6. Haney et al (1973) Flashcards
1
Q
Aim
A
to investigate the effects of an environment on a group of students, and to see if the roles they were randomly assigned to play would significantly influence their behaviour
2
Q
Background
A
- Although the physical conditions within prisons have improved over the years, the social institution of prison has continued to fail. On purely pragmatic grounds, there is substantial evidence that prisons really neither ‘rehabilitate’ nor act as a deterrent to future crime – in America at the time this study was conducted, recidivism rates were upwards of 75%. (Haney, Banks & Zimbardo, 1973).
- Two subsequent studies came close to providing national recidivism rates for the United States. One tracked 108,580 state prisoners released from prison in 11 states in 1983. The other tracked 272,111 prisoners released from prison in 15 states in 1994. The prisoners tracked in these studies represent two-thirds of all the prisoners released in the United States for that year. An estimated 67.5% of prisoners released in 1994 were rearrested within three years, an increase over the 62.5% found for those released in 1983. The 1994 recidivism study estimated that within three years, 51.8% of prisoners released during the year were back in prison either because of a new crime for which they received another prison sentence, or because of a technical violation of their parole. This rate was not calculated in the 1983 study.
- Prisons have also been found to fail on humanitarian grounds. The mass media are increasingly filled with account of atrocities committed daily, man against man, in reaction to the penal system or in the name of it. (Haney, Banks & Zimbardo, 1973).
- The customary explanation for the dreadful conditions of the American penal system and its dehumanising effects on both prisoners and guards is based on the dispositional hypothesis. However Haney, Banks & Zimbardo claimed that this proposition could not be critically evaluated through direct observation in existing prison settings ‘because such naturalistic observation necessarily confounds the acute effects of the environment with the chronic characteristics of the inmate and guard populations.’ (Haney, Banks & Zimbardo, 1973).
- Therefore to separate the effects of the prison environment itself from the natural dispositions of its inhabitants they created a ‘new / simulated’ prison. This was comparable in its fundamental socio-psychological milieu to existing prison systems but was entirely populated by individuals who were undifferentiated in all essential dimensions from the rest of society. If the guards and prisoners in a mock prison behaved in a non-aggressive manner, this would support the dispositional hypothesis. On the other hand, if these ‘ordinary’ people came to behave in the same
way that we see in real prisons, then one can conclude that the environment plays a major role in influencing behaviour. - No specific hypotheses were proposed other than the general one that the assignment to the role of ‘guard’ or ‘prisoner’ would result in
significantly different reactions on behavioural measures of interaction, emotional measures of mood state and pathology, attitudes towards self, as well as other indices of coping and adaptation to the novel situation. The aim of the study was therefore to investigate the effects of an environment on a group of students, and to see if the roles they were randomly assigned to play would significantly influence their behaviour. - This study shows some possible effects of imprisonment and offers possibilities for prison reform.
3
Q
Method
A
- This was a laboratory experiment. Although designed to be as naturalistic as possible with the ‘mock’ prison being designed and constructed in a similar way to a ‘real’ prison, it actually occupied a 35-foot section of the basement corridor in the psychology building of Stanford University, had only three small cells (converted laboratory rooms) and the prison ‘yard’ was a small enclosed room made to represent a fenced prison grounds. In addition the participants who played the roles of prisoner or guard were not genuine prisoners (they had committed no crime) or guards (they had undergone no training for this job).
- The independent variable (IV) was the condition participant was randomly allocated to i.e. the role of prisoner or guard.
- The dependent variable (DV) was the resulting behaviour.
- The study used an independent measures design.
4
Q
Sample
Who? How? What else?
Who were the participants specifically?
A
- 22 males who participated in the experiment were selected from an original pool of 75 who answered a newspaper advertisement asking for male volunteers to take part in a psychological study of ‘prison life’ in return for a payment of $15 a day for up to two weeks. The volunteers completed a questionnaire concerning his family background, physical and mental health history, prior experience and attitudinal propensities with respect to sources of psychopathology (including their involvements in crime). Each respondent was interviewed by one of two experimenters. The 24 individuals who were deemed to be the most stable (physically and mentally), most mature, and least involved in anti-social behaviours were selected. On a random basis, half of the participants were assigned to the role of ‘guard’ and half to the role of ‘prisoner’.
- All participants were normal, healthy male college students who were in the Stanford area during the summer. They were largely of middle-class socio-economic status and Caucasians (with the exception of one Oriental participant).They did not know each other as existing friendships may have affected the study, or may have led to the breakup of the friendship. Two standby prisoners were not called and one guard dropped out before the start of the study which left 10 prisoners and 11 guards. This final sample was administered a battery of psychological tests on the day prior to the simulation, but to avoid any selective bias on the part of the experimenter-observers, scores were not tabulated until the study was completed.
5
Q
Physical aspects of the prison (3 main points)
A
The prison was built in a 35-foot section of a basement corridor in the psychology building at Stanford University. It was partitioned by two fabricated walls; one was fitted with the only entrance door to the cell block and the other contained a small observation screen. Three small cells (6 x 9 ft.) were made from converted laboratory rooms by replacing the usual doors with steel barred, black painted ones, and removing all furniture.
A cot (with mattress, sheet and pillow) for each prisoner was the only furniture in the cells. A small closet across from the cells served as a
solitary confinement facility; its dimensions were extremely small (2 x 2 x 7 ft.) and it was unlighted.
In addition, several rooms in an adjacent wing of the building were used a guards’ quarters (to change in and out of uniform or rest and
relaxation), a bedroom for the ‘warden’ and ‘superintendent’, and an interview-testing room. Behind the observation screen at one end of the ‘yard’ (small enclosed room representing the fenced prison grounds) was video recording equipment and sufficient space for several observers.
6
Q
Operational details (3 things)
A
- The prisoners remained in the mock prison 24 hours per day for the duration of the study.
- Three were arbitrarily assigned to each of the three cells; the others were on stand-by call at their homes.
- The guards worked on three-man, eight-hour shifts; remaining in the prison environment only during their working shift and going about their usual lives at other times.
7
Q
Role instructions (7 things)
A
- All participants were told they would be randomly assigned to the guard or prisoner role and all had voluntarily agreed to play either role for $15 per day for up to two weeks.
- They signed a contract guaranteeing a minimally adequate diet, clothing, housing and medical care as well as the financial remuneration in return for playing their assigned role for the duration of the study.
- The contract made it clear that those assigned the role of prisoner should expect to be under surveillance (have little or no privacy) and that some of their human rights would be suspended.
- They were given no further information but were informed by phone to be available at their place of residence on a given Sunday
when the experiment would start. - Those assigned the role of guard attended an orientation meeting on the day prior to the induction of the prisoners. At this time they were introduced to the principal investigators, the ‘Superintendent’ of the prison (The author, Zimbardo) and an undergraduate research assistant who assumed the administrative role of ‘Warden’.
- They were told that the aim was to simulate a prison environment and, although given no specific instructions as to how to behave, told that their assigned task was to ‘maintain a reasonable degree of order within the prison necessary for its effective functioning’ without the use of any physical punishment or physical aggression.
- The ‘Warden’ instructed the guards in administration details including: the work shifts, the mandatory completion of shift reports concerning the activity of guards and prisoners, the completion of ‘critical incident’ reports which detailed unusual occurrences, and the administration of meals, work and recreation programmes for the prisoners. To help the guards get into their roles they assisted in the final phases of completing the prison complex by putting the cots in the cells, putting signs on the walls, setting up the guards’ quarters, moving furniture, water coolers, refrigerators etc.
8
Q
Uniforms (9 things)
A
- In order to promote feelings of anonymity, participants in each group were issued with identical uniforms.
- Prisoners wore loose fitting muslin smocks with identification numbers on front and back, a cap made from a nylon stocking, no underwear, rubber sandals and a light lock and chain around one ankle.
- They were issued washing gear (toothbrush, soap, soap dish, towel) and bed linen but were not allowed personal possessions.
- Guards wore plain khaki shirts and trousers and reflective sunglasses (to make eye contact impossible) and carried a wooden baton and whistle.
- The khaki uniforms were intended to convey a military attitude, while the whistle and baton were carried as symbols of power.
-The prisoners’ uniforms were designed not only to deinviduate the prisoners but also to be humiliating and serve as symbols of their
dependence and subservience.
- The ankle chain was a constant reminder (even during their sleep when it hit the other ankle) of the oppressiveness of the environment.
- The stocking cap removed any distinctiveness associated with hair length, colour or style. The ill-fitting uniforms made the prisoners feel awkward in their movements; since the smocks were worn without underclothes, the uniforms forced them to assume unfamiliar postures, more like those of a woman than a man – another part of the emasculating process of becoming a prisoner.
- Dressing the guards and prisoners in this manner served to enhance group identity and reduce individual uniqueness
9
Q
Induction procedure (4 things)
A
- With the co-operation of the Palo Alto City Police Department, prisoners were unexpectedly arrested from their homes, the day before the study was due to start. A police officer charged them with suspicion of burglary or armed robbery, advised them of their legal rights, handcuffed them, thoroughly searched them (often as curious neighbours looked on) and took them off to the police station in the back of a police car.
- At the station they went through the standard procedure of being fingerprinted, having an identification file prepared and then being placed in a detention cell.
- Each prisoner was then blindfolded and driven by one of the experimenters and a guard participant to the mock prison.
- Upon arrival at the mock prison each prisoner was stripped, deloused (with a harmless deodorant!) and made to stand alone, naked for a while in the cell yard. He was then given a prisoner’s uniform, had an ID photograph taken, put in his cell and ordered to remain silent.
10
Q
Administrative routine (5 points)
A
- When all the cells were occupied the warden greeted the prisoners and read them the prison rules (developed by the guards and the warden).
- They were to memorise and follows these rules. From this moment onwards they were referred to by number only.
- Prisoners were to be served three bland meals a day, allowed three supervised toilet visits, and given two hours daily for reading or letter
writing. Work assignments were issued for which prisoners were to receive an hourly wage to constitute their $15 daily payment. - Two visiting periods per week were scheduled as were movie rights and exercise periods. Three times a day prisoners were lined up for a ‘count’ (one on each guard shift) – this was to ascertain that all prisoners were present and to test them on their knowledge of the rules and their ID numbers.
- The first ‘count’ lasted about 10 minutes but as the study progressed was spontaneously increased in duration until some lasted several hours.
11
Q
Key findings (23)
A
- The experiment had to be stopped after 6 days principally because of the pathological reactions of the participants.
- The results were recorded by observation but were backed up by video and audio tape, dialogue, self-report questionnaires and interviews.
- In general, guards and prisoners showed a marked tendency toward increased negativity with the nature of their interactions becoming increasingly hostile, affrontive and dehumanising.
- As the experiment progressed, prisoners expressed intentions to do harm to others more frequently.
- For both prisoners and guards, self-evaluations were more deprecating as the experience of the prison environment became internalised.
- From the beginning the prisoners adopted a generally passive response mode whilst the guards assumed a very active initiative role in all interactions.
- Although physical violence was prohibited, varieties of less direct aggressive behaviour were frequently observed, especially by the guards, with verbal affronts being used as one of the most frequent forms of interpersonal contact between guards and prisoners.
- The most dramatic impact of the situation was seen in the extreme reactions of five prisoners who had to be released because of extreme emotional depression, crying, rage and acute anxiety.
-When the experiment was terminated prematurely, all the remaining prisoners were delighted with their unexpected good fortune whereas most of the guards seemed to be distressed by the decision to stop the experiment as it appeared they had become absorbed in their roles and enjoyed the extreme control and power which they exercised and were reluctant to give it up.
- None of the guards ever failed to come to work on time for their shift and, on several occasions, they remained on duty voluntarily for extra hours – without additional pay.
- One guard reported being upset by the suffering of the prisoners and claimed to have considered asking to change his role to become one of them – but never did.
- Some guards were tough but fair; some went far beyond their roles to engage in creative cruelty and harassment, while a few were passive and rarely instigated any coercive control over the prisoners.
- When private conversations of the prisoners were monitored, it was found that 90% of what was talked about was directly related to
immediate prison conditions i.e. food, privileges, punishment, guard harassment etc. with only 10% of their conversations being concerned with their lives outside the prison. - Likewise, during their relaxation breaks, the guards either talked about ‘problem prisoners’, other prison topics, or did not talk at all.
- There were few instances of any personal communication across the two groups of participants.
- Post experimental data showed that when individual guards were with solitary prisoners and out of range of any recording equipment, as on the way to the toilet, harassment was often greater than it was on the ‘Yard’.
- Similarly, video-taped analyses of total guard aggression showed
a daily escalation even after most prisoners had ceased resisting and prisoner deterioration had become visibly obvious. One guard even
detained an ‘incorrigible’ prisoner in solitary confinement beyond the duration set by the guards’ own rules, and then conspired to keep him in the hole all night while attempting to conceal this information from the experimenters who were thought to be too soft on the prisoners - When questioned after the study about their persistent affrontive and harassing behaviour in the face of prisoner emotional trauma, most guards replied that they were ‘just playing the role’ of a tough guard, although none ever doubted the validity of the prisoners’ emotional response.
- When introduced to a Catholic priest, many of the prisoners referred to themselves by their prison number rather than their Christian names.
- During a parole board hearing when each of five prisoners eligible for parole was asked whether he would be willing to forfeit all the money earned as a prisoner if he were to be paroled, three of the five said “Yes”. When told the possibility of parole would have to be discussed with the members of staff before a decision could be made, each prisoner got up quietly and was escorted by a guard back to his cell to await the decision.
- After initial disbelief of how they were being treated, followed by rebellious behaviour which ultimately failed to be successful, various coping strategies were employed by the prisoners. Half the prisoners were seen to demonstrate symptoms of depression by crying, or being angry and very anxious, thus becoming ’sick’ as a passive way of demanding attention and help, whilst others became excessively obedient by trying to be ‘good’.
- The prisoners developed the ‘Pathological Prisoner Syndrome’ and became extremely negative, either shown as depression or as excessive obedience. This situation was thought to be brought about due to: the loss of personal identity, the arbitrary control showed by the guards, dependency and emasculation (reinforced by their uniforms which resembled frocks or dresses, lack of underwear etc.).
- The guards became absorbed in what has been described as the ‘Pathology of Power’ where they enjoyed and misused the power they felt they had been given. This was demonstrated in terms of the increasingly extreme sanctions, punishment, demands made on the prisoners e.g. after the first day, practically all prisoner rights were redefined by the guards as ‘privileges’ which were to be earned through obedient behaviour. ‘Reward’ then became granting approval for prisoners to eat, sleep, go to the toilet, talk, smoke, and wear glasses
12
Q
Conclusions (8)
A
- Being confined within a prison environment can have great, negative effects on the affective states of both guards and prisoners.
- Being confined within a prison environment can have great, negative effects on the interpersonal processes that take place between prisoners
and guards. - Incarceration can lead to prisoners developing a pathological prisoner syndrome (demonstrated through initial disbelief followed by rebellion which, after failure, is followed by a range of negative behaviours and emotions).
- Prison guards can develop a pathology of power (demonstrated through huge enjoyment and misuse of the power at their disposal)
- Ordinary individuals can play given roles to extremes.
- There are individual differences in the way people cope in novel experiences.
- The punishment of being imprisoned in a real prison does not ‘fit the crime’ for most prisoners – in fact it far exceeds it!
- The prison environment locks both guards and prisoners into a dynamic, symbiotic relationship which is destructive to the human nature of both.
13
Q
Results
A
14
Q
Method
A
- To investigate whether prison guards behave brutally because of their aggressive personalities, or whetherit is the situation that influences their behaviour
- Lab experiment
- The location was a 35‐foot section of the basement corridor in the psychology building of Stanford University which was transformed into three small cells (6 x9 ft.) and a prison yard.
- There was also a small closet for solitary confinement, while in the adjacent wing there were guards’ quarters, a bedroom for the ‘warden’ and ‘superintendent’ and an interview room.
- An independent measures design was used.
15
Q
Sample
A
- 22 males participated in the study, who were chosen from the 75 who answered a newspaper advertisement asking for male volunteers to take part in a psychological study of ‘prison life’ in return for a payment of $15 a day for up to two weeks.
- Questionnaires were completed and the 24 considered to be the most physically and mentally stable, most mature, and least involved in antisocial behaviours were chosen.
- They were all male college students, were mainly white middle‐class and did not know each other, and were randomly allocated to their role in the study.
- One participant withdrew before the start of the study and the two standbys were not called. This left 10 prisoners and 11 guards (the IV) and the DV was their behaviour in the ‘prison’ which was observed from behind an observation screen.
- All gave fully informed consent
