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THE MORAL LABORATORY

UTRECHT PUBLICATIONS IN
GENERAL AND COMPARATIVE LITERATURE

Editorial Board
Hans Bertens (chair) Douwe Fokkema Harald Hendrix
Joost Kloek (secretary) Sophie Levie Ann Rigney

International Advisory Board


David Bellos (University of Manchester), Keith Busby (University of Oklahoma)
Matei Calinescu (Indiana University), Yves Chevrel (University of Paris-Sorbonne)
Erika Fischer-Lichte (Free University Berlin), Armin Paul Frank (University of Gttingen)
Gerald Gillespie (Stanford University), Hendrik van Gorp (Catholic University of Louvain)
Thomas M. Greene (Yale University), Claudio Guilln (Harvard University)
Walter Haug (University of Tbingen), Linda Hutcheon (University of Toronto)
Elrud Ibsch (Vrije Universiteit Amsterdam), Jrgen Dines Johansen (University of Odense)
Donald Maddox (University of Connecticut), Virgil Nemoianu (Catholic University of America)
John Neubauer (University of Amsterdam), Stephen G. Nichols (University of Pennsylvania)
Willie van Peer (University of Munich), Roland Posner (Technical University of Berlin)
Bernhard F. Scholz (Groningen University), Maria-Alzira Seixo (University of Lisbon)
Mario J. Valds (University of Toronto)
Inquiries and submissions should be addressed to:
The editors, Utrecht Publications in General and Comparative Literature
Vakgroep Literatuurwetenschap, Utrecht University
Muntstraat 4, 3512 EV UTRECHT, The Netherlands

Volume 34
Jmeljan Hakemulder
The Moral Laboratory
Experiments examining the effects of reading literature
on social perception and moral self-concept

THE MORAL
LABORATORY
EXPERIMENTS EXAMINING THE EFFECTS
OF READING LITERATURE ON SOCIAL
PERCEPTION AND MORAL SELF-CONCEPT

JMELJAN HAKEMULDER
Utrecht University

JOHN BENJAMINS PUBLISHING COMPANY


AMSTERDAM/PHILADELPHIA

TM

The paper used in this publication meets the minimum requirements of American National Standard for Information Sciences Permanence of Paper for
Printed Library Materials, ANSI Z39.48-1984.

Cover illustration Ilja Bos

Library of Congress Cataloging-in-Publication Data


Hakemulder, Jmeljan, 1966The moral laboratory : experiments examining the effects of reading literature on social
perception and moral self-concept / Jmeljan Hakemulder.
p.
cm. -- (Utrecht publications in general and comparative literature, ISSN 0167-8175
; v. 34)
Includes bibliographical references (p. ) and indexes.
1. Literature and morals. 2. Literature and society. 3. Books and reading. I. Title. II. Series.
PN49.H319
2000
801.3--dc21
00-027895
ISBN 90 272 2223 1 (Eur.) / 1 55619 680 6 (US) (Hb; alk. paper)
CIP
2000 John Benjamins B.V.
No part of this book may be reproduced in any form, by print, photoprint, microfilm, or any other
means, without written permission from the publisher.
John Benjamins Publishing Co. P.O.Box 75577 1070 AN Amsterdam The Netherlands
John Benjamins North America P.O.Box 27519 Philadelphia PA 19118-0519 USA

For Roel

Contents

CHAPTER 1. APOLOGIES
1.1 Taking position
1.2 What effects are we talking about?
1.3 Narrativity
1.3.1 Models for imitation
1.3.2 Stories as teaching instruments
1.4 Truth and fiction
1.4.1 Powerful misrepresentations
1.4.2 Truth beyond facts
1.5 Emotional intelligence
1.5.1 A library of human psyche
1.5.2 Complexity of characterization
1.6 Appeal to emotions
1.6.1 Composed readers through catharsis
1.6.2 Experimenting with roles
1.6.3 Rhetoric and persuasion
1.7 A challenge to ethical reflection
1.7.1 Lifes problems and social criticism
1.7.2 Reconsider and look again
Notes

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1
3
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CHAPTER 2. CHANGING READERS


2.1 Introduction
2.1.1 Correlations
2.1.2 Qualitative approaches
2.2 Experimental research
2.2.1 Criteria for evaluation
2.2.2 Effects of literature per se

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Table of contents

viii
2.3

Notes

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CHAPTER 3. A BLUEPRINT FOR MORAL LABORATORIES


3.1 Introduction
3.2 Taking a characters role
3.2.1 Construction of causal coherence
3.2.2 Understanding a characters emotions
3.2.3 Empathic response: role-taking
3.3 Effects on norms and values
3.3.1 Introduction
3.3.2 Three mechanisms
3.4 Effects on self-concepts
3.4.1 Introduction
3.4.2 Definition of self-concept
3.4.3 Implications of self-concept change
3.5 Five assumptions left
Notes

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95

2.4

2.5

Range of the claims: internalization


2.3.1 Stability of the effects
2.3.2 Emotional and behavioral changes
2.3.3 Social desirability
Range of the claims: generalizability
2.4.1 Necessity of postprocessing
2.4.2 Effective texts
2.4.3 Age and gender differences
2.4.4 Summary
Fitting research findings to theorists constructs
2.5.1 Pre-ethical effects
2.5.2 Ethical effects
2.5.3 Moral effects
2.5.4 Summary

CHAPTER 4. UNDERSTANDING OTHERS


4.1 Introduction
4.2 What do we need stories for?
4.2.1 Study one
4.2.2 Study two

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Table of contents

ix

4.3 Study three: the effects of role-taking


4.4 Conclusion
Notes

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112
114

CHAPTER 5. MORAL SELF-KNOWLEDGE


5.1 Introduction
5.2 Text manipulation
5.2.1 Focalization
5.2.2 Story outcome
5.3 Method
5.4 Results
5.4.1 Character morality
5.4.2 Moral self-concept
5.4.3 Empathic ability
5.5 Discussion
Notes

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CHAPTER 6. SUMMARY AND CONCLUSION


6.1 Adequacy in ethical reflection
6.2 Summary
6.3 Implications for society
6.3.1 Moral edification
6.3.2 Valuable reading
6.4 Future research

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Appendix

169

References

183

Index of names

197

Index of terms

203

Chapter 1

Apologies

Though not useful, it may be said it [poetry] is highly ornamental, and


deserves to be cultivated for the pleasure it yields. Even if this be granted, it
does not follow that a writer of poetry in the present state of society is not a
waster of his own time, and a robber of that of others (). In whatever degree
poetry is cultivated, it must necessarily be to the neglect of some branch of
useful study: and it is a lamentable spectacle to see minds, capable of better
things, running to seed in the specious indolence of these empty aimless
mockeries of intellectual exertion.
Thomas Peacock1

1.1 Taking position


Beliefs about the ethical effects of reading literature have been quite persistent. Presumably since the moment literature emerged, people have speculated about what these effects are, whether they could justify its existence, or
reading or writing literature, or whether they would necessitate censorship.
Theories of literature have frequently included assumptions about its contribution to moral education, as well as its ability to corrupt. This book ventures to
examine such assumptions.
We should perhaps consider first whether such a project is worthwhile,
since several positions question its merits. One is that examining the ethical
effects of literature may be a waste of time. To some people it seems obvious
that reading literary texts can change our norms, values, and behavior. Why
hammer on an open door? Another, opposing, position is the assumption that
it is impossible to put ones finger on the effects of literature. A study like the
present one, therefore, would be futile. People who take this view argue that
literature is about much deeper stuff than morality. They see its quintessence
as elusive; therefore it is pointless to say anything about those moral effects,
let alone to examine them (cf. Rhees 1949). A related position is that literature

The Moral Laboratory

should not have anything to do with ethics. It is not necessarily denied that
reading may affect our norms and values, but opening the door to ethics would
be harmful. First, it tarnishes the aesthetic quality of literature (cf. Bohrer
1978). On top of being distasteful, allowing ethics to enter the domain of
aesthetics poses the threat of censorship. Therefore, it seems much better to
keep literature aloof from the domain of ethics.
On the other hand, some maintain that ethics should be an integral part of
the way we deal with literature. In summing up his Protocols of Reading,
Scholes (1989) proposes that a response to literature remains incomplete until
the texts are absorbed and transformed in the thoughts and actions of the
reader. I believe that reading can, and should answer to social and ethical
concerns, Scholes writes (page x).
A position deviating from the previous ones is the view that reading
literature has no significant or lasting influence. Stolnitz (1991) and De Jongh
(1993) argue that the arts do not elevate human beings in a moral sense; nor
are they able to change their character. Otherwise, the world would have been
a better, more beautiful place, they argue.
Clearly there is some unresolved disagreement here. The aim of this book
is to clarify the discussion. To do this, we should note that there are two
distinct dimensions to the dispute. The first relates to claims about reality:
reading literature does, or does not have ethical effects. The second one
pertains to value judgment: a comprehensive understanding of literature
should, or should not include ethical aspects. These two topics require two
distinct approaches. Empirical research methods are appropriate for measuring the effects of reading texts, while conceptual analysis and logical critique
are better suited to clarify the question of norms. I shall primarily be concerned with the former. In my view, the empirical question precedes the
normative one. For example, discussions about whether we should consider
ethical effects in aesthetic judgment may become more informed when we
know what effects, if any, reading literature has.
Still, we should pause, and ponder whether an investigation of literatures
ethical effects is not a waste of time. I think, however, that we have good
reason to believe such an investigation to be worthwhile, namely the fact that
the claims contradict each other. In such cases it seems a good idea to look at
the evidence. However plausible some ideas about the effects of our reading
may be, we should always keep in mind that our intuitions may be wrong.
Consider also the potential advantages of finding out that literature has

Apologies

neither a beneficial, nor a damaging influence. Such demystification could


relieve literary studies of a burdensome moralism and would allow us to
concentrate fully on aesthetic matters. Critics would no longer have to worry
about the effect of, for instance, unfavorable portrayals of women, Jews, black
people, or homosexuals. Dictators could rest at ease, and dismiss their censors.
And people concerned with moral education would be freed of illusions
regarding the use of literature for their purposes. Also, literary scholars could
dump their endless speculations on literatures ethical influence on personality
and society. In short, sorting out the issue might save people a lot of time.
It could also lead to a reconsideration of our theories of literature. In this
chapter I shall take a close look at these theories. I will try to specify the
assumptions about the effects of reading literature, which will guide me in my
exploration of the evidence in the next chapters. Furthermore, I will try to
make clear why I think that the present project concerns the foundations of our
understanding of literature. As we will see, definitions of literature often
include assumptions about its effects. Some of them are handed down to us
through the ancient genre of apologies written by dedicated defenders of
literature (e.g., Sir Philip Sidneys An Apology for Poetry and Shelleys
Defence of Poetry).2 Ancient does not mean antiquated: some of the old
arguments in favor of literature still play a role in present-day debates about
literatures relation to ethics. Another source of ideas about beneficial effects
of reading is the anxiety about alleged effects of other forms of entertainment,
like popular fiction and television. Several of the assumptions I will discuss
find their origins in definitions proposed by literary scholars (e.g., Shklovsky).
Others are rooted in statements by literary authors, and are to be found in
essays, critiques, or prefaces to their own work (e.g., Musil, Zola). I intend to
argue that these assertions are in one way or another linked to ethical effects.
As will become clear, this will add many more decisive apologies for the
present undertaking to the ones already mentioned.

1.2 What effects are we talking about?


To make this point clear, let me first sharpen the terminology. Ethics generally
refers to an inquiry into our actions from the viewpoint of norms and values,
good and evil, responsibility and choice.3 Morals refer to the whole of behavioral norms accepted in a given community. What then are ethical effects? I

The Moral Laboratory

propose to reserve this term for the enhancement of ethical reflection. When we
read a philosophical essay on the quality of life this presumably stimulates our
reflections on the subject. Similarly, a narrative text dealing with some ethical
issue may enhance readers ethical deliberations. Of course, joining the author
of a text in his or her reflections does not necessarily include a conversion to the
perceived moral of the story. Therefore I will reserve the term moral effects for
the actual persuasion in favor of some moral position. Readers of Shakespeares
Othello may become convinced that jealousy is a vice, because the play
compellingly shows how it destroys trust, and thus the foundation of companionship. These readers, then, have been subject to moral effects.
As we shall see, moral and ethical effects do not cover the total range of
effects attributed to reading literature. Several claims pertain to the enhancement of abilities which are likely to help us in making ethical inquiries. These
I will call pre-ethical effects.4 Sometimes we are confronted with a moral
conflict between two or more parties. A choice forces itself upon us while we
are uncertain as to which norm is applicable. Such situations require particular
abilities, for instance, being able to understand the conflicting demands, being
able to determine our own norms and values, and predicting the consequences
of either option of the dilemma. Some theorists assume that reading literature
enhances such abilities. DePaul (1993), for example, points out that comprehension of a literary narrative compels readers to make inferences, so as to
understand the emotions and motivations of the characters. Frequently being
involved in making such psychological inferences, readers may develop a
capacity for making these deductions. This is neither a moral, nor an ethical
effect, although it seems plausible that it increases the likelihood of such
effects. Therefore, it is pre-ethical.
Talking about pre-ethical, ethical and moral effects of reading literature
also requires a specification of the term literature. This is important, because
it is not always clear what kind of texts the theories refer to. For instance,
hardly any contemporary theory is concerned with the effects of reading
poetry. Most of the assumptions refer to narratives (or stories); in some cases
their literary quality is emphasized, in others not. Literary narratives, as
understood in the present study, belong to the diffuse set of texts qualified as
literature in literary criticism and general usage. Later, in Chapters 2 and 3 I
will discuss empirical evidence for the alleged effects of reading literature. In
some parts of the research that I will refer to, it remains unclear precisely what
texts have been used. Often the texts that were used were not appended, and if

Apologies

they were, it is not always easy to determine whether the experimenters


considered them to be literary. Sometimes the materials are simple narratives
written by the experimenters themselves, without any literary pretension. To
avoid confusion I will, whenever relevant, try to explicitly indicate whether
the theories and research under discussion pertain to literary narratives, or
rather to narratives in general.
In Sections 1.3 to 1.7 I will show that most of our theories of literature
imply ethical and moral effects or a training of pre-ethical abilities. In each
section I will specify what the effects are and how they are assumed to come
about. The purpose of this is not to construe a coherent theory, but to create a
point of departure for Chapter 2. There I will examine whether there is any
evidence to support the assumptions put forward in the present chapter. First I
will discuss what effects have been associated with narrative form (Section 1.3). In Section 1.4 (Truth and Fiction) and 1.5 (Emotional Intelligence) I
will focus on effects linked to contents. The last two Sections, 1.6 (Appeal to
Emotions) and 1.7 (A Challenge to Ethical Reflection), deal with emotional
and cognitive processing of narratives.

1.3 Narrativity
1.3.1 Models for imitation
Novels and short stories that form the bulk of published literature today are
narratives. It is in particular the narrative nature of these texts that has been
associated with specific effects. Stories are an important instrument for socialization. Growing up in a community involves becoming familiar with its
behavioral norms. Narratives often embody such norms (e.g., Miller & Moore
1989; M.H. Brown 1985; Hafferty 1988). Children encountering a new and
confusing situation may find help in the stories their parents tell about the time
they themselves were young. Newcomers to a working environment may
quickly become aware of the cultural code of the company, simply by listening to the stories their colleagues tell. There are also less obvious ways in
which socialization through stories may take place. As Van Asperen (1994)
argues, the stories we tell each other in our daily conversations function as a
means to explore common ground. The way we narrate our experiences
reveals a lot about what we think is important. Such stories are implicitly

The Moral Laboratory

about who we are, or what we do not want to be. The tacit moral nature of the
stories we tell each other is also uncovered by the fact that some occurrences
are narrated, while others are not. We select which events are worth telling.
Some propose that the criterion for reportability is principally a moral one
(Rigney 1991). What we consider worth telling a story about are typically
events in which human values are at stake.
Often, however, people around us cannot tell the stories we need to hear.
They do not have the necessary experience, or they are less competent narrators.
In such cases fiction by professional narrators may take over. Consider, for
instance, the case of Emma Bovary. In his novel, Madame Bovary, Flaubert
describes how Emma was put into a convent when she was thirteen. Growing
up among nuns, she relied on popular romances for her information about the
outside world. Unfortunately, these proved to be not the most trustworthy
sources. High expectations were raised by fictional worlds filled by love,
lovers, loving, martyred maidens swooning in secluded lodges, postilions slain
every other mile, horses ridden to death on every page, dark forests, aching
hearts, promising, sobbing, kisses and tears, little boats by moonlight, nightingales in the grove, gentlemen brave as lions, tender as lambs, virtuous as a
dream, always well dressed, and weeping pints (28). After marrying Charles,
a provincial doctor, life turns out to be rather less thrilling. Frustrations and
depressions follow. However, Emma does not give in easily. The pursuit of her
fictionally inflicted desires eventually lead her into adultery. Having Rodolphe
for a lover, she thought she would finally enter something marvellous where
everything would be passion, ecstasy, () She summoned the heroines from the
books she had read, and the lyric host of these unchaste women began their
chorus in her memory, sister-voices, enticing her. She merged into her own
imaginings, playing a real part, realizing the long dream of her youth, seeing
herself as one of those great lovers she had so long envied (131). Again her
hopes are set too high. Disappointingly, Rodolphe is not prepared to take up his
pistols to duel with Charles Bovary. Neither is he prepared to carry Emma off.
The effect narrative fiction had on Emma illustrates how our experiences
are filtered through already seen images, as Eco (1986) suggests. Booth
(1988) adds that real life is lived in images derived in part from stories. As he
puts it, though usually our imitations are not highly dramatic, especially once
we pass adolescence, everyone who reads knows that whether or not we
should imitate narrative heroes and heroines, we in fact do (229).
Throughout this chapter I will try to capture such assumptions in explic-

Apologies

itly formulated hypotheses, each of which will be held against the light of
available empirical research in Chapter 2. At this point, we can ascertain our
first hypothesis.
Narratives affect readers beliefs or expectations about their lives. This
includes consequences for their behavioral norms, e.g., cultural or social
codes (Hypothesis M1).5

In my terms this is a moral effect. The suggestion is that reading narratives


influences readers morals, that is, their belief about what are right, proper or
acceptable ways of behaving.
1.3.2 Stories as teaching instruments
Narratives are considered to have more influence on beliefs than other forms
of discourse. Following Horaces dictum of combining the utilitarian with
pleasure (qui miscuit utile dulci), many educators believe that narratives can
be more effective instruments in teaching moral lessons than philosophical
treatises. For centuries, authors of childrens literature, educators, preachers
and probably many parents have assumed that Horace was right. Since Antiquity stories about heroes, explorers, and inventors were supposed to be a way
to teach the virtues these characters represented (Dasberg 1994). Eighteenthcentury Enlightenment gave children books filled to the brim with knowledge.
Up until recently, poetic justice, that is, the virtuous and the base characters
both getting what they deserve, has been a dominant formula in writing these
narratives. In a more recent call for the use of narratives in education, Egan
(1988) argues that stories are the most effective didactic instruments to
organize events and facts in a way that places them in a meaningful relation
(see also Coles 1989). Horaces principle has also been considered to apply to
grown-ups. With the rise of the novel in the eighteenth century, several
apologists of literature gratefully made use of this argument (Van den Berg
1994). Also, in religious education or conversion, stories are assumed to be
more persuasive than abstract dogmas. The underlying concept can be summarized as follows.
A narrative presentation is more persuasive than a non-narrative one (Hypothesis M2).

Concluding this section, it seems clear that narrativity gives rise to certain
expectations about the effects of reading. Narrative representations are sup-

The Moral Laboratory

posed to affect our norms, desires and expectations (as it did in Emmas case).
Also, narratives are thought to have stronger effects on our beliefs than nonnarratives. Considering the scope of the alleged effects I discussed, it will be
interesting to see whether they were ever put to the test.

1.4 Truth and fiction


1.4.1 Powerful misrepresentations
Some assume that the effects of narratives I discussed in the previous section
are not necessarily impaired by the fictionality of its contents. On the contrary.
For example, Downs (1977) claims that the impact of Kembles Journal of a
Residence on a Georgian Plantation, as compared to that of Stowes Uncle
Toms Cabin, was much less influential, because the latter wrapped its moral
lesson up in an exciting story (82). But as our brief excursion into Flauberts
novel already showed, fiction may present an unreliable source of information. Therefore, hypotheses M1 and M2 left undecided whether reading narratives enhances correct beliefs. Plato may have been the first to warn against
the fact that literary narratives are fictional, that is, untrue.6 What are the
ethical implications of supposing, as Plato does, that literature offers the
reader a mere semblance of the world as we perceive it, which in turn is to be
considered as a mere guise of the Realm of Ideas? According to Plato,
literature blurs the distinctions between truth and untruth. It also aims at the
readers most vulnerable and lowest faculties, that is to say, their emotions.
This extremely dangerous combination enhances irresponsibility, reason
enough for Plato to conclude there should be no place for literature in his
utopian state.
The idea that a biased fictional representation of the world may distort our
perception seems widely accepted, though with few references to Plato. If
fiction does shape our perception, there are far-reaching consequences to be
considered. For one, should we not watch closely over the things children
read? Had the nuns kept Emma from reading trash romances, a tragedy could
have been averted. The idea that fiction may breed misconceptions has frequently put researchers to hard work, analyzing the content of stories in teenage magazines, television advertisements, soap operas, popular romances, etc.
(e.g., Peirce 1993; Rajecki et al. 1994; Chamove & Mullins 1992). Suspected

Apologies

biases in, for example, childrens literature seem sufficient ground to scrutinize how sex roles are represented, or how cultural minorities are portrayed.
This may be an important matter, because of the supposed socializing influence of reading.
A similarly firm belief in the effects of narrative fiction can be detected in
what is known as the canon debate. Some suggest that the highly acclaimed
works of literature are used as an instrument of suppression (e.g., Herrnstein
Smith 1988). It is assumed that things which are not represented in the stories
we read do not become part of our beliefs about the world. Failing to put
intelligent, accomplished women on the stage, canonized authors make us
think these women do not exist, it is believed.
A related argument is the one against censorship. It may be that leaders of
totalitarian regimes worry little about the possibility that fiction does not
represent Platos World of Ideas properly. Steiner (1989) supposes their
uneasiness is caused by literatures power to stimulate readers fantasy. This
fantasy, he says, can be subversive. The aesthetic is inherently critical, for it
tells the reader that things could have been different from what they are.
Whether this is what actually vexes censors remains to be seen. Some cases
suggest the opposite, namely that a too close resemblance between fiction and
reality is considered utterly rebellious. A case in point is the staging of Henrik
Ibsens An Enemy of the People in China. In the play, Stockmann, a public
health inspector, discovers that the allegedly curative baths of his hometown
are contaminated. As Stockmann wants to make his findings known, the
mayor stops publication and prevents him from speaking at a public meeting.
Next, the business leader of the baths, fearing the discovery may daunt
tourists, leads a mob in denouncing the doctor as an enemy of the people.
Dealing with corruption, inhibition of freedom of speech, and the use of
demagogy against a dissident, the play has been perceived as having a
bearing on situations in China. For instance, the manipulation of the masses in
the persecution of Stockmann seems dangerously close to the suppression of
counter-revolutionaries during the Cultural Revolution.7 Such similarity
may well be among the reasons why the production of the play has frequently
been impeded by the Chinese authorities. Whether it is a resemblance to
reality or a divergence from it which actually breeds censorship, clearly some
strong effects are expected.
This does not mean, however, that the effects do occur. It may very well
be that censors are mistaken about what literature may do to us. One reason to

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10

suppose so, is that, judging by some of the antics of censorship, it seems not to
attract an intelligent type of person. Rushdie (1991) recalls Pakistans censors
pestering him when he tried to stage Albees The Zoo Story. Using the word
pork, for example, was prohibited, irrespective of its context, which made
that part of the play, as Rushdie saw it, superb anti-pork propaganda (38).
Since we have not seen any conclusive arguments to accept that the
fictional content of narratives can go together with effects proposed in Hypotheses M1 and M2, we will examine in Chapter 2 whether there is any
empirical support for the following assertion.
The fictionality of narratives does not impair its effects on readers beliefs and
behavioral norms (Hypothesis M3; compare Hypothesis M1).

1.4.2 Truth beyond facts


In one sense the effects of reading fictional stories on beliefs may be a
distortion of reality. However, a fundamental assumption underlying Western
literature concerns the special status of its truth content. As part of our literary
socialization we come to believe that literary representation (or mimesis)
imparts more profound or universal insight in reality than, for instance,
historical monographs, newspaper reports or courtroom proceedings (cf.
Aristotles Poetics). Authors of the latter are merely preoccupied with recording particularities, like what exactly Pericles said to the Athenian assembly.
Poets, on the other hand, are involved with general truth, describing what a
character like Odysseus may have said or done. Therefore, literature is considered to carry deeper philosophical implications.8
The expectation that the truth content of literature goes beyond mere facts
has given rise to certain opinions about the effects of reading, for instance that
literary texts affect readers ideas about probability. To explain this, let me
first exemplify some of the consequences of Aristotelian poetics. Following
Aristotle, Gardner (1978) proposes that authors let the succession of events
they describe be determined by laws of probability. Writers wonder constantly, he says, what seems likely to happen next, given the situation their
character is in, and given the characters virtues, vices, and goals. Sometimes
they do not even know themselves where the events will take the story.
Throughout the entire chain of causally related events, the writer asks himself, would a really cause b and not c, etc. and he creates what seems, at least
by the test of his own imagination and experience of the world, an inevitable

Apologies

11

development of story (109110). According to Gardner, this is how moral


fiction distinguishes itself from moralistic fiction. The latter is written to
communicate a doctrine. In this case writers know before they start what it is
that they mean to say. They do not allow their mind to be changed by the
process of telling the story. On the other hand, true moral fiction is a
laboratory experiment, too difficult and dangerous to try in the world but safe
and important in the mirror image of reality in the writers mind. Only a
madman would murder a sharp old pawn brokeress to test the theory of the
superman; but Dostoevsky can without harm send his imaginary Raskolnikov
into just that experiment in a thoroughly accurate but imaginary St. Petersburg (115116). The implied assumption here is that the significance of
literature lies in the fact that the observer of the laboratory experiment (i.e., the
reader) learns from its results. Thus, the probability criterion for the contents
of narrative fiction leads to a first hypothesis about pre-ethical effects:
A sequence of events presented in a story affects readers beliefs about
causality: action a leads to consequence b (Hypothesis PE1).

Gardners poetics goes back to the concept of literature as a moral laboratory.


The term is Musils, but the concept was proposed earlier by Zola in his essay
Le Roman exprimental (1880). The alleged effect is pre-ethical. As most
ethicists would agree, knowledge of the consequences of behavior is a prerequisite to all ethical inquiries. The more we know about the probable effects of
our actions, the more adequately can we weigh our moral decisions.

1.5 Emotional intelligence


1.5.1 A library of human psyche
Reading literature is often believed to affect readers empathic ability, that is,
their ability to form an impression of another persons thoughts and emotions.
In daily life it is often hard to obtain reliable information about someones
motives and feelings. Usually, we can only guess what his or her true motives
are. In many literary works, we get a unique opportunity to study motivations
of people from within. For example, while reading Tolstoys Anna Karenina,
we are allowed to look straight into Annas heart. We directly perceive what
moves her:

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Through Anna had obstinately and with exasperation contradicted Vronsky
when he told her her position was impossible and tried to convince her to tell
everything to her husband, at the bottom of her heart she regarded her own
position as false and dishonorable, and she longed with her whole soul to
change it. On the way home from the races she had told her husband the truth
in a moment of excitement, and in spite of the agony she had suffered in doing
so, she was glad of it. After her husband had left her, she told herself that she
was glad. Now everything was out in the open, and at least there would be no
more lying and deception. It seemed to her beyond doubt that her position was
now made clear forever. It might be bad, this new position, but it would be
clear; there would be no indefiniteness or falsehood about it. The pain she had
caused herself and her husband in uttering those words would be rewarded
now by everything being made clear, she thought. (304)

While we may believe that Annas confession is not entirely in her own
interest, the text makes us understand what caused her to do so. It may enrich
our imagination about what moves a person in a situation like Annas. She was
anxious to relieve her mental dissonance, without having a carefully calculated plan. Instead of assuming clear-cut mechanical laws of human motivation, we may come to realize the complexity and unpredictability of life.
As we read on, we learn about the mental states Anna goes through. First
she tells herself that she is glad she has confessed. From now on she will be
free from lies and deceit. The inevitable pain she has caused Karenin was a
sacrifice well-worth. But the next morning she feels regret and is astonished
she could have acted the way she did. Moreover, she wonders why she did not
tell Vronsky she had confessed to her husband:
And in answer to this question a burning blush of shame spread over her face.
She knew what had kept her from it, she knew that she had been ashamed. Her
position, which had seemed to her clear the night before, suddenly struck her
now as not only not simple but as absolutely hopeless. She felt terrified at the
disgrace, of which she had never thought before. When she thought of what
her husband would do, the most terrible ideas came to her mind. She had a
vision of being turned out of the house, of her shame being proclaimed to the
whole world. She asked herself where she could go when she was turned out
of the house, and she could not find an answer. (305)

Annas initial clarification, and her readiness to meet the consequences have
changed to a fundamental uncertainty about her future. While she had imagined that her step would open the way to change her strained circumstances,
she had not really felt her way into all the possible scenarios her confession
could generate.

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Palmer (1992) elaborates on the idea that reading texts like Tolstoys
novel may enhance our understanding of fellow human beings. He suggests
that identification with a character results in a special form of knowledge,
which he calls knowledge by acquaintance what an experience is like. In the
case of Anna Karenina, most readers will be strongly involved with her fate,
and will therefore know, without having been in a similar situation themselves, what it must be like to be in her position. In acquainting ourselves with
Annas experience, we learn that one can be so eager to escape a situation that
one does not fully reflect on the possible consequences, consequences which
suddenly become threatening and destructive as soon as the options become
real. Along similar lines, Doeser (1990) argues that narratives are an ideal way
to communicate such insight into human character (what he calls practical
knowledge), because they combine situation, motivation, action, and its consequences. Reading Anna Karenina may sharpen our perception about why
someone comes to commit adultery, what emotions such a person may have,
and what the consequences may be. The proposed consequences of reading
narratives may be summarized as follows.
Reading narratives enhances the ability to make psychological inferences
about the emotions, thoughts, and motives others have in certain situations
(Hypothesis PE2).

How are we to understand the relation between this alleged effect and ethics or
morality? Some suggest that the enhancement of insight into human thoughts
and emotions may bridge individual as well as cultural differences. The Dutch
novelist and critic Otten argues that even though the norms and values of the
characters are not our own, we are able to feel the dos and donts just like
them. You may become afraid of things the character is afraid of, though you
know you yourself wouldnt care. In principle the same phenomenon makes it
possible to understand for example how difficult it must be for a fourteenyear-old Moroccan girl to wear a headscarf in school.9 Similarly, Richard
Rorty (1989) proposes that reading novels enriches our moral awareness,
because during the reading experience we find ourselves in the shoes of a wide
diversity of people. Thus, we get better and better at understanding moral
situations from different points of view. What good would that do? Some
books, Rorty argues, help us to become less cruel. These books come in two
categories: (1) those that help us to see the effects of social practices and
institutions on others (like Uncle Toms Cabin and Les Misrables); (2) those

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that help us to see the effects of our private idiosyncrasies on others. These
works typically show:
the blindness of a certain kind of person to the pain of another kind of person.
By identification with Mr. Causaubon in Middlemarch or with Mrs. Jellyby in
Bleak House, for example, we may come to notice what we ourselves have
been doing. In particular, such books show how our attempts at autonomy,
our private obsessions with the achievement of a certain sort of perfection,
may make us oblivious to the pain and humiliation we are causing. They are
the books which dramatize the conflict between duties to self and duties to
others. (141)

It seems obvious that these effects yield important benefits to ethical reflection. Since they may enhance the quality of ethical reflection, but are not
ethical themselves, I call them pre-ethical. As Rorty makes clear, we need
these pre-ethical abilities to make morally reflected choices for ourselves.
Furthermore, we need them to form our judgment about the behavior of
others. Before passing judgment, we may want to know something about the
actors motives, as well as to take the consequences of their actions into
consideration. Indeed, as Swap (1991) shows, when we form our judgment
about someones behavior, we do in fact make attributions about both motivation and consequences. Furthermore, in several measures of moral development, scores largely depend on subjects ability to do so (Piaget 1932;
Kohlberg 1969). These tests typically consist of a story describing events
which lead to a moral dilemma. To understand that it is a dilemma subjects
have to make inferences about the protagonists emotions and intentions.
Furthermore, they have to be able to imagine the possible consequences of
choosing either the one or the other way out of the dilemma. If reading
narratives enhances insight into human character, this would indirectly improve the quality of our ethical inquiries, at least on measures used in the
social sciences. Considering the possible refinement of ethical reflection, it
seems we have found another strong argument to investigate whether literature actually increases knowledge of the human psyche.
1.5.2 Complexity of characterization
It could be countered that other (non-literary) discourse types may have
similar beneficial effects. Soap operas might equally contribute to insight into
human character. One property which distinguishes literary narratives from
other narrative discourses, however, is its complexity. What does this mean?

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Generally, it is supposed that literary texts represent and presumably produce


more complex emotional experiences than, for example, popular fiction does.
Making sense of the emotions of characters in a popular romance, story
usually does not demand much reflection or imagination. But literary characters like Anna Karenina are not so one-dimensional. Their personalities are
like full-blown human beings; puzzling and complex, rather than rudimentary
and stereotypical.
This quality of literature may boost some of the effects of narratives I
have discussed before. Some argue that a diet of texts that offer oversimplified
and shallow prototypes of emotional life may hamper the development of
readers imagination about or their view of other peoples emotions, that they
may even impair the development of their own emotions (DePaul 1993;
Bloom 1987; Van Peer 1986b). In contrast, the relatively high psychological
complexity of literary characters may delay response, and require a higher
degree of concentration. In turn, this may stimulate readers to make more
perceptive inferences about someones intentions and emotions. If we consider going through such processes to be some kind of training, we may expect
them to lead to a more adequate perception of others emotions in everyday
situations, or at least a more imaginative expectation about other peoples
inner-lives. In Chapter 2 I will examine whether there is any empirical support
for the following assertion:
The complexity of literary characters helps readers to have more sophisticated
ideas about others emotions and motives than stereotyped characters in
popular fiction, (Hypothesis PE3).

It is in this sense that we have to understand Nussbaums (1990) claim that


literature reveals the complexity of making moral decisions. Literary novels,
she argues, offer detailed descriptions of concrete situations involving moral
problems. Their sheer length also allows the development of a historical
dimension. This should make the reader aware that ethical decisions are not
simply a matter of applying the appropriate moral rules to a particular problem.
The usefulness of Exodus 20:14 Thou shalt not commit adultery may turn out
to be of limited value when we have to deal with a concrete case like Anna
Kareninas. The way popular culture deals with such issues is hardly inducive
to sophisticated moral discrimination. In addition to previous hypotheses about
psychological insight (PE1 and PE2), it is therefore expected that:
The attention given to the genesis and development of moral problems in
literary texts raises our awareness of the complexity of ethical problems
(Hypothesis PE4).

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Up until now, I have focused on aspects of contents. Next I will pay attention
to effects that are associated with literary reading processes. First I will
specify the effects expected from readers emotional involvement.

1.6 Appeal to emotions


1.6.1 Composed readers through catharsis
It is commonly accepted that reading literary texts may generate emotions.
Some suppose this aspect of literature to induce effects which are, in my
terms, pre-ethical. Their claims may be without foundation, but let us first see
what they are.
To start with, an emotional reading experience is thought to produce
catharsis, a process in which emotional tensions are diminished by an intensification.10 The Aristotelian concept is somewhat ambiguous and has led to
several interpretations, the most influential one being Breuer and Freuds
method of psycho-catharsis. In this therapy, patients are brought in a state of
light hypnosis. Repressed events in the patients past are subsequently actualized. The patient is thus made aware of past traumas. The emotions generated
by this awareness lead to relief.
The temporal increase of burdensome emotions may also be attained by
acting them out in therapeutic as if situations. Emotional reading experiences are believed to have similar effects. In a practice known as bibliotherapy
patients read a story about a character whose experiences resemble the traumatic events in the patients past (see Fuhriman et al. 1989). Identification
may be a kind of therapeutic as if situation, in other words, an imaginary role
play. In this way patients supposedly come to recognize their repressed
emotions, and thus make the first step in learning to deal with them.
According to Beardsley (1958), catharsis is not only recommendable for
psychiatric patients. Often in daily life, he argues, we build up a certain
amount of frustration and irritation. This can rise to such an extent that it can
seriously hamper our social, creative, and economic performance. Reading
literature may reduce our destructive psychological impulses, Beardsley argues. This effect, he says, has an important advantage. While reading, we go
through strong emotions of moral indignation or hate without harming anyone
in the process. Also, in sublimating destructive feelings and emotions, reading

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may enhance our capacity of outgoing and affectionate relations, reduce the
amount of irrational emotional outbursts, lessen prejudices and lasting resentments, make us more tolerant and forgiving (560). The cathartic effect of
literature may even have implications exceeding the relevance for our personal lives. As Bertrand Russell said in his Nobel Prize speech, reading may
satisfy our love for excitement, and avoid that this yearning leads to social
unrest and war.11
Cathartic effects are an example of a pre-ethical effect. Relief of emotional tension is neither moral nor ethical in itself. But, as has been argued, it
may affect our behavior, and set our frame of mind to make more wellconsidered judgments and thus contribute to ethical reflection or moral action.
Participating in an imaginary role-play may produce an awareness of repressed emotions, thus enabling more reasonable judgment (Hypothesis PE5).

1.6.2 Experimenting with roles


Besides cathartic effects, participation in imaginary role play is assumed to
contribute to character formation, in that it gives readers a chance to experiment with roles that are not theirs (yet). Reading involves temporarily sharing
the same desires and anxieties characters have, Booth (1988) proposes. The
plot of most narratives is set into motion by desires, by goals characters want
to reach, or by a task they have to accomplish (see Bremond 1966). Readers
arousal may be explained by the adoption of a characters perspective. They
may temporarily feel, for instance, the same fear a fictional murderer may
have of being caught. Booth (1988) argues that having these feelings may
contribute to character formation. According to him, fiction offers a multitude
of opportunities to experiment with roles and values. When we have read 300
pages of a novel and have come to know a character like Anna Karenina pretty
well, we may feel the same desires and fears she has. The reading experience
enlarges, what Booth calls, our imaginative diet. In other words, reading
stimulates our imagination about who we are and what we may be. The result
of such an experiment with roles is that we become aware of the attraction of
being like the characters. Booth recalls from his own experience of reading
Ulysses a sense of envy and awe not of Joyce but of Stephen. If only my
own stream of consciousness could flow at that high philosophical level, what
a bright young man I would be! And I can remember () mumbling that
mouth-filler: ineluctable modality of the visible. Thus in my emulation I was

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moved, in however slight a degree, toward the character of a philosophical


man. (274) That was Booth as a young man; now he is a professor at the
University of Chicago.
The experiment with roles may also work in the opposite direction. We
may also become aware of what we do not want to be like, as Scholes (1989)
experienced while he read George Eliots Middlemarch. He relates how this
caused an ethical turn in his life: I found myself far too closely mirrored in the
character of Fred Vincy, who is nicely summed up by the narrator as one of
those young gentlemen whose consciousness is chiefly made up of their own
wishes (139).
Whether Booth became a professor thanks to Ulysses, or whether Scholes
became a better man because of Middlemarch is hard to say. As Booth points
out himself, what we read does not necessarily determine what we are. It may
also be the other way round. Nineteen-year-olds who want to read Ulysses,
may already have something of a philosopher in them. Moreover, even honest
and earnest attempts to reconstruct how we became what we are, may contain
inaccuracies. In Chapter 2 I will hold the following hypothesis against the
light of available empirical evidence.
Reading narratives is a thought-experiment. Readers try out certain roles and
reflect on the consequences of these roles (Hypothesis E1).

So, reading Ulysses helps readers to clarify whether and why they would value
intellect over other values, and their reflections on their reading of Middlemarch makes them realize they do not want to be an egoist like Fred Vincy.
The thought-experiment itself is a method of ethical inquiry. Its effects are
ethical effects of reading literature. But, as these examples already indicate,
readers ethical reflections can lead to a moral conclusion.
1.6.3 Rhetoric and persuasion
Until now I have discussed the enhancement of emotions through a perceived
resemblance between story events and a readers past (e.g., stories mirroring
traumatic experiences). Another element of literatures appeal to emotions is
assumed to come from rhetoric, the art of persuasion. Rhetorical devices,
Tuve (1947) says, move a readers affections, but also affect his judgment;
they move him to feel intensely, to will, to act, to understand, to believe, to
change his mind.12 Rhetorical schemes and tropes are often assumed to

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contribute to the persuasive power of Biblical texts, political essays, pamphlets, courtroom pleas, and advertisements. When this power results in
changing behavioral norms, this is a moral effect.
As Booth (1961, 1988) has pointed out, rhetoric is an almost omnipresent
phenomenon in fiction. In fact, handbooks on rhetoric frequently refer to literary
examples for illustration (from Aristotles The Art of Rhetoric to Corbett 1971;
see also Van Peer 1994). Most of the rhetorical devices can be found inside as
well as outside literature. Take irony, for instance. An example from an ad for
a telephone company: Sure you could live without the Yellow Pages (or
without newspapers or automobiles or clocks). If such rhetoric works in an ad,
may not the same persuasive effect occur while reading a literary text like this
one: For Brutus is an honorable man; So are they all, honorable men.
(Shakespeare, Julius Caesar III, ii, 9192)?13 Mark Antonys famous speech
does indeed stir the mob he addresses. While Brutus had been able to assure the
Plebeians that the assassination of Caesar was necessary to preserve the
Republic, Antony persuades them to a diametrically different opinion. With the
help of rhetorical devices, he creates a mood of hostility towards Brutus and the
other conspirators. This is a clear case of a moral effect. We see a change of
judgment, from Live, Brutus, live, live! (III. ii, 50) and Let him [Brutus] be
Caesar, (53) to Revenge! About! Seek! Burn! Fire! Kill! Slay! Let
not a traitor live (216).
Here we have a fictional audience being swayed by rhetoric. What
happens to Shakespeares readers? It seems unlikely they are also swept into
moral indignation and action. Most readers will realize Brutus and Antony are
fictional characters, and that no immediate action on their part is called for. In
addition, these characters are too ambiguous for such an overt response. They
are both good and evil. Brutus intentions are not all wicked. He seriously
means to save his country. Similarly, Antony is not without fault. He stirs an
angry mob and starts a devastating civil war, which results in many innocent
deaths. What does seem likely is that some readers will notice a moral
ambiguity at the heart of the play. The piece may work in such a way that
readers come to realize the moral importance of avoiding civil disorder and
violence. Julius Caesar seems to show that a political status quo is to be
preferred to the pursuit or control of power, even for apparently just or moral
purposes. Literature may come to function as, what Booth (1988) calls, a
macro-metaphor, in case of Shakespeares play, as a macro-metaphor for
certain problems of government. If it is true that, as Booth claims, these

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metaphors can have an awesome influence on us, reading Shakespeare may


well affect readers behavioral norms concerning politics.
By means of rhetorical devices narratives move readers to accept a perceived
behavioral norm, or to sense a renewed awareness of it (Hypothesis M4).

A literary text and a political pamphlet are two different things. Unlike the
message of a pamphlet, literary meaning cannot be reduced to a blunt motto.
Simplifying Shakespeare to one moral message seems a gross impoverishment. Moreover, attempts to do so result in truisms most people will be well
aware of without the help of any literary text. Nevertheless, this does not
refute the claim that part of the reading experience may include a reduction to
a motto, as well as a renewed awareness of some principle. Remember that we
are not concerned with what readers should, but what they may learn from
literature.
In this section I have argued that if literature enhances emotions, it may
have effects besides pure aesthetic delight. Catharsis and its psychological
correlates warrant a serious investigation of their consequences. I have also
proposed that readers identification with characters may lead to an impact on
their self-concept. An examination of these assertions could have important
social applications and deepen our understanding of literary communication.
The effects of rhetoric may also be of interest. Rhetorical devices like metaphors, irony, and repetition may, or may not have the persuasive effect they
are supposed to have. If they do have such effects, people in the business of
persuasion may want to know. It may also be that the rhetorical devices work
anywhere except in literature. In that case, it may be interesting to know why.

1.7 A challenge to ethical reflection


1.7.1 Lifes problems and social criticism
The previous section focused on emotional involvement and its alleged effects. I will now consider the implications of cognitive processes. By now it
must be clear that assumptions about pre-ethical and moral effects of reading
literature are deeply rooted in our Western concept of what literature is, but
also that few of these theories are based on empirical evidence. The same
holds for ethical effects. Intuitively it seems plausible that some literary texts

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stimulate readers to reflect on ethical problems, but what do we know about


the place of such reflections in actual reading experiences?
Before answering that question in Chapter 2, let us look at what the
claims are. First I will look at some ideas about effects on personal reflections.
Many literary texts are believed to address ethical issues (e.g., Mooij 1987;
Gregor & Nicholas 1962; Gardner 1978). This is not to say that they contain
moral messages. According to Van Asperen (1994), literature typically deals
with questions regarding the meaning of life, what makes a life worth living,
and what does not. Thus, readers may come to reflect on choices and actions,
or on qualities like courage, loyalty, compassion, goodness, and reliability.
Participating in the experiences of literary characters, argues Van Asperen,
gives us more food for reflection than our own experiences could. Literature
is, in that sense, a laboratory of human possibilities, and that always implies
moral possibilities as well (45). Rorty (1989) and Nussbaum (1991) similarly
argue that literature is closely geared toward ethical problems we meet in daily
life. Literary texts show us ethically relevant details, acknowledging the
particularity of the circumstances, and the ineptness of universal moral laws.
Reading literary narratives enhances ethical reflection on problems in daily
life (Hypothesis E2).

Literature is also thought to stimulate reflection beyond the private. This


assumption pertains to two domains: critical reflection on philosophies of life,
and contemporary developments in society. As to the former, Steiner (1989)
argues that our understanding of many literary texts remains incomplete if it
does not include cross-references to other texts or historical events. This may
create an implicit philosophical dialogue. For example, we may read Goldings
Lord of the Flies as an ideological comment on Ballantynes Coral Island, thus
putting into the pillory the optimistic belief in civilization the latter represents.
Similarly, Gadamer (1996) asserts that our present set of norms and values may
change while we attempt to understand literary works of past eras. Interpretation
involves putting ourselves in the horizon of the author, but during this
transposition our own horizon tags along. According to Gadamer the encounter
forms or tests our norms and values and the existing by themselves (306).
Others have proposed that ensuing dialogue may result in a fusion of
these horizons supposedly literature functions as the publics conscience and
enhances our awareness of certain abuses.14 Indeed, it seems that criticism of
contemporary developments in society is frequently expressed in literature. In

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his A Defence of Poetry [1840] Shelley even claimed poets to be the unacknowledged legislators of this world. And many authors criticized what they
felt were undesirable developments in their society. Examples that spring to
mind are Swifts satires on the sciences of his day, Dickens critique on the
downside of industrialization, the criticism on bourgeois morality by Flaubert,
Kafkas view of bureaucracy, or Gogols Dead Souls, regarded as a bitter
attack on corruption in Czarist Russia. A more recent debate few have missed
is the discussion about freedom of expression and Islamic views following
Khomeinys fatwa pronounced over Salman Rushdie. His suffering has not
been in vain, Rushdie thinks: I really think that the publication of The Satanic
Verses and the following discussion, forced many people to reflect on some
very important issues, outside as well as inside the Islamic community. It is
interesting to see one novel may go a long way, and that the genre still has that
power.15
It could well be that the highly canonical texts and authors mentioned
here are subversively critical, rather than conserving some repressive establishment as suggested earlier in Section 1.3 (Herrnstein Smith 1988; see Van
Peer 1996). It seems likely that, as Fokkema (1986) argues, the canon is an
open system that represents a matrix of possible answers relevant for the times
we live in. Times change, and so do the questions we ask. History shows that
the canon changes along with them.
Reading literary narratives enhances reflections about ethical problems related to contemporary developments in society (Hypothesis E3).

1.7.2 Reconsider and look again


What makes literature a particularly suitable instrument for reflection on
private and public problems? First, it is supposed that literary reading involves
looking at things from a different perspective than we are used to. Central to
our concept of literature is that its quality does not lie in what is represented,
but in how it is represented. Shklovsky [1917] was perhaps the most eloquent
spokesman for this principle. In his phrasing, literary texts provide readers
with new ways to perceive the world. By making things strange, literature
produces an intense and immediate experience of the world. This process of
estrangement goes against the automatization of our perceptions. Looking
through the eyes of a horse, readers of Tolstoys story Cholstomer renew
their perception of the world of humans. The horses incomprehension of

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words like my and mine, embodying the concept of ownership, makes


readers see human relations anew.
According to Shklovsky, defamiliarization is a function of the literary
devices authors use. In contrast to everyday language, literature employs these
devices with largely aesthetic purposes; their effect is to slow down communication. Shklovsky was not concerned with the moral implications of these
effects. He focused on aesthetic aspects, such as the intensification of perception. A poem about a stone helps readers to powerfully realize the stoniness
of a stone. However, the same devices may affect readers awareness about
other things too, for example their own position in society. Brechts [1948]
theory of Verfremdung stresses the potential of literary estrangement to bear
on social change.16 Things that have existed for a long time seem unchangeable to us. Brecht works toward a form of literature that, through an estranged
mode of seeing things, may help us realize that even the organization of
society can be changed. Instead of being merely persuasive in a crude way,
this effect results in open-mindedness, Bronzwaer (1986) adds. Reading helps
us to reflect on the world, on our prejudices, thus avoiding the fossilization of
our political and social norms. These effects are pre-ethical in other words,
they precede and improve the basis for ethical reflection.
Defamiliarization effects of literature generate an open-minded attitude, enabling readers to look at ethical problems in a new, fresh, and intense way
(Hypothesis PE6).

This is a strong argument to suppose that literature is particularly suitable to


enhance ethical reflection. While television soaps may broach ethical issues,
the predictable way in which such matters are dealt with can hardly
defamiliarize and subsequently renew readers entrenched categories. The
typical defamiliarization devices of literature, by contrast, may generate ethical effects of an intensity not encountered in the more popular media. Adorno
(1967) would have agreed. He argues that mass media impede people from
becoming autonomous, independent thinking individuals and thus are a menace to democratic societies.
There is an additional reason to believe that unfamiliar perspectives
enhance the quality of ethical reflection. In every work of literature, says J.E.
Miller (1968) we may find a new perspective on life. As a result of reading
literature, one may become familiar with a large diversity of ways of looking
at the world. Reading broadly, Miller assumes, exposes one to a multitude of
ethical systems and moral perspectives, and thus causes an expansion and

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deepening of ones moral awareness.

Literature makes readers become acquainted with a wider range of moral


perspectives (Hypothesis PE7).

Being aware of various possible points of view is a precondition for adequate


ethical reflection. Therefore, this hypothesis pertains to a pre-ethical effect.
Another line of reasoning emphasizes the reflective distance typical for
literary communication. For Althusser [1966], great novelists like Balzac and
Solzhenitsyn are able to let us perceive the ideology that normally curtails our
perception of society by taking a step backward. This creates an internal
distance toward the very same ideology from which their novels originate.
Habermas (1983) argues that literature cannot provide behavioral rules. Its
moral ambiguity makes that readers are typically unable to come to an
univocal moral judgment. However, in being free from the pressures to make
moral decisions, this creates a sanctuary for ethical reflection. As Milan
Kundera (1995) puts it, literature, or the novel, is a realm where moral
judgment is suspended, which stands against the ineradicable human habit of
judging instantly, ceaselessly, and everyone; of judging before, and in the
absence of, understanding (7). Several authors (e.g., Winkler 1985; Euben
1990) point out that there were times when this temporary suspension of
judgment was even a public function of literature. Others add that nowadays it
is at least a psychological need for all of us (Rushdie 1991). DePaul (1993)
argues that we often need to insert a mental distance to our situation in order to
come to an adequate judgment. This is especially important when we are
personally involved in, for example, a domestic quarrel. Not being able to take
a detached viewpoint will make it difficult to recognize what is important and
what is not. Precisely because of our distance from the events described in
literary narratives, reading offers us an opportunity to train our ethical faculty. The gist of these views are captured in the following two hypotheses.
The ambiguity of ethical positions in a literary text stimulates ethical reflection (Hypothesis PE8).
The mental distance readers maintain toward fictional events in literary texts
allows them to make more careful moral inquiries (Hypothesis PE9).

Considering these arguments, it seems that reading literature enhances the


quality of ethical reflection. In addition, the involvement in ethical reflection
itself may improve future reflections. J. Hillis Miller (1987) argues that
reading literature may enhance readers ability of interpretation. This, in turn,

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may help them to have a better understanding of ethics and its conceptual
study, which in turn may have implications for their moral, social and political
life. So, ethical reflection (an ethical effect of reading literature) trains readers
to make more discerning ethical inquiries (a pre-ethical side effect). This
brings us to a last hypothesis.
Reading literary narratives stimulates ethical reflection, which enhances the
understanding of ethical discourse (Hypothesis PE10).

Shelley wrote his Defence of Poetry to argue that writing poetry is not simply
a waste of time as Peacock bantered. Similarly, I think the arguments put forth
in this chapter suggest that it is worthwhile to examine whether certain
assumptions about the effects of literature are valid. We have seen that several
of our most central beliefs about literature imply effects on the reader. Some of
these effects are relevant to ethics, either directly or indirectly. Still, not
everyone seems convinced that these effects take place. And they have a point.
People who made these claims did little to find out whether their arguments
were valid. Novels may be quoted, cases may be brought forward, intimate
self-observations may be revealed, but this will not convince the true sceptic.
Now that some of the conceptual issues about what reading literature may
do to readers have been clarified, let us move on to a review of the available
evidence. The table below lists the hypotheses presented in this chapter. It will
function as a point of reference for the next chapter, where I will examine the
evidence.

Overview of the hypotheses


Pre-ethical effects
1. A sequence of events presented in a story affects readers beliefs about
causality: action a leads to consequence b (see Section 1.4).
2. Reading narratives enhances the ability to make psychological inferences
about the emotions, thoughts, and motives others have in certain situations
(1.5.1).
3. The complexity of literary characters helps readers to have more sophisticated ideas about others emotions and motives than stereotyped characters
in popular fiction (1.5.2).

26

The Moral Laboratory

4. The attention given to the genesis and development of moral problems in


literary texts raises our awareness of the complexity of ethical problems
(1.5.2).
5. Participating in an imaginary role-play may produce an awareness of
repressed emotions, thus enabling more reasonable judgment (1.6.1).
6. Defamiliarization effects of literature generate an open-minded attitude,
enabling readers to look at ethical problems in a new, fresh, and intense
way (1.7.2).
7. Literature makes readers become acquainted with a wider range of moral
perspectives (1.7.2).
8. The ambiguity of ethical positions in a literary text stimulates ethical
reflection (1.7.2).
9. The mental distance readers maintain toward fictional events in literary
texts allows them to make more careful moral inquiries (1.7.2).
10.Reading literary narratives stimulates ethical reflection, which enhances
the understanding of ethical discourse (1.7.2).
Ethical effects
1. Reading narratives is a thought-experiment. Readers try out certain roles
and reflect on the consequences of these roles (1.6.2).
2. Reading literary narratives enhances ethical reflection on problems in daily
life (1.7.1).
3. Reading literary narratives enhances reflections about ethical problems
related to contemporary developments in society (1.7.1).
Moral effects
1. Narratives affect readers beliefs or expectations about their lives. This
includes consequences for their behavioral norms, e.g., cultural or social
codes (1.3.1).
2. A narrative presentation is more persuasive than a non-narrative one
(1.3.2).
3. The fictionality of narratives does not impair its effects on readers beliefs
and behavioral norms (1.4.1).
4. By means of rhetorical devices narratives move readers to accept a perceived behavioral norm, or to sense a renewed awareness of it (1.6.3).

Apologies

27

Notes
1.

Peacock [1820].

2.

Shelleys Defence is a response to an essay written by a good friend of Shelleys, Thomas


Love Peacock. His The Four Ages of Poetry should not be taken to be a serious attack on
poetry (see Brett-Smiths introduction to Peacocks essay).

3.

See philosophical dictionaries such as Sandkhler (1990) and Lacey (1976); see also De
Graaf (1980).

4.

Cf. Bronzwaer (1986): 69.

5.

M1

6.

Platos The Republic. Book III (129) and X (433).

7.

See Steven Mufsons article Is Ibsen an Enemy of the Peoples Republic? International
Herald Tribune (4 September 1996) on the production of the play by Wu Xiaojiang.

8.

There may be exceptions to this rule, as recent attempts to write virtual history show
(Ferguson, 1997).

9.

Discussion about the ethical side of Racines Phdre by Willem Jan Otten in NRC
Handelsblad, 23 December 1994.

10.

See Aristotles Politica (1342a 1415), and On the Art of Poetry (6).

11.

Quoted in Beardsley (1958): 574.

12.

Quoted in Vickers (1988): 277.

13.

Corbetts examples (1971: 489490).

14.

See for some examples Downs (1978).

15.

Interview with Bas Heijne, published in NRC Handelsblad, 2 December 1994.

16.

See Brecht 1976: 99n.

to distinguish it from hypotheses about pre-ethical (PE) and ethical effects (E).

Chapter 2

Changing Readers

Die Erkenntnis beginnt nicht mit Wahrnehmungen oder Beobachtungen oder


der Sammlung von Daten oder von Tatsachen, sondern sie beginnt mit
Problemen.
Karl Popper1

2.1 Introduction
The first time you call at your friends or colleagues home, you often find
yourself secretly browsing through their bookshelves. While the hosts are
getting drinks from the kitchen, we guests seem to think the titles will reveal
some aspect of our hosts personality. How reliable are such inferences? This
chapter reviews a wide range of studies suggesting that bookcases may be
quite revealing. The main focus will be on studies of an experimental nature,
relating them wherever possible to the hypotheses outlined in Chapter 1.
I will start the exploration of the field by briefly looking at some results of
correlational and qualitative approaches.
2.1.1 Correlations
Our friends library may be quite telling. Instead of merely revealing hobbies
and aesthetic preferences, it may help us to predict some of their norms and
values, their standpoints in politics and social issues, and their personality
(Miall & Kuiken 1995; Hakemulder 1995; Van Assche 1981; Perine 1977;
Wilson 1956). Thus, Perine (1977) found correlations between orientations
toward literature and approaches to moral judgment. Van Assche (1981)
showed that aesthetic preferences and ranking of values are strongly associated. Subjects in his study were asked to choose one of six poems as their
favorite. Clear differences in preferences occurred between subjects who
endorsed intimate-oriented values such as happiness, and true friendship,

30

The Moral Laboratory

and those preferring more world-oriented values like world peace, and
equality. In another study, the degree of literary reading habits, or literary
participation, correlated significantly with adherence to particular opinions
(Hakemulder 1995). In a random sample in the city of Utrecht approximately
200 subjects participated in a telephone questionnaire. Analysis of the responses showed that adherence to liberal, progressive, and postmaterialist
opinions correlated strongly with literary participation. Conversely, no correlation was found between literary participation and opinions related to conservatism, restrictivism, and materialism. Wilson (1956) found that scope and
depth of literary experience was significantly correlated to construction (i.e.,
the desire to build ideas or objects, to execute projects and create new things)
and cognizance (the desire for knowledge of all varieties). Furthermore, a
negative relation was found with extroversion. In five separate studies Miall &
Kuiken (1995) found that subjects attitude to literature is a reliable predictor
of scores on several personality measures, such as: readiness to be captured by
imaginal events, and readiness to modify them; learning style; approaches to
morality; and tolerance for complexity.
In conclusion, knowing someones reading habits helps us to predict his or her opinions and personality. However, it is unclear whether we can
assume that there is a causal relation between literary participation and personality traits. Also, if there is, what is the direction of this causality? Does
reading affect readers personality and values, or is it the other way around?
2.1.2 Qualitative approaches
In several studies the question about the effect of reading was addressed
directly to the readers themselves, which resulted in testimonies that supposedly exemplify that reading does shape the reader (e.g., Culp 1985 & 1977;
Ebersole 1974; Lachenmann 1999; Shirley 1969; Wilson 1956). In Shirleys
study, a large group of high school students completed a questionnaire on how
literature had affected their beliefs, attitudes, or behavior. Subsequently, a
number of informants was selected for case studies. Some of their statements
suggest that reading literature stimulates ethical reflection on everyday problems and social issues. One reader reported that through his reading of
Goldings The Lord of the Flies he gained insight into how civilization is a
thin veneer and how people can change when away from it (Shirley
1969: 372). Millers Death of a Salesman brought another reader to the

Changing Readers

31

realization of how very easy it is to get lost in the shuffle of life and that once
you get behind, its nearly impossible to find your place again (372). The
response of the following reader of Dostoevskys Crime and Punishment
suggests the kind of moral self-evaluation discussed in Chapter 1: After
reading the book I discovered how self-centered I was and how quick I was to
form my opinions (410). One of the readers of Steinbecks Of Mice and Men
shows the kind of compassion literature supposedly arouses: to see the plight
of the poor common laborer and how he is taken advantage of by better
educated men. I felt sorry for them I felt depressed. I cried after reading Of
Mice and Men (406).
Several other qualitative studies pointed out that literature is a suitable
vehicle for tackling sensitive issues (Cheek 1992; Mullarkey 1987; Rhodes
1990; Sullivan 1987). Sullivan describes experiences with a bibliotherapeutic
program used in a fourth grade classroom. Listening to and discussing stories
proved to be helpful in getting problems out into the open, problems relating to
parental divorce, human relations and handicaps. Rhodes analyzed responses
of six students to a novel and concluded that her subjects concentrated on
issues with which they might be confronted in their own lives. In a similar
study, Mullarkey reports that reading enhanced subjects insights about their
personal lives. Her analysis of recorded responses to novels suggests that the
insights were prompted by identification with the fictional characters. Cheeks
observations of classroom discussions of literature showed that teachers frequently focused students attention on ethical aspects of the texts. It seems that
in literary education students are often stimulated to reflect on ethical issues.
All this may add to the plausibility of the hypotheses advanced before.
There are reasons, however, to subject them to further tests, preferably in
experimental settings. Subjects in self-report studies may be sincere in their
self-observations, but their personal reconstruction of their past experiences
and the formative effect of these on their character may not always be reliable
and is scarcely verifiable. In Chapter 1 we saw that many (Western) theories
of literature incorporate assumptions about the effects of reading. It may be
that reader reports reflect these beliefs rather than actual influence. As we saw
earlier, the results of correlation studies are not conclusive either. It remains
unclear whether there is a causal relation between literary participation and
personality variables. Determining whether reading literary texts has any
effects requires experimentation, allowing researchers to maximize control
over potential and relevant variables, so that it can be estimated whether

The Moral Laboratory

32

independent variables (e.g., exposure to a literary text) have an effect on


dependent variables (e.g., readers norms and attitudes).

2.2 Experimental research


In my search for experimental evidence I used the following sources. For the
period 1980 to 1995 I consulted the Psychological Abstracts and Dissertation
Abstracts International. To track experiments conducted before 1980, references in a number of articles and books (e.g., Kimmel 1970; KlementzBelgardt 1981) were checked. Finally, forty scholars were asked for
information about their own work, and whether they knew of any other
relevant studies. The effort yielded a total of 54 experiments relevant to the
research problem at hand. Where information was missing, an attempt was
made to contact the author or to search for a more complete report.
The studies were first categorized according to the effects researchers
were after, resulting in eight categories, which I will now briefly introduce in
order of apparent importance to our present concerns. Appendix 1 contains
tables summarizing the essentials of the studies: what the treatments consisted
of; how many subjects were used and what age they were; the design the
researchers used and the tests they administered; what the results were; and
finally, any potential problems of the study.
I

II

III

Norms and values


Eight studies examined effects on norms and values (Berg-Cross & BergCross 1978; Brandhorst 1973; Burt 1972; Freimuth & Jamieson 1977;
Keener 1977; Kigar 1978; Milgram 1967; Schram & Geljon 1988; see
Table I in Appendix 1).
Moral development
Another eight experiments tried to establish whether reading narratives
can boost the development of moral judgment (two studies by Biskin &
Hoskisson 1977; Gallagher 1978; Garrod 1982; Johnson 1990; Justice
1989; Keefe 1975; Kinnard 1986; Table II in Appendix 1).
Empathy
In four studies researchers examined the effects of reading narratives on a
group of variables related to empathy, namely: the ability to make inferential attributes about another persons thinking, attitudes, emotions (a

Changing Readers

IV

VI

VII

VIII

33

result of cognitive perception); motivation for prosocial behavior; and


actual altruistic conduct (Bilsky 1989; Healy 1980; Milner 1982; Wiley
1991; Table III ).
Outgroup attitudes
This category contains sixteen studies. They examined whether reading
narratives portraying particular outgroups affects readers attitudes toward such outgroups (Alsbrook 1970; Beardsley 1979; Brisbin 1971;
Fisher 1965; Frankel 1972; Geiger 1975; Gimmestad & De Chiara 1982;
Hayes 1969; Heintz 1988; Jackson 1944; Kimoto 1974; Litcher &
Johnson 1969; Schwartz 1972; Stone 1985; Tauran 1967; Zucaro 1972;
Table IV ).
Sex-role concepts
Six studies assessed the effectiveness of treatments in changing subjects
concept of sex-roles, for example, their beliefs about cognitive abilities of
the sexes, or their norms about what tasks and jobs are more appropriate
for men or women (Ashby & Wittmaier 1978; Barclay 1974; Berg-Cross
& Berg-Cross 1978; two studies in Flerx et al. 1976; McArthur & Eisen
1976; Table V).
Self-esteem
The effects of reading narratives on self-appraisal were examined in
seven studies (Doering 1985; Garrod 1982; Gross 1977; Koeller 1977;
Roach 1975; Trimble 1984; Woodyard 1970; Table VI ).
Critical thinking
Three studies tried to establish effects of literature-based curricula on
subjects cognitive and analytical abilities (Bird 1984; Dukess 1985;
Schulhauser 1990; Table VII ).
Anxiety reduction
Five researchers studied therapeutic applications of reading narratives,
more specifically the reduction of anxiety (Cutforth 1980; McClaskey
1970; Quale 1979; Scheff and Scheele 1980; Smith 1979; see Table VIII ).

2.2.1 Criteria for evaluation


Before discussing the results of the experiments, we need a criterion to
evaluate them. In particular, we need to distinguish studies that offer direct
evidence to support researchers claims from those that do not. The criteria I

34

The Moral Laboratory

used are derived from Cook & Campbell (1979: 3794). They present a useful
guideline for estimating the validity of experimental research. In my evaluation I took into account that not all these criteria are equally important. For
example, in many studies treatment and testing were conducted by the same
person. As a result, the outcome of these experiments may be open to threats
of hypothesis-guessing. Subjects may have related one task (e.g., reading a
story) with another (completing the posttest). Having guessed the aim of the
experimenter, they may have responded accordingly, trying to help the researcher to find what he or she expected of them. Hypothesis-guessing need
not be a serious threat to validity. As Cook & Campbell stress themselves,
there is no widespread evidence that subjects tend to provide answers that will
please researchers (66). Hence, the results of such experiments do not have to
be dismissed immediately. A similarly mild problem is the lack of a randomization procedure. Not randomizing subjects over experimental and control
conditions means a potentially relevant variable may intervene. On the other
hand, when randomization is carried out other distorting effects may occur
due to the unnatural situation of breaking up intact groups such as classrooms.
Working with intact groups in field settings instead of individuals in laboratory settings may produce results which are more representative of reading in
real life (7). Some experimenters randomly assigned intact groups to treatments, and conducted pretest and posttest in all conditions. This seems a fair
solution for this dilemma.
Some studies suffer from more serious ailments. For instance, in one
experiment it could not be guaranteed that all subjects within one group were
subjected to the same treatment (Koeller 1977). Another problem I consider
critical enough to discard researchers claims, is the absence of a pretest
combined with either a lack of a randomization procedure or a control group.
Such procedures cast too much doubt on the claim that registered differences
between groups were due to treatment. I also rejected experiments with more
than two moderate threats to internal validity. A build-up of small uncertainties
seems a justifiable reason to question researchers claims. Finally, none of the
studies were given the benefit of the doubt. For example, when the report did
not mention that subjects were randomized, I assumed they werent. It should
be stressed that occasionally such assumptions may have been unwarranted,
since I sometimes had to rely on information from dissertation abstracts only.
Several authors responded to my request for more details about their procedures
and research design, but many others proved to be out of reach.

Changing Readers

35

This survey does not comprise a meta-analysis. Such an approach requires the availability of mean scores on pretest and posttest and weighted
average standard deviations. Because this information was often incomplete
or missing altogether, it was impossible to compute overall effect sizes.
Furthermore, too many different tests were used, and most categories contained too few studies to make a meta-analysis worthwhile. This means, for
instance, that we could not compute the size of the effects relative to subjects
age or sex.
Table 2.1 summarizes the results of my evaluation. The numbers in the
first column indicate the total amount of studies found in each category. The
second column represents the number of studies that were estimated to be
unreliable. The next two columns contain the number of reliable studies that
respectively rejected and confirmed the hypotheses.
Table 2.1 Results of the evaluation
Treatments aimed
at affecting .
I
II
III
IV
V
VI
VII
VIII

Norms and values


Moral development
Empathy
Outgroup attitudes
Sex-role perception
Self-esteem
Critical thinking
Anxiety reduction

Total number
of studies

Unreliable
Studies1

8
8
4
16
6
7
3
5

5
2
1
8
1
5
2
2

Reliable studies2
No effects
Effects
1
1
1
2

2
5
2
6
5
2
1
3

1. Unreliable: studies with three or more potential threats to internal validity.


2. Reliable: fewer than three potential threats to internal validity.
I.

II .

Norms and values research provides two reliable studies reporting significant effects of reading literature (Berg-Cross & Berg-Cross 1978;
Burt 1972). On the other hand, one experimenter concluded that values
expressed in narrative texts should not be assumed to have an effect on
readers values (Kigar 1978).2 We must conclude that reading may affect
norms and values, but that further research is needed to find out under
what conditions such effects occur.
Reviewing moral development research, I found five reliable studies with
positive results (Biskin & Hoskisson 1977, study two; Johnson 1990;
Justice 1989; Keefe 1975; Kinnard 1986).3 These results show that

36

The Moral Laboratory


literature-based programs may significantly enhance the natural development of moral judgment.

III .

Two methodologically sound experiments yielded positive effects of


treatments aimed at empathic changes (Bilsky 1989; Milner 1982). One
experiment did not result in significant effects (Wiley 1991).4 This is not
an inconsistency, since the measures that were used were different.
Whereas Wiley tried to establish effects on altruistic behavior, both
Bilsky and Milner used a cognitive approach to empathy. Thus, I conclude that reading narratives may enhance awareness of others emotions
and motives, but that it does not seem to stimulate self-denying behavior.
IV . Outgroup studies provide a substantial amount of evidence revealing an
effect of the treatments; six studies were conducted adequately enough to
accept the claims (Brisbin 1971; Geiger 1975; Jackson 1944; Litcher &
Johnson 1969; Tauran 1967; Zucaro 1972).5 Some results, however, are
contradictory. In two well-designed experiments reading seemed to have
had no effects at all (Beardsley 1979; Schwartz 1972). Further research
should account for variables that may have caused these different outcomes. Meanwhile, it does seem relatively certain that reading stories
with positive portrayals of outgroup members results in a positive change
in attitude toward that group. Similarly, negative characterizations can be
assumed to result in negative attitudes (Geiger 1975; Tauran 1967).
V.

Results of sex-role research are unanimously positive. Five studies provide direct evidence for the assumption that reading may affect genderrelated behavioral norms, beliefs about natural differences between men
and women (like cognitive ability), and actual behavior.6

VI .

Two experiments present direct evidence for the effect of narratives on


readers self-esteem.7 Treatments resulted in higher scores on personal
adjustment (Gross 1977). This suggests an increase of self-reliance, a sense
of personal worth and freedom, a feeling of belonging, and the reduction
of withdrawing tendencies and nervous symptoms. Furthermore, it was
found that literature programs can be used to boost subjects perception of
themselves as a student in relation to other students and their teachers
(Roach 1975). This means a higher appraisal of their own scholastic
abilities, and a more positive attitude toward teachers and school.

VII .

Table 2.1 shows that conclusions regarding the effects of reading on


critical thinking should be taken with caution. Only one study, conducted

Changing Readers

37

by Bird (1984), demonstrated that literature programs can enhance critical thinking skills.8
VIII . Two

reliable studies support the claim that reading narratives reduces


anxiety (Cutforth 1980; Scheff & Scheele 1980).9 One study showed
significant improvement in emotionally disturbed patients (McClaskey
1970).

In general, the data show that literature-based treatments have effects on


readers attitudes, norms, values, beliefs, self-concept, social abilities, and
level of critical and moral thinking. Besides positive effects, researchers also
assessed negative ones. Reading stories with unfavorable portrayals of some
outgroup caused negative attitudes toward that group. One study reported
unintended effects (Schram & Geljon 1988). An empathy-building approach
to World War II literature about war criminals led to more radical denouncements of the characters. How much of the treatment effects can actually be
attributed to reading literature will be discussed in the following sectIon.
2.2.2 Effects of literature per se
Table 2.2 presents the number of reliable studies in which the conclusions
concern the effects of exposure to texts only, excluding studies in which all
treatments combined reading literature with other activities, such as taking
part in post-reading discussions or role-playing.10 Such studies obviously do
not allow conclusions about the effects of exposure itself, since their results
may just as well be caused by the post-reading activities alone, or by the
combination of reading and such activities.
As can be seen from the table, a number of studies still survives, notably
in outgroup studies and sex-role research. In outgroup research we find four
studies (Geiger 1975; Zucaro 1972; Litcher & Johnson 1969; Jackson 1944),
and in sex-role research five (Ashby & Wittmaier 1978; McArthur & Eisen
1976; Berg-Cross & Berg-Cross 1978; and the two studies in Flerx et al.
1976), that incontrovertibly show exposure to literary texts to have significant
effects on readers attitudes. On the other hand, Schwartz (1972) and
Beardsley (1979) were not able to establish any effects of read-only treatments on outgroup attitudes. As to claims about the influence on norms, we
have only one affirmative piece of evidence (Berg-Cross & Berg-Cross 1978),
and as to the effect on self-esteem there remains also just one study (Gross

The Moral Laboratory

38

1977). Scheff & Scheele (1980) is the only study to demonstrate that exposure
to taped sketches without any discussion to follow produced anxiety reduction. In the remaining research categories (empathy, moral development,
critical thinking) none of the data show that the mere exposure to narratives
leads to significant changes.
Table 2.2 Effects of exposure to literature per se
Treatments aimed
at affecting .
I
Norms and values
II
Moral development
III Empathy
IV Outgroup attitudes
V
Sex-role perception
VI Self-esteem
VII Critical thinking
VIII Anxiety reduction

Reliable
Studies
3
6
3
8
5
2
1
3

Confounded
Studies1
2
6
3
2

1
1
2

Unconfounded studies2
No effects
Effects

2
4

1. Confounded: studies which do not allow conclusions about the effects of exposure to literature per
se, because all treatments combine reading/listening with other treatment tasks.
2. Unconfounded: studies that include at least one treatment that consists only of reading, or listening
to literature.

In the following discussion I will not exclude the confounded studies. Some of
their findings seem relevant to our hypotheses about the effects of narratives in
society, even though they combine exposure to narratives with other activities.
Admittedly, some of the experimental situations bear little resemblance to
situations in which people normally read literature. Some treatments, for
instance, involved tasks that are unlikely to occur frequently (e.g., having to
sing songs about the characters or participate in role-playing based on scenes
from the stories). Other tasks, though, are similar to practices that are much
more common, for instance in educational settings (e.g., having to write an
essay about a novel) or among friends (e.g., taking part in a discussion).

2.3 Range of the claims: internalization


To estimate the importance of the conclusions of this survey, and thus their
relevance to the hypotheses of Chapter 1, we need to know to what extent the
effects were internalized. Are subjects really any different after the treatments

Changing Readers

39

than before? Will they think and behave differently? Or are their responses
merely indicative of their understanding of what responses the experimenters
expected of them? These questions will be addressed in the next two sections.
Furthermore, I will consider the generalizability of the findings. It may have
been shown, for instance, that five-year-olds were influenced by listening to
stories with strongly pronounced morals, but what does this mean for the
effects of reading literature on adult readers norms and values? What is
known about the circumstances under which the effects occur? These problems will be considered in Section 2.4.
2.3.1 Stability of the effects
Most posttests were conducted immediately after subjects finished reading
their texts, and it therefore could be argued that the results tell us something
about short term effects only. To suppose the effects were internalized requires evidence that the changes were sustained over a longer period. In her
evaluation of influence studies, Klemenz-Belgardt (1981) already noted that
one of the nagging methodological problems is the relative shortness of
duration allotted to the experiments. Little has changed since then. In the
present survey none of the studies investigate longitudinal effects, and only
five experimenters included a delayed posttest in their design. Time between
the posttests ranged from one to six weeks. The evidence about the durability
of the effects pertains to outgroup attitudes, sex-role concept, and moral
development.
As to the effects on outgroup attitude, two experimenters conducted a
delayed posttest (Jackson 1944; Alsbrook 1970), and none of their results
suggest that effects were still present. Investigating moral development, Justice (1989) was the only experimenter to include a delayed posttest in the
procedure. The initial effects were not retained after six weeks. Perhaps
Justices treatment was simply not long enough. It involved only eight sessions of reading and discussion. Biskin & Hoskisson (1977) found that their
seven-session moral development intervention had no effect, while an eighteen-session intervention did. Moreover, Schlaefli, Rest and Thomas (1985)
review of 55 moral development programs revealed that effectiveness of the
intervention to produce stable changes largely depends on its duration.
Two sex-role studies included a delayed posttest (Ashby and Wittmaier
1978; Flerx et al. 1976, study two). Both showed that some of the effects

The Moral Laboratory

40

which were found on first testing were still significant after a period of seven
days. However, they were not as strong, and they did not recur across all
posttests.
In this respect, it should be emphasized that in field experiments it is
almost impossible to isolate subjects in the period between first and second
posttest. Consider studies like the ones conducted by Flerx et al. (1976).
Treatment consisted of reading stories about women in nontraditional roles.
But in the week following the experiment subjects will have been exposed to
numerous instances of more traditional sex-role models, presumably obliterating the effects of reading the nontraditional stories. Reason enough, therefore,
to consider any effects on the second posttest a notable finding. In the
discussion of their results, Flerx et al. proposed that a prolonged exposure to
the fictional sex-roles may eventually cause an internalization of the norms of
the texts.
Some evidence informs us on the durability of the effect of reading stories
as compared to that of watching a film. Flerx et al. (1976; study two) compared the effects of watching egalitarian films with those of reading egalitarian stories. Subjects in the control group read stereotypical stories.

Egalitarianism

5,4
5,2
5

film

4,8

book

4,6

control

4,4
4,2
4
pretest

posttest 1

posttest 2

Figure 2.1 Flerx et al (1976)

The effect in the film group was only marginally stronger than in the story
group. As to the durability of the effects, between posttest and delayed posttest
a clear drop was registered for both film and story treatment. Nevertheless,
analysis of the data showed that in both groups the effect was still significant.
As to the relative power of film versus stories to affect sex-role concept, we

Changing Readers

41

should conclude that reading is only marginally less influential than watching
films.11
In sum, then, claims about the stability of the effects are limited. Merely
five out of 54 studies included a delayed posttest. Results of one moral
development study and two outgroup studies do not yield support to the claim
that effects are of a permanent nature. On the other hand, two studies in the
field of sex-role research did show that the initial effects were sustained. On
the basis of the studies themselves it is not possible to explain the different
outcomes. For now, we can conclude that the stability of the effects varies per
research category. In addition, evidence of moral development research in
general shows that duration of treatment is related to duration of effect.
Presumably this holds for moral development programs based on reading
narratives as well. Future research should address the problem of durability.
2.3.2 Emotional and behavioral changes
Besides the stability of the effects, there are also other indications of internalization to consider, for example, emotional reorientation and changes in
conduct So far, I have dealt with verbalized changes only. Obviously, evidence for effect on behavior would contribute to the weight of our hypotheses
considerably. However, such evidence is circumstantial. Three studies (Wiley
1991; McArthur & Eisen 1976; McClaskey 1970) pertain to effects on behavior, of which the latter two showed a positive outcome.
McClaskey (1970) examined the effectiveness of bibliotherapy as an
adjunct to psychotherapy. He found that reading and discussing literature can
cause significant behavioral changes in chronic emotionally disturbed patients.
However, similar effects were found for a treatment based on didactic texts.
McArthur & Eisen (1976) show that the changes in attitude found in sexrole studies may extend to behavioral changes. They suggestively quote a
study by McClelland (1961) who found that the amount of achievement
imagery in childrens books during one period was highly correlated with
measures of economic growth in subsequent years when the children who had
been exposed to these books reached maturity. In their own study, McArthur
& Eisen established experimentally that stories can motivate achievementoriented behavior. Thirty-six five-year-olds were randomly assigned to three
groups. One group heard a stereotypical story, depicting achievement behavior by a male character and helpless and passive behavior by a female

The Moral Laboratory

42

character. In the second condition subjects read almost the same story, except
that the characters roles were switched. In the new version the female
character is perfectly capable of looking after her own interests. The male
character, in this version, waits for the girl to help him out of trouble (an
intimidating spider). Control-group subjects listened to a story depicting no
pronounced achievement behavior by any of the characters.
The procedure was as follows. One experimenter takes each subject
individually to a room and reads one of the three stories. Then a second
experimenter, who is unaware of the condition subjects are in, enters the room.
The first experimenter goes to an adjacent room and observes the subject
through a one-way mirror. Subjects are instructed in the rules of a game they
are invited to play while waiting for the first experimenter to return. It is made
clear to them that they can stop whenever they want. The game involves trying
to stand up some flowers that are lying on their side in a terrarium, a fairly
difficult task for five-year old children. The time they spend trying to stand up
the flowers serves as the measure of subjects achievement-oriented behavior.
6

Minutes

5
4
girls

boys

2
1
0
stereotype

control

reversal

Figure 2.2 McArthur and Eisen (1976)

The results show that boys persisted longer than girls did after hearing a story
depicting achievement behavior by a male character. They also persisted longer
than the boys in the control group, and considerably longer than the boys in the
reversed condition. In this condition, the pattern was inverted. Girls who had
listened to the story with the aspiring girl persisted longer in their task than the
boys in that condition. Although this last trend was not significant, the
experiment shows that story characters can function as models for behavior.

Changing Readers

43

It remains to be seen whether reading narratives could also make readers


behave differently toward others. Bilsky (1989) found that treatments resulted
in higher scores on a standardized test for prosocial motivation. But this does
not imply behavioral consequences. Wiley (1991) examined the effectiveness
of two moral education programs in changing childrens conduct. One program was based on stories, the other on problem solving skills. Independent
researchers observed the subjects as they played, and registered the number of
altruistic actions. Wiley found no significant differences between a control
group and the two experimental groups. So far, the conclusion that reading
may lead to behavioral changes does not reach any further than genderspecific achievement behavior.
Further indications of internalization may be found in physiological
measures. Brisbin (1971) sheds some light on the extent to which changes in
outgroup attitudes may be internalized. In this study subjects were randomly
assigned to two groups. The experimental group read and discussed stories
containing positive presentations of black people. Control group subjects read
narratives with a subject matter neutral to the purpose of the study. Afterwards, participants were first tested with a paired-comparison task to measure
their racial preferences, and secondly, with Galvanic Skin Response, a physiological instrument. Analysis of the ranking task suggested a significant
effect: black people were liked better in the experimental group than in the
control group. In contrast, no differences were found on the Galvanic Skin
Response. This finding suggests that the effects of reading on outgroup
attitudes may involve verbalized changes only. As Brisbin concludes, however, the treatments may have been too weak to generate an emotional
reorientation. Again, the presented results suggest that effects of reading vary
per target-variable. For the time being it may be concluded that effects on sexrole concept are internalized, while effects on prosocial motivation and
outgroup attitudes apparently are not.
2.3.3 Social desirability
Considering the conclusion of the previous section, it may be suggested that
the effects, at least the ones on empathy and outgroup attitude, were due to
socially desirable responses. Also, in 36 studies the same person conducted
treatment and testing. This may enhance hypothesis-guessing and decrease
the chance that results reflect actual or permanent changes.

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Findings concerning the effect on moral development, however, are


probably not due to socially desirable responses. Three moral development
studies (Johnson 1990; Justice 1989; Kinnard 1986) use Rests Defining
Issues Test (DIT). All three showed significant increases in scores. The DIT has
important advantages over measures used in the other research categories
discussed in this survey. Experimental studies show that the DIT is relatively
invulnerable to social desirability. In these studies inducements to fake
upward do not elevate scores, whereas inducements to fake downward
significantly depress scores (see Schlaefli et al. 1985). In other words, subjects
can pretend they reason on lower levels. Those are forms of thinking subjects
once used and discarded because they are now seen as simplistic. Subjects
cannot, however, pretend to reason on a higher level, because the concepts
that the subjects are using represent their best notion of moral ideals.
Some studies show that the effects on sex-role concept also occur when
subjects are unaware of the purpose of the study, or do not even know they
participate in one. The procedure used by McArthur & Eisen (1976), for
instance, made it unlikely that subjects were aware they were being tested.
Flerx et al. (1976) tried to rule out socially desirable responses by employing
three experimenters who rotated among the three experimental treatments,
while two other further assistants (who were blind with respect to the experimental condition of the children) performed testing. Such precautions are
likely to considerably reduce the chances that results were confounded by
social desirability. Still, further research is needed to establish whether other
effects, like changes of outgroup attitude, also occur when subjects are definitely unaware of the purpose of the study.
This section has discussed evidence of internalization. The next section
deals with issues of generalizability. Before moving on let me stress the
limitations of the research findings as they stand:
There is still some doubt about the durability of the changes, although
effects on sex-role concepts can be assumed to be relatively stable: in two
studies experimenters registered appreciable effects on delayed posttests.
Changes in attitude toward outgroups (two studies) and gains in moral
development (one study) do not seem to be lasting long. Further research
should examine whether duration of treatment contributes to the stability
of the effects over time.
Besides the circumstantial evidence for durability of the effects, few other
indications of internalization were found. Insight into the effects of reading

Changing Readers

45

would increase considerably if future research were to show behavioral


and emotional changes also. On the basis of the present data it may be
suggested that internalization only occurs when treatments are aimed at
nonsocial behavior (e.g., stimulating subjects to be achieving; McArthur &
Eisen 1976) and not when treatments attempt to stimulate subjects to help
others (Wiley 1991), or feel different about others (Brisbin 1971). This
suggestion evidently requires further examination.
Finally, we cannot rule out that social desirability accounts for some of the
effects that were observed. Results of experiments examining effects on
moral development (using the DIT) and on sex-role concept (taking special
precautions) are relatively free from this threat to validity. Future research
should attempt to conceal researchers purposes more effectively.

2.4 Range of the claims: generalizability


2.4.1 Necessity of postprocessing
A serious threat to the generalizability of conclusions is that effects assessed in
experimental settings may not reflect what happens in natural reading situations. Several experimenters included post-reading tasks that do not much
resemble what readers normally do with texts. Table 2.2 showed that combining
exposure to narratives with other treatment tasks (17 out of 31 reliable studies)
confounded many of the studies. This does not necessarily mean that reading has
to be accompanied by some form of postprocessing to be effective. Some
studies suggest that postprocessing adds to the effects: reading without discussion did induce significant effects, but not as strongly as reading followed by
discussion (e.g., Zucaro 1972). Keefe (1975) even assumed that the effects he
found on moral development were principally due to post-reading discussions,
and less so to the texts the discussions had been based on. In his experiment he
examined the effects of several moral development curricula. One of the
independent variables he manipulated was the sort of texts that were read.
Subjects either read stories or case-accounts of these stories. In eight sessions,
eight texts were read, followed by all sorts of post-reading activities. Keefe
registered a significant effect on moral reasoning for all of his conditions, but
no significant differences between the groups. Hence, it did not seem to matter
whether subjects read stories or summaries of these stories.

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The Moral Laboratory

Maybe this inference is premature. Post-reading activities were an important element in all his treatments. After reading the texts, an arsenal of
techniques was put to work to enhance subjects moral reasoning. It seems
likely that his emphasis on post-reading activities explains why Keefe found it
hard to distinguish between the effects of story-treatments and case-account
treatments. Moreover, whether effects are generated by the texts subjects read,
or by postprocessing tasks can only be resolved by a design which includes at
least one
read-only condition. For the time being, however, one must conclude that
the question whether it is postprocessing or the reading that causes the effects
stands unanswered.
2.4.2 Effective texts
Intuitively one would perhaps expect that effects of narratives are based on a
unique combination of the right reader reading the right text at the right time in
his or her life. The mere fact that exposing randomly chosen groups of readers
to narratives led to perceptible, statistically significant effects, shows that
some changes may be more common. Of course the choice of stimulus
materials was never made randomly. Do the results of this survey reveal
what kind of texts may change people? In the studies surveyed here anything,
from Julius Caesar to What Can She Be? A Veterinarian, elicited effects. It
seems likely that the level of the texts was tuned to the age group under
examination. Julius Caesar was used for fifteen-year-olds, What Can She Be
for nine-year-olds. Reversed combinations would probably have been less
effective.
For most of the experiments it is unclear what stimulus material was used
(research reports refer to, for instance, a literature curriculum, or a Junior
Great Books program). In addition, we know very little about what it is in
these texts that caused the changes. Few studies examined hypotheses generated by a close analysis of the stimulus material. This should not surprise,
since most studies served practical, educational purposes. Researchers were
typically interested in testing the effectiveness of some curriculum for
instance in fighting racial prejudice and not in the workings of specific text
qualities per se. The selection of materials used is often based on intuitions
that the texts contain positive portrayals of some target group. Sometimes the
choice of texts is based on suggestions of advisory boards who compiled lists

Changing Readers

47

of, for instance, egalitarian childrens literature (e.g., Flerx et al. 1976), or lists
of books relevant to certain self-concept dimensions (e.g., subjects relations
with school, other students and teachers; Roach 1975). But criteria were
seldom specified. Expectations about effects on moral development are sometimes based on text analyses using Kohlbergs model for moral reasoning (cf.
Kohlberg 1969). Confronting subjects with higher levels of moral reasoning
than they use themselves is known to enhance moral development. Researchers therefore suppose similar effects of reading texts that represent higher
stages. They analyzed their materials with help of Kohlbergs model. Thus
they estimated which level of reasoning the moral of the stories were based
on. Detailed results of such text analyses were not reported, nor were they
integrated in the designs of the studies.
Geiger (1975) presents an example of a more thorough approach. He
found that reading popular World War II adventure booklets containing negative portrayals of Russian soldiers had a negative effect on readers attitude
toward Soviets. His hypotheses were based on a content analysis of the genre.
Nevertheless, Geigers approach still does not allow conclusions about what
aspect of the stories caused the effects. Summing up the results of his content
analyses, Geiger mentions several characteristics that may have contributed to
the negative changes in attitude. For instance, the texts are always written
from the perspective of the German Wehrmacht; there is always a potential
subject for identification: a virtuous and courageous German commander; and
images of Soviets are invariably negative. From the point of view of literary
studies it is important to know which feature, or combination of features, is
responsible for the effects Geiger found.
A suitable instrument for controlling text variables is text manipulation
(e.g., Litcher & Johnson 1969; McArthur & Eisen 1976). Litcher & Johnson
only changed names of the story characters and the pictures, thus making a
multi-ethnic reader out of a regular textbook. McArthur & Eisen reversed the
gender of the main story characters. These experimenters found that their
manipulation did not work entirely as they had expected. The reversed condition did not result in a significant reversal of the gender behavioral pattern.
McArthur & Eisen speculate that some actions of the boy and the girl in the
new version may have seemed strange to the readers. Text manipulation may
be a method to get at specific effects of text variables, but it is obviously an
instrument one has to handle with care.

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The Moral Laboratory

2.4.3 Age and gender differences


Another fact limiting generalizability is that the age group under investigation
was relatively young in most studies: the median age is eight years. Unfortunately, the information gathered in this survey does not allow an analysis of
age as an intervening variable. Moreover, there is no clear pattern in the
effectiveness of the treatments relative to age (see Appendix 1, Table IX).
Intuitively it seems that there must be a balance between complexity of texts
and readers complexity of cognition for effects to occur. In other words, in
order for treatments to be effective, the required complexity of the texts
increases with subjects age and cognitive complexity.
Gender differences are most apparent in treatments aimed at changing sexrole concepts. In Flerx et al., for example, female subjects beliefs about the
cognitive abilities of boys and girls were more easily influenced than the beliefs
of male subjects. The experimenters point out that the intended attitude change
must have been more pleasant for the girls. Believing that boys and girls are
equally intelligent may appear more agreeable to them than the social stereotype
that boys are cleverer than girls. For the male subjects, however, it must have
been harder to give up the comforting idea of male intellectual superiority.
In some studies male subjects were more receptive to treatments than
females (Cutforth 1980; Hayes 1969). Although there were several problems
with Fishers study (see note 4), it may be interesting to note that he found that
a read & discussion treatment worked better for boys, while the read-only
treatment worked best for girls. Stone (1985) was not included in this survey
(see note 4), but an interesting aspect of this study is that he claimed that
positive stories about the elderly affected the attitude of his whole sample,
while stories with negative portrayals of the elderly influenced boys only.
As I said before, the data collected in this survey do not allow a metaanalysis of these differences. Considering that most experimenters did not
report significant differences between the sexes, it may be suggested that the
effects of reading are relatively independent of this variable. Effects on sexrole concept form a notable exception.
2.4.4 Summary
Before discussing the possible implications of the data for the hypotheses of
Chapter 1, I will briefly outline some of the limitations discussed so far:

Changing Readers

49

Postprocessing (e.g., discussion of the stories) is not a necessary condition


for effects on sex-role concept, outgroup attitudes, self-esteem, reduction
of anxiety, or changes in norms and values (see Table 2.2). It remains to be
seen whether empathic effects, moral development, and the enhancement
of critical thinking can be achieved by reading, or whether these effects are
due to a combination of reading and post-reading tasks. Postprocessing
seems to increase the effects of reading, but further research is needed to
sort out the relative weight of each activity.
It is unclear whether it is the literary nature of stimulus materials that
caused the effects. The available evidence does not allow a comparison of
kinds of literature.
In addition, theories about what aspect of subjects response to the texts is
responsible for the effects were not put to the test in any of the studies.
Some results suggest that the effects were due to identification with
characters or to the role-model function of characters. A direct investigation of this hypothesis is therefore desirable.
Boys may be more liable to be influenced than girls, although not by
treatments that would negatively affect their self-concept. Girls were particularly receptive to egalitarian treatments. Further research needs to
investigate the question whether effects occur when they enhance subjects
self-esteem (and not when they lower it).
The participants in these experiments were relatively young. Few studies
with adult participants have been conducted, so that the data do not allow
any conclusions about the effects of reading relative to age.

2.5 Fitting research findings to theorists constructs


To decide to what extent the hypotheses of Chapter 1 can be confirmed or
rejected by the evidence gathered in this survey, I will now take a closer look
at the dependent variables researchers have examined. As will be clear soon,
few research findings seem to speak to theorists claims directly. But, without
stretching the results too much, there is some resemblance between the dependent variables examined in the experiments and the effects theorized by
literary scholars and philosophers.

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The Moral Laboratory

2.5.1 Pre-ethical effects


Some hypotheses mentioned in Chapter 1 relate to the enhancement of insight into human character. Reading narratives is supposed to acquaint us
with what certain experiences are like, and teach us what emotions and
motives people in certain situations may have. This claim was formulated as
hypothesis PE2. Furthermore, the stories we are exposed to are assumed to
influence our beliefs about causality, that is, what actions lead to what consequences (PE1). These effects were assumed to facilitate ethical reflection, and
thus change the course of our moral judgments. They were therefore called
pre-ethical effects.
Bilskys (1989) results come closest to supporting the assumption that
reading stories enhances insight into human character. Subjects participating
in his experiment were randomly assigned to a control group or to reading
either a story by Maltz or one by Merime. Both stories bear on a prosocial
dilemma: a character has to decide whether to offer help to another character
and bear the personal costs. After the subjects had listened to the stories they
were separately interviewed. The experimenter stimulated subjects to consider
the consequences of the alternative solutions of the dilemma they had read
about. Then the Awareness of Consequences Scale was administered. This test
consists of a short case-account of a person who is also confronted by a
prosocial dilemma. Participants were asked to imagine the consequences of
the alternative courses of action the person may reflect upon before choosing.
Scores of both treatment groups were significantly higher than those of control
group subjects; reading the stories clearly enhanced subjects sensitivity to
what may be going on in the minds of others (PE2) and their awareness of the
consequences of certain courses of action (PE1).
Hypotheses PE1 and PE2 may find further support in the results of moral
development research. The ability to make attributions about peoples motivation and the consequences of behavior strongly influences scores on moral
development measures. In Keefes (1975) experiment, for instance, subjects
average moral development score before treatment was between stage two and
three. The treatments moved them closer to stage three. Subjects who reason
according to stage two criteria decide what is right and what is wrong in
relation to their personal desires and interests. Relations with others are
estimated in terms of instrumental value. Stage three moral judgments are
motivated by the intention to please or help others. At this stage, one does not

Changing Readers

51

want to do things that would hurt someone elses feelings. To interpret the
cases of the Moral Reasoning Test and make stage three judgments, subjects
need to put themselves in the protagonists shoes. Results suggest that the
treatments enabled them to do so; reading and discussing the stories enhanced
subjects understanding of, or sensitivity to other peoples feelings.
Outgroup studies may be indirectly related to the question whether reading leads to a better understanding of our fellow humans. Several researchers
used tests that measure social distance, that is, the degree to which subjects
reject the idea of outgroup members as neighbors, family, friends or partners.
Litcher & Johnson (1969) made a new version of a regular textbook. Pictures
of nonwhites replaced some of the original pictures that had only white
characters in them. Also the names used to represent these characters of racial
and ethnic groups were changed. For a period of four months this new
textbook was read in class by a group of white second graders. The experimenters used a randomized pretest-posttest-control-group design. The control
group read the original version of the textbook. One of the tests for social
distance they used was the Show Me Test. It consists of twelve portraits: three
white and three black boys, three white and three black girls. The subjects
were asked, for example: Please show me the one that you would like to sit
next to at school. Response to these and other questions showed that reading
stories about colored people caused a significant decrease of social distance.
Litcher & Johnson conclude that their findings support the counterconditioning hypothesis. The characters, they argued, were all middle class.
Qualities of the middle class presumably elicit positive responses. Repeated
pairing of the stimulus colored person with stimuli that elicit a positive
reaction would eventually lead to a positive response to colored persons (the
so-called Bill Cosby effect). I would like to propose an alternative interpretation of the results. Reduction of social distance could also suggest that subjects
consider outgroup members as more similar to themselves than before treatment. A post-hoc explanation without any empirical support could be
that the stories must have helped subjects to imagine what it would be like to
be a member of some outgroup, and found out it cannot be much different
from their own existence. Both the colored story characters and the white
subjects where middle class. The decrease in social distance seems indicative
of an increase in feelings of solidarity (cf. Rorty 1989; hypothesis PE2).
It was earlier suggested that reading literature causes catharsis (PE5).
Results of three studies suggest it does. Gross (1977) treatment led to higher

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personal adjustment. This measure includes a reduction of withdrawing tendencies and nervous symptoms, which may be indicative of a cathartic effect.
Cutforths (1980) bibliotherapeutic program led to a reduction of anxiety, and
Scheff & Scheeles (1980) treatment caused a significant increase in relaxation. McClaskey (1970) found significant changes in the behavior of emotionally disturbed patients.
There are several ways in which these changes seem to come about. Scheff
& Scheele found evidence to suggest that the amount of laughter incited by the
materials correlated with relaxation. In Chapter 1 it was proposed that catharsis
is prompted by identification (e.g., Fuhriman et al. 1989). Gross suggested that
the effects she registered on personal adjustment were induced because subjects
must have recognized some of their personal problems in those of the story
characters, which, in turn, was followed by an emotional relief. The data do not
allow one to infer whether the effects were caused by an imaginary role play
followed by an awareness of repressed emotions as suggested in our hypotheses. Anyway, reduction of anxiety and an increase in personal adjustment
might enable more balanced ethical judgments, as M.C. Beardsley (1958) had
suggested, and is therefore a pre-ethical effect.
Finally, some evidence supports the view that reading enhances critical
thinking. Bird (1984) found that participation in a Great Books Program
enhanced subjects scores on the Worden Critical Thinking Test. This effect also
occurred when treatments did not include post-reading activities. Scoring high
on critical thinking indicates that subjects actively process written and spoken
information. They are more likely to be involved in questioning, activation of
background knowledge, divergent thinking, exploring the relations among
ideas, and grappling with real-life issues. It may be that these mental activities
train pre-ethical abilities, which could facilitate a better understanding of ethics
and its conceptual studies, as J. Hillis Miller argued (hypothesis PE10). Additional support comes from research showing that understanding literary texts
requires well developed problem solving strategies and asking questions (see
Beach & Hynds 1991: 461). The motivation to understand a text may stimulate
readers to consider their own questions, to bring their problem solving skills into
action, and thus to train their critical thinking.
For several claims there does not seem to be any evidence. Hypothesis
PE3 suggested that the complexity of literary characters would boost the
effects on readers empathic ability (PE2). In hypothesis PE4 it was assumed
that reading literature would enhance readers awareness of the complexity of

Changing Readers

53

ethical inquiries. Furthermore, it was supposed that the defamiliarization


effect of reading literature generates an open-minded attitude toward ethical
problems (PE6). And finally, it was suggested that literature acquaints readers
with a wide range of moral perspectives (PE7). So far, none of these claims are
supported by empirical research. As to hypotheses PE8 and 9, for which no
evidence was found either, see the next sectIon.
2.5.2 Ethical effects
Chapter 1 hypothesized that reading literary narratives can be like a thoughtexperiment, an experiment with roles, showing which roles we could play,
which ones we would like to play, and which ones we would like to avoid
(hypothesis E1). There is no direct evidence that such narratives may enhance
ethical thought-experiments. However, some of the effects that were found
may indicate that readers do experiment with roles while reading stories. In
sex-role research, female subjects may have identified with characters of their
own sex and may have come to wonder what it would be like to be, for
instance, a female veterinarian, thus extending their possible job choices, as
Ashby & Wittmaier (1978) argue. This is not an irrefutable conclusion. Future
research should compare effects of a story about, for example, a happy female
vet, with those of an unhappy one, to see whether such imaginary role-play
takes place. Also, there is no evidence that the thought-experiments lead to
moral self-knowledge.
It was suggested that reading literary narratives enhances ethical reflections on problems in our daily lives and on contemporary developments in
society (E2 and E3). Earlier in this chapter we saw that literature-based moral
development programs raise subjects moral reasoning to a higher level. Such
intervention changes the way participants reflect on ethical decisions. The
process is supposed to be incited by reflection on moral dilemmas. Researchers claim that literature is a particularly suitable vehicle for such reflection.
Keefe (1975), for example, found no difference in the effectiveness of caseaccount programs and literature programs, but informal observations led him
to recommend the use of literature in moral education. The teachers, who
conducted the treatments, noted that the case-accounts received fewer positive
responses than the stories.
Two hypotheses were advanced concerning the question which aspect of
literary communication enhances ethical reflection: the ambiguity of the ethi-

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cal position in literary texts and the reflective distance toward fictional events
(PE8 & PE9). It remains unclear whether the ambiguity of the ethical position in
a literary text stimulates reflection (PE8). Also, it was supposed that the typical
reflective distance toward fictional events would allow readers to make more
careful moral judgments (PE9). Although none of the experiments directly
address this issue, Schram & Geljons (1988) experiment may be of some
interest here. Their results indicate that an involved, affective approach toward World War II literature resulted in less conscientious judgments than a
curriculum emphasizing a cognitive approach. The texts present an image of
the war from which subjects were expected to conclude that it cannot always
be clear who was good and who was evil. In one classroom students were
encouraged to focus on empathic responses to the texts. They were instructed,
for example, to imagine what they would have done in the situation of the
story characters. In another classroom students were led to focus on information about the life and times of the authors. The affective approach led to
more radical moral judgments about the characters (collaborators) than the
cognitive approach. The affective group considered cruel vendettas of the
resistance as justifiable. Subjects in the cognitive group tended to regard such
actions as useless, or too much vengeance-oriented without actually serving
the aim of liberation. Further research is needed, however, to answer some
important questions. The experimental design did not include a control group
and therefore we do not know to which treatment we can attribute the
differences between the groups: did the cognitive approach make subjects
moral judgments more careful, did the affective approach group make them
more harsh, or did both changes occur?
In conclusion, although no direct evidence is available, it seems that
narratives (whether literary of popular) are a suitable instrument to enhance
ethical reflection. It has not been attempted yet to establish which aspect of the
stories may be responsible for this effect.
2.5.3 Moral effects
Finally, I will consider the evidence that reading narratives has moral effects.
It was proposed that reading narrative fiction can persuade readers of some
moral standpoint, and have consequences for their behavioral norms (hypothesis M1). What do we know about what happens when readers process a story
that expresses a particular value? In Berg-Cross & Berg-Cross (1978) experi-

Changing Readers

55

ment subjects (ages four to six) were randomly assigned to a control group or
one of four experimental groups. The treatments consisted of listening to a
story with a clear moral message. The control group listened to a story that did
not relate to the values under examination. The experimenters administered
different phases of the procedure in pairs. The first experimenter conducted
both the pretest and the posttest, and was unaware of the group subjects were
in. A second experimenter read the stories to each child individually. Comparing value ratings of the treatment groups with those of the control group, and
taking into account group differences assessed with the pretest, striking effects
emerged. For example, after listening to a story dealing with the value of
friendship, subjects considered friendship much more important than the
control group. One question asked was Do you think a friend should give you
any toy that you ask for? Control subjects tended to answer more in the
negative than subjects who had heard the story about friendship. The results
may be interpreted as evidence that reading stories triggers readers awareness
of the importance of certain values.
Moral, or socialization effects can also be detected in the results of sexrole studies. Flerx et al. (1976) used a doll choice test to measure sex-role
stereotypes in young children. Subjects were shown a boy and a girl doll, a
mother and a father doll. The experimenter asked, for example, which child
doll would be afraid of a bug and which parent doll, would comfort a child
who was hurt. Such questions tapped attitudes toward childrens and parents
affect-expressiveness: which emotions are appropriate for women and which
ones are proper for men? Another dimension was childrens and parents
work activities. For instance, the children were asked to point out the child
doll which would set the table, and which one would rake the leaves in the
garden. As to the parent dolls, subjects were to point out the one that did the
cooking and the one that worked in an office downtown. Choosing both dolls
was also presented as a possibility.
The researchers compared pretest and posttest responses for groups which
either listened to traditional stories or egalitarian stories during the childrens
regular story time at kindergarten. As expected, the egalitarian programs caused
significant changes in the extent to which subjects norms were egalitarian. This
finding seems to support hypothesis M3: fictional narratives affect norms about
appropriate behavior.
Barclay (1974) was not included in this survey because of a serious
problem in the study (see note 5). Nevertheless, the results of this study

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suggest that a narrative presentation is more powerful in influencing our


beliefs than a non-narrative one (hypothesis M2). Barclay examined the effects
of either reading and discussing stories about working mothers, or reading and
discussing factual brochures containing career information. The story-treatment was the only one to affect vocational preferences. Further research is
needed to attest this. Also, it was suggested that rhetorical devices in literary
narratives can persuade readers to accept certain norms; the present survey did
not yield any evidence for this claim.
2.5.4 Summary
The results of this survey show that reading narratives affects a wide range of
variables. Rated most strongly in this survey are studies showing an effect of
reading on sex-role concept. Relatively speaking, these effects were often
replicated (five studies), and no counter evidence was found. It may be
assumed that story characters function as role models for the population that
was investigated. Several variables match the hypotheses of Chapter 1; the
evidence can be considered to support the idea that reading narrative fiction
has moral effects (behavioral norms).
Equally strong support was found for the claim that narratives can be
used as a basis for moral development programs (five studies). This finding
stands virtually unopposed. The fact that one study resulted in no effects
seems to have been due to the relative shortness of the treatment; in a followup study researchers found that a similar, but longer treatment did have a
significant effect. In all studies literature was incorporated in moral development programs. Thus, no conclusions could be drawn about the specific
contribution of literature per se. It may be that the discussions about the moral
dilemmas in the texts, or/and the higher level of moral reasoning the texts
presented or some specific literary devices caused the effects. In any case, the
moral development curricula show that literature is a suitable vehicle for
ethical reflection. The changes were also interpreted as support for pre-ethical
effects on insight into human character: an increase in sensitivity for feelings
of others.
A considerable amount of evidence was gathered in support of the
assumption that reading stories affects attitudes toward outgroups (six studies). However, in two studies no such effects were registered. Both positive
and negative changes occurred, depending on whether outgroup members

Changing Readers

57

were portrayed positively or negatively. The effects may be caused by the


presentation of outgroup members in combination with stimuli that elicit
positive (or negative) responses. After repetitive treatment subjects would be
conditioned, that is, they would show the positive (or negative) responses
even without the combination with the experimental stimuli. The reduction of
social distance may be interpreted as an increase in subjects awareness of
resemblance between themselves and the outgroup. This suggests an increase
in knowledge of the human psyche. In that case the evidence means indirect
support for the pre-ethical effects of reading narratives.
Literature-based programs may affect self-esteem (two studies). Although it was not specified which aspect of the treatments caused the changes,
it seems likely that story themes representative of certain self-concept dimensions enhanced subjects self-appraisal on these same dimensions (e.g., stories
about school causing effects on subjects self-concept regarding their school
relationships). The results seem indicative of cathartic effects, and were
assumed to enhance more reasonable moral judgment.
Three studies showed that reading narratives might reduce anxiety. The
outcome of these experiments was interpreted as evidence of catharsis. The
effects may be attributed to laughter elicited by the humor in the text or to
readers identification with the story characters.
The survey contains two reliable studies in which effects on norms and
values were found. The moral of stories determined the direction of the
effects. This evidence closely matches the assumptions about the moral effects
of reading narratives. However, in one study no effects were registered.
Reading narratives was found to affect empathy (two studies). These
findings support the idea that reading narratives increases knowledge of
human psyche. It was suggested that subjects identification with the characters enhanced their ability to comprehend thoughts, attitudes, and emotions of
other persons. In both studies treatment involved special attention to this
aspect of reading. The conclusion pertains to cognitive effects of literature.
One study examined effects on altruistic conduct and found no changes.
Finally, one reliable study supported the claim that literature programs
may enhance readers critical thinking. Such effects may be indicative of an
enhancement of subjects ability of interpretation, a pre-ethical effect. It seems
likely that the post-reading part of the treatment is essential for this effect.

58

The Moral Laboratory

Outlook
In the following chapter I will propose a solution for two of the most outstanding deficiencies of the available research: first, the fact that it is unclear which
text features are responsible for which effects; second, the fact that few
experimenters have taken the trouble to pinpoint the psychological processes
which caused the changes they observed. I will attempt to integrate some of
the findings of the survey with theories and research of social psychology. The
main focus will be on processes that stimulate identification with characters
and the effects this may have on readers. One reason to concentrate on these
processes is that a common denominator in the explanations for the effects is
readers emotional or imaginary involvement in narrative events. In this sense,
effects on sex-role concept were assumed to be caused by a model function of
the story characters. Through identification with the character of their own
sex, readers familiarized themselves with nontraditional types of behavior.
Second, the decrease in social distance toward outgroups is associated with an
increase in perceived resemblance between readers and target-group members. I suggest that this effect may be caused by identification too; readers may
have imagined what it must be like to be an outgroup member and found out it
cannot be much different from their own existence. Third, moral development
partly depends on the ability to imagine oneself in the place of another person.
Research findings suggest that reading and discussing narrative texts enhances this ability. Fourth, effects of reading on cognitive empathic ability
belong to this family of effects as well. Fifth, anxiety reduction was associated
by researchers with catharsis, a process which is supposedly enhanced by
identification. Finally, the effects on critical thinking may be related to the
appeal to identify with characters (and implied authors) and temporarily take
their (moral) positions. Chapter 3 explores such possible effects of identification. This will lead to the development of a psychological model and a number
of hypotheses that will be put to the test in Chapter 4.

Changing Readers

59

Notes
1.

Popper 1974: 104.

2.

The following studies are excluded because of three or more problems: Freimuth &
Jamieson (1977); Milgram (1967); Keener (1977); and Schram & Geljon (1988).

3.

Garrods (1982) and Gallaghers (1978) claims are impaired by more than two problems.
Therefore, their results are not considered in my conclusions. See for a general discussion
of the problems associated with the validity of Kohlbergs model Shweder et al. (1990).

4.

Healy (1980) is left out, due to three possible problems.

5.

Alsbrook (1970), Frankel (1972), Gimmestad & De Chiara (1982), Hayes (1969), Heintz
(1988), and Stone (1985) are not taken into consideration. For these studies the potential
threats to internal validity exceed my criterion of two only mild problems. In addition to
having three such problems, Fishers (1965) study seems unreliable because, as he
reports, the placebo treatment (control condition) had a significant effect on subjects
attitudes. Kimoto (1974) cannot garantee that treatments within one experimental condition were equal. Moreover, Kimoto registered an unexplainable change in attitudes
between posttest and delayed posttest.

6.

Of the six studies only Barclay (1974) was disqualified, because, as she reports, the
purpose of the study leaked out.

7.

Research procedures of Doering (1985), Trimble (1984), Garrod (1982), Koeller (1977),
and Woodyard (1970) were inadequate.

8.

Due to more than two potential problems, studies by Dukess (1985) and Schulhauser
(1990) are excluded.

9.

Quales (1979) study presented more than two problems. Smith (1979) was disqualified
due to a lack of control; the design included neither a randomization nor were subjects
pretested. Therefore, there is little certainty that differences between groups were caused
by treatment.

10.

In Tables I to VIII (Appendix 1) these studies can be recognized by the symbol (C)
under the column headed Problem.

11.

This would refute suggestions by for instance Metz (1974), who argues that the influence
of literature is much smaller than that of film. Film would enhance a much stronger
impression of reality and participation in the spectator, than a novel could in the reader.

Chapter 3

A Blueprint for Moral Laboratories

Only connect

E.M. Forster.1

3.1 Introduction
Reading a story involves several psychological processes. This chapter sets
out to investigate the effects these processes may have other than on the
understanding of the story. Like in Chapter 2, the argument will be based on
empirical studies, but the approach will be different. Researchers quoted in the
previous chapter were primarily interested in testing the effectiveness of some
literature-based curriculum, for instance, in wiping out racial prejudice or
boosting moral development. Here I will use the work of psychologists and
literary scholars to explain how such changes may come about. Instead of
assessing changes in the reader, these studies focus on one single aspect of
processing stories (e.g., how readers make sense of a narrative, or what makes
them respond to it emotionally). Connecting the pieces of this psychological
puzzle will produce a model which may help us to better understand the
effects reviewed in the previous chapter.
The proposed model is, like any model, a simplification of reality. However, I believe it covers a wide range of the hypothetical effects (Chapter 1), as
well as the empirically established effects (Chapter 2). For the sake of coherence I will focus on a family of these influences, namely those that are
associated with identification. The lion-share of the hypotheses about preethical, ethical, and moral effects concerns readers participation in narrative
experiments. Also, a common denominator in researchers explanations of
these effects is readers emotional or imaginary involvement in the roles of
characters. Therefore, readers involvement in the fictional world will form
the center of the model.

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The Moral Laboratory

The term identification is widely used in scholarly discourse on drama


and literature. Unfortunately, it denotes different things. Because of its Freudian origin it could be thought to imply that, while reading, readers confuse
their own ego with that of the character. This conception runs into some
logical problems.2 To avoid these I will narrow down the present argument to
empathic responses to characters, even more specifically, to role-taking
(Zillmann 1991). What is understood by these terms will become clear later.
Let us first look at what mental processes precede readers participation in the
fictional events. These initial steps may determine which characters role
readers take, and what consequences this has.

3.2 Taking a characters role


Before readers can take a characters role and thus take their part in the Moral
Laboratory, they first need some understanding of what is going on in the
story. Understanding operates at minimally two levels: readers need a mental
representation of what is happening to the characters (1) in order to understand
characters goals and emotions (2) and thus be able to take their roles. So, the
first level of understanding concerns the situation characters are in (Section 3.2.1.); the second pertains to the emotions this situation is likely to
generate (3.2.2).
3.2.1 Construction of causal coherence
In the course of the present argument I will construct a model for a Moral
Laboratory, brick by brick. Figure 3.1 describes the first processes readers are
involved in before the Moral Laboratory can start working for them. The
diagrams in following sections will specify subsequent processes. In making
sense of narratives, readers construct a causal representation of the story, its
events and characters (represented in Figure 3.1 by arrow of step 1; cf. Bourg
et al. 1993). Causal search may be basic to all our perception (Weiner 1985).
This holds for story comprehension too (Magliano et al. 1996). Researchers
have shown, for instance, that readers recall prior story events to infer causality and generate inferences about the causal consequences of particular events.
Their attention is focused on those events that fall on the main causal chain
and that have relatively large numbers of causal connections (e.g., Trabasso &
Van den Broek 1985).

A Blueprint for Moral Laboratories

63

To form a causal chain, readers resort to their knowledge of the world,


making inferences to bridge the informational gaps a story may present them
with (cf. Gerrig 1988). Consider the gaps in the following story:

Real world

Laurie went to a restaurant. She ordered the one vegetarian dish on the menu.
She signaled for the waitress. She ate the food quickly and hurried back to her
office.

Schematic memory
structures for human
emotions, goals, etc.

Fictional world

3*

Mental representation:
a) causality;
b) character emotions,
goals, situation.

Ink on paper

Text

Figure 3.1

What is missing here is a description of Laurie sitting down at a table in the


restaurant, looking at the menu, and paying the bill. Even so, after reading
such an incomplete account readers will assert that they had read about these
actions in the text (Bower et al. 1979). This suggests that confrontation with
nonexplicit aspects of a text stimulates spontaneous retrieval of preexisting
memory structures: step 2 in Figure 3.1. These structures are called schemata;

64

The Moral Laboratory

they are stored in what is called our semantic memory; that is where we keep
all our knowledge abstracted from personal experience.3
Earthmans (1992) study nicely illustrates how schemata are involved in
processing full-blown stories. Subjects read a story about a man called Gustav
who comes home in a fur coat he borrowed from his friend. Gustavs wife
greets him in a darkened hallway in an uncharacteristically warm way, whispering, Gustav isnt home yet, whereupon Gustav replies Yes, hes home.
The scene ends here. No further explanation is given. Almost all subjects
paused at this point to comment on the story. They drew on their schema or
scenario for extramarital affairs to fill the apparent gap in the information.
Such responses to stories may have two effects: a direct effect on perception and, in the long run, a developmental effect. Exposure to narratives makes
readers schemata more readily accessible in their memory. This is what is
known as a priming effect: a schema is more likely to be activated if it has
recently been presented or used (e.g., Bargh et al. 1996a; Bargh et al. 1996b;
Higgins et al. 1977). Schemata may be activated automatically, for instance,
upon the mere exposure to particular words, and exert their influence on
thought and behavior. Such effects occur without conscious intention or
awareness (i.e., preconsciously). Unwittingly primed schemas may affect the
dispositional attributions we make about other peoples behavior (Gilbert
1989; Gilbert et al. 1988). Thus, reading a story about adultery may prime
certain aspects of readers real-world knowledge, such as about relationships
that change from mere acquaintance or friendship to love. If we consider the
possibility of a priming effect here, exposure to a story may make certain
schemata more available than others and thus influence readers perception of
people outside the text.
A second possible effect of filling information gaps is that it offers
readers an opportunity to develop or refine their ideas of, for example, what
moves people to commit adultery. It may be argued that filling gaps is
especially important in processing literary stories (cf. Iser 1976; Andringa
1995). Understanding literary texts seems to involve more complex inferences
than understanding popular genres. The behavior of literary characters and the
sequence of events in a literary text are often more unpredictable and ambiguous. In contrast, characters and plots of popular fiction are often formulaic
(Cawelti 1976). Exposure to complex literary texts supposedly develops readers knowledge of schemata, so that reading literature is likely to generate
more sophisticated schemata than formulaic stories.

A Blueprint for Moral Laboratories

65

Both priming effect and the developmental effect are represented as step
3* in Figure 3.1. The asterisk indicates an assumption that is not supported by
empirical evidence. While there is no empirical evidence to suggest that
making inferences while reading stories primes schemata that have a subsequent effect on the way readers perceive others, I believe that such processes
deserve a (albeit hypothetical) place in the model.
3.2.2 Understanding a characters emotions
Readers first need some mental representation of the network of causal
connections before they can recognize potentially emotional situations and
understand characters emotions. Having identified characters goals, their
attempts to attain those goals, and the successful or unsuccessful outcomes,
readers make use of cues to activate schemata fitting characters emotions
(step 2). Again it may be argued that this activation will increase the accessibility of their schematic knowledge structures, in this case, knowledge of
human emotions (step 3*).
There is some evidence suggesting that readers do form explicit, lifelike
representations of characters emotions. A study by Gernsbacher et al. (1992)
showed that these representations are constructed as a normal part of the
comprehension process. Subjects read short, simple stories. This was one of
them:
Joe worked at the local 711, to get spending money while in school. One
night, his best friend, Tom, came in to buy a soda. Joe needed to go back to the
storage room for a second. While he was away, Tom noticed the cash register
was open. From the open drawer Tom quickly took a ten-dollar bill. Later that
week, Tom learned that Joe had been fired from the 711 because his cash had
been low one night.

Notice that this narrative implies certain emotions without mentioning them.
When manipulating an additional last sentence of the story, it was found that
sentences containing emotion words that did not match the emotion implied
by the story (e.g., It would be weeks before Toms shyness would subside)
were read significantly slower than sentences with matching emotion words
(It would be weeks before Toms guilt would subside). This indicates an
online representation of the characters emotions.4 These findings were replicated and extended by De Vega et al. (1997). They ran several experiments
showing that when readers know more than characters, they still make emo-

66

The Moral Laboratory

tional inferences corresponding to the characters (wrong) beliefs. They are


able to strategically focus on the characters mental perspective while disregarding their own point of view.5 Other evidence suggests that readers draw
on their real-world knowledge to figure out, online, what motivates characters actions. While reading a story that only describes what characters do
without explaining why, readers readily infer goals and plans (Seifert et al.
1985). In sum, readers online mental representation of the story includes
inferred goals and emotions of characters.
At this point we must complicate matters a bit: readers mental representations of characters emotions are known to vary with reader and text
variables. Let us briefly consider both, because, as will become clear soon,
what happens in this first phase of the model construction will be essential to
what follows.
Intervening reader variables
Researchers have found that quality of interhuman perception can be predicted by two main factors: gender and age. The results of some studies
suggest that women are more adequate perceivers of other peoples emotions
and intentions than men, and that they develop more complex explanations for
interpersonal conflicts (Fletcher et al. 1986). However, a meta-analysis by
Maccoby & Jacklin (1974) reveals there are no systematic dissimilarities
between the sexes as far as sensitivity to the emotions of others is concerned.
Differences that were found may have been due to differences in specialism,
with men and women being more sensitive in one type of situation than in
another. To solve the problem of male and female adequacy in the perception
of fictional characters requires a meta-analysis as well, but such a study is not
available at present. Until it is, it may be advisable to take the possibility of
gender differences into account.
Several studies of response to literature emphasize age as a key variable.
For example, the psychological complexity of inferences made by readers
about characters increases as they grow up (Andringa 1987; Beach & Wendler
1987; Gruenich & Trabasso 1981). Like in the study of gender differences, no
one seems to have run a meta-analysis of the role of readers age in the quality
of literary perception. However, the results concur: the ability of readers to
make a complex representation of characters mental and emotional states
increases with readers age, or presumably more accurately, their own psychological complexity (cf. Hynds 1989). Understanding a characters emotions is

A Blueprint for Moral Laboratories

67

probably facilitated by knowledge of human emotions. With readers development of schemata for situation-related emotions, for behavioral motivations,
etc., they obviously become better equipped to understand characters in
fiction. And, as we shall discuss later, better equipped readers are more likely
to be involved in role-taking.
Intervening text variables
As to understanding characters emotions, certain text properties are probably
as important as readers psychological complexity. Research shows that the
text determines which character readers focus their attention on. Generally, it
may be assumed that narrative perspective plays a crucial role here: readers
seem more likely to represent the mental or emotional states of characters
through whom they perceive the fictional world. In an experiment by
Andringa (1986), subjects read a story about a conflict between a thief and a
judge. Reading a version with the thief as I-narrator caused subjects to have
more understanding for that character than subjects who had read the version
with the judge as I-narrator. Van Peer & Pander Maat (1996) found that
inserting focalizations (e.g., thoughts) of one of the characters of a story
enhanced subjects sympathy for, and favorable judgment of that character.
Wegner & Giuliano (1983) found that readers attention is tacitly focused on
characters when their actions are described in the initial paragraph of a story.
Bower (1978: 223227) and his associates found similar results. Their manipulation consisted of adding a lead-in to a story representing character As
thoughts and actions instead of character Bs (or vice versa). This led readers
to consider themselves as character A, getting inside his head, seeing and
feeling things as he does, interpreting events as he might.
We have seen how readers include characters emotions and goals in their
mental representation of stories. The quality of this representation depends on
readers knowledge of human emotions and motivation (step 2), which increases with age and may be gender specific. Which characters emotions are
represented is guided by the text through narrative perspective, focalization
and appearance in the first paragraph of a story (step 1). Now the question is:
how does an understanding of characters emotions alchemize into an imaginary participation in characters experiences?

The Moral Laboratory

68
3.2.3 Empathic response: role-taking

Real world

The next step in the model (step 4) concerns the transformation of a mental
representation of characters emotions into an engaged, empathic response
(role-taking; see Figure 3.2). Readers empathy forms the centerpiece of the
Moral Laboratory, because, as will be argued, it is essential to the effects of
reading narratives.

Schematic memory
structures for human
emotions, goals, etc.

Self-concept

6
2

3*

Ink on paper

Fictional world

Role-taking
5

4
Mental representation:
a) causality;
b) character emotions,
goals, situation.

Moral judgment:
a) character valence;
b) moral of the story

1
Text

Figure 3.2

Figure 3.2

To avoid conceptual confusion, let me first specify which form of empathy I


am referring to. An empathic response, like any emotional response, may
consist of a mixture of three (or less) of the following components (see
Zillmanns 1991 three-factor theory):
(1) a dispositional component, or response-guiding mechanism;
(2) an excitatory component, or response-energizing mechanism;
(3) an experiential component.
The first two are probably of little consequence to the workings of the Moral
Laboratory. To explain why, I will briefly discuss what these components are

A Blueprint for Moral Laboratories

69

comprised of. The response-guiding mechanism (1) causes short and immediate reactions to the text, which do not involve cognitive processing. Readers
responses may be prompted by, for instance, an understanding of characters
impending emotion, or characters expression of an emotion. These stimuli
were established in the previous phase of the model (step 1 and 2). To provide
an example of a response-guiding mechanism, let me quote the first sentences
of Ambrose Bierces How Leisure Came.6
A Man to Whom Time Was Money, and who was bolting his breakfast in
order to catch a train, had leaned his newspaper against the sugarbowl and
was reading as he ate. In his haste and abstraction he stuck a pickle-fork into
his right eye, and on removing the fork the eye came with it.

Reading about this mishap probably causes an empathic response in most


readers, occurring almost instantaneously. Since there is no substantial latency
in this reaction, it can be assumed that it occurs without complex cognitive
mediation. Therefore it seems unlikely that it plays an important role in the
development of readers schematic knowledge. Response-energizing responses (2) do not involve cognitive mediation either. Particular to this
component of empathy is that it prepares for actions of appreciable duration,
such as fight or flight. These are not phenomena which are normally associated with reading literature, and are therefore not accounted for in the model.
Central to literary response is the experiential component (3), a conscious
experience of empathic reaction to a story. It consists of three subcomponents,
namely those processes that serve:
(A) The experience proper: readers are cognizant of their reaction and appraise it as feeling with or feeling for the character;
(B) The correction and redirection of affective reactions: readers assess their
reaction in terms of social and moral judgment, and allow their reaction to
unfold when deemed appropriate, or inhibit or redirect their emotional
response when considered inappropriate;
(C) The generation of affective reactions: readers respond emotionally to
revived experiences that are related to those confronting a character;
further called role-taking, that is, sensing past pleasures or pains again,
while it feels like responding intensely to the characters apparent pleasures or pains; this process may occur both deliberately and involuntary
(Zillmann 1991).

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The Moral Laboratory

The components (B) and (C) are important because they connect the real world
with the experiments conducted inside the fictional world. They bring
readers moral judgment into play (which will be looked at in Section 3.3) as
well as readers self (as will be discussed in 3.4). It will be argued that readers
engagement in the fictional events is like a double-edged sword. Readers
response to the text is influenced by their self-concept and norms, and vice
versa: their self-concept and norms are affected by their response to the text.
Before elaborating on this, let me briefly highlight the evidence suggesting
that these processes are part of story processing.
In a study by Bourg et al. (1993) subjects received either of two reading
instructions: an empathy-building strategy in which subjects were asked to put
themselves in the characters positions, to imagine what it would be like and
how they would feel in that position; and a placebo instruction for which no
particular strategy was expected. Readers who had read empathetically
showed a better understanding of the causal relations in the story. Presumably,
placing themselves in the position of the characters motivated readers to pay
more attention to the consequences of being in that position, making them
actors in the story rather than observers (cf. Bower 1978 for similar results
with manipulation of narrative perspective). This finding illustrates that roletaking is a reading strategy distinct from others, and that it can be deliberately
applied.
Now let us look at what is known about the two factors that allegedly rule
empathic response. First, it is assumed to be corrected and redirected by moral
judgment. For example, a nasty persons (or characters) misfortune may
produce an initial empathic response. But this response is likely to be replaced
by counterempathy almost immediately, because one evaluates ones emotional response in terms of appropriateness. One study which clearly illustrates this involvement of moral judgment in response to stories was
conducted by Jose & Brewer (1984). They found that manipulation of characters moral valence strongly affected readers verbalized empathic response to
that character. Of each story used in this experiment one version recounted
good, and one bad character behavior. Subjects responses showed that
they identified more readily with good characters than with bad ones. This
indicates that readers do indeed check their empathic response for moral
appropriateness (step 5).7
A second factor which was assumed to come into play in readers
empathic response is readers self-concept (subcomponent C; step 6), more

A Blueprint for Moral Laboratories

71

specifically, their retrieval of past emotional experiences. The label selfconcept covers more than that; why this term is used here will be explained
later (Section 3.4). To understand the involvement of readers self-concept in
empathy for characters, let us look at such responses to other humans first.
Generally, the intensity of empathic response depends on the availability
of relevant personal experiences. Availability in memory is determined by
recency and frequency (Higgins & Bargh 1987; Higgins & King 1981). The
more recent one has had a relevant experience, or the more recent one thought
about that experience, the stronger the empathic response. In addition, the
more frequent one has had a relevant emotional experience, the stronger ones
empathic response. In a study by Stotland (1969) recency of an emotion was
manipulated: one group of subjects was instructed to imagine how they
themselves would feel, and what sensations they themselves would have in
their hands if exposed to the same painful heat treatment being applied to
another person. A second group was instructed to attend closely to the other
persons physical movements, while a third group was asked to imagine how
the other person felt when he or she was undergoing the treatment. It was
found that subjects in the first group, who had imagined themselves in the
others place, experienced more empathic distress than the other subjects. This
suggests that empathy reflects processes generated from within the observer
(cf. Hoffman 1977: 180).
We may assume that readers experience of empathy for characters is also
caused by connecting the situation of characters with ones own experiences.
Analogous to what we know about empathic responses to other human beings,
readers may respond emotionally to these personal memories and construe
their reaction as feeling for the characters. Indeed, there is some evidence
that suggests this involvement of readers self in empathic responses. In a
qualitative study of Poe (1986), responses of pregnant women and young
mothers were examined. One novel the subjects read concerned a personally
relevant theme (pregnancy). Another novel was about a problem subjects had
no experience with (alcoholism). Both texts enhanced high levels of involvement, although quite different in nature. Readers sympathized with the alcoholist-character and accepted the description of her situation as realistic. The
involvement with the pregnant character, however, was more intense. Moreover, readers made use of their personal experience to evaluate the storys
truth content and attended to the behavior of the character more closely.8 In a
study conducted by Bower and his colleagues (1978: 228229) subjects were

72

The Moral Laboratory

hypnotized. One group was asked to experience an intensely happy, and


another a very sad emotion by recreating and reliving some past situation in
which they had felt that way. As a posthypnotic suggestion both groups were
told they would reexperience this emotion when they later read a story, but
they would forget the source of this suggestion and not attribute their emotions
to the suggestion given under hypnosis. Then all subjects read a story about a
very happy and a very sad character. Their response to a post-reading test
showed that character identification was controlled entirely by sameness of
mood. Moreover, subjects recalled more facts about the character they had
identified with. These findings support the idea that character identification
involves readers emotional experiences. It can be argued that Bower s
manipulation is comparable to that of Stotlands (1969), that is, subjects
responses actually pertained to their own emotional experiences.9
Another indication of the involvement of readers self is that not having
emotional experiences similar to those of a character hinders the development
of empathy. A study conducted by Larsen & Lszl (1990) may illustrate this
point. A Hungarian story was read by Danish (culturally distant) and Hungarian
(culturally proximate) subjects. The story revealed nothing about time and place
of the action. Still, researchers expected the themes repression and abuse of
power to find resonance in Hungarian readers. Responses supported this. The
Hungarian readers found the story to be much more relevant to their own lives
than the Danes. They also reported more imagery while reading. The number
of remindings did not differ, but vividness of remindings did, with the Hungarians having more clear recollections than the Danish readers. Also, the events
of the story made the Hungarian readers think of personal experiences, while the
Danish readers more often remembered reported events.
We passed in review evidence that suggests that both the involvement of
moral judgment and of readers self-concept (more specifically, emotional
experiences) are indeed likely components of an empathic response to characters. Readers may empathize with morally good characters and inhibit their
empathy for morally bad characters. Having emotional experiences similar to
those of the characters will stimulate empathy, while not having such experiences will curb empathy.
Empathy as a personality variable
Does this mean that any reader who shares experiences with noble and
virtuous characters will be inevitably involved in role-taking? Yes and no.

A Blueprint for Moral Laboratories

73

First, the tendency to put oneself in anothers place is also a personality


variable: some people are inclined to empathize more than others (see Smith &
Snell 1996). In an experiment by Mathews & Stotland (1973) subjects saying
that they often empathize with others (for instance with movie characters) were
more likely to show physiological signs of empathic stress in response to pain
and fear of others. Similarly, literary response research shows that reported roletaking behavior may vary per reader, while strongly correlating with certain
global personality traits (Miall & Kuiken 1995). This means that potential
effects of literature may be realized by some, but less so by other readers. Some
texts provide readers the chance to play out different, sometimes even opposing
roles; but not every reader may take that opportunity. One factor that may
explain such differences is the degree of literary socialization. Earthman (1992)
compared responses of experienced readers (graduate students in literature) and
inexperienced readers (college freshmen). She found that the experienced
readers were more likely to put themselves in the shoes of several characters,
and thus look at the events from different perspectives.10
Empathy has also been found to be partly an involuntary response
(Stotland, Sherman & Shaver 1971): sometimes people cannot help but empathize. Evidence that this may hold for exposure to narratives as well has been
presented by Wnsch (1981). She assessed readers verbal and Galvanic Skin
responses to a sentimental story. Although subjects considered certain passages
rather kitschy, their physiological response betrayed a high involvement in the
events (a secret rendezvous). Thus, the tendency to empathize with characters
is to some degree determined by personality characteristics, and maybe by
reading experience, but it may also occur without readers voluntary decision.
Empathy and text variables
Besides reader variables there are also text variables to be considered. Some
aspects of a text may facilitate role-taking, others may hinder them. As we saw
before, narrative perspective usually determines which character readers focus
on. Consequently, it may rule empathic responses as well. A story written
from the perspective of a particular character may stimulate readers to understand and elaborate on that characters emotions and goals, and thus enable
them to take his or her role.
We should also consider the possibility that some aspects of literary texts
obstruct role-taking. Readers may be filled with admiration for the aesthetic
quality of an authors style. These so called Artefact-emotions are assumed

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The Moral Laboratory

to diminish readers experience of being in a fictional world (cf. Kneepkens &


Zwaan 1994).11 Does this mean that role-taking is less likely to occur in
responses to literature? Perhaps yes. On the other hand, there are also indications that typically literary qualities may enhance empathic responses. One
important reason to suppose this is that empathy needs its time to develop. For
more complete responses which include the experiential component (roletaking), observers need to connect the experiences of the observed to memories of their personal experiences. As said before, the emotional response,
then, pertains to those relived experiences. Stotland (1969) showed that such
responses are more intense, but also take longer to develop than a direct
reaction to a persons physical movements or imagining how the other person
feels. Zillmann (1991) argues that affective response to literature may be
allowed to develop more fully than the more fast paced presentations in
modern media. Considering Stotlands finding that an empathic response (i.e.,
the observers emotional responding to relived personal experiences) takes a
full thirty seconds, it may be expected that stories presented in the mass media
(e.g., in news bulletins) move on before empathic reactions can take effect
(see Zillmann 1991 for a discussion of the empirical evidence).
In contrast to rapid mass media stories, processing literary texts seems
particularly suitable for the development of empathic responses. Reading
literary texts requires a special reading strategy, a strategy that is more time
consuming than others. Readers who are made believe they are dealing with a
literary text rather than a newspaper article or popular romance novel, will read
significantly slower (Zwaan 1993; Andringa 1995: 9). Reading speed may also
be influenced by text features. Miall & Kuiken (1994) found that the degree of
foregrounding in stories correlates with reading time. The more phonetic,
semantic and grammatical foregrounding a passage contained, the slower
readers read and, interestingly, the more emotions they reported (cf. also Van
Peer 1986a). Besides the foregrounding factor, research shows that stories that
focus on characters experiences are read slower than action stories that are
full of suspense enhancing elements (Cupchik & Lszl 1994). This suggests
that readers of experience stories are involved in deeper, more reflexive
processing of the stimulus events. The findings of these studies together suggest
that retardation of reading speed in literary processing allows readers some time
for reflection, in which they can retrieve relevant emotional experiences from
memory. This helps them to construe the possible implications of unfolding
events more profoundly (cf. Cupchik 1994). Popular texts may give a feeling of

A Blueprint for Moral Laboratories

75

being involved in the story too, but because of the speed with which they are
read, they can hardly stimulate personal reflection.
An example
Let us now consider how my account of role-taking would work in an
example. I will use Chekhovs The Butterfly [1892] to illustrate how readers empathic response may be regulated by the three main factors discussed
until now: readers causal representation of the story, their moral judgment
about the characters (character valence), and readers emotional experiences.
In the following sections the story will serve as an example of the possible
consequences of role-taking.
To show the importance of a causal representation of a story let me quote
a passage from the end of the story (which in Chapter 5 will be used as
stimulus material in an experiment).
She rushed wailing out of the bedroom, darted past some stranger in the
dining-room and ran to her husbands study. He lay quite still on the sofa,
covered to the waist with a quilt. His face was terribly thin and sunken, with a
greyish-yellow hue never seen on living man. Only the forehead, black brows
and familiar smile showed that this was Dymov. Olga quickly felt his chest,
forehead, hands. His chest was still warm, but his forehead and hands were
disagreeably cold. And his half open eyes gazed at the quilt, not at Olga.

Not knowing what preceded or caused the situation may lead to a mere
rudimentary idea of Olgas emotion. Readers of this passage may presuppose
some melodrama, and infer the emotion anguish. Although there is undoubtedly a dramatic touch to the end of the story, readers who know more about the
causal antecedents will obviously have a more developed and complex mental
representation of Olgas emotions. Let me briefly summarize what these
causal antecedents are. The marriage of Olga and Osip Dymov is an odd
match. She has artistic ambitions and is portrayed by the narrator as someone
who is always on the lookout for the exceptional, the talented, and the
celebrated. Her husband is a hardworking physician. It soon becomes clear to
the reader that he does not really fit into the circle of exquisite acquaintances
Olga gathers around her. She is away from home frequently, taking her artists
to her cottage in the country to work on paintings. During one of her excursions Olga is courted by the painter Ryabovsky. She falls for his charms and
flattery. However, soon their relation deteriorates, and in a row she decides to
go home. She wants to confess to her husband, but cant. In the following
months she starts seeing her lover again. Dymov finds out about her infidelity

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The Moral Laboratory

but pretends he knows nothing, even as she and Ryabovsky behave themselves most suspiciously in his presence. Their marriage is becoming increasingly chilly. Dymov loses his lust for life, and fully concentrates on his work.
Olga is preoccupied with her declining affair. At one point she discovers that
she herself is being betrayed by Ryabovsky. She feels terribly humiliated.
That same day Dymov is taken ill. He has been careless in treating a diphtheria
patient. Olga is tormented by remorse, and she decides to be faithful ever after.
She suddenly becomes aware that her husband is a very special person.
However, her repentance comes too late. He dies.
Readers who now find Olga at the side of Dymovs death bed know the
causal antecedents of the situation: Olgas failure to appreciate her husband, her
infidelity, but also Dymovs incapability to deal with this, and the unfortunate
combination of these two strongly contrasting personalities in one marriage.
This allows readers to include Olgas emotions in their mental representation of
the story. Knowing the causal antecedents, they infer that she feels guilt and
despair. Despite the narrators ironic attitude toward Olga, and although many
of the events are not seen through Olgas eyes, readers are likely to empathize
with her at this point in the story. On top of just understanding Olgas emotions,
they may feel remnants of experiences of regret or loss, feelings caused by
neglect of their loved ones in favor of glamorously tempting but ultimately
insignificant things in life. Their response to these relived emotions is construed
as an emotional response to the emotions of Olga. This is what is called roletaking.

3.3 Effects on norms and values


3.3.1 Introduction
So far we have examined and exemplified how readers mental representation
of a story, their moral judgment, and their self are involved in forming an
empathic response. In doing so, we have laid the foundation and raised the
supporting walls of the Moral Laboratory. What follows is a two-phased
construction of what may be its furnishing. In the present section we will
discuss the effects on readers real-world moral judgment. Still down in the
fictional world readers may estimate characters moral worth and perhaps also
uncover what moral lessons these characters have to offer them (cf. Vipond &
Hunt 1984). As a result they will be more aware of their own norms and

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values, and they may adjust and refine their moral opinions. In Section 3.4 we
will probe into the effects on readers self-concept, since readers imaginary
participation in the fictional events may have consequences for the way they
see themselves.
Before studying effects of fictional moral judgments on real-world
moral judgment, let us briefly consider what ingredients readers use to form
their verdicts. To determine character valence readers may rely on their mental
representation of the story, or more specifically on the inferences they make
about characters intentions. Swap (1991) made two versions of a simple
narrative:
Steve is driving back to his fraternity when he sees someone fall on the ice and
hears her cry out. When he goes to investigate, the [heavy-set] [beautiful]
young woman is obviously in pain. Steve helps her into his car and drives her
to the hospital.

Real world

With the beautiful woman we may infer a possible ulterior motive for Steves
helping behavior. Swap found that readers rated Steve as more altruistic in the
version of the heavy-set woman. This illustrates that inferred intentions play a
significant role in determining character valence (see Figure 3.3; step 7).

Schematic memory
structures for human
emotions, goals, etc.

Norms and
values

Self-concept

6
2

3*

9*

Fictional world

Role-taking

Mental representation:
a) causality;
b) character emotions,
goals, situation.

Ink on paper

Figure 3.3

Text

Moral judgment:
a) character valence;
b) moral of the story

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The Moral Laboratory

To find the moral of a story, readers are required to estimate character valence,
but also to have a causal representation of the story. Results of Dorfman &
Brewer (1994) suggest that three components are necessary to understand the
moral of a story: the positive or negative valence of the central action (1); the
positive or negative valence of the story outcome (2); the consistency in
valence between action and outcome (3). Dorfman & Brewer used fables in
their experiments. Presumably similar mechanisms are at work in literary
reception generally. Information from the text is not all that readers use to
make up their minds about character valence and story moral. Readers will
also draw on their real-word norms and values (step 8). Although they know
fiction is not for real, the standards by which they measure fictional characters
and real-life human beings are not all that different (Schram 1985: 133178;
Beach & De Beaugrande 1987).
3.3.2 Three mechanisms
At this point the line of argumentation will turn around. No longer will we
look at how components of our model, like readers norms, form readers
response. Instead we will examine how this response may affect readers
themselves. We assume that the involvement of real-world norms in reading
narratives enhances ethical awareness: readers become aware of what norms
and values they endorse, or which ones they should endorse (step 9*). They
may suddenly realize that they have neglected a particular value, and that they
should change their priorities in life.
Chapter 2 quoted only two studies that provided direct evidence for
changes in norms and values, and one in which no effects were found.
Obviously, further research examining such processes is in order, especially
because there are several reasons not to expect that reading different kinds of
narratives equally affects readers norms and values. First, studies which did
show an effect used narratives with an overt moral. However, literary texts
typically do not express clear-cut norms. Second, some evidence suggests that
elements in literary texts that are assumed to challenge readers norms and
values are ignored or neutralized (Heuermann 1980). Berginz-Plank (1981),
for instance, showed that a potentially innovating narrative strategy in one
particular story was not even noticed by her subjects. Moreover, their ideas
about how the story would end revealed their desire to make the story fit their
own norms. This is in accordance with the cognitive dissonance theory, which

A Blueprint for Moral Laboratories

79

suggests that people ignore or neutralize information that challenges already


present beliefs.
Still, there remains sufficient ground to assume that reading literary
narratives, too, affects norms and values. First, because norms are involved in
the response process they may be expected to become more prominent in the
memories of readers (priming effect). Second, from the perspective of social
comparison theory (Festinger 1954), uncertainty about personal issues may be
expected to motivate readers to relate to a character or (implied) author and
deduce his or her view of the world. Finally, the mix of character behavior,
circumstances and consequences may put social learning mechanisms into
motion (Bandura 1977), thus affecting norms, real-world beliefs, as well as
behavior. These three grounds show some overlap, and differ in terminology
and emphasis. Together, though, they present a more complete picture of the
possible origins of effects found in some studies. I will discuss each of these in
turn.
Priming effect
Understanding a story includes abstraction from details to a theme or moral of
the story (Magliano et al. 1996). Readers may also infer the authors intentions. I conjecture that story theme and moral may prime readers personal
point of view. There does not seem to be any research available to support this.
However, in a field experiment Reno et al. (1993) found that exposure to a
breach of a norm (e.g., one piece of waste in an otherwise clean environment)
enhances awareness of that norm (thou shalt not litter here) and may even
affect behavior (inhibition of littering). How would this translate to the effects
of reading, in particular reading literary narratives? It may be that, for instance, the immoral behavior of some character is interpreted as a breach of
norms and thus cues the awareness of appropriate norms. In Chekhovs The
Butterfly we observe a vain and adulterous woman. Her conduct, as well as
the narrators characterization of her, may trigger knowledge of norms regarding marital fidelity. Similarly, in reaction to the perceived moral of the story
readers are likely to become aware of their own moral position, which does
not necessarily have to be the same (step 9*).
Social comparison
The second reason to assume an effect on norms through reading concerns a
motivational factor. Readers may find that the ethical issues at stake in some

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stories are especially relevant to their own concerns. This may motivate them
to pay close attention to the opinions of the characters or to the implied
attitudes, values and beliefs of the narrator or author. Given the subjective
nature of many of lifes essential issues, social comparison is often the only
way to evaluate our beliefs. And narratives seem a suitable vehicle for this
purpose. Readers of The Butterfly may have had experiences with oppressive, failing relationships. The course and causes of Dymovs marriage going
on the rocks therefore produce a personal resonance. Readers may become
interested in what Chekhov has to say on the matter, and thus they may be
inviting, or risking, a persuasive appeal to change their attitudes (cf. Zimbardo
& Leippe 1991: 130). Readers who think that a relation does not require a
good match of wedded couples interests and lifestyles, may reevaluate their
opinion after the scenario Chekhov confronts them with (step 9*). But of
course, whether readers are really interested in evaluating or merely validating
their opinion varies with their commitment to that opinion (Kruglanski &
Mayseless 1987). Moreover, social comparison is a process we selectively
apply (e.g. Sweeney & Gruber 1984). We are inclined to compare our opinions with people who are like us in some respect. When given the opportunity
to compare our opinions with others, we tend to choose those who share our
values, or who are in a similar position as we are. Thus, readers who are
familiar with Chekhovs work may know with which questions they can turn
to him.
Social learning
A third mechanism which may be at work in this part of the Moral Laboratory
is social learning. It has been shown in many experiments that observing
others (models) enables us to acquaint ourselves with new modes of conduct
as well as the matching consequences (e.g., Bandura 1965; Bandura et al.
1961 and 1963). We may imitate or inhibit model behavior, depending, among
other factors, on our expectations of either reward or punishment. Thus, we
learn behavioral norms. Social learning does not require models to be physically present. It also occurs when the experiences of others are represented
(e.g., on video), in which case we speak of symbolic modeling. Identification
is supposed to be conditional for, or even synonymous with social learning
(Bandura 1971). In other words, the more we put ourselves in the shoes of
models while they experience benefits or drawbacks from their behavior, the
more we learn about the consequences of these actions.

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81

Several social learning studies are concerned with the modeling of aggressive behavior. A typical example is Bandura (1965). Several groups of
kindergarten pupils saw a video featuring an aggressive adult model. The
behavioral repertoire of the model contained acts which were probably new
to the subjects. In one condition the model was rewarded for his behavior. In
the second condition subjects saw the model being punished for his conduct.
The third condition consisted of viewing the same video, except that the
models behavior was neither punished nor rewarded. Observation of the
subjects showed that rewarding of the models aggressive behavior led to
imitation. Social learning may also stimulate altruistic conduct (e.g., Bryan &
Test 1967; Rushton & Campbell 1977). As with aggressive modeling, imitative altruism also occurs when the model is not physically present but represented on video (Rushton & Owen 1975).
It is possible that social learning is at work in readers responses to
narratives too (cf. Mischel 1966; Flerx et al. 1976). Narratives consist of
linguistically represented sequences of actions. Readers find causal relations
between the events. From this they learn, for instance, which actions could
lead to which consequences. In The Butterfly they see how Olgas exuberant
attitude toward the famous and glamorous, her romantic whims, and her
misjudgment of Dymov causes the loss of what is (or should be) most precious
to her, namely her husband. Thus, Olgas downfall makes readers see what
values are insignificant, and which norms may be wrong, or remind them of
what really counts in life (step 9*). Presumably, if role-taking is involved,
these processes become more relevant to readers personally. Of primary
importance is, then, what they consider they would have done in certain
situations themselves, whether they would fall into these particular traps in life
(see Figure 3.4; step 10*).
If changes in norms and values occur in the reader, whether mediated by
changes in self-concept or not, these are likely to affect readers behavior
(step 11).12
What if Chekhovs experiment had had a different ending? Olga might
have found a lover to whom she could relate and who was reliable as a friend
at the same time. A Chekhov thought-experiment with such an outcome would
be unthinkable. But what would readers learn from the experiences presented
in a modern story like Ann Beatties Learning to Fall? The story describes
how the female protagonist doubts whether she should leave her husband for
her lover, Ray. At the end of the story she does go out with him and seems to

The Moral Laboratory

Measurable effects

82

Behavior, opinions,
beliefs, social
perception, empathic
ability

11

Real world

10*
Schematic memory
structures for human
emotions, goals, etc.

Norms and
values

Self-concept

6
8

3*

9*

Fictional world

Role-taking
5

4
Mental representation:
a) causality;
b) character emotions,
goals, situation.

Moral judgment:
a) character valence;
b) moral of the story

Ink on paper

Text

Figure 3.4

Figure 3.4

have made up her mind about divorcing her spouse. Readers are likely to
evaluate this as a happy ending. Throughout the story we get to know the
female character as someone who is trying to keep control over her life. But
what she really needs is to learn to fall, that is, she has to learn to give in to
her deepest felt emotions, come what may. Readers know her husband to be a
colorless and unfeeling business man she has become estranged from. They
get to know Ray as a friendly, easygoing person whom she becomes attached
to. Their walking off together on the last page of the story obviously makes a
happy ending. According to social learning theory, we would expect that this
story results in a social learning experience that is different from the one
resulting from reading The Butterfly. Significantly, the author of Learning
to Fall does not punish the adulteress, nor does she let her return cap-inhand to her husband. Instead it is made clear that she has better chances of

A Blueprint for Moral Laboratories

83

being happy with Ray, because she can relate to him. Thus, the story may
reshuffle readers personal values, and order them differently than The
Butterfly does.
In most literary narratives, however, it is not the case that mischievous
characters end badly, and that the virtuous live happily ever after. Often it is
even quite hard to tell these groups of characters apart. Conditioning (reinforcement) of the reader through character behavior, as described in literary
narratives may therefore be unlikely. One could therefore expect that the
relevance of the social learning hypothesis is restricted to didactic poetry,
fables, and classical Hollywood movies, rather than to literature.
However, apart from effects based on reinforcement, observing others
may have another interesting effect, one not represented by step 9*. Concluding Banduras (1965) experiment, all subjects were offered a reward by the
experimenter for each physical or verbal imitation of the model. This eliminated differences between the groups altogether. In all three groups a similar
amount of imitative learning was observed. So, the reinforcement (punishment or reward) of the model influenced subjects imitation but not the
acquisition of matching responses. When the situation demanded imitation
(an explicit request of the experimenter) subjects revealed they had learned
from what they had seen. Observational learning results in knowledge about
which action leads to which outcome under particular conditions. Consequently, the lesson represented by the experiences of characters need not be
a moralistic one. Literary texts offer a wide gamut of behavioral situations,
which few readers are familiar with. Having read widely may therefore be
associated with a broader knowledge of human behavior. Readers may become familiar with the conduct of people confronted with all sorts of events in
life. Readers observe what characters do when confronted with temptation,
suffering, depression, moral dilemmas, their own incapacities, and so forth.
Furthermore, readers learn what the possible consequences are of certain
actions in certain circumstances. This acquisition of insight into the human
psyche through observation (step 3*) is a pre-ethical effect. In other words,
it facilitates adequate ethical inquiries.
In sum, reading literary narratives makes ones norms more readily
accessible in memory. Second, it may encompass value clarification. And
third, reading these narratives may mould beliefs about which actions have
desirable or undesirable implications.

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3.4 Effects on self-concepts


3.4.1 Introduction
The Moral Laboratory can only work properly if readers connect the fictional
experiments with the world outside. In the previous section I proposed that
moral judgments pertaining to characters and their behavior are likely to affect
real-world norms and values. Another connection is that the Moral Lab
experiments may partly pertain to readers self-concept. Stories give readers
the opportunity to participate in an imaginary role-play where they can try out
new roles, the outcome of which becomes an intense, personalized confrontation. It may be that the involvement of readers self-concept causes stronger,
more internalized effects than some of the effects discussed before, such as the
effects on real-world knowledge and norms. In this section I will discuss how
reading may change the way readers perceive themselves (3.4.2) and what
pre-ethical and moral consequences this may have (3.4.3).
3.4.2 Definition of self-concept
An engaged, empathic response to characters may cause changes in a selfconcept. This bold claim needs immediate modification, however, because
there does not seem to be any direct evidence in its favor. Moreover, effects of
stories are probably marginal compared to other social influences. A persons
self-concept is to a large extent derived from social interaction, for instance
with parents (Stryker 1980). Furthermore, some real-life experiences may
have far more impact than reading a text. Finally, we should consider the
possibility that readers see their reading experiences as a retreat from their
real-life concerns, rather than as having implications for those affairs. In
several studies quoted in Chapter 2 subjects were specifically instructed to
connect the problems characters have with their own situation; perhaps readers need a special incentive to link the fictional world to their personal lives.
Still, there are strong arguments to suppose that reading narratives can
enhance changes in the way readers perceive themselves. To explain this, let
me first specify the term self-concept. Self-concept need not be restricted to
what we are, or think we are (cf. Markus & Nurius 1986; Markus & Wurf
1987; Porter, Markus & Nurius 1984). Assessment of personality is often
confined to asking subjects whether certain items describe them. A more
complete picture of a persons self-concept emerges from research that in-

A Blueprint for Moral Laboratories

85

cludes not only present selves, but also past selves (asking subjects does
the item describe you in the past?) and possible selves (could the item
describe you in the future?). Past selves add an important dimension to the
description of someones personality. At one point certain self-concept items
may not apply anymore, but can still be important. Being the best in your
class may not apply to you right now, but you may remember a time when it
did. These past selves may be significant to how you see yourself today, for
example, as someone who is capable of being the best among your peers.
Selves like Being rich, Being an intellectual and Being a philanthropist
may not describe you at the present, but they still may represent some of your
most important goals and values in life, and thus affect behavioral choices.
These possible selves may include ideal selves, but also the selves you are
afraid of becoming. Finally, we may distinguish not-me selves, those selves
you are definitely not. Some selves are more important to us than others.
Through time they may move between center and periphery of our self-

Real world

Behavior, opinions,
beliefs, social
perception,
empathic ability

11

10*

Schematic memory
structures: human
emotions, goals, etc.

Norms and
values

Self-concept

12*
8

3*

9*

Fictional world

Role-taking
5
4
Mental representation:
a) causality;
b) character emotions,
goals, situation.

Moral judgment:
a) character valence;
b) moral of the story

Ink on paper

Figure 3.5

Text

Figure 3.5

86

The Moral Laboratory

concept. Also, which selves are active is determined by the situation we are
in. Being among your colleagues brings out other selves in you than being
among your family. Thus our self-concept is not a static unity but a dynamic
conglomerate of selves undergoing temporal and situational changes.
Reading stories, my model proposes, may be responsible for changes in
readers self-concept (see Figure 3.5; step 12*). We already saw that while
readers are involved in role-taking they retrieve past emotional experiences
(step 6). This may enhance the accessibility of certain past selves, depending
on the story they read. Besides activation or priming in memory, readers
selves may also undergo actual changes. Retrieving experiences in the context
of a story may shed new light on them. This process of self-concept clarification or transformation may take place on a preconscious level, as some
theorists have suggested (cf. Alcorn & Bracher 1985; Bleich 1980; Holland
1985; Oatley 1994; Scheff 1979). Reading narratives may produce a new
understanding of oneself, a genuinely new conception of ones values and
prejudices. Rather than merely reliving old emotions from the past, readers
bring them forward in the present and apply them to new contexts. This may
create new, refined self-schemata.
Having specified self-concept and self-concept change, let me now review some reasons to believe that reading stories may cause a change in selfconcept. First, readers sometimes report having experienced changes in the
way they perceive themselves (Miall & Kuiken 1995). Second, research on
empathy suggests that, generally, empathic responses to the emotional experiences of another person require the observer to integrate memories of related
personal experiences (Zillmann 1991). If the observer simply does not have
experiences directly resembling those of the observed, more remotely related
experiences are called on. Thus, if readers empathic response to characters is
anything like such responses to real humans, it may involve the integration to
past emotional experiences too. This integration opens the way to changes in
past selves. Third, there is some evidence that narratives may affect possible
selves. Gregory et al. (1982) showed that to imagine experiencing certain
scenarios may lead us to believe more strongly that the events could actually
happen to us. In several experiments subjects were asked to imagine experiencing certain events described to them in the second person, on tape or in a
script. For example, in one study subjects read a script about being arrested for
either petty theft or shop lifting. The control condition consisted of reading a
script about shopping or interviewing for a job. To keep the subjects unaware

A Blueprint for Moral Laboratories

87

of the purpose of the experiment, they were asked to rate the comprehensibility of the text. The same day subjects were called at home and asked by an
alleged associate of an institute for public inquiry to participate in a survey on
judicial reform. A list of nineteen crimes, among which shop lifting and petty
theft, was read to the subjects. Subsequently, they were asked what penalties
they considered appropriate, whether they knew anyone who had been arrested for that particular crime, and to rate the probability that they could
someday be arrested for that crime themselves (not how likely it was that they
could actually commit the crime). Each interview was closed with a suspicion
probe to test whether any link with the laboratory study was suspected.
Subjects in the experimental condition gave higher probability ratings for a
possible self being arrested for petty theft or shop lifting. No significant
difference was found in the sentences recommended for the various crimes.
So, imagining possible scenarios for the self may affect our estimate of their
likelihood. The studies by Gregory et al. show how this may occur for both
positive (e.g., winning a contest) and negative possible selves (e.g., being
arrested for a crime). Does this suggest that readers role-taking while reading
narrative fiction may also make them believe more strongly in certain possible
selves? It can be argued that Gregory et al.s findings cannot be generalized to
reading fiction. The scenarios subjects read were written in the second person,
a form we find in few literary texts. Moreover, the experimenters instructed
subjects either to judge the plausibility of the scenario, or to imagine it happen
to them. It remains unclear to what extent this instruction contributed to the
effects, and whether it would resemble normal reading strategies. However,
an indication that the effects on possible selves may occur in reading other types
of stories as well, and without any unusual reading instructions, can be found
in the results of Ashby & Wittmaier (1978; see also Chapter 2). In this
experiment one group of subjects read stories about girls in traditional, a second
about girls in nontraditional roles. Female subjects in the nontraditional group
expressed their preference for nontraditional roles more often than their
traditional counterparts in the other group. For instance, their expectation as to
what sort of jobs they could have in the future proved to be less restrained by
conventional norms. Perhaps it is not too far-fetched to conclude that subjects
acquired some new possible selves due to their reading.

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3.4.3 Implications of self-concept change


Why should effects on the way readers perceive themselves be of any interest
to our present purposes? Some changes in self-concept have implications for
morality and ethics. In the next sections I will discuss the consequences for
readers norms, their behavior, and their social perception, that is, their
perception other peoples emotions, motives, and thoughts. The psychological
processes mapped out in this chapter will be connected with some of the
moral, ethical, and pre-ethical effects discussed in Chapter 1 and 2.
Self-concept and effects on norms
Chapter 2 found very little evidence for effects of reading narratives on norms
and values. Perhaps the present argument for a mediating function of role-taking
(and thus of self-concept: steps 4, 12*, and 10* as an alternative for steps 7 and
9*) in the effects of reading on norms and values can help research to center on
such effects more precisely and more successfully. For the time being, I
maintain that readers role-taking affects their norms and values (step 10*).
Central to the model is that the involvement of role-taking makes reading
fiction especially powerful. If reading includes something like an ethical
thought experiment, readers may wonder what they might have done in the
given circumstances. This causes a more personal awareness of norms than
the priming effect described before; the awareness does not pertain to the mere
appropriateness of certain norms (e.g., I think it is not seemly to commit
adultery), but rather to what readers, for themselves, feel to be an important
norm (I will never commit adultery, because that would be so not-me.)
To explain this, let us explore an analogy between role-taking and roleplaying. Readers role-taking is not the same as role-playing, but there are
some striking similarities. Mentally (and physically) playing another persons
position causes lasting changes in attitudes and behavior. McGuire (1985), for
instance, showed that actively constructing and improvising a role can be
more effective in changing attitudes than passive exposure to persuasive
communication. Having enacted someone elses role generates arguments for
a certain position we may come to attribute as being really our own (selfattribution). While improvising, role-players may come up with convincing
arguments themselves; creating ideas and feelings for oneself makes them
more salient, more personally relevant, and more memorable (self-persuasion). This causes a greater impact on role-players opinions. For instance,

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Measurable effects

playing the role of someone who is informed that (s)he will die of lung cancer
has a stronger and lasting impact on attitudes and behavior than simply being
aware of the health risks of smoking (Mann & Janis 1968).
Readers role-taking also involves mentally placing oneself in someone
elses position. We have seen that readers who identify with characters
perceive things through their eyes. They actively infer goals and thoughts of
the characters and evaluate events from their perspective, as actors rather than
observers. This is what happens when we play a role too. Therefore, analogous to the effects of role-playing, taking the role of a character may have
strong effects on how we see ourselves (step 12*), and thus on our norms and
values (10*).

Behavior, opinions,
beliefs, social
perception, empathic
ability

14

Real world

13*

11

10*

Schematic memory
structures: human
emotions, goals, etc.

Norms and
values

Self-concept

12*
8

3*

9*

Fictional world

Role-taking
5

4
Mental representation:
a) causality;
b) character emotions,
goals, situation.

Moral judgment:
a) character valence;
b) moral of the story

Ink on paper

Figure 3.6

Text

Figure 3.6

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The Moral Laboratory

Also, knowing how we ourselves would feel and think in a certain position
affects what we believe others think and feel (step 13*), and thus changes our
social perception and behavior (see Figure 3.6; step 14). These effects involving role-taking and self-concept, I propose, are stronger than effects following
the mere comprehension of a story (step 3* plus 14), stronger also than the
effects of mere persuasion (9* plus 11).
What we think, feel, or believe about ourselves (that is, our self-concept)
is among the most powerful regulators of our behavior (Markus & Wurf
1987: 308). There is quite convincing evidence that, as the model suggests,
changes in self-concept lead to changes in norms and values. An example of
this relation between self-concept and norms is presented by studies of
prosocial behavior (see Bierhoff 1996 for the pertinent research). For instance,
in an experiment by Sarason et al. (1993) subjects were asked to complete a
questionnaire about themselves related to altruism. As a result of this manipulation subjects showed more willingness to donate blood. This suggests that a
changes in the accessibility of selves may affect behavior. Another example
can be found in what is known as terror management research. A substantial
body of studies has demonstrated that the priming of ones own mortality (a
future self) has a broad influence on norms and social behavior (see Greenberg
et al. 1997). It is assumed that these effects are sparked off by the desire to
perceive oneself as a valuable member of a meaningful universe in the service
of ameliorating the potential terror associated with the awareness of death
(80). Baldwin & Wesley (1996), for example, showed that reading a text
describing a persons thoughts regarding death polarized moral judgments
about others: a more positive view of a social hero and a more negative verdict
of a moral transgressor. For the present argument it is important to notice that
changes in readers self-concept may indeed strongly affect norms (step 10*),
and thus affect social perception (step 11).
There are also investigations showing how changes in self-concept do not
affect norms, however. Gregory et al. (1982) found that the impact of scenarios on self-relevant imagination does not necessarily change moral judgments. After exposure to a shop lifting scenario subjects did believe they could
be arrested for shop lifting, but they did not change their opinion about the
appropriate penalty. Analogously, reading The Butterfly may help readers
understand how an adulteress may view the world. It may also help them
understand how they might act similarly under comparable circumstances.
But it does not necessarily change their aversion to adultery. Clearly, the

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available evidence leads to some contradictory predictions (I will come back


to this in Chapter 5).
Self-concept and effects on behavior
Changes in self-concept have consequences for behavior (step 13* plus 14; or
10* plus 11). This forms the second connection between the psychological
processes described by the model and the claims of Chapter 1 and the findings
of Chapter 2. The review of Chapter 2 mentions only few studies showing that
reading narratives can affect readers conduct. However, following the argument of the Moral Laboratory theory, such effects do seem plausible. Moreover, some experimental evidence suggests that change in self-concept
enhanced by reading narratives leads to behavioral consequences. In a field
experiment conducted by Gregory et al. (1982) the experimenters compared
the effects of businesslike information about cable television to a scenario
describing subscription to cable TV and the enjoyment of all its benefits.
Imagining themselves in the scenario subjects thought it more likely they
would one day be a cable television subscriber. After six weeks, standard
door-to-door marketing resulted in significantly more subscriptions to cable
television in the scenario group as compared to the information group. When
we realize that readers frequently imagine that fictional events are actually
happening to them (e.g., Miall & Kuiken 1995) and consider the results of
Gregory et al. it may be assumed that reading stories has behavioral effects.
However, there is little empirical evidence, let alone any meta-analytic
review to support this. Two studies examined effects of reading on readers
conduct. Wiley (1991) found no significant changes in helping behavior.
McArthur & Eisen (1976) did find effects on subjects behavior; subjects
persisted longer on a difficult task after reading a story with a same-sex,
achieving character. It may be that an achieving model primed certain
achieving selves in subjects working self-concept (cf. Markus & Kunda
1986; Markus & Wurf 1987: 309). Being subsequently put in a context in which
subjects persistence was put to the test, the shifts in their self-concept revealed
themselves in a determination to finish their task with success. However, it
should be noticed that a change in self-concept may not always be enough to
change behavior. We can say one thing about ourselves, and do another. Such
discrepancies can easily be ignored. Only if we are confronted with them may
we start to modify our behavior (e.g., Dickerson et al. 1992; Stone et al. 1994).

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Self-concept and effect on social perception


Now we come to the third and final connection between the information
provided in the previous chapters and the psychological processes described
in the present one. The proposed model may explain why reading narratives
was found to change attitudes toward outgroups and enhance moral development and empathy (see Chapter 2). It was suggested that the enhanced scores
for moral development on Kohlbergs model can be attributed, in part, to an
enhanced ability to put oneself into another persons position. Scores on
empathy measures depend on that ability too, and decreases in social distance
toward outgroups are indicative of an increase in perceived similarity between
readers and outgroup members.
There are three lines of reasoning supporting the proposal that reading
narratives enhances social perception. First, there are strong indications that
our self-concept is related to social perception (Markus & Sentis 1982): our
self-concept defines our interpretation of the world, e.g., which stimuli we
select for attention, which are remembered best, and what type of inferences
we draw. The complexity of our self-concept is a prerequisite for the complexity of attributions we make (cf. Beach & Wendler 1987): we cannot make
more complex inferences about others than we can make about ourselves.
Thus, if it is true that reading narratives may develop our self-knowledge, that
is, make it more complex, this must also have a bearing on the complexity of
our social perception.
Individual differences in content of self-concept also cause differences in
attribution ability (see Markus, Smith & Moreland 1985 for a review). People
tend to attribute their own feelings, thoughts, and behavioral motives to others
(projection). They often use the same categories for describing other people
that they use in describing themselves. Furthermore, people holding a strong
attitude about themselves tend to focus on contrasts between their attitude and
those of others (self-clarification). Thus, changes in readers self-concept may
lead to perceptional expertise in a great number of areas. For instance,
individuals who have well-differentiated self-schemas for introversion []
become sensitive to introversion, acquire a large store of knowledge about it,
and by that develop a type of expertise for introversion. Nearly everyone will
have some general knowledge of the prototypical attributes of introversion,
but this knowledge will be particularly dense and richly textured for those who
have defined themselves in this domain (Markus et al. 1985: 1496). Similarly, reading a book about an introvert, like Kosinskis Being There, may

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easily enhance such a self-definition, either negatively (this is not like me)
or positively (this is just like me). In both cases, self-schemata become more
well-differentiated. This knowledge may become abstracted or extended to
people in general (step 13*). A sensitivity for introversion symptoms and
knowledge of its causes and consequences is necessary (though not sufficient)
to appreciate others susceptibilities (step 14). If we lack such perceptiveness,
we cannot even help being tactless.
A second reason to believe that reading narratives enhances a certain
sensibility for others emotions and goals, is that readers are repetitively
involved in role-taking. Feshbach (1978) showed that frequent engagement in
perspective taking may cause us to apply such considerations effortlessly and
habitually (compare Chapter 2: results of empathy and moral development
research).
Third, it seems that social perception largely depends on the scenarios
people have at their disposal. Empathy is mainly an emotional response to
simple perceptual cues. Interaction with other people refines our perception of
such cues in facial expressions, tone of voice, and body posture. To explain
why, for example, someones face shows signs of distress, we need to make
causal attributions. To make such attributions we need access to knowledge of
scenarios (Hoffman 1987; step 14). For example, adequately responding to a
victims distress signals requires that we understand who or what causes the
victims plight; we need to consider how the victim-culprit relation came
about, something that may put things in a perspective different from the one
perceived in the immediate situation (e.g., a victim may actually be the
culprit). To do this we construct scenarios, imagine little stories that constitute
a fundamental aspect of moral reasoning (cf. Vitz 1990). It can be argued that
literature is a rich source of possible scenarios with which we can imagine
causes of an ethical situation. There are stories in which adulterous women are
portrayed as vain and selfish creatures. Other stories make clear they can have
legitimate reasons to search for another partner. Readers who read broadly get
a varied imaginary diet (cf. Booth 1988). They not only become broadminded as to their self-concept, but also as to what moves others, how they
may try to attain their goals, and what may come of it.
If reading narratives has effects on social perception, this has important
consequences. Empathic arousal, at least in adults, consistently leads to
prosocial action (Batson et al. 1981; Eisenberg & Miller 1987; Hoffman
1977). Although there is no evidence that reading stories may enhance altruis-

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tic behavior (Wiley 1991), reading stories containing prosocial dilemmas was
found to enhance motivation for prosocial behavior (Bilsky 1989).

3.5 Five assumptions left


The model I have outlined accounts for many of the effects proposed in
Chapter 1 and for the experimental results discussed in Chapter 2. However, it
should be stressed that not all the evidence used in building the model pertains
to reading processes. Also, the model has some missing links, parts that are
not supported by evidence. Most of these missing links, which at present can
be phrased only as assumptions, are located in the upper part of the diagram, at
the junction of the fictional world and the real world:
1. Priming of knowledge of human emotions, motivation, and thoughts
Forming a mental representation of a story involves inferences. Many of
these inferences are related to knowledge of the human psyche, like the
goals people may have, and what emotions they may have in a given
situation. Making these online inferences develops readers knowledge
and makes certain parts of it readily available in memory (step 3*). These
effects were defined in Chapter 1 as pre-ethical and may have played a role
in some of the experiments reviewed in Chapter 2 (see discussion of
research on moral judgment and empathy).
2. Priming of norms and values
Readers moral judgment about characters (step 9*) has an effect on
readers norms and values: readers may be reminded of a particular norm
they have (priming effect); they may compare their norms and values with
that of a character or implied author (social comparison); they may learn
new types of behavior, about what consequences these have and thus
discover behavioral rules (social learning). Pertinent experimental research establishing this is scarce. However, outside empirical studies of
literature there is a considerable amount of evidence on the basis of which
I would like to postulate that these effects do occur (see Chapter 2: research on norms and values).
3. Self-concept: clarification or change
Reading narratives produces changes in readers working self-concept
(step 12*). Norms and knowledge of human emotions and thoughts may

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be primed by essays and narratives in general. But central to the Moral


Laboratory theory is that readers participation in the fictional events (roletaking) has effects which have a more profound impact on both their norms
and their knowledge of human emotions and thoughts, and that these are
mediated by changes in self-concept (see Chapter 2: research on sex-role
perception and self-esteem).
4. Moral self-knowledge
Through the involvement of readers self in the narrative events, they will
come to realize their own norms and values (step 10*). For instance,
readers may wonder what they would do under the given circumstances.
The more readers participate in the fictional experiences of characters, the
stronger the priming of their norms and values, and the stronger the social
learning effects (see Chapter 2: research on norms and values).
5. Social perception
Changes in readers self-concept or self-concept clarification may cause
readers to generalize what they know about themselves to other people
(step 13*). These changes in their semantic knowledge, or schemata for
human emotions and motivation, will affect social perception and thus
social behavior (Chapter 2: research on attitudes toward outgroups, moral
judgment, and empathy).
The following two chapters describe experiments in which these missing links
are scrutinized. Chapter 4 looks at the effects of stories on social perception
(steps 3*,12*, and 13*), while Chapter 5 focuses on the effect on moral selfconcept (steps 9*, 10*, and 12*). In both cases it will examined whether
participation in fictional events contributes to the effects of reading.

Notes
1.

Motto to E.M. Forsters novel Howards End [1910].

2.

Zillmann (1994) provides reasons why we should use identification sparingly, arguing
that the Freudian ego-confusion associated with identification cannot be an accurate
description of readers responses to stories. This becomes apparent in cases of a discrepancy between readers and characters knowledge. A character may, for instance, be
unaware of the danger (s)he is in; still, readers may respond empathetically to the
impending danger. This response seems more like that of an observer than the result of
entering the totality of the characters existence. So, readers do not confuse their self
with that of the character. However, it still may be the case that identification is a

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transient, off-and-on phenomenon, with readers feeling like being the character, and then
withdrawing again. The matter will be dealt with later on in this chapter.
3.

Tulving (1983: 9) proposed, on the basis of extensive experimental evidence, two different kinds of human memory. Semantic memory contains our knowledge of the world and
is independent of our identity and past, while episodic memory involves all our knowledge that is associated with personal happenings and doings.

4.

Online inferences are made during the processing of the text. Offline inferences are
made when the reader has stopped reading.

5.

Compare Zillmanns (1994) objection against implications of the Freudian concept of


identification (see note 1).

6.

Also quoted in Magliano et al. (1996).

7.

See Zillmann & Cantor (1977) and Zillmann & Bryant (1975) for similar patterns in
responses to filmed characters.

8.

A similar interplay between readers background and response can be found in response
to film (Sapolsky & Zillmann 1978). Their subjects were shown a medical film about
childbirth. Subjects with personal experience in this field showed more intense physiological responses and empathic involvement than the group who lacked the experience
of giving birth. All this leads up to the conclusion that availability (in memory) of
relevant emotional experiences facilitates responses readers (or observers) may construe
as an empathic response, that is feeling for or feeling with the character or other.

9.

One possible problem for the model is that generally perceived resemblance is sufficient
for empathy. Obviously this downgrades the importance of actually shared emotional
experiences. Krebs (1975) showed that subjects who were made to believe that another
person had similar results on a psychological test, had more physiological empathic
responses to that person than subjects who thought that this person had test results
different from their own. Similarly, Jose & Brewer (1984) found that perceived similarity
(sex, age, moral valence) contributed to readers experience of becoming the character.

10.

Notice, however, that it is difficult to nail down the responsible variable here: is it literary
socialization, age, or both? Earthmans (experiment does not allow a definite answer.

11.

See Tan (1995) for the distinction between artefact-emotions and fiction-emotions in
classical Hollywood movies.

12.

It is important to note that the correlation between norms, values and behavior may be
depending on certain conditions; see Stahlberg and Frey (1996: 224237) for a discussion.

Chapter 4

Understanding Others

An advantage of more prolonged encounters with Proust or Homer is that


worlds that had seemed threateningly alien revealed themselves to be essentially much like our own, expanding the range of places we feel at home. It
means we can open the zoo gates and release a set of trapped creatures ()
who we had previously considered with unwarranted provincial suspicion,
because they had names like Eurycleia and Telemachus or had never sent a
fax.
Alain de Botton1

4.1 Introduction
Sometimes, when reading a novel or short story, we find that the author makes
some profound observations about human character. Over the following days
we may notice that our reading has somehow tuned our attention to certain
psychological features of the people around us. In Chapter 1 I pointed out that
this may be one of the functions of narratives. Reading offers a unique
opportunity to study peoples motivations and emotions from within, thus
enhancing an understanding of our fellow human beings. Presumably, this
understanding has some beneficial effects. Several philosophers and literary
scholars have argued that identification with characters enriches our moral
awareness. While reading we find ourselves in the shoes of a wide diversity of
people. Thus, we get better and better at understanding moral situations from
different points of view. In addition, we may come to see that people belonging to some outgroup are actually not much different from us. This may be the
psychological basis for social solidarity.
These statements generate some interesting questions, especially when
one considers the importance and the extent of the alleged effects. First, does
reading narrative texts really affect the way we perceive others? Second, if
reading affects our social perception, what is the role of identification in this?

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As to the first question, Chapter 2 reviewed a variety of research findings


showing that reading narratives does affect social perception. For instance,
there is good evidence that reading stories with positive portrayals of
outgroups leads to a reduction of social distance. In other words, readers of
such stories perceive outgroup members as more similar to themselves. It may
be assumed that this has moral implications. Batson et al. (1981) found that
subjects who were led to believe that someone shared many of their attitudes,
were more likely to help this person by taking her place and undergo a painful
treatment. Chapter 2 also discussed several experiments demonstrating effects
on sex-role perception. Reading stories about women in nontraditional roles
has an effect on readers beliefs about what roles are appropriate for men and
women. Interestingly, this had consequences for beliefs about other peoples
feelings, too. Subjects were, for instance shown pictures of women in traditional or nontraditional roles. When asked whether the women in nontraditional roles were likely to be happy, readers of nontraditional stories inclined
to answer in the positive. Readers of traditional stories expected them to be
unhappy. Finally, several studies show that literature-based curricula enhance
subjects scores on moral development tests. Generally, these test scores are
indicative of subjects ability to put themselves in the position of others and to
figure out what goals and emotions they may have. In sum, there is reliable
evidence to accept that reading narratives affects the way we perceive others.
As to how these effects occur, we know very little. Chapter 3 argued that
there are two ways in which changes in readers beliefs about other peoples
emotions may come about. First, online story comprehension requires retrieval of schematic knowledge structures for emotions and goals people have.
This may cause a priming effect: an increased accessibility or awareness of
knowledge already present in memory. It may also cause a learning effect, in
which case the story provides new information about how people may feel in
certain situations. The model proposed in Chapter 3 stresses the importance of
yet another mode of influence. Changes in beliefs about others, it was argued,
are primarily caused by an imaginary participation in the experiences of a
character. This role-taking process relates story events to personal emotional
experiences (see Figure 3.6; step 12*). Thus, readers come to elaborate on
how they would feel in situations similar to that of the characters. Supposedly,
this has stronger effects on readers beliefs about others (step 13* and then 14)
than the mere priming of schemata in the service of basic text comprehension
(step 3* followed by 14).

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How do we find out? The first mode (priming and acquisition of information about how others may feel and think) should work for stories, but also for
essays, that is, texts without characters. If an essay addresses human concerns,
readers may form a mental representation of the emotions people may have.
This requires them to activate their knowledge, just like reading narratives
would. Thus, essays and stories may have the same effect on readers social
perception, but reading stories also allows for role-taking. To examine the
influence of role-taking in changing beliefs about other people, three experiments were conducted. The first one compares the effects of a story and an
essay on social perception. Both texts concern the same issue, so that the same
schemata will be activated in readers memory. The crucial difference is that
one text has characters (the story), and the other does not (the essay). It is
predicted that the one with characters in it will cause stronger effects on
readers beliefs about what it must be like to be someone else.

4.2 What do we need stories for?


4.2.1 Study one
The texts used in the experiments concern the position of women in fundamentalist Islamic countries. The story is the first chapter of Malika
Mokkeddems novel De ontheemde (The Displaced).2 It describes the distressing experiences of an Algerian woman, Sultana. She has lived in France
for years, but has returned to her hometown to attend the funeral of a good
friend. But as soon as she sets foot in Algeria, she is pestered by hostile men.
Religious leaders of the town do not allow her to go to the funeral. She does so
anyway, which causes a very tense situation with much anger and grief.
Sultana is the first-person narrator of the story, so readers have access to her
thoughts and emotions while she is being harassed by a taxi driver and abusive
street boys, and as she gets enraged when the mayor of the town wants her out
of the funeral procession.
The essay is Chapter 2 of Jan Goodwins De tol van de eer (The Price of
Honor),3 taking, by necessity, a much more general view of the matter. The
argument does not concern one woman and the particular vicissitudes of her
life, but discusses the results of studies that show how women have fewer
rights than men in fundamentalist Islamic countries. It sets out to state that

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Islamic law dictates equal rights and behavioral norms for both sexes.
Nonislamic practices, however, turn women into second-rate citizens. The
author stresses that there is a growing awareness of this injustice and that the
underlying norms are far from unanimously accepted. She mentions public
debates, attempts at innovations, and describes the rise of feminism and its
accomplishments, for instance, in the rising number of women in higher
education.
The subject of the two texts is (roughly) the same, the attitude of the
authors is the same, and also some of the indicated disparities between the
sexes are the same. However, while the essay makes general statements, the
story illustrates these in terms of Sultanas own experiences. Therefore, one
would expect readers of both texts to adopt similar beliefs concerning
womens position in fundamentalist cultures. But additionally, the story offers
readers an opportunity to enter a fictional world and experience for themselves
what that position would be like. The essay does not offer that opportunity, but
directly provides the information required.
The essay was shortened, first, to eliminate passages that did deal with
experiences of individual women (short narratives or case-studies), and
second, to make it approximately as long as the story (5500 words). Furthermore, the name of the author was changed into that of an Arabic woman
(Soraya Faisal), so as to make both texts appear to be utterances made by
women from Islamic countries.
Subjects
In the first experiment 56 college freshmen participated. They were enrolled
in a course at the Faculty of Arts at Utrecht University. They took part in the
experiment as an introduction to the empirical study of literature. To keep the
sample as homogeneous as possible, subjects over 26 years old were excluded.4 This brought the sample down to 55 subjects, with an average age of
20. The group consisted of 47 female and 8 male students.5
Measures
Beliefs about others It was expected that reading the texts would change
subjects beliefs about the emotions, thoughts and goals of women in Islamic
countries. To examine this, subjects were given a role-taking task. They were
asked to consider for a moment what it would be like to be a woman brought
up in Algeria. They then rated the possibility that, if they had been brought up

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in Algeria, they would:


(1)
(2)
(3)
(4)

fully accept the man-woman relations as normal;


be able to follow an education of their own choice;
resist the underprivileged position of women;
would consider emigrating to a country where men and women have
more equal rights.

All these possible selves are reflected in the character of the story and in
what the essay says about women in Islamic countries. The model predicts that
subjects of the story group would give ratings that reflect Sultanas emotions,
thoughts and circumstances. For instance, it is clear from the story that she
does not reconcile herself to the norms of her culture. The essay describes
rising feminist resistance, but because it does not provide an opportunity for
role-taking, it is less likely to color readers notions about women in Algeria.
Therefore it may be expected that the story readers will agree less with the first
statement than the essay readers will. To test whether any such difference
between the groups of readers are actually due to coincidence instead of
treatment, analyses of variance were run on subjects responses (Noruis
1993: 281290). Although the items are all inspired by the main character in
the story, each presents a distinct belief about women in Islamic countries. For
example, believing that these women are not likely to accept cultural norms
for man-woman relations is quite something else than believing they are likely
to want to emigrate. In the analysis, therefore, the four items are treated as
separate variables.
Solidarity If readers become more aware of the emotions and goals of
women in Islamic countries, this may increase feelings of solidarity for these
women. To test this, subjects were asked whether they favored giving such
women asylum, and whether developmental aid should be increased and
aimed at emancipation. Again, I think these two items present very different
aspects of solidarity and therefore they are treated separately in the analysis.
Beliefs about Islam Two questions were included to see whether the
treatments affected real-world beliefs: the position of women in an Islamic
country (Algeria) as compared to nonislamic countries (e.g., Nepal and Italy);
and the degree of Islamic diffusion in a number of nations around the world.
Egalitarism The involvement of readers moral judgment may cause a
priming of their norms. Since both texts concern the underprivileged position
of women, it may be expected that treatments result in a higher awareness of

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norms relating to equality of men and women. For this and the following two
measures, responses to the items will be used to construct scales. For each
scale a coefficient alpha will be computed in order to estimate its reliability.
Social distance Although the story may enhance understanding of women
in Islamic countries, the negative representations of men in those countries
could have a negative impact on subjects attitudes toward Muslims. It seems
likely that the compassion readers may feel for women, co-occurs with an
increase of dislike for Muslim men. Therefore, four questions were included to
assess social distance (e.g., Would you object to having a Muslim family living
next door?). The questions were comparable to the ones often used in outgroup
studies.6
Cultural intolerance In addition, six questions were included to assess
cultural intolerance. Considering the negative image of Islamic societies in the
materials, it may be expected that the treatments lead to a decrease in acceptance of Islamic customs (e.g., girls to wear headscarves in class, or the
circumcision of boys and girls).
Procedure
The experiment was run in one group session. Participants were randomly
assigned to either the essay, the story or the control group. Each subject
received an envelope containing one of the two texts and a questionnaire.7 The
control group first completed the questions, and then read one of the texts. The
two experimental groups first read their text and then answered the questions.
As a cover-up of the purpose of the experiment a written instruction informed
subjects that the study concerned the relation between their personal opinions
and their appreciation of style. Therefore, the questionnaire also included
some filler questions about the stylistic quality of the text.
Results
Beliefs about others It was predicted that reading a story will have a stronger
effect on readers beliefs about being in someone elses shoes than reading the
essay. Two-sample t-tests were performed to examine this hypothesis.8 Responses to only one item revealed a significant effect of the story on subjects
beliefs about Algerian women. Imagining what it must be like to be an Algerian
woman, they considered it less likely that they themselves would accept the
culturally given norms for men-women relations (t(36)=2.24, p<.031, twotailed), however, only in comparison to the control group, not to the essay

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103

group.9 Also, the mean difference was rather small (on a five-point scale: mean
(M)=1.92, standard deviation (SD)=.515 for the story group, and M*=2.59,
SD*=1.37 for the control group).10 The essay had no such effect (p<.717).
Responses to the other three items did not reveal significant differences between
the groups.
Other measures Analyses of variance (ANOVAs) with sex and age as
covariates were ran on the other variables.11 This yielded no effects on
subjects social distance and cultural intolerance toward Muslims, nor on their
egalitarian views or beliefs about the diffusion of Islam.12
It was further expected that the story would increase subjects solidarity
with women in Third World countries. This was not confirmed by the data.
First, all groups were equally in favor of giving financial support to emancipation projects. Second, while the story group was not more likely to approve of
social asylum for women who feel repressed in their own country, responses
of the essay readers did show such an effect (Pearsons Chi2= 4.60, df=1,
p<.032).13 This is contrary to expectations.
Suspicion probe Influence studies require subjects to be unaware of the fact
that attempts are made to change their attitudes or beliefs. To test whether
subjects had been ignorant of the purpose of the study they were asked what they
thought the outcome of the study would be. Responses revealed that twelve
subjects guessed that the experimenter was interested in the effects of reading
on opinions. Many others did not respond to the probe, leaving it unclear how
many of them saw through the rationale that was offered. To test the implications for the conclusions, two more series of tests were run: the first to see
whether the effects would survive if these twelve subjects were excluded from
analysis; the second to examine whether knowing, or not knowing the purpose
of the study resulted in systematic differences in the responses. The effects
reported above disappear when the data of twelve subjects were deleted from
the analyses. The effect on subjects beliefs about what it must be like to be an
Algerian woman proved to be insignificant; also, the unexpected effect of the
essay on solidarity did not retain its significance level of .05. It seems, therefore,
that knowing what the researcher was trying to establish made subjects wary of
any influence on their opinions. On the other hand, it may also be that the effect
was lost due to a smaller sample. Moreover, comparing subjects who saw
through the design and those who did not, yielded no significant differences, not
on beliefs about others, nor on the scales for social distance and cultural
intolerance. These findings seem encouraging, because the latter two are

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typically measures that are sensitive to social desirability. Since no effects were
found for subjects awareness of what the desired responses were, we may
conclude that this did not let their knowledge interfere with their opinions.
Discussion
Results initially suggest that reading the story may have had some impact on
subjects imagination about others, while the essay did not. However, an
effect was established for only one of the four items that were used to assess
beliefs about Algerian women. In addition, quite a number of subjects were
aware of the purpose of the study. Differences between story and essay
readers dissolve when these subjects are excluded from the analyses. It seems
easy to explain why this problem occurred. Although it was stressed that
subjects were not to look at each others work or consult each other during the
experiment, some of them did. Several participants noticed that their colleagues carried out the tasks (reading the text and completing the questionnaires) in a different order than they did. This may have raised their suspicion.
Moreover, the questionnaire contained too many questions about opinions and
too few about style to pass for a study of the relation between appreciation of
style and personal opinion.
4.2.2 Study two
The procedure of the second study was largely the same, but to remedy the
problems of the first one, more effort was put in concealing its purpose.
Subjects were led to believe that the experiment concerned the relation between the degree to which literary and nonliterary texts are organized and
readers appreciation for writing style. To add to the credibility of this rationale, subjects were given a bogus task: they were asked to mark with pen or
pencil where they thought the text showed transitions from one section, issue
or sub-issue to another. Subjects evaluation of style allows us to assess the
relative persuasiveness of the two texts. It may be that any difference in the
effects on beliefs is due to the fact that either the essay or the story is more
convincing. To account for this eventuality, the adjectives of the style evaluation test contained several items relevant to persuasive power.
Subjects
Thirty-eight college freshmen enrolled in a course at the Faculty of Arts at

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Utrecht University participated. Again, subjects over 26 years old were excluded, which brings the total sample to 30 female and 6 male.14
Measures
The questionnaire of study one consisted of too many opinion questions as
compared to filler questions. Moreover, it proved to be somewhat long to fit in
the 45 minutes assigned to the experiment. Therefore, a shorter version of the
earlier questionnaire was used.15 Measures that were included are: beliefs
about women in Algeria, solidarity, beliefs about Islam, social distance, and
cultural intolerance. The experimenter emphasized that to make the experiment successful, subjects should not look at each others work. Five-point
scales were changed into four-points, because in the previous study it was
noticed subjects were inclined to herd together at the middle.
Results
Suspicion probe First it was examined whether the more elaborate cover-up
had done its work. Like in the previous study, subjects were asked to formulate their expectations about what they considered a plausible outcome of the
experiment. To maximize response, it was emphasized that subjects own
views were an indispensable part of the research project. Almost all subjects
responded to the probe. Therefore, it may be assumed that the data give a
reliable impression of what subjects thought the purpose of the study was.
Only one subject made an on-target guess. Her form was eliminated from
further analyses.
Beliefs about others The main objective of the investigation was the
effect on subjects beliefs. Analyses of variance with sex and age as covariates
were conducted. Only one of the four items yielded a significant main effect
for condition.16 Considering what it would be like to be an Algerian woman,
and more specifically, whether one would accept Algerian norms pertaining to
men-women relations, yielded lower probability estimates for the story readers than both the essay readers and the control group subjects (F (2,35)=4.6;
p<.018; see Figure 4.1). A planned post-hoc analysis of these differences
(Tukeys b) was conducted. This multiple comparison procedure reveals
which means are significantly different from each other (Noruis 1993: 278).
Results of Tukeys b test show that the story group deviates from the other
groups at the .05 level of significance. The essay readers response was
approximately the same as that of readers in the control group.

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106

Study 2: "Would accept


relations, naturally."

Study 2: "Would resist


inequality."

3,5

3,5

Probability estimates

Porbability estimates

2,5

2,5

1,5

1,5

0,5

0,5

0
Control

Story
Condition

Essay

Control

Story
Condition

Essay

Subjects' responses to statements about women in Algeria: 0=disagree; 4=agree

Figure 4.2
Figure 4.3

Figure 4.1

Study 2: Position of women in Algeria as


compared to elsewhere
120

% of subjects

100

80
Worst place
60

Not that bad

40

20

0
Control

Figure 4.3

Story
Condition

Essay

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In addition, when asked whether they would resist inequality between men
and women in Algeria, story readers tended to give higher probability estimates than the control group subjects. This effect, however, did not attain the
.05 level of significance (F(2,35)=2.65, p<.087; Figure 4.2). The analysis of
subjects responses to the other two items yielded no significant differences
between the groups mean scores.
Other measures No effects were found on social distance, cultural intolerance, and beliefs about the expansion of Islam.17 However, when asked to
estimate the position of Algerian women in relation to women in other nations,
story readers unanimously considered this position to be the worst (Fishers
Exact test: p<.014, two-tailed).18 Essay readers did not distinguish themselves
from control group subjects (Figure 4.3). This finding confirms that the story
affected ideas about women in Algeria, while the essay did not.
Discussion
The results underline the suggestions of study one. First, reading a story
affects readers imagination about other peoples emotions. Second, a narrative presentation causes stronger effects on our beliefs about the emotions and
thoughts of others (social perception) than a non-narrative presentation with
approximately the same contents (compare hypothesis M2, 1.3.2). Both texts
probably primed the same memory schemata, namely, knowledge concerning
women in Islamic countries. But, it seems to take a text with a character
personifying the issue to change subjects beliefs.
Some of the subjects informal responses may shed some light on what
went through their minds as they carried out the role-taking task, that is,
imagining themselves in the position of an Algerian woman. In the control and
essay groups several subjects justified their answers by arguing that, as one
grows up in a fundamentalist culture, one is likely to become part of it; one
simply does not know any better. Interestingly, such comments were not made
in the story group. These readers presumably found such a line of reasoning to
be incorrect, while perhaps in reality it is. Generalizing the attitude of Sultana,
they considered it plausible that they themselves would not accept such
culturally given norms either. Although in theory similar inferences could
have been made on the basis of the essay, no such comments turned up in that
condition. The fact that the story had such an effect while the essay had none
suggests that forming a mental representation of the goals and emotions of
women in such a society clearly is not enough to change subjects beliefs. The

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results thus suggest that it has been role-taking that caused the differences
between the groups.
Still, it may be countered that these conclusions are not completely
irrefutable. First, the effects may have depended on the quality of the individual
texts. A less compelling story and a more persuasive essay may lead to reverse
conclusions. However, subjects evaluation of the texts suggests otherwise. A
factor analysis of the adjectives on which they had rated the materials, yielded
a variable for persuasive force.19 Comparing scores for essay and story readers
on this variable, it was found that the essay was given higher ratings than the
story (on a scale of 0 to 10, for the essay: M=8.29, SD=.93; for the story:
M=6.27, SD=1.88; t(36)=3.34, df-16.13, p<.004). Given the high marks subjects gave to persuasiveness of the essay, it seems unlikely that the differences
in effect were actually due to some weakness in the argumentation of the essay.
Hence, the change in belief did not hinge on the texts persuasive character.
What other explanatory factor can have produced the observed difference but
the provision for role-taking offered by the text?
Another potential problem is the lack of control in this study. We assumed that if the text with characters had a stronger effect on beliefs than the
one without characters, this would be evidence of the effects of role-taking.
Characters obviously offer an opportunity for role-taking responses. But we
cannot be sure that readers did take the opportunity and that this indeed caused
the effects on their beliefs. In other words, we may have assumed too much
and ignored some essential intermediate steps. In addition, the texts may
concern the same topic, but the fact that one has characters in it and the other
doesnt, is not the only difference between the two. There were many other
differences that may have been responsible for the results, for instance differences associated with writing style. This problem seems inherent in using
existing materials instead of experimenter-generated texts.

4.3 Study three: the effects of role-taking


A third experiment was conducted, in which the effects of role-taking were
made to stand out by comparing groups reading the same story, the first
chapter of Mokkeddems novel, but one group being given the specific
instruction to take the main female characters role. Bourg et al. (1993) found
that such an empathic reading instruction is effective in focusing readers

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attention on implications of characters situations. Gregory et al. (1982)


showed that imagining a scenario to happen to oneself leads to significant
changes in beliefs regarding the probability of these scenarios. To assess the
effects of role-taking, opinions of an empathy-building group were compared
to those of a group that was given a placebo instruction.
Study Three
Subjects
Fifty-five college freshmen of the Faculty of Arts, Utrecht University, participated in the study. The experiment was presented as an introduction to
empirical approaches to literature. The sample consisted of 41 women and 14
men. The average age was 20.4.
Procedure
Subjects were randomly assigned to three groups: one control group and two
experimental groups. The experimenter told subjects he was interested in the
effects of certain reading strategies on information recall. One experimental
group was given a written instruction in which it was explained that some
researchers claim beneficial effect of an empathic reading style, and that the
present study would put this to the test. Their reading instruction ran as
follows: Try and imagine, while you are reading, that you are in the position
of the main female character. Imagine you see what she sees, you feel was she
feels, and try to imagine the events are all happening to you yourself. Please
read slowly, and try to link the story events with related personal experiences.20 In the other experimental group subjects were presented with an
explanation indicating the potential memory benefits from a structured reading style. Subjects were asked to read the story and mark with pen or pencil the
structure of the text. It may be predicted that this placebo treatment causes a
significant effect on beliefs about being a woman in Algeria, because such an
effect was established in study two for the same treatment (reading the story
and, to divert attention from researchers intentions, marking the transitions in
the text). The empathy-building instruction was expected to have an even
stronger effect. This, then, would indicate that effects on beliefs are caused by
role-taking. Like in the two previous studies, the control group subjects first
answered the questions about their attitudes and opinions, and then read one of
the two texts. This order was reversed in the two experimental groups.

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Measures
Approximately the same questionnaire was used as in the previous studies.
Two important adjustments were made, however. First, on some items a sixpoint scale replaced the four-point scales used in study two. Since it was
expected that the empathy-building strategy would add to the effects established in study two, the scale was extended to dodge a ceiling effect. Second,
to assess readers beliefs about the position of Algerian women as compared
to those in other countries, some other Islamic countries were added to the list.
It was expected that this would provide more information about the change in
readers beliefs.21
Results
Suspicion probe The suspicion probe showed that the cover-up had been
successful. Only two subjects made on-target guesses about the researchers
aim. Their data were excluded from further analyses. The response of the
other subjects suggests that the red herring worked exceptionally well this
time. Participants fully accepted that the experimenter was interested in the
relation between reading style and recall. Many of them were co-operatively
making suggestions about what the nature of this relation might be.
Beliefs about others Separate-variance t-tests showed that both reading
instructions affected subjects response to the first item: as compared to the
control group, subjects of the experimental groups more strongly espoused the
view that as an Algerian woman they would probably not accept men-women
relations as normal (see Figure 4.4).22 As expected, the empathy condition
shows a stronger effect on subjects beliefs (t(34)=5.50, df=21.54, p<.000) than
the placebo instruction (t(36)=2.44, df=34, p<.020). This was confirmed by a
t-test comparing means of the placebo and empathy group (t(34)=3.10
df=26.80, p<.005). So, both reading instructions led to a change in participants
beliefs, but the empathy-building instruction had a significantly stronger
influence than the placebo instruction. The results for the placebo condition
replicate the results of study two. There it was also found that reading a story
may affect readers beliefs about other peoples inner-world. In addition, results
of the present study confirm the proposed interpretation of the differences that
were found between the essay and story condition: role-taking may have been
responsible for the effects of reading stories on social perception.
This pattern was also found for beliefs about the alleged Algerian womens
willingness to emigrate. The results of t-tests suggest that the empathy instruc-

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111

Study 3 "Would accept norms,


naturally"
6

Probability estimates

Probability estimates

Study 3 "Would consider


emigration"

0
Control

Empathy

Placebo

Figure 4.4

Control

Figure 4.5

Study 3 "Would resist inequality"


6

Probability estimates

0
Control

Empathy

Placebo

Subjects' responses to statements about


women in Algeria: 0=disagree; 6=agree

Figure 4.6

Empathy

Placebo

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The Moral Laboratory

tion caused subjects to believe more strongly in this eagerness (t(36)=2.24


p<.031; see also Figure 4.5).23 The placebo instruction did not have this effect
(p<.717). This reconfirms that role-taking caused changes in readers beliefs
about the inner-world of other people. Finally, treatments had a significant
effect on subjects beliefs about the likelihood of Algerian women resisting their
underprivileged position. An ANOVA revealed a main effect (F(2,53)=14.66,
p<.000; Figure 4.6).24 However, Tukeys b showed that both instructions
equally affected subjects beliefs (p<.05).
Other measures No effects on solidarity, social distance or cultural
intolerance were found.25 Also, subjects who had read the story were not
inclined to believe that the position of
Algerian women is the worst possible in the world. Neither did the treatments
affect beliefs about womens position in Islamic countries in general.26 This
seems to be inconsistent with earlier conclusions about changes in subjects
beliefs. In study two the effect on this item had been robust. That they failed to
appear here may be due to the fact that this time the position of Algerian
women was compared with that of women in countries like Iraq and Iran,
while in study two Algeria was compared to nonislamic countries only.
Apparently, the treatments did not change subjects notion of this relation.

4.4 Conclusion
The results of the three studies provide evidence that empathic responses to
characters causes some change in beliefs about what it must be like to be in the
position of someone else. Contrary to expectations, no evidence was found for
enhanced feelings of solidarity. Also, the data did not confirm the hypothesis
that negative representations of Islamic men and culture enhances social
distance.27 Story and essay enhanced cultural intolerance in study one, but this
finding was not replicated in the other studies.
The experiments tried to catch subjects as they make step 13* of the
model. It was found that manipulation of preceding steps affects the outcome
of this projection task. The model proposed that reading a story requires
readers to activate their schematic knowledge to understand causal relations in
the narrative, infer characters goals, and construct a mental representation of
characters emotions. Subsequently, the primed schemata may affect inferences readers make about people in the real world (3* and 14). Reading an

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113

essay on a similar subject probably causes a priming effect too. However, the
data show that the essay did not influence readers inferences. This means that
it is something particular in narratives that affects readers notions about other
peoples feelings and goals. It may be conjectured that one of the outstanding
differences between the mental activities of essay readers and story readers is
that the latter form a representation of characters goals and emotions. However, it seems plausible that essay readers would also make inferences about
Islamic womens feelings and thoughts, because that was the subject of the
text. According to the model, story readers went one step further than a mere
representation of goals and emotions. They participated in the fictional world
and were thus stimulated to reflect on what the implications would be for
themselves to be in a position similar to that of the protagonist (4, 12*, and
13*). As study three reveals, when this particular dimension of response was
given an extra boost, its effects stand out as compared to a more normal
reading style. Again, the results suggest that it had been readers role-taking
behavior that caused the differences between the groups.
This answers some of the questions formulated in Chapter 3. Do processes associated with story comprehension cause a priming effect on readers
insight into human character (step 1, 2 and then step 3*)? Or is it readers roletaking that cause the effects (in addition to step 1,2, 3*: step 4, 12* and then
13*)? On the basis of the observed effects (step 14), we can assert that priming
(3*) did not seem to matter at all. Role-taking, on the other hand, seems a
necessary condition for the effects of reading on beliefs (12* and 13*).
One point of discussion may be that the role-taking task (Imagine what it
would be like to be an Algerian woman) may have functioned as a manipulation check for the empathy-building strategy. Subjects may have considered
the task as a test of whether they had followed the instruction to empathize.
Consequently, these results could be interpreted as an indication that subjects
merely wanted to show that they had obeyed and empathized with the character. However, this cannot explain the differences between essay and story
readers in the first two experiments. Obviously, further research is called for to
make more generalizable statements about effects on social perception and the
role of empathy in this, for instance by using different texts. A final point is
that effects of an empathy-building instruction can hardly be considered to
resemble effects of reading under natural conditions. Neither can we simply
assume that the effects of a structural reading style (see the bogus task in
study two, and the placebo treatment in study three) resemble the effects of

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114

normal reading. Some studies that were discussed in the previous chapter
suggest a solution for this problem (see Section 3.2.2). It was shown that
certain text qualities may focus readers attention on a character and enhance
role-taking. The next chapter will examine the effects of role-taking through
manipulation of narrative perspective.

Notes
1.

De Botton (1997: 27).

2.

Originally published in French, Linterdite: roman. Paris: Gasset & Fasquelle, 1993

3.

Originally published in English: Boston: Little, Brown, 1995. The title of the second
chapter is Muslims, the first feminists.

4.

One student of 49.

5.

Women may find it easier to identify with the female character, but since the sample
contains only eight men the effect of subjects sex was not examined. Instead it was
introduced as a covariate in the analysis of variance. This allows us to consider the
differences between the experimental conditions while accounting for possible interference of subjects sex.

6.

The items that were used were adopted from the biannual surveys of the Social and
Cultural Planning Bureau of the Netherlands (e.g., Sociaal Cultureel Rapport 1990).

7.

Requests to obtain copies of all questionnaires used in this and the following experiments
should be addressed to the author (via the publisher).

8.

The planned analysis of variance could not be performed. On all items Levenes Test for
Homogeneity of Variances was run. This test examines whether variances in the two
groups are equal. For only one of the items, the first, Levene Test revealed that the
variances were unequal. This violates one of the assumptions of analysis of variance
(Noruis 1993: 270).Therefore a separate-variance t-test was conducted which does not
require equality of variance.

9.

The value of p indicates the probability of finding the observed difference between the
groups if the null hypothesis (that there is no difference between the groups) is actually
true (Noruis 1993: 281290). Results of other statistical tests used in this study can be
interpreted in the same way. Requests to obtain copies the reports on all statistical tests
should be addressed to the author (via the publisher).

10.

Standard deviation is a measure of dispersion, with higher values indicating greater


variance in subjects scores. The asterisks in M* and SD* is to distinguish the arithmetic
average of the control group from that of the experimental group.

11.

The value of p indicates the probability of finding the observed difference between the
groups if the null hypothesis (that there is no difference between the groups) is actually
true (Noruis 1993: 281290). Results of other statistical tests used in this study can be
interpreted in the same way.

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115

12.

Coefficient alpha for social distance is .57, for cultural tolerance .66. It must be noted
that, taking .65 as our criterion, this means that our measure for social distance is not
entirely reliable. N for the ANOVAs is 55, df=2.

13.

Distribution was strongly skewed toward the left and right, which made it impossible to
conduct t-tests or ANOVAs. Therefore, two groups were formed: those who were generally in favor of social asylum, and those who were not. Thus, the ordinal measure changed
into a nominal one, which requires us to do a Chi2-test.

14.

Two subjects, aged 70 and 72, were excluded from the sample.

15.

See note 7.

16.

In contrast to the data of study 1, Levenes test showed the homogeneity of variance
hypothesis cannot be rejected (F=.048; P=828). This, with an approximately normal
distribution, fulfils the requirements for analysis of variance. For all ANOVAs of study
two, N=35, and df=2.

17.

For the present sample coefficient alpha for the social distance scale is .70, while the
scale for cultural intolerance attained an alpha of .40. So, it must be noted that only the
measure for social distance is reliable.

18.

Either considering Algeria as the worst country for women to live in, or some other country
is a nominal measure. Therefore a Fishers Exact test was conducted (Noruis 1993: 209).

19.

Coefficient alpha=.78. The items that yielded high loadings this factor were overtuigend (.62), realisitsch (.82), serieus (.86) and fantastisch (-.83), in English,
convincing, realistic, serious, and fantastic.

20.

The instruction is a slightly adjusted version from the one used by Bourg et al. (1993).

21.

See note 7.

22.

An analysis of variance could no be performed because Levenes test revealed that


variances were not homogeneous (F=16.78, P=.000). For all ANOVAs of study three,
N=53 and df=2.

23.

Levene: F=5.128, p=.030. Therefore t-tests were conducted. The results of a t-test can be
interpreted as follows. The value of p stands for the probability that the observed
difference between group means may be due to chance. In this case, it is 3.1%, which
meets the commonly used criterion of 5%. In other words, the null hypothesis that there is
no difference between the groups can be rejected (Noruis 1993: 249265).

24.

Levene: F=1.748, p=.196. Therefore an ANOVA could be conducted.

25.

Coefficient alpha for social distance scale is .74, for cultural intolerance alpha = .60. So,
both measures are reliable.

26.

On a scale of 0 to 10: Empathy= 7.8 (SD=.44); Control=7.9 (SD=.30); Placebo=7.8


(SD=.62).

27.

It may be that a scale that distinguishes social distance toward male and female Muslims
would have resulted in significant effects.

Chapter 5

Moral Self-knowledge

Madame Bovary, cest moi. Gustave Flaubert

5.1 Introduction
Fictional worlds are inhabited by heroes and miscreants, but foremost by
characters with some pardonable vice or ill-fated weakness. Keeping such
company may affect the way readers perceive themselves. Successful heroes
may inspire them to strive toward noble goals what I called ideal selves (I
wish I were like that). Miserable villains, on the other hand, may ascertain
which roles readers definitely dont want to play not-me selves (Am I
glad I am not like that!). But what about all those protagonists who are not
purely heroic, nor through and through rotten? In Madame Bovary, for instance, Emma does not present a recommendable model, but neither is she
likely to set a deterring example. So, what pre-ethical, ethical or moral effects
do we expect from reading narratives like Flauberts novel?
According to the model proposed in Chapter 3, taking the role of Emma
may help readers to clarify who they are, who they were, who they might
become, and who they would like to be. Thus, readers may become more
intensely aware of their personal norms and values. In Figure 3.6 this effect
was represented by two steps: Readers role-taking may involve changes in
self-concept (step 12*); subsequently, these changes may result in an awareness of norms and values (step 10*). It was argued that awareness propelled
by role-taking probably causes stronger responses than the mere priming of
norms resulting from readers moral judgments about the characters (step 9*).
Boosting readers role-taking will result in stronger effects on readers selfconcept. This is the main hypothesis that will be examined presently.
In the following, role-taking will not be boosted by instruction, like in the
third experiment of Chapter 4, but by narrative perspective. It is assumed that

118

The Moral Laboratory

readers consider events from the point of view of the character that perceives
the events and thus they will be inclined to take his or her role (see Section 3.2.2; e.g., Van Peer & Pander Maat 1996). If a story in which a character
like Emma Bovary focalizes the fictional world enhances a greater awareness
of self-concept than the same story described through the eyes of another
character, then this part of the model can be accepted.1
It remains unclear, however, which shape this moral self-knowledge will
take. A second purpose of the following experiment will be to examine which
of two possible forms of moral self-knowledge readers may attain. The first is
marked by compassion and solidarity: having experienced what it is like to be
in Emmas role, readers may understand that under circumstances similar to
those of the character they might fall into the same traps (feared, but nevertheless possible selves). Whether this is the kind of wisdom readers gain from
entering a Moral Laboratory remains to be seen. There is, however, research
that suggests that imagining oneself in a particular scenario does enhance
ones beliefs in the plausibility of the events involved (Gregory et al. 1982).
This effect occurred for scenarios with happy as well as sad endings.
The second possible form of moral self-knowledge is ruled by social
learning. Bandura and others (e.g., Bandura et al. 1961) have shown that
punishment or reward of model behavior causes either inhibition or imitation
of that behavior. Emmas weaknesses are punished, and this may make
readers realize that this model represents possible selves to be avoided.
Unlike in their aloof or even anti-empathic response to the doom of fictional
crooks, readers probably identify with her fate. They may feel that Emmas
misfortune could be theirs. However, their role-taking will only strengthen the
social learning effect of the unhappy events of the story. They will become
more aware that they do not want to be like her (not-me selves).
Obviously the possible selves and the social learning conception of moral
self-knowledge generate divergent predictions. Experimental research can
tease these two mechanisms apart, and discover which one is operative and
which one is not. In the first case, effects on self-concept depend on roletaking alone. Readers involvement with the vicissitudes of Emmas life
makes them believe that her faults could be theirs. Whether she dies at the end
of the novel or lives happily ever after will not intervene with this understanding. The expected response pattern is represented in Figure 5.1a. Scores on the
vertical axis show the average degree to which subjects would endorse selfconcept items that pertain to adultery. More in particular, it represents the

Moral Self-knowledge

119

Adulterous selves

5.1a Hypothesis 1
10
8
Happy

Sad

4
2
0
Focused

Diffuse

Control

Condition

Possible-selves variant of moral self-knowledge.


Predicted effect of story versions on subjects' average
endorsement of adultery self-concept items: focalization
increases scores, no intervention of story ending.

5.1b Hypothesis 2
Adu;terous selves

10
8
Happy

Sad

4
2
0
Focused

Diffuse
Condition

Control

Social-learning variant of moral self-knowledge.


Same as above, but with an intervening effect of
story ending: sad ending decreases and happy ending
increases scores.

Estimated consequences

5.1c Hypothesis 3
10
8
6
4
2
0
-2
-4
-6
-8
-10

Happy
Sad

Focused

Diffuse
Condition

Control

Predicted effect of subjects' average beliefs about the


consequences of committing adultery: sad ending result in
negative expectations, happy endings in positive ones.

Figure 5.1 Hypotheses

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degree to which subjects think Being unfaithful to my partner describes


them. The first hypothesis (Figure 5.1a) suggests that readers who read a text
focalized by an adulterous character will be stimulated more to imagine the
events to happen to themselves than subjects who read a diffuse version, that
is, one focalized by other characters. After reading the story they will also
believe more strongly that they might commit adultery. In other words, the
scenario has become more plausible for them. Persons who have not been
exposed to the story (the control group) will score lower than those who have,
because they did not get an opportunity to discover these possible selves. They
will score around, say, five on the vertical axis. The choice of five is arbitrary,
of course what counts here is the relation between the average score of the
control group and that of the other groups. Like in the experiment of Gregory
et al., a sad story outcome is not expected to intervene with the effect of
focalization. So, whether the adulteress is punished for her behavior is not
relevant for scores on adulterous selves.
If social learning determines the outcome, however, effects are mainly
determined by story outcome, although they are probably also boosted by roletaking. Like in the experiments of Bandura, the negative consequences of
model behavior will cause a repression of related selves, and taking the role
of the model makes it even clearer it represents not-me selves. In sum, both
mechanisms are propelled by role-taking, but in the first one it is the only factor
which predicts the effects on readers self-concept, while in the second the story
outcome decides on the direction of the changes. Figure 5.1b represents the
effects on subjects adulterous selves as predicted by the second hypothesis.
In the focused versions (focalized by the adulteress) as well as the diffuse
versions (focalized by other characters) sad endings will incite subjects to score
lower than happy endings. Because, as we assume, focalization enhances roletaking the contrast between scores for readers of the sad and happy focused
versions will be sharper. Again, those who have not been exposed to either the
sad or the happy version (control group) score around five.
Figure 5.1c represents expectations about the effect of reading the stories
on real-world beliefs. Negative scores on the vertical axis indicate negative
expectations, positive scores indicate positive expectations. In Chapter 4 we
found that readers may generalize what they read about a fictional character
representing an outgroup member (for instance, an Algerian woman) to
outgroup members in the real world (Algerian women). In the present experiment self-relevant beliefs will be examined: will a story depicting the conse-

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121

quences of committing adultery affect readers beliefs about the consequences


of committing adultery themselves? The expectation is that a sad story outcome will enhance subjects estimate of negative consequences, while a
happy ending will enhance beliefs in positive consequences (cf. Gregory et al.
1982). It should be noticed that the two modes of moral awareness presented
in the previous figures lead to similar predictions on the present measure: both
the possible selves variant and the social learning variant suggest that sad
endings lead to negative expectations about the consequences of committing
adultery, and happy endings lead to positive expectations. In both modes these
effects are boosted by role-taking. The control group is expected to have an
average score (in the present graph a score of 0) with readers of the focused
versions disagreeing strongest with their beliefs.

5.2 Text manipulation


The stimulus material consisted of the two stories that were already introduced
in Chapter 3: Chekhovs The Butterfly and Beatties Learning to Fall.2 In
both stories we encounter a woman who commits adultery. In The Butterfly,
the main protagonist, Olga, seems happily married to Osip. Soon after the
wedding, however, it becomes clear that these two are not really fit for each
other. They have completely different interests and personalities. Olga is
courted by a fawning painter, and one moonlit night on the Volga she falls for
him. Good Osip finds out but takes refuge in his work. After a while Olga and
her painter have a fight and their love affair starts waning, until she finally
discovers that he betrays her with another woman. Meanwhile, Osip has been
taken ill. Olga realizes what she would lose if he were to die, but her
repentance comes too late: after a short sickbed he passes away.
Learning to Fall describes one day in the life of a woman, who is also
the narrator of the story, as she takes Andrew, the son of a good friend of hers,
to town. Through the womans reflections, we learn that she is unhappily
married to a successful but colorless businessman. Furthermore, we gradually
find out that, some time ago, she had a good relationship with a man called
Ray, but at one point she broke it off, because she was afraid he got too much
power over her. However, she still feels attracted to him, and the outings with
Andrew always seem to end up in a rendezvous with her ex-lover. This time
she gives him a call from the station and they meet for a cup of coffee. Andrew

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mentions that his mother is learning to fall at her dance class: the trick is to do
it gracefully, without getting hurt. Somehow, this metaphor sparks the Inarrators decision not to go home to her husband. Instead, the three of them
go to a ballet.
Testing the hypotheses requires four versions of these stories: one focalized by the female protagonist, one focalized by other characters (see 5.2.1),
and of each of these versions one with a happy ending and one with a sad
ending (5.2.2).
5.2.1 Focalization
It was expected that a version in which the fictional world is perceived
through the eyes of the main female character would focus readers on her, and
stimulate them to take her role. A version which describes events from the
perspective of other characters would diffuse readers empathic response,
alternatively taking the role of different characters, but never that of the
adulteress. To obtain these versions the originals were systematically rewritten.3
Chekhovs story is told by an omniscient narrator, but most events are
seen through Olgas eyes, with one exception, in which the reader perceives
the events through the eyes of her husband, Osip Dymov. In the two new
versions that were made, one is focalized by Olga but not by Osip, and one
exclusively focalized by other characters including Osip.4
In Beatties Learning to Fall everything we know about the fictional
world is filtered through the perception of the main female character. So, the
original story could serve as the focused version. In the diffuse version her
observations are recycled as thoughts of other characters in the story. A
small problem was that in the original, the main protagonists name is not
mentioned. Because the diffuse version frequently had to refer to her in the
third person, she was given a name, Joan. To further distract readers attention
away from Joan, the story does not start at the breakfast-table like in the
original. Instead, we first meet Ray, Joans lover, doing some insignificant
things, apart from longing for a phone call from Joan. Studies of Wegner &
Giuliano (1983) and Bower (1978) suggest that this text manipulation may be
effective in depriving Joan of readers attention.

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Table 1
FOCUSED VERSION
CHEKHOV
1.
On Wednesdays she was 'at home.' Hostess and guests
did not play cards or dance on these occasions, but
diverted themselves with various artistic activities. The
actor recited, the singer sang, the artist sketched in
albums (of which Olga had many), the cellist played and
the hostess herself also sketched, modelled, sang and
played accompaniments.
2.
At exactly half past eleven the dining-room door would
open and Dymov would appear, smiling his goodnatured, gentle smile.
Supper is served, gentlemen, he would say, rubbing
his hands.
Then all would go into the dining-room, where he had
set the table with a dish of oysters, a joint of ham or veal,
sardines, cheese, caviar, mushrooms, vodka and two
carafes of wine.
3.
The cheap clock on the wall ticked monotonously. Cold
flies crowded and buzzed in the corner by the icon, and
cockroaches were heard scuttling in the thick portfolios
under the benches.

DIFFUSE VERSION
CHEKHOV

On Wednesdays she was 'at home.' Hostess and guests


did not play cards or dance on these occasions. While
Dymov was either working in the study or preparing
dinner he heard them diverting themselves with
various artistic activities.

At exactly half past eleven Dymov would open the


dining-room door, smiling his good-natured, gentle smile.
Supper is served, gentlemen, he would say, rubbing
his hands.
Then all would come into the dining-room, where
they always saw the same array on the table: a dish of
oysters, a joint of ham or veal, sardines, cheese, caviar,
mushrooms, vodka and two carafes of wine.

[...]

BEATTIE

BEATTIE

4.
I stand beside him on the curving walkway. Don't throw
coins from up here, Andrew, I say. You might hurt
somebody.
Just a penny, he says. He holds it up to show me. A
penny: no tricks.
You're not allowed. It could hit somebody in the face.
You could hurt somebody, throwing it.
He pockets the penny.

Joan stands beside him on the curving walkway. Don't


throw coins from up here, Andrew, she says. You
might hurt somebody.
Just a penny, he says. He holds it up to show her.
[...]
You're not allowed. It could hit somebody in the face.
You could hurt somebody, throwing it.
He pockets the penny.

5.
Andrew and I are both frowning at Ruth's table and she as always - is tolerating us. More coffee? Ruth asks me.
I nod yes, and let her pour it, although I could easily get
up and walk to the stove for the pot.

Andrew and Joan are both frowning at Ruth's table and


she - as always - is tolerating them. More coffee? Ruth
asks Joan. She nods, and lets her pour it, although she
could easily get up and walk to the stove for the pot.

6.
I take off my coat and unzip Andrew's parka and lay it
across his legs. The arms stick out from the sides, no
hands coming through them. It could be worse; Andrew
could have been born without hands or arms.

Joan takes off her coat and unzips Andrew's parka and
lays it across his legs. The arms stick out from the sides,
no hands coming through them. It could be worse;
Andrew could have been born without hands or arms,
Bonnie thinks.

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Table 1 presents some examples of the changes that were made. The parts
in bold indicate the changes or what was left out. In the first one the camera
through which we perceive the events is relocated. The perspective of the
original version seats readers among the guests Olga is entertaining, while the
manipulated, diffuse version sends them along with Dymov. Example two is
another illustration of how visual point of view was manipulated. The changes
position readers in the dining-room, behind Dymov, rather than among the
artists in the drawing room.5 The third example illustrates how manipulation
could not stop at changing physical point of view, but also had to cover
focalization (Rimmon-Kenan 1983: 7185). Narrative texts may conceal inconspicuous clues as to who sees. In this excerpt of the original story it is the
narrator who tells us how cheerless the cabin is, but there are reasons to
suspect it is Olga who focalizes here. At that particular point in the story she is
bored, she detests the place, and is desperately longing to go home, back to the
civilized world. The monotony of the clock and the sound of crawling vermin
are obviously things Olga would notice and have therefore been deleted in the
manipulated version. Something similar happens in the first quotation of
Beatties story (example 4). A penny: no tricks may be what Andrew thinks,
or what he wants Joan to believe. Because the whole text is an utterance of
Joan, there can be little doubt about it that this, too, is one of her observations. However, if maintained in the manipulated version, readers might still
feel this is an inference of Joan. It was therefore deleted. The following two
examples illustrate how the focalization may be related to readers sympathies. From example 5 readers may infer that Joan has a mild form of early
morning allergy. The focused version on the left side makes it an excusable
flaw in her behavior. The diffuse version on the right side seems to evoke
disapproval: why this vexation, readers may wonder, and why not get her
coffee herself? Example 6, finally, shows a recycling of focalizations that
potentially make Joan more sympathetic. The manipulated version dissolves
most of the implied tenderness in the original text, and what is left of it is
transferred to the other character present at that moment, namely Bonnie.
5.2.2 Story outcome
To see whether social learning was involved in reading the stories, the endings
were manipulated. Chekhovs story has an unmistakably unhappy ending.
Olgas husband dies, and her secret lover betrays her. This outcome was

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drastically altered in the manipulated version, in which Olga and her painter
make up and decide to live happily ever after. No more mention of the
husband is made, let alone his death he is conveniently forgotten. The
original version of Beatties story has a happy ending. The main character and
her lover meet at the station. She seems to realize she has to give in to her love
for Ray, and they walk off together to have an evening at the ballet. This
ending was changed as follows: when Joan meets Ray, they have a row. He
wants her to make up her mind and finally choose between him and her
husband. She is not quite ready to make this step. As they part, it is clear they
will never see each other again.
Would these manipulations make any difference to the effects of having
read these stories? It may be expected that the changes in focalization affect
the degree to which subjects mentally participate in the characters world,
with focused versions causing higher levels of involvement than diffuse ones;
this would suggest an effect of readers role-taking. Furthermore, what subjects learn from the stories may change due to the story outcome manipulations; this would indicate a social learning effect.

5.3 Method
Design
For the analysis of this study, a 2-by-2 between-subjects design was used, that
is, the effects of focalization (focused by diffuse) and story ending (happy by
sad) on readers self-concept in the domain of adultery and other dependent
variables were examined. Possible intervening effects of subjects gender were
accounted for by introducing it as a covariate. Post-hoc analyses (Tukeys b)
were used to reveal whether there are significant differences between the
experimental groups and a control group that read a text unrelated to adultery,
namely an essay on political economy.
Subjects
Subjects were 108 undergraduate psychology students at the University of
Illinois at Urbana-Champaign. They participated in the experiment in fulfillment of a course requirement. The sample consisted of 68 female and 40 male
subjects. Average age was 19.

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Procedure
Participants were invited to the laboratory in groups of maximally eight. To
avoid that subjects would notice the differences between the texts, they were
seated in cubicles. The study was introduced as a cross-cultural investigation
of the way people comprehend and react to things they read in magazines and
books. Participants were told the experimenter was interested in responses to
both fiction and nonfiction. As a pretext for including personality measures in
the procedure, they were told that results would be compared to those of
students in the Netherlands, and that some background information was
required to enable the comparison.
Subjects were given an envelope containing a questionnaire and a text:
either a version of Beatties Learning to Fall, or of Chekhovs The Butterfly, or a chapter from M.B. Browns Models in Political Economy (control
group). Subjects were randomly assigned to the treatments or control condition, and it was not revealed to them that there were different versions of the
stories in circulation.
Participants were asked to take the text out of the envelope and read it. To
reduce the potential distraction of the laboratory setting, it was emphasized
that they were to try to read the text leisurely, much as they would if they had
found it in a book or magazine and wanted to read it for their enjoyment.
Reading the texts took them about thirty minutes. After putting the story or
essay back into the envelope, they filled out their questionnaires. This took
another thirty minutes. The questionnaire consisted of a story evaluation task
and several personality measures.6
Dependent variables
Character morality As part of the evaluation task, subjects were asked to rate
the main (female) character on 14 adjectives using an 11-point scale (0 to 10).
Four adjectives referred to morality (moral, sincere, selfish, and promiscuous). The other ten were filler items (e.g., intelligent). It was expected that
versions focalized by the adulteress would stimulate participants to take her role
and consequently see things her way. If this were the case, the focused versions
would result in higher morality ratings than the diffuse versions (cf. Van Peer
& Pander Maat 1996). Higher morality ratings may be considered indicative of
a higher degree of role-taking (cf. Jose & Brewer 1984).
Self-concept Story evaluation questions were followed by a self-concept
measure. This test contained 25 items: items that were of particular relevance

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127

to the purpose of the study, and filler items that were derived from Maudley
Marital Questionnaire (MMQ), a measure for marital satisfaction. Research
suggests that role-taking responses involve personal experiences. It was therefore assumed that reading the stories would make certain past selves more
readily available in memory. Also, readers may experiment with roles enacted by the protagonists of the stories. Thus, they may acquire possible
selves, which are assumed to be sources of personality change (Markus &
Nurius 1986). Finally, readers may come to realize certain aspects about
themselves they usually ignore (present selves). The MMQ registers present
selves only. To assess shifts in self-concept that allegedly result from reading
stories, subjects were asked to rate for each item to what extent it described
them in the present, in the past, and whether it could describe them in the
future. According to the model, focused versions will stimulate role-taking.
Consequently, these versions should have more impact on readers selfconcept than the diffuse versions. Because Browns text on political economy
does not concern relationships between men and women, no effects were
expected from reading this text. Responses of its readers can therefore help us
determine whether reading the stories produced significant changes in subjects working self-concept.
Of primary importance are items related to adultery, more in particular:
(1) Being unfaithful to my partner;
(2) Running into misery in a secret affair;
(3) Being happy in a secret affair.
The first item indicates the degree to which one considers oneself unfaithful.
Subjects expectations about the consequences of committing adultery were
measured by adding up scores on items (2) and (3), with scores on item (2)
multiplied by 1. This results in a scale from 10 to 10.
It was expected that manipulation of story perspective and/or story outcome would affect the degree to which subjects admitted they are unfaithful to
their partner. The effect of story outcome will decide which of the two
hypotheses of moral self-knowledge can be rejected (compare Figures 5.1a
and 5.1b). The effects on subjects estimate of the consequences of a secret
affair would indicate the degree to which reading a narrative can affect realworld beliefs (see Figure 5.1c).
Empathy Test Reading stories may stimulate reflection on other peoples
inner world. Chekhov and Beatties stories, for instance, may facilitate read-

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ers inferences about what could bring someone to commit adultery. It was
therefore expected that subjects who read one of these stories would be able to
think of more motives when interpreting real-world behavior than subjects
who read a text about political economy. Also, reading stories may bias social
perception: the motives story readers will think of first will be the ones the
character had for committing adultery.
To examine such alleged differences between treatment groups and the
control group, subjects were given an empathy test. The introduction to the
test read: In this part of the study, we would like you to imagine a hypothetical situation involving a married couple. Imagine that the woman commits
adultery. List as many emotions, goals and hopes that this person might have
that could explain why she deceived her husband. It was expected that story
readers were able to mention more possible motives than the control group
subjects, and that the first motives they would mention would be related to the
story they had read. The focused versions were predicted to enhance roletaking and would therefore reveal even stronger effects. The model does not
make any predictions about effects of story outcome, so these were not
considered in the analyses.
It seems conceivable that this empathy test may affect response to the
self-concept form, and vice versa. To eliminate the possibility of order effects,
the sequence of these two tasks was counterbalanced. Furthermore, it may be
that performance on the empathy test depends on abilities subjects already had
before the experiment. To control for this possibility, Fletcher et al.s (1986)
scale for attribution complexity was administered. This test consists of 28
attitude statements about attribution (e.g., I dont usually bother to analyze
and explain peoples behavior, and I have found that the causes for peoples
behavior are usually complex rather than simple). Subjects responses to
these items allow us to compute an overall score for attributional complexity
which will serve as a covariate in the analysis of the empathy test.

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129

5.4 Results
5.4.1 Character morality
It was assumed that focalization would affect readers moral judgment. To test
this, a two-way analysis of variance (ANOVA) was performed with subjects
gender as covariate. Manipulation of perspective in Beatties Learning to
Fall resulted in a significant main effect (F (1,32)= 5.86 p<.022; Figure 5.2a),
and no interactions.7 As predicted, the results show that the focused versions
made readers more lenient in their moral judgments of the adulteress than the
diffuse versions. This suggests that focalization is indeed a powerful instrument to control readers sympathies. However, this finding was not replicated
for the manipulation of the Chekhov story; the effect was in the predicted
direction, but it did not attain the .05 level of significance. This may be
because contrasts between Beatties original and the diffuse version are far
more radical than the ones between the Chekhov versions. Fictional events in
Beattie are exclusively focalized by the I-narrator. In the diffuse versions this
center of consciousness is consistently replaced by other characters. Focalization in the original Chekhov story is not solely in Olgas hands; it already is
somewhat diffuse. Moreover, the omniscient and rather ironic narrator in
Chekhovs story already entails some preliminary evaluations. Maybe readers
considered these to be reliable, so that there was little the manipulation of
narrative perspective could change about that. The results demonstrate that
manipulation of readers role-taking through text manipulation was effective
in the case of Beatties story, but not in Chekhovs.8 It may be expected,
therefore, that the effect of focalization on self-concept will be stronger in
Beattie than in Chekhov.
The results of the analyses revealed a significant main effect for story
ending in the Chekhov conditions (F(1,32)=4.65; p<.040). The happy ending
caused higher scores on the morality scale than the sad ending (see Figure 5.2b).
This effect was unexpected; it did not seem likely that whether certain behavior
is punished or not would affect perceived character morality. But on hindsight
it seems natural. In the unhappy outcome, a colleague of Osip extensively scolds
Olga for her lack of love and respect, implying that she is to blame for the loss
of this self-denying man and promising scientist. The happy outcome does not
include this tirade. In addition, the happy version does not relate Osips tragic
death. This reduction of negative consequences of Olgas behavior may have
been responsible for the differences in subjects verdict.

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130

10
9

Perceived morality

8
7
6
Diffuse
5

Focused

4
3
2
1
0
Chekhov

Beattie

Effect of the manipulation of narrative perspective on subjects'


average moral judgment of the adulterous character.

Figure 5.2b Tails and stings


10
9

Perceived morality

8
7
6
Sad
5

Happy

4
3
2
1
0
Chekhov

Beattie

Effect of the manipulation of story ending on subjects' average


moral judgment of the adulterous character.

Figure 5.2 Character Morality

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131

5.4.2 Moral self-concept


In estimating the effects on moral self-concept two aspects were distinguished: the degree to which subjects see themselves as adulterous (adulterous selves); and subjects beliefs about what the consequences would be of
being unfaithful to their partner (consequences of secret affairs).
Adulterous selves Does Being unfaithful to your partner apply to you;
could it apply to you in the future; to what degree does it describe you in the
past? Answering such questions off-hand, for instance during a street interview, or at a gathering in a bar, may result in a thoughtless and light-footed
response. Those among our subjects who just read a story about an adulterous
woman, on the other hand, may be more aware of their position on matters of
marital fidelity. The breach of norms presented in both stories can be expected
to prime certain norms in their memory. But the model proposed that there
might be more to the ethical effects of reading than a mere reminder of norms.
Focalization is assumed to stimulate readers to take the role of the character,
and thus experience for themselves what it would be like to commit adultery.
So, if the story is focalized by the adulteress, subjects may have an even better
notion of where they stand. In addition, if the story shows what terrible things
could happen when one betrays ones partner, a similarly strong understanding may result. Such a finding would be indicative of a social learning effect.
Hence, a combination of focalization by the adulteress and an unhappy ending
may considerably decrease subjects scores on items that refer to infidelity. On
the other hand, it may be that the story makes readers realize that, in certain
circumstances, they might fall for temptation too. Taking the role of the
adulteress may contribute to this awareness. Adulterous selves then become
possible selves. The outcome of the story should not make any difference in
this respect. As a result, subjects will give higher ratings to items that refer to
infidelity.
To test these hypotheses, a two-way analysis of variance was performed
on the scales for adulterous selves (past, present, and future selves separately).
The ANOVA yielded no significant main effects.9 Furthermore, Tukeys b posthoc tests revealed no significant differences between the control group and
any of the experimental groups.
Figures 5.3a and b represent the scores on adulterous selves scales (past,
present, and future) for Beattie and Chekhov. The graphs can be interpreted as
follows: comparing the experimental groups (subjects that read either focused

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132
5.3a Beattie

Adulterous selves

Past
4,5
4
3,5
3
2,5
2
1,5
1
0,5
0

Happy
Sad

Focused

Diffuse

Control

Adulterous selves

Present
4
3,5
3
2,5
2
1,5
1
0,5
0

Happy
Sad

Focused

Diffuse

Control

Adulterous selves

Future
4
3,5
3
2,5
2
1,5
1
0,5
0

Happy
Sad

Focused

Diffuse

Control

Effect of text manipulations on subjects' average response to the self-concept


item "Being unfaithful to my partner." Past and present score 10= describes
me very well. Future score 10= certainly could describe me in future.

Figure 5.3 Aulterous Selves

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133
5.3b Chekhov
Past

Adulterous selves

7
6
5
4

Happy

Sad

2
1
0
Focused

Diffuse

Control

Present

Adulterous selves

6
5
4

Happy

Sad

2
1
0
Fouced

Diffuse

Control

Future

Adulterous selves

6
5
4

Happy

Sad

2
1
0
Focused

Diffuse

Control

Effect of text manipulations on subjects' average response to the self-concept


item "Being unfaithful to my partner." Past and present score 10= describes
me very well. Future score 10= certainly could describe me in future.

Figure 5.3 Aulterous Selves (continued)

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134
5.3a Virtuous effects of focalization

Adulterous selves

Beattie: Present
5
4

Focused

Diffuse

Control

1
0
Female

Male

Adulterous selves

Beattie: Future
5
4

Focused

Diffuse

Control

1
0
Female

Male

Adulterous selves

Chekhov: Present
5
4

Focused

Diffuse

Control

1
0
Female

Male

Adulterous selves

Chekhov: Future
4
3

Focused

Diffuse
Control

1
0
Female

Male

Effect of text manipulations in combination with subjects' sex on average


responses to the self-concept item "Being unfaithful to my partner."

Figure 5.3 Aulterous Selves (continued)

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135

of diffuse versions of the story) with the control group, scores on the vertical axis
indicate in which direction story treatments moved subjects moral awareness.
An average lower than that of the control group shows that the infidelity selfconcept item dominantly came to represent not-me selves to the story readers,
while an average higher than the control group score would suggest that story
readers became more inclined to consider these items as realistic possible
selves. None of the p-values are below .05. So, none of the hypotheses
concerning the effect on this scale could be accepted.
Subjects gender proved to be a significant source of covariation in one of
the analyses, namely for future selves in the Beattie conditions (F(1,48)=5.16,
p<.028). This indicates that male and female readers responded differently
here. To check for interactions between subjects gender and the manipulations of perspective and story ending a three-way analysis of variance was
conducted. It should be noticed that in interpreting these results one has to be
very cautious, because the control group consisted of only six male and six
female subjects.
The ANOVA revealed that a significant main effect for gender
(F91,48)=5.01; p<.031) is mediated by a significant two-way interaction
(gender by focalization; F(1,48)=8.92, p<.005). Figure 5.3c represents the
scores for male and female subjects separately. The scales for past adulterous
selves are not presented because the groups are far too small to allow a
meaningful interpretation.10 As can be seen, scores are generally very low,
especially the ratings of female subjects (maximum score is 10). All the graphs
show that the treatments mainly affected male subjects. Let us first look at the
two upper graphs for the responses of the Beattie readers. Comparing scores of
control group males with scores of the males in the experimental groups
(focused and diffuse), reading the story reduced male subjects willingness to
admit that the item presents a possible self. However, the focused version had
an even stronger effect than the diffuse version. As to future selves, focalization
even reduces scores to zero, making male subjects (seem) as virtuous as female
subjects. This interpretation is confirmed by the results of a post-hoc analysis
(Tukeys b). Male subjects who read the text focalized by the adulteress scored
significantly lower on future adulterous selves (p<.05) than male subjects who
read the text about political economy. Men who read the other version, in which
other characters perceived the fictional world, did not score significantly lower
than control group men.
Generally, men have a more lighthearted attitude toward adultery than

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women (North & Toates 1977). As the graphs show, the Beattie treatment
reduced these differences between the sexes considerably; reading the Beattie
graphs from right to left we see that male scores more and more resemble
those of the female subjects. Tukeys b test reveals that men in the control
group scored significantly higher than female subjects in both the control
group and in the experimental group. In contrast, men who read the diffuse
version only scored higher than the experimental group females. Still, the
biggest changes are to be found in the group of male readers who read the
focused version; here, Tukeys b test did not reveal significant differences
between their scores and those of the females subjects.
From these comparisons we can conclude that it took a focalized version
to make male readers change their minds about the plausibility of being
adulterous in the future. This conclusion, together with the fact that story
ending had no effect, suggests that both hypothesis 1a and 1b (see Figure 5.1a
and b) have to be rejected. First, the possible selves hypothesis predicted that
focalized versions would lead subjects to understand that the character presents a possible self. This is not what happened. Male subjects became more
aware that the character presents a not-me self. Focalization helped them to
decide they definitely do not want to become like her, even though we also
found that focalization enhanced her moral valence (see Figure 5.2a). Second,
the social learning hypothesis predicted that sad endings would significantly
reduce scores on adulterous selves. The results show that it did not. Therefore
an alternative interpretation can be put forward: focalization stimulated (male)
readers to take the role of the adulterous character. This enhanced their
appreciation of her, but also clarified their self-concept in this domain, more in
particular, their future self. The ending of the story did not seem to interfere
with this process; whether the adulteress finds happiness in the arms of her
secret lover or returns home to her husband after a fight with her lover
apparently did not matter to the responses of male subjects. Considering the
low score of females in the control group it seems likely that all women in the
sample already had a clearly defined self-concept in this domain; in other
words, they did not need the treatment.
Finally, in the two Chekhov graphs we also see that the scores of
control group males are higher than those of all Chekhov readers. However,
Tukeys b test revealed no differences between any of the groups at the .05
level of significance.
Consequences of secret affairs A second variable relevant to the hypoth-

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137

eses is readers beliefs about the plausible consequences of secret affairs: what
do they recall about such consequences in their personal past; what are their
present experiences; and what do they expect in the future? It was assumed
that reading the stories would change subjects expectations about the repercussions of having an extramarital relationship: scenarios with unhappy
endings should enhance more negative beliefs about secret affairs than scenarios with happy endings. In addition, the model proposes that stories focalized by the adulterous woman would make this effect even more momentous:
focalization invites readers to participate in the fictional world and experience
for themselves the repercussions of committing adultery.11
Considering the responses of the Beattie readers first, we can see in
Figure 5.4a that, generally, focused versions with an unhappy ending result in
the most pessimistic expectations and beliefs about the consequences of secret
affairs. This is as was predicted by hypothesis 2 (see Figure 5.1c). Also, it was
expected that contrasts between the groups would be sharpest among the
focused conditions. Taking the role of the character would stimulate readers to
imagine themselves in the characters position, thus enhancing their belief in
the likelihood of the events that befell the character. Both Figure 5.4a and 5.4b
seem to suggest that, generally, contrasts between the readers of the focused
versions is stronger than between readers of the diffuse versions. In other
words, groups who read the diffuse versions of Beattie or Chekhov do not
seem to disagree as much about the consequences of secret affairs as the
groups who read the stories from the perspective of the adulteress. Finally, the
scores of the experimental groups are, on the whole, lower than those of the
control group. This holds for both Beattie and Chekhov readers. Reading the
stories apparently made subjects more aware of negative consequences of
adultery.
The analyses of present and future scales for the Beattie conditions resulted
in significant main effects for focalization. The ANOVA also yielded significant
interactions between focalization and story ending: a sad ending in the versions
focalized by the adulteress made subjects more pessimistic about the consequences of secret affairs, but in the diffuse versions it was the happy ending that
had this effect. However, post-hoc analyses (Tukeys b) revealed that only the
difference between the focused sad ending and diffuse sad ending (in present
and future) attains the .05 level of significance. This suggests that the manipulation of focalization affected subjects beliefs about the negative consequences
only. Importantly, Tukeys b also demonstrated a significant difference be-

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138
5.4a Beattie
Past
1
0
-1
-2

Happy

-3

Sad

-4
-5
-6
-7
Focused

Diffuse

Control

Present
1
0
-1
-2

Happy

-3

Sad

-4
-5
-6
-7
Focused

Diffuse

Control

Future
1
0
-1
-2

Happy

-3

Sad

-4
-5
-6
-7
Focused

Diffuse

Control

Effect of text manipulations on subjects' average exepectations


about consequences of secret affairs. Score -10 indicates
extreme pessimism, 10 extreme optimism.

Figure 5.4 Consequence of Secret Affaires

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139
5.4b Chekhov
Past

1
0
-1
-2

Happy

-3

Sad

-4
-5
-6
Focused

Diffuse

Control

Present
1
0
-1
-2

Happy

-3

Sad

-4
-5
-6
Focused

Diffuse

Control

Future
1
0
-1
-2

Happy

-3

Sad

-4
-5
-6
Focused

Diffuse

Control

Effect of text manipulations on subjects' average exepectations


about consequences of secret affairs. Score -10 indicates
extreme pessimism, 10 extreme optimism.

Figure 5.4 Consequence of Secret Affaires (continued)

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tween scores of one of the experimental groups and the control group, namely
on the scale for present selves: subjects who read the sad version from the
perspective of the adulteress believed significantly stronger in negative effects
of secret affairs than the subjects who read Browns text on political economy.
The analysis of the Chekhov conditions revealed one significant main
effect for story ending (past selves). Contrary to expectations, however, happy
story endings led to negative scores, while sad endings resulted in positive
scores. Comparing the scores with those of the control group it seems that the
happy endings affected subjects beliefs strongly. While Joans happy reunion
with her lover may have seemed right to the readers, in Olgas case it must
have been an unacceptable presentation of the consequences of secret affairs,
stimulating them to assert their own, opposing, ideas about how such a
scenario should end. It should be noticed, however, that the groups are
actually too small to allow an interpretation of these results.
Concluding this section, we have seen that stories can produce significant
changes in readers working self-concept. Reading narratives can enhance a
clarification of our moral self-concept, and affect beliefs that can have consequences for our moral decisions. First, Beatties story written from the perspective of the adulteress significantly reduced male subjects scores on adulterous
selves. Second, the sad version of Beatties story written from the perspective
of the female character caused a significant effect on subjects beliefs about the
consequences of secret affairs (present selves). As to the mechanisms involved
in attaining moral self-knowledge, both the possible selves and the sociallearning variant were rejected. Analyzing subjects response to the adulterous
self (future), we found that focalization enhanced not-me selves instead of
possible selves (cf. hypothesis 1a, Figure 5.1a). Also, story outcome did not
interfere with this effect, which suggests that we can reject the social learning
hypothesis 1b (Figure 5.1b). An alternative explanation was suggested: roletaking responses (stimulated by narrative perspective) enhanced moral appreciation of the fictional character, but also helped readers to understand that they
do not want to be like that character. Role-taking seems to have clarified a
negative definition of self-concept in relation to the character.
5.4.3 Empathic ability
In the experiments of Chapter 4 I found that reading stories can affect beliefs
about others. In the present study I tried to replicate and extend this finding.

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Subjects were asked to imagine a hypothetical situation involving the adultery


of a married woman, and list as many emotions, goals and hopes that this
person might have that could explain why she deceived her husband. The open
responses to this empathy test were categorized by the experimenter and with
the help of three independent researchers.12 A three-out-of-four consensus
was considered to be sufficient verification of the suggested. Five subjects
misinterpreted the task. Their data were not used in the analysis. Five percent
of the motives mentioned by the subjects could not be interpreted, and
therefore had to be discarded.
It was expected that subjects who had read a story about an adulterous
woman would be able to mention more possible motives for committing
adultery than control group subjects (step 3*). Furthermore, assuming that
narrative perspective enhances role-taking, response to the focused versions
was expected to involve readers self-concept and therefore have a more
profound effect on social perception (step 4, 6, 12*, 13*). This would result in
more mentions of possible motives than the diffuse version. These predictions
were not confirmed by the data. Scores of the experimental groups, especially
those of Beattie readers, are indeed generally higher than those of control group
subjects. However, these differences are not significant (p<.726).13 So, all
subjects came up with an approximately equal amount of possible causes for
someone to commit adultery. We can not conclude that reading the stories made
subjects more imaginative as to making plausible inferences about others.
However, it may be that the empathy test did not give a reliable impression of
subjects empathic ability: no significant correlation was found for the results
of the empathy test and subjects scores on the Attribution Complexity Scale.
Subjects responses were also checked for an indication of a priming
effect: Did reading the stories affect the first motive subjects thought of? Did
the stories move one particular schema up in front of subjects knowledge of
the human psyche? Evidence of a priming effect was found for one story only,
namely Beatties Learning to Fall. Most subjects who had read this text
(seven out of ten) first mentioned neglect as a possible motive for committing adultery. In all other groups responses were more equally distributed over
the categories. It seems likely that the effect of Beatties story was caused by
the perspective of the adulteress, and thus, presumably, by readers roletaking: among the subjects who had read the diffuse version of Beatties story
no suggestion of a priming effect was found, though the information about
Joans marriage was similar to that of the focused version.

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5.5 Discussion
Although several of the expected results were not found, notably with respect
to the Chekhov story, the experiment yet shows that reading stories can cause
significant shifts in readers working self-concept. Evidence suggests that
subjects reflected on what moral choices they would make for themselves in
circumstances similar to those of characters. Furthermore, focalization stimulated them to participate in such an ethical thought experiment. Such changes
in self-concept can have moral implications. While friendship is generally
socially approved of, one specific form of friendship opposite-sex friendship with a married person is typically discouraged and ignored, due
primarily to the fear that such friendships may lead to adulterous sexual
relationships. Lampe (1985) found that the consequent lack of social definition of this role may itself be a cause of adultery. The results of the present
study suggest that reading stories about adultery may stimulate reflection on
such matters, and subsequently, more sharply define readers moral selfconcept in the related domain.
Male subjects were particularly susceptible to the manipulations of the
stories. Generally, men are more likely to commit adultery than women (North
& Toates 1977). It is therefore not surprising that male subjects scores on
adulterous selves were higher than female subjects. With women already
scoring very low on adulterous selves it may be that treatments were wasted
on them. The finding that they were far less impressionable than the male
subjects may be explained by the fact that women reflect more on relationships than men (Fletcher et al. 1986). Probably having a more well-defined
self-concept in this domain previous to the treatment, it seems likely they were
more difficult to influence. An alternative explanation is that the issue of an
adulterous woman may have distressed men more than women. Evolutionary
psychology shows that men are typically more concerned to be represented in
the next generation. Therefore, they have more difficulty coping with the idea
of bringing up anothers child (cf. Buss et al. 1992). Since the scenario of an
adulterous woman primes such a possibility, male subjects were more aversive to items that referred to adultery. On the other hand, the measure used in
this experiment concerns the self-concept. The differences among male subjects responses do not reflect to what extent they condemn their partners
adultery. Instead, it reveals how they think about committing adultery themselves.

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143

The analyses showed that readers of one version of a story more strongly
endorsed particular self-concept items than readers of another version of the
same text. This in itself is an interesting finding. Every reader has a unique
biography. Each has his or her personal experience with the kind of relationships
the stories deal with. Nevertheless, the results of statistical analyses show that
the effects on self-concept can be generalized across individual readers.
It may be argued that such conclusions are restricted to short-term effects,
thus limiting the relevance of any pre-ethical functioning of reading narratives. I would conjecture, however, that the results of the present study suggest
that frequently reading one particular genre of stories, say, stories about manwoman relations, causes more permanent changes. Frequency and recency of
retrieval of knowledge determines accessibility of knowledge. This also pertains to self-knowledge. Extending the results of the present study, it may be
that men who frequently read about adultery attain better access to their moral
self-knowledge (not-me selves) than men who only read about economics.
No effects of reading were found on empathic ability. Story readers did
not think of more behavioral motives to commit adultery than the control
group subjects. Possibly, control group subjects profited from the fact that the
time subjects were allowed to use to fulfill their task was not limited. Control
group subjects may have used this time to mobilize their imagination, thus
diminishing any initial differences there may have been, say, in the first three
minutes. Also, treatment may have been too short to cause significant differences between the groups. However, as in the previous studies, evidence was
found suggesting that reading stories may bias social perception. Beatties
story (in the original version) affected the first thing that sprang to subjects
mind when they had to image what might have moved the protagonist to
commit adultery. Furthermore, it may be suggested that reading stories is a
training in role-taking. Results of the present study and the three experiments
of Chapter 4 suggest that reading stories involves role-taking. In Chapter 4 we
saw how beliefs about other peoples inner-world were changed by a text with
characters (a story), but not by a text without characters (an essay on the same
subject). Results of the present study suggest that narrative perspective stimulated readers to take the role of a character. The design of the two studies
makes it unlikely that the differences were not caused by role-taking. Since
role-taking is likely to be part of readers response to stories, it seems plausible
that the frequent reader will be better trained in role-taking and may be
involved in such responses to people more habitually (cf. Feshbach 1978).

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The effects we found with Beatties text were not replicated with
Chekhovs. Several results are contingent on story, contrary to the expectation
that the effects of perspective and outcome would generalize over the two
stories. A plausible explanation is that the manipulation of story outcome and
focalization were not entirely comparable in the two stories. Furthermore,
some idiosyncratic differences between the stories that are not reflected in
perspective and outcome are important, too. For example, Chekhovs story
presents a far more obvious moral than Beatties. Maybe this made subjects
more aversive toward any change in their attitudes. Also, it may have been
more difficult for (American) readers to imagine themselves in the roles of
characters from nineteenth-century Russia, as compared to those of twentiethcentury New York.
To get a good grip on causal relations between text qualities and effects
on readers, future research may consider using texts that are easier to manipulate. Short experimenter-generated narratives enable more accurate manipulation and allow researchers to minimize the amount of text variables that are
potentially related to the effects under investigation. The question remains,
however, whether the results of such a procedure have a bearing on the effects
of reading more complex literary texts. The present study illustrates that
predictions based on available research cannot account for all the effects that
were found. Also, it seems more likely that longer, and perhaps therefore even
more complex narratives (e.g., novels) have a stronger effect on self-concept
than short, experimenter-generated ones.

Notes
1.

Although point of view in Madame Bovary is often ambiguous, the omniscient narrator
gives readers direct access to Emmas thoughts, feelings and senses.

2.

The choice for Beatties story was prompted by Nussbaums Loves Knowledge
(1990: 261285). She says it is one of the few short stories that can enhance self-knowledge
like the complexity, the many-sidedness, or the temporally evolving plurality of a
lenghty novel can.

3.

Thanks are due to Will van Peer (University of Munich), Peter Garrett (English Department, University of Illinois), and Bob Wyer (Psychology Department, University of
Illinois) for their help in preparing these versions. Copies of the manipulated texts can be
obtained through the author (via the publisher).

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145

4.

Given the conflict between husband and wife in this story, it would have been interesting
to compare an Olga-version with an Osip-version (cf. Van Peer and Pander Maat 1996).
However, the plot did not allow Osip to participate in all the events.

5.

Using sentences similar to the example from Chekhov, Black, Turner & Bower (1979)
found that readers online situation models are influenced by a narrators spatial point of
view.

6.

Requests to obtain copies of the questionnaires used in this experiment should be


addressed to the author (via the publisher).

7.

Important to notice in the results of an analysis of variance is the level of significance (p);
values below .05 indicate that the null hypothesis (that there are no differences between
the groups) can be rejected. A reliability analysis of the scale for subjects moral
judgement yielded a coefficient alpha of .72. This suggests that we have here a reliable
scale. Due to practical reasons (available subjects, and time) the character evaluation task
was only given to the first 76 participants. Requests for copies of the complete reports on
all statistical results can addressed to the author (via the publisher).

8.

Another manipulation check failed, because the questions were misconstrued by too
many subjects and was therefore not considered.

9.

A MANOVA could not be performed, because the character evaluation task was completed
by the first 76 participants only. In hindsight, using perceived morality as a factor in a
MANOVA would have been a more appropriate method of analysis.

10.

Subjects who had indicated that they had never had a relationship were excluded from
analyses that involve past relationships.

11.

Notice that the two modes of moral awareness that were introduced earlier (the possible
selves and the social learning variant) lead to similar predictions on the present measure:
both conceptualizations suggest that sad endings lead to negative expectations about the
consequences of commiting adultery, and happy endings lead to positive expectations. In
both modes these effects are boosted by role-taking.

12.

I would like to thank Eva van Teeseling, Bernice Tjien A Fat, and Max Louwerse for their
help.

13.

F(4,38)=.513, p<.726; Covariate ACS: F(1,38)= 1.71, p<.201; Covariate Sex:


F(1,38)=.020, p<.888).

Chapter 6

Summary and Conclusion

6.1 Adequacy in ethical reflection


Following the previous deliberations, one may anticipate some straightforward answers, for instance to the inevitable question does reading literature
make us better human beings? Or does it make us more moral? Answers to
such questions have to be carefully framed, even if that may make them look
evasive to some. But indeed, there are some indications that reading literature
may enhance the adequacy of our ethical reflection.
Why do we need to be so cautious? First, we have few data to support this
assertion. Second, we can only speculate about what the effects of more
adequate ethical reflection are on the moral judgments we make in real-life
situations. For instance, reading narratives may stimulate more carefully
thought-out behavioral decisions regarding hypothetical situations. But we do
not know whether such reflections would counterbalance the personal costs
that are often involved in altruistic conduct. Third, we know very little about
what precisely causes these effects. As a result we cannot claim that particular
text qualities are responsible, nor that all literary narratives will have (positive) effects. Neither do we know whether literature has a monopoly on them:
there may be better ways of improving the quality of our ethical reflection than
through reading.
On the other hand, it cannot be maintained that there is no evidence for
the effects of literature at all. Stolnitz (1991) is obviously right when he says
we should regard claims about the effects of literature with skepticism. If, he
says, by this late hour of the day, no substantial evidence has yet been put
forth, then one moves to the conclusion that there is no evidence, that the
[Edification] hypothesis is therefore unproven, a gratifying now shopworn
vacuity (199). The state of the available research is not all that disconcerting,
however. The studies reviewed in Chapter 2, the research-based model of the

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Moral Laboratory in Chapter 3, and the experiments presented in Chapters 4


and 5 make it at least plausible that reading literature involves psychological
processes that contribute to the adequacy of our ethical reflection. As I see it,
this contribution consists of insight into human character and moral selfknowledge.
What these two components of ethical adequacy are comprised of can
best be explained with the help of an example, like the moral dilemma
presented in E.M. Forsters Where Angels Fear to Tread [1905]. The history
of the dilemma goes as follows: Lilia Herriton married an Italian, bore him a
baby, and died. Philip, Lilias brother-in-law from a previous marriage, and
her friend Miss Abott are to persuade Lilias widower to hand over the baby,
so that it can be brought to England. The plan meets with some complications:
Miss Abott finds that the father loves his baby very dearly, so she decides that
she cannot help Philip in obtaining the child. To her surprise, this does not
anger Philip in the least. He explains he cannot be angry with her, or anyone
for that matter, because he understands all positions in this conflict: Miss
Abott herself, the babys father and Lilias in-laws. You do understand
wonderfully, says Miss Abott, You are the only one of us who has a general
view of the muddle (1959: 165). Philips ability to comprehend all the
protagonists goals and emotions is what I previously called a pre-ethical
ability. Miss Abotts apparent irony may seem justified, but understanding the
position of several protagonists in an ethical conflict is undoubtedly to be
preferred to an understanding that does not go beyond one perspective (often,
our own). Scrutinizing and clarifying the positions is an essential part of any
ethical inquiry (cf. DePaul 1993; Palmer 1992). To do this successfully
requires insight into human character.
But there must be more to the adequacy of ethical reflection. Waking
Philip from his complacency, Miss Abott asks So what are you going to do?
Do? he echoed, rather dismayed, for he does not realize a choice is imminent. Miss Abott puts it to him thus: Do you want the child to stop with his
father, who loves him and will bring him up badly, or do you want him to
come to Sawston, where no one loves him, but where he will be brought up
well. There is the question put dispassionately enough even for you. Settle it.
Settle which side youll fight on (167). Philips ineptitude in this plight
illustrates that adequacy in ethical reflection involves more than having a birdeyes view of opposing positions. It also requires us to know when a decision
has to be made, and, even more so, it requires us to decide for ourselves what

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we think is important. In other words, we must clarify our norms and values
and be capable of relating them to acting. Thus, ethical adequacy comprises at
least of two elements: (1) insight into human character, that is, being able to
imagine other peoples emotions, thoughts, and goals; (2) moral self-knowledge, that is, knowing where one stands in moral matters.
The general suggestion of the present undertaking is that reading narratives (both literary and popular) may contribute to both. Empathic responses
play an important role in this. Readers place themselves mentally in the
position of fictional characters. This makes them realize what it must be like to
be in such a position. It also stimulates them to reflect on the consequences of
characters conduct and to clarify which moral decisions they would make in a
similar, hypothetical situation.
In this final chapter I will briefly summarize what led me to come to this
conclusion (Section 6.2). Then I will discuss what relevance the conclusions
may have for society (6.3) and where we need more research to further probe
the effects of reading literature (6.4).

6.2 Summary
What the past five chapters have argued each in its own way and following
its own line of argumentation is that reading literature enhances the
adequacy of our ethical reflection. In Chapter 1 we considered the views of
literary scholars and philosophers. Reading narratives is assumed to stimulate
us to reflect on ethical issues. This is what I called an ethical effect. It may also
affect our norms and behavior; these I called moral effects. Besides ethical and
moral effects narratives may be indirectly relevant to the quality of ethical
reasoning. Reading narratives is often assumed to involve certain mental and
emotional processes, some of which may train us and thus enhance certain
capacities that facilitate ethical inquiries. From there on, our response to
narratives may train our ability to interpret behavior in real-world situations.
These effects are not moral effects, because they do not necessarily change our
norms and values. Nor are they ethical effects, because they do not directly
involve reflections on ethical issues. But they do enhance the adequacy of our
ethical reflection. Therefore, I proposed to call them pre-ethical effects (after
Bronzwaer 1986). I will briefly review the alleged effects of reading literature.
A characteristic we do not only find in literature but also in many other

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forms of discourse, is narrative (1.3). One widespread assumption about


narratives is that they are an instrument of socialization: we learn the behavioral codes of our community through the stories we hear and read. Narratives
are assumed to be more effective in this respect than non-narratives. Preaching
moral norms will not be as powerful as exemplifying the importance of some
moral law by telling a gripping story.
Fictional narratives, it was proposed, have the same effect as narratives in
general (1.4). The fact that readers know that the events did not really happen
does not impede their impact. Narrative fiction describes what may have
happened in certain circumstances, thus representing a truth beyond the reality
of incidental facts. Therefore, literature can be considered a Moral Laboratory,
in which plausible implications of human conduct and ideas can be studied in
a relatively controlled and safe way. Readers can participate in the authors or
narrators thought experiments, and thus enhance their own knowledge of the
world. They can mentally place themselves in the position of the character, so
that their reading becomes an intense experience of the emotions, thoughts,
and desires people are likely to have in certain situations (1.5). These experiences are assumed to be of quite another order than the experiences one has in
reading popular fiction. If we learn about the inner-lives of others through
reading literary fiction, this may be expected to lead to more profound psychological insights, because literary characters are usually more complex than the
stereotypical beings encountered in more popular genres.
We may conclude that reading literary narrative is believed to increase
our knowledge of the human psyche. Mentally placing oneself in a characters
position leads to insights into the minds of others. It may also enhance an
awareness of our self, for example, of repressed emotional events (1.6). This
may be relevant for our conduct and social lives. Retrieving repressed memories may result in catharsis, a relief of negative emotions originating from
these memories. As a result, destructive impulses may be reduced, enabling
more reasonable judgment and behavior.
So, through identification with fictional characters we can explore our
selves. It may ferret out aspects of our selves we had unconsciously been trying
to forget. In addition, identification can be considered an opportunity to explore
possible selves. During an engaged reading experience we may experiment
with roles exemplified by characters, and thus discover who we would like to
be, or who we are afraid of becoming. This process may be a source of
personality changes, and some of these changes may have moral implications.

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151

Finally, there are reasons to assume that reading literature stimulates


ethical reflection (1.7). One reason to believe this can be found in the issues at
stake in many literary narratives. An overwhelming amount of literature deals
with ethical problems, with issues of social justice and responsibility, or with
moral abuses and their consequences. Again, this may not be unique to
literature. However, specific qualities of literary works are assumed to stimulate reflections of a more complex character than, for instance, television
soaps. Reading literature assumedly defamiliarizes our perception of the
world, thus renewing our awareness of particular moral issues. It may stimulate us to look at matters from a perspective different from the ones we got so
much used to that we hardly realize there may be other points of view.
Furthermore, literature usually does not dish up unambiguous answers to
moral questions. Thus, we are made aware of the complexity of ethical
problems. It may stimulate us to postpone our moral judgments and carefully
reflect on the choices that we would eventually make ourselves. This, at least,
is the concept of literature that in the Western world is taught in school and
widely accepted, also in literary criticism.
These presumptions about the effects of literature rarely have empirical
bases other than the theorists introspection. The quality of our knowledge
about literatures presumed effects would increase significantly, however, if
the available evidence were more widely known. Considering that proposed
effects are important for society, an overview of what the state of the art is in
this area is highly desirable. Chapter 2 therefore looked at pre-ethical, moral
and ethical effects of reading literature from the perspective of the social
sciences. There is some correlational evidence for the proposed effects (2.1),
which are also corroborated by self-reports of (nonprofessional) readers.
Although these findings undoubtedly bear a suggestion that reading literature
influences our lives, the methods involved do not allow any conclusions about
a causal connection. A search of relevant publications revealing such causality
yielded fifty-four experimental studies which were reviewed and evaluated
using standard criteria of validity and reliability. Direct evidence was found
for positive effects of reading (literary) narratives on moral development and
empathic ability, and on changes in norms, values and self-concept (i.e.,
nontraditional sex-role perception and increase of self-esteem). Furthermore,
reading caused positive and negative effects on attitudes toward outgroups.
Finally, some findings showed an enhancement of critical thinking and a
reduction of anxiety.

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All these variables are somehow related to the hypotheses generated in


Chapter 1. The alleged moral effects are best represented in studies demonstrating changes in readers sex-role perception (2.3). Story characters were
shown to function as role models. Thus, support was found for the proposed
socialization effect of narratives. Pre-ethical effects were best established in
studies showing an enhancement of moral development and empathic ability:
reading narratives boosts the ability to imagine the emotions and goals that
other people may have. It also enhances sensitivity to moral dilemmas, which
means that reading narratives increases the ability to imagine the consequences of choosing either alternative out of a predicament. With the available
evidence we can only conjecture that reading narratives also has an ethical
effect, that it stimulates reflection about ethical problems. However, it may be
argued that the effects of reading on moral development as registered in
various studies are caused by subjects ethical reflections during treatments.
Despite some blind spots, there is obviously some evidence supporting
our assumptions about the effects of narratives. It must be stressed, however,
that we need considerably more evidence to support the bold claims made in
Chapter 1. Too few studies were performed to allow meta-analyses and estimates of overall effects. Furthermore, there is hardly any evidence showing
that the effects were internalized. Most experimenters conducted their
posttests right after treatment. Thus it remains unclear whether the effects
were stable over larger periods of time. Moreover, we do not know whether
treatments caused only verbalized changes. If we want to gauge the potential
value of literature in individual lives and in society, it is crucial to gain a better
understanding of the effects of reading on readers attitudes and behavior.
Finally, we do not know exactly what it is in the stimulus materials that
is responsible for the effects that were established. Much of the evidence we
have pertains to both reading and other activities. Experimenters were often
solely interested in the effectiveness of a particular curriculum and not in the
effects of literature per se. Their treatments often included exposure to narratives and post-reading discussions about the moral dilemmas presented in the
stories. Intuitively this procedure increases chances of success, but it also does
make it difficult to determine the contribution of reading to the overall effect.
Another problem is that several experimenters tested the effects of exposure to
a number of texts, leading, for example, to a significant reduction of social
distance toward the outgroup. It is possible, however, that some of the texts
that were read actually had a lower, or even negative effect that got lost in the

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overall effect. In short, none of the studies allow us to pinpoint a causal


relation between specific text qualities and effects of reading. Comparing
what we hypothesized and what we know, we are left with the following
questions: Is it narrative form which causes the effects, or may the same
effects be obtained through reading other text genres, such as an essay
(compare the claims made in Section 1.4)? How essential is the role of
readers emotional involvement in the story (see 1.5 and 1.6)? And how
important are literary devices (1.5.2 and 1.7)?
To propose some possible answers to these questions, a model was
constructed (Chapter 3), outlining the processes that reading involves and,
where possible, linking these to the effects found in Chapter 2. Following
suggestions made by theorists and researchers, I focused on what is known
about readers empathic responses. Empathy (or more specifically, role-taking)
is defined as an emotional response to memories generated by imagining oneself
in the position of others, for instance, fictional characters. For such responses
to occur, readers first need to understand the story (Section 3.2.). While reading,
they form mental representations of the situations characters are in. These socalled situation models may include characters goals and emotions. Story
comprehension requires readers to refer to their real-world knowledge. As a
result of making inferences during the reading process, relevant domains of realworld knowledge become more readily accessible in readers memory. Literary
narratives are generally more demanding in this respect than popular narratives,
partly because literature typically confronts readers with more information
gaps. As a result, reading literary narratives is likely to involve a more active
use of knowledge of human motivation and emotions.
Forming a representation of a characters mental and emotional state is
still not sufficient for a role-taking response. There are two factors that may
intervene, the first of which is readers moral judgment. Readers are not likely
to take the role of a morally objectionable character. Second, readers self may
intervene: as said before, an empathic response is an emotional reaction to
readers memories associated with the characters situation.
The involvement of readers moral judgment, the model proposes, may
cause some norms to be more readily accessible in memory than others (priming
effect; 3.3). It may also cause what is called social learning: through observation of a models (i.e., characters) experiences readers learn which behavior
leads to which consequences in particular kinds of circumstances. Empathic
response to the models may add to this effect: the more intensely readers

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imagine themselves in the position of a character, the stronger their awareness


of the positive or negative outcomes of imitating characters behavior.
The model further proposes that the involvement of readers self in
empathic responses to fictional characters may cause changes in the way
readers see themselves (3.4). This may hold for their present selves (the way
they would describe themselves in the present), their past selves, as well their
possible selves. Such changes in self-concept do not stand on their own, for
they are likely to affect readers norms, behavior, and the way they perceive
others (social perception). Again, it is suggested that more involved responses
lead to stronger effects. Taking the role of characters may cause a more
personal awareness of norms: readers discover what they would do in certain
situations themselves, an effect that goes beyond the mere reminder of the
social appropriateness of a norm. Although people may repress discrepancies
between their moral self-concept and actual behavior, changes in the former
can potentially influence behavior.
If reading narratives affects self-knowledge, this has direct implications
for social perception. Research suggests that well-developed domains of our
self-concept equip us with the ability to recognize similar characteristics in
other persons. Furthermore, reading a lot of diverse stories presumably increases our range of abstract memory structures (scenarios). These represent
plausible combinations of situations, goals, emotions, and their probable
causal relationships. The more scenarios we have at our disposal, the more
successful we will be at interpreting other peoples behavior. Finally, repetitively taking the roles of characters can be expected to result in a habitual
empathic attitude toward fellow humans.
Although all the assertions made in Chapter 3 are based on psychological
evidence, some do not directly pertain to the effects of reading stories. For
example, the hypothesis that reading narratives involves social learning was
derived from evidence of such effects for narratives on video. Therefore,
some aspects of our model are uncertain (3.5). The main questions that
remained unanswered are: Does reading narratives cause a priming effect on
norms and knowledge of human nature? Is role-taking really as essential as
suggested by the model? More specifically, does readers empathic response
to characters enhance their moral self-knowledge ? And does it change the
way they perceive others?
Chapter 4 and 5 examined these problems empirically. In the three experiments reported in Chapter 4 it was found that reading stories does affect

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social perception, that is, readers beliefs about emotions and thoughts of other
people. We found indications that readers generalize what they learn about the
inner-world of a story character to humans in the real world. The design of the
experiments allowed us to conclude that it was readers role-taking that was
responsible for this effect.
Subjects were college freshmen who participated in the experiments as an
introduction to empirical studies of literature. In the first two experiments
subjects were randomly assigned to three conditions. The two experimental
groups read either an essay or a story and then completed a questionnaire. The
control group first completed the questionnaire and then read one of the two
texts. Both texts were on the same subject, namely the position of women in
fundamentalist cultures. And from both the subjects could infer that women
in those countries may not always resign themselves submissively to their
underprivileged position. However, it was hypothesized that the story would
be more effective in making readers believe that. The essay may provide all
the information subjects need to come to the conclusion that women may not
accept cultural norms for men-women relations, but the story allows them to
take the role of one of these women and feel for themselves what it would be
like to be one. Results showed that only the text with characters in it the
story caused the expected effects on beliefs about Algerian women. The
relevant information of the text being basically the same, it can be concluded
that the presence of a character in one of the two texts offered an opportunity
for readers role-taking behavior, and that it was therefore that this text had an
effect on beliefs.
To rule out the possibility that this finding was due to other differences
between the story and the essay an additional experiment was conducted. The
design and procedures were largely the same, except that, instead of comparing the effects of a story and an essay, two ways of reading the story were
compared, one with a higher degree of role-taking than the other. In one
condition subjects were asked to put themselves in the shoes of the main
female character (empathy-building instruction). In the other condition they
were asked to mark the structure of the story (a placebo instruction). It was
found that both treatments caused subjects to have different beliefs than the
control group, but that the group with the empathy-building instruction
changed their beliefs even more. This finding, in combination with the results
of the first two experiments suggests that readers role-taking caused the
effects on beliefs about Algerian women.

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The study reported in Chapter 5 examined whether and how reading


stories enhances moral self-knowledge. Subjects, college freshmen, read either a story by Ann Beattie or by Anton Chekhov. A control group read an
essay on political economy instead. In both stories a female subject commits
adultery, but the issue is dealt with in two very different ways. While Beatties
readers wait for the main character to make the right decision and leave her
cold husband for her affectionate lover, Chekhovs readers are shown that
adultery is a vice of this vain and fickle woman. It was examined what effects
these stories had on readers adulterous selves. Comparing the experimental
groups with the control group it was expected that story readers would have
better access to memories related to adultery (past selves). They would also
have clarified to what extent they see themselves as adulterous now (present
selves), and what they figure chances are of committing adultery in the future
(possible selves).
The main question, however, was which of two forms of moral selfknowledge the stories would enhance. Research discussed in Chapter 3 generates two contradictory predictions: a possible selves variant and a social
learning variant of moral self-knowledge. Some research led to the prediction
that subjects would believe that in certain circumstances they might commit
adultery too. Other studies suggest another effect. Social learning research led
to the prediction that punishment of characters adultery would cause an
inhibition of related (adulterous) selves.
To distinguish between these two forms of moral self-knowledge several
new versions of the stories were written. Story outcome was manipulated, thus
creating versions in which adultery was either rewarded (happy ending) or
punished (sad ending). If manipulation of story outcome has an effect on
subjects self-concept this would indicate the second, social learning form of
moral awareness. Furthermore, it was examined whether role-taking would
interfere in these processes. To do this, narrative perspective was manipulated,
assuming that readers take the role of the character through whose eyes they
perceive the fictional world. It was expected that taking the role of the
adulterous character would increase effects, both in case of the possible
selves and the social learning form of moral self-knowledge. If manipulation of narrative perspective caused any differences between the groups this
would indicate that the effect on moral awareness cannot just be a reminder or
priming effect but is presumably caused by role-taking.
The results suggest that the manipulation of readers role-taking re-

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sponses through narrative perspective may have been successful in the case of
the Beattie story and not in Chekhovs. It was found that the version written
from the perspective of the main female character incited subjects to give her
higher ratings on a morality scale than the same story written from the
perspective of other characters. This was assumed to be indicative of the
degree to which the subjects were likely to take her role while reading. Indeed,
the effects that were found were caused by Beatties story and were not
replicated in Chekhovs.
Second, we examined the effects of reading one of the versions of the
stories on subjects adulterous selves. Contrary to the predictions of both the
possible selves hypothesis and the social learning hypothesis, narrative perspective did not enhance significant changes in subjects self-concept. The
manipulation of story ending did not seem to have had any influence either.
This means that neither of the two proposed mechanisms is at work here.
However, further analyses of the data revealed that the manipulation of
perspective had been effective for male participants. Comparing the male
subjects who read the versions in which the adulteress focalized the fictional
events with male subjects in the control group, it was found that the former
scored significantly lower on the scale for future adultery. They were significantly less likely to state that it could be possible they would commit adultery
in the future. It seems that male subjects discovered what may be called notme selves. They temporarily took the role of someone who commits adultery,
which enhanced a clarification of their self-concept in the domain of adultery.
This cannot have been caused by social learning, because the effect holds for
both sad and happy versions of the story.
Furthermore, it was examined what effects the stories had on subjects
expectations about the consequences of committing adultery. Results show
that the sad version of Beatties story, written from the perspective of the main
female character, caused subjects (male and female) to believe more strongly
in the negative effects of secret affairs than the control group. The fact that this
effect was not found for the sad version focalized by other characters again
presents an indication of the effects of role-taking (compare 4.3). Also, this
finding is in accordance with the conclusion of Chapter 4 that reading narrative fiction can affect real-world beliefs. Finally, it was examined what effects
reading the stories would have on subjects imagination about the thoughts,
emotions, and motives of an adulteress. Contrary to expectations, it was found
that the stories did not enable readers to mention more reasons for someone to

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commit adultery than the control group subjects. However, one indication was
found that reading stories may bias social perception, more specifically, the
first thing that springs to our mind when we make attributions about the
behavioral motives of others. This effect was found for the version written
from the perspective of the main character and not for the story written from
the perspective of the other characters. Again, this suggests that role-taking
plays a significant part in the effects of story reading.

6.3 Implications for society


6.3.1 Moral edification
Plato wanted literature banished from his utopian state because of its dubious
moral effects, but the studies reported here have found no empirical evidence
to justify such a policy. The results generally imply the contrary. Therefore,
concluding this project, an argument can be developed for a more prominent
place for narratives in society. Most of the implications of the findings pertain
to a role for literature in moral education. Talk of the relation between literature
and ethics may have a somewhat antiquated ring about it. It may remind some
of the didactic stories from which readers are supposed to learn moral rules. By
now, though, it must be clear that the data collected in this study do not support
a plea for a moralistic transfer of norms through stories. The evidence suggests,
rather, that narratives can play a role in moral edification, a way of thinking
rather than a way of judging. Our postmodern and multicultural society offers
little basis for moral education based on one single set of norms. Because there
is still a need for moral upbringing, educationalists have been looking for
alternatives. One possible solution is to focus on form rather than content.
Instead of preaching moral laws, teachers may facilitate the development of
moral reasoning by the training of social skills, or pre-ethical abilities that
support ethical reflection, and the development of strategies for making moral
decisions (see also Vitz 1990; Palmer 1992 and DePaul 1993).
The first of these skills is empathy. Empirical evidence for the effects of
reading stories on empathy was discussed in Chapter 2. In addition, the results
of the experiments (Chapter 4) suggest that stories are more effective in
changing beliefs about others than essays. These effects are probably caused
by readers role-taking responses. Stories may make us more sensitive to the

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implications of being in situations like the characters: the possible emotions


involved, the conflicting goals the protagonists of ethical conflicts may have,
the consequences of alternative courses of action.
The second component of moral edification should be self-knowledge. I
have presented evidence that narratives affect readers self-concept. One
essential aspect of the self-concept, a persons sex-role perception was convincingly shown to be open to influences of models presented in fictional
narratives. Furthermore, psychological evidence suggests that empathic responses to narratives may be a way to improve access to ones past selves and
a way to explore ones possible future selves. These processes may clarify
ones moral self-concept. In Chapter 2 and 5 we found that certain forms of
reading enhance awareness of personal norms. Through identification with
characters we learn what it must be like to be someone else, for instance,
someone with a set of norms and values different from our own.
It may be argued that such an effect leads not to clarification but rather to
relativism: any norm is as good as another. This position is obviously no basis
for moral decisions, partly because it does not recognize the incompatibility and
downright conflicts between various value systems. However, the evidence
suggests that role-taking responses to narratives do not lead to relativism or
moral indifference. The engaged experiences of readers who imagine themselves in the position of fictional characters stimulate them to reflect on where
they stand themselves. In Chapters 4 and 5 we found evidence of increasing
moral self-definition and decreasing impartiality among subjects. After reading
a story about a maltreated woman in Algeria, subjects decided Algeria must be
the worst country for women to live in. Some control group subjects noted that
they believed that women in Algeria are unlikely to know any better than to
accept Algerian norms for men-women relations. In other words, if you grew
up in Algeria you do not mind being scolded or bullied. Subjects who had read
the story, however, did not make such relativistic remarks. Results presented in
Chapter 5, finally, did not suggest an anything goes effect on attitudes either:
reading a story about an adulterous woman sharpened rather than blurred
readers awareness of personal norms of marital fidelity.
As a third component of moral edification I would like to propose selfdiscipline, a proposed pre-ethical effect of reading narratives, or emotional
intelligence, as it is more fashionably known (Goleman 1995). Goleman
discusses psychological evidence to argue for the use of an Emotional Intelligence coefficient as a counterpart of IQ. Personality variables like empathy,

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self-knowledge, and self-discipline, he argues, are more important to attain


happiness and success in life than brains. One of the studies Goleman quotes
illustrates the importance of self-discipline. Mischel (1976) developed a
simple test to diagnose personality differences at an early age. A group of
four-year-olds was given a choice: take one marshmallow now, or wait for ten
minutes and get two. Thus, the group broke up in two subgroups: subjects
with, and without self-discipline. Fourteen years later these children were
called upon again. Results of several psychological tests revealed striking
differences between those subjects who had grasped the one marshmallow and
those who had shown self-restraint and got two. Subjects who had been able to
control themselves were better at coping with frustrations and stress. Their test
scores showed more perseverance and power of concentration. They had more
self-esteem and better results at school than those subjects who had given in to
their impulse to eat the directly available marshmallow.
Considering the importance of this factor of emotional intelligence, parents
and teachers may want to know about ways of developing it. One particularly
suitable instrument may be literary socialization. Enjoying literary texts,
especially the long ones and poetry, requires tranquillity and patience. Young
readers have to be familiarized with the gratification of perseverance. Chances
are that frequent reading will result in a training of the ability to resist immediate
pleasures for the sake of greater gratification later on (cf. Van der Bolt, in press).
Some evidence reviewed in Chapter 2 suggests that literature programs can
have a cathartic effect and enhance self-esteem, a finding that could be
indicative of an enhancement of self-discipline. Opposite effects may be
expected from the apparent rival of reading, that is, television. Studies show that
restricting television viewing decreases intellectual impulsiveness and increases reflectivity (see Van Peer 1988).
So, literatures contribution to moral edification consists of empathy,
self-knowledge, and self-discipline, three of Golemans EQ factors. But do we
need literature for this? Maybe children can just as well follow some of
Golemans Life Skill Classes, and adults might just as well read self-help
books to enhance their emotional intelligence? I think literature offers a
valuable alternative. For a start, some may prefer literary fiction over lifelessons booklets. This may seem an unimportant observation, but when one
considers the possibility that these EQ skills require frequent maintenance, the
attractiveness of style becomes a point of consideration. Moreover, reading
literary narratives involves a wider variety of experiences than self-help

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classes or booklets. We have found that reading narratives can change social
perception and self-concept, and that role-taking contributes to these effects.
Time spent reading may therefore be more effective than reading a self-help
booklet. While we read one novel we may encounter many situations we are
unfamiliar with. We may take the roles of many characters, and learn salient
details about these characters histories and inner-lives. Also, we may learn
about how one may act in a concrete situation, and what consequences that
may have.
6.3.2 Valuable reading
Many governments promote reading. Teachers stimulate their students to read.
Parents wish their children read more and watch less television. But what makes
reading so valuable? In this study we did not refer to just any reading matter but
predominantly we dealt with narratives (mostly fiction), a kind of writing that
can accommodate characters and plot development. We distinguished literary
from popular fiction and have focused on how reading fiction (in particular
literary fiction) may change us, how it may enhance our thinking about ethical
problems, and how it may sharpen awareness of norms and values. If the effects
on the readers that were examined are part of the reason why we think such
reading is valuable, I submit the following recommendations.
The first is an engaged approach to literary narratives. Instead of an
analytic historiographical approach, which focuses on the life of the author
and the social background of literary works, students should be stimulated to
link the fictional events with their own lives (cf. Hynds 1989). Several
researchers have noticed a need for self-exploration among adolescents. They
have proposed that literature may be of service in that respect (cf. Bloom
1987). More research is needed to underpin such claims, but presently we
have gathered some evidence to seriously take such a function into account. In
the experiments we tried to pinpoint the psychological processes responsible
for the effects of reading on the way we perceive others and ourselves. The
results indicate it may be in particular role-taking which causes the effects.
Finally, discussions that relate literature to readers lives may be helpful in
boosting moral development.
The second recommendation is not to drop the distinction between literary and popular reading. Literary reading can be defined in terms of the
quality of the reading matter, as well as in terms of reading style. Literature as

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it is taught and learnt in school does not present an oversimplified vision on


human psychology like popular genres do. Instead, it stimulates readers to try
out another perspective on ethical issues and it forces them to consider and
reconsider their moral judgments. Empirical evidence shows that literary
narratives are read slower than popular narratives. This retardation may be due
to convention or to text qualities. Anyhow, it allows readers to develop
empathic responses that involve higher levels of cognitive processing than the
direct reflexive forms of empathy generated by the more swiftly consumed
genres. In other words, readers of literary narratives have more time to reflect
on what is actually said and what that could mean to them.
The final recommendation I would like to make may sound politically
correct, but it should not be omitted. One problematic consequence of talking
about the effects of literature is that we may find some effects to be undesirable. Thus, the matter of censorship arises. If narratives can affect beliefs, they
can be used for all sorts of purposes, good and bad. It was established that
reading changes readers perception of other people change, not improve.
In Chapter 4 we found that readers may generalize what they learn about a
character to people in the real world. The story we used described a certain
state of mind of an Algerian woman. Subjects considered this description to be
representative for Algerian women in general. In this case they may have been
right. Nevertheless, we cannot exclude the possibility that incorrect representations may affect their beliefs as well. Some experimenters did establish
effects we may consider undesirable. Other experimenters found that the
presentation of sex-roles and outgroup members in childrens literature affected attitudes in positive ways. It should be emphasized that there is no
meta-analysis available, so before calling for wide-scale governmental intervention more research into these phenomena has to be carried out. In the
meantime, writers, teachers, parents, and critics should not underestimate
negative effects of biased representations.
There are probably many more arguments in support of reading literature
that may be added to the ones that have come forward in the preceding five
chapters. For example, literary texts obviously have a richer vocabulary than
popular ones. Reading may be much more effective in learning new words
than language exercises. A richer vocabulary means more ways of expressing
ourselves, which in turn has implications for achieving success in public and
private life, and perhaps also enriches our most personal emotional life.
Moreover, understanding nuances of expression in ones own language seems

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a requirement for learning other languages. And this, in turn, may have
practical implications.

6.4 Future research


Throughout this book I have stressed the importance of examining the effects
of literature empirically. In the introduction to Chapter 1, however, I anticipated some objections to such an approach. To some the present study must
seem a typical product of a time in which everything has to have its use and
preferably contribute to personal success and economic growth. After all, how
many true lovers of literature care about the positive effects of reading on their
vocabulary and the consequences this may have for their position on the job
market? This study may also seem a product of a time in which things that
cannot be assessed scientifically and expressed in numbers are considered
nonexistent. Empirical research obviously tends to reduce complex realities
(e.g., the value or effects of literature) to measurable, seemingly superficial
variables.
Let me consider such criticism. In my view it is impossible to speak
meaningfully about the importance (or the harm) of any object without making claims about its effects. Even the purest lart pour lart conceptions of
literature imply assumptions about some effect on readers. For instance, it
may be suggested that reading literature leads to a higher or more detached
sense of morality (cf. Booth 1988). Even claims that seem to reach no further
than that literature is a diversion from humdrum daily life, or provides readers
delight in beautiful stories, language, and images, entail assumptions about the
effects of reading. For example, these claims are a way of saying that literature
helps readers through the day, giving them respect for things of beauty, or
makes them realize that some things are goals in themselves, not means to an
aim (cf. Beardsley 1958; Nussbaum 1991). Hence, even the most radical
rejection of extra-literary valuation of literature implies hidden assumptions
about the value and effect of reading. But are they true or void? Over the
centuries theorists have formulated interesting ideas about the importance
(and effects) of literature. But that is no reason to accept them. At some point
we may consider to declare them open to falsification.
A second observation I would like to make in response to anticipated
criticism is that one should not be too quick to decide that the value of literature

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is indefinable and immeasurable. The survey presented in Chapter 2 revealed


that several hypotheses put forward in Chapter 1 can, and were, put to the test
in experimental settings. To further explore this field obviously requires
interdisciplinary cooperation between literary studies and psychology. New
ways have to be found to put potentially interesting hypotheses to the test.
Literary researchers can contribute to psychological research by virtue of their
sensitivity to texts and their knowledge of the techniques authors allegedly use
to affect their readers. Psychologists have a command of the proper methodology to examine the hypotheses of literary scholars. Thus cooperation may
enhance the understanding of literature and of how it affects us.
Empirical research of literature has often focused on the effects of readers backgrounds on interpretation. These studies are essential to understand
the ethical effects of literature. For example, we may find that readers typically select texts that seem to endorse their norms and confirm their beliefs,
while text aspects that collide with their norms may be ignored. The present
study proposes an additional perspective: without forgetting the role of readers background, what can be said about the effects of texts on the reader?
What implications does such a perspective have for literary studies in
general? Most literary scholars are concerned with some historical era; and it
seems almost impossible to establish the effects on readers who are no more.
Nevertheless, some researchers have made attempts to reconstruct interactions
between reading on the one hand, and public opinion and historical events on
the other. Darnton (1995a/b), for example, has argued that the origins of the
French Revolution may be found in illegal bestsellers of the time. These
include a kernel of Enlightenment literature. In this corpus of texts Darnton
recognizes an arena in which the final battle between the old and new order
was fought out. He does not suggest a simple causal relation between the
publications of Voltaire and Rousseau and the fall of the Ancien Rgime.
Most of the people who stormed the Bastille (if indeed they stormed it) had
probably never read them (or anything) at all. There does seem to be, however,
an interaction between a world of rumors and that of print which created an
atmosphere in which the old order could no longer survive.
It must be clear that this dimension of literary studies will often comprise
much speculation and little evidence. But given the results of the present study
it seems there is some ground to suspect that there are relations between
historic events and what the participants of these events had been reading (cf.
Van Peer 1994).

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Another field that needs attention and which will possibly pay off, is
educational research, especially on curriculum development. For example, the
empirical study of literature may contribute to the development of curricula
for the teaching of history. If stories can bridge geographic and cultural gaps
between women in fundamentalist cultures and Dutch college students (Chapter 4), then there is reason to believe that boundaries of time can be crossed as
well. For instance, stories may help students to understand the modern history
of the Balkans. A history textbook on the region is undoubtedly the best
source of systematic information. On the other hand, a novel such as Ivo
Andrics The Bridge over the Drina may give students a better feel of the
origins of the many conflicts in this region.
A promising area of educational research is the effects of narratives on
moral development. Standardized tests to gauge moral development of both
adolescents and adults are available, which, when enough single studies are
available, would allow us to carry out meta-analyses, thus significantly fostering our understanding of literatures ethical effects. Moreover, there is already
some groundwork that future researchers can build on. However, as noted
before, we do not know what exactly in literature curricula causes the effects
a problem that should be addressed in the future.
Besides studying the possible function of literature in education, researchers may want to look at other areas of training as well. Reading
narratives, one may hypothesize, contributes to training at management, law,
and nursing schools. This idea is not new (cf. Czarniawska-Joerges & De
Monthoux 1994; Weisberg 1992; Nussbaum 1991). At the office for Public
Management in London participants of workshops study problems and dilemmas of leadership through reading the plays of Shakespeare. Organizers and
course-members seem to agree on the usefulness of literature: the texts offer a
view of reality sharper than direct perception in daily life could. Participants
are confronted with aspects of themselves they usually overlook. They play
out parts of the plays that seem significant to them personally, and thus, they
feel they explore and improve their own style of leadership. They discover
their values and what motivates them a form of self-knowledge that is
generally recognized by management theorists as fundamental for leadership.
Moreover, the plays function as case studies, they report. Reading the texts
refines their political awareness, or their ability to read situations, to understand what people in ones environment think and feel.
Many other types of jobs require an adequate insight in people too. The

166

The Moral Laboratory

daily routine of a policeman or nurse may automatize the perception of


suspects or patients. Literature may renew our awareness of Others. It may
help us to see them as goals in themselves, not as means (cf. Nussbaum 1991;
Palmer 1992). Again, it may help us to imagine what it would be like to be in
their position. For this purpose, too, research is needed to develop and evaluate literature-based programs.
If one accepts the findings of this study new areas of research present
themselves. But it should be emphasized that our conclusions leave several
questions unanswered, and a lot of work still remains to be done. For example,
some may want to know more about what typically literary effects are as
opposed to the influence of other media. Many of the available studies pertain
to the effects of stories without making a proper distinction between literary
and popular narratives. Further research may want to test the relevant hypotheses of Chapter 1 that have not yet been addressed by empirical research. For
instance, it was assumed that the psychological depth of literary characters
would sophisticate readers concepts of other peoples emotions and motives,
while the stereotyped characters of popular fiction would oversimplify their
psychological inferences (PE3; see 2.5). We found no studies to support this
suggestion. Also, no evidence was found for the pre-ethical influence that
defamiliarization is often credited with (PE6). Chapter 3 presented a researchbased model on which future researchers can build. The model presented
some missing links which were examined in the experiments of Chapters 4
and 5. It was found that reading narratives can affect social perception and
opinions. The results also support the idea of narratives as a moral laboratory:
readers identification (or more accurately, role-taking) and thus the involvement of readers self-concept in fictional experiments contribute significantly to the effects on self-concept and social perception. Of course, we
cannot rely on just one set of experiments; more studies are needed to replicate
these findings.
Then, the conclusion of Chapter 4 left us with another, more specific
problem. Rorty (1989) suggested that through identification with characters
who represent people from other cultures, we may discover that these people
are not all that different from us. This belief in similarity would increase
feelings of solidarity. Considering the potential of such effects, Rortys suggestion deserves serious consideration. In Chapter 2 we quoted several studies
that demonstrated a reduction of social distance toward outgroups as a result
of reading stories about these groups. This may be indicative of perceived

Summary and Conclusion

167

resemblance. However, in the studies of Chapter 4 no relation was found


between an effect on beliefs about others (the position of women in Algeria)
and solidarity (the willingness to accept female Algerian refugees). This
finding is counterintuitive and in contradiction with results of empathy research showing that perceived similarity leads to altruistic attitudes and conduct. Further research should therefore examine whether length of treatment
(reading several stories instead of one) would enhance solidarity. Furthermore, one may want to replicate the findings of my experiments using other
stories and testing the effects on beliefs about other outgroups. Natural experiments in which effects on altruism are tested could solve essential problems
we are still stuck with.
Can literature make this world a better place to live in? We have seen that
philosophers, critics and other theorists agree that reading literature may help
us to cultivate humanity. In her latest book, Martha Nussbaum (1997)
explores how literary education can promote world citizenship, how it can
stimulate critical thinking about society, how it can enhance scrutiny of our
moral self-concept, and how it can wrest from our frequently obtuse and
blunted imaginations an acknowledgment of those who are other than ourselves, both in concrete circumstance and even in thought and emotion (111
112). Nussbaums ideas have been an important inspiration for this study. Her
arguments make clear that the stakes are high: if reading literature does have
all these effects, the liberal education program she proposes should indeed be
supported. But we should also beware of tall tales. In that respect, it must be
emphasized that the methods used in the present study can only allow us to
make claims about short-term effects. Most of the conclusions pertain to
changes that were assessed directly after reading the stories. Therefore, we
cannot be sure whether the results reflect more or less permanent changes.
There are, however, statistical techniques that allow us to establish such
effects, but as of yet, these have not been attempted. If reading literature really
can cultivate humanity, this may be the way to find out.
The last decade has seen a series of stout volumes on the effects of
literature on our lives. Theories of literature, however persuasively put, beautifully phrased, intuitively right, or based on the most compelling introspection, can be wrong. The aim of future research should be to try to falsify these
theories. As Alain de Botton (1997) puts it, closing his essay on how reading
Proust changed his life and how it might change ours, we can have a very lofty
idea of literature, and at the same time have a good-natured laugh at it. We

168

The Moral Laboratory

should learn to appreciate its benefits as well as its limitations. Writers may
help us conceptualize the world around us, they may sensitize us to our own
feelings and to the qualities of people around us, but in the end we must
distance ourselves from their perspective and see and feel for ourselves. And
this may hold for both writers and readers: in the end even the finest books
deserve to be thrown aside (De Botton 1997: 215).

Appendix

Table I. Norms and values


Sample

Design

Tests

Results

Berg-Cross and
X1 listen to story about
Berg-Cross (1978)
sex-roles
X2 about friendship
X3 about death
X4 about risk-taking

Authors

Treatments

120
46 year

RO
ROXO

Attitude test
(versions A & B)

Positive effects for


all concepts (p<.01)*

Brandhorst (1973)

X1 read The Scarlet


Pimpernel
X2 read A Tale of Two
Cities

N=?
OXO
1516 year

Attitude toward French


Revolution, aristocracy,
equal rights, and capital
punishment

No effects

Burt (1972)

59
inmates

RO
ROXO

Personal Values Abstract,


Socialization Scale,
attitude test

Effect on attitude
V T
toward addiction and
stealing; Blacks
serving over 37
months scored higher*

Freimuth &
Jamieson (1977)

X1 read The Lottery


and see film version
X2 same, plus discussion
trailer

219
15 year

O
OXO

Attitude toward violence,


God, parents, mother,
killing, love, authority,
etc.

Both treatments had


TSH
negative effect on
(C)
attitude toward
community, cohesion,
patriotism, conformity,
tradition (p<.05)
Some effects were
inhibited by trailer

Milgram (1967)

X1 read and discuss


80
classic literature
17 year
X2 same for contemporary
literature

OXO

Student Beliefs, attitude


toward responsibility,
loyalty, friendliness,
courage, honesty

No effects

read and discuss six


books, bibliotherapy
twelve weeks

Problems**

T
S? H?

T
S? H?
(C)

Table I. Norms and values continued


Authors

Treatments

Sample

Design

Tests

Results

Problems**

Keener (1977)

X1 course on poems
88
expressing anti-hunting
sentiments, perform
poems
X2 same, but observe
performance

O
OXO

Attitude toward hunting

Effect of X1

T
S? H?
(C)

Kigar (1978)

X1 read value oriented


75
literature and write
college
response
students
X2 same for philosophical
essays

RO
ROXO

Personal Oriented
Inventory (Shostrom)

No effects on values*

T
(C)

Schram &
Geljon (1988)

X1 affective approach
to World War II
literature
X2 same with cognitive
approach
three sessions, three
weeks

OXO

Moral judgments related


to World War II

Unexpected effect of
X1: more explicit
judgment, wholesale
condemnation of
collaborators

S T
H?
(C)

55
18 year

R=Randomization of subjects; O=Testing; X=Treatment; OO=Posttest followed by delayed posttest; *. Reliable claims. **. S=Selection; T=Testing
or learning effect; H=Hypothesis-guessing; I=Instrumentation; D=Diffusion; J=John-Henry; V=Volunteer sample; A=Absence of pretest and no
randomization; (C)=Confounded.

X1 listen to tape of
33
summaries of
13 year
adolescent novels, read
chapter, write response
X2 same plus group
discussions

Gallagher (1978)

Garrod (1982)

Johnson (1990)

N=?

OXO

ROXO

ROXO

Design

RO
ROXO

focussing on values
1718 year OXO
(fairness, identity,
friendship), literature,
film and activities

English curriculum

90
girls

X1 read 18 stories,
34
systematic discussions 10 year
X2 read-only, naturally
occurring discussions,
eighteen weeks

Biskin &
Hoskisson (1977)
Study 2

literature program,
plays, stories, poems,
a novel, and articles,
ten weeks

X1 read seven stories,


20
systematic discussions 910 year
X2 read-only, naturally
occurring discussions,
seven weeks

Biskin &
Hoskisson (1977)
Study 1

Sample

Treatments

Authors

Table 2. Moral Development

Defining Issues Test


(Rest)

(Kohlberg)
Ego Development
(Loevinger)

Moral Development

Rests Defining Issues


Test

Moral Judgment
Interview (Kohlberg)

Moral Judgment
Interview (Kohlberg) (C?)

Tests

S? H?
(C)

VT
S? H?
(C)

T
(C?)

Problems**

Effect of X1 on P-index
T H?
(p<.015); effect of
(C)
X2 on D-index (p<.025)*

Development
Effect on Ego
Development

No effect on Moral

Effect on all pretest


levels (p<.01)

Significant effects, X1
greater gains than X2*

No effects*

Results

X1 read two adolescent


105
RO
novels, structured
1415 year RXO
discussion
X2 same, plus write essay
X3 same as X1, but unstructured discussion

Kinnard (1986)

Tests

Defining Issues Test


(Rest)

Kohlbergs Moral
Reasoning Test

Problems**

X2 had effect, (p<.002);


X1, (p<.09); X3 had no
effect*

Effects (p<.05); no
differences between
groups*

TH
(C)

T H?
(C)

No differences between
TH
groups; below mean on
(C)
Cognitive Skills (p<.035)
below mean on Reading
Skills (p<.015); none
on second testing*

Results

R=Randomization of subjects; O=Testing; X=Treatment; OO=Posttest followed by delayed posttest; *. Reliable claims. **. S=Selection; T=Testing
or learning effect; H=Hypothesis-guessing; I=Instrumentation; D=Diffusion; J=John-Henry; V=Volunteer sample; A=Absence of pretest and no
randomization; (C)=Confounded.

RO
ROXO

RO
Defining Issues Test
ROXOO (Rest)

X1 listen to stories,
83
discussion
13 year
X2 case-accounts of same
stories, teacher argues
one stage higher than
subjects
X3 same as X2 with stories
X4 same as X2 with neutral
teacher

295
15 year

Keefe (1975)

literature program
based on Kohlberg,
discussion, additional
dilemmas
three weeks

Design

Justice (1989)

Sample

Treatments

Authors

Table 2. Moral Development continued

X1 story curriculum
X2 problem solving
program, ten weeks

Bilsky (1989)

Healy (1980)

Milner (1982)

Wiley (1991)

400
4 year

56
35 year

N=?
10 year

328
14 year

Sample

O
OXO

O
OXO

O
OXO

RO
RXO

Bronson Social and Task


Skill Profile; observation
of altruistic conduct

Interpersonal Awareness
Test

Feffers Role Taking


Task

Awareness of
Consequences Scale;
Prosocial Motivation
Questionnaire

Design Tests

No effects*

Effect on empathy level


(p<.05)*

No effect
on role-taking
abilities

X1 and X2 had effect


on AC (p<.000), and
PMSQ (p<.019)*

Results

Problems**

S?
(C)

T
S?
(C)

TH
S?
(C)

H
(C)

*R=Randomization of subjects; O=Testing; X=Treatment; OO=Posttest followed by delayed posttest; *. Reliable claims. **. S=Selection; T=Testing
or learning effect; H=Hypothesis-guessing; I=Instrumentation; D=Diffusion; J=John-Henry; V=Volunteer sample; A=Absence of pretest and no
randomization; (C)=Confounded.

curriculum based
on fairy tales
eight weeks

read two novels, four


plays, post-reading
activities, five weeks
five sessions

Treatments

X1 read story with


prosocial dilemma,
interviews
X2 same with others story

Authors

Table 3. Empathy

N=?
10 year

X1 read six stories about

Indians
X2 same plus discussion
tree weeks

Brisbin (1971)

Fisher (1965)

Geiger (1975)

Gimmestad and
De Chiara (1982)

read plays about


minorities, postreading activities

read popular fiction


on WW II

X1 read and discuss


Huckleberry Finn
X2 read at home

Frankel (1972)

read and discuss


literature with positive
representation of
blacks

X2 listen to seven stories


about disabled persons,
two weeks

Beardsley (1979)

OXO

OXO

RO
RXO

RO
ROXO

Bogardus Social Distance


effects (p<.000)

Attitude toward Soviets


and aggression

Semantic Differential,
Picture Projection Test

Attitude Scale

Paired-Comparison
Ranking; Galvanic Skin
Response

Childrens Social Attitude


Test

O
Adorno Ethnocentrism
OXO O Scale

Design Tests

249
RO
15 year RXO
boys
559
O
911 year OXO

52
14 year

24
10 year

220
8 year

52
18 year

X1 reading and discussion


X2 read-only

Alsbrook (1970)

Sample

Treatments

Authors

Table 4. Attitude change toward outgroups

Negative effect on
attitude toward Soviets,
(p<.05)*
Small but significant

X1 and X2 effect on
attitude, X1 more than
X2

more than X1; X1 had


more effect on girls;
X2 more on boys; most
effective for social
economic middle group

Effect of X1 and X2; X2

Effect on Ranking
(p<.05), not on GSR*

No effects*

X1 and X2 caused
reduction; X1 was most
effective

Results

TS
H? I?
(C)

HT
S?

S? H? J?

(C)

T
H?

HVS

Problems**

X1 black poetry read by


teacher
X2 X1 plus discussion
by teacher
X3 X1 but read by trained
storyteller
X4 X3 plus discussion by
storyteller

Hayes (1969)

Heintz (1988)

Jackson (1944)

Kimoto (1974)

Litcher and
Johnson (1969)

Schwartz (1972)

read multi-ethnic
reader textbook,
four months

minority literature in
regular curriculum
three months

listen to story
(12 minutes)

read and discuss six


fiction, two nonfiction
texts and one
photographic essay
six lessons, stories
about elderly people

Treatments

Authors

290
10 year

65
7 year

137
1011
year

N=?

201
6 year

54
16 year

Sample

Table 4. Attitude change toward outgroups continued

RO
RXO

O
OXO

O
OXO
O

RO
ROXO

O
OXO

OXO

Semantic Differential;
opinion of blacks; Social
Situation Questionnaire

Clark Doll Test; Show Me


Test; Categories Test

Bogardus Social Distance


Mays Modified
Taxonomy

Hickley (A and B form)

Attitude test

Bogardus Social Distance


Hickley (A and B form)
Thurnstone

Design Tests

No effects; storyteller
had more effect than
teacher*

Effects (p<.000),
Categories test (p<.018)*

Effects on subjects with


low social distance at
pretest level

Small effect, diminished


after two weeks*

No effects

Attitude change, p<.001


(p<.001) effect was due
to male subjects

Results

H other
S?
(C)

T other
H? S?

T
H? S?
(C)

Problems**

X1 listen to 25 stories
with positive
representation of elderly
X2 same with negative
representation of elderly

X1 favorable stories and


articles about Eskimos
X2 same, with unfavorable
representations

X1 read three novels about


blacks
X2 same, plus discussion

Stone (1985)

Tauran (1967)

Zucaro (1972)

N=?
11 year

200
8 year

299
8 year

Sample

O
OXO

RO
ROXO

RO
ROXO

Attitude test

Attitude toward Eskimos

Childrens Attitude Toward


the Elderly

Design Tests

X2 had stronger effect


than X1; significant
rise over four testings*

Effect, direction
dependent on
treatment*

X1 had positive effect;


significant difference
between X1 and X2;
negative effect of X2 on
boys only

Results
S

S? H?

T
H?
(C)

Problems**

R=Randomization of subjects; O=Testing; X=Treatment; OO=Posttest followed by delayed posttest; *. Reliable claims. **. S=Selection; T=Testing
or learning effect; H=Hypothesis-guessing; I=Instrumentation; D=Diffusion; J=John-Henry; V=Volunteer sample; A=Absence of pretest and no
randomization; (C)=Confounded.

H?

Treatments

Authors

Table 4. Attitude change toward outgroups continued

X1 read and discuss


stories about working
mothers
X2 read and discuss
career information

X1 listen to five stories


portraying egalitarian

Ashby and
Wittmaier (1978)

Barclay (1974)

Flerx et al. (1976)


Study 1

X2 as in study 1
X3 egalitarian films

X1 listen to stereotyped
stories
X2 same stories, but
reversed roles

Study 2

McArthur and
Eisen (1976)

Sample

Design Tests

RO
ROXO

36
5 year

5 year

46

RO
RXO

Persistence on
difficult task
(minutes)

ROXO ODoll-Choice Test

Doll-Choice Test
(A and B)

Picture Test

RO
Picture Choice Test;
RXO O Adjective Checklist;
Job Checklist

76
OXO
35 year
roles

79
5 year

128
9 year

Results

X1: boys persisted longer


than girls and boys in
groups; X2 showed
reversed trend for girls,
not significant*

(p<.001); X3 more than


X1 and stronger after 7 days;
X1 and X2 more effect on
girls on 1st testing*

X1 and X3 had effect,

X1 enhance egalitarian
attitudes (p<.001);
more effect on girls and
5 year-olds*

Only effect of X1

X2 affected girls on all


tests; on second testing
only on the Adjectives*

Problems*

H S

T H D
(C)

HS

R=Randomization of subjects; O=Testing; X=Treatment; OO=Posttest followed by delayed posttest; *. Reliable claims. **. S=Selection; T=Testing
or learning effect; H=Hypothesis-guessing; I=Instrumentation; D=Diffusion; J=John-Henry; V=Volunteer sample; A=Absence of pretest and no
randomization; (C)=Confounded.

X1 as in study 1

Flerx et al. (1976)

X2 five stories portraying


traditional roles; 30
minutes, one per day

Treatments

X1 listen to two stories


about women in
traditional careers
X2 same, about women in
nontraditional careers

Authors

Table 5. Attitude toward Sex-roles

curriculum using black


literature

60
14 year

228

450
1011 year

220
11 year

O
OXO

O
XO

RO
ROXO

RO
RXO

ROXO

Results

adjustment and total


score on the CTP*

X3 had effect on personal

X2 effect on gifted; X1
on non-gifted subjects

Tennessee Self-Concept
Scale

Loevinger Sentence
Completion Test

Self-Appraisal Inventory

Effect

No effect

Both X1 and X2 had


effect on scholastic
subtest*

Coopersmith Self-Concept
Positive effects on boys,
Inventory; Koeller Semantic but reversed for girls
Differential
(p<.05)

Personality
(AA and BB)

California Test of

Piers-Harris Childrens
Self-Concept Scale

Design Tests
O
OXO

Problems*

(C)

T
S? H?
(C)

S? H? A?
(C)

TH

H others

T
S? H?

R=Randomization of subjects; O=Testing; X=Treatment; OO=Posttest followed by delayed posttest; *. Reliable claims. **. S=Selection; T=Testing
or learning effect; H=Hypothesis-guessing; I=Instrumentation; D=Diffusion; J=John-Henry; V=Volunteer sample; A=Absence of pretest and no
randomization; (C)=Confounded.

Woodyard (1970) X

Trimble (1984)

instructional strategy
based on fairy tales

X1 five novels read by


teacher, depicting
family, peer, and school
relations, discussion
X2 X1 without discussion

Roach (1975)

listen to excerpts from


six stories about
Mexicans, six weeks

610 year

oriented books read by


teacher
X2 only female oriented
X3 only male oriented

Koeller (1977)

115

X1 mix of male and female

Gross (1977)

Sample

Doering (1985)

N=?
1011 year

Treatments

X1 structured program with


self-concept activities
and discussion
X2 listening program

Authors

Table 6. Self-esteem

Dukess (1985)

100
9 year

95
13 year

N=?
10 year

Sample

O
OXO

OXO

O
OXO

Ross Test; Metropolitan


Achievement Test; Worden

Step II: Reading Cornell


Critical Thinking; Critical
Thinking Essay Test

Ross Test of Higher


Cognitive Processes;
Worden Critical Thinking/
Reading Appraisal

Design Tests

No effects

X1 and X2 effect
(p<.001); X1 more
than X2 (p<.02)

X1 and X2 enhanced
critical thinking*

Results

Problems*

TS
H?
(C)

T
H? S?
(C)

T S
(C)

R=Randomization of subjects; O=Testing; X=Treatment; OO=Posttest followed by delayed posttest; *. Reliable claims. **. S=Selection; T=Testing
or learning effect; H=Hypothesis-guessing; I=Instrumentation; D=Diffusion; J=John-Henry; V=Volunteer sample; A=Absence of pretest and no
randomization; (C)=Confounded.

literary discussion
group (1 book per 3
weeks, for 4 months)

X1 course based on short


stories, teacher
directions
X2 same, but less directed

Bird (1984)

Schulhauser (1990)X

Treatments

X1 Great Books Program,


postreading activities
X2 Great Books Program

Authors

Table 7. Critical Thinking Skills

Cutforth (1980)

47
college
students

X1 anxiety management

(groups)
X2 Systematic
Desensitization (groups)

XO

ROXO
RO

Math Attitude Scale

Math Anxiety Rating Scale;

Mood adjective checklist


Heart rate

Test Anxiety Scale;


General Anxiety Scale;
Achievement Test

Wittenborn Psychiatric
Rating Scale (behavior);
Attitude test

General Anxiety Scale


for Children

anxiety, was only


treatment with effect on
attitude

X3 had effect on math

Significant decrease in
tension on both
measures*

Effect of X1

X1 and X2 caused
behavior and attitude
changes, independent of
sex, length of
institutionalization*

Effect on male, not


female subjects*

Results

(C)

S? A?

T V
H? S?
(C)

T
H?

T S
(C)

Problems*

R=Randomization of subjects; O=Testing; X=Treatment; OO=Posttest followed by delayed posttest; *. Reliable claims. **. S=Selection; T=Testing
or learning effect; H=Hypothesis-guessing; I=Instrumentation; D=Diffusion; J=John-Henry; V=Volunteer sample; A=Absence of pretest and no
randomization; (C)=Confounded.

60
undergrads

Smith (1979)

comedy tape, sketches


14 minutes

Scheff &
Scheele (1980)

OXO

48
testanxious
undergrads

X1 bibliotherapy
X2 audio-tape treatment

Quale (1979)

O
OXO

Design Tests

73
RO
chronic
ROXO
emotionally
disturbed
patients

295
68 year

Sample

McClasky (1970) X1 read didactic literature,


discussion
X2 read creative literature,
discussion; 36
sessions, twelve weeks

listen to three books


for ten sessions, five
weeks

Treatments

Authors

Table 8. Anxiety Reduction

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Alsbrook, E.Y. Changes in Ethnocentrism of a Select Group of College Students as a
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Index of names
A
Adorno, Th. 23
Albee, E. 10
Alcorn, M. 86
Alsbrook, E.Y. 33, 39, 59
Althusser, L. 24
Andric, I. 165
Andringa, E. 64, 66, 67, 74
Aristotle. 10, 19, 27
Ashby, M.S. 33, 37, 39, 53, 87
Asperen, G.M. van. 5, 21
Assche, A. van. 29
B
Baldwin, M.W. 90
Ballantyne. 21
Balzac, H. de. 24
Bandura, A. 79, 80, 81, 83, 118, 120
Barclay, L.K. 33, 55, 56, 59
Bargh, J.A. 64, 71
Batson, C.D. 93, 98
Beach, R. 66, 78, 92
Beardsley, D.A. 33, 36, 37
Beardsley, M.C. 16, 52, 163
Beattie, A. 81, 121, 122, 124, 125, 126,
127, 129, 131, 135, 136, 137, 140,
141, 143, 144, 156, 157
Beaugrande, R. de. 78
Berg, W. van den. 7
Berg-Cross, G. 32, 33, 35, 37, 54
Berg-Cross, L. 32, 33, 35, 37, 54
Berginz-Plank, G. 78
Bierce, A. 69
Bierhoff, H.W. 90
Bilsky, W. 33, 36, 43, 50, 94

Bird, J.J. 33, 37, 52


Biskin, D.S. 32, 35, 39
Black, J.B. 145
Bleich, D. 86
Bloom, A. 15, 161
Bohrer, K.H. 2
Bolt, L. van der. 160
Booth, W. 6, 17, 18, 19, 93, 163
Botton, A. de. 97, 114, 167, 168
Bourg, T. 62, 70, 108, 115
Bower, G.H. 63, 67, 70, 71, 72, 122,
145
Bracher, M. 86
Brandhorst, A.R. 32
Brecht, B. 23, 27
Bremond, C. 17
Breuer, J. 16
Brewer, W.F. 70, 78, 96, 126
Brisbin, C.D. 33, 36, 43, 45
Broek, P. van den. 62
Bronzwaer, W. 23, 27, 149
Brown, M.B. 126, 127, 140
Brown, M.H. 5
Bryan, J.H. 81
Bryant, J. 96
Burt, L.N. 32, 35
Buss, D.M. 142
C
Campbell, A.C. 81
Campbell, D.T. 34
Cantor, J.R. 96
Cawelti, J.G. 64
Chamove, A.S. 8
Cheek, C.J.M. 31

198
Chekhov, A. 75, 79, 80, 81, 121, 122,
124, 126, 127, 129, 131, 136, 137,
140, 142, 144, 145, 156, 157
Chiara, E. de. 33, 59
Coles, R. 7
Cook, T.D. 34
Corbett, E.P.J. 19, 27
Culp, M.B. 30
Cupchik, G. 74
Cutforth, N.B. 33, 37, 48, 52
Czarniawska-Joerges, B. 165
D
Darnton, R. 164
Dasberg, L. 7
DePaul, M.R. 4, 15, 24, 148, 158
Dickens, Ch. 22
Dickerson, Ch. A. 91
Doering, S.K. 33, 59
Doeser, M. 13
Dorfman, M.H. 78
Dostoevsky, F. 11
Downs, R.B. 8, 27
Dukess, S.L. 33, 59
E
Earthman, E.A. 64, 73, 96
Ebersole, P. 30
Eco, U. 6
Egan, K. 7
Eisen, S.V. 33, 37, 41, 42, 44, 45, 47,
91
Eisenberg, N. 93
Eliot, G. 18
Euben, J.P. 24
F
Ferguson, N. 27
Feshbach, N.D. 93, 143
Festinger, L. 79
Fisher, F.L. 33, 48, 59
Flaubert, G. 6, 8, 22, 117
Flerx, V.C. 33, 37, 39, 40, 44, 47, 48,
55, 81
Fletcher, G.J.O. 66, 128, 142

Index of names
Fokkema, D.W. 22
Forster, E.M. 61, 95, 148
Frankel, H.L. 33, 59
Freimuth, V.S. 32, 59
Freud, S. 16
Frey, D. 96
Fuhriman, A. 16, 52
G
Gadamer, H. 21
Gallagher, W.J. 32, 59
Gardner, J. 10, 11, 21
Garrod, A.C. 32, 33, 59
Geiger, K.F. 33, 36, 37, 47
Geljon, C. 32, 37, 54, 59
Gernsbacher, M.A. 65
Gerrig, R.J. 63
Gilbert, D.T. 64
Gimmestad, B.J. 33, 59
Giuliano, T. 67, 122
Gogol, N. 22
Golding, W. 21, 30
Goleman, D. 159, 160
Goodwin, J. 99
Graaf, J. de. 27
Greenberg, J.S. 90
Gregor, I. 21
Gregory, W.L. 86, 87, 90, 91, 109, 118,
120, 121
Gross, L.B. 33, 36, 37, 51, 52
Gruber, K.L. 80
Gruenich, R. 66
H
Habermas, J. 24
Hafferty, F.W. 5
Hakemulder, J. 29, 30
Hayes, M.T. 33, 48
Healy, G.W. 33
Heijne, B. 27
Heintz, B.A. 33, 59
Herrnstein Smith, B. 9, 22
Heuermann, H. 78
Higgins, E.T. 64, 71
Hoffman, M.L. 71, 93

Index of names
Holland, N. 86
Homer. 97
Horace. 7
Hoskisson, K. 32, 35, 39
Hunt, R.A. 76
Hynds, S. 52, 66, 161
I
Ibsen, H. 9, 27
Iser, W. 64
J
Jacklin, C.N. 66
Jackson, E.P. 33, 36, 37, 39
Jamieson, K. 32, 59
Janis, I.L. 89
Johnson, D.W. 33, 36, 37, 47, 51
Johnson, E.M.W. 32, 35, 44
Jongh, E. de. 2
Jose, P.E. 70, 96, 126
Joyce, J. 17
Justice, M.C. 32, 35, 39, 44
K
Kafka, F. 22
Keefe, D.R. 32, 35, 45, 46, 50, 53
Keener, C.D. 32, 59
Kemble. 8
Kigar, H.J. 32, 35
Kimmel, E.A. 32
Kimoto, C.K. 33, 59
King, G.A. 71
Kinnard, F.H. 32, 35, 44
Klemenz-Belgardt, E. 32, 39
Kneepkens, E. 74
Koeller, S. 33, 34, 59
Kohlberg, L. 14, 47, 59, 92
Kosinski, J. 92
Krebs, D. 96
Kruglanski, A.W. 80
Kuiken, D. 29, 30, 73, 74, 86, 91
Kunda, Z. 91
Kundera, M. 24

199
L
Lacey, A.R. 27
Lachenmann, J. 30
Lampe, Ph.E. 142
Larsen, S.F. 72
Lszl, J. 72, 74
Leippe, M.R. 80
Litcher, J.H. 33, 36, 37, 47, 51
M
Maccoby, E.E. 66
Magliano, J.P. 62, 79, 96
Maltz. 50
Mann, L. 89
Markus, H. 84, 90, 91, 92, 127
Mathews, K. 73
Mayseless, O. 80
McArthur, L.Z. 33, 37, 41, 42, 44, 45,
47, 91
McClaskey, H.C. 33, 37, 41, 52
McClelland, D. 41
McGuire, W.J. 88
Merime. 50
Metz, Ch. 59
Miall, D. 29, 30, 73, 74, 86, 91
Milgram, S.A. 32, 59
Miller, A. 30
Miller, J. Hillis. 24, 52
Miller, J.E. 23
Miller, P.A. 93
Miller, P.J. 5
Milner, S.C. 33, 36
Mischel, W. 81, 160
Mokkeddem, M. 99, 108
Monthoux, P.G. de. 165
Mooij, J.J.A. 21
Moore, B.B. 5
Moreland, R.L. 92
Mufson, S. 27
Mullarkey, S.F. 31
Mullins, P. 8
Musil, R. 3, 11

Index of names

200
N
Nicholas, B. 21
North, M. 136, 142
Noruis, M.J. 101, 105, 114, 115
Nurius, P. 84
Nussbaum, M. 15, 21, 144, 163, 165,
166, 167
O
Oatley, K. 86
Otten, W.J. 13, 27
Owen, D. 81
P
Palmer, F. 13, 148, 158, 166
Pander Maat, H. 67, 118, 126, 145
Peacock, Th. 1, 25, 27
Peer, W. van. 15, 19, 22, 67, 74, 118,
126, 144, 145, 160, 164
Peirce, K. 8
Perine, M.H. 29
Piaget, J. 14
Plato. 8, 9, 158
Poe, E.A. 71
Popper, K. 59
Porter, C. 84
Proust, M. 97, 167
Q
Quale, J.J. 33, 59
R
Racine, J. 27
Rajecki, D.W. 8
Reno, R.R. 79
Rest, J.R. 39, 44
Rhees, R. 1
Rhodes, C.S. 31
Rigney, A. 6
Rimmon-Kenan, S. 124
Roach, L.E. 33, 36, 47
Rorty, R. 13, 14, 21, 51, 166
Rousseau, J. 164
Rushdie, S. 10, 22, 24
Rushton, J.P. 81

Russell, B. 17
S
Sandkhler, H.J. 27
Sapolsky, B.S. 96
Sarason, I.G. 90
Scheele, S.C. 33, 37, 38, 52
Scheff, T.J. 33, 37, 52, 86
Schlaefli, A. 39, 44
Scholes, R.E. 2, 18
Schram, D. 32, 37, 54, 59, 78
Schulhauser, C.E. 33, 59
Schwartz, C.S.L. 33, 36, 37
Seifert, C.M. 66
Sentis, K. 92
Shakespeare, W. 4, 19, 20
Shaver, K.G. 73
Shelley, P.B. 22
Sherman, S. 73
Shirley, F.L. 30
Shklovsky, V. 3, 22, 23
Shweder, R.A. 59
Sidney, Ph. 3
Smith, D.R. 73
Smith, J. 92
Smith, W.H. 33, 59
Snell, W.E. 73
Solzhenitsyn, A. 24
Stahlberg, D. 96
Steinbeck, J. 31
Steiner, G. 9, 21
Stolnitz, J. 2, 147
Stone, J. 91
Stone, M.R.M. 33, 48, 59
Stotland, E. 71, 72, 73, 74
Stowe, H. Beecher. 8
Stryker, S. 84
Sullivan, J. 31
Swap, W.C. 14, 77
Sweeney, P.D. 80
Swift, J. 22
T
Tan, E. 96
Tauran, R.H. 33, 36

Index of names
Test, N.A. 81
Thoma, S.J. 39
Toates, F. 136, 142
Tolstoy, L. 11, 13, 22
Trabasso, T. 62, 66
Trimble, C. 33, 59
Turner, T.J. 145
Tuve, R. 18
V
Vega, M. de. 65
Vickers, B. 27
Vipond, D. 76
Vitz, P.C. 93, 158
Voltaire. 164
W
Wegner, D.M. 67, 122

201
Weiner, B. 62
Weisberg, R. 165
Wendler, L. 66, 92
Wesley, R. 90
Wiley, L.S. 33, 36, 41, 43, 45
Wilson, R.N. 29, 30
Winkler, J.J. 24
Wittmaier, B.C. 33, 37, 39, 53, 87
Woodyard, M.A. 33, 59
Wnsch, M. 73
Wurf, E. 84, 90, 91
Z
Zillmann, D. 62, 68, 69, 74, 86, 96
Zimbardo, Ph.G. 80
Zola, E. 3
Zucaro, B.J. 33, 36, 37, 45
Zwaan, R. 74

Index of terms

A
Aesthetic aspect 2, 3, 9, 20, 23, 29, 73
Age 32, 35, 46, 48, 66, 67, 103, 105
Anxiety 33, 37, 38, 49, 52, 57, 58, 151
Attitude 23, 30, 32, 33, 36, 37, 39, 41,
43, 102, 135, 144, 151, 152, 154, 159,
162, 167
Attribution 4, 13, 14, 32, 50, 64, 66, 77,
92, 93, 94, 107, 112, 113, 128, 141,
153, 158, 166
B
Behavior 1, 17, 30, 33, 36, 41, 42, 43,
45, 47, 52, 57, 64, 79, 80, 81, 85, 88,
89, 90, 91, 94, 95, 97, 118, 147, 149,
150, 152, 154, 167
Behavioral norm 100
Belief 7, 8, 9, 10, 11, 30, 33, 36, 37, 48,
50, 56, 79, 83, 98, 99, 100, 101, 102,
103, 104, 105, 107, 108, 109, 110,
112, 113, 118, 120, 121, 127, 131,
137, 140, 143, 155, 157, 158, 162,
164, 167
Bibliotherapy 16, 31, 41, 52
C
Canon 9, 22
Catharsis 16, 20, 51, 52, 57, 58, 150
Censorship 1, 2, 3, 9, 10, 162
Character valence 70, 75, 77, 78, 126,
129, 136, 157
Childrens literature 7, 9, 41, 47, 162
Counter-conditioning 51
Counterempathy 70

Critical thinking 21, 33, 36, 37, 38, 49,


52, 57, 58, 151, 167
D
Defamiliarization 22, 23, 53, 151
Durability 39, 40, 41, 44
E
Emotion 8, 15, 16, 18, 20, 41, 43, 45,
52, 61, 68, 69, 71, 73, 74, 76, 86, 153
Emotional intelligence 5, 11, 159, 160
Empathy 11, 32, 36, 37, 38, 43, 49, 52,
54, 57, 58, 62, 68, 69, 70, 71, 72, 73,
74, 75, 76, 84, 86, 92, 93, 94, 95, 108,
109, 110, 112, 113, 118, 122, 127,
128, 140, 141, 143, 149, 151, 152,
153, 154, 155, 158, 159, 160, 162,
167
Ethical effect 1, 2, 3, 4, 18, 20, 23, 25,
53, 131, 149, 151, 152, 164, 165
F
Fictionality 8, 9, 10, 150
Film 40, 41, 59, 96
Focalization 17, 23, 47, 67, 70, 73, 89,
114, 117, 120, 122, 124, 125, 127,
129, 131, 135, 136, 137, 140, 141,
142, 143, 144, 156, 157, 158
G
Gender 35, 36, 43, 47, 48, 53, 66, 67,
96, 100, 103, 105, 114, 125, 129, 135,
136

204
I
Identification 13, 14, 16, 20, 31, 47, 49,
52, 53, 57, 58, 61, 62, 65, 70, 72, 80,
89, 95, 96, 97, 114, 118, 150, 159,
166
M
Media 23, 74, 166
Modeling 6, 80, 81, 83, 118, 154
Moral development 14, 50, 53, 56, 58,
61, 92, 93, 98, 151, 152, 161, 165
Moral effect 4, 5, 7, 19, 20, 54, 56, 57,
61, 117, 149, 152, 158
Moral judgment 14, 29, 32, 36, 50, 51,
52, 54, 57, 67, 69, 70, 72, 75, 76, 77,
84, 90, 94, 95, 101, 117, 129, 147,
150, 151, 153, 162
Moral laboratory 11, 21, 62, 68, 76, 80,
84, 91, 95, 118, 148, 150, 166
Moral reasoning 45, 46, 47, 51, 53, 56,
93, 158
Moral self-concept 31, 53, 95, 118, 127,
131, 140, 142, 143, 148, 149, 154,
156, 159, 167
N
Norm 8, 13, 19, 20, 21, 23, 24, 29, 32,
33, 35, 36, 37, 39, 40, 49, 55, 56, 57,
70, 76, 78, 79, 80, 81, 83, 84, 87, 88,
89, 90, 94, 95, 96, 100, 101, 102, 105,
107, 117, 131, 149, 153, 154, 155,
158, 159, 161, 164
O
Open-mindedness 23, 53
Outgroup perception 33, 36, 37, 39, 41,
43, 44, 49, 51, 56, 57, 58, 92, 95, 97,
98, 102, 120, 151, 152, 162, 166, 167
P
Personal adjustment 36, 52
Personality 3, 29, 30, 31, 73, 84, 85,
126, 127, 150, 159, 160
Persuasion 4, 18, 20, 90
Poetic justice 7

Index of terms
Poetry 4, 23, 29, 83, 160
Popular fiction 3, 6, 8, 15, 47, 54, 64,
74, 149, 150, 153, 161, 162, 166
Postprocessing 49
Pre-ethical effect 4, 5, 11, 14, 16, 17,
20, 23, 24, 25, 27, 50, 52, 56, 57, 61,
83, 84, 88, 94, 117, 143, 148, 149,
151, 152, 158, 159, 166
Prejudice 17, 23, 46
Priming 64, 65, 79, 86, 88, 90, 94, 95,
98, 99, 101, 113, 117, 141, 153, 154,
156
Projection 92, 112
Prosocial behavior 33, 43, 90, 93, 94
Psychotherapy 16, 41
R
Reflection 4, 13, 14, 15, 17, 18, 21, 22,
23, 24, 25, 30, 31, 43, 45, 50, 53, 54,
56, 74, 75, 113, 127, 142, 147, 148,
149, 151, 152, 158, 159, 160, 162
Reinforcement 83
Relaxation 52
Representation 3, 8, 9, 10, 22, 36, 37,
46, 47, 48, 75, 98, 102, 112, 150, 162
Rhetoric 18, 19, 20, 56
Role model 40, 42, 49, 56, 58, 80, 81,
83, 91, 117, 152, 153, 159
Role-playing 17, 38, 53, 84, 88, 89
Role-taking 62, 67, 68, 69, 70, 72, 73,
74, 75, 76, 81, 86, 87, 88, 89, 90, 93,
95, 98, 99, 100, 101, 107, 108, 109,
110, 112, 113, 114, 117, 118, 120,
121, 125, 126, 127, 128, 129, 140,
141, 143, 145, 153, 154, 155, 156,
157, 158, 159, 161, 166
S
Scenario 12, 64, 80, 86, 87, 90, 91, 93,
109, 118, 120, 137, 140, 142, 154
Self-concept 20, 37, 47, 49, 53, 57, 70,
71, 72, 77, 81, 84, 85, 86, 88, 90, 91,
92, 93, 94, 95, 117, 118, 120, 125,
126, 127, 128, 129, 131, 135, 136,
140, 141, 142, 143, 144, 149, 151,

Index of terms
154, 156, 157, 159, 160, 161, 165,
166
Self-discipline 159, 160
Self-esteem 36, 37, 49, 57, 95, 151, 160
Self-persuasion 88
Selves 2, 17, 18, 20, 86, 87, 117, 118,
120, 121, 127, 131, 135, 136, 140,
142, 143, 145, 150, 154, 156, 157,
159
Sex-role 9, 33, 36, 37, 39, 40, 41, 43,
44, 45, 48, 49, 53, 55, 56, 58, 95
Soap opera 14, 23, 151
Social comparison 79, 80, 94
Social desirability 44, 45, 104
Social distance 51, 57, 58, 92, 98, 102,
103, 105, 107, 112, 115, 152, 166
Social learning 79, 80, 81, 82, 83, 94,
95, 118, 120, 121, 124, 125, 131, 136,
140, 145, 153, 154, 156, 157
Social perception 88, 90, 92, 93, 95, 97,
98, 99, 107, 110, 113, 128, 141, 143,
154, 155, 158, 161, 166

205
Socialization 5, 10, 55, 73, 96, 150,
152, 160
Story outcome 78, 82, 118, 120, 121,
122, 124, 125, 127, 128, 129, 131,
135, 136, 137, 140, 144, 145, 156,
157
T
Television 3, 8, 23, 151, 160, 161
Therapy 16
Thought-experiment 18, 53, 81, 88,
142, 150
Tolerance 102, 103, 105, 107, 112, 115
Truth 8, 10, 71, 150
V
Value 1, 2, 6, 13, 17, 18, 21, 29, 30, 32,
35, 37, 39, 49, 50, 54, 55, 57, 77, 78,
79, 80, 81, 83, 84, 85, 86, 88, 89, 90,
94, 95, 96, 117, 149, 151, 159, 161,
165

In the series UTRECHT PUBLICATIONS IN GENERAL AND COMPARATIVE LITERATURE (UPAL) the following titles have been published thus far or are scheduled for
publication:
16. DHAEN, Theo: Text to Reader. A Communicative Approach to Fowles, Barth, Cortazar,
and Boon. 1983.
17. de HODENC, Raoul: Le Roman des Eles, and the Anonymous: Ordene de Chevalerie.
Two Early Old French Didactic Poems. Critical Editions with Introduction, Notes, Glossary
and Translations, by Keith Busby. 1983.
18. VIJN, J. P.: Carlyle and Jean Paul: Their Spiritual Optics. 1982.
19. FOKKEMA, Douwe W.: Literary History, Modernism, and Postmodernism. (The Harvard
University Erasmus Lectures, Spring 1983). 1984.
20. ROOKMAAKER, H. R.: Towards a Romantic Conception of Nature: Coleridges Poetry up
to 1803. A study in the history of ideas. 1984.
21. FOKKEMA, Douwe and Hans BERTENS (eds): Approaching Postmodernism. Papers
presented at a Workshop on Postmodernism, 21-23 September 1984, University of Utrecht.
1986.
22. LEERSSEN, Joseph Theodoor: Mere Irish & For-Ghael. Studies in the idea of Irish
nationality, its literary expression and development. 1986.
23. CALINESCU, Matei and Douwe FOKKEMA (eds): Exploring Postmodernism. Selected
papers presented at a Workshop on Postmodernism at the XIth International Comparative
Literature Congress, Paris, 20-24 August 1985. 1988.
24. DHAEN, Theo, Rainer GRUEBEL and Helmuth LETHEN (eds): Convention and Innovation in Literature. 1989.
25. BUSBY, Keith and Erik KOOPER (eds): Courtly Literature: Culture and Context. Proceedings of the 5th triennial Congress of the International Courtly Literature Society,
Dalfsen, The Netherlands, 9-16 Aug. 1986. 1990.
26. WESSELING, Elisabeth: Writing History as a Prophet. Postmodernist innovations of the
historical novel. 1991.
27. THOMPSON, Ewa M. (ed.): The Search for Self-Definition in Russian Literature. Amsterdam, 1991.
28. SCHENKEVELD, Maria A.: Dutch Literature in the Age of Rembrandt. Themes and ideas.
1991.
29. ZWAAN, Rolf A.: Aspects of Literary Comprehension. A cognitive approach. 1993.
30. MOOIJ, J. J. A.: Fictional Realities. The uses of literary imagination. 1993.
31. RIGNEY, Ann and Douwe FOKKEMA (eds): Cultural Participation: Trends since the
Middle Ages. 1993.
32. LANGE, Margreet de: The Muzzled Muse. Literature and censorship in South Africa. 1997.
33. FOKKEMA, Douwe and Elrud IBSCH: Knowledge and Commitment. A problem-oriented
approach to literary studies. 2000.
34. HAKEMULDER, Jmeljan: The Moral Laboratory. Experiments examining the effects of
reading literature on social perception and moral self-concept. 2000.
35. SCHRAM, Dick and Gerard STEEN (eds.): The Psychology and Sociology of Literature. In
honor of Elrud Ibsch. n.y.p.

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