Self, Identity, and Globalization in Times of Uncertainty: a Dialogical Analysis

Self, Identity, and Globalization in Times of Uncertainty: A Dialogical Analysis

Hubert J. M. Hermans Giancarlo Dimaggio Radboud University Terzo Centro di Psicoterapia Cognitiva

Our era is witnessing an increasing impact of globalization on self and identity and at the same time a growing uncertainty. The experience of uncertainty motivates individuals and groups to ﬁnd local niches for identity construction. This article’s central tenet is that the processes of globalization and localization, as globalization’s counterforce, require a dialogical conceptualization of self and identity in which global and local voices are involved in continuous interchanges and negotiations. This tenet is elaborated along 2 lines of argument. First, 3 factors are described as crucial to understanding the processes of globalization and localization on the individual level: the increasing number of voices and countervoices, the role of social power, and the role of emotions. Second, the authors argue that the apparent tension between the widening horizons of globalization and the need for local niches requires acknowledgment of the pervasive inﬂuence of biologically based needs for stability, safety, and security. Finally, the authors propose studying self and identity on 3 levels—individual, local, and global— and some lines of research at the interface of these levels.

Keywords: dialogical self, identity, globalization, emotion, experience of uncertainty

Understanding globalization and its impact Although globalization broadens the scope on self and identity is a crucial task for social and opens new horizons for an increasing num- scientists today. As a result of increasing demo- ber of people from divergent origins, it has its graphic, economic, ecological, political, and evident shadow sides. Tragic events such as the military interconnections on a global scale, cos- 9/11 terrorist attacks in New York City and mopolitanism is becoming an aspect of the ev- Washington, DC, and the bombings in Bali, eryday life of people in many parts of the world. Madrid, and London are fixed forever in our Educational contacts crossing the borders of memories. They happened in a globalizing nationalities; tourism as the biggest industry in world filled with tensions, oppositions, clashes, the world; the daily use of the Internet by adults, prejudices, and misunderstandings between adolescents, and children; business contacts people from different cultural backgrounds who with people on the other side of the world; and never in history have been so interconnected intensive communication between diasporas with each other as in the present era. and homelands illustrate that never in the his- Not only human-caused dramatic events have tory of humankind have global connections had global reverberations, but so too do nature- such a broad reach and deep impact on the caused disasters. Not only did the tsunami in selves and identities of an increasing number of southeast Asia result in the death of many thou- people. sands of people and deeply change the selves of their relatives, but this event also entered the living rooms of billions of people in the world Hubert J. M. Hermans, Radboud University, Nijmegen, via emotional images broadcast by TV stations the Netherlands; Giancarlo Dimaggio, Terzo Centro di Psi- coterapia Cognitiva, Associazione di Psicologia Cognitiva, and spread by the Internet. Moreover, many Rome, Italy. people from other parts of the world were trag- We thank Sunil Bhatia and Vincent Hevern for their ically involved as a result of the growing tour- valuable comments on an earlier version of this article. ism in the stricken areas. As a response to the Correspondence concerning this article should be addressed to Hubert J. M. Hermans, Bosweg 18, 6571 CD Berg en Dal, disaster, individuals and organizations from all the Netherlands. E-mail: [email protected], Web site: corners of the planet organized worldwide sup- www.dialogicalself.info port, feeling closely affiliated with the victims.

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Without doubt, the process of globalization is primarily theoretical, we suggest, in the final opens new vistas and broadens our horizons. It part, some research ideas that focus on the dia- offers increasing possibilities of international logical self as involved in the process of glob- contacts and fosters economical, ecological, ed- alization and localization. ucational, informational, and military forms of cooperation. However, it also restricts and closes the selves of many people as a counter- Globalization, Localization, and reaction to what they experience as a threat, as Uncertainty: A Sociocultural Analysis evidenced by the resistance to the worldwide Before we present a dialogical analysis of self immigration gulfs, to the religious practices and and identity, we discuss the intimate intercon- rituals of other cultural groups that are experi- nection between the global and the local. As we enced as “strange” or “alien,” to the economic show, the experience of uncertainty is a signif- gap between “haves” and “have-nots,” and to icant psychological factor in this interconnec- the power of multinationals. In this article, we tion. argue that to understand both the positive and the negative implications of the process of globalization on the individual level, a dialogical Globalization and Localization as Its conception of self and identity is required, one Counterforce that can account for the different and even opposing demands resulting from the processes of Conceptions that treat globalization and ho- globalization and localization. mogenization as equivalent processes have be- We divide the article into two parts. The first come increasingly obsolete. Whether homoge- part offers a sociocultural analysis in which we nization is seen positively in terms of the utopia argue that (a) globalization evokes localization of the global village or negatively in terms of as its counterforce and in this counterreaction cultural imperialism, such notions are based on the experience of uncertainty plays a crucial the questionable assumption that we are moving role and (b) a dialogical perspective is required toward an increasing global uniformity. How- that takes into account not only the increasing ever, as Meyer and Geschiere (1999) and others number of voices and countervoices that popu- have observed, one of the ambiguities of the late the contemporary self, but also their social notion of globalization is that the homogenizing dominance and their emotional character. In the tendencies inherent in globalization imply a second part, we present literatures that serve as continued or even intensified heterogeneity that a theoretical bridge between sociocultural un- stresses cultural differences and even opposi- derstandings of globalization and biological and tions. Rather, the process of globalization, with neurological processes that underlay the psy- its implied technological advances, leads to a chology of the self. In particular, the uncertainty sharpening of cultural contrasts or even engen- and instability of a globalizing world increases ders new oppositions. the desire for stability, safety, and survival as Indications of such paradoxical articulations universal biological needs. In this way, this are numerous. A few examples (see Meyer & article aims to present a dialogical framework Geschiere, 1999) may suffice. Modern technical that serves as a link between the historical and devices, such as tape recorders, facilitated the social phenomenon of globalization on the one spread of Muslim fundamentalism in North hand and the biologically rooted needs for sta- Africa and the Middle East, creating a giant bility and security on the other hand. market for cassettes of the latest star imam. The We should note that it is not our intention to desire of many Westerners for an encounter present a standard review article, which seeks to with the “exotic” world of particular cultural test a broad theoretical hypothesis against ex- groups requires these groups to produce local tant published findings. Rather, our purpose is “authenticity” as a commodity for global tour- to push a particular theoretical perspective to its ism. The recent economic boom of industrializ- limits so that it is able to link literatures origi- ing countries in East Asia was accompanied by nating from different traditions in the social an equally vibrant boom of popular religions sciences as parts of an extended theoretical and spirit cults in local situations (see Weller, framework. Although the purpose of this article 1994). In some parts of Africa, witchcraft is SELF, IDENTITY, AND GLOBALIZATION 33 used as a leveling force, undermining inequali- cultural imperialism will be always negotiated ties in wealth and power. Paradoxically, the in local terms so that it is unsuccessful in its same force is regarded as indispensable for the homogenizing effects. (For related views on the accumulation of such wealth and power. Witch- intimate connection between the global and the craft is used both to express envy and to accu- local, see Appadurai, 1999; Arnett, 2002; mulate Western goods as an indication of Bhabha, 1999; Hall, 1991; Hermans & Kempen, success (Geschiere, 1999). From a historical 1998; Kinnvall, 2004; Marsella, 1998; and point of view, Obeysekere (1977) has already Wallerstein, 1991.) observed that spirit cults and sorcery assumed a heightened status in the more modern sectors of Sri Lanka and concluded that this finding con- Globalization and Uncertainty tradicts the well-known Weberian equation of “modernization” and “disenchantment” (see Globalization is not a new phenomenon, but also Adams, 2004, who presented similar data its scale, speed, and import have changed from modern England). Such observations sug- (Kinnvall, 2004). In terms of scale, the number gest that globalization and localization imply of economic, ecological, demographical, politi- each other and can be regarded as two sides of cal, and social linkages is greater than in any the same coin (see also Robertson’s [1995] con- previous time in history. In terms of speed, we cept of “glocalization” in which these sides are are witnessing a compression of space and time combined). as never before experienced. In terms of import, The dynamic relationship between the global the globe is perceived as an ever smaller place: and the local is even visible in studies of the Events elsewhere have important implications process of civilization. Sha¨fer (2004) argued for our everyday lives in our local situation. that not too long ago the big picture of human Globalization allows increased movement history showed a small number of large civili- and border crossing, which permits the ex- zations and large number of small local change of goods, services, ideas, and practices cultures. However, since a technoscientific at the interfaces of cultures (Hermans & Kempen, civilization has begun to cover the globe, the 1998; Manners, 2000). However, global develop- big picture today looks very different. We are ments also have their shadow sides. As Kinnvall increasingly living in a globally spread civiliza- (2004) noted, the process of globalization is tion with many local cultures: “a deterritorial- often accompanied by a “neo-liberal” ideology ized ensemble of networked technoscientific that involves a move from Keynesian econom- practices with global reach” (p. 81). The Inter- ics toward more monetarist macroeconomic net provides crucial evidence for the emergence policies in highly developed countries. More- of such a global civilization. However, Sha¨fer over, such changes are followed by the intro- added that despite the fact that the Internet has duction of structural adjustment programs in a growing user base worldwide, it remains local developing countries (see also Hurrell & at all points (see also Latour, 1993). User ter- Woods, 1999). Although these programs have minals are the places where global connections the purpose of increasing privatization and and local cultures interact. This implies that global competitiveness and are intended to cre- information and knowledge emerging on a ate stability and strengthen civil society, they global scale are always transformed and adapted often have the reverse effect of removing job so that they fit with the needs of people in their certainty in the middle and lower classes of local situation. many societies. As a result of the state’s dimin- In summary, two sociocultural trends can be ishing involvement in economic affairs, the im- observed that are closely intertwined: (a) glob- age of the government as provider of welfare alization as boundary crossing and leading to and certainty has been undermined in many international and intercultural connectedness societies, creating an authority vacuum in which and exchange and (b) localization as sets of new, often demagogic leaders emerge as a re- customs or practices emerging from particular action to people’s desire for certainty (Kinnvall, places, regions, or countries. The two trends do 2004). (See also Stiglitz, 2002, who referred to not exclude each other but rather coexist and globalization as creating dual economies and fuel each other in dialectical ways. Any kind of technological or digital divides in societies.) 34 HERMANS AND DIMAGGIO

The new terrorism. Many parts of the world tion is required. We see the experience of un- are confronted with a new source of uncertainty: certainty as composed of four aspects: (a) com- new terrorism (Grant, 2005; Moghaddam, plexity, referring to a great number of parts that 2005). Whereas terrorism in the 1970s and have a large variety of relations; (b) ambiguity, 1980s tended to be geographically confined to referring to a suspension of clarity, as the mean- territories of dispute or conflict, the emergence ing of one part is determined by the flux and of transnational or deterritorialized organiza- variation of the other parts; (c) deficit knowl- tions marks a new phase in the operational edge, referring to the absence of a superordinate complexity of terrorist groups. With their reli- knowledge structure that can resolve the con- ance on the mass media, they are communica- tradictions between the parts; and (d) unpredict- tion organizations sui generis. An organization ability, implying a lack of control of future like al-Qaeda uses the full panoply of informa- developments. As we demonstrate below, the tion technology devices, including CD-ROMs experience of uncertainty characterizes a global and satellite phones, while avoiding the vulner- situation of multivoicedness (complexity) that ability of E-mail communication by using ad- does not allow a fixation of meaning (ambigu- vanced encryption techniques to ensure confi- ity), that has no superordinate voice for resolv- dentiality (Nacos, 2002). In its presentation to a ing contradictions and conflicting information global audience, al-Qaeda manifests itself as a (deficit knowledge), and that is to a large extent transnational theater of operations sending and unpredictable. distributing their emotion-arousing messages As this description of globalization suggests, worldwide. Its organization takes the form of a it is not necessarily a negative experience; for loose agglomeration that makes the risk of ter- many people, the experience of uncertainty may rorist attack apparently unpredictable and po- open and broaden the space for possible actions, tentially more global. The organization seeks to adventures, and explorations of the unknown promote instability in its environment as a (e.g., traveling, international contacts, forms of means to promote uncertainty (Grant, 2005; see international and intercultural cooperation). also Crelinsten, 2004). Moreover, uncertainty can be seen as a defini- Global and local identities. Focusing on the tive farewell to the dogmas and ideologies of psychology of adolescence, Arnett (2002) dis- institutions that restricted and confined the self cussed the uncertainty and confusion resulting in earlier times. However, when uncertainty from globalization. He noted that in a globaliz- reigns in many life areas or when one’s survival ing world, people have to face the challenge of is at stake, as the recent terrorist attacks dem- adapting not only to their local culture but also onstrate, the experience of uncertainty may be to the global society. He argued that, as a con- intensified to a degree that it changes into an sequence of globalization, most people in the experience of insecurity or anxiety. As we have world, and adolescents in particular, now de- suggested, the latter experience motivates peo- velop a bicultural identity: Part of their identity ple to find local niches in which they try to find is rooted in their local culture, and another part security, safety, and certainty (Adams, 2004; is attuned to the global situation. Or they may Giddens, 1991). develop a hybrid identity, successfully combin- In summary, globalization is not to be ing elements of global and local situations in a equated with homogenization or uniformity but mix (see also Hermans & Kempen, 1998). How- finds localization as its counterforce. Whereas ever, Arnett referred also to the increase of globalization challenges people to extend their identity confusion among young people in non- selves and identities beyond the reach of tradi- Western cultures. As local cultures are chal- tional structures, this extension implies the per- lenged and changed as a result of globalization, vasive experience of uncertainty. Intensification some young people feel themselves at home in of this experience motivates individuals and neither the local situation nor the global situa- groups to maintain, defend, and even expand tion. their local values and practices by establishing a Aspects of uncertainty. Given the central niche for the formation of a stable identity. role we attach to the experience of “uncertain- From a dialogical perspective, we see the ty”—a term to which different authors ascribe experience of uncertainty (in the neutral sense alternative meanings—a more detailed descrip- of the term) as an intrinsic feature of a dialog- SELF, IDENTITY, AND GLOBALIZATION 35 ical self. Building on the views of figures like migrant in Great Britain. The focus here is on Bakhtin (1973, 1981, James (1890), and Mead intercultural processes that lead to the formation (1934), we envision the existence of a mul- of a multiplicity of cultural positions or voices tivoiced dialogical self that is involved in inter- coming together in the self of a single individual nal and external interchanges and that never (Pieterse, 1995). Such positions or voices may reaches a final destination. This self is con- become engaged in mutual negotiations, agree- ceived of as open to an ambiguous other and is ments, disagreements, tensions, and conflicts in flux toward a future that is largely unknown. (e.g., “As a German I’m used to giving my As we show in the next section, this uncertainty honest opinion in case of disagreement with my challenges our potential for innovation and cre- colleagues but in the Iranian company where I ativity to the utmost, and at the same time, it work now, I found out that it is better to be entails the risks of a defensive and monological deferential”). These examples have in common closure of the self and the unjustified dominance that different cultural voices are involved in of some voices over others. various kinds of dialogical relationships and producing positive or negative meanings in A Multivoiced and Dialogical Self fields of uncertainty. In other words, the global– local nexus is not just a reality outside the Three Reasons for a Dialogical Approach individual but is rather incorporated as a con- stituent of a dialogical self in action. Our central thesis is that global–local connec- Dialogical capacity. In contrast to earlier tions require a dialogical conception of self and closed and homogeneous societies, the global- identity for several reasons. Three reasons, in izing society is characterized by strong cultural particular, warrant such a conception: the in- differences, contrasts, and oppositions. As creasing multiplicity of self and identity, the Marsella (1998) observed, cultures and nations need for developing a dialogical capacity, and are competing for survival as life in contempo- the necessity of acknowledging the alterity of rary society pits secular, religious, humanist, the other person with whom one enters in dia- and scientific cultural traditions against one an- logical contact. other in seemingly irreconcilable struggles be- Multiplicity of voices in the self. In a glob- cause of fundamental differences in cultural alizing world society, individuals and groups practices, worldviews, and ideologies. It is our are no longer located in one particular culture, conviction that fundamental differences in an homogeneous in itself and contrastingly set intensely interconnected world society not only against other cultures, but are increasingly liv- require dialogical relationships between people ing on the interfaces of cultures (Appadurai, to create a livable world but also a self that has 1990; Hermans & Kempen, 1998; Raggatt, developed the capacity to deal with its own 2000; Spiro, 1993; Wolf, 1982). The increasing differences, contrasts, tensions, and uncertain- interconnectedness of nations and cultures does ties (Cooper & Hermans, 2006). When the not only lead to an increasing contact between world becomes more heterogeneous and multi- different cultural groups but also to an increas- ple, the self, as part of this world, also becomes ing contact between cultures within the individ- more heterogeneous and multiple. As a conse- ual person. Different cultures come together and quence, increasing differences in the social mi- meet each other within the self of one and the lieu result in increasing differences in the self in same individual. This process may result in which some parts of the self become more dom- such novel and multiple identities as a business inant than other parts (Callero, 2003). Cultural representative educated in a French school sys- and historical differences require a well- tem but working for a Chinese company; Alge- developed dialogical capacity (Watkins, 2003) rian women participating in an international in order to perceive, recognize, and deal with football competition but afterward praying in a differences, conflicts, and oppositions and to mosque; English-speaking employees living in arrive at workable solutions to the problems and India but giving technical training courses via challenges that result from an accelerating pro- the Internet to adolescents in the United States; cess of globalization. This requires a conception and a scientist with university training in Zim- of the self in which processes of question and babwe desperately looking for a job as an im- answer, agreement and disagreement, and nego- 36 HERMANS AND DIMAGGIO tiations between different parts of the self are 275). The decentered subject is composed of recognized as intrinsic features of problem solv- different parts that are highly contingent on the ing (Bertau, 2004; Hermans, 1996b). changes in the environment: Alterity. The potential of dialogue goes be- Within us are contradictory identities, pulling in dif- yond the familiar situation of two people in ferent directions, so that our identifications are contin- conversation. Participants involved in conversa- ually being shifted about. If we feel that we have a tion may express and repeat their own view unified identity from birth to death, it is only because without recognizing and incorporating the view we construct a comforting story or “narrative of the of the other in their exchange. Innovative dia- self” about ourselves. (p. 277) logue exists when speaker and respondent are Along similar lines, Hermans (1996b, 2001) able and willing to recognize the perspective of and Hermans, Kempen, and Van Loon (1992) the other party in its own right and, further, are proposed a decentralized conception of the self able and willing to revise and change their ini- as multivoiced and dialogical. More specifi- tial standpoints by taking the preceding utter- cally, they defined the dialogical self in terms of ances of the other into account (Markova´, a dynamic multiplicity of I-positions or voices 1987). In his Nichomachean Ethics, Aristotle in the landscape of the mind, intertwined as this (1954) described, at the higher levels of com- mind is with the minds of other people. Posi- munication, the experience of the other as “alter tions are not only “internal”(e.g., I as a man, ego.” The other is like myself (ego), but at the White, Catholic, professor, husband, father, same time, he or she is not like myself (alter). lover of the music of Beethoven) but also “ex- Dealing with differences in a globalizing world ternal,” belonging to the extended domain of the requires the capacity to recognize and respond self (e.g., my wife, my children, my colleagues, to the other person or group in its alterity. my country, my enemy; for the extension of the Alterity, as a central feature of well-developed self, see also Aron et al., 2005; James, 1890; dialogue, is a necessity in a world in which and Rosenberg, 1979). Dialogues may take individuals and cultures are confronted with place among internal positions (e.g., a conflict differences that they may not understand ini- between my position as a father and my position tially but that may become comprehensible and as a hardworking scientist), between internal meaningful as the result of a dialogical process. and external positions (e.g., I discuss with my In the elaboration of a dialogical view, three colleague John our common project), and be- propositions are indispensable: (a) other tween external positions (e.g., disagreement be- persons, groups, or cultures are parts of an tween my teachers on religious topics). The extended self in terms of a multiplicity of con- dialogical self is not only part of the broader tradictory voices or positions; (b) relations of society but functions, moreover, itself as a “so- social dominance are not alien to dialogue but ciety of mind” with tensions, conflicts, and con- belong to its intrinsic dynamics; and (c) emo- tradictions as intrinsic features of a (healthy tions play a crucial role in closing or opening functioning) self (Hermans, 2002). the self to global and local influences. As we Such a multivoiced dialogical conception ac- demonstrate, these three propositions require knowledges the extension of the self to the local linkages between the level of the global, the and global environment. The personal voices of local, and the individual. other individuals or the collective voices of groups enter the self-space and form positions The Other in the Self: A Multiplicity of that agree or disagree with or unite or oppose Voices each other. Along these lines, real, remembered, or imagined voices of friends, allies, strangers, In a historical analysis of the concept of iden- or enemies can become transient or more stabi- tity, Hall (1992) contrasted an “enlightenment lized positions in the self-space that can open subject” and a “decentered or postmodern sub- or close itself to the globalizing environment ject.” The Enlightenment subject “was based on (Hermans, 2001). a conception of the human person as a fully Features of a globalizing position repertoire. centered, unified individual, endowed with the As far as the dialogical self is open to the capacities of reason, consciousness and action, globalizing society, the position repertoire of whose ‘center’ consisted of an inner core” (p. the self has some specific features: (a) It is SELF, IDENTITY, AND GLOBALIZATION 37 populated by an unprecedented density of posi- istic intonations and gestures to express one’s tions (internal and external ones) that requires own evaluation of the other person or group in the self to organize and reorganize itself and verbal and nonverbal ways. When people com- implies the risk of a “cacophony of voices” municate with each other in dialogical ways, (P. H. Lysaker & J. T. Lysaker, 2002); (b) when there is not only a speaker and an addressee, but the individual is increasingly faced with a great also one or more implicit or hidden audiences diversity of groups and cultures on a global (Markova´, 2006; Salgado & Hermans, 2005) scale, the position repertoire becomes more het- that are, as third parties, the objects of speech erogeneous and laden with oppositions and con- (the ridiculed group in the example). The pro- tradictions (see also Falmagne, 2004); (c) as a cess of globalization implies not only an in- result of the speed and unpredictability of global crease in the number and heterogeneity of ad- changes, the repertoire is subjected to an in- dressees and their various cultural backgrounds creasing change and receives more “visits” by but also the number and heterogeneity of audi- unexpected positions; and finally (d) as a con- ences that are implicitly present in the speech of sequence of the increasing range of possible everyday life. positions, there are larger “position leaps” (e.g., Psychopathology. The increasing density immigration to another country, cosmetic sur- and heterogeneity of positions of the self in a gery, instant fame as the result of TV perfor- globalizing era is also reflected in the literature mance; Hermans, 2001). on psychopathology. Some dysfunctions that Collective voices and audiences. Dialogical were once of peripheral importance in psychi- self theory is inspired not only by the psychol- atric diagnostic systems have assumed almost ogy of the self devised by James (1890) but also epidemic proportions at the present time. Bor- by dialogism as proposed by Bakhtin (1973, derline personality disorder and eating disor- 1981). In Bakhtin’s view, all utterances are multi- ders, for example, have “identity disturbances” voiced and dialogical at the same time (Skinner, among their core features (American Psychiat- Valsiner, & Holland, 2001). They are multivoiced ric Association, 2000), suggesting that an in- because in the act of speaking there are two creasing number of patients are faced with a voices: the voice of the speaking person and the disorganizing instability of the self and the im- voice of a social language (e.g., one’s dialect, possibility of choosing a limited number of fa- one’s professional group, one’s generation). In a vorite and stable positions to help them to find sense, Bakhtin argued, the word in language is a meaningful direction in their lives. Moreover, “half-foreign” because the collective voice of psychiatrists maintain that we are facing an the social group speaks through the mouth of epidemic of multiple personality disorder (or, to the individual speaker. The collective voice be- use its more recent name, dissociative identity comes one’s own when the speaker populates it disorder). Whereas up until 1980 no more than with his or her own intentions and expressive a hundred of these cases had been diagnosed tendencies (e.g., I speak as a psychologist, but at (Boor, 1982), the number of multiple personal- the same time I’m expressing my personal opin- ity disorder diagnoses have increased dramati- ion or conviction). The speaker adapts the social cally since then (Hacking, 1995). Of particular languages to his or her meaningful and expres- interest for the multivoiced nature of the self is sive personal tendencies. the increase in the number of “alters” in this Cultural groups. Although Bakhtin (1973, disorder. In the beginning of the 20th century, 1981) did not say much about cultural groups the few patients with these kinds of troubles (Wertsch, 1991), they can easily become incor- were simply “double personalities.” At the end porated in a dialogical view of the self. Both the of the same century, patients diagnosed with cultural groups to which one belongs and those multiple personality disorder were frequently to which one is emotionally opposed can be part found to have a great variety of alters, at some of an extended, multivoiced, tension-laden dia- extremes numbering in the hundreds (Putnam, logical self. A representative of one cultural 1989). Not only the number but also the nature group can talk about representatives of another of the alters have changed over time. In earlier cultural group in an ironic or even deprecatory diagnoses, typical symptoms included alters way, imitating or ridiculing their words, ac- that were ascribed to the etiology of the dys- cents, or facial expressions and using character- function: childlike positions and persecutors, in 38 HERMANS AND DIMAGGIO case of a diagnosed history of child abuse. conversation without needing to talk a lot. In Today, however, alters show increasing vari- other words, although the topic of a meaningful ation: Frequently, they have the names of conversation is under mutual control, relative characters in soap operas, TV movies, and dominance is not extrinsic but rather intrinsic to comedies, some of them being of the opposite the dialogical process (see also Guilfoyle, 2003, sex and differing in race, religion, and age for a discussion of social dominance as an in- (Hacking, 1995). It is very hard to imagine a trinsic feature of dialogical relationships be- patient of Pierre Janet’s in France at the end of tween psychotherapist and client). the 19th century displaying an alter with Black Social dominance and institutions. Social skin and devoted to Islam. The changing pattern dominance plays a more structural role when of diagnostic symptoms, implying differences the positions of people in institutions are taken in the number and nature of the alters, suggest into account. This can be illustrated by referring the workings of cultural factors. For other pa- to two basic forms of dialogue in the sense of thologies such as schizophrenia, whose cause Bakhtin (1973): (a) the play of question and may be of a more genetic nature, such an in- answer and (b) relationships of agreement and crease of incidence is not reported (American disagreement. When differences in dominance Psychiatric Association, 2000). Therefore, we between parties are minimal (as in a conversa- propose that cultural changes in the realm of tion between two good friends), the dialogical psychopathology reflect the increasing density process is reciprocal, that is, the parties in- and heterogeneity of positions in a globalizing volved are relatively free to ask questions of age. each other at any time in the conversation. In the situation of a legal interrogation, in which Dialogue and Social Dominance differences in dominance are strongly increased, questions and answers are highly un- Often the notion of dialogue is regarded as even, with one party posing the questions and essentially different or even as opposed to the the other party forced to answer within the notion of social dominance. Usually, dialogue frame determined by the questioner as a repre- evokes an image of people sitting at a round sentative of the institution. In similar ways, table discussing their views and problems as perfectly equal partners. As far as there is any relationships of agreement and disagreement dominance, it is the power of arguments that are organized on the basis of institutional posi- count. Such a conception of dialogue, however, tions. In modern schools that aim to stimulate can be regarded as an ideal speech situation or the personal responsibility and creativity of the even a romantic ideal. In apparent opposition to learners, pupils are permitted to disagree not this image, Linell (1990) has argued that asym- only with their classmates but even with their metry exists in each individual act–response teachers, provided that these teachers regard sequence. As participants in a well-organized such disagreements as signs of a creative, inde- turn-taking process, the actors continually alter- pendent mind. In traditional, hierarchically or- nate the roles of “power holder” and “power ganized educational settings, however, pupils subject” in the course of their dialogue. As long are not permitted to disagree with teachers on as the one party speaks, the other party is re- any subject at all, as any disagreement is required to be silent. As long as the dominant garded as questioning the self-evident authority party talks, the subordinate party allows, or of teachers as the exclusive power holders must allow, his or her contributions to be di- within the educational setting. As these exam- rected, controlled, or inhibited by the interloc- ples suggest, societal institutions entail social utor’s moves (interactional dominance). More- positions that deeply influence the dialogical over, one party can predominantly introduce process in structural ways. When one of the and maintain topics and perspectives on topics parties is not allowed to play a role as an active (topic dominance). The amount of talk also re- and reciprocal contributor of the interchange, flects dominance relationships: The party who dialogue is reduced to monologue because one talks much prevents the other party from taking voice is in control of the situation at the expense a turn. Finally, the speaker who makes the most of the active contribution of the other to a com- strategic moves may have a strong impact on a monly produced result. SELF, IDENTITY, AND GLOBALIZATION 39

Social dominance and hierarchical organiza- recent years many expatriate South Asians in tion of self. Similar processes can be found the West have become “more aggressively tra- when localizing forces reduce the multiplicity ditional, and more culturally exclusive and of voices of globalization in protective or de- chauvinistic” and “more protective about what fensive ways. In a study of Jewish orthodoxy, they think are their faiths and cultures” (p. 158). Kaufman (1991) was interested in women who From a dialogical point of view, religious or- grew up in secular Jewish homes in the United thodoxy, the rise of fundamental movements, States and felt that the secular values of their and the phenomenon of patriotism find their education did not give them an adequate foun- expression in collective voices that encourage a dation for their lives. Despite the limitations hierarchical organization of the position rep- that traditional beliefs place on women, they ertoire of the self and a reduction of the converted, in their teens or 20s, to orthodox heterogeneity of positions with a simulta- Judaism. They did so in the conviction that an neous avoidance of internal disagreement, con- orthodox religious system offered them a mean- flict, and uncertainty. The dominance of one ingful place in the world and the experience of voice or a few voices over the others leads to a being rooted in a long, durable tradition. Plac- reduction of the experience of uncertainty, but ing Kaufman’s study in the broader context of at the same time, it has the questionable effect globalization, Arnett (2002) discussed the emer- that other voices, as possible contributors or gence of fundamentalist movements in both innovators of the self, are silenced or split off. Western and non-Western societies and argued Recognition of social dominance in theories that many of these movements arose in the late of self. For a deeper understanding of the pro- 20th century as a reaction to the changes caused cess of globalization and its implications for self by globalization. Apparently, such worldviews and identity, the notion of social dominance is can be regarded as localizing reactions to the indispensable. Contemporary theories of the process of globalization. They provide the self self, with their strong emphasis on unity, often with a stabilized religious position that is based lack insight about the intense interplay between on a belief in a sacred past, a social hierarchy of relations of dominance in the society at large on authority of men over women, adults over chil- the one hand and relations of dominance in the dren, and God over all (Arnett, 2002; Marty & “minisociety” of the self on the other hand. In a Appleby, 1993). recent review of the literature on the self, In a similar vein, Kinnvall (2004) argued that Callero (2003) listed a number of concepts the emergence of Bin Laden and al-Qaeda can- representing the focus of mainstream psy- not be grasped without taking into account the chology: self-enhancement, self-consistency, extent to which many Arab countries pursued self-monitoring, self-efficacy, self-regulation, paths of modernization that were inspired by self-presentation, self-verification, self- Western developments in the early post–Second knowledge, self-control, self-handicapping, World War period. Initiated by the state, not by and self-deception. In one of his critical com- the people, such reforms were often rationalized ments on these concepts, he raised the issue of by the conviction that the “modern” few were social power: planning the future for the more “traditional” The self that is socially constructed is never a bounded and less educated segments of society. The un- quality of the individual or a simple expression of certainty created by the problems and failures of psychological characteristics; it is a fundamentally so- such experiments motivated young people to cial phenomenon, where concepts, images, and under- revolt against these reforms and to seek refuge standings are deeply determined by relations of power. Where these principles are ignored or rejected, the self in older and more familiar concepts. In the case is often conceptualized as a vessel for storing all the of Egypt, this led to identity constructions based particulars of the person. (Callero, 2003, p. 127; see on patriotism and religion, whereas Saudi Ara- also Sampson, 1985, who criticized from a social con- bians tried to find certainty in ethnicism and structionist point of view the self-contained individu- Islamic guardianship (see also Ayubi, 1999; alism as typical of many psychological theories of the self in the West.) Haddad & Esposito, 1998). Also, Nandy (1997) has pointed to the destabilizing effects of the Because dominance fights are usually contro- process of globalization and the tendency to versial, they require a more explicit psychology withdraw into local niches. He observed that in of emotion. Therefore, we discuss in the follow- 40 HERMANS AND DIMAGGIO ing section the role of emotions in relation to Sylvester, 1994, and Kronsell, 2002) as a strat- globalization, localization, and identity forma- egy for coping with homelessness. In new and tion. uncertain circumstances, people shape a political space for themselves in order to cope with Emotional Voices the uneasiness and anxieties of homelessness. This may motivate people to become a member Dialogical voices can be reasoned or emo- of an exile community (e.g., the Sikhs in tional. They can argue, negotiate, and convince, Canada, the Pakistanis in Britain, or the Kurds but they can also shout, accuse, beg, regret, in Sweden) and to create common places of laugh and cry, and express anger, joy, sympa- assembly (e.g., gurdwaras, mosques, or Kurdish thy, love, fear, anxiety, hate, or disgust, to men- community halls). Certainly, the tendency to tion just a few ways in which people relate to create homes when separated from one’s home- their environment or to themselves. As Kemper land has been part of the (voluntary as well as (1978) suggested, a large class of human emo- forced) immigrant experience throughout his- tions result from real, imagined, anticipated, or tory. However, the increasing global immi- recollected outcomes of social relationships gration gulfs have stimulated a process of (see also Averill, 1997; Parkinson, 1996; homesteading on a larger scale than ever before Sarbin, 1989; Shaver, Wu, & Schwartz, 1992). in history. In the field of psychotherapy, Stiles (1999) has To understand the process of globalization expressed the view that voices in the self are and its impact on identity, Kinnvall (2004) emotionally laden, have agentlike qualities, and posed a significant question concerning the are more or less integrated in the larger com- emotional aspects of the opposition between munity of voices in the self. As these literatures in-group and out-group. How can we compre- suggest, a social psychological perspective of hend why feelings of fear, loathing, and even emotions can be helpful in understanding the hatred creep into “our” perceptions of “them,” ways in which people respond to the processes and how can we understand these emotions in of globalization, localization, and identity for- times of uncertainty? To find an answer to these mation. crucial questions, Kinnvall built on psychoana- Home and homesteading. From a social lytic accounts of identity and identity conflicts. psychological perspective, the emotional impli- Kristeva’s (1982, 1991) psychoanalytic work is cations of globalization were presented by particularly relevant from a dialogical point of Kinnvall (2004), who argued that global view. changes have intensified “ontological insecu- Subject, object, and abject. A basic tenet in rity” and “existential uncertainty.” A primary Kristeva’s (1982, 1991) and Kinnvall’s (2004) way of responding to these experiences is to analysis is that the psychological roots of xeno- seek reaffirmation by drawing closer to any phobia, anti-immigrant discourses, racism, and localized group that is seen as capable of reduc- the marginalization of others are to be found in ing uncertainty and insecurity. Particularly, (in- “the enemy in ourselves,” as the “hidden face of stitutionalized) religion and nationalism are identity.” It is an unconscious part of the self identity markers in times of rapid change and that has become internalized as an “enemy” in uncertain futures. In more general terms, the past, fueling our imagination in times of Kinnvall pointed to the significance of the no- opposition or conflict. The important role of tion of “home” as a bearer of certainty and imagination can be illustrated by situations in security and as constituting a spatial context in which the enemy is perceived as threatening which daily routines can be performed in rather without actually being present. Anti-Semitism stabilized circumstances. Whereas for many in- in Poland exists despite its relative lack of Jews, dividuals feeling at home in a family, neighbor- and sometimes stronger anti-immigrant feelings hood, workplace, or religious group may be a can be found in places with few or no immi- self-evident part of their life situation, for other grants than in places with a large number of people, particularly immigrants, refugees, and immigrants. This combination of interiorization those living in diaspora, homes have to be ac- and imagination produces “another” that is per- tively created. In this context, Kinnvall referred ceived not as a subject, not as an object, but as to the phenomenon of “homesteading” (see also an “abject.” The other is rejected on emotional SELF, IDENTITY, AND GLOBALIZATION 41 grounds and not considered an integrative part investigation were interpreted in terms of the iden- of the conscious self. This is done in the service tity-in-difference phenomenon (Gregg, 1991). of maintaining a secure identity: “The construc- Whereas initially the unwanted position was tion of an abject-other becomes a means to clearly outside the internal domain of the self, at securitize subjectivity as it reduces anxiety and some later point in time this position stood some- increases ontological security” (Kinnvall, 2004, where in a transitional field where it was at the p. 753; see also Appadurai, 1999, for a treat- same time experienced as “belonging to myself” ment of extreme violence as a response to the and “not belonging to myself.” As this study sug- experience of uncertainty and Moghaddam, gests, the boundaries between the internal and 2005, who describes the circumstances in which external domains of the self are not necessarily young people living in economically deprived sharp. Rather, it argues for the existence of a field circumstances and frustrated by feelings of in- of transition between internal and external, where justice, find a “home” by affiliating themselves an individual knows at some level of conscious- with terrorist organizations where they learn to ness that the “bad guy” is part of the internal perceive nonbelievers as abject others.) domain and at another level that this position is In an attempt to study the abject other in a part of the external domain. Moreover, these re- psychotherapeutic context, Hermans and Hermans- sults suggest the existence of a dynamic self that Jansen (1995) examined a dream from a client in allows, under special conditions, the movement of which two characters played central roles: an ab- an enemy-other from the external to the internal jected murderer who was depicted as a threat to a domains of the self. If this happens, there is a village community and another character, the pur- chance that the abject other, rather than being suer, who had the responsibility of defending the silenced or excluded, becomes an accountable community against the murderer. As part of a voice in the polyphony of the self (Hermans & dialogical procedure, the client, Paul, was invited Hermans-Jansen, 1995). to separately produce some utterances from the As this case study suggests, the inclusion of perspective of the two positions. Whereas the pur- the enemy-other or the stranger-other is part of suer phrased socially acceptable statements (e.g., a self-construction that is built on the contrast- “I chase him to the pinnacles of the tower”), the ing distinction between “superior” and “infe- murderer expressed his intention in the form of rior.” Positions that correspond with one’s own extremely crude statements (e.g., “I hate them, I national, religious, or ethnic group represent kill them all”). In the discussion of the dream, Paul purity, order, truth, beauty, good, and right, recognized himself clearly in the position of the whereas those on the outside are affected by pursuer and accepted this figure and his emotions pollution, falsity, ugliness, bad, and wrong as very close to the internal domain of his self. In (Kinnvall, 2004; Moghaddam, 2005). The prob- contrast, Paul perceived the murderer as an ene- lem of defensive forms of localization is that the my-other, and the murderer’s aggression was re- permeability of the boundaries between internal garded as totally external. After a closer inspection and external domains of the self is closely of the dream content, however, Paul found out that intertwined with the exclusive opposition be- the pursuer possessed information that he earlier tween the superior and the inferior. Permeabil- perceived only in the mind of the murderer. From ity decreases when particular positions in the that moment on, he had to admit to himself that external domain are perceived as inferior. the murderer and the associated emotions of hate Differences with other theories. There are and anger were also closely related to his internal other theories in psychology and the social sci- self. This was reason for the therapist to invite the ences that deal with similar phenomena as dia- client to give, from his own position as Paul, an logical self theory. What are the differences? In answer to the extreme statements and emotions of social identity theory, for example, there is not the murderer. He then produced some statements one personal self, but rather several selves or that suggested that he opened himself, to some positions that correspond to widening circles of degree, to the unwanted position: “The feelings group membership. An individual has multiple that are associated with my experiences—I’m not social identities, dependent on perceived mem- very well aware of them” and “There are a lot of bership in social groups (Hogg & Vaughan, situations in which I have harmed myself by not 2002). The existence of collective voices in defending myself” (p. 135). The results of this dialogical self theory corresponds with the no- 42 HERMANS AND DIMAGGIO tion of internalized group membership in social structure of domination, creating different out- identity theory. An important difference becomes for individuals and for groups positioned tween the two theories is that social identity at the point at which a particular race meets a theory asserts that group membership creates particular gender and a particular class status. In self-categorization in ways that favor the in- agreement with intersectionality theory, dialog- group at the expense of the out-group, whereas ical self theory considers self or identity as according to dialogical self theory other indi- located on the interface of social position and as viduals or groups in the self are conceived of as subjected to relations of social domination. An voices that are able to entertain dialogical rela- important difference, however, is that dialogical tionships with other individuals or groups in the self theory is interested not only in processes on self and are able to dominate and silence each the interface of social positions (e.g., gender, other as a result of internal negotiations and class, gender), but also in personal positions conflicts. In other words, whereas social iden- (e.g., I as a victim, I as an optimist, I as ambi- tity theory is based on the notion of categoriza- tious). tion, dialogical self theory is based on the notion of addressivity. Certainly, as a result of inner dialogue in-groups may be favored at the On the Mutual Complementarity of the expense of out-groups, but other solutions are Social and the Biological possible as different voices can entertain a dia- In the second part of this article, we discuss logue with each other and produce an outcome some recent theoretical issues regarding the em- that is different from a straightforward in-group bodied, biological, and neurological aspects of preference. the self and their significance for a dialogical A comparison can also be made with optimal self involved in the process of globalization. distinctiveness theory (Brewer, 1991), which There are two problem areas that are particu- suggests that people, in their affiliations with larly central to our argument and, at the same groups, try to maintain a balance between the time, challenge us to consider the relationship desires to fit in and stand out. Whereas feelings between the social and the biological aspects of of belonging create a need to individuate one- the self: (a) the issue of stability in a changing self, feelings of uniqueness lead to attempts to world and (b) the social nature of emotions. reembed oneself in the collective. There exists a dialectical opposition between these tendencies: Meeting one signals a deficit in the other and Need of Stability in a Changing World leads to increased efforts to reduce this deficit. Whereas optimal distinctiveness theory and di- Recently, Falmagne (2004) argued for the alogical theory both assume the existence of necessity of establishing a “site” in the self that tension and conflict between opposing parts of remains continuous and sufficiently stable the self, the latter theory acknowledges sign- through moments of dialogical and discursive mediated dialogical relationships between meaning construction. Conceptually, the self voices that may agree or disagree with each must be individuated as the same element other and question each other in processes of through the different ways in which it is dialog- negotiation, deliberation, and mutual criticism. ically constructed and through the experiential Dialogical self theory also shows some sim- and contextual ways in which it moves through ilarities to and differences from intersectionality time and space. The self is involved in rapid theory (Collins, 2000). In contrast to theories movement and change, as part of the globaliz- that consider race, gender, and class as discrete ing process, but at the same time, there is a deep or additive processes, intersectionality theory need for local stability (for a thorough discus- sees the effects of race, class, and gender as sion of the coexistence of stability and change, intersecting and interlocking. For example, a see Chandler, Lalonde, Sokol, & Hallett, 2003). woman’s gender status cannot be separated The apparent need of stability raises the im- from her class or racial status. A Black woman portant question of whether a substantial self is confronted with other challenges and disad- exists or not. As Falmagne (2004) explained, vantages than a Black man. Gender, class, and some social-constructionist conceptions of the race work together in creating an overarching self have led to the radical rejection of a sub- SELF, IDENTITY, AND GLOBALIZATION 43 stantial self and resulted in a shift toward a Referring to the important role of emotions nonsubstantial, fluid notion of subjectivity. Be- for survival, evolutionary psychologists (Buss, cause in these views the center of the self “does 1995), psychoanalysts (Lichtenberg, Lachman, not hold,” its different parts are decentralized to & Fosshage, 1992), and cognitivists (Gilbert, such a degree that the self becomes scattered 1989) have presented evidence that human be- and loses its coherence (see, e.g., Gergen’s havior can be understood as driven by a set of [1991] notion of “multiphrenia”). Apparently, evolutionary-based motives that grant survival for some social constructionist accounts, non- and fitness both to the individual and to the homogeneity and contingency in discursive po- group (in competition, cooperation, sexuality, sitioning are taken as reasons to reject the self as and fight–flight). When these motives are at risk a theoretical notion. In contrast to these views, of being not fulfilled, emotions arise and are we argue, in agreement with Falmagne, for a expressed in behavior that signals the corre- substantial embodied self that includes multi- sponding states of mind (e.g., shouting and cry- plicity, heterogeneity, contradiction, and ten- ing by children in situations of threat). In the sion. We see such phenomena not as an impasse course of life, a large percentage of self- for a theoretical notion of the self, but as intrin- narratives, populated by a number of characters sic aspects that are “owned” by an embodied representing a variety of internal and external self. Like the experience of uncertainty, fluidity self-positions, are built around these universal, and contradictions are regarded as intrinsic fea- transcultural, biological motives. People are tures of a dialogical self in a globalizing world. motivated to construct narratives centered on A theory is needed that is able to explain the themes that help them deal with fundamental mechanisms by which individuals, as agentic life issues while sharing these narratives with subjects, do or do not identify with positions to others (McAdams, 2006; Salvatore, Dimaggio, which they are summoned through dialogical or & Semerari, 2004). A significant implication of discursive relationships. Part of this identifica- this view is that some positions or voices in the tion is how individuals fashion, stylize, and self become exclusively important, and partic- personalize the positions they occupy as particularly in situations of anxiety and threat, they ipating in global and local situations (Falmagne, receive priority above other voices on emo- 2004; Hall, 1996). In this view, the self is not tional grounds, moving the self in a monologi- only a social but also a personal construction. cal direction. At the interface of the social and Two or more internal voices can construct a the biological, we witness a paradoxical situa- personal space as a productive field for inner tion: Whereas globalization has the potential to dialogues and for the authentic construction of increase the density and heterogeneity of posi- meaning, a field that is continuously exposed to tions of the self in unprecedented ways, it the field of social relationships and expanded by evokes, at the same time, forms of localization it (Salgado & Hermans, 2005). that are driven by deeply rooted biological Biological needs reduce the position reper- needs that cause a serious reduction and restric- toire. Apparently, people are in need of an tion of positions in the repertoire of the self. environment stable enough to feel at home and A Pakistani family. In the field of tension to experience a feeling of security and safety in between social–historical developments and bi- a quickly changing world. Moreover, people ological urgency, the dialogical self is particu- tend to respond with anxiety, anger, hate, loath- larly challenged. Let’s illustrate this with an ing, or disgust when they feel threatened in their example of a Pakistani family living in England. need for protection and local security. Such The family is traditionalist and deeply affected observations require that a psychology of emo- by the fact they are not accepted for what they tions be included as part of the processes of are by the dominant communities in the host globalization and localization. As Kinnvall country. The collective voice of the out-group (2004) has noted, reducing emotions to present community is critical and urges them to change. social relations in society would neglect the From the other side, there is an inner voice, deeply rooted need for safety and stability in deeply rooted in the collective voices of their one’s life circumstances, strongly emphasized original culture, that presses them to stay faith- by object relations theorists (e.g., Winnicott, ful to their origins. This traditional voice is 1964). empowered by the myths, stories, and autobio- 44 HERMANS AND DIMAGGIO graphical memories associated with their at- In an attempt to answer this question, Lewis tachment history. So they must find a way to (2002) analyzed automatic phrases like “That negotiate between their wish to be accepted by was stupid” or “You are dumb” that the person the host culture, which stands in hard opposition (or an imagined other) is saying to him- or to their original culture, and their adherence to herself during the performance of a task. In their original culture, which, as an embodied these examples, there is no clear-cut other voice reality of their selves, they cannot renounce. and there is not much turn-taking or an explicit Located in this field of tension, they are forced sequence of question and answer. Instead, in- to negotiate among the several contrasting ternal dialogues are sublingual and inchoate, voices to find a dialogical solution. and there is not much elaboration and develop- Tensions between voices representing origi- ment of a dialogue with another voice. In this nal and host cultures are certainly not unique to case, the person automatically operates from a the situation of globalization. What the example familiar I-position and continuously returns to illustrates, however, is that the process of glob- situations in which this position can be reached. alization creates new and intensified fields of On this sublingual and inchoate level, we are tensions between global and local positions, more conservative and monological than inno- with strong differences, conflicts, and opposi- vative and dialogical. In keeping with dialogical tions between voices, which require dialogical self theory, Lewis concluded that in our daily interchanges both between and within different lives we are involved in a dialogical relation selves to arrive at workable solutions. Surely, with an anticipated, almost-heard other from the the demands and opportunities of globalization perspective of a familiar and rather continuous are broadening the range of differing, opposing, I-position. As part of the external domain of the and conflicting voices and may lead, along these self, such a position produces statements like lines, to an increasing discontinuity and inco- “good!” “too bad!” and “stupid!” or more com- herence of the self. However, biological sur- plex utterances like “You see, this leads to vival needs work as a restricting and even op- nothing, as always!” or “You are not able to posing force on these demands and possibilities. achieve anything, whatever you do!” Lewis Biological needs, particularly if frustrated, re- supposed that these utterances come from strict the dialogical self. voices of significant others in the remote past The dialogical brain. Further arguments for whose positions are incorporated as stabilized the need of mutual complementation of social parts into the external domain of the self. and biological conceptions of self and identity Similarly, in a discussion of the orbitofrontal can be derived from brain research on the dia- area in the brain, Schore (1994) pointed to the logical self. Lewis (2002), proposing the notion existence of repetitive neural mechanisms in of a dialogical brain, questioned the idea of the working of the dialogical self. He described unlimited flexibility within the dialogical self the emergent capacity of the growing brain to and emphasized the apparent need of people to switch adaptively between psychobiological return to “ordinary positions” in their lives. states that are colored by different affects. Lewis based this insight on a study of the work- When the child develops a dialogical self, he or ings of the orbitofrontal cortex, a region at the she is increasingly able to transcend an imme- base of the frontal lobe that is tuned to rewards diate negative state (e.g., distress) and enhance and punishments in social relationships. By “self-solace” capacities that help the child make its dense connections with the amygdala, a a transition between the two states when the structure primarily responsible for fear, anx- mother is not present (“Mommy is away, but iety, and some kinds of anger, the orbitofron- she will come back”). As Schore explained, the tal cortex favors emotionally based monologi- child develops the capacity to make transitions cal responses rather than flexible dialogical from negative to positive affective states of movements. The tendency to seek, often in an mind and realizes, in recurring ways, an adap- automatic ways, for routine or standardized tation of the self to a problematic situation. This positions raises the question of whether a adaptation is seriously reduced in forms of in- dialogical self, which assumes the existence secure attachment. As this research suggests, of a variegated and flexible position reper- the experience of insecurity reduces the self’s toire, is possible. capacity to make the transition from a negative SELF, IDENTITY, AND GLOBALIZATION 45 to a positive position. This reduction impover- openness and unfinalizability of the notion of ishes the variation of the position repertoire and dialogue (e.g., Holquist, 1990). The difference flexible movements between different voices. between logical and dialogical relationships As discussed earlier in this article, the lack of may serve as an example of the open nature of flexibility associated with strong negative emo- dialogue. tions is a central problem in defensive forms of Take two phrases that are completely identi- localization. cal, “life is good” and again “life is good” Both Lewis’s (2002) and Schore’s (1994) (Vasil’eva, 1988). From the perspective of work is focused on the orbitofrontal cortex, Aristotelian logic, these two phrases are related which produces, in its linkage to the subcortical in terms of identity; they are, in fact, one and the limbic system, an affectively charged, gistlike same statement. From a dialogical perspective, sense of an interpersonal respondent, based on however, they may be seen as two remarks stabilized expectancies from many past interac- expressed by the voices of two spatially sepa- tions. Both models have the advantage in that rated people in communication, who in this case they show how relatively stable, sublingual entertain a relationship of agreement. Here we voices and recurrent dialogical routines put lim- have two phrases that are identical from a log- its on the linguistic, dialogical processes. These ical point of view, but different as utterances: limits are not to be evaluated necessarily as a The first is a statement, the second a confirma- disadvantage because they may contribute, in tion. In a similar way, the phrases “life is good” specific situations, to our action readiness and and “life is not good” can be compared. In terms behavioral efficiency. of logic, one is a negation of the other. How- Fluid and stable dialogical patterns. As the ever, as utterances from two different speakers, work on the dialogical functioning of the brain a dialogical relation of disagreement exists. suggests, it is necessary to distinguish between In principle, dialogical relationships are open “fluid” and “stable” forms of dialogue. Fluid and move toward an unknown future. Every dialogues are contingent on changing situations, speech act opens a dialogical space (Hermans, highly open to new input, and involved in an 2001) that allows a broad range of possible active process of positioning and repositioning. statements or opinions in the future, and at Stable forms of dialogue are repetitive, auto- every step in the process the next step is largely matic, and closed to new input and information unpredictable. Logical relationships, however, and, therefore, move to the monological end of are closed, insofar as they do not permit any the continuum. From a developmental perspec- conclusion beyond the limits of the rules that tive, Fogel, De Koeyer, Bellagamba, and Bell govern the relationship. A syllogism, for exam- (2002) have observed both regularly recurring ple, starts from a set of premises and leads, dialogical routines (e.g., patterns of opposing through a number of logical steps, to a conclu- wills between mother and child) and creative, sion that is necessarily true, rejecting any other changing, developing routines (e.g., taking a possibility. In apparent contrast to dialogical variety of positions during role playing) in the relationship, nothing is left to be said, nor is an first 2 years of life. In a clinical setting, opening created to the domain of the unex- Dimaggio, Salvatore, and Catania (2004) pected. found psychopathological analogues of this However, the question can be raised as to distinction in patients suffering from personal- whether dialogical relationships are as open as ity disorders: Some dialogical patterns were im- suggested by Bakhtinian dialogism. An every- poverished and rigid, others were disorganized day example may illustrate that dialogues are and chaotic. The developmental and psycho- highly restricted by vested interests and emo- pathological literatures on changing and stable tional affinities. Two people, A and B, start a forms of dialogue are expected to be relevant conversation, exchanging a variety of experi- both for the flux of globalizing processes and ences in a casual way. At a certain point, A for stabilizing forces of protective or defensive expresses an opinion with which B disagrees. forms of localization. For his part, B expresses a counteropinion that Basic needs as reducing the openness of the is not compatible with A’s point of view. In the dialogical self. In the tradition of Bakhtinian case of an open dialogue, one would expect that dialogism, it is commonplace to emphasize the the two conversational partners would exchange 46 HERMANS AND DIMAGGIO their opinions and develop them in such a way From a dialogical point of view, emotions are that they learn from each other and revise their isolated things and not just internal physiologi- initial position in light of the input they have cal processes. A dialogical view of self and received from the partner. However, this is not identity in a globalizing world is in need of what can be observed in many, perhaps even theories of emotions that are intrinsically social most, cases of disagreement. As soon as the and societal. To underscore this view, we conversational partners notice that the other present in the following sections three signifi- party disagrees, they feel that their opinion, in cant concepts: emotion work, emotion rules, which they have invested part of their identity and emotional positions. (“This is my opinion”; “This is the way I see Emotion work and the power of expectations. it”), is at stake, and from that moment they are Our treatment of the role of neural connections motivated to “defend” their position against that (e.g., the dialogical brain) in the genesis and of their opponent. Given this motivation, they development of emotions and our discussion of repeat or paraphrase their initial point of view in evolutionary-based needs (e.g., safety, self- an attempt to “protect” it against the “undermin- defense, and self-enhancement) does not claim ing” statements from the other. Gradually, the that emotions have no significant social and conversation assumes a competitive character, societal context. Our purpose is not to downplay and both partners try to strengthen their own the role of social factors in the field of emotion position to make it dominant over the position theory, but rather to bring biological–neural and of the other party. Owing to this repetition and social–societal factors together as intercon- striving for dominance, the openness of the di- nected elements of a dialogical approach (see alogue is seriously reduced and moves to the also Blackman, 2005). monological end of the continuum. A concept that links emotions to social posi- The fact that people exchange opinions in a tions is the notion of “emotion work.” Emotions conversation is no guarantee of an open dia- are not things in themselves or purely internal logue. In case of disagreement, they defend processes, but parts of a highly dynamic social their point of view against the opinion of the and societal process of positioning. Depending other, and in case of agreement, they use the on the positions in which people find them- opinion of the other party as a means to further selves, particular emotions are expected to corroborate or even expand their initial view- emerge in a particular situation, whereas other point. In a globalizing environment, people are emotions are expected to be absent or sup- confronted with myriad opinions and ideologies pressed. Under the influence of position-bound that are different from those that they have expectations, some emotions are tolerated, ac- learned in their local environments. When these cepted, emphasized, exaggerated, or denied, views are experienced as threatening or under- whereas others are not. In an extensive treatise mining their local point of view, they are mo- on the management of emotions, Hochschild tivated to defend their local positions, often in (1983) gave the following examples: A secre- emotional ways. Self-defense restricts the dia- tary creates a cheerful office that announces her logical self. company as friendly; the waiter fashions an atmosphere for pleasant dining; a tour guide Social Nature of Emotions makes us feel welcome; the social worker makes the client feel cared for; the funeral par- In the preceding section, we emphasized the lor director makes those who are bereaved feel apparent need for stability, safety, and self- understood; and the minister creates a sense of maintenance and have argued that these basic protective outreach. Such emotion work is typ- motives restrict the range of the position reper- ical not only of social positions that are orga- toire and the openness of the dialogical self. We nized on the basis of social or societal expecta- drew on some literatures from biology and the tions but also of expectations or requirements of neurosciences to underline the emotionally a more personal nature. People act on their tuned need for stability. Does this mean that we feelings when they are trying to feel grateful, propose an essentializing view of emotion? Or trying not to feel depressed, let themselves feel are we advocating to physiologize the emo- sad, permit themselves to enjoy something, tional basis of the self? The answer is a clear no. imaginatively exalt their feelings of love, or put SELF, IDENTITY, AND GLOBALIZATION 47 a damper on their love. In all those cases, emo- as socially inappropriate. Restrictions refer to tions are conceived of not as purely internal limits on what a person can do when acting impulses that have an existence on their own or under emotion. For example, lovers are ex- as purely physiological reactions that take place pected to be discrete and honorable in their within the skin, but as integral parts of an agen- affairs. Whereas restrictions forbid a person to tic process of social or personal positioning. feel and do particular things, obligations in- Depending on the positions and the dialogical struct the person what should be felt or done. spaces in which they find themselves, people act For example, in all societies those who are on their emotions, under the influence of posi- bereaved are expected to perform particular tion-bound expectations and requirements (e.g., mourning practices. An individual who fails to “As a rich guy who has everything he wants, I comply with these expectations is often subject expect myself to be happy”). to severe sanction. Finally, most social posi- Sometimes emotion work becomes a struggle tions have entry requirements, that is, they can of the person with him- or herself. In a moving be occupied only by persons of a certain age, excerpt, Hochschild (1983) described a woman sex, training, or social status. This also applies who felt in love with the “wrong guy.” Al- to emotional positions. For example, persons though in love, she discovered that he had reg- higher in authority (e.g., parents) are afforded ularly broken off relationships with his many more right to become angry than persons lower former girlfriends after only a short time: in authority (e.g., children; Averill, 1997).

I attempted to change my feelings. I talked myself into not caring about him. . . but I admit it didn’t work for Implications for Globalization and long. To sustain this feeling I had to invent bad things Localization about him and concentrate on them or continue to tell myself he didn’t care. It was a hardening of emotions, In the preceding sections, we have discussed I’d say. It took a lot of work and was unpleasant some neurologically and biologically based lit- because I had to concentrate on anything I could find that was irritating about him. (p. 44) eratures that deal with the emotionally based tendency to return to ordinary, familiar, and Apparently, this person found herself to be in self-protecting positions and to engage in repet- two different positions in clear conflict, “I’m in itive dialogical routines. In addition, we pre- love” and “I must protect myself.” As part of sented research that refers to the social and this conflict, she entered into a series of internal societal nature of emotions. Both literature dialogues in which she tried to change her feel- streams have in common that they restrict the ings of love in the service of self-protection. In openness of dialogical relationship and the her internal fights, she aimed at a “dominance range of possible positions. As we have argued, reversal” (Hermans, 1996a) in which the self- evolutionary-based motives that grant survival protecting forces would become stronger than and fitness and the need for safety, protection, her feelings of love. and stability lead to establishing a set of posi- Emotion rules and emotional positions. tions that create a split between in-group and Emotion work takes place under the guidance of out-group in the service of confirming the iden- emotion rules. Such rules are standards used in tities of individuals and groups. The neurolog- internal and external dialogues to determine ically based tendency to return to ordinary and what it is right or wrong to feel. Emotion rules familiar positions and the existence of auto- serve as standards that tell us what is “due” in a matic dialogical routines have the advantage particular social or personal position. From a that people can use an economical set of stereo- social constructionist view of emotions, Averill typical or abbreviated dialogues (Lyra, 1999), (1997) has argued that the rules of emotion help but they do not permit the individual to move to establish a corresponding set of emotional easily beyond the constraints of traditional or roles or, in our terms, “emotional positions.” An familiar interactions. The socially based emo- emotional position can be analyzed in terms of tion rules, on the other hand, help individuals privileges, restrictions, obligations, and en- and groups to interact in ways that are shared trance requirements. There is a privilege when, and appreciated by the community to which for example, a person in love may engage in they belong, but they restrict the range of posi- sexual behavior that otherwise may be viewed tions and limit the openness of dialogical rela- 48 HERMANS AND DIMAGGIO tionships with people outside the community. Emotion work and globalization. The ac- What are the implications of these insights for celerating process of globalization requires in- the processes of globalization and localization? creasing amounts of emotion work. When emo- Emotion rules and globalization. Contem- tion work is required and organized by one porary social scientists are confronted with a position (e.g., the flight attendant being situation in which privileges, obligations, re- friendly, the minister being protective, the fu- strictions, and entry requirements typical of neral director understanding those who are be- emotion management in a particular society are reaved), it does not imply an excessive amount basically challenged by the process of global- of emotion work as long as these social roles are ization. Emotion rules about love, anger, or felt as “ordinary positions” (Lewis, 2002) by the grief are typically limited to a particular group, person in charge. Emotion work may even take community, or culture, but they can be very place in automatic ways when performed in different in different cultures. Such rules orga- usual circumstances and when it is part of one’s nize and regulate interactions between people daily routines. However, in the case of different, within a particular community that are accepted conflicting, or opposing positions a significantly as belonging to the culture to which one be- greater amount of work is required. A simple longs, but that may be strange, unfamiliar, or example may illustrate this. On one of his trav- even offensive to people from another commu- els, a German man falls in love with a woman nity (e.g., the rage of Muslims over the por- from Cuba. She reciprocates his love, and they trayal of Mohammed in those Danish cartoons decide to marry and begin living in Germany. within a Western liberal democracy with strong However, while he goes to work each day, she traditions in favor of freedom of expression). In regularly phones her family members in Cuba to the contemporary world, one and the same in- whom she feels strongly attached and tells them dividual is increasingly confronted with the how much she misses them. She is in love with emotion rules from different communities in her German husband, but does not like the which the individual participates as a member German setting (no work for her, cold climate, of a globalizing society. The result is an increas- lack of music and street dancing). Although she ing sense of uncertainty, particularly in situa- is not happy in Germany, she is convinced of tions where there are different sets of rules and her love for her husband and is doing her best to where it is not clear which set has priority. An be a good partner to him (happy, active, and example may illustrate this. caring). After some time, however, she gets American gay tourist Chris Crain was walk- depressed and has to admit that she can no ing hand in hand with his male friend in longer stay in Germany. Her husband takes Amsterdam at the festival of the birthday of leave from his work and goes with her to Cuba. the Queen of the Netherlands in 2005. Sud- However, after some weeks he has to return denly, he was spit on by a passing man, who because of work obligations in his own country. was raised in a Moroccan culture but lived in Finally, the couple decides to live separately, the Netherlands. When the victim objected, he and eventually they divorce. In this example, was knocked down. This event, reported and the woman feels herself in a field of tension discussed in the Dutch newspapers (and in some between at least two conflicting positions, “I as American media), happened in a city that, for loving my husband” and “I as loving my own many decades, has been known as the most family and country.” Stretched between two gay-friendly city in the world. However, in the strongly attractive positions, she vacillates and past decades, the Netherlands has become pop- must convince herself that she loves her hus- ulated by inhabitants from an increasing variety band, particularly at those moments in which of different cultures (e.g., Turks, Moroccans, she most wants to return to her homeland. In and Surinamese) and has become a multicul- general terms, the process of globalization lo- tural society. As a result of this process, the cates individuals and groups in fields of tensions emotion rules concerning gay love that were between different cultural positions. Each of accepted by large parts of the traditional Dutch these positions represents a different or even community in earlier times are now highly con- conflicting cultural voice that requires multi- troversial in the eyes of some cultural groups of voiced emotion work, with one voice speaking the “same” country. in ways that are different from and even op- SELF, IDENTITY, AND GLOBALIZATION 49 posed to how the other voice speaks. Such multi- psychology (e.g., Aron et al., 2005; James, voiced emotion work coexists with intensified 1890; Rosenberg, 1979). We argued that in the internal and external dialogues that aim at the present era, self and identity can only be prop- reduction of tensions. erly understood as being extended to the global In the preceding sections, we discussed two and local environment and as being formed and groups of factors that are considered highly transformed by processes on these levels. An relevant to the processes of globalization and important implication of the self as globally localization: neural and biological factors and extended is the experience of uncertainty that is social–cultural factors. We have argued that pervasively present in the selves of people of both groups of factors restrict the openness of our world today. self and the range of the position repertoire. We discussed the tendency of the brain to return to Self as Dialogically Extended ordinary and familiar positions; the pervasive influence of the need for safety, protection, and We propose to conceptualize the self not only stability; and the role of biological survival as extended to the world, but also, and more needs as they organize the self and restrict its specifically, as dialogically extended to the boundaries, particularly in times of globaliza- world, because we believe that a globalizing tion and uncertainty. world can only be a livable world when dialog- In the following sections, we continue our ical relationships play a central role in the rela- exploration of self and identity by resuming the tionships between individuals and between three issues that were central to the first part groups. One of the main tenets of this article is of the article: the other as extension of the that our world can only be dialogical when the self, the role of social dominance, and the sig- self is dialogical as well. The self as a society is nificance of emotions. We argue that the three not separate from society at large. concepts (the other, dominance, and emotion) The other as self-extension serves as a first require a linkage between three levels of anal- link between the three levels. Given the basic ysis: global, local, and individual. By distin- extension of the self to the world, we argued guishing these levels, we want to integrate the that the other is not simply outside the self but insights that emerged from the exploration of rather a constitutive part of the self, in terms of the biological and the social domains of inquiry. a multiplicity of voices emerging from global– local dialectics. In the field of psychoanalysis, A Three-Level Proposal: Global, Local, object relations theorists (e.g., Guntrip, 1971; Individual Winnicott, 1964) have made important contributions to understanding the role of the other as In the presented theoretical framework, we interiorized parts of the self. In an era of in- have analyzed self and identity at three levels: creased globalization, however, the number and the global level, the local level, and the individ- nature of voices in the self have been expanded ual level. We have done so in the conviction dramatically, and we are increasingly involved that the process of globalization, which forms in mediated forms of dialogue: In contrast to and changes the lives of an increasing number earlier times, dialogical relationships make use of people in the world, requires theoretical ap- of technological advances such as the Internet, proaches that overcome any self-contained in- E-mail, mobile telephone, multi-user dimen- dividualism. As we have argued, globalization sions, and short message systems that expand is not to be equated with homogeneity, unifor- our dialogical possibilities beyond the bound- mity, or cultural imperialism, but can only prop- aries of self and identity as described in tradi- erly be understood in its dialectical relation with tional theories (Annese, 2004; Cortini, Minnini, localization, resulting in heterogeneity, differ- & Manuti, 2004; Hermans, 2004; Hevern, 2004; ence, and cultural diversity. To create a link Ligorio & Pugliese, 2004; Van Halen & Janssen, between the level of the self and the levels of 2004). As we have discussed, globalization in globalization and localization, we discussed the particular increases the number of individual self as being extended to the social environ- and collective voices and their mutual relation- ment, a conception that has played a central role ships dramatically, whereas localization aims in both theoretical and empirical traditions in more at the stabilization and even limitation of 50 HERMANS AND DIMAGGIO voices in the dialogical field. Particularly when quence is that particular positions in society localizing tendencies function as exclusive (e.g., jobs, responsibilities, privileges) remain identity markers (e.g., the own nation or reli- inaccessible to particular individuals or groups gion as opposed to and above other nations or and result in a forced restriction of their position religions), the localizing voices move the self to repertoire (Hong & Chiu, 2001). (For the role of the monological end of the continuum between social power in relation to gender, race, and dialogue and monologue. On the global–local class, see Falmagne, 2004; for a discussion of interface, we see two risks: One is the mono- the self in the context of racialization and dias- logical domination by only one voice (e.g., na- pora from a dialogical point of view, see Bhatia, tionalism, fundamentalism, sexism, or terror- 2002; Bhatia & Ram, 2001.) ism); another is the disorganized and chaotic cacophony of a multiplicity of voices (e.g., Emotion and Defensive Localization identity confusion, lack of a meaningful direction in life, or rootlessness). Taking these risks The third linking concept, emotion, is a nec- into account, individuals and groups in our time essary element in the dialogical self because, are placed in fields of tension between global- particularly in the context of defensive localiza- izing and localizing forces. In these fields, they tion, voices can express indignation, anger, and are challenged to make creative use of the ex- even hate, and such emotions often lead to perience of uncertainty and to open and close uncontrollable escalation (Valsiner, 2002) of vi- themselves dependent on their own needs and olence and destruction on a societal level. It the possibilities offered by their situation. should be noted that it is not our intention to restrict the psychological implications of glob- Institutionalized Dominance alization to negatively experienced emotions only. On the contrary, the loosening of bound- The notion of dominance also points to the aries between cultures, groups, and traditions necessity of a linkage between the three levels. and the global interchange of (local) goods, Because dominance relations are intrinsic fea- practices, and ideas may be a source of positive tures of the society at large, they are also char- emotions. In this article, we have emphasized acteristic of the functioning of the self as a negative emotions as they are characteristic of minisociety (Gillespie, 2005; Tappan, 2005). protective or defensive forms of localization. Therefore, dominance relationships suggest the We have elaborated on the role of such emo- existence of linkages between the levels of the tions by referring to the distinction between the individual, the local, and the global. It should be other as object and the other as abject and emphasized that social dominance is not re- described the reaction of excluding this other garded as necessarily positive or negative from from one’s own self-definition. Again, we want an evaluative point of view. In the present the- to emphasize the significant role of imagination oretical context, it is regarded as an intrinsic in the depiction and construction of the abject aspect of a well-ordered dialogical relationship. other. In the context of globalization, Appadurai Relations of dominance, however, become (1996) has proposed a distinction between indi- problematic when institutional and societal vidual and collective senses of imagination and structures and ideologies prevent individuals has emphasized that the faculty of imagination and groups from expressing their voices from is not restricted to the individual mind. Collec- their own particular points of view and on the tive experiences of the mass media, especially basis of their own specific sources of experi- film, video, and DVD, can create communities ence. As we suggested earlier, social dominance not only of worship and charisma, but also of is an important reaction to experiences of animosity and abjection. Conditions of col- heightened uncertainty as it results in protective lective reading, pleasure, hate, rejection, and or defensive forms of localization. Such local- exclusion make groups imagine and feel izations tend to sharpen and essentialize the things together and lead individuals to feel differences between in-group and out-group, themselves as part of a group that derives its and between self and other, with one’s own identity not only from separation from other group or self defined as superior and the other groups but even by their rejection and de- group or self defined as inferior. The conse- monization. Rejection and demonization of SELF, IDENTITY, AND GLOBALIZATION 51 other groups, fueled by individual and collec- We do so in the expectation that the presented tive imagination, can be regarded as emotional views have the potential of connecting exist- responses to situations of intolerable uncer- ing lines of psychological research with the tainty. The significant role of emotion in rela- challenges posed by the processes of global- tion to the abject other or group of others, the ization, localization, and the experience of collective experience of animosity, and the dy- uncertainty. We limit ourselves to three lines namics of escalation between groups in the ser- of research: (a) a dialogical approach to pri- vice of identity protection require an analysis in vate audiences, (b) friendship with out-group which emotions of individual people are linked partners, and (c) the innovation of the self as to processes at the local and global levels. a result of globalization. Finally, globalization may cause uncertainty about emotion rules as the individual person A Dialogical Approach to Private is exposed to different rules originating from Audiences different cultures. Moreover, globalization increases the number and heterogeneity of po- Inspired by the work of symbolic interaction- sitions, often leading to tensions between con- ists, Baldwin and Holmes (1987) assumed that a flicting or opposing positions. Such conflicts sense of self is experienced in relation to some require excessive amounts of emotion work audience: people who are present or imagined, and, as a reaction, may motivate individuals to specific or generalized, actual or fantasized. retreat to local groups, practices, and traditions. These authors referred to the common observa- In the preceding sections, we have dealt with tion that people respond to a range of different three main concepts (other-in-the-self, domi- significant others, who represent distinct ways nance, and emotion) that function as bridges of evaluating the self. They termed such an between the levels of the individual, the local, evaluating other as a “private audience” that and the global. At the same time, these concepts could include such divergent figures as a can be used to demarcate settings and situations spouse, best friend, religious leader, or business where there is no dialogue. Dialogue is not colleague. In one of their studies, a group of everywhere. It is restricted or even impossible undergraduate women visualized the faces of when the self is populated by a high number of either two friends from campus or two older disconnected voices of other people, resulting in members of their own family. Later they were a cacophony in which any meaningful exchange asked to read a sexually permissive piece of is impeded (P. H. Lysaker & Lysaker, 2002). fiction. When they were afterward asked to rate Dialogue is even impossible when social dom- the enjoyableness of the story, it appeared that inance in interpersonal or institutional settings participants who had thought of friends from becomes so unbalanced that the voice of the campus reported liking the story more than subjugated party is silenced or suppressed so those who thought of their (supposedly more that it has no chance to express itself from its moralistic) older family members. Apparently, own particular point of view. Dialogue is also they tended to respond in ways that were ac- seriously restricted when the person is absorbed ceptable to their salient private audiences. The in a particular narrative and its corresponding self-evaluative process was guided by cognitive emotional state to such an extent that the flex- structures that were primed by the preceding ibility to move to another emotional state (or the perception of significant others. (For a similar capacity to understand the different emotional study, see Baldwin, Carrell, & Lopez, 1990.) state of another person) is seriously reduced. The concept of private audience is very well in agreement with one of the premises of dia- Some Research Implications logical self theory, that positions or voices are always addressing somebody (Salgado & Although it is not our purpose to present a Hermans, 2004). Voices convey messages, review of literatures that provide empirical ev- knowledge, or information in sign-mediated idence or contra-evidence for dialogical self ways to somebody who is assumed to listen to theory, we want to briefly sketch some lines of the message and may respond, in one way or empirical research that can be suggested by another, to it. The existence of private audiences some of the insights described in this article. is quite compatible with the idea that a person or 52 HERMANS AND DIMAGGIO a group is imagined to respond to messages that (2005) investigated prejudices toward out- have become part of the self. However, it should groups. They reasoned that intergroup contact is be noted that in Baldwin and Holmes’ experi- most likely to reduce prejudice when intimate ment the audience is imagined but does explic- contact with an out-group member is involved. itly convey a message. The respondents see Usually, people treat in-group members as parts faces, but the faces do not speak or give any of themselves and out-group members not as sign-mediated response. part of themselves. However, what happens We suggest performing social psychological when one develops a friendship with an out- experiments in which private audiences are group partner? Aron et al. hypothesized that not primed and explicitly talking with the partici- only the out-group member but also the out- pants so that the effect of messages can be group member’s group identity become part of studied on subsequent evaluative responses. the self. In this way, they expected that it was Moreover, different kinds of audiences could be possible to undermine negative out-group atti- introduced, not only those who are familiar to tudes and prejudices. On the basis of several the respondent but also those who are unfamil- studies, Aron et al. concluded that there is sup- iar, strange, or belonging to other cultures or port for the proposition that contact with a even those perceived as direct opponents or member of an out-group is more effective in enemies. The guiding idea is that the process of reducing prejudice when one has a close rela- globalization implies the introduction of a het- tionship versus a less close relationship with erogeneous set of audiences to the self to which that out-group member. the self can respond in various ways (e.g., ap- The research on friendship with out-group proaching, avoiding, or opposing). members opens a welcome avenue for studies on the effect of globalization and localization Friendship With Out-Group Partners and because it may contribute significantly to the Friendship With Oneself understanding of how prejudices between social and cultural groups can be reduced and closed As we have argued in this article, significant boundaries between individuals groups opened. others are represented as intrinsic parts of the However, the process of globalization poses a self. In close correspondence with this idea, problem that goes beyond the pure opposition Aron and colleagues (2005) have presented an between in-group and out-group. As we argued inclusion-of-other-in-the-self model. The basic earlier, globalization increasingly leads to the idea of this model is that when standing in a emergence of a multiplicity of cultural voices close relationship with another person, one in- within one and the same individual (e.g., an cludes in the self, to some degree, the other American man married to a Japanese woman, a person’s perspectives, resources, and identities. Polish scientist studying in the United Kingdom, To give some idea of the kind of research that an Iranian artist looking for asylum in France). this model has stimulated, we restrict ourselves The existence of multivoiced individuals cre- to two examples. ates a more complex situation because there is In psychological research, it is a well-known typically more than one group to which an in- finding that people recall past successes as more dividual feels attached. Given the existence of recent and past failures as more distant in time cultural differences or oppositions, the different than they actually are. Building on this finding, voices may criticize each other or may be in- Konrath and Ross (2003) examined whether volved in a mutual conflict although they may people are subjected to the same effect when come from groups who are all felt as in-groups. they take the perspective of their romantic part- An example may illustrate this complexity. ners. In agreement with the hypothesis, they From struggling cultural positions to internal found the same effect when their participants friendship. From the perspective of dialogical recalled past events for their romantic partners, self theory, Clarke (2003) studied the clinical but only in those cases in which the partners phenomenon of burnout in a people living at the were felt as close, not when they were felt as interface of different cultures. One of her re- distant. spondents, Hawa, was a 30-year-old woman In one of the applications of the inclusion-of- who had immigrated with her family from Tur- other-in-the-self model, Aron and colleagues key to the Netherlands when she was 5 years SELF, IDENTITY, AND GLOBALIZATION 53 old. At the age of 30, she suffered from a her with two very different emotion rules that burnout that was reason for her to contact a she were not able to reconcile. Her attempts to psychotherapist. The psychotherapist proposed be a decent woman who obeyed her parents and that Hawa perform a self-investigation in which her striving to become a strong independent she told two self-narratives, one from the per- woman required so much emotion work that she spective of her Dutch position and another from ended up burnt out. From an empirical point of the perspective of her Turkish position. The view, this case study suggests that it is impor- results showed a severe conflict between the tant to distinguish three lines of future research two positions. She described her relationships in the context of the process of globalization with several boyfriends, which were very ac- and localization. The multiplicity of positions in ceptable from her Dutch position but from the which individuals find themselves as a result of perspective of her very moralistic Turkish po- immigration and intercultural contact requires sition were a forbidden area. Although her par- (a) the investigation of conflicting emotion ents were very important in her life, she could rules, the experience of uncertainty, and the only talk with them about matters of business, nature of emotion work that is required to cope never about the things that were of emotional with conflicts in the self; (b) the investigation of value to her. In the course of therapy, she found the ways in which conflicting positions can be out that she was investing an enormous amount reconciled so that they are no longer experi- of energy in suppressing her Turkish identity as enced as competitive or mutually exclusive, but a result of her tenacious attempts to defend her as cooperating and mutually complementing; Dutch way of life against the collective voices and (c) the study of the multifaceted nature of of her family and original culture. She wanted each position separately. This idea behind this to be an independent and powerful woman but suggestion is that the chances of reconciling suffered from guilt feelings because she acted in conflicting positions increases when not only conflict with the mores that she had learned as the positive but also the negative facets of po- the daughter of Turkish parents. The result of sitions are taken into account (Cooper, 2003). the therapy affected her in two ways. She dis- When the multifaceted nature of each position is covered that her Turkish I had more facets than acknowledged, there is greater chance that the she had ever thought. Her Turkish position was positions can cooperate on the basis of noncon- not purely moralistic and expressing only a flicting elements and form effective coalitions businesslike attitude. She realized that part of (Hermans & Hermans-Jansen, 2004). her emotions and her aesthetic preferences were the result of her Turkish education. Also, her Innovative Power of Dialogues Dutch position became more multifaceted. She found out that this position did not purely co- One of the central features of dialogical rela- incide with her independence and freedom to tionships is that they have the potential of in- choose her own friends, but also gave her the novating the self. The most straightforward way space to reflect about herself and to see things in which the self can be innovated is when new from many sides. Gradually, she discovered and positions are introduced that lead to the reorga- emotionally accepted that her Dutch and Turkish nization of the repertoire in such a way that the positions were not purely competitive, with one self becomes more adaptive and flexible in a criticizing the other, but were mutually comple- variety of circumstances (Hermans, 2003). mentary. At the final phase of therapy, she had From a developmental point of view, Fogel and enough courage to introduce her new friend to colleagues (2002) have argued that children in- her parents, who, somewhat to her surprise, novate their selves in role-playing situations in accepted him as a welcome guest. which they learn to reverse roles (first the The example of the Dutch–Turkish woman mother is the lion and then the child) and build exemplifies two phenomena that are significant on them in their own play. From a clinical point to understanding the influence of globalization of view, Dimaggio, Salvatore, Azzara, and on the self. Hawa was not living in one cultural Catania (2003) showed how clients, using a group as in-group with the other group as out- self-confrontation method, were able to “re- group. Rather, both groups were parts of her. write” their self-narratives in innovative ways, The problem was that the two cultures presented and Neimeyer and Buchanan-Arvay (2004) de- 54 HERMANS AND DIMAGGIO scribed how clients can “relearn” the self by like the one described above could be run with revising their self-narratives after traumatic participants instructed to believe that they com- loss. municate with people from groups of diverse How can dialogical relationships and the cultural origin. Such experiments could exam- introduction of new positions be used, in em- ine under which conditions participants posi- pirical ways, to innovate the self? Two ways tioned as a member of a particular culture would are briefly described, one referring to the learn from interlocutors positioned as members communication with real others, the other fo- of another culture. A particularly relevant ques- cusing on the contact of an imaginary other. tion would be whether participants are able or In an experimental study Stemplewska- willing to modify their selves, taking the alterity ˙ Zakowicz, Walecka, Gabin´ska, Zalewski, and or otherness of the interlocutor into account. Zuszek (2005) asked students to discuss (For the relevance of otherness in the self, see whether psychological knowledge could be Simaõ & Valsiner, 2006.) helpful in passing exams. Some of the students Imaginary dialogues and innovation. were instructed in such a way that they believed Whereas experiments like those performed by themselves to be in the position of an expert, whereas others received an instruction that Stemplewska and colleagues (2006) are focused made them believe that they were in the position on dialogues with real others, other work has of a layperson. In some experimental condi- examined dialogues with imaginary others. tions, moreover, students were placed in the Drawing on Markova´’s (1987) model, Hermans position of expert or layman in a direct way (1996b) invited clients in psychotherapy to en- (both participants received the instruction that ter into an imaginary dialogue with a person they were expert or layperson), whereas in other depicted in the 1930 painting Mercedes de conditions students were positioned in an indi- Barcelona, by the Dutch artist Pyke Koch rect way (their interlocutor was instructed that (1901–1992). The painting depicts a middle- they were an expert or layman, but they them- aged woman, placed in a frontal position so that selves did not receive this instruction). The eye contact with the viewer is possible. Clients experimenters’ intention was that in the latter were invited to select a personally meaningful condition the participants not see themselves part of their previously told self-narrative (a as expert or layman, but that they be per- so-called “valuation”) and imagine that they ceived as such by their interlocutors. The were telling it to the woman in the painting. experiment provided confirmation for one of the They were asked to concentrate on the picture basic premises of dialogical self theory: that and imagine that the woman responded to their different positions produce different narratives valuation. After the woman had given an imag- (the students positioned as experts gave more inary reaction to their valuation, participants advice than those positioned as laypersons). were invited to return to their original valuation Moreover, it was found that even indirect ways with the possibility of revising this valuation in of positioning showed this effect, although to a light of the woman’s response. In fact, this minor degree (students positioned as experts by procedure involved three steps: their interlocutor but not by themselves gave more advice than those that were positioned, Step 1: Participant presents a valuation to also in an indirect way, as layperson). (For the woman. another experiment with similar outcomes see Stemplewska-Z˙ akowicz, Walecka, & Gabin´ska, Step 2: Woman gives an imaginary re- 2006). sponse. Experimental research in which participants communicate on the basis of a variety of in- Step 3: Participant responds to the woman. structed positions may be relevant to innovation in the self. In the context of globalization, peo- Different clients responded in very different ple who are in contact with an increasing diver- ways to the woman’s imaginary response. One sity of significant others raised in other groups, client, Bob, a 50-year-old man who participated communities, or cultures may become posi- in this investigation after a 4-year period of tioned in direct or indirect ways. Experiments depression, gave the following responses: SELF, IDENTITY, AND GLOBALIZATION 55

Step 1: Bob: “I always had to manage ship and charisma but also animosity and hate. things on my own; didn’t receive any at- Three-step procedures like the one proposed by tention, or affection; was superfluous at Markova´ (1987) may be helpful in studying in home; this has made me very uncertain.” detailed ways to what extent people involved in contact with remembered, anticipated, or imag- Step 2: Woman: “This sounds very famil- ined others innovate their selves in dialogical iar to me: I’ve had the same experience.” ways or confirm and defend it in a monological fashion. Such studies should pay attention to the Step 3: Bob: “I recognize the sadness in ways in which emotions (associated with liked, your eyes.” disliked, and abject others) can be changed and innovated as a result of internal and external As this example shows, in Step 3 there are no dialogues. (For the notion of emotional creativ- significant differences in comparison with the ity, see Averill, 2004.) original formulation in Step 1. Rather, Bob ex- For the future of dialogical self theory, it is of presses in Step 3 a feeling that was already crucial importance to expand its empirical evi- present in Step 1 and confirmed by the woman dence to avoid a gap between theory and re- in Step 2. In fact, the dialogical movement does search. Further development of the theory might not produce innovative elements. A very differ- profit from research traditions and methodolo- ent process can be observed in the example of gies devised in mainstream psychology. We are Frank, a 48-year-old man, who referred to his in strong agreement with Sakellaropoulo and work as manager in a company: Baldwin (2006), who proposed interconnecting Step 1: Frank: “I trust most people in ad- the recent field of dialogical science and the vance; however, when this trust is violated, more established field of interpersonal cogni- I start to think in a negative way; this can tion in this way: have harmful consequences.” We believe that to further increase the understanding of both interpersonal cognition and dialogical science, Step 2: Woman: “You should keep your researchers should strive to incorporate each area’s openness; however, your trust should be- fundamental principles into the other. Although research into interpersonal cognition has progressed sig- come somewhat more reserved and take nificantly in the last decade, much work remains. De- into account the topic involved.” spite dialogue being a core component of self and identity, a dialogical component to interpersonal cog- Step 3: Frank: “You are right; I must pay nition is essentially lacking. Indeed, the majority of the attention to this; reservations in this will dependent variables in the studies we reviewed in this article [Sakellaropoulo and Baldwin’s review of devel- also help me to control my negative feel- opments in the field of interpersonal cognition] are ings.” fundamentally non-dialogical in nature (e.g., affect, self-esteem). On the other hand, dialogical science, In this case, the woman, in the role of a wise still a relatively recent enterprise, could benefit greatly advisor, offers Frank a new perspective (Step 2) from the methods and findings already available in the that is incorporated in his final reaction (Step 3), interpersonal cognition literature. (p. 63) so that the original formulation (Step 1) has Future research in the field of dialogical sci- been further developed. The content of his final ence may very well profit from the foundational valuation in Step 3 involves not only a central work by classic theorists such as James, Mead, element of the woman’s response (reservation), Cooley, Pierce, and Bakhtin (see Wiley, 2006, but also a central theme in his original valuation for a review of literature, and Colapietro, 2006; (negative thinking). Frank brings together and Leary, 2006, and J. Lysaker, 2006, for commen- integrates elements from Steps 1 and 2 in Step 3 taries). However, to be recognized as a re- and thus constructs a final valuation with a spected science, it is necessary to develop the considerable innovative and synthesizing qual- dialogical field in a theory-guided, empirical ity. Dialogical procedures are particularly rele- direction, taking advantage of both quantitative vant in light of Appadurai’s (1996) discussion and qualitative methods and of both experimen- of the role of imagination in collective experi- tal and experiential approaches. Building on the ences in the mass media and especially in film, work of the founding fathers, new and challeng- video, and DVD that can create not only wor- ing theories should be created that may profit 56 HERMANS AND DIMAGGIO from equally developed assessment methods the relation between economic deprivation and research procedures that are essential to and identity construction should be studied in revise and improve existing theoretical notions. depth. Ethics can widen our horizon by studying the ethical implications of self-formation Future Perspective and identity construction. As Richardson, Rogers, and McCarroll (1998) have shown, a In our view, the global–local nexus re- moral worldview was self-evident in a pre- quires a theoretical bridge between social, modern era. In the present era of accelerated cultural, and historical sciences on the one globalization, it is necessary to revisit the hand and biological and neurosciences on the ethical dimension in close connection with other. Social and cultural approaches offer a dialogical notions of self and identity. Cul- welcome contribution to the understanding of tural anthropology is well equipped to per- self and identity from one side of the bridge, form comparative studies of local practices but biological and neuroscientific approaches such as witchcraft, health practices, beliefs in offer their own contributions from the other demons, and other cultural rituals that influ- side (see also Cromby, 2004). Developments ence self and identity. Contributions from his- in dialogical self theory have the potential to tory could provide a thorough analysis of the provide a conceptual framework for creating times in which the first signs of globalization viable connections between the two disciplin- were visible and how people of different eras ary groups. On the interface between culture responded to the experience of uncertainty. and brain, we envision a promising field of Philosophy could also deepen our historical research that is interested in the question of awareness. The notion of dialogue has been a how experiences of certainty and uncertainty, central concept in philosophical treatises including their behavioral consequences, can since Plato. Social sciences interested in the be understood in the context of the processes study of self and identity could learn much of globalization and localization. from philosophical views on the relationship Around the above-mentioned bridge be- between multivoicedness, dialogue, and tween culture and brain, we envision a num- agency as exposed in various philosophical ber of other disciplines that can feed dialog- traditions. Literary sciences could function as ical self theory in the future. Some of these a bridge to the realm of art. The metaphor of disciplines played, directly or indirectly, a the polyphonic novel, a significant source of significant role in the present article. Sociol- inspiration to the theoretical framework of the ogy has the potential to offer more knowledge dialogical self, was originally based on the and understanding of identity problems and novels of Dostoyevsky, whose writings can conflicts resulting from immigration, dias- be seen as one of the first signs of the retreat pora, and bidirectional global movements of the omniscient narrator in Western litera- (from the West to the East and vice versa; ture (Hermans & Kempen, 1993). Explora- from the North to the South and vice versa). tions on the interface of literary sciences and Psychiatry can focus on the conditions under social scientific literature regarding the con- which dysfunctions of the self are the result of temporary experience of uncertainty could the experience of uncertainty or insecurity result in insights that are of immediate rele- associated with globalization and can offer vance to understanding the process of global- knowledge about dysfunctions that are typical ization. of defensive localization. Political science The present article can be seen as an invita- provides analyses of institutionalized power tion to a dialogical approach with contributions differences and the injustice experienced by from disciplines that are often working in splen- many groups who are on the “wrong” side of did isolation from each other. Such an approach economic welfare, technology, and digitaliza- can only be promising if dialogue is not only tion in a globalizing world. Economics con- studied but also practiced. One form of such a tributes insight to the causes of binary econ- practice is to cooperate as scientists and humans omies and poverty on a global scale and originating from divergent cultural backgrounds develops models for redressing such imbal- and working together as members of the same ances. In collaboration with other disciplines, globalizing society. SELF, IDENTITY, AND GLOBALIZATION 57

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