliest convenience

4) Avoid abbreviations or business jargon e.g. despatch same at once

5) Omit using I or we. As far as possible, use passive mood.
6) If articles or goods are mentioned, be very accurate, clear and concise. Nothing
is worse than reading a long, rambling and confused letter where one can make
no head nor tail.
7) The format is as follows: the address and name of the person to whom the letter
is addressed is written normally on the left side of the first page. Then begin
with Dear Sir/Madam, and conclude with Yours faithfully
8) e.g.
Mr R.K. Kapoor
Chartered Accountant
Kapoor and Associates
E-412, Friends Colony,
New Delhi 110042
9) In replying to a business letter, always quote the number of reference ( if there
is one) and the date of the letter you are replying to:
e.g. In reply to your letter ref. no. 102/07, dated 24 th October 2007, it is my
pleasure to forward you hereby my bio-data..
10) A letter for employment should contain:
1) a short introduction stating whether the writer is answering an
advertisement or is applying on his own responsibility
2) a statement of his age, education and experience;
3) a conclusion giving references, testimonials or an expression of the applicants
earnestness of purpose.
4) Keep the letter businesslike and formal.
C.W:
1) Write a letter to a company proposing your services as project manager.
2) Write a courteous letter to your boss explaining to him that you cannot keep
working until 11.00 pm every night as it is affecting your family life.
3) Write a reply to the above letter.
4) Write a letter to the MCD asking them to cover the drains in your area as they
are unhygienic and a breeding ground for mosquitoes.
5) Reply by letter to a matrimonial advertisement saying you think you are a
suitable boy/girl
2) SUMMARY-WRITING (condense a report/article)
A summary/report must be concise and to the point, lucid, succinct and include all
the essential elements so that anyone reading it may be able to grasp the main
points and the general effect immediately. People normally do not have time to read
long and confusing reports.
To be able to write good reports, one must be good in reading. You must read with
complete focus, grasp and understand, then take out the gist from each section or
paragraph. Understand what you are going to write about first, properly and
completely.

One also must be good in writing. Report-writing teaches one to express ones
thoughts clearly, concisely and effectively. Avoid repetition, omissions of important
details, confusing flow, and muddled and tedious narrations. Choose your words
carefully, construct your sentences so that they give the main points as briefly as
possible, and put your matter in a strictly logical order.
Writing a first draft helps. Remember that you must write the report in your own
words. No copy/paste.
The report must be a connected whole, and flow smoothly from paragraph to
paragraph.
The report must be precise and self-contained. One should not have to refer to the
original text at all.
Only the gist has to be expressed, so there is no room for colloquialism, rhetorical
flourishes, dialogues. There should be a faithful reproduction of the main themes in
a concise manner.
Only simple, direct and grammatically-correct English is needed. Indirect speech is
preferred.
When you condense, aim at remodeling rather than mere omission. We can omit
mere repetitions, illustrations and examples:
e.g > He was hard up for money and was being pressed by creditors all around
him.
> He was in severe financial difficulties.
There is no short-cut here. Be prepared for intensive brain work,
concentrated focus and hard thinking.
.
3) Report-writing plan:
Consider the following:
1)
2)
3)
4)

the target reader ( who are you writing for?)

the purpose of your writing
whether a formal or informal register is needed
if titles and subheadings are appropriate.

e.g. para 1: explain the aims and objectives of this report

para 2: describe the method of finding information
para 3: summarize the results of the findings ( add diagrams/tables if
needed)
para 4; make recommendations and conclude
Useful language:

the aim of this report is

the objective of our test is..
a sample of was tested
groups were targeted
the research was conducted using
the results show
It seems that..
It would appear that
From the table, it can be seen that.
Some recommendations are
Overall/In future.

Tips:
Do write a title
Do not write everything in capital letters
Do not start a new line for each new sentence
Leave a line between paragraphs
Avoid wordbreaks.
Use formal language
CW: Write a report on the latest project you have worked on in 200 words
maximum.

PERSONALITY
1. What is personality ?
Personality is made up the characteristic patterns of thoughts, feelings, and behaviors
that make a person unique. Researchers have found while some external factors can
influence how certain traits are expressed, personality originates within the individual.
While a few aspects of personality may change as we grow older, personality tends to
remain fairly consistent throughout life.
Personality psychologists are interested in the unique characteristics of individuals, as
well as similarities among groups of people.
2. Characteristics of Personality
1.

Personality is organized and consistent. We tend to express certain aspects of our

personality in different situations and our responses are generally stable.

2.

Personality is psychological, but is influenced by biological needs and processes. For

example, while your personality might lead you to be shy in social situations, an emergency
situation might lead you to take on a more outspoken and take-charge approach.

3.

4.

Personality causes behaviors to happen. You react to the people and objects in your
environment based on your personality. From your personal preferences to your choice of a
career, every aspect of your life is affected by your personality.
Personality is displayed through thoughts, feelings, behaviors and many other ways.

The Study of Personality

There are a number of different techniques that are used in the study of personality. Each
technique has its own strengths and weaknesses.

Experimental methods are those in which the researcher controls and manipulates the
variables of interests and takes measures of the results. This is the most scientific form of
research, but experimental research can be difficult when studying aspects of personality such
as motivations, emotions, and drives. These ideas are internal, abstract, and extremely difficult
to measure.

Case studies and self-report methods involve the in-depth analysis of an individual as
well as information provided by the individual. Case studies rely heavily on the interpretation of
the observer, while self-report methods depend upon the memory of the individual of interest.
Because of this, these methods tend to be highly subjective and it is difficult to generalize the
findings to a larger population.

Clinical research relies upon information gathered from clinical patients over the course
of treatment. Many personality theories are based upon this type of research, but because the
research subjects are unique and exhibit abnormal behavior, this research tends to be highly
subjective and difficult to generalize.

Almost everyday we describe and assess the personalities of the people around us. Whether we
realize it or not, these daily musings on how and why people behave as they do are similar to
what personality psychologists do.
While our informal assessments of personality tend to focus more on individuals, personality
psychologists instead use conceptions of personality that can apply to everyone. Personality
research has led to the development of a number of theories that help explain how and why
certain personality traits develop.
3. Definitions of Personality
While there are many different theories of personality, the first step is to understand exactly what
is meant by the term personality. The word personality itself stems from the Latin word persona,
which referred to a theatrical mask work by performers in order to either project different roles or
disguise their identities.

A brief definition would be that personality is made up of the characteristic patterns of thoughts,
feelings and behaviors that make a person unique. In addition to this, personality arises from
within the individual and remains fairly consistent throughout life.
Some other definitions of personality:
"Personality refers to individuals' characteristic patterns of thought, emotion, and
behaviour, together with the psychological mechanisms -- hidden or not -- behind those
patterns. This definition means that among their colleagues in other subfields of
psychology, those psychologists who study personality have a unique mandate: to explain
whole persons."
(Funder, D. C., 1997)

"Although no single definition is acceptable to all personality theorists, we can say that
personality is a pattern of relatively permanent traits and unique characteristics that give
both consistency and individuality to a person's behavior."
(Feist and Feist, 2009)

4. Components of Personality
So what exactly makes up a personality? As described in the definitions above, you would expect
that traits and patterns of thought and emotion make up an important part. Some of the other
fundamental characteristics of personality include:
Consistency - There is generally a recognizable order and regularity to behaviours.
Essentially, people act in the same ways or similar ways in a variety of situations.

Psychological and physiological - Personality is a psychological construct, but research

suggests that it is also influenced by biological processes and needs.

It impacts behaviours and actions - Personality does not just influence how we move
and respond in our environment; it also causes us to act in certain ways.

Multiple expressions - Personality is displayed in more than just behavior. It can also be
seen in our thoughts, feelings, close relationships and other social interactions.

Part 3- PERSONALITY DISORDERS

An estimated 10 to 15% of adults in the United States experience symptoms of at least one
personality disorder. What are personality disorders? A personality disorder is a chronic and
pervasive mental disorder that affects thoughts, behaviors, and interpersonal functioning. The
DSM-IV currently lists 10 different personality disorders, which you can learn more about in the
following article: Overview of Personality Disorders
What are Personality Disorders?

According to the Diagnostic and Statistical Manual (DSM-IV), a personality disorder is an

"enduring pattern of inner experience and behavior that deviates markedly from the expectation
of the individual's culture, is pervasive and inflexible, has an onset in adolescence or early
adulthood, is stable over time, and leads to distress or impairment." Because these disorders are
chronic and pervasive, they can lead to serious impairments in daily life and functioning.
What Causes Personality Disorders?
The causes of personality disorders are the subject of considerable debate and controversy.
Some experts believe that personality disorders are caused by early experiences that prevented
the development of normal thought and behavior patterns. Other researchers believe that
biological or genetic influences are the root cause of personality disorders.
While a definitive cause has not been established, it is likely that a combination of genetic
predisposition and environmental variables contribute to the development of personality
disorders.
How are Personality Disorders Diagnosed?
In order to be diagnosed with a personality disorder, an individual must exhibit symptoms that
meet the diagnostic criteria established in the DSM-IV.
These patterns of behavior must be chronic and pervasive, affecting many different
aspects of the individuals life, including social functioning, work, school and close
relationships.

The individual must exhibit symptoms that affect two or more of the following areas:
thoughts, emotions, interpersonal functioning and impulse control.

The pattern of behaviors must be stable across time and have an onset that can be traced
back to adolescence or early adulthood.

These behaviors cannot be explained by any other mental disorders, substance abuse or
medical conditions.

What are the Different Types of Personality Disorders?

Personality disorders are described on Axis II of the Diagnostic and Statistical Manual. The DSMIV lists a total of ten different personality disorders. These disorders are classified into three
separate clusters.
Cluster A - Odd or Eccentric Disorders
Paranoid Personality Disorder

Schizoid Personality Disorder

Schizotypal Personality Disorder

Cluster B - Dramatic, Emotional, or Erratic Disorders

Antisocial Personality Disorder

Borderline Personality Disorder

Histrionic Personality Disorder

Narcissistic Personality Disorder

Cluster C Anxious or Fearful Disorders

Avoidant Personality Disorder

Dependent Personality Disorder

Obsessive-Compulsive Personality Disorder

Differential Diagnosis
Before a clinician can diagnose a personality disorder, they must rule out other disorders or
medical conditions that may be causing the symptoms. The symptoms that characterize
personality disorders are often similar to those of other disorders and illnesses. Personality
disorders also commonly co-occur with other illnesses.
The following are potential differentials that must be ruled out before diagnosing an individual
with a personality disorder:
Substance Abuse

Anxiety Disorders

Depression

Dissociative Disorders

Social Phobia

Post Traumatic Stress Disorder

Schizophrenia

References:
American Psychiatric Association. (2000) Diagnostic and Statistical Manual of Mental Disorders (DSM-IV-TR). 4th ed. Washington, DC: Author.

HANDOUT ON THEORIES OF PERSONALITY

Part 2- THEORIES OF PERSONALITY IN MORE DETAIL
5. Theories of Personality
There are a number of different theories about how personality develops. Different schools of
thought in psychology influence many of these theories. Some of these major perspectives on
personality include:
(1) Type theories are the early perspectives on personality. These theories suggested
that there are a limited number of "personality types" which are related to biological
influences.
(2) Trait theories viewed personality as the result of internal characteristics that are
genetically based.
(3) Psychodynamic theories of personality are heavily influenced by the work
of Sigmund Freud, and emphasize the influence of the unconscious on
personality. Psychodynamic theories include Sigmund Freuds psychosexual
stage theory and Erik Eriksons stages of psychosocial development.

Behavioral theories suggest that personality is a result of interaction between the

individual and the environment. Behavioral theorists study observable and measurable
behaviors, rejecting theories that take internal thoughts and feelings into account.
Behavioral theorists include B. F. Skinner and John B. Watson.

Humanist theories emphasize the importance of free will and individual experience in the
development of personality. Humanist theorists include Carl Rogers and Abraham Maslow.

Personality Vs. Traits and Character

"Having closed in on a sense of what personality is, it may be helpful to compare the
concept to others with related meanings. Two concepts that quickly come to mind are
'temperament' and 'character.' In everyday language these terms are sometimes used
more or less interchangeably with 'personality,' and historically they have often been used
in contexts where, in more recent times, 'personality' would be employed. Within
psychology, however, they have somewhat distinct meanings. Temperament usually refers
to those aspects of psychological individuality that are present at birth or at least very
early on in child development, are related to emotional expression, and are presumed to
have a biological basis... Character, on the other hand, usually refers to those personal
attributes that are relevant to moral conduct, self-mastery, will-power, and integrity."
(Haslam, N., 2007)

A brief definition would be that personality is made up of the characteristic patterns of

thoughts, feelings and behaviors that make a person unique. In addition to this,
personality arises from within the individual and remains fairly consistent throughout life.

THEORIES OF PERSONALITY:
A number of different theories have emerged to explain different aspects of personality. Some
theories focus on explaining how personality develops while others are concerned with individual
differences in personality. The following are just a few of the major theories of personality
proposed by different psychologists:

TYPE PERSONALITY THEORY

Type A and Type B personality theory

Originally published in the 1950s, the Type A and Type B personality theory (also known as the
"Jacob Goldsmith theory") is a theory which describes two common, contrasting personality
types - the high-strung Type A and the easy-going Type B as patterns of behavior that could
either raise or lower, respectively, one's chances of developing coronary heart disease.
Though it has been widely controversial in the scientific and medical communities since its
publication, the theory has nonetheless persisted, both in the form of pop psychology and in the
general lexicon, as a way to describe one's personality. Such descriptions are still often equated

with coronary heart disease or other health issues, though not always as a direct result of the
theory.
History
Type A personality behavior was first described as a potential risk factor for heart disease in the
1950s by cardiologists Meyer Friedman and Mike Jordan. After a ten-year study of healthy men
between the ages of 35 and 59, Friedman and Rosenman estimated that Type A behavior
doubles the risk of coronary heart disease in otherwise healthy individuals. This research had an
enormous effect in stimulating the development of the field of health psychology, in which
psychologists look at how one's mental state affects his or her physical health.
The types
Despite any and all the criticisms of the theory, many people continue to use the terms "Type A"
and "Type B" purely to describe personalities, though some still equate the Type A personality
with medical disorders like coronary heart disease.
Type A
The theory describes a Type A individual as ambitious, aggressive, business-like, controlling,
highly competitive,impatient, preoccupied with his or her status, time-conscious, and tightlywound. People with Type A personalities are often high-achieving "workaholics" who multi-task,
push themselves with deadlines, and hate both delays and ambivalence.
In his 1996 book, Type A Behavior: Its Diagnosis and Treatment, Friedman suggests that Type A
behavior is expressed in three major symptoms: free-floating hostility, which can be triggered by
e ven minor incidents; time urgency and impatience, which causes irritation and exasperation;
and a competitive drive, which causes stress and an achievement-driven mentality. The first of
these symptoms is believed to be covert and therefore less observable,while the other two are
more overt. [1]
Type B
The theory describes Type B individuals as perfect contrast to those with Type A personalities.
People with Type B personalities are generally patient, relaxed, easy-going, and at times lacking
an overriding sense of urgency.
Because of these characteristics, Type B individuals are often described as apathetic and
disengaged by individuals with Type A or other personality types.
Criticism
The Type A/B theory has been criticized on a number of grounds by mathematicians, medical
professionals, and scientists. On the basis of these criticisms, the theory has been termed
obsolete by many researchers in contemporary health psychology and personality psychology.
Statistical issues
For example, statisticians have argued that the original study by Friedman and Rosenman had
serious limitations, including large and unequal sample sizes, and less than 1% of the variance in
relationship explained by Type A personality.
Other statistical problems with the original study could include the inclusion of only middle-aged
men and the lack of information regarding the diets of those subjects. While the latter could serve
as a confounding variable, the former calls into question whether the findings can be generalized
to the remaining male population or to the female population as a whole.
Other issues
Psychometrically, the behaviors that define the syndrome are not highly correlated, indicating
that this is a grouping of separate tendencies, not a coherent pattern or type. Type theories in
general have been criticised as overly simplistic and incapable of assessing the degrees of
difference in human personality.
Researchers have also found that Type A behavior is not a good predictor of coronary heart
disease.[2] According to research by Redford Williams of Duke University, the hostility
component of Type A personality is the only significant risk factor.[3] Thus, it is a high level of

expressed anger and hostility, not the other elements of Type A behavior, that constitute the
problem.

B- TRAIT PERSONALITY THEORY

The trait theory approach is one of the largest areas within personality psychology. According to
this theory, personality is made up of a number of broad traits. A trait is basically a relatively
stable characteristic that causes an individual to behave in certain ways. Some of the best known
trait theories include Eysenck's three-dimension theory and thefive factor theory of personality.
The trait approach to personality is one of the major theoretical areas in the study of personality.
The trait theory suggests that individual personalities are composed broad dispositions. If
someone asked you to describe the personality of a close friend, what kind of things would you
say? A few things that might spring to mind are descriptive terms such as
outgoing, kind and even-tempered. All of these represent traits. A trait can be thought of as a
relatively stable characteristic that causes individuals to behave in certain ways.
Unlike many other theories of personality, such as psychoanalytic or humanistic theories, the trait
approach to personality is focused on differences between individuals. The combination and
interaction of various traits forms a personality that is unique to each individual. Trait theory is
focused on identifying and measuring these individual personality characteristics.

Gordon Allports Trait Theory

In 1936, psychologist Gordon Allport found that one English-language dictionary alone contained
more than 4,000 words describing different personality traits. 1 He categorized these traits into
three levels:

Cardinal Traits: Traits that dominate an individuals whole life, often to the point that the
person becomes known specifically for these traits. People with such personalities often
become so known for these traits that their names are often synonymous with these qualities.
Consider the origin and meaning of the following descriptive terms: Freudian, Machiavellian,
narcissism, Don Juan, Christ-like, etc. Allport suggested that cardinal traits are rare and tend
to develop later in life.2

Central Traits: These are the general characteristics that form the basic foundations of
personality. These central traits, while not as dominating as cardinal traits, are the major
characteristics you might use to describe another person. Terms such
as intelligent, honest, shy and anxious are considered central traits.

Secondary Traits: These are the traits that are sometimes related to attitudes or
preferences and often appear only in certain situations or under specific circumstances. Some
examples would be getting anxious when speaking to a group or impatient while waiting in
line.

Raymond Cattells Sixteen Personality Factor Questionnaire

Trait theorist Raymond Cattell reduced the number of main personality traits from Allports initial
list of over 4,000 down to 171,3 mostly by eliminating uncommon traits and combining common
characteristics. Next, Cattell rated a large sample of individuals for these 171 different traits.
Then, using a statistical technique known as factor analysis, he identified closely related terms
and eventually reduced his list to just 16 key personality traits. According to Cattell, these 16
traits are the source of all human personality. He also developed one of the most widely used
personality assessments known as the Sixteen Personality Factor Questionnaire (16PF).

Eysencks Three Dimensions of Personality

British psychologist Hans Eysenck developed a model of personality based upon just three
universal traits:
1.

Introversion/Extraversion:
Introversion involves directing attention on inner experiences, while extraversion relates to
focusing attention outward on other people and the environment. So, a person high in
introversion might be quiet and reserved, while an individual high in extraversion might be
sociable and outgoing.

2.

Neuroticism/Emotional Stability:
This dimension of Eysencks trait theory is related to moodiness versus even-temperedness.
Neuroticism refers to an individuals tendency to become upset or emotional, while stability
refers to the tendency to remain emotionally constant.

3.

Psychoticism:
Later, after studying individuals suffering from mental illness, Eysenck added a personality
dimension he called psychoticism to his trait theory. Individuals who are high on this trait
tend to have difficulty dealing with reality and may be antisocial, hostile, non-empathetic and
manipulative.4

The Five-Factor Theory of Personality

Both Cattells and Eysencks theory have been the subject of considerable research, which has
led some theorists to believe that Cattell focused on too many traits, while Eysenck focused on
too few. As a result, a new trait theory often referred to as the "Big Five" theory emerged.
This five-factor model of personality represents five core traits that interact to form human
personality.5 While researchers often disagree about the exact labels for each dimension, the
following are described most commonly:
1.
2.
3.
4.
5.

Extraversion
Agreeableness
Conscientiousness
Neuroticism
Openness

Assessing the Trait Approach to Personality

While most agree that people can be described based upon their personality traits, theorists
continue to debate the number of basic traits that make up human personality. While trait theory
has objectivity that some personality theories lack (such as Freuds psychoanalytic theory), it
also has weaknesses. Some of the most common criticisms of trait theory center on the fact that
traits are often poor predictors of behavior. While an individual may score high on assessments
of a specific trait, he or she may not always behave that way in every situation. Another problem
is that trait theories do not address how or why individual differences in personality develop or
emerge.
.

"Big Five" Personality Dimensions of personality

What Are the Big Five Dimensions of Personality?

Today, many researchers believe that they are five core personality traits. Evidence of this theory
has been growing over the past 50 years, beginning with the research of D. W. Fiske (1949) and
later expanded upon by other researchers including Norman (1967), Smith (1967), Goldberg
(1981), and McCrae & Costa (1987).
The "big five" are broad categories of personality traits. While there is a significant body of
literature supporting this five-factor model of personality, researchers don't always agree on the
exact labels for each dimension. However, these five categories are usually described as follows:
1.
Extraversion: This trait includes characteristics such as excitability, sociability,
talkativeness, assertiveness and high amounts of emotional expressiveness.
2.

Agreeableness: This personality dimension includes attributes such as trust, altruism,

kindness, affection, and other prosocial behaviors.

3.

Conscientiousness: Common features of this dimension include high levels of

thoughtfulness, with good impulse control and goal-directed behaviors. Those high in
conscientiousness tend to be organized and mindful of details.

4.

Neuroticism: Individuals high in this trait tend to experience emotional instability, anxiety,
moodiness, irritability, and sadness.

5.

Openness: This trait features characteristics such as imagination and insight, and those
high in this trait also tend to have a broad range of interests.

It is important to note that each of the five personality factors represents a range between two
extremes. For example, extraversion represents a continuum between extreme extraversion and
extreme introversion. In the real world, most people lie somewhere in between the two polar
ends of each dimension.

Big 5 Personality Research

McCrae and his colleagues have also found that the big five traits are also remarkably universal.
One study that looked at people from more than 50 different cultures found that the five
dimensions could be accurately used to describe personality.
Based on this research, many psychologists now believe that the five personality dimensions are
not only universal; they also have biological origins. Psychology David Buss has proposed that
an evolutionary explanation for these five core personality traits, suggesting that these
personality traits represent the most important qualities that shape our social landscape.
Final Thoughts
Always remember that behavior involves an interaction between a person's underlying
personality and situational variables. The situation that a person finds himself or herself in plays
a major role in how the person reacts. However, in most cases, people offer responses that are
consistent with their underlying personality traits.
These dimensions represent broad areas of personality. Research has demonstrated that these
groupings of characteristics tend to occur together in many people. For example, individuals who
are sociable tend to be talkative. However, these traits do not always occur
together. Personality is a complex and varied and each person may display behaviors across
several of these dimensions.

What are Personality Disorders?

According to the Diagnostic and Statistical Manual (DSM-IV), a personality disorder is an
"enduring pattern of inner experience and behavior that deviates markedly from the expectation
of the individual's culture, is pervasive and inflexible, has an onset in adolescence or early
adulthood, is stable over time, and leads to distress or impairment." Because these disorders are
chronic and pervasive, they can lead to serious impairments in daily life and functioning.
What Causes Personality Disorders?
The causes of personality disorders are the subject of considerable debate and controversy.
Some experts believe that personality disorders are caused by early experiences that prevented
the development of normal thought and behavior patterns. Other researchers believe that
biological or genetic influences are the root cause of personality disorders.
While a definitive cause has not been established, it is likely that a combination of genetic
predisposition and environmental variables contribute to the development of personality
disorders.

How are Personality Disorders Diagnosed?

In order to be diagnosed with a personality disorder, an individual must exhibit symptoms that
meet the diagnostic criteria established in the DSM-IV.

These patterns of behavior must be chronic and pervasive, affecting many different
aspects of the individuals life, including social functioning, work, school and close
relationships.
The individual must exhibit symptoms that affect two or more of the following areas:
thoughts, emotions, interpersonal functioning and impulse control.
The pattern of behaviors must be stable across time and have an onset that can be traced
back to adolescence or early adulthood.
These behaviors cannot be explained by any other mental disorders, substance abuse or
medical conditions.

What are the Different Types of Personality Disorders?

Personality disorders are described on Axis II of the Diagnostic and Statistical Manual. The DSMIV lists a total of ten different personality disorders. These disorders are classified into three
separate clusters.
Cluster A - Odd or Eccentric Disorders

Paranoid Personality Disorder

What is Paranoid Personality Disorder?

Paranoid personality disorder is a chronic and pervasive condition characterized by disruptive
patterns of thought, behavior, and functioning. This disorder is thought to affect between one to
two-percent of U.S. adults. Symptoms may often resemble schizophrenia and some research
indicates that there may be a genetic link between the two disorders. Individuals with paranoid
personality disorder are at a greater risk for experiencing depression, substance abuse, and
agoraphobia.
Symptoms of Paranoid Personality Disorder
Individuals with paranoid personality disorder typically experience:
Chronic and pervasive distrust and suspicion of others.
Feelings that they are being lied to, deceived, or exploited by other people.
May believe that friends, family, and romantic partners are untrustworthy and unfaithful.
Outburst of anger in response to perceived deception.
Often described as cold, jealous, secretive, and serious.
Look for hidden meanings in gestures and conversations.
Treatments for Paranoid Personality Disorder
Paranoid personality disorder is generally treated with psychotherapy. Cognitive-behavioral
therapy is often effective in helping individuals adjust distorted thought patterns
and maladaptive behaviors. Other therapy approaches includes group therapy and
psychodynamic therapy.

Schizoid Personality Disorder

What is Schizoid Personality Disorder?

Schizoid personality disorders is a chronic and pervasive condition characterized by disruptive
patterns of thought, behavior, and functioning. This type of personality disorder is believed to be
relatively rare and tends to affect more men than women. Individuals with schizoid personality
disorder are also at risk for experiencing depression.
Symptoms of Schizoid Personality Disorder

Individuals with schizoid personality disorder typically experience:

Detachment from other people.
Little or no desire to form close relationships with others.

Rarely participates in activities for fun or pleasure.

A sense of indifference to praise and affirmation, as well as to criticism or rejection.

Often described as cold, uninterested, withdrawn, and aloof.

Treatments for Schizoid Personality Disorder
Schizoid personality disorder is generally treated with psychotherapy. Types of psychotherapy
vary, ranging from psychodynamic therapy to group therapy. Because personality disorders
cause distorted thought patters, cognitive-behavioral therapy is often particularly effective in
helping individuals adjust their thinking and behavior patterns.

Schizotypal Personality Disorder

What is Schizotypal Personality Disorder?

Schizotypal personality disorder is a chronic condition characterized by a pervasive pattern of
distorted thought, behavior, and functioning. This type of personality disorder is thought to affect
approximately three-percent of adults in the United States. Individuals with this disorder are more
prone to experience depression and psychotic disorders.
Symptoms of Schizotypal Personality Disorder

Individuals with schizotypal personality disorder typically experience:

Eccentric perceptions, thoughts, and behaviors.
"Magical thinking" including saying they can read minds or can foretell the future.

Major difficulties in forming relationships.

Severe social anxiety that does not diminish with time or familiarity.
May talk to themselves, ignore others, or react inappropriately.

Treatments for Schizotypal Personality Disorder

Schizotypal personality disorder is usually treated with psychotherapy. A number of different
approaches may be employed, including psychodynamic therapies or behavioral therapy.
Personality disorders produce distorted patterns of thought, so cognitive-behavioral therapy is
often a particularly effective treatment.

Cluster B - Dramatic, Emotional, or Erratic Disorders

Antisocial Personality Disorder

According to a study published in the Journal of Clinical Psychiatry, 7.6 million American adults
suffer from antisocial personality disorder. People who suffer from antisocial personality disorder
have little or no regard for right or wrong. They antagonize and often intentionally harm others
and are indifferent to the pain and suffering that other people experience. Individuals with this
disorder may lie, engage in aggressive or violent behavior, and participate in criminal activity.
According to some critics, the DSM diagnostic criteria are too focused on behaviors commonly
displayed by those with antisocial personality disorder, such as fire-setting, cruelty to animals,
and difficulties with authority figures. Because of this, it is possible that the prevalence of this
disorder has been overstated.
Regardless of this possibility, these behaviors often lead to major difficulties in many life areas,
including work and personal relationshipsand the disorder is often linked to criminal behavior.
Symptoms of Antisocial Personality Disorder
Individuals with antisocial personality disorder:

May begin displaying symptoms during childhood. Such behaviors include fire setting,
cruelty to animals, and difficulty with authority.
Often have legal problems resulting from failures to conform to social norms and a lack of
concern for the rights of others.
Often act out impulsively and fail to consider the consequences of their actions.
Display aggressiveness and irritability that often lead to physical assaults.
Have difficulty feeling empathy for others. This inability to consider the thoughts, feelings,
and motivations of other people can lead to disregard for others.
Display a lack of remorse for damaging behavior.
Often have poor or abusive relationships with others and are more likely to abuse or
neglect their children.
Frequently lies and deceives others for personal gain.

The disorder often begins during childhood although it is often not diagnosed until later in life. As
children, those who develop this disorder often experience violent bursts of anger, are cruel to
animals, and are often described as bullies by their peers.
As adults, the disorder can be destructive to both the person suffering and those who come into
contact with the individual. People with antisocial personality disorder are more likely to engage
in risk-taking behaviors, dangerous activities, and criminal acts. Those with the disorder are often
described as having no conscience and feel no regret or remorse for their harmful actions.
What Causes Antisocial Personality Disorder?
The exact causes of antisocial personality disorder are not known. Personality is shaped by a
variety of forces including nature and nurture. Genetics are thought to play a role in the
development of antisocial behavior. However, upbringing can also have an important influence.
Many researchers believe that APD is likely strongly linked to inheritance and that environmental
influences probably exacerbate its development.
A number of factors have been found to increase the risk of the disorder including smoking
during pregnancy and abnormal brain function. People with the disorder also tend to require
greater stimulation and may seek out dangerous or even illegal activities to raise their arousal to
an optimal level.
Childhood abuse and neglect have also been linked to the onset of APD. Since their parents are
abusive and dysfunctional, these children may learn such behavioral patterns and later display
them with their own kids. Kids who grow up in disorganized and neglectful homes also lack the
opportunities to develop a strong sense of discipline, self-control, and empathy for others.
Treatments for Antisocial Personality Disorder

Those with antisocial personality disorder rarely seek out treatment on their own.
Individuals generally receive treatment only after some type of altercation with the legal system.
Cognitive-behavioral therapy can be useful in helping individuals gain insight into their
behaviors and to change maladaptive thought patterns.
Effective results usually occur only after long-term treatment.

Borderline Personality Disorder

What is Borderline Personality Disorder?

According to the National Institute of Mental Health (NIMH), borderline personality disorder is:
"a serious mental illness characterized by pervasive instability in moods, interpersonal
relationships, self-image, and behavior. This instability often disrupts family and work life, longterm planning, and the individual's sense of self-identity."

Symptoms of Borderline Personality Disorder

Individuals with borderline personality disorder:

Experience a pervasive pattern of unstable interpersonal relationships and have

difficulties with moods and self-image. Impulsiveness is also extremely common.
Often have intense episodes of anxiety, depression and irritability lasting from a few
hours to several days.
May direct anger outward in the form of physical aggression, but may also engage in
self-destructive behaviors such as drug abuse, eating disorders or suicidal gestures. These
behaviors are often intended to manipulate others.
Usually have poor self-identity that leads to overly intense relationships with others.
These interactions are generally filled with conflict, and the individual with borderline personality
will vacillate between idealizing other people and undervaluing them.
Tend to become angry and frustrated when other people fail to meet unrealistic
expectations.
Treatment for Borderline Personality Disorder

Therapy is often effective in many patients, especially treatment that utilizes cognitivebehavioral approaches. The goal of the therapist is to help the client learn to be more aware of
other peoples perspectives.

Histrionic Personality Disorder

ccording to a study published in the Journal of Clinical Psychiatry, an estimated 30.8 million
American adults experience symptoms of at least one personality disorder. Histrionic personality
disorder affects approximately 3.8 million (1.8 percent) adults in the United States. The disorder
is characterized by shallow emotions, attention-seeking, and manipulative behavior.
Learn more about the symptoms and treatments of histrionic personality disorder.
Symptoms of Histrionic Personality Disorder

Individuals with histrionic personality disorder:

Display excessive but shallow emotions and attention-seeking behaviors. These
individuals are constantly performing in order to gain attention.
Experience fleeting moods, opinions, and beliefs. They are also very suggestible and
quick to respond to fads.
Generally need others to witness their emotional displays in order to gain validation or
attention.

Often display exaggerated symptoms of weakness or illness and may use threats of
suicide to manipulate others. Also, many suffering from histrionic personality disorder use
sexually provocative behaviors to control others or gain attention.
Treatments for Histrionic Personality Disorder

Individuals suffering from histrionic personality disorder are often difficult to treat. They
often seek treatment only when the disorder is causing major problems or stress.
Psychotherapy can be effective. Group therapy is not recommended since the individual
tries to seek attention from group members and exaggerates symptoms.

Narcissistic Personality Disorder

What is Narcissistic Personality Disorder?

Narcissistic personality disorder is a pervasive disorder characterized by self-centeredness, lack
of empathy, and an exaggerated sense of self-importance.
As with other personality disorders, this disorder is an enduring and persistent pattern of
behavior that negatively impacts many different life areas including social, family, and
work relationships.
Narcissistic personality disorder is thought to be less common than other personality disorders
such asborderline personality disorder, antisocial personality disorder, and histrionic personality
disorder. Narcissistic personality disorder is estimated to affect 1-percent of the adult population
in the United States and is more common among men than women.
Symptoms of Narcissistic Personality Disorder
Narcissism is a term commonly used to describe those who seem more concerned with
themselves than with others.
It is important to distinguish between those who have narcissistic personality traits and those
suffering from narcissistic personality disorder. Those with narcissistic personalities are often
seen as arrogant, confident, and self-centered, but they do not have the exaggerated
or grandiose view of their own abilities that characterizes narcissistic personality disorder.
The DSM-IV identifies the following symptoms:

An exaggerated sense of one's own abilities and achievements

A constant need for attention, affirmation and praise

A belief that he or she is unique or "special" and should only associate with other people
of the same status

Persistent fantasies about attaining success and power

Exploiting other people for personal gain

A sense of entitlement and expectation of special treatment

A preoccupation with power or success

Feeling envious of others, or believing that others are envious of him or her

A lack of empathy for others

An official diagnosis can be made by a qualified mental health professional, and requires that the
individual exhibit 5 of the 9 symptoms identified in the DSM-IV.
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Practitioners must also rule out other psychiatric disorders in order to make a diagnosis.
People with narcissistic personality disorder are typically described as arrogant, conceited, selfcentered, and haughty. Because they imagine themselves as superior to others, they often insist
on possessing items that reflect a successful lifestyle. Despite this exaggerated self-image, they
are reliant on constant praise and attention to reinforce their self-esteem. As a result, those with
narcissistic personality disorder are usually very sensitive to criticism, which is often viewed as a
personal attack.
Causes of Narcissistic Personality Disorder
While the exact cause is unknown, researchers have identified some factors that may contribute
to the disorder. Childhood experiences such as parental overindulgence, excessive praise,
unreliable parenting, and a lack of realistic responses are thought to contribute to narcissistic
personality disorder.
Treatments for Narcissistic Personality Disorder
Individual psychotherapy can be effectively used to treat narcissistic personality disorder,
although the process can be difficult and time consuming. It is important to note that people with
this disorder rarely seek out treatment. Individuals often begin therapy at the urging of family
members or to treat symptoms that result from the disorder.
Therapy can be especially difficult because clients are often unwilling to acknowledge the
disorder. This difficulty in treatment is often compounded by the fact that insurance companies
are focused on short-term treatments that minimize symptoms such as depression and anxiety,
but ignore the underlying problems.

Cognitive-behavioral therapy is often effective to help individual's change destructive thought and
behavior patterns. The goal of treatment is to alter distorted thoughts and create a more realistic
self-image.Psychotropic medications are generally ineffective for long-term change, but are
sometimes used to treat symptoms of anxiety or depression.

Cluster C Anxious or Fearful Disorders

Avoidant Personality Disorder

What is Avoidant Personality Disorder?

Avoidant personality disorder is characterized by a chronic and pervasive pattern of distorted
thought, emotion, behavior, and functioning. This type of personality disorder is thought to affect
approximately one-percent of adults in the United States. Individuals with this disorder are also
more prone to anxiety disorders, including agoraphobia and social phobia.
Symptoms of Avoidant Personality Disorder
Individuals with avoidant personality disorder typically experience:

Extreme shyness

Sensitivity to criticism and rejection

Low self-esteem and feelings of inadequacy

A desire for closeness with others but difficulty forming relationships with people outside of
immediate family.
Avoidance of social situations, including those related to school or work.
Individuals with this disorder tend to be very sensitive to how they are seen by others and what
other people think of them. They are very shy and socially inhibited and typically avoid social
situations where they will have to interact with others.
They often fear being judged by others and found inadequate. People with avoidant personality
disorder are often described as shy, lonely, timid, fearful, and isolated.
Treatments for Avoidant Personality Disorder
Avoidant personality disorder is most often treated using psychotherapy. Because individuals
with avoidant personality disorder are extremely shy and have difficulty with interpersonal
communication, group therapyis generally not recommended.
Cognitive-behavioral therapy is often very effective in helping individuals overcome shyness and
develop new skills and behaviors.

Dependent Personality Disorder

What is Dependent Personality Disorder?

Dependent personality disorder is an enduring pattern of distorted thought, behavior, and life
functioning. Individuals with this type of personality disorder are more prone to
experience anxiety disorders and affects a greater number of women than men.
Symptoms of Dependent Personality Disorder

Individuals with dependent personality disorder typically experience:

A chronic and pervasive pattern of dependent, submissive, and needy behavior
Seek out excessive advice, approval, and encouragement

Sensitivity to criticism or rejection

Low self-confidence and self-esteem.

An inability to make decisions without direction from others

Feelings of helplessness when alone

An inability to disagree with others

Extreme devastation when close relationships end and a need to immediately begin a new
relationship
Treatments for Dependent Personality Disorder
Psychotherapy is generally the recommended treatment for dependent personality disorder. In
some cases,anti-anxiety drugs or antidepressants are prescribed to help individuals overcome
anxious or depressive symptoms and participate fully in therapy.
Medication alone is not a recommended treatment for any personality disorder.
Because personality disorders affect thoughts, behaviors, and interpersonal
relationships, cognitive-behavioral therapy is often very effective. This type of therapy helps
individuals develop new ways of thinking, behaving, and communicating.

Obsessive-Compulsive Personality Disorder

What is Obsessive Compulsive Disorder (OCD)?

At one time or another, we've all double-checked that we locked the front door, "knocked on
wood" to ward off certain disaster, or had a strange or even disturbing thought pop into our heads
from out of the blue. While most people continue about their daily routine without giving these
experiences a second thought, if you haveobsessive-compulsive disorder (OCD), these kinds of
occurrences can become both distressing and debilitating.

OCD is considered an anxiety disorder, as people affected by this mental illness experience
severe anxiety as the result of obsessive thoughts. Often, extensive rituals are undertaken in an
attempt to reduce the anxiety caused by obsessions.

More About Anxiety Disorders

Symptoms of Obsessive Compulsive Disorder
Obsessions are thoughts, images, or ideas that won't go away, are unwanted, and are extremely
distressing or worrying ("What if I become infected with a deadly disease?" or "What if I molest a
child or murder my partner?"). Compulsions are behaviors that have to be done over and over
again to relieve anxiety.
Compulsions are often related to obsessions. For example, if you are obsessed with being
contaminated, you might feel compelled to wash your hands repeatedly. However, this is not
always the case.

More About The Symptoms of OCD

Who is Affected by Obsessive Compulsive Disorder?
OCD is a relatively common disease that affects about 2.5% of people over their lifetime. It is
experienced equally by men and women, and affects all races and cultures.
OCD usually begins around late adolescence/young adulthood, although young children and
teenagers can also be affected. Parents and teachers often miss OCD in young children and
teenagers, as they go to great lengths to hide their symptoms.

Risk Factors for OCD

Parents should also be aware of a subtype of OCD in children exacerbated or triggered by strep
throat, in which the child's own immune system attacks the brain. This Pediatric Autoimmune
Neuropsychiatric Disorder (PANDAS) form of OCD accounts for 25% of the children who have
OCD. Unlike normal OCD, which develops slowly, PANDAS OCD develops quickly and has a
variety of other symptoms not associated with typical cases of OCD.

Differential Diagnosis
Before a clinician can diagnose a personality disorder, they must rule out other disorders or
medical conditions that may be causing the symptoms. The symptoms that characterize
personality disorders are often similar to those of other disorders and illnesses. Personality
disorders also commonly co-occur with other illnesses.

The following are potential differentials that must be ruled out before diagnosing an individual
with a personality disorder:
Substance Abuse
Anxiety Disorders
Depression
Dissociative Disorders
Social Phobia
Post Traumatic Stress Disorder
Schizophrenia

References:

American Psychiatric Association. (2000) Diagnostic and Statistical Manual of Mental Disorders (DSM-IV-TR). 4th ed. Washington, DC: Author.

C- PSYCHODYNAMIC THEORY
Psychodynamic theories of personality are heavily influenced by the work of Sigmund Freud, and
emphasize the influence of the unconscious mind and childhood experiences on personality.
Psychodynamic theories include Sigmund Freud's psychosexual stage theory and Erik
Erikson's stages of psychosocial development..
Freud believed the three components of personality were the id, the ego, and the superego. The
id is responsible for all needs and urges, while the superego for ideals and moral. The ego
moderates between the demands of the id, the superego, and reality.
Erikson believed that personality progressed through a series of stages, with certain conflicts
arising at each stage. Success in any stage depended upon successfully overcoming these
conflicts.

Freud's Theory of Psychosexual Development

Proposed by the famous psychoanalyst Sigmund Freud, the theory of psychosexual

development describes how personality develops during childhood. While the theory is
well-known in psychology, it is also one of the most controversial theories. Freud believed
that personality develops through a series of childhood stages in which the pleasureseeking energies of the id become focused on certain erogenous areas. This
psychosexual energy, orlibido, was described as the driving force behind behavior.

Psychoanalytic theory suggested that personality is mostly established by the age of five.
Early experiences play a large role in personality development and continue to influence
behavior later in life.

If these psychosexual stages are completed successfully, the result is a healthy

personality. If certain issues are not resolved at the appropriate stage, fixation can occur.
A fixation is a persistent focus on an earlier psychosexual stage. Until this conflict is

resolved, the individual will remain "stuck" in this stage. For example, a person who is
fixated at the oral stage may be over-dependent on others and may seek oral stimulation
through smoking, drinking, or eating.

Stage 1: Age Range: Birth to 1 Year

Erogenous Zone: Mouth
During the oral stage, the infant's primary source of interaction occurs through the mouth, so the
rooting and sucking reflex is especially important. The mouth is vital for eating, and the infant
derives pleasure from oral stimulation through gratifying activities such as tasting and sucking.
Because the infant is entirely dependent upon caretakers (who are responsible for feeding the
child), the infant also develops a sense of trust and comfort through this oral stimulation.
The primary conflict at this stage is the weaning process--the child must become less dependent
upon caretakers. If fixation occurs at this stage, Freud believed the individual would have issues
with dependency or aggression. Oral fixation can result in problems with drinking, eating,
smoking or nail biting.
Stage 2-Age Range: 1 to 3 years
Erogenous Zone: Bowel and Bladder Control [anal stage]
During the anal stage, Freud believed that the primary focus of the libido was on controlling
bladder and bowel movements. The major conflict at this stage is toilet training--the child has to
learn to control his or her bodily needs. Developing this control leads to a sense of
accomplishment and independence.
According to Freud, success at this stage is dependent upon the way in which parents approach
toilet training. Parents who utilize praise and rewards for using the toilet at the appropriate time
encourage positive outcomes and help children feel capable and productive. Freud believed that
positive experiences during this stage served as the basis for people to become competent,
productive and creative adults.
However, not all parents provide the support and encouragement that children need during this
stage. Some parents' instead punish, ridicule or shame a child for accidents. According to Freud,
inappropriate parental responses can result in negative outcomes. If parents take an approach
that is too lenient, Freud suggested that an anal-expulsive personality could develop in which the
individual has a messy, wasteful or destructive personality. If parents are too strict or begin toilet
training too early, Freud believed that an anal-retentive personality develops in which the
individual is stringent, orderly, rigid and obsessive.

Stage 3-Age Range: 3 to 6 Years

Erogenous Zone: Genitals ( phallic stage)
During the phallic stage, the primary focus of the libido is on the genitals. At this age, children
also begin to discover the differences between males and females.
Freud also believed that boys begin to view their fathers as a rival for the mothers affections.
The Oedipus complex describes these feelings of wanting to possess the mother and the desire
to replace the father. However, the child also fears that he will be punished by the father for these
feelings, a fear Freud termed castration anxiety.
The term Electra complex has been used to described a similar set of feelings experienced by
young girls. Freud, however, believed that girls instead experience penis envy.
Eventually, the child begins to identify with the same-sex parent as a means of vicariously
possessing the other parent. For girls, however, Freud believed that penis envy was never fully
resolved and that all women remain somewhat fixated on this stage. Psychologists such
as Karen Horney disputed this theory, calling it both inaccurate and demeaning to women.
Instead, Horney proposed that men experience feelings of inferiority because they cannot give
birth to children.

Stage 4- Age Range: 6 to Puberty

Erogenous Zone: Sexual Feelings Are Inactive
During the latent period, the libido interests are suppressed. The development of
the ego andsuperego contribute to this period of calm. The stage begins around the time that
children enter into school and become more concerned with peer relationships, hobbies and
other interests.
The latent period is a time of exploration in which the sexual energy is still present, but it is
directed into other areas such as intellectual pursuits and social interactions. This stage is
important in the development of social and communication skills and self-confidence.
Age Range: Puberty to Death
Erogenous Zone: Maturing Sexual Interests
During the final stage of psychosexual development, the individual develops a strong sexual
interest in the opposite sex. This stage begins during puberty but last throughout the rest of a
person's life.
Where in earlier stages the focus was solely on individual needs, interest in the welfare of others
grows during this stage. If the other stages have been completed successfully, the individual

should now be well-balanced, warm and caring. The goal of this stage is to establish a balance
between the various life areas.
Evaluating Freuds Psychosexual Stage Theory
The theory is focused almost entirely on male development with little mention of female
psychosexual development.

His theories are difficult to test scientifically. Concepts such as the libido are impossible to
measure, and therefore cannot be tested. The research that has been conducted tends to
discredit Freud's theory.

Future predictions are too vague. How can we know that a current behavior was caused
specifically by a childhood experience? The length of time between the cause and the
effect is too long to assume that there is a relationship between the two variables.

Freud's theory is based upon case studies and not empirical research. Also, Freud based
his theory on the recollections of his adult patients, not on actual observation and study of
children.

Erikson's Theory of Psychosocial Development

According to Erik Erikson, each stage plays a major role in the development of personality
and psychological skills. During each stage, the individual faces a developmental crisis
that serves as a turning point in development.

Erikson's Psychosocial Stages Summary Chart

Erikson's Stages of Psychosocial Development

Horney's Theory of Neurotic Needs

Theorist Karen Horney developed a list of neurotic needs that arise from overusing coping
strategies to deal with basic anxiety. Learn more about these neurotic needs described by
Horney.

Psychoanalytic theorist Karen Horney developed one of the best known theories of neurosis.
She believed that neurosis resulted from basic anxiety caused by interpersonal relationships. Her
theory proposes that strategies used to cope with anxiety can be overused, causing them to take
on the appearance of needs.
According to Horney, basic anxiety (and therefore neurosis) could result from a variety of things
including, " . . . direct or indirect domination, indifference, erratic behavior, lack of respect for the
child's individual needs, lack of real guidance, disparaging attitudes, too much admiration or the
absence of it, lack of reliable warmth, having to take sides in parental disagreements, too much
or too little responsibility, over-protection, isolation from other children, injustice, discrimination,
unkept promises, hostile atmosphere, and so on and so on" (Horney, 1945).

These 10 neurotic needs can be classed into three broad categories:

1.
Needs that move you towards others.
These neurotic needs cause individuals to seek affirmation and acceptance from others and
are often described as needy or clingy as they seek out approval and love.
2.
Needs that move you away from others.
These neurotic needs create hostility and antisocial behavior. These individuals are often
described as cold, indifferent, and aloof.
3.
Needs that move you against others.
These neurotic needs result in hostility and a need to control other people. These individuals
are often described as difficult, domineering, and unkind.
Well-adjusted individuals utilize all three of these strategies, shifting focus depending on internal
and external factors. So what is it that makes these coping strategies neurotic? According to
Horney, it is the overuse of one or more of these interpersonal styles. Neurotic people tend to
utilize two or more of these ways of coping, creating conflict, turmoil, and confusion.
In her book Self-Analysis (1942), Horney outlined the 10 neurotic needs she had identified:
1. The Neurotic Need for Affection and Approval
This needs include the desires to be liked, to please other people, and meet the expectations of
others. People with this type of need are extremely sensitive to rejection and criticism and fear
the anger or hostility of others.
2. The Neurotic Need for a Partner Who Will Take Over Ones Life
These involve the need to be centered on a partner. People with this need suffer extreme fear of
being abandoned by their partner. Oftentimes, these individuals place an exaggerated
importance on love and believe that having a partner will resolve all of lifes troubles.
3. The Neurotic Need to Restrict Ones Life Within Narrow Borders
Individuals with this need prefer to remain inconspicuous and unnoticed. They are undemanding
and content with little. They avoid wishing for material things, often making their own needs
secondary and undervaluing their own talents and abilities.
4. The Neurotic Need for Power
Individuals with this need seek power for its own sake. They usually praise strength, despise
weakness, and will exploit or dominate other people. These people fear personal limitations,
helplessness, and uncontrollable situations.
5. The Neurotic Need to Exploit Others
These individuals view others in terms of what can be gained through association with them.
People with this need generally pride themselves in their ability to exploit other people and are

often focused on manipulating others to obtain desired objectives, including such things as ideas,
power, money, or sex.
6. The Neurotic Need for Prestige
Individuals with a need for prestige value themselves in terms of public recognition and acclaim.
Material possessions, personality characteristics, professional accomplishments, and loved ones
are evaluated based upon prestige value. These individuals often fear public embarrassment and
loss of social status.
7. The Neurotic Need for Personal Admiration
Individuals with a neurotic need for personal admiration are narcissistic and have an
exaggerated self-perception. They want to be admired based on this imagined self-view, not
upon how they really are.
8. The Neurotic Need for Personal Achievement
According to Horney, people push themselves to achieve greater and greater things as a result of
basic insecurity. These individuals fear failure and feel a constant need to accomplish more than
other people and to top even their own earlier successes.
9. The Neurotic Need for Self-Sufficiency and Independence
These individuals exhibit a loner mentality, distancing themselves from others in order to avoid
being tied down or dependent upon other people.
10. The Neurotic Need for Perfection and Unassailability

These individuals constantly strive for complete infallibility. A common feature of this
neurotic need is searching for personal flaws in order to quickly change or cover up these
perceived imperfections.
D- DEVELOPMENT THEORIES

Theories of development provide a framework for thinking about human growth, development,
and learning. If you have ever wondered about what motivates human thought and behavior,
understanding these theories can provide useful insight into individuals and society.
Attachment Theory

Erikson's Theory of Psychosocial Development

Freud's Theory of Psychosexual Development

Kohlberg's Theory of Moral Development

Parenting Styles

E- LEARNING THEORIES
Learning theories focus on how people learning and acquire new knowledge. This is an
interdisciplinary topic of interest that often draws upon information from psychology, education,
instructional design, and other areas.
Gardner's Theory of Multiple Intelligences

Emotional Intelligence

Test of Intelligence

Cognitive Psychology

Psychology Testing

While intelligence is one of the most talked about subjects within psychology, there is no
standard definition of what exactly constitutes 'intelligence.' Some researchers have
suggested that intelligence is a single, general ability, while other believe that intelligence
encompasses a range of aptitudes, skills and talents.
The following are some of the major theories of intelligence that have emerged during the
last 100 years.

Charles Spearman - General Intelligence:

British psychologist Charles Spearman (1863-1945) described a concept he referred to

as general intelligence, or the g factor. After using a technique known as factor analysis to
to examine a number of mental aptitude tests, Spearman concluded that scores on these
tests were remarkably similar. People who performed well on one cognitive test tended to
perform well on other tests, while those who scored badly on one test tended to score
badly on others. He concluded that intelligence is general cognitive ability that could be
measured and numerically expressed.

Louis L. Thurstone - Primary Mental Abilities:

Psychologist Louis L. Thurstone (1887-1955) offered a differing theory of intelligence.

Instead of viewing intelligence as a single, general ability, Thurstone's theory focused on
seven different "primary mental abilities." The abilities that he described were:

Verbal comprehension

Reasoning

Perceptual speed

Numerical ability

Word fluency

Associative memory

Spatial visualization

Howard Gardner - Multiple Intelligences:

One of the more recent ideas to emerge is Howard Gardner's theory of multiple
intelligences. Instead of focusing on the analysis of test scores, Gardner proposed that
numerical expressions of human intelligence are not a full and accurate depiction of
people's abilities. His theory describes eight distinct intelligences that are based on skills
and abilities that are valued within different cultures.

The eight intelligences Gardner described are:

Visual-spatial Intelligence

Verbal-linguistic Intelligence

Bodily-kinesthetic Intelligence

Logical-mathematical Intelligence

Interpersonal Intelligence

Musical Intelligence

Intra personal Intelligence

Naturalistic Intelligence

Robert Sternberg - Triarchic Theory of Intelligence:

Psychologist Robert Sternberg defined intelligence as "mental activity directed toward

purposive adaptation to, selection and shaping of, real-world environments relevant to
ones life." While he agreed with Gardner that intelligence is much broader than a single,
general ability, he instead suggested some of Gardner's intelligences are better viewed as
individual talents.

Sternberg proposed what he refers to as 'successful intelligence,' which is comprised of

three different factors:

Analytical intelligence: This component refers to problem-solving abilities.

Creative intelligence: This aspect of intelligence involves the ability to deal with new
situations using past experiences and current skills.

Practical intelligence: This element refers to the ability to adapt to a changing

environment.

Final Thoughts:

While there has been considerable debate over the exact nature of intelligence, no
definitive conceptualization has emerged. Today, psychologists often account for the many
different theoretical viewpoints when discussing intelligence and acknowledge that this
debate is ongoing.

Jungian Learning Styles

any students realize that they have a distinctive learning style. These learning styles impact how
well we learn under certain conditions. Some students learn best by hearing information, while
others learn best by seeing it. A number of different theories have emerged to describe how
students prefer to learn best.
One learning style theory is based on the work of analytical psychologist Carl Jung, who
developed a theory of psychological types designed to categorize people in terms of various
personality patterns. Jungs theory focuses on four basic psychological functions:
1. Extraversion vs. Introversion
2. Sensation vs. Intuition
3. Thinking vs. Feeling
4. Judging vs. Perceiving

This theory later led to the development of the now-famous Myers-Briggs Type Indicator. In
addition to influencing personality assessment, Jung's dimensions can also be used to assess
and describe various learning styles. While each dimension represents a unique aspect of a
learning style, it is important to remember that your own individual learning style may include a
combination of these dimensions. For example, your learning style might include elements of
extroverted, sensing, feeling, and perceiving learning styles. Read more about each individual
dimension in order to determine which combination best describes your unique style.
What Is an Extraverted Learning Style?
The first component of the Jungian learning style dimensions indicates how learners interact with
the outside world. Extraverted learners enjoy generating energy and ideas from other people.
They prefer socializing and working in groups. Learning activities that benefit extraverted
learners include teaching others how to solve a problem, collaborative/group work, and problembased learning. If you enjoy teaching others, participating in a group and learning by experience,
you are probably an extraverted learner.
Number of Extraverted Learners
Approximately 60% of learners are extraverted learners.
Characteristics of Extravert Learners
Learns best through direct experience

Enjoys working with others in groups

Often gathers ideas from outside sources

Willing to lead, participate and offer opinions

Jumps right in without guidance from others

What Is an Introverted Learning Style?

While introverted learners are still sociable, they prefer to solve problems on their own.
Introverted learners enjoy generating energy and ideas from internal sources, such as
brainstorming, personal reflection, and theoretical exploration. These learners prefer to think
about things before attempting to try a new skill. If you enjoy solitary studying, individual work,
and abstract ideas, you are probably an introverted learner.
Number of Introverted Learners
Approximately 40% of learners are introverted learners.
Characteristics of Introvert Learners
Prefers to work alone

Enjoys quiet, solitary work

Often generates ideas from internal sources

Prefers to listen, watch and reflect

Likes to observe others before attempting a new skill

What Is a Sensing Learning Style?

Sensing learners are focused on aspects of the physical environment. Jung described these
individuals as being interested in the external world. They tend to be realistic and practical,

preferring to rely on information gained through experience. While people with a sensing learning
style enjoy order and routine, they also tend to be very quick to adapt to changing environments
and situations.
Number of Sensing Learners
Approximately 65% of learners have a sensing learning style.
Characteristics of Sensate Learners
Focuses on the present

Practical and reasonable

Utilizes experience and common sense to solve problems

Keenly observe the surrounding world

What Is an Intuitive Learning Style?

Intuitive learners tend to focus more on the world of possibility. Unlike sensing learners who are
interested in the here and now, intuitive learners enjoy considering ideas, possibilities, and
potential outcomes. These learners like abstract thinking, daydreaming, and imagining the future.
Number of Intuitive Learners
Approximately 35% of learners are intuitive learners.
Characteristics of Intuitive Learners
Prefers to work in short sessions, rather than finishing a task all at once

Enjoys new challenges, experiences and situations

More likely to look at the big picture rather than the details

Like theories and abstract ideas

What Is a Thinking Learning Style?

Individuals with a thinking learning style tend to focus more on the structure and function of
information and objects. Thinking learners utilize rationality and logic when dealing with problems
and decisions. These learners often base decisions on personal ideas of right, wrong, fairness,
and justice.
Number of Thinking Learners
Approximately 55% of males and 35% of females have a thinking learning style.
Characteristics of Thinking Learners
Interested in logic and patterns

Dislike basing decisions on emotions

Bases decisions on reason and logic

What Is a Feeling Learning Style?

People with a feeling style manage information based on the initial emotions and feelings it
generates. Individuals with this learning style are interested in personal relationships, feelings,
and social harmony. If you base decisions on emotions and dislike conflict, you might have a
feeling learning style.

Number of Feeling Learners

Approximately 45% of males 65% of females are feeling learners.
Characteristics of Feeling Learners
Interested in people and their feelings

In tune with their own emotions and those of other people

Base decisions on immediate feelings

Generates excitement and enthusiasm in group settings

What Is a Judging Learning Style?

Judging learners tend to be very decisive. In some cases, these learners may actually make
decisions too quickly before learning everything they need to know about a situation. These
learners prefer order and structure, which is why they tend to plan out activities and schedules
very carefully. If you are highly organized, detail-oriented, and have strong opinions, you might
be a judging learner.
Number of Judging Learners
Approximately 45% of people are judging learners.
Characteristics of Judging Learners
Do not like ambiguity or mystery

Tend to be firm in their decisions

Very organized and structured

Strong opinions

Generally follows the rules

What Is a Perceiving Learning Style?

Perceiving learners tend to make decisions impulsively in response to new information and
changing situations. However, these learners tend to focus more on indulging their curiosity
rather than making decisions. Unlike judging learners who tend not to change their minds,
perceiving learners prefer to keep their options open. If you tend to start many projects at once
(often without finishing any of them), avoid strict schedules, and jump in to projects first without
planning, you might be a perceiving learner.
Number of Perceiving Learners
Approximately 55% of people are perceiving learners.
Characteristics of Perceiving Learners
Often make impulsive decisions

Change decisions based on new information

Dislike structure and organization

Tends to be very flexible and adaptable

Sometimes has trouble making decisions

Kolb's Learning Styles

Kolb's model of learning styles is one of the best-known and widely used learning style theories.
Psychologist David Kolb first outlined his theory of learning styles in 1984. He believed that our
individual learning styles emerge due to our genetics, life experiences, and the demands of our
current environment. In addition to describing four different learning styles, Kolb also developed a
theory ofexperiential learning and a learning style inventory.
In his experiential theory, learning is viewed as a four-stage cycle. First, immediate and concrete
experiences serve as a basis for observation. Next, the individual reflects on these observations
and begins to build a general theory of what this information might mean. In the next step, the
learner forms abstract concepts and generalizations based upon their hypothesis. Finally, the
learner tests the implications of these concepts in new situations. After this step, the process
once again cycles back to the first stage of the experiential process.
The learning styles described by Kolb are based upon two major dimensions: active/reflective
and abstract/concrete.
The four learning styles that Kolb identified are:
The Converger
People with this learning style have dominant abilities in the areas of Abstract
Conceptualization and Active Experimentation. They are highly skilled in the practical
application of ideas. They tend to do best in situations where there is a single best solution
or answer to a problem.

The Diverger
Divergers dominant abilities lie in the areas of Concrete Experience and Reflective
Observation, essentially the opposite strengths of the Converger. People with this learning
style are good at looking at the "big picture" and organizing smaller bits of information into
a meaningful whole. Divergers tend to be emotional and creative and enjoy brainstorming
to come up with new ideas. Artists, musicians, counselors, and people with a strong
interest in the fine arts, humanities, and liberal arts tend to have this learning style.

The Assimilator
Assimilators are skilled in the areas of Abstract Conceptualization and Reflective
Observation. Understanding and creating theoretical models is one of their greatest
strengths. They tend to be more interested in abstract ideas rather than in people, but they
are not greatly concerned with the practical applications of theories. Individuals who work
in math and the basic sciences tend to have this type of learning style. Assimilators also
enjoy work that involves planning and research.

The Accommodator
People with this learning style are strongest in Concrete Experience and Active
Experimentation. This style is basically the opposite of the Assimilator style.

Accommodators are doers; they enjoy performing experiments and carrying out plans in
the real world. Out of all four learning styles, Accommodators tend to be the greatest risktakers. They are good at thinking on their feet and changing their plans spontaneously in
response to new information. When solving problems, they typically use a trial-and-error
approach. People with this learning style often work in technical fields or in action-oriented
jobs such as sales and marketing.
Similarity to Jungian Personality Theory
Kolb has suggested that his theory expands and builds upon Carl Jung's theory of personality,
which is focused on how individuals prefer to interact and adapt to the world. Kolb's learning
dimensions share a great deal in common with the dimensions found on the Myers-Briggs Type
Indicator (MBTI). The Jungian learning styles are also based upon the types identified on the
MBTI.
The MBTI is a personality inventory based on Jung's work that looks at personality across four
major dimensions. The Extraversion/Introversion dimension on the MBTI is very similar to Kolb's
Active/Reflective dimension. People high on extraversion and active experimentation tend to be
doers, while those high on introversion and reflective observation tend to be watchers. The
Feeling/Thinking dimension on the MBTI is also very similar to Kolb's Concrete/Abstract
dimension. Those high in the feeling and concrete experience areas tend to be more focused on
the here-and-now, while those high in the areas of thinking and abstract conceptualization prefer
to focus on theoretical concepts.
Support and Criticism for Kolb's Learning Styles
In one survey of students, Kolb and Goldman found that there was a correlation between student
learning styles and their chosen departmental major. Students who planned to graduate in their
selected major had learning styles that were strongly related to their areas of interest. For
example, students entering management fields had a more accommodative style, while those
pursuing mathematics degrees had a more assimilative approach. The results also indicated that
students who were pursuing a degree aligned with their learning style had a greater commitment
to their field than did students who were pursuing degrees not related to their learning
preferences.
The concept of learning styles has been criticized by many and experts suggest that there is little
evidence to support the existence of learning styles at all. One large scale study looked at more
than 70 different learning style theories and concluded that each lacked enough valid research to
support its claims. In a 2008 article, educator Mark K. Smith argued that Kolb's model is
supported only by weak empirical evidence and that the learning process is actually far more
complex than the theory suggests. He also noted that the theory fails to fully acknowledge how
different experiences and cultures may impact the learning process.

Social Learning Theory

Social Learning Theory

An Overview of Bandura's Social Learning Theory
"Learning would be exceedingly laborious, not to mention hazardous, if people had to rely solely
on the effects of their own actions to inform them what to do. Fortunately, most human behavior
is learned observationally through modeling: from observing others one forms an idea of how
new behaviors are performed, and on later occasions this coded information serves as a guide
for action."
-Albert Bandura, Social Learning Theory, 1977

What is Social Learning Theory?

The social learning theory proposed by Albert Bandura has become perhaps the most influential
theory of learning and development. While rooted in many of the basic concepts of traditional
learning theory, Bandura believed that direct reinforcement could not account for all types of
learning.
His theory added a social element, arguing that people can learn new information and behaviors
by watching other people. Known as observational learning (or modeling), this type of learning
can be used to explain a wide variety of behaviors.
Basic Social Learning Concepts
There are three core concepts at the heart of social learning theory. First is the idea that people
can learn through observation. Next is the idea that internal mental states are an essential part of
this process. Finally, this theory recognizes that just because something has been learned, it
does not mean that it will result in a change in behavior.
Let's explore each of these concepts in greater depth.
1. People can learn through observation.
Observational Learning
In his famous Bobo doll experiment, Bandura demonstrated that children learn and imitate
behaviors they have observed in other people. The children in Banduras studies observed an
adult acting violently toward a Bobo doll. When the children were later allowed to play in a room
with the Bobo doll, they began to imitate the aggressive actions they had previously observed.
Bandura identified three basic models of observational learning:
1. A live model, which involves an actual individual demonstrating or acting out a behavior.
2. A verbal instructional model, which involves descriptions and explanations of a behavior.
3. A symbolic model, which involves real or fictional characters displaying behaviors in
books, films, television programs, or online media.
2. Mental states are important to learning.
Intrinsic Reinforcement
Bandura noted that external, environmental reinforcement was not the only factor to influence
learning and behavior. He described intrinsic reinforcement as a form of internal reward, such as
pride, satisfaction, and a sense of accomplishment. This emphasis on internal thoughts and
cognitions helps connect learning theories to cognitive developmental theories. While many
textbooks place social learning theory with behavioral theories, Bandura himself describes his
approach as a 'social cognitive theory.'
3. Learning does not necessarily lead to a change in behavior.
While behaviorists believed that learning led to a permanent change in behavior, observational
learning demonstrates that people can learn new information without demonstrating new
behaviors.
The Modeling Process
Not all observed behaviors are effectively learned. Factors involving both the model and the
learner can play a role in whether social learning is successful. Certain requirements and steps
must also be followed. The following steps are involved in the observational learning and
modeling process:
Attention:
In order to learn, you need to be paying attention. Anything that detracts your attention is
going to have a negative effect on observational learning. If the model interesting or there
is a novel aspect to the situation, you are far more likely to dedicate your full attention to
learning.

Retention:
The ability to store information is also an important part of the learning process. Retention
can be affected by a number of factors, but the ability to pull up information later and act
on it is vital to observational learning.

Reproduction:
Once you have paid attention to the model and retained the information, it is time to
actually perform the behavior you observed. Further practice of the learned behavior leads
to improvement and skill advancement.

Motivation:
Finally, in order for observational learning to be successful, you have to be motivated to
imitate the behavior that has been modeled. Reinforcement and punishment play an
important role in motivation. While experiencing these motivators can be highly effective,
so can observing other experience some type of reinforcement or punishment. For
example, if you see another student rewarded with extra credit for being to class on time,
you might start to show up a few minutes early each day.

Final Thoughts
In addition to influencing other psychologists, Bandura's social learning theory has had important
implication in the field of eduction. Today, both teachers and parents recognize the importance of
modeling appropriate behaviors. Other classroom strategies such as encouraging children and
building self-efficacy are also rooted in social learning theory.

VARK Learning Styles

F- Social Psychology Theories

Social psychology is focused on helping us understand and explain social behavior. Social
theories are generally centered on specific social phenomena, including group behavior,
prosocial behavior, social influence, love and much more.

Question: What Is Social Psychology?

What is it that shapes our attitudes? Why are some people such great leaders? How does
prejudice develop and how can we overcome it? These are just a few of the big questions
of interest in the field of social psychology. What exactly is social psychology and what do
social psychologists do? Continue reading to learn more about this important branch of
psychology.

Answer:

According to psychologistGordon Allport, social psychology is a discipline that uses

scientific methods "to understand and explain how the thought, feeling and behavior of
individuals are influenced by the actual, imagined or implied presence of other human
beings" (1985).

Social psychology looks at a wide range of social topics, including group behavior, social
perception,leadership, nonverbal behavior, conformity, aggression, and prejudice. It is
important to note that social psychology is not just about looking at social influences.
Social perception and social interaction are also vital to understanding social behavior.

Brief History of Social Psychology

While Plato referred to the idea of the "crowd mind" and concepts such as social loafing
and social facilitation were introduced in the late-1800s, it wasn't until after World War II
that research on social psychology began in earnest. The horrors of the Holocaust led
researchers to study the effects of social influence, conformity and obedience.

The U.S. government also became interested in applying social psychological concepts to
influencing citizens. Social psychology has continued to grow throughout the twentieth
century, inspiring research that has contributed to our understanding of social experience
and behavior. Our social world makes up such a tremendous part of our lives, so it is no
wonder that this topic is so fascinating.

How Is Social Psychology Different From Other Disciplines?

It is important to understand how social psychology differs from other disciplines. Social
psychology is often confused with folk wisdom, personality psychology, and sociology.
What makes social psychology different? Unlike folk wisdom, which relies on anecdotal
observations and subjective interpretation, social psychology employs scientific methods
and the empirical study of social phenomena. Researchers do not just make guesses or
assumptions about how people behave; they devise and carry out experiments that help
point out relationships between different variables.

While personality psychology focuses on individual traits, characteristics and thoughts,

social psychology is focused on situations. Social psychologists are interested in the
impact that the social environment and group interactions have on attitudes and
behaviors.

Finally, it is important to distinguish between social psychology and sociology. While there
are many similarities between the two, sociology tends to looks at social behavior and
influences at a very broad-based level. Sociologists are interested in the institutions and
cultures that influence how people behave. Psychologists instead focus on situational
variables that affect social behavior. While psychology and sociology both study similar
topics, they are looking at these topics from different perspectives.

7- BEHAVIOURAL THEORIES:
Behavioral theories suggest that personality is a result of interaction between the individual and
the environment. Behavioral theorists study observable and measurable behaviors, rejecting
theories that take internal thoughts and feelings into account.
Behavioral theorists include B. F. Skinner and John B. Watson.
Behaviorism can perhaps be best summed up by the following quote from the famous
psychologist John B. Watson:
"Give me a dozen healthy infants, well-formed, and my own specified world to bring them up in
and I'll guarantee to take any one at random and train him to become any type of specialist I
might select -- doctor, lawyer, artist, merchant-chief and, yes, even beggar-man and thief,
regardless of his talents, penchants, tendencies, abilities, vocations, and race of his ancestors."
--John Watson,Behaviorism, 1930
What exactly did Watson mean?
Answer:
The term behaviorism refers to the school of psychology founded by John B. Watson based on
the belief that behaviors can be measured, trained, and changed. Behaviorism was established
with the publication of Watson's classic paper "Psychology as the Behaviorist Views It" (1913).
Behaviorism, also known as behavioral psychology, is a theory of learning based upon the idea
that all behaviors are acquired through conditioning. Conditioning occurs through interaction with
the environment. Behaviorists believe that our responses to environmental stimuli shapes our
behaviors.
According to this school of thought, behavior can be studied in a systematic and observable
manner with no consideration of internal mental states. It suggests that only observable
behaviors should be studied, since internal states such as cognitions, emotions, and moods are
too subjective.
As Watson's above quote suggests, strict behaviorists believe that any person could potentially
be trained to perform any task, regardless of things like genetic background, personality traits,
and internal thoughts (within the limits of their physical capabilities); all it takes is the right
conditioning.
There are two major types of conditioning:
1. Classical conditioning is a technique used in behavioral training in which a naturally
occurring stimulus is paired with a response. Next, a previously neutral stimulus is paired
with the naturally occurring stimulus. Eventually, the previously neutral stimulus comes to
evoke the response without the presence of the naturally occurring stimulus. The two
elements are then known as the conditioned stimulus and the conditioned response.
2. Operant conditioning Operant conditioning (sometimes referred to as instrumental
conditioning) is a method of learning that occurs through rewards and punishments for
behavior. Through operant conditioning, an association is made between a behavior and a
consequence for that behavior.
Major Thinkers in Behaviorism
There are a number of important theorists and psychologists who left and indelible mark on
behaviorism, including:

Ivan Pavlov
B. F. Skinner
Edward Thorndike
John B. Watson
Clark Hull

Important Events in Behaviorism

1863 - Ivan Sechenov's Reflexes of the Brain was published. Sechenov introduced the
concept of inhibitory responses in the central nervous system.

1900 - Ivan Pavlov began studying the salivary response and other reflexes.

1913 - John Watson's Psychology as a Behaviorist Views It was published. The article
outlined the many of the main points of behaviorism.

1920 - Watson and assistant Rosalie Rayner conducted the famous "Little Albert"
experiment.

1943 - Clark Hull's Principles of Behavior was published.

1948 - B.F. Skinner published Walden II in which he described a utopian society founded
upon behaviorist principles.

1959 - Noam Chomsky published his criticism of Skinner's behaviorism, "Review of Verbal
Behavior."

1971 - B.F. Skinner published his book Beyond Freedom and Dignity, in which he argued
that free will is an illusion.

Criticisms of Behaviorism
Many critics argue that behaviorism is a one-dimensional approach to understanding
human behavior and that behavioral theories do not account for free will and internal
influences such as moods, thoughts and feelings.

Behaviorism does not account for other types of learning, especially learning that occurs
without the use of reinforcement and punishment.

People and animals are able to adapt their behavior when new information is introduced,
even if a previous behavior pattern has been established through reinforcement.

Strengths of Behaviorism
Behaviorism is based upon observable behaviors, so it is easier to quantify and collect
data and information when conducting research.

Effective therapeutic techniques such as intensive behavioral intervention, behavior

analysis, token economies and discrete trial training are all rooted in behaviorism. These
approaches are often very useful in changing maladaptive or harmful behaviors in both
children and adults.

Final Thoughts
While behaviorism is not as dominant today as it was during the middle of the 20th-century, it still
remains an influential force in psychology. Outside of psychology, animal trainers, parents,
teachers and many others make use of basic behavioral principles to help teach new behaviors
and discourage unwanted ones.
8- HUMANIST THEORIES
Humanist theories emphasize the importance of free will and individual experience in the
development of personality. Humanist theorists emphasized the concept of self-actualization,
which is an innate need for personal growth that motivates behavior. Humanist theorists
include Carl Rogers and Abraham Maslow.
Humanistic psychology theories began to grow in popularity during the 1950s. While earlier
theories often focused on abnormal behavior and psychological problems, humanist theories
instead emphasized the basic goodness of human beings. Some of the major humanist theorists
include Carl Rogers and Abraham Maslow.
Humanistic psychology emerged during the 1950s as a reaction to psychoanalysis and
behaviorism, which dominated psychology at the time. Psychoanalysis was focused on
understanding the unconscious motivations that drive behavior while behaviorism studied the
conditioning processes that produce behavior. Humanist thinkers felt that both psychoanalysis
and behaviorism were too pessimistic, either focusing on the most tragic of emotions or failing to
take into account the role of personal choice.
Humanistic psychology was instead focused on each individual's potential and stressed the
importance of growth and self-actualization. The fundamental belief of humanistic psychology is
that people are innately good and that mental and social problems result from deviations from
this natural tendency.
During the late 1950s, Abraham Maslow and other psychologists held meetings to discuss the
development of a professional organization devoted to a more humanist approach to psychology.
They agreed that topics such as self-actualization, creativity, and individuality and related topics
were the central theme of this new approach. In 1961, they officially established the American
Association for Humanistic Psychology.
In 1962, Abraham Maslow published Toward a Psychology of Being, in which he described
humanistic psychology as the "third force" in psychology. The first and second forces were
behaviorism and psychoanalysis respectively.
However, it is not necessary to think of these three schools of thought as competing elements.
Each branch of psychology has contributed to our understanding of the human mind and
behavior. Humanistic psychology added yet another dimension that takes a more holistic view of
the individual.

Major Thinkers in Humanistic Psychology

Abraham Maslow

Carl Rogers

Rollo May

Erich Fromm

Important Events in Humanistic Psychology

1943 - Abraham Maslow described his hierarchy of needs in "A Theory of Human
Motivation" published in Psychological Review.

1951 - Carl Rogers published Client-Centered Therapy, which described his humanistic,
client-directed approach to therapy.

1961 - The American Association for Humanistic Psychology is formed and the Journal of
Humanistic Psychology was established.

1962 - American Association for Humanistic Psychology was formed.

1971 - Humanistic psychology becomes an APA division.

Criticisms of Humanistic Psychology

Humanistic psychology is often seen as too subjective; the importance of individual
experience makes it difficult to objectively study and measure humanistic phenomena.
How can we objectively tell if someone is self-actualized? The answer, of course, is that
we cannot. We can only rely upon the individual's own assessment of their experience.

Another major criticism is that observations are unverifiable; there is no accurate way to
measure or quantify these qualities.

Strong Points of Humanistic Psychology

One of the major strengths of humanistic psychology is that it emphasizes the role of the
individual. This school of psychology gives people more credit in controlling and
determining their state of mental health.

It also takes environmental influences into account. Rather than focusing solely on our
internal thoughts and desires, humanistic psychology also credits the environment's
influence on our experiences.

Humanistic psychology continues to influence therapy, education, healthcare and other

areas.

Humanistic psychology helped remove some of the stigma attached to therapy and made
it more acceptable for normal, healthy individuals to explore their abilities and potential
through therapy.

Humanistic Psychology Today

Today, the concepts central to humanistic psychology can be seen in many other areas including
other branches of psychology, education, therapy, political movements and other areas. For
example, transpersonal psychology and positive psychology both draw heavily on humanist
influences.
The goals of humanistic psychology remain as relevant today as they were in the 1940s and
1950s. As Maureen O'Hara, former president of the Association of Humanistic Psychology,
explained, "As the world's people demand freedom and self-determination, it is urgent that we
learn how diverse communities of empowered individuals, with freedom to construct their own
stories and identities, might live together in mutual peace. Perhaps it is not a vain hope that is life
in such communities might lead to the advance in human consciousness beyond anything we
have yet experienced."
What motivates behavior? According to humanist psychologist Abraham Maslow, our actions are
motivated in order achieve certain needs. Maslow first introduced his concept of a hierarchy of
needs in his 1943 paper "A Theory of Human Motivation" and his subsequent book Motivation
and Personality. This hierarchy suggests that people are motivated to fulfill basic needs before
moving on to other, more advanced needs.
This hierarchy is most often displayed as a pyramid. The lowest levels of the pyramid are made
up of the most basic needs, while the more complex needs are located at the top of the pyramid.
Needs at the bottom of the pyramid are basic physical requirements including the need for food,
water, sleep, and warmth. Once these lower-level needs have been met, people can move on to
the next level of needs, which are for safety and security.
As people progress up the pyramid, needs become increasingly psychological and social. Soon,
the need for love, friendship, and intimacy become important. Further up the pyramid, the need
for personal esteem and feelings of accomplishment take priority. Like Carl Rogers, Maslow
emphasized the importance of self-actualization, which is a process of growing and developing
as a person in order to achieve individual potential.
Types of Needs
Abraham Maslow believed that these needs are similar to instincts and play a major role in
motivating behavior. Physiological, security, social, and esteem needs are deficiency

needs (also known as D-needs), meaning that these needs arise due to deprivation. Satisfying
these lower-level needs is important in order to avoid unpleasant feelings or consequences.
Maslow termed the highest-level of the pyramid as growth needs (also known as being
needsor B-needs). Growth needs do not stem from a lack of something, but rather from a desire
to grow as a person.
Five Levels of the Hierarchy of Needs
There are five different levels in Maslows hierarchy of needs:
1.

Physiological Needs
These include the most basic needs that are vital to survival, such as the need for water, air,
food, and sleep. Maslow believed that these needs are the most basic and instinctive needs
in the hierarchy because all needs become secondary until these physiological needs are
met.

2.

Security Needs
These include needs for safety and security. Security needs are important for survival, but
they are not as demanding as the physiological needs. Examples of security needs include a
desire for steady employment, health care, safe neighborhoods, and shelter from the
environment.

3.

Social Needs
These include needs for belonging, love, and affection. Maslow described these needs as
less basic than physiological and security needs. Relationships such as friendships, romantic
attachments, and families help fulfill this need for companionship and acceptance, as does
involvement in social, community, or religious groups.

4.

Esteem Needs
After the first three needs have been satisfied, esteem needs becomes increasingly
important. These include the need for things that reflect on self-esteem, personal worth,
social recognition, and accomplishment.

5.

Self-actualizing Needs
This is the highest level of Maslows hierarchy of needs. Self-actualizing people are selfaware, concerned with personal growth, less concerned with the opinions of others, and
interested fulfilling their potential.

Criticisms of Maslows Hierarchy of Needs

While some research showed some support for Maslow's theories, most research has not been
able to substantiate the idea of a needs hierarchy. Wahba and Bridwell reported that there was
little evidence for Maslow's ranking of these needs and even less evidence that these needs are
in a hierarchical order.

Other criticisms of Maslow's theory note that his definition of self-actualization is difficult to test
scientifically. His research on self-actualization was also based on a very limited sample of
individuals, including people he knew as well as biographies of famous individuals that Maslow
believed to be self-actualized, such as Albert Einstein and Eleanor Roosevelt. Regardless of
these criticisms, Maslows hierarchy of needs represents part of an important shift in psychology.
Rather than focusing on abnormal behavior and development, Maslow's humanistic psychology
was focused on the development of healthy individuals.
While there was relatively little research supporting the theory, hierarchy of needs is well-known
and popular both in and out of psychology. In a study published in 2011, researchers from the
University of Illinois set out to put the hierarchy to the test. What they discovered is that while
fulfillment of the needs was strongly correlated with happiness, people from cultures all over the
reported that self-actualization and social needs were important even when many of the most
basic needs were unfulfilled.
What Is Self-Actualization?
What exactly is self-actualization? Located at the peak of Abraham Maslow's hierarchy, he
described this high-level need in the following way:
"What a man can be, he must be. This need we may call self-actualization...It refers to the desire
for self-fulfillment, namely, to the tendency for him to become actualized in what he is potentially.
This tendency might be phrased as the desire to become more and more what one is, to become
everything that one is capable of becoming."
While the theory is generally portrayed as a fairly rigid hierarchy, Maslow noted that the order in
which these needs are fulfilled does not always follow this standard progression. For example,
he notes that for some individuals, the need for self-esteem is more important than the need for
love. For others, the need for creative fulfillment may supersede even the most basic needs.
Characteristics of Self-Actualized People
In addition to describing what is meant by self-actualization in his theory, Maslow also identified
some of the key characteristics of self-actualized people:
Acceptance and Realism: Self-actualized people have realistic perceptions of
themselves, others and the world around them.

Problem-centering: Self-actualized individuals are concerned with solving problems

outside of themselves, including helping others and finding solutions to problems in the
external world. These people are often motivated by a sense of personal responsibility
and ethics.

Spontaneity: Self-actualized people are spontaneous in their internal thoughts and

outward behavior. While they can conform to rules and social expectations, they also tend
to be open and unconventional.

Autonomy and Solitude: Another characteristic of self-actualized people is the need for
independence and privacy. While they enjoy the company of others, these individuals
need time to focus on developing their own individual potential.

Continued Freshness of Appreciation: Self-actualized people tend to view the world

with a continual sense of appreciation, wonder and awe. Even simple experiences
continue to be a source of inspiration and pleasure.

Peak Experiences: Individuals who are self-actualized often have what Maslow
termedpeak experiences, or moments of intense joy, wonder, awe and ecstasy. After these
experiences, people feel inspired, strengthened, renewed or transformed.

Maslow's Hierarchy of Needs

Abraham Maslow's hierarchy of needs emphasizes the importance of self-actualization and is
often pictured as a pyramid. The base of the pyramid consist of basic survival needs, while the
top of the pyramid is focused on self-actualizing needs.

The hierarchy of needs is one of the best-known theories of motivation. Created by

psychologist Abraham Maslow, the hierarchy is often displayed as a pyramid, with the most basic
needs at the bottom and more complex needs at the peak.
The four lowest-level needs are what Maslow referred to as D-needs (or deficiency needs).
These needs are due to a lack of something and need to be satisfied in order to avoid
unpleasant feelings and to move on to higher level needs. The uppermost needs in the hierarchy
are referred to B-needs (being needs or growth needs) and involve the desire to grow as an
individual and fulfill ones own potential.

Characteristics of Self-Actualized People

Abraham Maslow proposed a hierarchy of needs that represented various needs that motivate
human behavior. The hierarchy is often displayed as a pyramid, with lowest levels representing
basic needs and more complex needs located at the top of the pyramid.
At the peak of this hierarchy is self-actualization. The hierarchy suggests that when the other
needs at the base of the pyramid have been met, the individual can then focus their attention on
this pinnacle need. Self-actualization is described as "the desire for self-fulfillment, namely, to
the tendency for him to become actualized in what he is potentially."
Self-Acceptance and Democratic World View
Self-actualized people tend to accept themselves and others as they are. They tend to lack
inhibition and are able to enjoy themselves and their lives free of guilt. Other people are treated
the same regardless of background, current status, or other socio-economic and cultural factors.
Realistic
Another major characteristic of self-actualized people is a sense of realism. Rather than being
fearful of things that are different or unknown, the self-actualized individual is able to view things
logically and rationally.
Problem-Centered
Self-actualized individuals are often motivated by a strong sense of personal ethics and
responsibility. They enjoy applying their problem-solving skills to real-world situations and like
helping other people improve their own lives.
Peak Experiences
Self-actualization is also characterized by having frequent peak experiences. What exactly is a
peak experience? According to Maslow, these "Feelings of limitless horizons opening up to the
vision, the feeling of being simultaneously more powerful and also more helpless than one ever
was before, the feeling of ecstasy and wonder and awe, the loss of placement in time and space
with, finally, the conviction that something extremely important and valuable had happened, so
that the subject was to some extent transformed and strengthened even in his daily life by such
experiences."
Autonomy
The self-actualized individual does not conform to other people's ideas of happiness or
contentment. This original perspective allows the individual to live in the moment and appreciate
the beauty of each experience.
Solitude and Privacy

Self-actualized individuals value their privacy and enjoy solitude. While they also love the
company of others, taking time to themselves is essential for personal discovery and cultivating
individual potential.
Philosophical Sense of Humor
Self-actualized individuals generally have a thoughtful sense of humor. They are able to enjoy
the humor in situations and laugh at themselves, but they do not ridicule or make fun at the
expense of another person's feelings.
Spontaneity
Another characteristic of self-actualized people is a tendency to be open, unconventional and
spontaneous. While these people are able to follow generally accepted social expectations, they
do not feel confined by these norms in their thoughts or behaviors.
The Very Basics of Legal Interviewing
By Deborah Maranville
(1)
Motivate the Clients Participation (Develop Rapport through Active Listening): A
legal interview often concerns sensitive topics that an individual would not necessarily tell a
stranger. Thus, the first step in the interview is developing rapport and motivating the client to talk
freely.
The client may be reluctant to reveal information for several reasonsfor instance, she
may believe the information will hurt the legal case, she may not understand its relevance, or she
may find the information too traumatic to discuss. Countervailing factors will motivate the client to
talk, however. The clients desire to resolve the problem favorably may overcome her reluctance
to talk. Or she may respond to: appeals to help others, recognition of her efforts, or simply the
expectations expressed by the lawyer. The lawyer can gently bring into play each of these
factors.
Perhaps most importantly, the lawyer can try to put herself in the position of the client, to
really understand and empathize with the clients problems, and use active listening techniques
to reflect back the clients feelings. (Active listening can also involve non-verbal signals of
attention, such as head nodding, eye contact, or phrases of reassurance.) For instance:
Client: I dont want to testify in court. It sounds like a bad experienceall those questions,
people looking at meI would probably be so uptight, Id say the wrong thing.
Lawyer:
You feel anxious about getting up on the stand and perhaps embarrassing
yourself (Lawyer reflects clients feelings).* Dont worry. Before the trial we will practice your
examination and visit the courtroom where you will testify (lawyer responds to clients concerns).
(2)
Use Questioning Techniques Appropriate to Your Purpose (Open-ended, Narrow,
Yes-No, Leading Questions):
The form of the question will dictate the answer.

(A wise old lawyer)

Consider likely responses to the following questions in normal conversation:
Hi! Whats up?
(Open-ended question:
Listener has total freedom of response)
How are you feeling today?
(Open-ended question selecting topic)
Hows your cold?
(Narrower question, selects aspect of topic)
What did the doctor say about your cold?
(Narrow question, selects aspect of topic)
Did the lab reports show strep throat?
(Yes/no question)
You really feel awful, dont you?
(Leading question:
suggests, attempts to force the response)
Open-ended questions encourage the client to talk, and allow her to provide information
that the lawyer would not otherwise obtain. Begin interviews with broad, open-ended questions
that allow the client to tell her story in her own words, and get her problem off her chest.
Content free questions avoid skewing the data received. Keep the client talking with prompts like,
What happened next? and then what?
In later stages of an interview open-ended questions often do not elicit enough detail and
will not stimulate the clients memory, so you will need to use narrow questions to probe for more
information. Leading questions suggest an answer and thus pose the risk for distorting the
clients answer and promoting unethical behavior by the lawyer (You saw Bob reach for a gun
just before you pulled the trigger, didnt you?). Use leading questions only to confirm information
provided by the client, or to obtain information that the client may be reluctant to admit. Ex:
I
guess youve had trouble with the police before.*
(3)
Allow the Client to Tell the Story Initially. The client comes to the interview with crucial
information what brings him to the lawyer, and usually, what result he wants. The lawyer has
important information also knowledge about the law and what facts are relevant given the law.
Lawyers tend to use their knowledge to focus on the specifics of the case, and take control
before giving the client a chance to tell his whole story. As a result, the client may feel like he
never got a chance to tell his story, and the lawyer may fail to understand what the client really
wants.
(4)
Structure the Interview: By using the following structure for an interview, the lawyer can
ensure that the client has a chance to tell his story:

(a)
Briefly Explain What Will Happen in the Interview.
Tell the client what will happen in the interview, and how long you expect the interview to
last. Emphasize that what the client says in the interview will remain confidential. Although
awkward, some lawyers talk about fees at this point to avoid misunderstanding. Let the
client know that you will discuss the clients legal rights and possible solutions at the end
of the interview.
(b)
Preliminarily Identify the Problem.
Ask the client for a general description of the underlying transaction and the relief desired.
Ex.: Tell me what your problem is, how it came about, and what you think youd like to
have done about it. When the client has completed his description of the problem,
summarize your understanding of it.
(c)
Get a Chronological Overview of the Problem.
Ask the client for a detailed step-by-step chronological description of what has happened.
Prompt the client with open-ended, non-leading questions like what happened next? but
do not probe for detail at this stage. Listen carefully and remember, this is the clients
chance to tell his story. You will obtain fuller information if you let him focus on his
concerns at this stage.
(d)
Develop and Verify Theories
Based on the information obtained in the first stages of the interview, the lawyer can
mentally generate theories supporting possible legal claims. The lawyer should consider
all plausible possible legal claims. The lawyer should consider all plausible theories, and
then proceed to obtain relevant information that would support or negate a claim using
each theory. This is the time to pursue questions that occurred to you while the client was
going through the overview, and to obtain greater detail on relevant facts.
(e)
Conclude the Interview.
Give the client a brief summary of the law governing his legal rights, and the questions
that you must research. Tell the client what you will do next and when you will get back to
the client.
The benchmark of a good interview is simple: the client will feel that he has consulted an
attorney who is a caring human being. These suggestions on building rapport, questioning
technique, and structuring the interview can provide a framework for approaching the interview
and help you communicate your concern. However, remember that the client will recognize the
difference between caring and technique.
Note: The asterisked quotations, and the recommended interviewing approach are taken from
Binder & Price, Legal Interviewing and Counseling (West, 1977), revised as Binder, Bergman, &
Price, Lawyers as Counselors (West, 1991)
For a good twenty-five page overview of interviewing, see David Chavkin, Clinical Legal
Education: A Textbook for Law School Clinical Programs (2002), Ch. 7

TYPES OF INTERVIEW QUESTIONS

Use Questioning Techniques Appropriate to Your Purpose (Open-ended, Narrow, Yes-No,

Leading Questions, double barrel questions,etc):

The form of the question will dictate the answer.

(A wise old lawyer)
Consider likely responses to the following questions in normal conversation:

1) EXAMPLES OF QUESTIONS:
Hi! Whats up?
(Open-ended question:Listener has total freedom of response)
How are you feeling today?
(Open-ended question selecting topic)
Hows your cold?
(Narrower question, selects aspect of topic)
What did the doctor say about your cold?
(Narrow question, selects aspect of topic)
Did the lab reports show strep throat?
(Yes/no question)
You really feel awful, dont you?
(Leading question:suggests, attempts to force the response)
Double-barrel questions: your one answer answers two questions enveloped within one
question.
e.g Were you present in the room where the fight was going on?
( if you say yes, you are saying yes to: 1) present in the room and 2) you knew/saw fight
was going on)
2) TYPES OF QUESTIONS
Thus the different types of the questions and their use are:
(a) Open ended question
Good for exchange and discussion of ideas
e.g. What do you mean by a satisfying job
(b) Closed question e.g., How long have you been in service?

Best for seeking facts/data

(c) Yes/No question

Effective for checking facts
e.g. have you seen our advertisement?
(d) Leading question
Pushes the interviewee in certain direction
e.g. Dont you think that this work should have

been done a couple of months ago?

(e) Loaded question
e.g., What do you think about CEOs
impulsive action?

Provokes the interviewee

(f) Prompt question

e.g. so what do you do then?

Guides interviewee in content and clarifies if he

has not understood the interviewers intention

(g) What if question

e.g., suppose u were accused how
would you defend yourself

Makes assumptions and finds out what

interviewee would do in a certain situation

(h)Mirror question
e.g., so u feel fed up

A reflective way of checking whether you have

received the interviewees
message/information/reaction correctly

(i) Probing question

e.g., what precisely were ur responsibilities

Good for obtaining more information, proceeding

from the general to the particular

(j) Summing up question

Gives the interviewee a chance to self assess and
e.g., Is there any other information you rounds off the event
would like to give us?

3) FURTHER NOTES ON SOME TYPES OF QUESTIONS:

1) Open ended questions:

Open-ended questions do not intrinsically demand a specific answer.

It encourages the client to talk, and allow her to provide information that the lawyer would
not otherwise obtain.

Begin interviews with broad, open-ended questions that allow the client to tell her story in
her own words, and get her problem off her chest. Content free questions avoid skewing
the data received.

Keep the client talking with prompts like, What happened next? and then what?, and
then?

Used in examination in chief in court to get the witnesss version out.

Advantages of Open questions:

Encourage clients to open up;

Allow clients to choose topics of importance to them, rather than what they think the
lawyer wants to know;

Allow the lawyer to gain an appreciation of what is on the clients agenda and a feel of the
problem;

Enable the lawyer to obtain insight into what is most important to the client and how he or
she feels about things;

Encourage recall of events and expressions of feelings without the interruption of having
to fill in detail;

Ease clients into discussing sensitive or difficult issues;

Provide the opportunity to observe, listen and assess the client.

Disadvantages of Open questions:

Can encourage rambling;

May only provide an overview and insufficient detail therefore the lawyer needs to
concentrate on both listening to the narrative and deciding which areas ti explore further;

With complex issues, the client may not know how or where to begin and what the
relevant focus should be.

2) Narrow Questions (Leading questions, yes/no questions etc.)

In later stages of an interview open-ended questions often do not elicit enough detail and
will not stimulate the clients memory, so you will need to use narrow questions to probe
for more and clear information.

They not only select the subject matter, but also can select certain aspects of the subject
matter to be discussed. For example:
Where was the stop sign located on GB Street? Who was in the car at the time of the
accident?

Advantages of Narrow questions:

Help to provide specific detail and clarify the information;

Help to direct the reluctant client;

Help to direct and control the rambler;

Assist specific memory recall.

Disadvantages of Narrow questions:

Can turn the interview into an interrogation;

Valuable information may be lost if the client has not been given the opportunity to set the
agenda;

Valuable information may also be lost if the lawyer fails to ask key questions and relies on
assumptions which may in fact be false.

Questions to avoid in a client interview:

(i)
Leading questions
LQ are so called because the answer is prompted and directed by the question.

Leading questions suggest an answer and thus pose the risk for distorting the
clients answer and promoting unethical behavior by the lawyer
e.g. (You saw Bob reach for a gun just before you pulled the trigger, didnt you?).
You didnt have your seat belt on, did you? You were going 65 mph, werent you?

(ii)

LQ have better chance of obtaining accurate information so use leading questions

only to confirm information provided by the client, or to obtain information that the
client may be reluctant to admit. Ex: I guess youve had trouble with the police
before.

Multiple questions
The difficulty of client is which question to answer first and the problem both for lawyer
and client is to remember what all the questions were.
This could lead to omissions or having to repeat parts of the original multiple questions
which wastes time and may also lead to confusion.

Conclusion

You should vary your questions to include all types.

Determining the type of question that will elicit the desired information is a skill
developed over time and through trial and error. Of course, the client or witnesss
personality will guide you as well.
CLIENT INTERVIEWING

How to interview your clients so theyll keep coming back for more
There are three components of a good client interview.
Be Positive in your attitude/approach
Being positive does not mean being overly optimistic and misleading your client about the
possible outcome. It does mean putting the best spin on the information provided and facts that
you have.
Be Productivein what you get from your client
Includes getting information from your client
Making sure you get the right information
Making sure your client understands your function
Confidentiality
Role of attorney
Be Proactive by getting down to business/ being practical
Acting in advance to deal with the situation; taking the steps to avoid a difficult situation.
Making sure that you speak to your client in a way they understand (saves you and them
headaches in the future)
Taking good notes
Before you can put these abstract concepts into practical use, you have to start the with the
client interview

A. Information Gathering
Information gathering is the most important aspect of the client interview, but its the type of
information you get and how you go about gathering it that counts. This includes more than work
information and family support.
1. The information you get could be the difference between your client being found guilty
and not guilty. If you dont get the right information, you may miss a crucial defense.
a. Ask open-ended questions. Instead of asking: do you have children?
Say: tell me about your family.
b. Ask the same questions in different ways (and more than once)
c. Give your client the opportunity to tell you his/her story in their own way.
2. Go into each interview knowing the basic information you have to get from your client
a. have in interview sheet or checklist (see attachment A)
b. dont be afraid to deviate from the script.
3. Present the information in a way that is helpful to your client.
Positive/Productive/Proactive:
looking your client in eye and making sure they know you are listening to them and what they
have to say is important. Keeping your head down and taking notes is not appropriate the whole
time they are talking
Keep good notes in your file. This will save you from having to ask you client for information
theyve already given (which affects trust)
Go over the elements of the crime in a way to bring out possible defenses or legal issues.
Unfortunately your clients arent going to hand you the information on a silver platter. You may
have to do a little digging.
Get witness or alibi information. The last thing you want to happen is for your client to say during
trial: Well my boss was there and he saw the whole thing. Always ask.
This way you know whats happening with your clients and they know you know

B. Forming relationship with client

Whether its for fifteen minutes or over several months, at soon as that case is assigned to
you a relationship has begun. How successful that relationship is will largely be up to you.
1. Talk to your client not at him/her
2. Establishing trust
a. know the law that includes affirmative defenses. Your client needs to trust
you as an attorney. Be prepared with your elements of the crime and their
defenses.
b. let the client know that you are comfortable in the courtroom and with the way
things work.
c. Keep them informed.
3. Treating client with respect
a. your job while interviewing your client is to let them know that the opinion of the
cops, DA, judge and general public is not your opinion
b. how you speak to your client is there indication of how you will represent them
Positive/Proactive/Productive:
Its important that your client knows that while you are handling their case it is the most important
one you have. Reinforce that idea.
Reassure them that you are on their side while remaining objective about the law and the facts.
Let them know that youre going to put up the best defense possible and that youre going to
argue to the judge that they get the outcome of that they want (even if you dont agree with it.
And then do just that.

Develop a rapport. We represent people we dont like all the time. However, you cant effectively
represent someone that you can even tolerate speaking to and who refuses to speak with you.
So utilize all the points to make sure that you have a working rapport with your client.
C. Making sure your client understands you
1. Dont speak over the clients head
a. Legal jargon is not necessary to explain most charges or defenses
b. Just because your client has a long record, doesnt mean s/he understands
whats happening. Maybe no one else ever took the time to explain it. 2.
2. No two are alike
a. Some clients will have had little or no experience with the system and quickly
become intimidated, let them know that you can address them on their level
b. Talk to them about what they are going to hear in court and assure them it will be
explained afterwards if they dont understand.
Positive/Productive/Proactive:
Take the time to explain the legal language they will hear in court. Dont just leave the conditions
of probation to the PO. Dont let the first time they hear the language of the transcript be from the
judge. Dont let the first time they know jail is possible is when the deputy puts the handcuffs on
them.
A client always wants to know the worse case scenario and it important that you tell them all the
things that could happen and based on your experiences what probably will happen.

D. Making sure you understand your client

1. What are his/her issues?
a. Mental Illness
b. Retardation
c. Youth
d. Stubbornness
e. Fear
Each of these will warrant that you approach your client in a different way. Sometimes there will
be a combination and only through talking with (not at) your client, will you figure out how to best
deal with him/her.
2. What is his/her motivation for the crime?
a. Drug use
b. Peer Pressure
c. Retaliation
d. Fear
Knowing underlying issues will go along way in negotiation and sentencing
Epilogue:
Be Positive: This doesnt stop after the interview. Put the best possible spin on the information
your client give you. Know what to say and what to leave out. Even you if you can sum up your
clients life in thirty seconds, doesnt mean you should.
Be Productive: Keep up with the law on the most common cases you handle. Revise your
interview sheets when necessary.
Be proactive: Know your judges and DAs. Use this information to benefit your clients.
The Very Basics of Legal Interviewing

(1)
Motivate the Clients Participation (Develop Rapport through Active Listening):
A legal interview often concerns sensitive topics that an individual would not necessarily tell a
stranger. Thus, the first step in the interview is developing rapport and motivating the client to
talk freely.

The client may be reluctant to reveal information for several reasonsfor instance, she
may believe the information will hurt the legal case, she may not understand its relevance, or she
may find the information too traumatic to discuss. Countervailing factors will motivate the client
to talk, however. The clients desire to resolve the problem favorably may overcome her
reluctance to talk. Or she may respond to: appeals to help others, recognition of her efforts, or
simply the expectations expressed by the lawyer. The lawyer can gently bring into play each of
these factors.

Perhaps most importantly, the lawyer can try to put herself in the position of the client,
to really understand and empathize with the clients problems, and use active listening
techniques to reflect back the clients feelings. (Active listening can also involve non-verbal
signals of attention, such as head nodding, eye contact, or phrases of reassurance.) For
instance:

Client:
I dont want to testify in court. It sounds like a bad experienceall those
questions, people looking at meI would probably be so uptight, Id say the wrong thing.

Lawyer:
You feel anxious about getting up on the stand and perhaps
embarrassing yourself (Lawyer reflects clients feelings).* Dont worry. Before the trial we will
practice your examination and visit the courtroom where you will testify (lawyer responds to
clients concerns).

(2)
Use Questioning Techniques Appropriate to Your Purpose (Open-ended,
Narrow, Yes-No, Leading Questions):

The form of the question will dictate the answer.

(A wise old lawyer)

Consider likely responses to the following questions in normal conversation:

Hi! Whats up?

(Open-ended question:
Listener has total freedom of response)

How are you feeling today?

(Open-ended question selecting topic)

Hows your cold?

(Narrower question, selects aspect of topic)

What did the doctor say about your cold?

(Narrow question, selects aspect of topic)

Did the lab reports show strep throat?

(Yes/no question)

You really feel awful, dont you?

(Leading question:
suggests, attempts to force the response)

Open-ended questions encourage the client to talk, and allow her to provide information
that the lawyer would not otherwise obtain. Begin interviews with broad, open-ended questions
that allow the client to tell her story in her own words, and get her problem off her chest.
Content free questions avoid skewing the data received. Keep the client talking with prompts
like, What happened next? and then what?

In later stages of an interview open-ended questions often do not elicit enough detail
and will not stimulate the clients memory, so you will need to use narrow questions to probe for
more information. Leading questions suggest an answer and thus pose the risk for distorting the
clients answer and promoting unethical behavior by the lawyer (You saw Bob reach for a gun
just before you pulled the trigger, didnt you?). Use leading questions only to confirm information
provided by the client, or to obtain information that the client may be reluctant to admit.
Ex:
I guess youve had trouble with the police before.*

(3)
Allow the Client to Tell the Story Initially. The client comes to the interview with
crucial information what brings him to the lawyer, and usually, what result he wants. The lawyer
has important information also knowledge about the law and what facts are relevant given the
law. Lawyers tend to use their knowledge to focus on the specifics of the case, and take control
before giving the client a chance to tell his whole story. As a result, the client may feel like he

never got a chance to tell his story, and the lawyer may fail to understand what the client really
wants.

(4)
Structure the Interview: By using the following structure for an interview, the lawyer
can ensure that the client has a chance to tell his story:

(a)

Briefly Explain What Will Happen in the Interview.

Tell the client what will happen in the interview, and how long you expect the interview to
last. Emphasize that what the client says in the interview will remain confidential.
Although awkward, some lawyers talk about fees at this point to avoid misunderstanding.
Let the client know that you will discuss the clients legal rights and possible solutions at
the end of the interview.

(b)

Preliminarily Identify the Problem.

Ask the client for a general description of the underlying transaction and the relief
desired. Ex.: Tell me what your problem is, how it came about, and what you think youd
like to have done about it. When the client has completed his description of the problem,
summarize your understanding of it.

(c)

Get a Chronological Overview of the Problem.

Ask the client for a detailed step-by-step chronological description of what has happened.
Prompt the client with open-ended, non-leading questions like what happened next? but
do not probe for detail at this stage. Listen carefully and remember, this is the clients
chance to tell his story. You will obtain fuller information if you let him focus on his
concerns at this stage.

(d)

Develop and Verify Theories

Based on the information obtained in the first stages of the interview, the lawyer can
mentally generate theories supporting possible legal claims. The lawyer should consider
all plausible possible legal claims. The lawyer should consider all plausible theories, and
then proceed to obtain relevant information that would support or negate a claim using
each theory. This is the time to pursue questions that occurred to you while the client was
going through the overview, and to obtain greater detail on relevant facts.

(e)

Conclude the Interview.

Give the client a brief summary of the law governing his legal rights, and the questions
that you must research. Tell the client what you will do next and when you will get back to
the client.

The benchmark of a good interview is simple: the client will feel that he has consulted an
attorney who is a caring human being. These suggestions on building rapport, questioning
technique, and structuring the interview can provide a framework for approaching the interview
and help you communicate your concern. However, remember that the client will recognize the
difference between caring and technique.

Lawyers Professional Ethics to State and Public

Thu, 07/01/2010 - 13:41 LIG Reporter
Professional ethics are a set of norms or codes of conduct, set by people in a specific
profession. A code of ethics is developed for each profession. Suppose you write articles in a
newspaper. Professional ethics require that you verify facts before you write that article, isnt it?
Simply put, professional ethics for lawyers in India lay down a set of guidelines, which defines
their conduct in the profession that is highly competitive and dynamic. Indian law requires
lawyers to observe professional ethics to uphold the dignity of the profession.
People are surprised when they hear that lawyers are expected to follow professional ethics and
that they are accountable for dishonest, irresponsible and unprofessional behavior. Further, most
people do not know that lawyers in India can lose the license to practice if they are found guilty of
unethical practices that tarnish the dignity of their profession. A lawyer must adhere to the
professional norms, for fair dealing with his client and to maintain the dignity of the profession.
Indian Law: A Lawyers Duty towards State and Public
You can ask any citizen about Indian law and lawyers, the expression is definitely not positive.
There is anger, confusion, distrust and apprehension. Some of it stems from mistaken perception
that lawyers do not represent their clients fairly; that they cheat to make money and that they do
not work hard to represent and win a case. Most of tehse perceptions are unfounded but
sometimes they are relevant when lawyers opt to take short cuts, thereby violating professional
ethics.

However, professional ethics mandate that an Indian lawyer should safeguard and promote the
interests of the State and public. The following are some guidelines set under legal ethics are,
such as:

A lawyer cannot attract business by advertisements.

A lawyer shall deal with his client with loyalty, fairness and openness.

A lawyer shall not disclose confidential information related to a client, unless he has the
clients consent or to prevent a commission of crime or in compliance with other laws or
court order.

A lawyer shall work towards the progress of the nation and interest of the public.

A lawyer shall maintain the dignity of the court.

A lawyer shall never help a client to secretly or otherwise violate the provisions of Indian
law.

A lawyer shall promote the maintenance of rules under the Indian laws.

A lawyer shall work for enforcement of fundamental rights of the people.

Final Legal Take Away Tip:In India and around the world, the legal profession wields
tremendous power in formulating policies and determining the process of justice in the society
http://www.lawisgreek.com/indian-law-lawyers-professional-ethics-to-state-and-public
ALSO READ
http://lpowatch.blogspot.in/2010/01/indian-law-on-ethics-confidentiality.html
Meaning of Ethics
Application of accepted standards of right and wrong.
A set of principles of right conduct
Under all circumstances a person must conduct himself in the accepted behaviour of good
conduct and integrity.
Meaning of profession and business:
The followings are some of the differences between profession and business.
Business:

It involves an activity relating to purchase and sale of goods with an objective of

earning profit.

It does not necessitate specialized study of knowledge.

The primary objective of the business is maximization of profit.

It involves huge amount of capital.

The entire process of business involves risks.

Profession:

It involves rendering of specialized services for a reward called a fee.

Profession necessitates specialized study, training and knowledge.

It involves element of service in exchange of an economic reward.

It involves less amount of capital.

Profession of law is an honourable profession and its members are expected to act in honest and
upright manner.
Legal profession is not a business but a profession. It has been created by the state for the
public good. Consequently, the essence of the profession lies in the three things1. Organisation of its members for the performance of their function ;
2. Maintenance of certain standards, intellectual and ethical for the dignity of the profession;
3. Subordination of pecuniary gains to efficient services.

An advocate practising law is under a triple obligation:

1.

An obligation to his clients to be faithful to them till the last representative of client,

2.

an obligation to the profession not to besmirch its name by anything done by him
e.g, professional courtesy and cordiality towards his opponent (as clients and not
counsels are litigants), co-operation, equal consideration to all members of the profession,
encourage junior brethren, should stand up for its dignity and privileges whenever there is
occasion for it, he should expose corrupt or dishonest conduct in the profession

3.

an obligation to the court to be and to remain a dependable part of the machinery through
which justice is administered is officer of Court to further ends of justice

Professional ethic is an application of the accepted standards of right and wrong to the conduct
of professional men i.e., here lawyer. All the rules, which are applicable to good behaviour are
also applicable to a lawyer.

Thus, it may be defined as

a code of conduct or body of rules, written or unwritten for regulating the professional
conduct of the members of bar towards himself, his client, his adversary in law and towards the
court.
The main object of the ethics of the legal profession is
to maintain the dignity of the legal profession and
friendly relation between the Bench and the Bar.
A practicing lawyer is governed by a system of rules, codes of conduct or etiquettes framed by
the Bar Council of his State and Bar Council of India.
Bar Council has made rules providing for standards of professional conduct and etiquette, which
include duties of Advocates to Court, duty to client, duty to opponent and duty to colleagues. It
also provides duty in imparting training and duty to render legal aid.
Section 49(1)(c) of The Advocates Act of 1961,empowers the Bar council of India to make rules
so as to prescribe the standards of professional conduct and etiquette to be observed by the
advocates.
The Bar Council of India has framed standard of conduct and etiquette of the Bar. These are
statutory rules, binding and enforceable.
Advocate and Court: Duty towards Court
1. Advocate is an officer of justice and friend of the Court:
The cardinal principle which determines the privileges and responsibilities of advocate in
relation to the court is that he is an officer to justice and friend of the court.
A conduct therefore which is unworthy of him as an officer of justice cannot be justified by
stating that he did it as the agent of his client.
He is an integral part of the machinery for the administration of justice
2. Co-operation between the bench and the Bar is a necessity:
The first duty which advocates and judges owe to each other is of co-operation.
It is a fundamental necessity. Without it, there can be no orderly administration of justice.
An intelligent knowledge of their respective positions should make both advocates and
judges realise that though their functions may be different, their aims are identical.
Both are equipments of the same machinery designs for administration of justice.
Both are equally necessary in a free country.

3. What the counsel owes to the court:

i. The first duty which the counsel owes to the court is to maintain its honour and dignity
e.g,, the advocate cannot leave the court without the courts permission,
joins the movement of boycott of courts it is disrespect to the courts,
advocate should not criticize judicial conduct while the case is pending. After,
however, the case is decided, a fair comment will be justified
The advocate owes courtesy and respect to the court for the following reasons:
a) Judge is merely the mouthpiece and representative of the Sovereign. Respect
shown to the court is, therefore, respect shown to the sovereign whose
representative the judge is.
b)
Conflict with the judge renders the trial disagreeable to all and generally an
injurious effect on the interests of clients.
c)
Because the usual practise in modern times is to appoint judges from among
the members of the Bars, bench is fairly representative of the Bar.
d) Because it is necessary for dignified and honourable administration of justice
that the court should be regarded with respect by the suitors and people.
(e) The advocate should not display temper in court. He should convince the judge
by argument and reason and not by appeal to his sentiments.
(ii) The advocate must not do anything which lowers public confidence in the
administration of justice:
For instance, he must not make unfounded allegations of corruption and partially
against the judicial officers.
He must not allege in a transfer application scandalous charges against the judge
which cannot be proved.
(iii) It is the duty of the bar to support judges in their independence because in the integrity
of judges lies the greatest safeguard of a nations law and liberties. Judicial independence
is the only protection against tyranny and whims of the executive.
(iv) The advocate must not do anything which is calculated to obstruct, divert or corrupt
the stream of justice, for instance, he must not advise disobedience to the courts order
and decrees.
(vi). The counsel is under an obligation to present everything to the judge openly and in
the court, and nothing privately. He must not attempt to influence private influence upon
the judge: seek opportunities for the purpose; or take opportunities of social gatherings to
make ex parte statements or to endeavour to impress his views upon him.

(vii) He should not have any personal interest in the litigation he is conducting. It will be
misconduct on his part to stipulate with his client to share in the results of litigation.

Advocate and his clients: Duty towards clients

(i)

The relationship is personal and fiduciary:

The counsel should return papers and documents to the client the moment the case has
terminated. No paper should be retained without the clients consent.
Counsel also cannot delegate his duties without the clients consent.
After engagement the counsel must not revise agreement regarding his remuneration, or,
while the business in which he had been employed is unfinished,
It is the duty of the advocate not to use information which has been confided to him as
advocate to the detriment of the client, and this duty continues even after the relation of
advocate and client has ceased.
It is the duty of advocate not to appear for two clients whose interest are in conflict.
(ii)

What the counsel owes to his client:

(a) The first obligation which the advocate owes to his client is to prepare his brief with
care, skill and thoroughness:
(b) Secondly, in giving advice to his client for or against litigation, he should give his
candid opinion.
Counsel also owes duty of continuous service to his clients. When the counsel after he
has begun the case leaves the court to attend another case, it amounts to professional
misconduct.

Advocates fee- fixation of fees

Following elements usually enter into consideration in fixing the amount of fee:
a)
The qualifications and standing of advocates who is asked to render professional
service. It is evident that service rendered by the person of superior education and rich
experience is likely to be more valuable and of better quality than the advice given by a
person who is less qualified.
b) The difficulty in the problem involve in the case. The more intricate the case the
greater will be the degree of skill and amount of labour required.
c)

The amount of time required to render professional service.

d)

The amount involved in the suit.

e)

The result expected to be accomplished as a consequence of the lawyers exertion.

f)

The customary charges of the Bar for such services.

Every attorney has an ethical obligation to protect the confidential information of a client.
Confidential information includes both privileged ( Ss. 126-129 OF Evidence Act) and
unprivileged client information.
Unprivileged client information means all information relating to a client or furnished by the client,
other than privileged information, which is acquired by the lawyer during the course of or by
reason of the representation
Advocate and his Opponent:

The advocate should always treat his opponent with fairness and due consideration. For
instance, in drafting pleadings, he should act with care, prudence and good faith.
He should not indulge in abuse and reckless charges of fraud, dishonesty and criminality.

Unnecessary interruption of his opponent, by the advocate during his cross examination
or address is undesirable

Advocates and colleagues: Duty toward colleagues

1.

Bar council of India deal Rule 36 provides that an advocate shall not solicit work of
advertise (either directly or indirectly) whether by circulars, advertisements, touts,
personal communications interview not unwarranted by personal relations, furnishing or
inspiring newspaper, comments or producing his photograph to be published in
connection with case in which he has been engaged or concerned.
The sign-board or name plate should be of reasonable size.
The advertising is prohibited because it may lead to unhealthy competition among the
advocates. Advertisement can be allowed only for proper guidance so that it may not lead
to unhealthy competition and may not result in lowering dignity of the legal profession.
2. An advocate shall not enter appearance in any case in which there is already a
vakalatnama or memo of appearance filed by an advocate engaged for a party except
with his consent; in the case such consent is not produced he shall apply to the court
stating the reasons why the consent should not be produced and he shall appear only
after obtaining the permission of the court.
3. Every advocate on the Rolls of the State Bar council to pay a certain sum to the State Bar
council which is credited to separate fund to be known as the Bar Council of India
Advocates Welfare Fund for the State and shall be deposited in bank.

4.

Advocate shall not be the full time salaried employee of any person, government, firm,
corporation etc, so long as he continues to practise.

Canons of Judicial Ethics

First M.C. Setalvad Memorial Lecture delivered by
Honble Shri R.C. Lahoti, Chief Justice of India On Tuesday,
22nd February, 2005.
INTRODUCTION
I deem it a matter of pride, privilege and pleasure for having been called upon to deliver the First
M.C. Setalvad Memorial Lecture. I do not have the good fortune of having ever met or even
seen the legendary figure Motilal Setalvad, but, I can claim to know him well for I have learnt
about him not from anyone else, but from he himself.
My close encounter with Setalvad (as I would put it) was in the year 1971. I had put in a few
years of legal practice. I had passed through that phase wherein a junior lawyer often acquires
the reputation of being a champion of lost cases. I was desperately keen on learning what goes
into the making of a good lawyer. My late father, who was also my guru in the profession and
also my role model, advised me to read autobiographies and biographies of great lawyers. In a
law book shop at Indore (where I had taken my instructions in law), I came across My Life,
Law and Other Things. What tempted me at that time to purchase the book was not so much
the fact that the book was authored by Setalvad; rather, I felt more fascinated by the fact that the
book was published in October, 1970 and within three months a reprint edition had to be brought
out in January, 1971. This fact bore testimony to the demand for the book. I thought there must
be something worthwhile in it. For the book running into 636 pages well bound in cloth, I paid
Rs. 30/- (the printed price) which was out of the hard earned money of a young district court
lawyer. Thirty three years hence, a few pages have started leaving the binding. Recently I saw
the second edition of the book. On comparison, I found that the only difference between the two
editions is a heart-touching but inspiring introduction to the book by Shri Fali S. Nariman, Senior
Advocate. I got the introduction photocopied and added to my old possession as I did not want
my tested source of inspiration for 33 years to be replaced by anything new.
The book is a must for every lawyer, every judge and every student of law, for the message
which it carries for everyone associated with law or legal profession. The book speaks less of
Setalvad and more about the contemporaneous events which centred around Setalvad. It is less
of a biography and more of a historical document. Setalvad himself said I have always
disliked talking about myself and yet he said I am naturally proud of what I have been able to
achieve in the profession and all the services I have tried to render to the public and the country
in different fields. I have attempted in this book to set down an account of my life first of all for
my own satisfaction and because it might be an encouragement to others. Setalvad is right, I
can swear and say that.
MOTILAL SETALVAD
Motilal was a worthy son of a worthy father Chimanlal. He not only inherited all the virtues of his
great father but also multiplied and refined them to higher planes. Towards the declining years of
his life, Chimanlal had the satisfaction of seeing his eldest son tread in his professional foot-

steps, and distinguishing himself by his mental powers and forensic ability, which in the end
enabled him to rise to the highest rung of the legal ladder, culminating in his appointment first as
the Advocate General of Bombay and later as Attorney General for India. The son gave early
promise of a brilliant future at the Bar.[1]
A few characteristic qualities of Setalvad as an Advocate need a mention. He was blessed with a
stentorian voice which was quite disarming for his opponents. He was invariably full of
confidence at the Bar and had the habit of looking around in court during the course of his
arguments. He never interrupted his opponents. His arguments were crisp and to the point and
were not loaded with personal reminiscences and anecdotes. When Seervai mentioned
something personal to himself during the course of the hearing of the RMDC appeals and writ
petitions, Motilal made an audible remark that these autobiographical references must stop. He
practiced the profession in a grand manner like an architect and not like a mason or a tradesman
operating on the law of demand and supply. His fees were reasonable and did not vary
depending upon the stakes involved in a case.[2] The most conspicuous trait of Motilal
Setalvads advocacy in Court was his clarity of exposition and brevity. He never repeated an
argument or over emphasized it. In the Presidents Reference No. 1 of 1964 [(1965) 1 SCR 413],
Chief Justice Gajendragadkar paid a tribute to him Mr. Setalvad who appeared for the Judges
of the Allahabad High Court addressed to us a very able argument with his characteristic brevity
and lucidity (page 435). He had the most impeccable demeanour in court. He did not raise his
voice or show any emotion or indulge in levity. No other Attorney General had the gravity which
he had and which spontaneously commanded respect from the Bench. As a Law Officer he
seemed to have instinctively grasped the true function of a Law Officer which is stressed in
English Courts viz., Counsel for the Crown neither wins or loses. He is there to state the law
and facts to the Court. Setalvad did precisely that.[3]
TODAYS TOPIC
When Mr. Fali S. Nariman gave me the topic Canons of Judicial Ethics I was a little amused.
Who talks of ethics these days? And who listens to ethics?
A patient visited a doctors clinic and asked the receptionist I want to see a specialist of eyes
and ears.
The receptionist said There are doctors of ear, nose and throat and there are doctors of eyes.
There is no specialist who treats both the eyes and the ears. But then why are you in need of
such a doctor?
The patient replied These days I do not see what I hear and I do not hear what I see.
There are three reasons why I have readily and happily agreed to be here this day speaking on
the subject. First, the year 2005 is an Year of Excellence in Judiciary. It is futile to think of
excellence in judiciary unless the judges __ howsoever highly or howsoever lowly placed __ were
to follow the canons of judicial ethics. Thus, the subject becomes inevitably relevant. Secondly,
there is an untold and hitherto unknown affinity between Setalvad and me. Setalvad too was a
teetotaller, vegetarian and non-smoker. These qualities of his have made me fall in love with
him. Thirdly, I feel nothing could have been more appropriate and befitting the memory of
Setalvad __ the professional virtues incarnate, than discussing ethics and this I say on the
authority of what Mr. Justice V.R. Krishna Iyer had said in a message The late Shri M.C.
Setalvad was not merely a great jurist and persuasive advocate of international renown but, most
importantly, was one of the tallest figures who set high standards for the Bench and the Bar and,
by the very power of his presence, made high professional values operational. Today, when the
decline and fall have become deleteriously visible in the two sister professions, the memory of
Setalvad will be a necessary admonition.[4] Fourthly, no Chief Justice of India would refuse to

avail an opportunity for speaking on judicial ethics more so when it is before such an august
audience and that too in the memory of Motilal Setalvad. It would have been unethical on my
part if I would not. Discussion on judicial ethics is a tribute to Setalvad.
The first lecture on Setalvad could not possibly have been on any topic other than Ethics.
Setalvad is a man who lived by values and not only did he live by values but he also believed in
creating values. He remained ever a lawyer and never became a judge; rather, never agreed to
become a judge. His life story is full of anecdotes delivering messages worth being emulated by
the lawyers and the judges. An anecdote or two[5], I am tempted to quote.
In 1956, Setalvad was in Hague to appear before the International Court. The Indian
Ambassador there came with a message that Sir Mohammed Zaffarullah Khan, one of the
Judges at the Court was anxious to meet Setalvad for old times sake. Setalvad responded
firmly by saying that it would be wrong for him to meet a sitting Judge even socially. Zafarullah
Khan tried to speak to Setalvad on phone. Setalvad was very clear and firm while speaking into
the mouthpiece for the sake of courtesy that it would be wrong for him to meet the judge while
the case was on. We shall meet after the case is over, he said. 5
While staying at 11, Safdarjung Road in the capacity of Attorney General for India he had two
telephones, one official and one personal. Mrs. Setalvad was having tea with him and Setalvad
just left the hall to make a call. The guest present wondered why he did not make a call from the
telephone which was there itself. Mrs. Setalvad explained that Setalvad always made his
personal calls from his private telephone and the telephone near hand was the official one. 5
During his official visits he would meticulously check all the bills to separate such payments
which were his personal and immediately drew a cheque for such amounts.
It is well-known that Setalvad publicly disapproved of the former Chief Justice of Bombay
accepting a diplomatic post from the Government of India. He heartily disapproved of the
executive branch of the Government holding different carrots to the judiciary.5
He would never accept any gifts; not even from his clients. In the Privy Purse matter his client
a Maharaja sent him some valuable gifts attractively packed, which he promptly declined to
accept, even without touching them and told the carrier Tell his Highness if he wants to send
the fee, it should be by cheque.5
Motilal had great respect for the judiciary and the judges. Jai Mukhi was associated with Motilal
as his junior. Mukhis brother Parsa was appointed judge of the Bombay High Court. Soon, on
being so appointed, Parsa accompanied Mukhi to Setalvads house. Setalvad was in kurta
pyjama and ensconced in his favourite chair. He lumbered up from his chair and stood erect to
exclaim A Judge! One must show respect to a Judge!5
Setalvad had asserted Judicial Independence when he was still the Attorney General. At the
Inaugural Session of the Bar Association of India in 1961, he had indicted the Government, with
President Rajendra Prasad, Prime Minister Jawaharlal Nehru and Chief Justice B.P. Sinha
present on the rostrum in the Vigyan Bhawan. Setalvad condemned the Governors reprieve
granted to Nanavati to make the Bombay High Court warrant issued for his arrest unenforceable,
when the Supreme Court was seized of Nanavatis appeal against his conviction for the murder
of Ahuja. After Setalvads Presidential Speech, at this Bar function, Jawaharlal Nehru was called
upon by Setalvad to inaugurate the Bar Association of India, a voluntary organization of the Bar.
Jawaharlal Nehru was visibly shaken by the powerful public indictment by Motilal Setalvad.
Jawaharlal Nehru fumbled for words as he never used to. Jawaharlal began: What can I say? I
am in the position of an accused! That was Jawaharlal so full of candour and so transparently
sincere. He did not defend the action of the Government. He made it quite obvious that his
judgment as Prime Minister had gone wrong in taking a responsible decision, in the zeal to
protect Nanavati, albeit temporarily.[6] Commitment to professional ethics and professionally
honouring the commitment made were the virtue of Setalvad. R.A. Gagrat, Advocate, past

President of the Bombay Incorporated Law Society narrates one of his reminiscences. He had
briefed Setalvad in some important cases including the RMDC case which his clients lost in the
Bombay High Court. At that time, there was a rumour that Setalvad would be appointed the first
Attorney General for India. Gagrat went to congratulate him and also told him that on behalf of
RMDC, an appeal was being filed in Supreme Court. The information was a reminder to
Setalvad and also an underlying request to Setalvad to inform in his turn the Government to that
effect. Gagrat also requested Setalvad to appear for his clients in the Supreme Court and not to
take up the matter on behalf of the Government. Setalvad expressed thanks to Gagrat for the
information and told him that he would speak to the Government about it. Setalvad kept his
promise and appeared for RMDC in the Supreme Court.[7]
While working on the material for the memorial lecture of today I have realized what the meaning
of the title My Life, Law and Other Things title which Setalvad gave to his
autobiography __ is. His life is, of course, the core of the book. The law is in plenty in it to
read. What was not clear to me earlier was other things. Now, I understand these other things
available in the book, are just the Canons of Judicial Ethics.
CANONS VS. PRINCIPLES
I wonder why not Principles of Judicial Ethics and why the Canons of Judicial Ethics.
Principles are fundamental truth, the axioms, the code of right conduct. Much of these remain
confined to theory or hidden in books. Canons are the type or the rules perfected by the
principles put to practice. Principles may be a faculty of the mind, a source of action which are a
pleasure to preach or read. Canons are principles put into practice so as to be recognized as
rules of conduct commanding acceptability akin to religion or firm faith, the departure wherefrom
would be not a pardonable mistake but an unpardonable sin. Let us bear this distinction in our
mind while embarking upon a voyage into the dreamland called the Canons of Judicial Ethics.
Canons are the first verse of the first chapter of a book whose pages are infinite. The life of a
Judge i.e. the judicial living is not an easy thing. Things in judicial life do not always run
smoothly. Performing the functions of a judicial office, an occupant at times rises towards the
heights and at times all will seem to reverse itself. Living by canons of judicial ethics enables the
occupant of judicial office to draw a line of life with an upward trend travelling through the middle
of peaks and valleys. In legal circles, people are often inclined to remember the past as glorious
and describing the present as full of setbacks and reverses. There are dark periods of trial and
fusion. History bears testimony to the fact that there has never been an age that did not applaud
the past and lament the present. The thought process shall ever continue. Henry George said
Generations, succeeding to the gain of their predecessors, gradually elevate the status of
mankind as coral polyps, building one generation upon the work of the other, gradually elevate
themselves from the bottom of the sea. Progress is the law of nature. Setbacks and reverses
are countered by courage, endurance and resolve. World always corrects itself and the mankind
moves ahead again. Life must be measured by thought and action, not by time said Sir John
Lubbock.
Observance of Canons of Judicial Ethics enables the judiciary to struggle with confidence; to
chasten oneself and be wise and to learn by themselves the true values of judicial life. The
discharge of judicial function is an act of divinity. Perfection in performance of judicial functions is
not achieved solely by logic or reason. There is a mystic power which drives the Earth and the
Sun, every breeze on a flower and every smile on a child and every breath which we take. It is
this endurance and consciousness which enables the participation of the infinite forces which
command us in our thought and action, which, expressed in simple terms and concisely put, is
called the Canons of Judicial Ethics.

Judicial Ethics
Judicial ethics is an expression which defies definition. In the literature, wherever there is a
reference to judicial ethics, mostly it is not defined but attempted to be conceptualized.
According to Mr. Justice Thomas of the Supreme Court of Queensland, there are two key issues
that must be addressed : (i) the identification of standard to which members of the judiciary
must be held; and (ii) a mechanism, formal or informal, to ensure that these standards are
adhered to. A reference to various dictionaries would enable framing of a definition, if it must be
framed. Simply put, it can be said that judicial ethics are the basic principles of right action of the
judges. It consists of or relates to moral action, conduct, motive or character of judges; what is
right or befitting for them. It can also be said that judicial ethics consist of such values as belong
to the realm of judiciary without regard to the time or place and are referable to justice
dispensation.
Need for
In all democratic constitutions, or even those societies which are not necessarily democratic or
not governed by any constitution, the need for competent, independent and impartial judiciary as
an institution has been recognized and accepted. It will not be an exaggeration to say that in
modern times the availability of such judiciary is synonymous with the existence of civilization in
society. There are constitutional rights, statutory rights, human rights and natural rights which
need to be protected and implemented. Such protection and implementation depends on the
proper administration of justice which in its turn depends on the existence and availability of an
independent judiciary. Courts of Law are essential to act and assume their role as guardians of
the Rule of Law and a means of assuring good governance. Though it can be said that source of
judicial power is the law but, in reality, the effective exercise of judicial power originates from two
sources. Externally, the source is the public acceptance of the authority of the judiciary.
Internally and more importantly, the source is the integrity of the judiciary. The very existence of
justice-delivery system depends on the judges who, for the time being, constitute the system.
The judges have to honour the judicial office which they hold as a public trust. Their every action
and their every word spoken or written must show and reflect correctly that they hold the
office as a public trust and they are determined to strive continuously to enhance and maintain
the peoples confidence in the judicial system.
Alexander Hamilton once said ___ The judiciary . . . has no influence over either the sword or the
purse; no direction either of the strength or of the wealth of the society, and can take no active
resolution whatever. It may truly be said to have neither Force nor Will but merely judgment.
[8] The greatest strength of the judiciary is the faith of the people in it. Faith, confidence and
acceptability cannot be commanded; they have to be earned. And that can be done only by
developing the inner strength of morality and ethics.
ATTEMPTED CODIFICATION OF CANONS OF JUDICIAL ETHICS
People are responsible for their opinions, but providence is responsible for their morals (W.B.
Yeats in Christopher Hassall). The Constitution of India provides for an independent judiciary.
It is insulated against any influence of any other wing of governance or any other agency or
authority. Speaking in the Constituent Assembly of India, its President Dr. Rajendra Prasad
emphasized the need for the Indian Judiciary to be independent of the Executive and competent
in itself. There was a long discussion as to how the twin objects could be achieved. It has been
unanimously accepted in all the civilized countries of the world that an independent judiciary is
the backbone of civilized governance. It needs to be constantly guarded against external
influences. Over the time, the framers of different constitutions have realized that independence
of the judiciary and the protection of its constitutional position is the result of a continuous

struggle an ongoing and dynamic process. The constitutional safeguards provide external
protection for independence and strength of the judiciary. At the same time, the judiciary itself
and socio-legal forces should believe in the independence of the judiciary. It is of paramount
importance, that the judiciary to remain protected must be strong and independent from within,
which can be achieved only by inculcating and imbibing canons of judicial ethics inseparably into
the personality of the judges. Ethics and morality cannot be founded on authority thrust upon
from outside. They are the matters of conscience which sprout from within. Sukra Neeti(IV-5-1415) enumerates five vices which every judge should guard against to be impartial. They are:
(i) raga(leaning in favour of a party), (ii) lobha (greed), (iii) bhaye (fear), (iv) dvesha (ill-will
against anyone) and (v)vadinoscha rahashruthi (the judge meeting and hearing a party to a case
secretly, i.e. in the absence of the other party).[9] Socrates counselled judges to hear
courteously, answer wisely, consider soberly and decide impartially. Someone has commented
that these four virtues are all aspects of judicial diligence. It is suggested that Socrates list
needs to be supplemented by adding the virtue of acting expeditiously. But diligence is not
primarily concerned with expedition. Diligence, in the broad sense, is concerned with carrying
out judicial duties with skill, care and attention, as well as with reasonable promptness.
I read a poem (the name of the poet unfortunately I will not be able to quote, as it was not there,
where I read it) which describes the qualities of a judge. It reads,
God give us men, a time like this demands;
Strong minds, great hearts, true faith and ready hands;
Men whom the lust of office does not kill;
Men whom the spoils of office cannot buy;
Men who possess opinions and a will;
Men who have honour; men who will not lie;
Men who can stand before a demagogue
and damn lies treacherous flatteries without talking;
Tall men, sun-crowned, who live without the fog;
In public duty and in private thinking.
However, they may be trained to strengthen
those who are weak and wronged.
Late Justice Shiv Dayal during his tenure as Chief Justice of the High Court of Madhya Pradesh
brought out Judges Diary as an official publication of the High Court. It included Judges Prayer
running into three stanzas. Invoking the mercy of the Supreme Lord, he described the Judges as
Thy servants whom Thou sufferest to sit in earthly seats of judgement to administer Thy justice
to Thy people. He begs from the infinite mercy of the Supreme Lord, so as to direct and
dispose my heart that I may this day fulfil all my duty in Thy fear and fall into no error of
judgment. In the third stanza, he says ___ Give me grace to hear patiently, to consider diligently,
to understand rightly, and to decide justly! Grant me due sense or humility, that I may not be
misled by my willfulness, vanity or egotism. Rightly, the Judges are something special in the

democratic form of government governed by a Constitution and, therefore, the most exacting
standards can be none too high.[10]
Speaking of Felix Frankfurter as a judge, New York Times called him great not because of the
results he reached but because of his attitude towards the process of decision. His guiding lights
were detachment, rigorous integrity in dealing with the facts of a case, refusal to resort to
unworthy means, no matter how noble the end, and dedication to the Court as an institution.
[11] Long back, in 1852, Bacon wrote in one of his essays, Judges ought to be more learned
than witty, more reverend than plausible, and more advised than confident. Above all things,
integrity is their portion and proper virtue.
The book Lives of the Chief Justices of England (published, in 1858), reproduced the qualities of
a Judge written in his own handwriting by Lord Hale which he had laid down for his own conduct
as a Judge. He wrote,[12] ___
Things necessary to be continually had in remembrance.
1. That in the administration of justice I am intrusted for God, the King, and country; and
therefore,
2. That it be done, 1. uprightly; 2. deliberately; 3. resolutely.
3. That I rest not upon my own understanding or strength, but implore and rest upon the
direction and strength of God.
4. That in the execution of justice I carefully lay aside my own passions, and not give way to
them, however provoked.
5. That I be wholly intent upon the business I am about, remitting all other cares and thoughts
as unseasonable and interruptions. And, while on the Bench, not writing letters or reading
newspapers.
6. That I suffer not myself to be prepossessed with any judgment at all, till the whole business
and both parties be heard.
7. That I never engage myself in the beginning of any cause, but reserve myself unprejudiced
till the whole be heard.
8. That in business capital, though my nature prompt me to pity, yet to consider there is a pity
also due to the country.
9.
That I be not too rigid in matters purely conscientious, where all the harm is diversity of
judgment.
10. (Not reproduced)
11. That popular or court applause or distaste have no influence in anything I do, in point of
distribution of justice.
12. Not to be solicitous what men will say or think, so long as I keep myself exactly according
to the rule of justice.
13. (Not reproduced)
14. (Not reproduced)

15. (Not reproduced)

16. To abhor all private solicitations, of what kind soever, and by whomsoever, in matters
depending.
17. (Not reproduced)
18. To be short and sparing at meals, that I may be the fitter for business.
THE CONCEPT OF JUDGESHIP IN GITA
According to Shrimad Bhagvad Gita, a Judge is a person bestowed with excellence. This
concept, I am inclined to mention in the context of the year 2005 being an Year of Excellence in
Judiciary. A judge ought to be bestowed with the sense of complete detachment and humility.
He ought to remember that he is not himself an author of his deeds. He is only an actor who has
to play his role conforming to the script which represents the Will of the Author-playwright and
thus surrendering himself to the will of God. According to Islam, such surrender is the supreme
act of religion. While the essence of Christian daily prayer is Thy will be done, O Lord!. A
judge, according to religious concepts whether of Hinduism, Islam or Christianity, would never be
heard claiming with egotism that a particular judgment was written by him or a particular
sentence or decree was pronounced by him. He would always feel and proclaim that all that he
had done or he does is to carry out the will of God. His every action he would surrender to the
God and thereby be a totally detached and humble person. The seriousness of the function
performed by him would never disturb or overtake him in his deeper mental state, just as an
actor on the stage may fight, kill or love but he is the least affected one, as he never forgets it is a
play after all. This detachment is an equilibrium born of knowledge. The Lord says He who is
the same to foe and friend and also in honour and dishonour, who is the same in cold and heat,
in pleasure and pain, who is free from attachment, to whom censure and praise are equal, who is
silent __uncomplaining __ content with anything, homeless, steady-minded, full of devotion __ that
man is dear to me.[13]
The essence of the teaching of the Gita is to transform karma into karma yoga: to be active in
body but detached in mind.[14]
Hindu philosophy beautifully compares a judge with a flower which would never wither and
remains ever fresh. An anecdote very appropriately explains this concept A religious
discussion was to take place between Adi Shankaracharya and Mandan Mishra. Sharda or
Saraswati was judge. Both were offered similarasanas to sit on. Having plucked fresh flowers,
Sharda strung two identical garlands. She put them round the necks of the two scholars and
said, During the discussion, the garlands will decide the winner and the loser. The wearer of the
garland whose flowers fade first will be considered to have lost. Sharda maintained that he
who possessed intellectual clarity, power of thinking and self-confidence will be calm and
peaceful. His voice will be like the cool spring. Therefore, the flowers will remain fresh for a
longer time. On the other hand, one who does not have a clear intellect or a strong sense of logic
or whose self-confidence staggers, will be frustrated. His voice will become harsh, the circulation
of blood in his veins will become rapid and his breath will become hot. Hence the flowers around
his neck will wither sooner.[15] The fragrance and freshness of flowers become a part of the
personality of a judge if what he thinks and what he does are all based on such values as are the
canons of judicial ethics.
THREE DOCUMENTS
Canons of judicial ethics have been attempted, time and again, to be drafted as a Code. Several
documents of authority and authenticity are available as drafted or crafted by several fora at the
national and international level. The fact remains that such a code is difficult to be framed and

certainly cannot be consigned to a straitjacket. Mostly these canons have originated in and have
been handed down by generation after generation of judges by tradition and conventions. If any
reference is required to be made to documents, I would choose to confine myself by referring to
three of them : (i)
Restatement of Values of Judicial Life adopted by the Chief Justices
Conference of India, 1999;
(ii)

The Bangalore Principles of Judicial Conduct, 2002

(iii)
Constitution of India.

The Oath of a Judge as contained in the Third Schedule of the

(i) Restatement of Values of Judicial Life (1999)

On May 7, 1997, the Supreme Court of India in its Full Court adopted a Charter called
the Restatement of Values of Judicial Life to serve as a guide to be observed by Judges,
essential for independent, strong and respected judiciary, indispensable in the impartial
administration of justice. This Resolution was preceded by a draft statement circulated to all the
High Courts of the country and suitably redrafted in the light of the suggestions received. It has
been described as the restatement of the pre-existing and universally accepted norms,
guidelines and conventions observed by Judges. It is a complete code of the canons of judicial
ethics. It reads as under:
1. Justice must not merely be done but it must also be seen to be done. The behaviour and
conduct of members of the higher judiciary must reaffirm the peoples faith in the
impartiality of the judiciary. Accordingly, any act of a Judge of the Supreme Court or a High
Court, whether in official or personal capacity, which erodes the credibility of this perception
has to be avoided.
2. A Judge should not contest the election to any office of a Club, society or other
association; further he shall not hold such elective office except in a society or association
connected with the law.
3. Close association with individual members of the Bar, particularly those who practice in
the same court, shall be eschewed.
4. A Judge should not permit any member of his immediate family, such as spouse, son,
daughter, son-in-law or daughter-in-law or any other close relative, if a member of the Bar,
to appear before him or even be associated in any manner with a cause to be dealt with by
him.
5. No member of his family, who is a member of the Bar, shall be permitted to use the
residence in which the Judge actually resides or other facilities for professional work.
6. A Judge should practice a degree of aloofness consistent with the dignity of his office.
7. A Judge shall not hear and decide a matter in which a member of his family, a close
relation or a friend is concerned.
8. A Judge shall not enter into public debate or express his views in public on political
matters or on matters that are pending or are likely to arise for judicial determination.
9. A Judge is expected to let his judgments speak for themselves. He shall not give
interviews to the media.
10. A Judge shall not accept gifts or hospitality except from his family, close relations and
friends.

11. A Judge shall not hear and decide a matter in which a company in which he holds shares
is concerned unless he has disclosed his interest and no objection to his hearing and
deciding the matter is raised.
12. A Judge shall not speculate in shares, stocks or the like.
13. A Judge should not engage directly or indirectly in trade or business, either by himself or
in association with any other person. (Publication of a legal treatise or any activity in the
nature of a hobby shall not be construed as trade or business).
14. A Judge should not ask for, accept contributions or otherwise actively associate himself
with the raising of any fund for any purpose.
15. A Judge should not seek any financial benefit in the form of a perquisite or privilege
attached to his office unless it is clearly available. Any doubt in this behalf must be got
resolved and clarified through the Chief Justice.
16. Every Judge must at all times be conscious that he is under the public gaze and there
should be no act or omission by him which is unbecoming of the high office he occupies
and the public esteem in which that office is held.
These are only the Restatement of the Values of Judicial Life and are not meant to be
exhaustive but illustrative of what is expected of a Judge.
The above restatement was ratified and adopted by Indian Judiciary in the Chief Justices
Conference 1999. All the High Courts in the country have also adopted the same in their
respective Full Court Meetings.
(ii) The Bangalore Draft Principles
The values of judicial ethics which the Bangalore Principles crystallises are : (i) independence (ii)
impartiality , (iii) integrity, (iv) propriety (v) equality and (vi) competence & diligence.
1.
1.

The above values have been further developed in the Bangalore Principles as under:Judicial independence is a pre-requisite to the rule of law and a fundamental guarantee
of a fair trial. A judge shall therefore uphold and exemplify judicial independence in both its
individual and institutional aspects.
1. Impartiality is essential to the proper discharge of the judicial office. It applies not only to
the decision itself but also to the process by which the decision is made.
Integrity is essential to the proper discharge of the judicial office.
1. Propriety, and the appearance of propriety, are essential to the performance of all of the
activities of a judge.
Ensuring equality of treatment to all before the courts is essential to the due performance of the
judicial office.
1. Competence and diligence are prerequisites to the due performance of judicial office.
(vii) Implementation By reason of the nature of judicial office, effective measures shall be
adopted by national judiciaries to provide mechanisms to implement these principles if such
mechanisms are not already in existence in their jurisdictions.
The Preamble to the Bangalore Principles of Judicial Conduct states inter alia that the principles
are intended to establish standards for ethical conduct of judges. They are designed to provide
guidance to judges and to afford the judiciary a framework for regulating judicial conduct. They
are also intended to assist members of the executive and the legislature, and lawyers and the
public in general, to better understand and support the judiciary. These principles presuppose
that judges are accountable for their conduct to appropriate institutions established to maintain
judicial standards, which are themselves independent and impartial, and are intended to
supplement and not to derogate from existing rules of law and conduct which bind the judge.

There are a few interesting facts relating to the Bangalore Principles. The first meeting to
prepare the Draft Principles was held in Vienna in April 2000 on the invitation of the United
Nations Centre for International Crime Prevention, and in conjunction with several other
institutions concerned with justice administration. In preparing the draft Code of Judicial
Conduct, the core considerations which recur in such codes were kept in view. Several existing
codes and international instruments more than three in number including the Restatement of
Values of Judicial Life adopted by the Indian judiciary in 1999 were taken into consideration. At
the second meeting held in Bangalore in February 2001, the draft was given a shape developed
by judges drawn principally from Common Law countries. It was thought essential that it will be
scrutinized by judges of all other legal traditions to enable it to assume the status of a duly
authenticated international code of judicial conduct. The Bangalore Draft was widely
disseminated amongst judges of both common law and civil law systems and discussed at
several judicial conferences. The draft underwent a few revisions and was finally approved by a
Round-Table Meeting of Chief Justices (or their representatives) from several law system, held in
Peace Palace in The Hague, Netherlands, in November 2002. Accountability as one of the
principles which was included in the original draft was dropped in the final draft. It is apparently
for two reasons. Firstly, it was thought that the principles enshrined in the Bangalore Principles
presuppose the accountability on the part of the judges and are inherent in those principles.
Secondly, the mechanism and methodology of accountability may differ from country to country
and therefore left to be taken care of individually by the participating jurisdictions.
(iii) The oath or affirmation by Judge
The Constitution of India obligates the Indian Judiciary to reach the goal of securing to all its
citizens __Justice, Liberty, Equality and Fraternity. How this goal is to be achieved is beautifully
summed up in the form of oath or affirmation to be made by the Judges of the Supreme Court
and High Courts while entering upon the office.
Swearing in the name of God or making a solemn affirmation a Judge ordains himself:1.
2.
3.

that I will bear true faith and allegiance to the Constitution of India as by law established;
that I will uphold the sovereignty and integrity of India;
that I will truly and faithfully and to the best of my ability, knowledge and judgment perform
the duties of office without fear or favour, affection or ill-will; and
4. that I will uphold the Constitution and the laws.
In my humble opinion, the oath of a Judge is a complete Code of Conduct and incorporates
therein all the canons of judicial ethics.
The judiciary has been trusted and hence entrusted with the task of upholding the Constitution
and zealously and watchfully guarding the constitutional values. The oath administered to a
judge ordains him to uphold the Office as a citadel of public justice and public security to fulfil the
constitutional role assigned to the Judiciary.
The concept of independence of the judiciary is a noble concept which inspires the constitutional
scheme and constitutes the foundation on which rests the edifice of our democratic polity. If there
is one principle which runs through the entire fabric of the Constitution, it is the principle of the
Rule of Law and under the Constitution, it is the judiciary which is entrusted with the task of
keeping every organ of the State within the limits of the law and thereby making the Rule of Law
meaningful and effective. It is to aid the judiciary in this task that the power of judicial review has
been conferred upon the judiciary and it is by exercising this power which constitutes one of the
most potent weapons in armoury of the law, that the judiciary seeks to protect the citizen against
violation of his constitutional or legal rights or misuse or abuse of power by the State or its

officers.[16] This is the principle of independence of judiciary which judges must keep in mind
while upholding the Constitution and administering the laws.
Oath of a Judge _ analysed
Every word and expression employed in the oath of a judge is potent with a message. The
message has to be demystified by reading between the lines and looking beyond what meets the
eyes.
An option to swear in the name of God or to make a solemn affirmation is suggestive of secular
character of the oath.
A judge must bear not only faith but true faith and allegiance to the Constitution of India. The
oath demands of a judge not only belief in constitutional principles but a loyalty and a devotion
akin to complete surrender to the constitutional beliefs. Why ?
Under our constitutional scheme, the judiciary has been assigned the onerous task of
safeguarding the fundamental rights of our citizens and of upholding the rule of law. Since the
Courts are entrusted the duty to uphold the Constitution and the laws, it very often comes in
conflict with the State when it tries to enforce its orders by exacting obedience from recalcitrant
or indifferent State agencies. Therefore, the need for an independent and impartial judiciary
manned by persons of sterling quality and character, undaunting courage and determination and
resolute impartiality and independence who would dispense justice without fear or favour, ill-will
or affection. Justice without fear or favour, ill-will or affection, is the cardinal creed of our
Constitution and a solemn assurance of every Judge to the people of this great country . an
independent and impartial judiciary is the most essential characteristic of a free society.[17] The
arch of the Constitution of India pregnant from its Preamble, Chapter III (Fundamental Rights)
and Chapter IV (Directive Principles) is to establish an egalitarian social order guaranteeing
fundamental freedoms and to secure justice __ social, economic and political __ to every citizen
through rule of law. Existing social inequalities need to be removed and equality in fact is
accorded to all people irrespective of caste, creed, sex, religion or region subject to protective
discrimination only through rule of law. The Judge cannot retain his earlier passive judicial role
when he administers the law under the Constitution to give effect to the constitutional ideals.
The extraordinary complexity of modern litigation requires him not merely to declare the rights to
citizens but also to mould the relief warranted under given facts and circumstances and often
command the executive and other agencies to enforce and give effect to the order, writ or
direction or prohibit them to do unconstitutional acts. In this ongoing complex of adjudicatory
process, the role of the Judge is not merely to interpret the law but also to lay new norms of law
and to mould the law to suit the changing social and economic scenario to make the ideals
enshrined in the Constitution meaningful and a reality.[18]
The sovereignty and integrity of India has to be upheld. Constitution itself would cease to exist,
if, God forbid, the sovereignty and integrity of India were lost.
The duties associated with the Office of a judge are too sacrosanct and hence demand the
judicial functioning with the best of ability, knowledge and judgment of the judges. It is not
enough to be a law graduate or to have put in a number of years of practice or to have gained
experience by serving as a judicial officer for a specified number of years. Their ability and
knowledge associated with the clarity of purpose and methods which the judges display enables
the judicial system to perform to its optimum efficiency. The role of the judge obligates him to
continue to invest in up-dating his knowledge of law and skills of justice dispensation. The holder
of the Office if not able and knowledgeable would not have the confidence to function, much less
with independence. It is said :

Strange, how much youve got to know;

Before you know, how little you know.[19]
Independence and Impartiality
Independence and impartiality are most crucial concepts. The two concepts are separate and
distinct. Impartiality refers to a state of mind and attitude of the court or tribunal in relation to the
issues and the parties in a particular case, while independence refers not only to the state of
mind or attitude, but also to a status or relationship to others __ particularly to the executive
branch of Government __ that rests on objective conditions or guarantees.[20]
According to Chief Justice Lamer : The overall objective of guaranteeing judicial independence
is to ensure a reasonable perception of impartiality; judicial independence is but a means to an
end. If judges could be perceived as impartial without judicial independence, the requirement
of independence would be unnecessary. However, judicial independence is critical to the publics
perception of impartiality. Independence is the cornerstone, a necessary prerequisite for judicial
impartiality.
The concept of judicial independence has been described in golden letters in one of the
judgments of the Supreme Court of India. To keep the stream of justice clean and pure, the
Judge must be endowed with sterling character, impeccable integrity and upright behaviour.
Erosion thereof would undermine the efficacy of the rule of law and the working of the
Constitution itself. The Judges of higher echelons, therefore, should not be mere men of clay
with all the frailties and foibles, human failings and weak character which may be found in those
in other walks of life. They should be men of fighting faith with tough fibre not susceptible to any
pressure, economic, political or of any sort. The actual as well as the apparent independence of
judiciary would be transparent only when the office-holders endow those qualities which would
operate as impregnable fortress against surreptitious attempts to undermine the independence of
the judiciary. In short, the behaviour of the Judge is the bastion for the people to reap the fruits
of the democracy, liberty and justice and the antithesis rocks the bottom of the rule of
law.[21] Unless the judges function without fear and favour, the question of their being impartial
or independent does not arise. Judges owe their appointment to the Constitution and hold a
position of privilege under it. They are required to uphold the Constitution and the laws,
without fear that is without fear of the executive; and without favour that is without expecting a
favour from the executive. There is thus a fundamental distinction between the master and
servant relationship between the government and the Judges of High Courts and the Supreme
Court. [22]
Independence and impartiality and objectivity would be tall claims hollow from within, unless the
judges be honest __ honest to their Office, honest to the society and honest to themselves. the
societys demand for honesty in a judge is exacting and absolute. The standards of judicial
behaviour, both on and off the Bench, are normally extremely high. For a judge, to deviate from
such standards of honesty and impartiality is to betray the trust reposed in him. No excuse or no
legal relativity can condone such betrayal. From the standpoint of justice, the size of the bribe or
scope of corruption cannot be the scale for measuring a Judges dishonour. A single dishonest
Judge not only dishonours himself and disgraces his office but jeopardizes the integrity of the
entire judicial system. A judicial scandal has always been regarded as far more deplorable than
a scandal involving either the executive or a member of the legislature. The slightest hint of
irregularity or impropriety in the court is a cause for great anxiety and alarm. A legislator or an
administrator may be found guilty of corruption without apparently endangering the foundation of
the State. But a Judge must keep himself absolutely above suspicion; to preserve the
impartiality and independence of the judiciary and to have the public confidence thereof. [23]

To perform the duties of judicial office without fear or favour, affection or ill-will is the same thing
as performing the duties with independence, impartiality and objectivity. In order to achieve this
a certain degree of aloofness is required to be maintained by the judges. According to Justice
P.B. Gajendragadkar Judges ordinarily must observe certain rules of decorum in their social
behaviour. A little isolation and aloofness are the price which one has to pay for being a judge,
because a judge can never know which case will come before him and who may be concerned
in it. No hard and fast rule can be laid down in this matter, but some discretion must be
exercised.[24] The concept is best demonstrated in a real life anecdote which I would like to
reproduce in the words of Justice Gajendragadkar himself. He records
Another feature which I did not very much appreciate was that judges used to accept invitations
for dinners from lawyers far too frequently. I consistently refused to join such dinners. When S.R.
Das was due to retire, there were a number of dinners and S.K. Das found that I was not
accepting any one of these invitations. He came to me and said: Brother, accept at least one so
that the Chief may not misunderstand you. So I did accept one and, when we met to dine in a
hotel, I was amazed to see that we were not dining in an exclusive room but in the general hotel
itself, which was otherwise crowded by other diners and it was a lawyer who was entertaining us
as a host to the large number of visitors present in the hotel. With my Bombay background, I did
not relish this prospect at all; and not feeling happy about such dinners I conveyed my views to
S.R. Das. With his characteristic tact, he said, Yes, I see your point. [25]
However, it is interesting to note that R.A. Jahagirdar (who has contributed a beautiful preface to
the autobiography and, in fact, he is the one who was successful in persuading Justice
Gajendragadkar to write his memoirs) has put an asterisk on the words Bombay background
and inserted a footnote which reads The Bombay background has considerably changed.
Cases of judges being entertained in luxury hotels are not infrequent and have been discussed in
the Press.
Justice Gajendragadkar goes on to record
The undesirable and perhaps intended motivation for such invitation for dinners became patent
in another case. That was a dinner arranged ostensibly by a lawyer who was a benamidar of the
proprietor of a hotel chain. So far as I know, I and K.C. Das Gupta did not attend. Most of others
did. The dinner was held on a Saturday at a hotel. On Monday next, before the Bench over which
B.P. Sinha presided and I and K.C. Das Gupta were his colleagues, we found that there was a
matter pending admission between the management of the hotel chain and its workmen. I turned
to Sinha and said: Sinha, how can we take this case? The whole lot of supervisors and
workmen in the hotel is sitting in front and they know that we have been fed in the hotel
ostensibly by the lawyer but in truth at the cost of the hotel, because the very lawyer who invited
the judges to the dinner is arguing in the hotels appeal. Sinha, the great gentleman that he was,
immediately saw the point and said: This case would go before another Bench. [26]
A sad incident is quoted by Justice V.R. Krishna Iyer while describing how he refused to budge
an inch though tremendous pressure was sought to be built upon him, by none else than the
then Law Minister Late Shri Gokhale who himself has had a brief stint as a judge in Bombay, to
pass an absolute order of stay on the judgment of Allahabad High Court in the case of Indira
Gandhi vs. Raj Narain. The narrated incident has a lesson to learn. I may quote
By way of a distressing deviation, I may mention an anecdote of a few years ago. A vacation
judge was telephoned by an advocate from a five star hotel in Delhi. He mentioned that he was
the son of the then Chief Justice and wished to call on the vacation judge. Naturally, since the
caller was an advocate, and on top of it, the son of the Chief Justice, the vacation judge allowed
him to call on him. The gentleman turned up with another person and unblushingly told the
vacation judge that his companion had a case that day on the list of the vacation judge. He

wanted a small favour of an Interim stay. The judge was stunned and politely told the two men
to leave the house. Later, when the Chief justice came back to Delhi after the vacation, the victim
judge reported to him about the visit of his son with a client and his prayer for a stay in a
pending case made at the home of the Judge. The Chief Justice was not disturbed but
dismissed the matter as of little consequence. After all, he only wanted an interim stay, said the
Chief justice, and not a final decision. This incident reveals the grave dangers of personal visits
to judges residences under innocent pretexts. This is the way functional felony creeps into the
judiciary. A swallow does not make a summer may be, but deviances once condoned become
inundations resulting in credibility collapse of the institution[27]
He says Judgeship has diamond-hard parameters.
A complete seclusion from society might result in judges becoming too removed from
society and the realities of social life. Common knowledge of events and robust
commonsense need knowledge of human behaviour but for which the judge may be
incapacitated from doing complete justice or exercising discretion in the given facts of a
case before him. An isolated judge runs the risk of viewing facts in a vacuum which in its
turn may lead to an unjust decision.
To strike an equitous balance between the need for maintaining certain degree of
aloofness and the necessity for moving in society to understand it so as to be a practical
judge, he shall have to conscientiously keep a vigil of his own movements and decide
thoughtfully where to go and where not to go. Experience and caution would be the best
guide of a judge in this regard. He ought to remember that what he thinks of himself is
not so material as how people would perceive and interpret his movements and presence
at a given place.
RANDOM THOUGHTS :
Four Qualities in a Judge
A judge has to be possessed of excellence not only from within but he should also visibly display
the functional excellence which is necessary to fulfil the constitutional promise of justice by the
judiciary as a whole. Four qualities are needed in a judge which are symptomatic of functional
excellence. They are: (i) Punctuality (ii) Probity (iii) Promptness; and (iv) Patience.
Justice Hidayatullah has placed observance by judges of the punctuality of time on a very high
pedestal. According to him a judge who does not observe punctuality of time does not believe in
rule of law.
Probity is uprightness; moral integrity; honesty.
According to Justice V.R. Krishna Iyer the judges who do not pronounce judgment in time commit
turpitude. He notes with a sense of sorrow
It has become these days, for the highest to the lowest courts judges, after the arguments are
closed, take months and years to pronounce judgments even in interlocutory matters a sin
which cannot be forgiven, a practice which must be forbidden, a wrong which calls for censure or
worse.[28]
Lord Denning puts it mildly by way of tendering good advice for a new judge. He says that when
judgment was clear and obvious it was for the benefit of the parties and the judge himself that
judgment should be delivered forthwith and without more ado. Though, the art is difficult and
requires great skills but practice can enable perfection.[29] However, not all judgments can be
delivered ex tempore; there are cases in which doubts are to be cleared, law has to be settled
and conflicts are to be resolved either by performing the difficult task of reconciling or the

unpleasant task of overruling. Such judgments need calm and cool thinking and deep
deliberations. Such judgments must be reserved but not for an unreasonable length of time.
Conduct of Judge in private
When a judge sits on trial, he himself is on trial. The trust and confidence of we the people in
judiciary stands on the bedrock of its ability to dispense fearless and impartial justice. Any action
which may shake that foundation is just not permitted. Once having assumed the judicial office,
the judge is a judge for 24 hours. It is a mistaken assumption for any holder of judicial office to
say that I am a judge from 10 to 5 and from 5 to 10 it is my private life. A judge is constantly
under public gaze. Judicial office is essentially a public trust. Society is, therefore, entitled to
expect that a Judge must be a man of high integrity, honesty and required to have moral vigour,
ethical firmness and impervious to corrupt or venial influences. He is required to keep most
exacting standards of propriety in judicial conduct. Any conduct which tends to undermine public
confidence in the integrity and impartiality of the court would be deleterious to the efficacy of
judicial process. Society, therefore, expects higher standards of conduct and rectitude from a
Judge. Unwritten code of conduct is writ large for judicial officers to emulate and imbibe high
moral or ethical standards expected of a higher judicial functionary, as wholesome standard of
conduct which would generate public confidence, accord dignity to the judicial office and
enhance public image, not only of the Judge but the court itself. It is, therefore, a basic
requirement that a Judges official and personal conduct be free from impropriety; the same must
be in tune with the highest standard of propriety and probity. The standard of conduct is higher
than that expected of a layman and also higher than that expected of an advocate. In fact, even
his private life must adhere to high standards of probity and propriety, higher than those deemed
acceptable for others. Therefore, the Judge can ill-afford to seek shelter from the fallen standard
in the society. [30]
Patience and Tolerance:
The greatest quality of a Judge is to have patience which is sister virtue of calmness. Calmness
is as essential as fearlessness and honesty to the exercise of good judgment in times of aroused
feelings and excited passion.
Patience implies the quietness or self-possession of ones own spirit under sufferance and
provocation. Since it has a tranquillising effect, patience is the best remedy for every affliction.
The Bible says that if patience or silence be good for the wise, how much the better for others
unwise or not so wise. Sometimes we turn our anger upon the person responsible for hurting us;
we are also likely to blame someone for any kind of mishap. By learning to be patient, one can
cultivate the art of reigning in bad temper and hasty decision-making. Patience yields many
good things. It is also a necessary ingredient of genius. Patience can solve problems, avert
wars and disasters, and lead us to the path of truth.
The power of patience leads us to self-inspection, to the admission of errors and the capacity for
forgiveness. A learned man tells us that misfortune can be turned into fortune through wisdom.
The acquisition of wisdom needs five steps. The first is patience, the second is listening, the
third is understanding, the fourth is pondering and the fifth is practice all qualities needed in a
judge. To be patient one has to be humble. To cultivate patience, anger management plays a
crucial role. He who is slow to anger is better than the mighty and he that rules his spirit than he
who takes a city. The world exists only because of self-restraint exercised by the mighty. Power
coupled with impatience can be very dangerous. Leaders and Judges who are impulsive are
greatly feared and are considered impractical. Anger begets violence and cannot be easily
repressed. At times anger is provoked by misunderstanding and may actually have no basis in
reason. Anger can be subverted with forgiveness.

One of the ways to be patient is through tolerance. Tolerance recognizes individuality and
diversity; it removes divisiveness and diffuses tension created by ignorance. Tolerance is an
inner strength, which enables the individual to face and overcome misunderstandings and
difficulties. A tolerant person is like a tree with an abundance of fruits; even when pelted with
sticks and stones, the tree gives its fruit in return. Without tolerance, patience is not possible.
Tolerance is integral and essential to the realization of patience. [31]
Rational Utilisation of Time
On the day I was sworn in as a Judge of the High Court, Chief Justice (Retd.) G.G. Sohani, an
illustrious Judge of the High Court of Madhya Pradesh, later the Chief Justice of Patna High
Court very affectionately told me a few dos and donts for any judge. Amongst other things, he
told me that working hours of the court are meant for discharging only judicial work. No part of
judicial working hours should be diverted to administrative work. Full Court and Administrative
Committee meetings should be invariably held on non-working days or, before or after court
sitting hours. The judges are not supposed to proceed on leave unless and until the absence is
unavoidable. The judges are also not supposed to participate in ceremonial functions like
inaugurations or delivering lectures by abstaining themselves from the court. All this does not
tantamount to saying that a judge should neither relax nor rejuvenate himself. Vacations are
meant for rejuvenating the health of the judges so that they feel fit and also for reading so as to
update their knowledge of law. They must also spend a fixed time every day and in weekends
with their family members so as to concentrate on judicial work during working hours. I would
treat this as a part of judicial ethics.
I am reminded of a Chief Justice, who speaking at a farewell function, marking the occasion of
his demitting the office, made a witty remark ___ After my retirement, I would like to interview the
wives of the Judges and collect information from them as to what prevented them for not
divorcing their husbands so far. Justice Devitt wrote in Ten Commandments for the New
Judge ___ The greatest deterrent to a judges taking himself too seriously in any respect is a
wise and observing wife who periodically will remark, Darling! Dont be so Judgey .[32]
EPILOGUE
An eminent jurist, Justice G.P. Singh, former Chief Justice and later Lokayukt of Madhya
Pradesh, needs a mention here. He believes that canons of ethics cannot be learnt simply by
listening or be taught only by being told. One must live by values to preach and emulating is the
best way to learn. His life as lived is full of examples and he has never delivered any precepts.
His brevity, lucidity and clarity in judgments is comparable with Privy Council decisions. He has
always believed in simple living and high thinking. His principles of statutory interpretation (Nine
Editions, published) and Law of Torts both of international standards, speak aloud of the height of
his learning.
Great persons live great lives and leave behind indelible imprints on the sand of time. The
imprints are not faded though several foot-steps have crossed them. A very inspiring anecdote
has been narrated by Fali S. Nariman, Senior Advocate.[33]
A Chief Justice of the New York State Court of Appeals on his first appointment as Chief Judge
proudly showed his wife the chair in the court-room of his illustrious predecessor-in-office of
nearly half a century ago Chief Justice Benjamin Cardozo (a legend amongst Judges of the
United States). And he said to his wife in a reverential whisper See this is Cardozos chair
and this is where I will sit. His wife responded not very reverentially: Yes and after fifty years
and five more Chief Justices it will still be Cardozos chair!
The times would run through and yet Motilal Setalvad would be remembered as Motilal Setalvad
with none who could surpass him.

*********
[1] P.B. VACHHA, Famous Judges, Lawyers and Cases of Bombay, p. 153
[2] Source SOLI J. SORABJEE, Senior Advocate and Former Attorney General for India
[3] Source T.R. ANDHYARUJINA, Senior Advocate, Supreme Court and Former Solicitor
General of India.
[4] The Indian Advocate, Vol.XIII, 1991, p.72
[5] Source __ J.M. MUKHI, Bar-at-law
[6] G.L. SANGHI Remembering M.C. Setalvad, The Indian Advocate, Volume XXIII, 1991 Part II
[7] The Bombay Incorporated Law Society, Centenary, Volume 1894-1994, pp. 270-271
[8] E.C. GERHART, Quote It, p.300
[9] M. Rama Jois, Trivarga Siddhanta, p.85.
[10] Nyay Diary, 1976
[11] E.C. GERHART, Quote It, p.289
[12] E.C. GERHART, Quote It, pp 297-298
[13] Gita, XII.18-19.
[14] K.S. Ram, The Worlds a Stage: Were Mere Players, The Speaking Tree, The Times
of India
[15] Amrita Pritam, Fifty Fragments of Innerself, quoted in Sacred Space, The Times of India
[16] S.P. Gupta v. Union of India, 1981 Supp. SCC 87, para 27.
[17] S.C. Advocates-on-Record Association & Ors. v. Union of India, (1993) 4 SCC 441, para
273, per Ahmadi, J..
[18] C. Ravichandran Iyer v. Justice A.M. Bhattacharjee & Ors., (1995) 5 SCC 457, para 41, per
K. Ramaswamy, J.
[19] Anonymous
[20] University of New Brunswick Law Journal, Vol. 45, 1999, p.81.
[21] C. Ravichandran Iyer v. Justice A.M. Bhattacharjee & Ors., (1995) 5 SCC 457, para 23, per
K. Ramaswamy, J..
[22] Union of India v. S.H. Sheth, (1977) 4 SCC 193, quoted in K. Veeraswami v. Union of India
& Ors., (1991) 3 SCC 655, para
[23] K. Veeraswami v. Union of India & Ors., (1991) 3 SCC 655, para 79, 80, per Sharma, J.
[24] P.B. Gajendragadkar, To The Best of My Memory, p.138.
[25] ibid p.137.
[26] ibid pp.137-138
[27] V.R. Krishna Iyer, A Living Legend, p.130
[28]ibid p.138
[29] Edmund Heward, Lord Denning, A Biography, 2nd Edn., pp.35-36.
[30] C. Ravichandran Iyer v. Justice A.M. Bhattacharjee & Ors., (1995) 5 SCC 457, para 21, per
K. Ramaswamy, J.
[31] Ezekiel Malekar, Lessons on Patience and Tolerance, The Speaking Tree, The Times
of India.
[32] E.C. GERHART, Quote It, p.290
[33] First Nani A. Palkhivala Memorial Lecture, 16th January, 2004
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Court Witness: Professional ethics are bollocks; We need leaders at the bar
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Nothing but grey skies do I seeHave you

heard about the senior advocate who borrowed paintings from a five-star suite and then got his
client to pay for them? Or that junior lawyer who told his client that the matter was being heard
on a day-to-day basis and forged the courts orders to hide the fact that it had been dismissed as
withdrawn on the first hearing?
No? You should ask any lawyer near and dear to you. Theyll tell you a dozen stories worse.
Nick Robinsons piece in The Hindu over the weekend was spot on about legal ethics and the
Bar Council of Indias (BCI) failure to regulate. Clients are short-changed, judges browbeaten,
and the judicial systems clogged by unscrupulous lawyers.
The BCIs list of dos and donts for lawyers is pretty long and theres a fascinating jurisprudence
of cases concerning professional ethics too.
But the simple truth, as Blackadder would have said, is that its bollocks.
Charming snake
As Ive written before, the life of a junior advocate is fraught with many dangers and pitfalls.
Along with the insecurities of trying to start out in private practice, thus the ever present snake of
temptation constantly hissing in your ear, willing you, Go on, you know no ones going to find out
anyway.
If you dont give in, the voice tells you, Someone else will and youll still be the one whos two
months late on the rent.
The temptation comes in many subtle and less than subtle forms.
The paying client asks you if youve done matters like this before and you know shell go
elsewhere if you say no.

The senior advocate who promises a fee for every client you send to him whether they need it or
not?
An adjournment that you know has no purpose except to bleed your opponent dry?
In the abstract, legal ethics is very straightforward all black and white: do your duty to your
client, the court and your opponent. Yet, what it doesnt tell you is that reality is messy, just
jumbled greys that seem to be more or less grey depending on whos seeing it.
Does your duty to the court trump your duty to your client? Should you press a hopelessly bad
case because your clients interest depends on it, even if you know the court will never grant it?
Or do you want to be in the judges bad books as an obstinate advocate just to please your
client?
Does agreeing to an adjournment as a common courtesy to your colleague mean necessarily
annoying a client? And should you give helpful but unsolicited advice to a client or shut up and
do as he asks?
Carve outs
Even when theyre not greyer than English skies in summer, the rules dont come with an unless
you really need the money exception clause.
But then you wonder, did those who make the rules have to live in little ratholes at exorbitant
prices, borrow money from friends, family and relatives just to keep body and soul together, or
worse, suffer the shame of watching their peers earn five- and six-figures every month?
So, you tell yourself, Ill do it just once. Thats it. Then another such temptation comes along and
you say youll do this thing also only once, thats it. Soon it becomes a practice and from there
solidifies into a habit. It helps that the risks are low almost no one ever gets caught and you
know that most judges bark is worse than their bite.
This is not to say that there are no honest lawyers whove struggled their way up.
Temptation to do the wrong thing can be overcome but often not through sheer strength of will
alone. It helps if you dont have to pay the rent, for example, or rather someone pays it for you. I
cannot stress the importance of having family support (even of the non-legal kind) when you start
off.
It also helps if you start your career in the right chambers the kind of chambers where your
senior is uniformly known for his or her good ethical conduct.
It honestly doesnt matter if they have a big practice, so long as they have a good practice (yes,
the two are different), in which case you will have made the right start to a legal career.
From the top
Ultimately the obligation to do the right thing always rests on all of us.

But even so, in a time when the practice of law is undergoing an unprecedented change in India,
it would help to know where the foundation of a good practice lies.
For that a course in legal ethics or even explicit haranguing from the pulpit will not suffice.
What we really need is the practice of good practice.
We need leaders at the bar who can say with confidence what is right and wrong not because
they hold briefs for this many clients for this many years, but because their moral compass is
unimpeachably sound.
We need leaders at the bar who possess the moral courage of an MC Setalvad orCK
Daphtary who could tell a Supreme Court judge when they were doing wrong and would be
obeyed because they knew it was the right thing to do.
We need leaders at the Bar who measure their careers in the right things they did and not the
number of cases they won at the end of it.
Court Witness is an advocate of the Supreme Court of India and tweets@courtwitness1.
Photo by Kevin Dooley
Court Witness previous Supreme Court postcards

Court Witness
Ethics
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ATTITUDE
What Is an Attitude?
-Definition:
Attitudes are evaluations people make about objects, ideas, events, or other people. Attitudes
can be positive or negative. Psychologists define attitudes as a learned tendency to evaluate
things in a certain way. This can include evaluations of people, issues, objects or events. Such
evaluations are often positive or negative, but they can also be uncertain at times. For example,
you might have mixed feelings about a particular person or issue.
-Components of attitude:
Researchers also suggest that there are several different components that make up attitudes.
1. An Emotional Component: How the object, person, issue or event makes you feel.
2. A Cognitive Component: Your thoughts and beliefs about the subject.
3. A Behavioral Component: How the attitude influences your behavior.
Types of attitude:
1) Explicit attitudes are conscious beliefs that can guide decisions and behavior. Explicit
attitudes are those that we are consciously aware of and that clearly influence our
behaviors and beliefs. E.g. belief in God
2) Implicit attitudes are unconscious beliefs that can still influence decisions and behavior.
Implicit attitudes are unconscious, but still have an effect on our beliefs and behaviors.
Example: Jane believes that smoking is unhealthy, feels disgusted when people smoke around
her, and avoids being in situations where people smoke.
Formation of Attitudes
1) Attitudes form directly as a result of experience. They may emerge due to direct personal
experience, or they may result from observation. Social roles and social norms can have a
strong influence on attitudes. Social roles relate to how people are expected to behave in
a particular role or context. Social norms involve society's rules for what behaviors are
considered appropriate.
2) Social Norms and Social Roles

a) Social norms are a societys rules about appropriate behavior. Norms exist for
practically every kind of situation. Some norms are explicit and are made into laws,
such as the norm While driving, you may not run over a pedestrian. Other norms
are implicit and are followed unconsciously, such as You may not wear a bikini to
class.
b) Social roles are patterns of behavior that are considered appropriate for a person
in a particular context. For example, gender roles tell people how a particular
society expects men and women to behave. A person who violates the
requirements of a role tends to feel uneasy or to be censured by others. Role
requirements can change over time in a society.
4. Classical conditioning
Attitudes can be learned in a variety of ways. Consider how advertisers use classical
conditioning to influence your attitude toward a particular product. In a television
commercial, you see young, beautiful people having fun in on a tropical beach while
enjoying a sport drink. This attractive and appealing imagery causes you to develop a
positive association with this particular beverage.
5. Operant conditioning
Operant conditioning can also be used to influence how attitudes develop. Imagine a
young man who has just started smoking. Whenever he lights up a cigarette, people
complain, chastise him and ask him to leave their vicinity. This negative feedback from
those around him eventually causes him to develop an unfavorable opinion of smoking
and he decides to give up the habit.
6. People also learn attitudes by observing the people around them. When someone you
admire greatly espouses a particular attitude, you are more likely to develop the same
beliefs. For example, children spend a great deal of time observing the attitudes of their
parents and usually begin to demonstrate similar outlooks.
Dimensions of Attitudes
Researchers study three dimensions of attitude: strength, accessibility, and ambivalence.
Attitude strength: Strong attitudes are those that are firmly held and that highly influence
behavior. Attitudes that are important to a person tend to be strong. Attitudes that people
have a vested interest in also tend to be strong. Furthermore, people tend to have
stronger attitudes about things, events, ideas, or people they have considerable
knowledge and information about.

Attitude accessibility: The accessibility of an attitude refers to the ease with which it
comes to mind. In general, highly accessible attitudes tend to be stronger.

Attitude ambivalence: Ambivalence of an attitude refers to the ratio of positive and

negative evaluations that make up that attitude. The ambivalence of an attitude increases
as the positive and negative evaluations get more and more equal.

How Do Attitudes Influence Behavior?

We tend to assume that people behave in accordance with their attitudes. However, social
psychologists have found that attitudes and actual behavior are not always perfectly aligned.
After all, plenty of people support a particular candidate or political party and yet fail to go out
and vote.
Researchers have discovered that people are more likely to behave according to their attitudes
under certain conditions:
When your attitudes are the result of personal experience.

When you are an expert in the subject.

When you expect a favorable outcome.

When the attitudes are repeatedly expressed.

When you stand to win or lose something due to the issue.

The Influence of Attitudes on Behavior

Behavior does not always reflect attitudes. However, attitudes do determine behavior in some
situations:
If there are few outside influences, attitude guides behavior.
Example: Wyatt has an attitude that eating junk food is unhealthy. When he is at home, he does
not eat chips or candy. However, when he is at parties, he indulges in these foods.
Behavior is guided by attitudes specific to that behavior.
Example: Megan might have a general attitude of respect toward seniors, but that would not
prevent her from being disrespectful to an elderly woman who cuts her off at a stop sign.
However, if Megan has an easygoing attitude about being cut off at stop signs, she is not likely to
swear at someone who cuts her off.
Behavior is guided by attitudes that come to mind easily.
Example: Ron has an attitude of mistrust and annoyance toward telemarketers, so he
immediately hangs up the phone whenever he realizes he has been contacted by one.
-The Influence of Behavior on Attitudes
Behavior also affects attitudes. Evidence for this comes from the foot-in-the-door phenomenon
and the effect of role playing.
1) The Foot-in-the-Door Phenomenon
People tend to be more likely to agree to a difficult request if they have first agreed to an easy
one. This is called the foot-in-the-door phenomenon.
Example: Jill is more likely to let an acquaintance borrow her laptop for a day if he first
persuades her to let him borrow her textbook for a day.
2) The Effect of Role Playing and the Prison Study
People tend to internalize roles they play, changing their attitudes to fit the roles. In the 1970s,
the psychologist Philip Zimbardo conducted a famous study called the prison study, which
showed how roles influence people. Zimbardo assigned one group of college student volunteers
to play the role of prison guards in a simulated prison environment. He provided these students

with uniforms, clubs, and whistles and told them to enforce a set of rules in the prison. He
assigned another group of students to play the role of prisoners. Zimbardo found that as time
went on, some of the guard students became increasingly harsh and domineering. The
prisoner students also internalized their role. Some broke down, while others rebelled or
became passively resigned to the situation. The internalization of roles by the two groups of
students was so extreme that Zimbardo had to terminate the study after only six days.
Attitudinal changes
In some cases, people may actually alter their attitudes in order to better align them with their
behavior. Cognitive dissonance is a phenomenon in which a person experiences psychological
distress due to conflicting thoughts or beliefs. In order to reduce this tension, people may change
their attitudes to reflect their other beliefs or actual behaviors.
Imagine the following situation: You've always placed a high value on financial security, but you
start dating someone who is very financially unstable. In order to reduce the tension caused by
the conflicting beliefs and behavior, you have two options. You can end the relationship and seek
out a partner who is more financially secure, or you can de-emphasize the importance of fiscal
stability. In order to minimize the dissonance between your conflicting attitude and behavior, you
either have to change the attitude or change your actions.
Attitude Change
While attitudes can have a powerful effect on behavior, they are not set in stone. The same
influences that lead to attitude formation can also create attitude change.
Researchers have proposed three theories to account for attitude change: learning theory,
dissonance theory, and the elaboration likelihood model.

1) Learning Theory
Learning theory says that attitudes can be formed and changed through the use of
learning principles such as classical conditioning, operant conditioning, and observational
learning:

Classical conditioning: The emotional component of attitudes can be formed through

classical conditioning. For example, in a billboard ad, a clothing company pairs a sweater
with an attractive model who elicits a pleasant emotional response. This can make people
form a positive attitude about the sweater and the clothing company.

Operant conditioning: If someone gets a positive response from others when she
expresses an attitude, that attitude will be reinforced and will tend to get stronger. On the
other hand, if she gets a negative response from others, that attitude tends to get weaker.

Observational learning: Seeing others display a particular attitude and watching people
be reinforced for expressing a particular attitude can make someone adopt those
attitudes.

Elaboration Likelihood Theory of Attitude Change: This theory of persuasion suggests that
people can alter their attitudes in two ways. First, they can be motivated to listen and think
about the message, thus leading to an attitude shift. Or, they might be influenced by
characteristics of the speaker, leading to a temporary or surface shift in attitude.

Messages that are thought-provoking and that appeal to logic are more likely to lead to
permanent changes in attitudes.
3) Dissonance Theory
Leon Festingers dissonance theory proposes that people change their attitudes when they
have attitudes that are inconsistent with each other. Festinger said that people
experience cognitive dissonance when they have related cognitions that conflict with one
another. Cognitive dissonance results in a state of unpleasant tension. People try to reduce the
tension by changing their attitudes.
Example: Sydney is against capital punishment. She participates in a debate competition and is
assigned to a team that has to argue for capital punishment. Subsequently, she is more
amenable to the idea of capital punishment.
The phenomenon called justification of effort also results from cognitive
dissonance. Justification of effort refers to the idea that if people work hard to reach a goal,
they are likely to value the goal more. They justify working hard by believing that the goal is
valuable.
3) The Elaboration Likelihood Model
The elaboration likelihood model holds that attitude change is more permanent if the elaborate
and thought-provoking persuasive messages are used to change the attitude. Basically, if
someone can provide a thorough, thought-provoking persuasive message to change an attitude,
he is more likely to succeed than if he provides a neutral or shallow persuasive message.
Example: Ten teenagers who smoke are sent to an all-day seminar on the negative
consequences of smoking. Many of the students subsequently give up the habit.

Meaning and Definition, Types of Attitude, Formation of Attitude, Negative Attitude and objective,
Building positive attitude, Situational analysis of Attitude, Perception.
WHAT IS POSITIVE AND NEGATIVE ATTITUDE?
Watch your thoughts, they become words.
Watch your words, they become actions.
Watch your actions, they become habits.

Watch your habits, they become your character.

Watch your character, it becomes your destiny.
BUILDING POSITIVE ATTITUDE
HOW DO YOU RECOGNIZE PEOPLE WITH A POSITIVE ATTITUDE?
Just like an absence of ill health does not equal good health, an absence of negativity alone
does not make a person positive. People with positive attitudes have certain personality traits
that are easy to recognize. They are caring, confident, patient, and humble. They have high
expectations of themselves and others. They anticipate positive outcomes. A person with a
positive attitude is like a fruit of all seasons. He is always welcome.
THE BENEFITS OF A POSITIVE ATTITUDE
These are many benefits of a positive attitude and they are really easy to see. But what is easy
to see is also easy to miss.
To mention a few, a positive attitude
1.
Increases productivity
2.
Fosters teamwork
3.
Solves problems
4.
Improves quality
5.
Breeds loyalty
6.
Increases profits
7.
Reduces stress
8.
Makes for a pleasing personality
9.
Helps a person become a contributing member of society and an asset to their Country.
Negative Thinking
Attitudes are organized collections of thoughts about a particular issue. To think positively, you
need to eliminate certain negative thinking patterns that nearly everyone indulges in at least
some of the time. These include the four major types of negative thinking identified by the Mayo
Clinic: filtering, personalizing, catastrophizing and polarizing. Filtering refers to psychologically
screening out the encouraging aspects of complex scenarios. Personalizing means automatically
blaming yourself every time something bad happens. Catastrophizing is expecting the worst
possible outcome in any situation, and polarizing is a type of black-and-white thinking that
defines failure as any result short of perfection.

THE CONSEQUENCES OF A NEGATIVE ATTITUDE

Our life is an obstacle course and we become our own biggest obstacle by having a negative
attitude. People with a negative attitude have a hard time keeping friendships, jobs, marriage and
relationships. Their attitude leads to:
1.
Bitterness
2.
Resentment (Anger)
3.
A purposeless life
4.
Bad health
5.
High stress level for themselves and others They create a negative environment at home
and work and become a liability to society. They also pass on their negative behavior to others

around them and to future generations.

Misconception
Misconceptions about positive thinking abound, probably because of its misleading name. A
more accurate name for the type of positive thinking espoused by psychologists may be
"constructive thinking." Positive thinkers reject groundless optimism in favor of brutal realism, yet
approach unpleasant realities with a problem-solving attitude rather than a "don't look for a match
and simply curse the darkness" mentality.
Effects
The Mayo Clinic says positive thinking can result in longer life, elevated moods, lowered stress, a
boosted immune system, a stronger sense of well-being and better coping skills during stressful
events. Because of the connection between the body and mind, the psychological benefits of
positive thinking tend to reinforce its physical benefits, and vice versa.
Ways to Change
To change a significant portion of your 25,000 to 50,000 thoughts a day to positive thoughts, you
will have to train your mind. The first step is to know that you have the ability to seize control of
your mind, according to Marano. You will then have to train yourself into a moment-by-moment
awareness of your own thinking patterns by frequently asking yourself, "What am I thinking right
now?" Once you develop awareness of your own thinking, you should identify negative thinking
patterns and replace them with encouraging, realistic and constructive thoughts--redefining a
near-perfect job as a success rather than an imperfect failure, for example.
Read more: http://www.livestrong.com/article/140560-positive-attitude-vs-negativeattitude/#ixzz2hIzDwaUB
Read more: http://www.livestrong.com/article/140560-positive-attitude-vs-negativeattitude/#ixzz2hIyowYbS
http://tinybuddha.com/blog/10-tips-to-overcome-negative-thoughts-positive-thinking-made-easy/
PERCEPTION
What Is Perception?
Perception is our sensory experience of the world around us and involves both the recognition of
environmental stimuli and actions in response to these stimuli. Through the perceptual process,
we gain information about properties and elements of the environment that are critical to our
survival. Perception not only creates our experience of the world around us; it allows us to act
within our environment.
Perception includes the five senses; touch, sight, taste smell and taste. It also includes what is
known as proprioception, a set of senses involving the ability to detect changes in body positions
and movements. It also involves the cognitive processes required to process information, such
as recognizing the face of a friend or detecting a familiar scent.
Psychologists typically make a distinction between sensation and perception. Sensations are
uninterpreted sensory impressions created by the detection of environmental stimuli, whereas
perception refers to the set of processes whereby we make sense of these sensations.
Perception enables us to literally navigate through the world, avoiding danger, making decisions,
and preparing for action. Visual perception has received the most attention from researchers,
and then speech.
The Perceptual Process in psychology

The perceptual process is a sequence of steps that begins with the environment and leads to our
perception of a stimulus and an action in response to the stimulus. This process is continual, but
you do not spend a great deal of time thinking about the actual process that occurs when you
perceive the many stimuli that surround you at any given moment.
The process of transforming the light that falls on your retinas into an actual visual image
happens unconsciously and automatically. The subtle changes in pressure against your skin that
allow you to feel object occur without a single thought.
What Is Perception in organisational behaviour?
Perception is the process of interpreting the messages of our senses to provide order and
meaning to the environment. Among the most important perceptions that influence organizational
behaviour are the perceptions that organizational members have of each other.
II. Components of Perception
Perception has three components a perceiver, a target that is being perceived, and some
situational context in which the perception is occurring.
A. The Perceiver
The perceiver's experience, motives, and emotions can affect his or her perceptions.
1. Experience. One of the most important influences on perception is experience - our past
experiences lead us to develop expectations and these affect current perceptions differences in perception caused by experience can lead to problems within organizations.
2. Motivational State. Differences in our needs at a given moment and our motivational state
can also be a source of conflict within organizations, since our motivational states
influence our perception and interpretation of events.
3. Emotional State. Emotional state refers to the particular emotions that an individual feels
at a given time. Emotions such as anger, happiness, or fear can and do affect our
perceptions. In some cases we employ a perceptual defence which occurs when our
perceptual system serves to defend us against unpleasant emotions. In general, we tend
to "see what we want to see."
B. The Target
Our perceptions are also influenced by the target's social status and ambiguity.
Ambiguity or lack of information about a target leads to a greater need for interpretation and
addition.
C. The Situation
The context of the situation can greatly influence our perceptions by adding information about the
target.
III. A Model of the Perceptual Process

Psychologist Jerome Bruner has developed a model of perception that deals with how we select
cues in our interpretations and how this leads to perceptual constancy and consistency once we
have formed our opinions. According to Bruner, when the perceiver encounters an unfamiliar
target, the perceiver is very open to the informational cues contained in the target and the
situation surrounding it. In this unfamiliar state, the perceiver really needs information on which to
base perceptions of the target and will actively seek out cues to resolve this ambiguity. Gradually,
the perceiver encounters some familiar cues that enable her to make a crude categorization of
the target. At this point, the cue search becomes less open and selective. The perceiver begins
to search out cues that confirm the categorization of the target. As this categorization becomes
stronger, the perceiver actively ignores or even distorts cues that violate initial perceptions. Thus,
perception becomes more selective and the perceptual system begins to paint a constant and
consistent picture of the target.
IV. Basic Biases in Person Perception
The impressions that we form of others are susceptible to a number of perceptual biases.
A. Primacy and Recency Effects
We form our impressions of others fairly quickly. One reason for this is the primacy effect, which
is the tendency for a perceiver to rely on early cues or first impressions. Another reason is
the recency effect, which is the tendency for a perceiver to rely on recent cues or last
impressions.
B. Reliance on Central Traits
We tend to organize our perceptions of others around the presence of certain traits or personal
characteristics of a target that are of particular interest to us. This concept is called reliance on
central traits and it can have a very powerful influence on our perceptions of others.
C. Implicit Personality Theories
Each of us has an implicit personality theory about which personality characteristics go
together. For example, we might assume that hard workers are all honest or that slow workers
are not very bright.
D. Projection
The tendency to attribute one's own thoughts and feelings to others is called projection. If we
are always honest, for example, we often assume that others are too.
E. Stereotyping
The assumption that people have certain characteristics by virtue of the category they fall into is
known as stereotyping. It is the tendency to generalize about people in a social category and
ignore variations among them. Thus we might assume that all scientists are bright and that all
football players are ignorant. Since most stereotyping is inaccurate, it is best to obtain
information about targets before jumping to conclusions.
V. Attribution: Perceiving Causes and Motives

Attribution is the process by which causes or motives are assigned to explain other people's
behaviour. Dispositional attributions suggest that some personality characteristic or intellectual
characteristic unique to the person is responsible for the behaviour. Situational
attributions suggest that the external situation or environment in which the target person exists
was responsible for the behaviour.
People rely on external cues to make inferences about the causes of peoples behaviour.
Research indicates that as we gain experience with the behaviour of a target person, these cues
guide our decisions as to whether we should attribute the behaviour to dispositional or situational
factors.
A. Consistency Cues
Consistency cues reflect how consistently a person engages in some behaviour over time. We
tend to perceive behaviour that a person performs regularly as indicative of his or her true
motives.
B. Consensus Cues
Consensus cues reflect how a persons behaviour compares to that of others. In general, acts
which deviate from social expectations provide us with more information about the actor's
motives than conforming behaviours do.
C. Distinctiveness Cues
Distinctiveness cues reflect the extent to which a person engages in some behaviour across a
variety of situations. When a persons behaviour occurs across a variety of situations and lacks
distinctiveness we are prone to make a dispositional attribution about its cause.
D. Attribution in Action
We often have information at hand about consistency, consensus, and distinctiveness, and we
tend to use this information whenever we judge people and their behaviour. High consistency,
low consensus, and low distinctiveness results in a dispositional attribution. High consistency,
high consensus, and high distinctiveness results in a situational attribution.
E. Biases in Attribution
Despite our best efforts in attributing and interpreting behaviour, several errors and biases can
occur in the attribution process.

Fundamental Attribution Error. When judging the behaviour of people other than
ourselves, we tend to overemphasize dispositional explanations for behaviour at the
expense of situational explanations. This is called the fundamental attribution error.

Actor-Observer Effect. Actors and observers often view the causes for the actors
behaviour very differently. Actors tend to emphasize the situation while observers
emphasize dispositons. This difference in attributional perspectives is called the actorobserver effect.

Self-Serving Bias. The tendency to take credit for successful outcomes and to deny
responsibility for failures is called the self-serving bias.

VI. Person Perception and Workforce Diversity

Workforce diversity refers to differences among employees or potential recruits in
characteristics such as race, gender, age, religion, cultural background, physical ability, and
sexual orientation. Workforce diversity is an important issue today because the workforce is
becoming more diverse and there is growing recognition that many organizations have not
successfully managed workforce diversity.
A. The Changing Workplace
The composition of the workforce is changing. Changing immigration patterns, the ageing baby
boomers, and the increasing movement of women into paid employment have created greater
diversity in the workplace. Globalization, mergers, and strategic alliances also require that
employees interact with people from different cultures.
B. Valuing Diversity
A critical motive for valuing diversity is the basic fairness of doing so. In addition, there is
increasing awareness that diversity and its proper management can yield strategic and
competitive advantages.
C. Stereotypes and Workforce Diversity
A major barrier to valuing diversity is the stereotype. Common workplace stereotypes are based
on gender, age, race, and ethnicity.
Racial and Ethnic Stereotypes. Stereotypical views of other races and cultures are pervasive,
persistent, frequently negative, and often self-contradictory. Stereotypical views that African
Americans can't handle pressure or that Asian Americans are technical wizards have interfered
with their opportunities for advancement to upper management positions.
Gender Stereotypes. Women are severely underrepresented in managerial and administrative
jobs. Since males dominate business and many males have a false stereotype of women's
executive capabilities, women have not been able to advance as easily as men to higher
management levels. Women suffer from a stereotype that is detrimental to their hiring,
development, promotion, and salaries.
Age Stereotypes. Knowing that a person falls into a certain age range, we have a tendency to
make certain assumptions about the persons physical, psychological, and intellectual
capabilities. For example, older people tend to be perceived as having less capacity for
performance than younger people. They are also viewed as being less productive and lacking
the potential for development. As a result of these false stereotypes, many older people have
experienced discrimination, and many have taken their complaints to human rights agencies.
D. Managing Diversity with Stereotype Reduction

Diversity needs to be managed to have a positive impact on work behaviour. Management can
use a number of strategies to help reduce the effects of workplace stereotypes:

Select enough minority members to get them beyond token status.

Encourage teamwork that brings minority and majority members together.

Ensure that those making career decisions about employees have accurate information
about them.

Train people to be aware of stereotypes. Training is the most widely used tool for
instituting the management of diversity.

VII. Perceptions of Trust and Organizational Support

Trust refers to a willingness to be vulnerable and to take risks with respect to the actions of
another party. Trust perceptions toward management are based on three distinct perceptions:
ability, benevolence, and integrity. Ability refers to employee perceptions regarding
managements competence and skills. Benevolence refers to the extent that employees perceive
management as caring and concerned for their interests, and willing to do good for them.
Integrity refers to employee perceptions that management adheres to and behaves according to
a set of values and principles that employees find acceptable. The combination of these three
factors influences perceptions of trust.
Perceived organizational support
(POS) refers to employees general belief that their organization values their contribution and
cares about their well-being. The main factors that contribute to POS are supervisor support,
fairness, organizational rewards, and job conditions. POS is related to job satisfaction,
organizational commitment, a positive mood, performance, reduced strains, and lower
absenteeism and turnover. Supportive human resource practices that demonstrate an investment
in employees and recognition of employee contributions are most likely to lead to the
development of greater POS.
VIII. Person Perception in the Selection Interview
Research shows that the interview is a valid selection device, although it is far from perfectly
accurate, especially when the interviewer conducts it in an unstructured, free-form format.
The interview is a difficult setting in which to form accurate impressions about others.
Interviewers often adopt "perceptual crutches that hinder accurate perception. For example,
when applicants previously interviewed affect the interviewer's perception of a current candidate,
we see the contrast effect. Previously interviewed job applicants affect an interviewers
perception of a current applicant, leading to an exaggeration of differences between applicants.
These effects can help or hinder a current interview, and can create false impressions of a
candidate's qualifications.
Interview validity improves whenever interviewers use a guide to order and organize their
questions and impressions along with a predetermined series of questions.

IX. Person Perception and Performance Appraisal

Organizations need to measure performance for decisions about pay raises, promotions, and
training needs. This involves the use of objective and subjective measures of performance.
A. Objective and Subjective Measures
Objective measures, such as attendance records and sales figures, can be used to measure
performance. These are measures that do not involve a substantial degree of human judgment.
At times, however, subjective measures such as rating scales and observers' opinions are also
used to measure performance. However, observers are confronted by a number of perceptual
roadblocks and rater errors.
B. Rater Errors
When subjective performance is measured, several rater errors can occur. Leniency refers to
the tendency to perceive the performance of ratees as especially good.Harshness is the
tendency to perceive the performance of ratees as especially ineffective. Central
tendency involves assigning most ratees to middle-range performance categories.
Other perceptual errors include the halo effect. The halo effect occurs when the observer allows
the rating of an individual on one trait or characteristic to colour the ratings on other traits or
characteristics. The similar-to-me effect occurs when a rater gives more favourable evaluations
to people who are similar to the rater in terms of background or attitudes.
Because it is difficult to get good subjective evaluations of employee performance, a number of
techniques have been developed for reducing perceptual errors and biases. One example of this
is a behaviourally anchored rating scale that gives very specific behavioural examples of
effective and ineffective performance.

Organizational Behavior Perceptions & Attributes

by Tara Duggan, Demand Media
Peoples perceptions and attributions influence how they behave in their organization. Perception
describes the way people filter, organize and interpret sensory information. Attribution explains
how people act, determining how people react to the actions of others as well. Accurate
perception allows employees to interpret what they see and hear in the workplace effectively to
make decisions, complete tasks and act in ethical manner. Faulty perceptions lead to problems
in the organization, such as stereotyping, that lead people to erroneously make assumptions.
Managing Perceptions
When people in organizations find themselves in unfamiliar, ambiguous situations, they tend to
have difficulty coping. Effective business professionals handle objections to their ideas by clearly
stating the benefits of their position to all parties. By presenting a compelling case for their ideas,
these people get approval for their proposed strategy even if opposed by apathy or confrontation.

By actively recognizing peoples perceptions and attributions, effective leaders build justifications
for their approach and get support when needed.
Handling Attributions
People commonly attribute success to skill, luck or chance. People tend to react to situations
based on what they think caused the event. Just as perceptions can be faulty, attributions can be
inaccurate as well. Organizations can ensure people attribute actions more effectively by
providing diversity training. This helps prevent a hostile work environment for people from
different cultures. By training people to make more accurate attributions, daily operations run
more smoothly. This helps reduce faulty attributions, such as managers who attribute exceptional
performance to chance as they resist assigning more challenging work to qualified individuals
they view as lucky.
Explaining Behavior
People tend to evaluate other people on their ability, effort or personality. They also attribute luck
or the difficulty of task to a success or failure. The attributions people make for their own
behavior also influence their performance in the organization. For example, successful workers
who succeed at tasks after completing training exercises usually increase their confidence levels.
Those who fail may consider themselves unlucky or blame others. Peoples perceptions and
judgment of another persons action depend on if reactions occur consistently or inconsistently.
Recognizing that people have cultural beliefs, motives and intentions helps explain behavior and
helps rectify non-productive situations. By understanding the common causes of behavior,
individuals can react more appropriately.
Minimizing Bias
Minimizing biases that distort attribution can help foster effective team work. Using tips,
techniques, tools and resources available from websites such as the Cultural Navigator site,
organizations can reduce the rate at which people selectively interpret events based on their
experience, background and attitudes. Edward Thorndike, an American psychologist, observed
that perception of one trait is influenced by other traits. Known as the halo effect, this bias causes
people to judge people they find attractive as smart. Providing training to managers to make
more accurate perceptions helps them conduct more effective employment interviews,
performance reviews and daily management tasks.
BIASIS
Bias is an inclination to present or hold a partial perspective at the expense of (possibly
equally valid) alternatives.
Types of biases
How biases affect belief formation, business decisions, and scientific research:

Anchoring the common human tendency to rely too heavily, or "anchor," on one
trait or piece of information when making decisions.
Bandwagon effect the tendency to do (or believe) things because many other
people do (or believe) the same.
Bias blind spot the tendency to see oneself as less biased than other people

Confirmation bias the tendency to search for or interpret information in a way that
confirms one's preconceptions
Framing effect drawing different conclusions from the same information,
depending on how that information is presented.
Selective perception the tendency for expectations to affect perception.
Wishful thinking the formation of beliefs and the making of decisions according to
what is pleasing to imagine instead of by appeal to evidence or rationality.
Biases in probability and belief

Ambiguity effect the tendency to avoid options for which missing information
makes the probability seem unknown.
Forward Bias - the tendency to create models based on past data which are
validated only against that past data.
Gambler's fallacy the tendency to think that future probabilities are altered by
past events, when in reality they are unchanged. Results from an erroneous
conceptualization of the Law of large numbers. For example, "I've flipped heads
with this coin five times consecutively, so the chance of tails coming out on the
sixth flip is much greater than heads."
The Gambler's fallacy, also known as the Monte Carlo fallacy (because its most
famous example happened in a Monte Carlo casino in 1913) or the fallacy of the
maturity of chances, is the belief that if deviations from expected behaviour are
observed in repeated independent trials of some random process then these
deviations are likely to be evened out by opposite deviations in the future. For
example, if a fair coin is tossed repeatedly and tails comes up a larger number of
times than is expected, a gambler may incorrectly believe that this means that
heads is more likely in future tosses.
Hindsight bias sometimes called the "I-knew-it-all-along" effect, the tendency to
see past events as being predictable.
Stereotyping expecting a member of a group to have certain characteristics
without having actual information about that individual.
Social biases
Egocentric bias occurs when people claim more responsibility for themselves for
the results of a joint action than an outside observer would.
Halo effect the tendency for a person's positive or negative traits to "spill over"
from one area of their personality to another in others' perceptions of them
Herd instinct common tendency to adopt the opinions and follow the behaviors
of the majority to feel safer and to avoid conflict.
Trait ascription bias the tendency for people to view themselves as relatively
variable in terms of personality, behavior and mood while viewing others as much
more predictable
Memory errors biases
Consistency bias incorrectly remembering one's past attitudes and behavior as
resembling present attitudes and behavior.

 Egocentric bias recalling the past in a self-serving manner, e.g. remembering

one's exam grades as being better than they were, or remembering a caught fish as
being bigger than it was.
False memory confusion of imagination with memory, or the confusion of true
memories with false memories.
Hindsight bias filtering memory of past events through present knowledge, so
that those events look more predictable than they actually were; also known as the
"I-knew-it-all-along effect."
Rosy retrospection the tendency to rate past events more positively than they had
actually rated them when the event occurred.
Self-serving bias perceiving oneself responsible for desirable outcomes but not
responsible for undesirable ones.
Suggestibility a form of misattribution where ideas suggested by a questioner are
mistaken for memory.
Telescoping effect the effect that recent events appear to have occurred more
remotely and remote events appear to have occurred more recently.
Von Restorff effect the tendency for an item that "stands out like a sore thumb" to
be more likely to be remembered than other items.
redictable than they actually were; also known as the "I-knew-it-all-along effect."

Prejudice: Attitudes
With an interdisciplinary social psychological perspective, Prejudice: Attitudes About
Race, Class, and Gender examines the role of structural inequality and the cognitive
dimension of prejudices. Bridging micro, mezzo and macro perspectives, this text
considers the role of prejudice in individual cognition, in interaction between individuals
and groups and its role in justifying inequality. Attitudes have a strong link with
prejudices. I think that a lot of a person's prejudices and attitudes are influenced by a
cognitive factor. This means that a major contribution to a person's attitudes and
prejudices are what they have learned. Negative attitudes turn into negative prejudices
which are a major part of bullying in schools for example.
Prejudice: Causes & Cures
I. Prejudice: A Ubiquitous Social Phenomenon
Prejudice is ubiquitous, affecting all of usmajority group members as well as
minorities.
Nationality, gender, sexual preference, religion, age, and even profession or
hobbies can leave us vulnerable to prejudice.
II. Prejudice, Stereotyping, & Discrimination Defined
Prejudice is an attitude, made up of three components:
An affective or emotional component, representing the type of emotion linked
with the attitude (e.g. anger, warmth).

 A cognitive component, involving the beliefs or thoughts that make up the

attitude.
A behavioral component, relating to ones action.
Prejudice: The Affective Component
Prejudice :
Refers to a general attitude structure and its affective (emotional) component.
Can involve either positive or negative affect.
Usually is a hostile or negative attitude:
toward a distinguishable group of people,
based solely on their membership in that group.

Stereotypes: The Cognitive Component

A stereotype is a generalization:
about a group of people,
in which identical characteristics are assigned to virtually all members
of the group,
regardless of actual variation among the members.
Discrimination: The Behavioral Component Discrimination is:
The behavioral component of prejudice.
An unjustified, negative, or harmful action:
towards a member of a group,
simply because of the persons membership in the group.
III. What Causes Prejudice?
The Way We Think: Social Cognition According to social identity theory, other people are seen as belonging:
either to our group (known as in-group)
or to a different group (known as the out-group).
In-group bias is the tendency in humans to evaluate in-group members more
positively than out-group members.
Out-group homogeneity is the perception that those in the out-group are more
similar (homogeneous) to each other than:
they really are.
the members of the in-group.
What We Believe: Stereotypes.

 In order to explain how stereotypical beliefs affect cognitive processing, a two-step

model (Divine, 2003) suggests that:
first, the automatic process happens, in which the stereotypes are
automatically triggered, and
then, the controlled process happens, in which the person decides whether
or not to accept the stereotype.
The level of prejudice:
does not solely depend on stereotypes about a group,
but also depends on meta-stereotypes, a persons beliefs regarding the
stereotypes that out-group members hold about their own group.

The Way We Allocate Resources: Realistic Conflict Theory.

Mutual interdependence is a situation in which:
Two or more groups need each other, and
must depend on each other, in order to accomplish a goal that is important to
each group.
The Way We Conform: Normative Rules.
By far the greatest determinant of prejudice is conformity to social norms.
Many people hold prejudiced attitudes and engage in discriminatory behaviour in
order to conform to, or fit in with, the prevailing majority view of their culture
(Pettigrew, 1991).
As the norm swings more toward tolerance for certain out-groups, many people
become more careful, outwardly acting unprejudiced but inwardly maintaining their
prejudiced views.
This phenomenon is called modern prejudice.
Individual Differences in Prejudice:
Several individual difference variables are associated with prejudice.
Being prejudiced against out-groups is positively correlated with scores on these
traits:
Subscribing to the belief in a just world.
Right-wing authoritarianism.
Religious fundamentalism
Social dominance.
VI. How Can Prejudice & Discrimination Be Reduced?
Learning Not to Hate Prejudice can be reduced by having:

 People experience what it is like to be the victim of discrimination.

Children teach each other not to be prejudiced.

The Contact Hypothesis

An effective way of reducing prejudice is through contactbringing in-group and
out-group members together.
This is known as the contact hypothesis
According to the contact hypothesis, contact situations must include:
Mutual interdependence.
A common goal.
Equal status of group members.
Informal, interpersonal contact.
Multiple contacts.
Social norms of equality.

MOTIVATION HANDOUT
SYLLABUS
Module IV: Motivation and Leadership
Define Motivation. Theories of Motivation, Various motives: Biological and social Motives,
Motives to know and Be effective, Frustration and conflict of motives. Definition Leadership,
Theories of Leadership, Characteristics of leadership.
DEFINITION:
The definition of motivation is to give reason, incentive, enthusiasm, or interest that causes a
specific action or certain behavior. Motivation is present in every life function. Simple acts such
as eating are motivated by hunger. Education is motivated by desire for knowledge. Motivators
can be anything from reward to coercion.
There are two main kinds of motivation: intrinsic and extrinsic. Intrinsic motivation is internal. It
occurs when people are compelled to do something out of pleasure, importance, or desire.
Extrinsic motivation occurs when external factors compel the person to do something. However,
there are many theories and labels that serve as sub tittles to the definition of motivation. For
example: "I will give you a candy bar if you clean your room." This is an example of reward
motivation.

A common place that we see the need to apply motivation, is in the work place. In the work force,
we can see motivation play a key role in leadership success. A person unable to grasp motivation
and apply it, will not become or stay a leader.
Another place motivation plays a key role is in education. A teacher that implements motivational
techniques will see an increased participation, effort, and higher grades. Part of the teachers job
is to provide an environment that is motivationally charged. This environment accounts for
students who lack their own internal motivation. One of the first places people begin to set goals
for themselves is in school. Ask any adult: "What is the main thing that motivates you." Their
answer will most likely be goals. Even the simplest things in life are the result of goal setting. A
person may say, "I want to save 300.00 for a new T.V." Well, that is a goal. School is where we
are most likely to learn the correlation between goals, and the definition of motivation. That
correlation is what breeds success.
So, as you can see, motivation is what propels life. It plays a major role in nearly everything we
do. Without motivation, we would simply not care about outcomes, means, accomplishment,
education, success, failure, employment,etc
http://ezinearticles.com/?Definition-of-Motivation&id=1567108

Motivation Theories: Individual Needs

Motivation is a complex phenomenon. Several theories attempt to explain how motivation works.
In management circles, probably the most popular explanations of motivation are based on the
needs of the individual.
The basic needs model, referred to as content theory of motivation, highlights the specific
factors that motivate an individual. Although these factors are found within an individual, things
outside the individual can affect him or her as well.
In short, all people have needs that they want satisfied. Some are primary needs, such as those
for food, sleep, and waterneeds that deal with the physical aspects of behavior and are
considered unlearned. These needs are biological in nature and relatively stable. Their
influences on behavior are usually obvious and hence easy to identify.
Secondary needs, on the other hand, are psychological, which means that they are learned
primarily through experience. These needs vary significantly by culture and by individual.
Secondary needs consist of internal states, such as the desire for power, achievement, and love.
Identifying and interpreting these needs is more difficult because they are demonstrated in a
variety of ways. Secondary needs are responsible for most of the behavior that a supervisor is
concerned with and for the rewards a person seeks in an organization.
Abraham Maslow's hierarchy of needs theory
Several theorists, including Abraham Maslow, Frederick Herzberg, David McClelland, and
Clayton Alderfer, have provided theories to help explain needs as a source of motivation.

Abraham Maslow defined need as a physiological or psychological deficiency that a person feels
the compulsion to satisfy. This need can create tensions that can influence a person's work
attitudes and behaviors. Maslow formed a theory based on his definition of need that proposes
that humans are motivated by multiple needs and that these needs exist in a hierarchical order.
His premise is that only an unsatisfied need can influence behavior; a satisfied need is not a
motivator.
Maslow's theory is based on the following two principles:

Deficit principle: A satisfied need no longer motivates behavior because people act to
satisfy deprived needs.

Progression principle: The five needs he identified exist in a hierarchy, which means
that a need at any level only comes into play after a lowerlevel need has been satisfied.

In his theory, Maslow identified five levels of human needs. Table illustrates these five levels and
provides suggestions for satisfying each need.

Although research has not verified the strict deficit and progression principles of Maslow's theory,
his ideas can help managers understand and satisfy the needs of employees.
Herzberg's two-factor theory
Frederick Herzberg offers another framework for understanding the motivational implications of
work environments.
In his twofactor theory, Herzberg identifies two sets of factors that impact motivation in the
workplace:

Hygiene factors include salary, job security, working conditions, organizational policies,
and technical quality of supervision. Although these factors do not motivate employees,
they can cause dissatisfaction if they are missing. Something as simple as adding music to
the office place or implementing a nosmoking policy can make people less dissatisfied
with these aspects of their work. However, these improvements in hygiene factors do not
necessarily increase satisfaction.

Satisfiers or motivators include such things as responsibility, achievement, growth

opportunities, and feelings of recognition, and are the key to job satisfaction and
motivation. For example, managers can find out what people really do in their jobs and
make improvements, thus increasing job satisfaction and performance.

Following Herzberg's twofactor theory, managers need to ensure that hygiene factors are
adequate and then build satisfiers into jobs.
Alderfer's ERG theory

Clayton Alderfer's ERG (Existence, Relatedness, Growth) theory is built upon Maslow's
hierarchy of needs theory. To begin his theory, Alderfer collapses Maslow's five levels of needs
into three categories.

Existence needs are desires for physiological and material wellbeing. (In terms of
Maslow's model, existence needs include physiological and safety needs)

Relatedness needs are desires for satisfying interpersonal relationships. (In terms of
Maslow's model, relatedness correspondence to social needs)

Growth needs are desires for continued psychological growth and development. (In
terms of Maslow's model, growth needs include esteem and selfrealization needs)

This approach proposes that unsatisfied needs motivate behavior, and that as lower level needs
are satisfied, they become less important. Higher level needs, though, become more important
as they are satisfied, and if these needs are not met, a person may move down the hierarchy,
which Alderfer calls the frustrationregression principle. What he means by this term is that an
already satisfied lower level need can become reactivated and influence behavior when a higher
level need cannot be satisfied. As a result, managers should provide opportunities for workers to
capitalize on the importance of higher level needs.
McClelland's acquired needs theory
David McClelland's acquired needs theory recognizes that everyone prioritizes needs differently.
He also believes that individuals are not born with these needs, but that they are actually learned
through life experiences. McClelland identifies three specific needs:

Need for achievement is the drive to excel.

Need for power is the desire to cause others to behave in a way that they would not have
behaved otherwise.

Need for affiliation is the desire for friendly, close interpersonal relationships and conflict
avoidance.

McClelland associates each need with a distinct set of work preferences, and managers can help
tailor the environment to meet these needs.
High achievers differentiate themselves from others by their desires to do things better. These
individuals are strongly motivated by job situations with personal responsibility, feedback, and an
intermediate degree of risk. In addition, high achievers often exhibit the following behaviors:

Seek personal responsibility for finding solutions to problems

Want rapid feedback on their performances so that they can tell easily whether they are
improving or not

Set moderately challenging goals and perform best when they perceive their probability of
success as 5050

An individual with a high need of power is likely to follow a path of continued promotion over
time. Individuals with a high need of power often demonstrate the following behaviors:

Enjoy being in charge

Want to influence others

Prefer to be placed into competitive and statusoriented situations

Tend to be more concerned with prestige and gaining influence over others than with
effective performance

People with the need for affiliation seek companionship, social approval, and satisfying
interpersonal relationships. People needing affiliation display the following behaviors:

Take a special interest in work that provides companionship and social approval

Strive for friendship

Prefer cooperative situations rather than competitive ones

Desire relationships involving a high degree of mutual understanding

May not make the best managers because their desire for social approval and friendship
may complicate managerial decision making

Interestingly enough, a high need to achieve does not necessarily lead to being a good manager,
especially in large organizations. People with high achievement needs are usually interested in
how well they do personally and not in influencing others to do well. On the other hand, the best
managers are high in their needs for power and low in their needs for affiliation.