Personality theories of successful aging - University of Florida ...

Flandbook of
Gerontology
Evidence-Based Approaches
to Theory, Practice, and Policy
Edited by
fames A. Blackburn/ PhD
Catherine N. Dulmus, PhD
john Wiley & Sons, Inc.
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Handbook of gerontology : evidence-based approaches to iheory,
practice, and policy / edited by James A. Blackburn, Catherine N.
Dulmus.
P;cm
Includes bibliographical references.
ISBN-13: 978-0-477-77170-8 (cloth : alk. paper)
1. Ceriatrics-Handbooks, manuais, etc. j. Gerontolosv-Hand_
books, manuais, etc. 3. Evidence-based medicine-Hanltooks,
manuals, etc. L Blackburn, James A., ph. D. II. Dulmus.
Catherine N.
1. Aging-physiology.
^[DNLM:
Aging-psychology.
3. Ceriatrics-methods. 4. Health Policy. 5.'Health-services for
the Aged. WT 104 H2343 20071
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Printed in the United States of America
10987654321

nomic and methodological
anisms ol euerudaV cotnition
'dnmentnls of assessment nnd
rehavioral treatments: An
t guide to psrlcltothern1ty and
I Association.
CHAPTER 4
Personality Theories of
Successful Aging
NATALIE C. EBNER and ALEXANDRA M, FITEUND
N rHrs cHAprER, we combine an action-theoretical view with a life spandevelopmental
perspective on personality and successful aging to examine the
role of goals and goal-related processes for adaptive development. One of the
basic assumptions of this integration is that goals and goal-related processes motivate,
organize, and direct behavior and development over time. By setting, pursuing,
and maintaining goals, persons can actively shape their development in
interaction with their given physical, cultural-historical, and social living context.
This renders goals and goal-related processes central to personality and successful
development across the life span as they constitute a link between the
person and his or her life contexts over time.
We start this chapter by defining the concept of successful deuelopment and
aging.Then we outline the concept of personality underlying our approach using
McAdams's (1990,1995) model of levels of personality. This model integrates dispositional
traits, personal concerns and goals, and life narratives as three levels
of personality. We discuss the notion of goals as personality-in-context by describing
goals as dynamic aspects of personality reflecting the interaction of a
person with his or her environment over time. Finally, to highlight the role of
personal goals for successful development, we present three prominent conceptual
frameworks of developmental regulation: the model of selection, optimization,
and compensation (P. B. Baltes & Baltes, 7990), the dual-process model of
coping (BrandtstZidter& Renner, 1990), and the model of primary and secondary
control (Heckhausen & Schulz, 1995).
WHAT IS SUCCESSFUL DEVELOPMENT?
On a very broad level, current life span-developmental psychology often describes
adaptive (or successful) development as a lifelong process of generating
new resources as well as adjusting to physical, social, and psychological changes
with the overall aim to simultaneously maximize developmental gains and

88 EvrpENce-BRSt:Il TuEol

Personality Theories of Successful Aging 89
ensen/ 1996; P. B. Baltes,
Labouvie-Vief, 1981). At
repted set of criteria that
laborated by Freund and
lstions regard i ng cri teria
aging in particular. P. B.
:cessful aging longevity,
:ial competence, procluc-
Similarly, Lawton (1983)
>jective satisfaction with
tppiness or goal achievenotor
behavior, and cogt
as financial or living
ortcomings of such lists,
ld be combined, whether
other, and whether the
:ollection to which criteted.
res to defining successful
characteristics constitut-
; the guiding question of
(2) process-oriented ap-
:he question What are the
r time? These approaches
sly adapting to changing
rments to fit their needs,
Busch-Rossnagel, 1981).
reeds and capabilities on
:onstraints on the other
Lracterization of successspecific,
single criterion.
:-criterion approach that
re only criterion for suc-
'herefore, to understand
in ernpirical studies it is
there is no single def ining
is seen as indicating
d ages well (Neugarten,
rishes between "broad"
mber of defining facets.
ng (e.9., Lawton, 7975).
esses the importance of
tl functioninS;. Her contce,
environmental maspersonal
growth, and
nguish between two dirn
(life satisfaction) and
an emotional dimension (encompassing positive and negative affect; Bradburn,
1969; Campbell, Converse, & Rodgers, 1976; Diener, 1984; Veenhoven, 1991).
These dimensions can be either used in a domain-general way or applied to specific
life domains.
One of the critiques of subjective well-being as the main or even sole criterion
for successful development is that it does not explicitly take environmental conditions
into consideration that support successful aging or the successful interaction
between a person and his or her life context (Havighurst, 1963; Lawton,
1989). A multiple-criteria approach, in contrast, aims at an integration of subjective
indicators (e.g., personal life satisfaction and happiness) and more objective
indicators (e.g., everyday instrumental competence). These criteria can be either
short term (e.g., last week's happiness) or long term (e.9., meaning and purpose
in life), domain-specific (e.g., satisfaction with financial situation) or general
(e.g., overall life satisfaction), as well as static and with a definite end point (e.g.,
life satisfaction at a given point in time) or dynamic (e.g., change in life satisfaction
over time; Freund & Riediger, 2003).
Taken together, we distinguish four main approaches to conceptualizing successful
development and aging: criteria-oriented, process-oriented, single-criterion, and
multi-criteria approaches. Table 4.1 summarizes these four outlined approaches.
As we pointed out, there is currently no agreement as to which single criterion
or combination of criteria best defines successful development. One of the reasons
for this lack of consensus is that there is no generally agreed-upon model of
successful development and aging that could serve as the basis for such a definition.
Instead, there are numerous theoretical approaches to successful development
and even more empirical findings pertaining to more or less specific factors
contributing to adaptive development. Integration of these findings is difficult
because studies use different indicators for successful aging.
It is beyond the scope of this chapter to offer a comprehensive, integrative
model of successful development. Instead, we aim at approaching the topic
of successful aging on different levels of personality, focusing on the level of
personal goals and taking different criteria and dimensions into account.
Approach
Table 4.1
Approaches to Conceptualizing Successf ul Development and Aging
Aim of Approach (Leading Question)
Criteria-oriented Description of characteristics constituting success as an outcome
of development ("What ls successf ul development?")
Process-oriented Persoective on individuals as in continuous interaction with their
environment ("What are the processes and conditions that foster
developmental success over time?")
Multiple criteria
Single criterion
Integration of subjective and objective indicators ("How can
subjective and objective indicators be integrated into one index of
successf u I development?")
Assessment of a person's global or domain-specific subjective wellbeing
("How can subjective well-being as one indicator of successful
development be assessed [general or domain-specif ic, once or
repeated lyl?")

90 EvrppNcE-BesEp Trrsc-rr

Personality Theories of Successful Aging
9I
,1987,\997) that (a) deind
that developmental
r gains and losses), and
;es and outcomes serve
rproach. This approach
:r adaptive ways (M. M.
re detail, we posit that
ng the processes of suc-
)06). Before elaboratino -a)
bed the concept of per-
:y in terms of three levaging?
To address this
zli ty. F ollow ing Freund
rn personality and sucs
(1995,1996) compristiongl
trnits. Traits are
nonconditional disposhow
considerable sta-
;. Personal goals are a
:rsonality descriptions
ranisms, copi ng stra tertal,
and strategic conre,
place, and/or social
they integrate and inrconstructed
past, per-
IcAdams (2001), most
lives with unity, purolving
life narratives,
lemes. Level lll of perll,
political, economic,
oes the life story of a
:vident in the notion
n different contexts"
all of these life narra-
, points in life, chance
llowing sections elab-
:sonality traits, that is,
and stable across time
n of the stability argufor
a softer version of
on personality traits
refers to the identification of a universal structure of personality, individual differences,
and the extent of longitudinal stability (Costa& McCrae, 7994,7995).
There is consensus that personality can be well described by the Big Five personality
traits: extraversion, agreeableness, conscientiousness, neuroticism, and
openness to new experiences. These five factors have been identified by means of
factor analysis across various instruments and samples. Cross-sectional as well as
longitudinal evidence on the structural invariance of the Big Five exists for adulthood
and into old age (Costa& McCrae, 1994; Small , Hertzog, Hultsch, & Dixon,
2003). Moreover, according to a meta-analysis by Roberts and DelVecchio (2000),
the rank-order stability of the Big Five increases across the life span. These results
were recently supplemented with regard to old and very old age by longitudinal
aging studies (Mroczek & Spiro, 2003; Small et al., 2003).
Contrary to some trait personality theorists' view that personality is "set like
plaster" after the age of 30 (Costa& McCrae, 7994), cross-sectional as well as longitudinal
evidence on mean levels of personality show changes in some of the Big
Five characteristics across adulthood. Neuroticism, for example, decreases across
adulthood (Mroczek & Spiro, 2003) and shows some increase again in very old
age (Small et al., 2003). Moreover, in addition to becoming more neurotic, elderly
people tend to become less open to new experiences and less extraverted (Costa,
Herbst, McCrae, & Siegler, 2000), whereas they tend to become slightly more
agreeable and conscientious (Helson & Kwan, 2000).
Summarizing this empirical evidence based on trait as well as growth models of
personality clearly suggests that personality development in adulthood and old
age is characterized by both stability and change. Regarding the relationship of the
Big Five to subjective indicators of aging well, neuroticism is typically found to be
negatively associated with measures of subjective well-being, whereas extraversion
shows a positive relation to well-being. For instance, Isaacowitz and Smith (2003)
demonstrated that in old and very old age (70 to 102 years), neuroticism is linked to
higher negative and lower positive affect. The opposite pattern was found for extraversion
(negative correlation with negative affect, positive correlation with positive
affect). Note, however, that this pattern also holds for younger age groups (e.g., Diener.
1984) and thus does not seem to constitute a deaelopmenfal phenomenon.
Jurrrruc ro LEVEL III: PEnsoNal IpeNtttv
In contrast to dispositional traits, life narratives are heavily influenced by specificities
of the context and are subject to change across situations and time.
McAdams (1990) argues that a unified or integrated life story, however, provides
individuals with an identity and allows them to maintain a coherent self-concept
across the entire life span (Cohen, 1998). Life stories are told to different audiences
with different purposes: A life story told to a future spouse might look very
different from the life story told to a future employer, not because the narrator
becomes a different person in between the two events but because different aspects
of a biography seem important and merit elaboration in these two contexts.
According to McAdams, identity is not derived from one (veridical) life story but
from the very act of meaning-making and integration of different aspects of a life
into one coherent story (albeit possibly a different one each time it is told).
The concept of autobiographical memories is closely related to the concept of
life stories (see also Habermas & Bluck, 2000). Some theories on autobiographical

92 EvrpsNcr-BasEpTueoRv
memory (e.g., Pillemer, 7992) hold that it can serve three broad functions: directive
(planning for present and future behaviors), self (self-continuity, psychodynamic
integrity), and social (social bonding, communication; Bluck & Alea, 2002).
The directive function involves using the past during conversations to guide present
and future thought and behavior such as problem solving, developing opinions
and attitudes, or providing flexibility in the construction and updating of
rules. The self-function provides the ability to support and promote continuity
and development of the self and preserves a sense of being a coherent person over
time. This function serves to explain oneself to others (and to oneself ). The social
(intimacy or bonding) function, f inally, is important for developing, maintaining,
and nurturing social relationships. This makes us a more believable and persuasive
partner in conversations, provides the listener with information about ourselves,
and allows us to better understand and empathize with others.
Life stories can be related to successful development and aging in multiple
ways. As pointed out by Erikson (1968),life review becomes a major developmental
task in old age. This life stage, according to Erikson, is characterized by
the two opposite poles of "integrity" and "despair." Following Erikson, wisdom
emerges when people are able to accept both the positive and negative events of
their lives and do not simply gloss over disappointments and failures but are able
to integrate them in a coherent life story together with positive aspects of their
past lives. If one understands successful aging as reaching this point, one might
argue that positivity of the life story should not be a criterion of aging well. Interestingly,
already at midage, it is the theme of redemption (i.e., turning a negative
event into a positive one), not a smooth life path filled with positive events, that
is, for instance, related to generativity (i.e., giving to the next generation in some
way; McAdams,2001) as a possible indicator of successful development.
Another argument could be made for continuity of the life story as a milestone of
successful development and aging (Bluck & Alea, 2002). As it turns out, however,
continuity of a life story over time is not necessarily related to positive functioning
in old age. ln a study by Coleman, Ivani-Chalian, and Robinson (1998), a substantial
percentage of their sample of older adults (> 80 years) did not conceive of their life
story as a coherent one, but were not necessarily dissatisfied with their present life.
The specific autobiographical memories that are most accessible at a given time
may largely depend on a person's goals. As goal-relevant information is more important
than information not related to personal goals, it is also more likely to be
activated and accessible at a certain time point (Conway & Pleydell-Pearce, 2000).
As we will see, personal goals can change over the life span. As a consequence, a
set of memories that was once goal-related and self-defining may no longer be so
at a later point in life (Singer & Salovey, 1993). Abandoned earlier goals, however,
can define one's "past self" and thereby provide a psychological history of
changes in the self. In this way, changes in goals can contribute to life narratives
("What did I use to want in the past, and how did it change over time?").
People construe their self and their identity partially around their personal
goals because goals can offer a sense of purpose and meaning in life (Little, 1989)
and provide the possibility for integration of otherwise unconnected behaviors
into one unifying frame (Freund, 2006b). As will be elaborated more in the next
sections, personal goals can therefore be seen as part of the binding thread that
links the person with his or her context (Freund, 2006b; Little, 1989; McAdams,
1996). This will then clarify how personal concerns and personal goals as Level II
constructs link Level I and Level III.
PERSC
From early on, I
blocks of persona
ality, Allport (193
motives as perso
be divorced fron
conduct employt
have the capacit.
tiate responses a
characteristic of,
Personal goals ,
tions of states a 1
mons/ 1996). They
(1990) suggests lo
tween "being" (i.r
ioral responses ir
That is, goals are
they may be influr
they motivate, str
ingful action unit
Klinger, 7977) an
(cf. Boesch, 7991;
tions in a given r
witzer & Moskow
reduce situationa
As goals are it
Level II of personi
of personality-inand
his or her eru
the person's basi
or she lives. Spec
processes that sp
crucial in this re1
in the present con
ger , 2006, for a re<
and underlie goal
DrprNrNc CoNrr>
Context can be t
person, such as c
environment. It dr
personality, but al
or geographic con
nities in that they
can express his or
siblings may rend

Personality Theories of Successful Aging 93
broad functions: direclf-continuity,
psychodyon;
Bluck & Alea, 2002).
ersations to guide preslving,
developing opin-
Ltction and updating of
nd promote continuity
; a coherent person over
I to oneself). The social
:veloping, maintaining,
believable and persua-
.nformation about ourwith
others.
and aging in multiple
ts a major developmenn,
is characterized by
wing Erikson, wisdom
and negative events of
rd failures but are able
rsitive aspects of their
;this point, one might
on of aging well. Intert.e.,
turning a negative
h positive events, that
:xt generation in some
levelopment.
story as a milestone of
it turns out, however,
:o positive functioning
ln (1998), a substantial
rt conceive of their life
with their present life.
essible at a given time
formation is more imalso
more likely to be
)leydell-Pearce,
2000).
.. As a consequence/ a
I may no longer be so
rarlier goals, however,
:hological history of
rute to life narratives
>ver time?").
round their personal
g in life (Little, 1989)
connected behaviors
ted more in the next
rbinding thread that
Itle, 7989; McAdams,
onal goals as Level II
PERSONAL GOALS: PERSONALITY_IN.CONTEXT
From early on, personality psychology has conceptualized goals as building
blocks of personality (Freund& Riediger, 2006).In his dynamic theory of personality,
Allport (7937, pp.320-321,) regards
motives as personalized systems of tensions, in which the core of impulse is not tcr
be divorced from the images, ideas of goal, past experience, capacities, and style of
conduct employed in obtaining the goal. Only individualized patterns of motives
have the capacity to select stimuli, to control and direct segmental tensions, to initiate
responses and to render them equivalent, in ways that are consistent with, and
characteristic of, the person himself.
Personal goals are often defined as consciously accessible cognitive representations
of states a person wants to achieve, maintain, or avoid in the future (Emmons,
1996). They are relatively consistent across situations and over time. Cantor
(1990) suggests locating goals at an intermediate level of personality, the level between
"being" G.e., personality traits, basic dispositions) and "doing" (i.e., behavioral
responses in a given situation), a distinction introduced by Allport (7937).
That is, goals are not as broad and comprehensive as personality traits, although
they may be inf luenced by them. They are also not as specific as behaviors. Rather,
they motivate, structure, and direct behavior over time and situations into meaningful
action units (Baumeister, 1991; Emmons, 1986; Ford,7987; Gollwitzer, 1990;
Klinger, 1977) and favor the acquisition and use of resources to obtain the goals
(cf. Boesch, 1991; Freund, 2003). Coals can focus attention on those stimuli and actions
in a given situation that are goal-relevant (Bargh & Ferguson, 2000; Gollwitzer
& Moskowit 2,7996; Kruglanski ,7996; Pervin, 1989). As a consequence, they
reduce situational complexity and facilitate interaction with the environment.
As goals are inherently content- or domain-specific, Little (1989) called this
Level II of personality the "personality-in-context." According to Little, the notion
of personality-in-context is based on the idea of an interaction between the person
and his or her environment over time. Personal goals ref lect the interface between
the person's basic personality traits and the specific environment in which he
or she lives. Specifically, the content a goal refers to as well as the goal-related
processes that specify how people select, pursue, and disengage from goals are
crucial in this regard. Addressing the issue of successful development and aging
in the present context, we do not focus on the content of goals (see Freund & Riediger,2006,
for a recent overview) but on the motivational processes that accompany
and underlie goal-related processes and their relations to successful development.
DpprrvrNc CoNrExr
Context can be broadly defined as the set of circumstances that surrounds a
person, such as culture, historical time, family, social relations, and geographical
environment. It does not only serve as a background for the behavioral expression of
personality, but also plays an important role in shaping personality. Cultural, social,
or geographic conditions may represent limitations as well as chances and opportunities
in that they exclude or allow certain possibilities of whether and how a person
can express his or her basic personality traits. For example, growing up with older
siblings may render a person more agreeable because only by being more agreeable

94 EvrpENce-BasepTuEoRv
might the younger child, constantly lagging behind the older siblings regarding verbal,
cognitive, and motor skills, be able to achieve his or her goals. Contextual constraints
fulfill an important function in that they specify the boundaries without
which personality development would be impossible, as the space of possible developmental
trajectories would be too vast and unstructured otherwise.
Life span-developmental psychology (P. g. Baltes, 1987, 7997) provides a useful
framework for understanding how person and context interact over time. This theoretical
framework regards development as a lifelong process of flexible adaptation
to changes in opportunities and constraints on biological, social, and
psychological levels (P. B. Baltes, Lindenberger, & Staudinger, 2006; P. B. Baltes,
Reese, & Lipsitt,1980; Brandtstddter & Lerner, 7999;Bronfenbrenner, l9S8; Lerner
& Busch-Rossnagel, 1981). This assumption has two implications: (1) Individuals
exist in environments that create and define possibilities and limiting bclundaries
for individual pathways; (2) individuals select and create their own living contexts
and thus can play an active part in shaping their lives.
How ro INrrnncr wtrn ONr's CoNlrxr: Goels aNp
Coa l-Rp lerep Pnocnsses
Goals and the basic regulatory processes of goal selection, pursuit, and disengagement
are central aspects that help to explain an individual's interaction with his or
her environment (Brandtstddter, 1998; Chapman & Skinner,1985; Emmons, 1986; Freund,
2003, 2006b; Freund & Baltes, 2000; Gollwitzer & Bargh, 1996; Heckhausen/
1999). Goals emerge from and determine the nature of people's transactions with the
surrounding world. Experiencing the effects but also the limitations of goal-directed
action can feed back to the individual's view of the world, the self, personal goals, beliefs
and wishes, and further goal-directed actions. Thus, there is an interplay among
goals, goal-directed actions, and developmental contexts (Brandtstiidter, 1998).
Addressing the contextual nature of goals, Freund (2003) distinguishes two interacting
levels of representation: social expectations and personal goals. Social
expectations are ref lected in social norms that inform about age-graded opportunity
structures. Age-related social norms can define opportunities and limitations
for developmental trajectories of a person's life course. For example, they
indicate the appropriate time to marry and to have children. Thereby, age-related
social expectations or norms can also give an indication about the availability of
resources in certain life domains for specific age groups (Freund, 2003; Heckhausen,
1999). Setting personal goals in accordance with social norms and expectations
may help to take advantage of these available resources. Through social
sanctions as well as approval or disapproval by the society, social expectations
can serve as an orientation or standard for the development, selection, pursuit,
maintenance, and disengagement of personal goals (Cantor,7994;Freund,7997;
Nurmi, 1992). Social expectations are also reflected in personal beliefs about the
appropriate timing and sequencing of goals, and personal beliefs incorporate individual
values and experiences. Together, social and personal expectations directly
influence behavior and also the personal goals an individual selects and
pursues. This influence can be conscious or unconscious, as, in addition to consciously
represented goals, automatized goals and unconscious motives impact
on behavior and development (Bargh & Ferguson, 2000).
In sum, goals can be viewed as the building blocks of personality, person-context
interactions, and lifelong development. The concept of personal goals seems particularly
well suited fo
ful aging as it allows
furthers our unders
vidual differences ir
particular imPortan<
alternatives and the
goals, also in the fa
prove individual con
for further goal atta.
One of the basic
developmental Pers
interaction with a 1
actively shaPe their
Ford, 1987; Freund
the person to his or
opment across the I
consider goal selec
goal-related resour
TrtE Rolp oF GoALI
FOR SUCCESSPUT- DE
By nature, human
around the Pursuit
competence, relate
ideal outcomes aga
their progress in tl
ness of their goal-r
has shown that Per
Omodei & Wearinl
the mechanisms ul
Processes influenc'
There are differt
successful develoP
their goals or reac
1,954; McClelland,
well-being dePend
when these are in
Rogers, 1963; RYan
authors argue tha
(Brunstein, Schult
goals themselves t
related to life sa
Rothermund (2002
argue that neither
successful develoP
depression if theY
Thus, setting at
important self-reg
& Renner,7990;C

Personality Theories of Successful Aging 95
:r siblings regarding verrr
goals. Contextual conthe
boundaries without
l space of possible develrtherwise.
1997) provides a useful
'ract over time. This thercess
of flexible adaptabiological,
social, and
nger,2006; P. B. Baltes,
enbrenner, 1988; Lerner
cations: (1) Individuals
Lnd limiting boundaries
heir own living contexts
pursuit, and disengage-
; interaction with his or
985; Emmons , 1986; Frergh,
7996; Heckhausen,
l's transactions with the
itations of goal-directed
r self, personal goals, bere
is an interplay among
ndtstiidter, 1998).
;) distinguishes two inpersonal
goals. Social
tt age-graded opportu-
,ortunities and limitarse.
For example, they
n. Thereby, age-related
bout the availability of
(Freund, 2003; Hcckrcial
norms and expcc-
)urces. Through social
ty, social expectations
:nt, selection, pursuit,
>r,7994; Freund, 1997;
sonal beliefs about the
beliefs incorporate insonal
expectations dindividual
selects and
as, in addition to conicious
motives impact
rnality, person-context
nalgoalseems partic-
ularly well suited for a developmental approach to personality theories of successful
aging as it allows integrating motivational processes into a life span context and
furthers our understanding of both the direction of development and of interindividual
differences in the leuel of functioning in various life domains over time. Of
particular importance in this regard is the selection of goals from a pool of possible
alternatives and the investment of resources into the pursuit and maintenance of
goals, also in the face of setbacks and losses. Goal selection and pursuit can improve
individual competences and generate new resources, which can then be used
for further goal attainment.
One of the basic assumptions of joining an action-theoretical with a life spandevelopmental
perspective in personality theories of successful aging is that, in
interaction with a given physical, cultural-historical, and social context, people
actively shape their own developmental context (Brandtstiidter & Lerner, 7999;
Ford, 1987; Freund & Baltes, 2000; Lerner & Busch-Rossnagel, 1981). Goals link
the person to his or her life contexts and thus are central to personality and development
across the life span. In the following, we introduce three approaches that
consider goal selection, initiation of goal-related actions, and the investment of
goal-reiated resources as crucial for achieving desired developmental outcomes.
TuE Rolr or Conr.s aNp GonI-RELATED PRocessgs
roR Succsssr-'u r. Duv pI-oPMENT
By nature, human beings are goal-oriented organisms. They organize their lives
around the pursuit of goals that reflect their fundamental needs (e.9., autonomy,
competence, relatedness; Ryan, 1995). Goals provide persons with standards and
ideal outcomes against which they can evaluate their actual level of functioning,
their progress in the direction of higher levels of functioning, and the effectiveness
of their goal-related behaviors (Carver & Scheier, 1990). Empirical evidence
has shown that personal goals are positively related to well-being (Emmons,7986;
Omodei & Wearing, 1990; Palys & Little, 1983; Sheldon & Elliot, 1999). What are
the mechanisms underlying this relation? That is, how do goals and goal-related
processes inf luence well-being and successful aging?
There are different views on hor,v goals affect well-being. Tt is often argued that
successful development implies that individuals succeed in progressing toward
their goals or reaching desired states (M. M. Baltes & Carstensen, 1996; Maslow,
1954; McClelland, 1987). Humanistic psychology proposes that a person's sense of
well-being depends on the person's progress toward his or her goals, especially
when these are in accord with "organismic" or "innate" needs (Maslow, 1954;
Rogers, 1963; Ryan, 1995; see also Brunstein, Schultheiss, & Crdssman, 1998). Other
authors argue that having goals can in itself be a predictor of life satisfaction
(Brunstein, Schultheiss, & Maier, 1999; Emmons, 7996). Still others posit that not
goals themselves but rather the al'ailability of goal-related resources is positively
related to life satisfaction (Diener & Fujita, 1995). Finally, Brandtstddter and
Rothermund (2002) maintain that goals can ambivalently affect well-being. They
argue that neither goals nor resources themselves bring about goal attainment or
successful development. In fact, unattainable goals can lead to dissatisfaction and
depression if they are not abandoned or readjusted.
Thus, setting and pursuing challenging but attainable goals and standards are
important self-regulatory processes conducive to successful aging (Brandtsttidter
& Renner, 1990; Carver & Scheier, 7981,7982; Freund & Baltes,2000; Heckhausen,

96 EvrppNcr:-BesppTueorrv
1999). In addition, disengaging from goals that are no longer attainable, restructuring
goals, and reallocating goal-related resources into alternative goals and
goal domains are facets of adaptive functioning (Klinger, 1975; Wrosch & Heckhausen,1999).
To elaborate further on the idea that personal goals and goal-related processes
are central for successful development and to understand better the underlying
mechanisms of the relationship between goals and well-being, we introduce three
current self-regulatory theories of adaptive development in the following part of
this chapter. All three theories view development as multidirectional, comprising
gains and losses across the entire life span. They refer to personal goals and basic
goal-related processes such as setting, pursuing, reformulating, and disengaging
from goals as means to successfully shape individual development. All three
frameworks converge in their assumption that resources are Iimited throughout
life, and increasingly so in old age, and that successful developmental regulation
requires suitable mechanisms for allocation of these limited resources. The three
theories vary, however, in their particular focus (e.g., on life span strategies and
personal goals, coping processes, and control processes), in their particular characteristics
of the proposed mechanism of resource allocation, as well as in their
postulated generality. Table 4.2 summarizes the three theoretical frameworks.
Table 4.2
Goal-Related Theories of Successful Aging
Theoretical Framework Central Strateoies Specif ic Examples
Model of Selection,
Optimization, and
Compensation
Dual-Process Model of
Assimilative and
Accommodative Coping
Model of Optimization in
Primary and Secondary
Control
Selection
Optimization
Compensation
Assimilative coping
Accommodative coping
Selective primary
control
Compensatory primary
control
Selective secondary
control
Compensatory
secondary control
Focusing on Spanish as a foreign
ranguage
Investing more time to improve
Spanish-language skills
Hiring a translator when traveling
in Spain
Altering dietary habits to attain
the desired bodily appearance
Accepting your physical state and
giving up the goal to run the
marathon after knee surgery
Seeing each other more f requently
to improve the relationship
Seeing a marriage guidance counselor
to improve the relationship
Regarding the current partner as
the "only love of life"
Regarding the former partner as
a "wrong choice" af ter the
relationship ends
TrrsoRrrtcel
THE }
A
MI
UNDE
Assu
The model of selec
eral, metatheoretir
P. B. Baltes,7997;P
It assumes a dYna
stages of life (chik
different levels of I
ferent domains of
regulation). In the
source generation
processes bY addr
tioning. As such, S
that helP to manal
ory proPoses thre
ment: selection, opt
have various Poss
(e.g., cognition, sc
vary along the <
unconscious (Fret
At the most ger
ization or canaliz
Selection includes
ternative develoP
limited resource
through this conc
evolve. Thus, sel
sources (P. B. Bal
losses in resource
Optimizatron rc
nance of internal
els of functionir
achieving higher
pertise. ExPertis
achieved onlY tt
Krampe, & Tesch
ComPensatrcnr
functions in Prer
gains nnd losses i
ful aging needs
model does this I
encountering a l<
in the face of lost
The SOC thec
tives, such as soc

Personality Theories of Successful Aging 97
rger attainable, restruc,
o alternative goals and
1975; Wrosch & Heck-
I goal-related processes
I better the underlying
ing, we introduce three
n the following part of
Cirectional, comprising
ersonal goals and basic
ating, and disengaging
levelopment. All three
rre limited throughout
relopmental regulation
ld resources. The three
ife span strategies and
r their particular charion,
as well as in their
retical frameworks.
'lg
lecific Examples
on Spanish as a foreign
Trore time to improve
rnguage skills
anslator when traveling
etary habits to attain
1 bodily appearance
your physical state and
he goal to run the
rfter knee surgery
;h other more f requently
the relationship
larriage guidance coun-
)rove the relationship
the current partner as
rve of life"
the former partner as
hoice" af ter the
) ends
THE MODEL OF SELECTION, OPTIMIZATION,
AND COMPENSATION: A GENERAL,
METATHEORETICAL FRAMEWORK FOR
UNDERSTANDING ADAPTIVE DEVELOPMENT
TutonprrceL Assu M pt'toNS
The model of selection, optimization, and compensation (SOC) constitutes a general,
metatheoretical framework for understanding human development (e.9.,
P. B. Baltes, 1997;P. B. Baltes & Baltes, 7980,7990; P. B. Baltes, Freund, & Li,2005).
It assumes a dynamic between developmental gains and losses across various
stages of life (childhood, adolescence, adulthood, old age) that is represented at
different levels of analysis (e.g., neuronal, behavioral) and within and across different
domains of functioning (e.g., physical or cognitive development, emotion
regulation). In the context of SOC theory, life span development is a process of resource
generation and regulation. This theory describes general developmental
processes by addressing both the direction of development and the leael of functioning.
As such, SOC is a model of successful development, specifying processes
that help to manage changing resources over the life span. In particular, the theory
proposes three fundamental and universal processes of successful development:
selection, optirnization, and compensatiotr. All three processes are proposed to
have various possible phenotypic realizations depending on functional domains
(e.g., cognition, social), sociocultural contexts, and person-specific features that
vary along the dimensions active-passive, internal-external, and consciousunconscious
(Freund, Li, & Baltes,7999).
At the most general level of definition, selection refers to the process of specialization
or canalization of a particular pathway or set of pathways of development.
Selection includes the delineating and narrowing down of a range of possible alternative
developmental trajectories. Selection also serves the management of
limited resources by concentrating resources on delineated domains. Only
through this concentration can specification occur and certain skills and abilities
evolve. Thus, selection is a general-purpose mechanism to generate new resources
(P. B. Baltes et al., 2005). Selection can occur electiaely or as a response to
losses in resources (i.e., Ioss-based).
Optinizatiot'L refers to the acquisition, application, coordination, and maintenance
of internal and external resources (means) involved in attaining higher levels
of functioning (Freund & Baltes, 2000). Optimization is important for
achieving higher levels of functioning, as has been shown in the literature on expertise.
Expertise, a high skill level in a selected functional domain, can be
achieved only through a substantial amount of deliberate practice (Ericsson,
Krampe, & Tesch-Romer,7993; Krampe & Baltes,2003).
Compensntion refers to the investment of means to avoid or counteract losses in
functions in previously available resources. Given that development entails both
gains and losses across the entire life span (P. B. Baltes , 7987), a model of successful
aging needs to take processes of managing losses into account. The SOC
model does this by including loss-based selection (referring to reorientation after
encountering a loss) and compensation (aimed at the maintenance of functioning
in the face of losses).
The SOC theory can be approached from many different theoretical perspectives,
such as social, behavioral-learning, cognitive, and neuropsychological (M. M.

98 EvropNcE-BesppTHectnv
Baltes & Carstensen,1996; P. B. Baltes et a1.,2005; P. B. Baltes & Singer,2001). Freund
and Baltes (2000) propose an action-theoretical conceptualization of SOC. This
approach embeds SOC in the context of active life-management and refers to developmental
regulation through the selection, pursuit, and maintenance of personal
goals.
From an action-theoretical perspective, selectiotr denotes processes related to
goal setting. Electiae selection refers to developing and choosing a subset of goals
out of multiple options. Given the finite nature of resources, selection needs to
take place to realize developmental potentials. Loss-based selection refers to adapting
existing or developing new goals to fit losses in resources. Restructuring
one's goal hierarchy by exclusively focusing on the most important goal, Iowering
one's aspiration level, or finding a substitution for unattainable goals are possible
manifestations. From an action-theoretical perspective, optimization and compensation
refer to processes of goal pursuit, that is, the investment of resources
into obtaining and refining goal-relevant means. Optimization refers to means for
achieving desired outcomes and aims at coordination, acquisition, and generation
of new resources or skills, serving the growth aspect of development. Compensation,
from an action-theoretical perspective, addresses the regulation of loss or
decline in means and goal-relevant resources that threatens the maintenance of a
given level of functioning. When previous goal-relevant means are no longer
available, compensation can involve substitution of lost means. It thus denotes a
strategy for managing and counteracting losses by changing goal-relevant means
to attain a certain goal instead of choosing another goal (as in loss-based selection).
The use of hearing aids to counteract hearing losses is one example. Phenotypically,
the strategies used for optimization and compensation, such as
acquisition and practice of skills, energy and time investment, or activation of
new or unused resources, can overlap.
The theory states that the use of SOC strategies changes over the life span as a
function of available resources. The expected peak of expression of all three regulatory
principles is in adulthood, with elective selection and compensation increasing
in importance with advancing age when resource losses become more
salient (Freund & Baltes, 2002b).
Aoaplrve DEvplopvgNr as ENpoRSEMENT oF THE Mopal ol Snr-ecrroN.
OptrHarzarroN, ANI) Col,rrnxsa'noN Tr{Roucuout LrrE
Several studies provide evidence for the role of SOC in the description, explanation,
and modification of development and support their impact on adaptive lifemanagement
(see P. B. Baltes et aL.,2005, for an overview). Evidence suggests that
the relative prevalence of using and coordinating SOC changes with age and that
people who engage in SOC behaviors show more positive outcomes. The existing
research comprises different empirical specifications referring to global levels
and specific life contexts. It encompasses different assessment levels such as selfreport
measures (P. B. Baltes, Baltes, Freund, & Lang, 1999), behavior observation
(".9., M. M. Baltes, 7996), and experimental studies (e.g., Li, Lindenberger, Freund,
& Baltes, 2001). Some approaches simultaneously investigate all three components
of SOC as well as their orchestration (e.g., Riediger, Li, & Lindenberger,
2006), whereas others focus on some of the processes only (e.g., Ebner, Freund, &
Baltes, 2006; Freund, 2006a).
Addressing the c
edge of SOC as stri
identified a bodY o
are represented in
human life as exprr
proverb "You can't
proverbs were use(
tions of, or preferet
SOC model. In a <
SOC-related and a
life-management si
more frequently ar
theory, these PrefeI
in tasks referring tr
leisure. This sugge
SOC-related prove
and that their judgt
in line with what tl
To investigate tl
adaptive life-manal
the SOC questionr
(2002b) investigate
adults and found I
haviors reported t
being. The associ
variables such as tt
teristics such as ne
expected, SOC-rel
hood; that is, mit
younger and older
positive age trend.
less use of oPtimiz
mization and com
strategies are effor
sources available il
ple suffering from
SOC questionnairr
(1998) showed thal
adults betweenT2
strategies also shc
tive affect, satisfac
Wiese and collt
model to goal pu
questionnaire stu
haviors of younge
specifically. High
strategies was Pot
nal data replicate
ment in SOC beh;

Personality Theories of Successfttl Aging 99
Ites & Singer,2001). Frertualization
of SOC. Th is
ment and refers to develmaintenance
of personal
tes processes related to
losing a subset of goals
rces, selection needs rcr
selection refers to adapt-
)sources. Restructuring
nportant goal, lowering
nable goals are possible
optimization and comnvestment
of resources
tion refers to means for
risition, and generation
levelopment. Compensa-
Le regulation of loss or
ts the maintenance of a
: means are no longer
eans. It thus denotes a
rg goal-relevant means
fas in loss-based selecis
one example. Phenormpensation,
such as
:ment, or activation of
i over the life span as a
ession of all three regand
compensation ine
losses become more
,F SELECTION,
description, explanarpact
on adaptive lifelvidence
suggests that
Lges with age and that
utcomes. The existing
rring to global levels
:nt levels such as selfbehavior
observation
,i, Lindenberger, Frestigate
all three com-
', Li, & Lindenberger,
).9., Ebner, Freund, &
Addressing the question whether there exists cultural and individual knowledge
of SOC as strategies of successful development, Freund and Baltes (2002a)
identified a body of proverbs reflecting SOC. This suggests that SOC strategies
are represented in cultural knowledge about pragmatic aspects of everyday
human life as expressed in proverbs. Selection, for instance, is expressed in the
oroverb "You can't have the cake and eat it too." In a series of studies, these
proverbs were used to examine whether younger and older adults' lay conceptions
of, or preferences for, life-management behaviors were consistent with the
SOC model. In a choice-reaction time task, participants wele asked to match
SOC-related and alternative proverbs to sentence stems indicative of everyday
life-management situations. Both age groups chose SOC-related proverbs both
more frequently and faster than alternative proverbs. Consistent with the SOC
theory, these preferences for SOC-related proverbs over alternatives existed only
in tasks referring to goals and success, but not in contexts involving relaxation or
leisure. This suggests that both younger and older adults have a preference for
SOC-related proverbs over alternatives in everyday life-management situations
and that their judgment of the adaptive use of these life-management strategies is
in line with what the SOC model proPoses.
To investigate the impact of a person's self-reported engagement in SOC on
adaptive life-management and successful aging, several studies used versions of
the SOC questionnaire developed by P. B. Baltes et al. (1999). Freund and Baltes
(2002b) investigated a heterogeneous sample of younger, middle-aged, and older
adults and found that participants who indicated high engagement in SOC behaviors
reported more positive emotions and higher levels of subjective wellbeing.
The associations remained stable after controlling for self-regulation
variables such as tenacious and flexible goal pursuit as well as for person characteristiCs
such as neuroticiSm, extraversion, and Openness tO new experiences. As
expected, SOC-related strategies were most strongly expressed in middle adulthood;
that is, middle-aged adults showed higher endorsement of SOC than
younger and older adults. One exception was elective selection, which showed a
positive age trend. This suggests that older adults are more selective but report
less use of optimization and compensation. This weakening of self-reported optimization
and compensation in older ages could be due to the fact that these two
strategies are effortful and resource demanding. Both strategies may exceed resources
available in late life. This is especially true for the oldest old and for people
suffering from severe illness (P. B. Baltes & Smith, 2003;Jopp,2002)' Using the
SOC questionnaire in the context of the Berlin Aging Study, Freund and Baltes
(1998) showed that SOC is effective well into very old age. They found that older
adults between 72 and 102 years who reported more engagement in SOC-related
strategies also showed higher expressions of subl'ective well-being such as positive
affect, satisfaction with aging, lack of agitation, and absence of loneliness.
Wiese and colleagues (Wiese, Freund, & Baltes, 2000,2002) applied the SOC
model to goal pursuit in the work and family domains. In a cross-sectional
questionnaire study, Wiese et al. (2000) measured self-reported use of SOC behaviors
of younger to middle-aged professionals in general as well as domainspecifically.
Higher endorsement of general and work- and family-related SOC
strategies was positively related to various indicators of well-being. Longitudinal
data replicated these positive associations between self-reported engagement
in SOC behaviors and global as well as work-related subjective well-being

100 EvrppNcr-Bnse o THnonv
(Wiese et aL.,2002). Moreover, participants with primarily work-oriented goals
reported higher levels of general and work-related well-being than those who
engaged in both work and family goals. These findings underscore the importance
of selecting goals and setting priorities as adaptive regulatory mechanisms
in personal goal involvement and development.
Taken together, the summarized self-report studies support a positive association
between the endorsement of SOC-related strategies and indicators of global
and domain-specific well-being. Similar findings supporting the adaptive use of
SOC are reported by Lang, Rieckmann, and Baltes (2002; see also M. M. Baltes &
Lang,7997). Thus, SOC seems to contribute to successful development and aging
throughout the adult years and into old and very old age.
Taking a more process-oriented approach, a number of studies addressed the
question of ruhst ospects of and horu selection, optimization, and compensation are
related to positive functioning across life. A life span-developmental perspective
ar5iues that the overall dynamic between optimization or approach goals (i.e.,
goals directed at approaching positive outcomes) and compensation or avoidance
goals (i.e., goals directed at preventing negative outcomes) should change with
age. Civen the increase of losses and the decrease of gains over the life span, goals
are hypothesized to shif t from a gain orientation (i.e., optimi zation, approach) in
young adulthood to an orientation toward maintenance or loss avoidance (i.e.,
compensation, avoidance) in later life (Ebner, 2005; Freund & Baltes, 2000; Freund
& Ebner, 2005; Staudinger, Marsiske, & Baltes, 1995). If such an age-related shift
in goal orientation is adaptive for managing successfully the changing balance of
gains and losses, younger adults should profit more from adopting goals that aim
at optimizing their performance and older adults more from working on goals
that are geared toward compensating losses in previously available means. Using
a behavioral measure of persistence, namely, time, on a simple sensorimotor task
that was framed in terms of either (a) optimizing performance or (b) compensating
for losses, Freund (2006a) found evidence for age-differential motivational effects
clf optimization versus compensation. Compared to younger adults, older
adults were more persistent when pursuing the goal to compensate for a loss and
Iess persistent when pursuing the goal to optimize their performance.
In a similar vein, a series of studies by Ebner et al. (2006) propose that goals can
be directed toward the improvement of functioning, toward the maintenance of
functional levels, and toward avoidance or regulation of loss. In a multimethod
approach (self-report, preference-choice behavior), as well as different life contexts
(cognitive and physical functioning), Ebner et al. found age-group differences
in goai orientation and in the associations between goal orientation and
subjective well-being. As expected and in line with the results by Freund (2006a),
younger adults showed a primary goal orientation toward growth, whereas goal
orientation toward maintenance and loss prevention became more important in
old age. This age-related difference was shown to be related to perceived availability
of resources. Moreover, loss prevention was negatively related to general
well-being in younger but not older adults. Interestingly, in old age, orienting
goals toward maintaining functions was positively associated with general subjective
well-being. Together, the studies by Freund and Ebner et al. suggest that
shifting one's goal orientation from the promotion of gains toward maintenance
and loss prevention from early to late adulthood constitutes one mechanism of
adaptive goal selection.
A study bY Ried
goal relations as P
adaptive aspects oI
tion whether the rt
in everyday life an
was that older adu
flict than younger
competence to sele
nonconflicting goi
found that intergo
well-being in ever
ciated with highe
goal attainment ol
tiple goals into acc
subjective well-be
Several studies
strategies on the I
vided evidence fo
outcomes in the c
and Schmitz founr
time studying the
students low in se
their exams.
Several exPerin
related differenct
(Kemper, Hermar
2001; Lindenbergt
ferent from self-s
allow individuals
acterized by the
menter) at the sa
SOC in coordinat
formance of mem
performing both I
primary domain I
lected walking o
Moreover, older
handrail) to keel
whereas younger
thinking (i.e., slo
bered). These agt
over cognitive tas
limits by increasi
Taken together
ioral level. Older
ing) and comPe
performance whr
sources Primaril'
to solving a men

Personalittl Theories o,f Successful Aging 101
ily work-oriented goals
t-being than those who
underscore the importive
regulatory mecharport
a positive associatnd
indicators of global
ting the adaptive use of
see also M. M. Baltes &
development and aging
I studies addressed the
, and compensation are
elopmental perspective
:r approach goals (i.e.,
pensation or avoidance
rs) should change with
cver the life span, goals
mization, approach) in
or loss avoidance (i.e.,
& Baltes, 2000; Freund
ch an age-related shif t
he changing balance of
dopting goals that aim
rom working on goals
lvailable means. Using
rple sensorimotor task
lnce or (b) compensat-
'ential motiva tiona I efyounger
adults, older
tpensate for a loss and
lrformance.
propose that goals can
:d the maintenance of
)ss. In a multimethod
as different life conrnd
age-group differgoal
orientation and
Llts by Freund (2006a),
growth, whereas goal
ne more rmportant in
:d to perceived availely
related to general
in old age, orienting
:ed with general subrer
et al. suggest that
toward maintenance
es one mechanism of
A study by Riediger, Freund, and Baltes (2005) addressed the nature of intergoal
relations as possible characteristics differentiating between more and less
adaptive aspects of goal selection. Specifically, Riediger et a1. examined the question
whether the relationship among multiple personal goals affects goal pursuit
in everyday life and subl'ective well-being. The first notable finding of their study
was that older adults reported more facilitation between their goals and less conflict
than younger adults. This finding can be interpreted as indicating that the
competence to select personal goals so that they form a coherent, congruent, and
nonconflicting goal system increases across adulthood. Moreover, the authors
found that intergoal conf lict was negatively related to indicators of psychological
well-being in everyday life over time. Intergoal facilitation, in contrast, was associated
with higher involvement in goal pursuit and an increased likelihood of
goal attainment ol.er time. This study underscores the importance of taking multiple
goals into account when studying the complex way goals affect behavior and
subjective well-bei ng.
Several studies demonstrate the relevance of SOC as adaptive life-management
strategies on the behavioral level. For instance, Wiese and Schmitz (2002) provided
evidence for the relationship between self-reported SOC and behavioral
outcomes in the context of study success. In a sample of college students, Wiese
and Schmitz found that students high in self-reported SOC behaviors spent more
time studying than students low in self-reported SOC behaviors. Additionally,
students low in self-reported selection and optimization were more likely to skip
their exams.
Several experimental studies identified SOC processes and demonstrated agerelated
differences in these processes in the context of dual-task paradigms
(Kemper, Herman, & Lian, 2003; Krampe, Rapp, Bondar, & Baltes, 2003; Li et al.,
2001; Lindenberger, Marsiske, & Baltes,2000; Rapp, Krampe, & Baltes, 2006). Different
from self-selected goals, as assessed in most studies reported earlier, that
allow individuals to pursue one goal af ter the other, a dual-task situation is characterized
by the necessity to mana€le two tasks (provided for by the experimenter)
at the same time. Li et al., for example, conducted work on the role of
SOC in coordinating cogritive and sensorimotor behavior (i.e., simultaneous performance
of memorizing and walking). Older adults showed greater costs when
performing both tasks concurrently. As expected on the basis that the body is the
primary domain where aging losses occur and serious risks exist, older adults selected
walking over memorizing, as the primary target of resource allocation.
Moreover, older adults showed more compensatory strategies (i.e., using a
handrail) to keep their balance and to maintain higher levels of performance,
whereas younger adults showed more compensatory strategies in the domain of
thinking (i.e., slowing down the speed of presentation for words to be remembered).
These age-associated effects of differential use of SOC in favor of motor
over cognitive tasks were stronger when the behavioral system was tested at its
limits by increasing task diff iculty.
Taken together, these findings supplement the relevance of SOC on the behavioral
level. Older adults engage in selection (i.e., prioritizing walking over thinking)
and compensation (i.e., use of a handrail) to preserve their walking
performance when at risk. This preference of older adults to allocate their resources
primarily to motor behavior (such as keeping one's balance) rather than
to solving a memory problem is an example of highly automatized and largely

702 EvroeNct-Baspp THsc-rr

Personality Theories of Successful Agirtg 103
milar results rvith cogrpeting
tasks. Bondar,
er adults could be in-
Lents. In the case of a
however, older adults
ntial allocation system
lms to be adaptive to
;ts that there exists cules
and that SOC is reaged,
and older adults.
eas younger adults are
rr adults show a higher
racting losses. Studies
heir resources to those
ival.
I research strengthens
aptive developmental
el can be regarded as a
: span development. lt
r to master the general
ranges in goal-relevant
mmodative coping by
r, 1990), also places a
ccessful development.
ATIVE AND
rework to understand
tion and real-location
l accommodative coptiidter
& Greve,7994;
2002; Brandtsteidter &
;elf-regulatory stratecourses
of individual
I (e.g., tenacious goal
adjustment). Specifi-
I efforts to change Iife
ls to personal preferental,
self-corrective,
tentionally changing
rdy appearance to the
justment of personal
es to situational cong,
or disengagement
riration levels, rescal-
ing criteria of success, or even selecting new, feasible goals. Accommodation includes
emotional and cognitive reappraisal; it cannot be initiated intentionally, but
shapes the selection of goals, and thus constitutes a basic mechanism of action regulation
in the face of loss.
The model specifies differential situational conditions that selectively activate
or inhibit the two modes of coping. Assimilative tendencies dominate as long as
people feel able to actively change a given situation. When experiences of loss increase
or assimilative attempts to change the situation are ineffective and actionoutcome
expectancies become low, accommodative tendencies are activated. This
is also the case when assimilative modes are inefficient from the outset. Thus, people
often first employ assimilative coping efforts to actively overcome obstacles
that block their goals. If these attempts are unsuccessful, a gradual shift to accommodative
processes of goal adjustment occurs, which is modulated by personal
and situational factors (e.g., goal importance; Brandtstiidter & Wentura,7995).
According to the model, goal attainment leads to positive affect. Negative emotions
arise when losses of goal-relevant resources lead to unattainability of goals
and one falls short of one's ambitions and personal standards. Discrepancies between
actual states and desired outcomes become especially salient in later phases
of life when irrevocable Iosses and uncontrollable events cumulate. Brandtstddter
and colleagues (Brandtstadter,1,999; Brandtstiidter & Greve, 7994;Brandtstiidter &
Renner, 1990) maintain that in old age this growing impact of negative events on
personal development favors an age-related shift from an active, assimilative to a
more accepting, accommodative coping. As the aim of accommodative coping is to
make the given situation appear less negative and more acceptable, this strategy
may help individuals to maintain positive developmental perspectives into old age.
With declining resources, as is especially the case in old age, it may not be possible
to maintain the highest standard in multiple domains (Brandtstiidter & Wentura,
1995). Accommodative coping therefore becomes particularly effective to protect
against decline in well-being and favors adaptive development in later life (see also
Heckhausen & Schulz, 1995). Thus, the dual-process model of coping characterizes
successful aging primarily as a shift from actively counteracting the onset of agerelated
losses to cognitively restructuring personal goals and standards.
Aoerrrvu Drvrlc-rt'vENr es Srttr-r'INC FRoM Asstl,rtlantvn ro
AccoHavopnrtve CctptNC THRouGHour LIFE
Empirical evidence supports the expectation of age-related differences in the empioyment
of assimilative and accommodative coping strategies. In a self-report
study with younger, middle-aged, and older adults, Brandtstiidter and Renner
(1990) found that self-reported tenacious goal pursuit and flexible goal adjustment
were complementarily associated with age. There was an age-graded gradual shift
from active, tenacious goal pursuit to accepting, flexible goal adjustment. In addition,
the study demonstrated a buffering effect of flexible goal adjustment with
regard to the impact of perceived deficits on dissatisfaction with personal development.
This finding suggests that flexibly adjusting one's goals helps to maintain a
sense of well-being and satisfaction despite the actual experience of loss'
In a large sample of older adults, Rothermund and Brandtst2idter (2003) found
that accommodative strategies to overcome functional impairments had a curvilinear,
inverted U-shaped relationship to age. The strategies increased up to the

104 EvrpeNcr-Baseo Tupor

Personality Theories of Successful Aging 105
cy of action-related rercreased
again. Rotherng
that the increasing
rits the usage and effistructured
interviews
ts are expressed in biord
age and aging. They
commodative thoughts
rsitive attitude toward
n their life.
rift from assimilative tcr
he latter in later adu [tnecessary
for tenacious
i Renner, 1990; Brandt-
,trategies become more
ing losses in temporal,
oals and priorities. Acvith
irreversible losses
outcomes that diverge
rcess model of coping
ts a function of agingconstitutes
one aspect
zation in primary and
explaining how people
es in adulthood.
RIMARY
ntrol (OPS) by Hecklaptive
developmental
khausen, 1997,7999):
lnt by selecting goals,
r developmental ecolrol
over their lives. ln
1 and compensation as
rlation (Heckhausen,
from the SOC model,
e focused investment
B. Baltes and Baltes,
the definition in the
rn implies the use of
urces are insufficient
L is the higher order
tion (Heckhausen &
Similar to the dual-process model of assimilative and accommodative coping,
the OPS model particularly emphasizes the role of perceived personal control for
developmental regulation. It assumes that humans have a basic need for control,
that is, to protect themselves in the face of difficulties and setbacks. The primary
way to achieve control is by modifying the environment according to one's goals
by making instrumental efforts (i.e., primary control). If such primary control efforts
are not available or fail, secondary control takes place, that is, modifying one's
goals and standards or engaging in self-protective attributions and favorable social
comparisons. Secondary control aims at focusing and protecting motivational
resources for primary control and buffers negative effects of failing in primary
control strivings. The theory posits a primacy of primary over secondary control
strategies. According to the model, people aim at maximizing primary control.
Secondary control strivings serve to bolster primary control. They are the secondbest
strategy af ter primary control strivings fail or are not available.
Two forms of primary and secondary control strategies are distinguished: se/cctiae
and compensatory. Selective primary control comprises actions that are directly
aimed at goal achievement. It denotes the focused investment of resources
into the pursuit of a chosen goal. Examples are time investment or investment of
effort and skills into pursuinp; one's goals. Compensatory primary control refers
to the investment of external resources. It involves the recruitment of external
help or technical aids for the attainment of a chosen goal. lt comes into play when
internal resources for goal achievement are insufficient or depleted. Examples are
employing the help of others or applying new, alternative resources. Selective secondary
control is directed at the internal world to promote the volitional commitment
to a chosen goal. It subsumes metavolitional strategies to keep oneself
focused on the pursuit of selected goals, for example, by avoiding distractions.
Examples are boosting the value of a chosen goal or the perception of personal
control. Finally, compensatory secondary control refers to cognitive reframing of
goals such as down-regulating the desirability of a blocked goal or disengaging
from it. It serves as a buffer for negative effects of failure. It involves strategies
such as disengagement from unattainable goals, downward social comparison,
and external causal attributions.
According to the authors, none of these four strategies is functional per se.
Rather, a higher order optimization process is postulated that coordinates control
strivings such that the potential for primary control is maximized across life.
Consistent with this proposition, empirical evidence indicates that self-protective
compensatory strategies (compensatory secondary control) become more prevalent
and more adaptive in later adulthood and when opportunity structures for
goal attainment are unfavorable (Wrosch & Heckhausen, 1999), whereas continued
involvement in primary control efforts is maladaptive in such situations
(Chipperfield, Perry, & Menec, 1999; Heckhausen, Wrosch, & Fleeson,2001).
According to the OPS model, maximization of primary control potential characterizes
adaptive functioning. This, however, becomes particularly difficult in
older ages when losses become more prominent and less under personal control
and when declines in goal-relevant resources make the achievement of resourceintensive
goals increasingly difficult (Schulz, 1986). As a consequence, with advancing
age, compensatory primary and secondary control strategies gain
increasing importance for successful life management. The use of secondary
control strategies is theorized to contribute to a long term increase in primary

706 Evrt>r:Ncr--BesEp Tnrorv
control in that it buffers negative motivational effects of failure and maintains
self-efficacy and well-being. Therefore, these strategies should be employed
more frequent in old age (cf. Heckhausen & Schulz, 1995). However, OPS theory
arEiues that it is not the four control strategies separately that bring about adaptive
development but rather their orchestration in line with developmental opportunities
and constraints. The following section provides empirical support
for these assumptions.
ApnrrrrvE DrvElorvrNT AS Sl rrFTtNcl rRol,r PnruaRy ro SECoNDAny
CoNrRol Srnnrlclss rl tRC)ucHOUr LrtE
In a self-report study, Heckhausen,Schulz, and Wrosch (1998) observed that the
use of control strategies increased from early to late adulthood. Unexpectedly,
however, compensatory secondary control did not show a positive age trend. Positive
associations between all four types of control strategies and self-esteem supported
the role of primary and secondary control strategies for adaptive
functioning. Wrosch and Heckhausen (1999) demonstrated that disengaging from
unobtainable goals and reallocating resources to alternative domains (i.e., compensatory
secondary control) is functional when goal-relevant resources decline
and opportunity structures for goal attainment become less favorable. The authors
examined goals in the partnership domain in recently committed or separated
adults in early adulthood and late midlife. Younger separated adults
mentioned more partnership goals and reported more primary control strivings
for attaining their goals. ln contrast, older separated adults reported more secondary
control actions such as goal deactivation. They disengaged from partnership
goals and invested their resources into alternative social domains. Moreover,
younger separated adults reported a decline in positive affect over a time period
of 15 months when they disengaged from their partnership goals, whereas for
older separated adults goal deactivation proved beneficial. One explanation is
that the objective chances to remarry are lower for people in late middle age compared
to young adulthood. The age-related change in opportunities for attaining
the partnership goal, then, is ref lected in a shift in importance and functional impact
of this goal. These findings can be viewed as evidence supporting the notion
that individuals activate and deactivate developmental goals in accordance with
age-graded changes in opportunities for goal achievement.
Similarly, Heckhausen et al. (2001) investigated developmental regulation before
and after the developmental deadline for childbearing. Younger and middleaged
women with or without children were compared with regard to various
indicators of primary and secondary control striving for goal attainment versus
goal disengagement and self-protection. Women approaching the developmental
deadline for childbearing were actively engaged in the goal of bearing a child. In
contrast, women who had passed the deadline disengaged from the goal. These
differences were evident in the number and type of goals nominated as well as
the salience of information related to children. Moreover, women who had passed
the deadline but for whom child-related information was still more salient were
more prone to negative affect. Thus, a selective responsiveness to information relevant
for an obsolete developmental goal appears to have negative implications
for well-being.
Taken together,
the endorsement c
ance developmenti
trol strategies incr
adaptive developn
come increasingly
the SOC model ar
the fruitfulness o
in-context in termr
final section, we a
S
This chapter com
perspective on pet
derstanding of go
environment intet
in this chapter (th
model) argue that
motivating, orgar
related processes
related processes
management of r
losses is a key to s
cific processes pl
adulthood. There
yet, no integratior
(Freund & Riedig
positive associati<
believe that it will
to close this gap.
Another future
practical relevanct
related goals are t
sues become mos
1992), our practici
related processesI
Research has d
and losses has a d
suit when implen
framed messages
through a regular
the avoidance of
physical activity;
themselves as hig
old age, loss-fran
sages become mot

Personality Theories of Strccessful Aging 107
'failure and maintains
s should be employed
l. However, OPS theory
that bring about adap-
,ith developmental opides
empirical support
:ONDARY
998) observed that the
Llthood. Unexpectedly,
'ositive age trend. Posi-
:s and self-esteem sup-
:rategies for adaptive
that disengaging from
ve domains (i.e., comvant
resources decline
ess favorable. The auly
committed or sepalger
separated adults
mary control strivings
ts reported more seclngaged
from partneraldomains.
Moreover,
ect over a time period
Lip goals, whereas for
l. One explanation is
t late middle age comrtunities
for attaining
tce and functional imsupporting
the notion
ls in accordance with
mental regulation be-
Younger and middleith
regard to various
ral attainment versus
ng the developmental
of bearing a child. In
from the goal. These
nominated as well as
rmen who had passed
:ill more salient were
ss to information relregative
implications
Taken together, the f indings in the context of OPS theory provide evidence that
the endorsement of control strategies favors successful aging as they help to balance
developmental gains and losses. Specifically, the use of compensatory control
strategies increases in importance with positive effects on well-being and
adaptive developmental regulation when goal-related resources are lost or become
increasingly threatened, as is often the case in late adulthood. As is true for
the SOC model and the dual-process model of coping, the OPS model supports
the fruitfulness of approaching successful aging by investigating personalityin-context
in terms of personal goals and goal-related processes. In the next and
final section, we address this brief Iy.
SUMMARY, FUTURE OUTLOOK, AND
PRACTICAL RELEVANCE
This chapter combined an action-theoretical with a life span-developmental
perspective on personality and successful aging. This integration allows an understanding
of goals as dynamic aspects of personality that reflect the personenvironment
interaction over time. All three theoretical frameworks presented
in this chapter (the SOC model, the dual-process model of coping, and the OPS
model) argue that individuals can actively shape their development through the
motivating, organizinp;, and directing functions of personal goals and goalrelated
processes, and they all empirically support the role of goals and goalrelated
processes for adaptive development. Moreover, they all stress that the
management of resource changes from a dominance of gains to increasing
losses is a key to successful aging. They differ, however, with regard to the specific
processes proposed to best serve the management of resources across
adulthood. There exists good evidence supporting each of these models. As of
yet, no integ;ration or systematic comparison of the models has been attempted
(Freund & Riediger, 2003; for exceptions, see Freund & Baltes, 2002a,2002b, for
positive associations of SOC and assimilative and accommodative coping). We
believe that it will be a fruitful next step in future research on successful aging
to close this gap.
Another future research direction in this field should be to investigate the
oractical relevance of the three models. As various studies have shown that workielated
goals are most central for younger adults and goals related to health issues
become most prominent in older adults (Nurmi, 1992; Rapkin & Fischer,
1992), our practical examples and speculations about the role of goals and goalrelated
processes for successful aging refer to the domains of health and work.
Research has demonstrated that framing health messages in terms of gains
and losses has a differential effect on health-related goal adoption and goal pursuit
when implementing health programs in younger and older adults. Cainframed
messages emphasize benefits gained (e.g., becoming more attractive
through a regular physical workout), whereas loss-framed messages emphasize
the avoidance of benefits lost (e.g., preventing weight gain through regular
physical activity; Brendl, Higgins, & Lemm, 7995). When individuals perceive
themselves as highly vulnerable to certain health risks, as is often the case in
old age, loss-framed messages are more effective, whereas gain-framed messages
become more effective when perceived vulnerability is low, as is typically

108 Evrpr-:Ncp-Besgt> TusoRY
the case at younger ages (Lee & Aaker, 2004). Framing a health program with an
emphasis on benefits lost, as opposed to benefits gained, might therefore be
more persuasive for older adults. As a consequence, elderly people might be
more persistent in pursuing the program and might manage to improve their
physical and cognitive functioning and, in this sense, age more successfully.
The opposite should be true for younger adults. But not only the direction of
goals might have practical implications but also the underlying motivation of
goals. Riediger (2001) showed, for instance, that goals related to attractiveness
and fitness are central for younger adults, whereas health in itself becomes the
main motivation for regular physical activity in older adults. Taking this into
consideration when setting up successful training concePts for younger and
older adults appears to be of great importance.
The second example of the possible applied consequences of this research is
motivation at the workplace. With demographic changes (a combination of
lower birth rates and more people becoming older in much better cognitive and
physical conditions; e.g., P. B. Baltes, 1997), it is likely that retirement age will
increase to keep well-educated and highly experienced people in the workforce.
Here, it will become an important task of the future to take into account how
goals and goal-related processes in the work domain might change over adulthood.
In contrast to younger people, older adults might simply not be primarily
motivated to achieve new and higher outcomes, but instead focus on maintenance
and prevention of losses. Providing younger as well as older adults with
work tasks that meet their underlying motivation and that are framed in ageappropriate
ways (i.e., gain frames for younger adults and loss frames for older
adults) may increase their work-related performance as well as their personal
satisfaction with work in young but also in olci age. Moreover, encouraging accommodative
coping styles and providing opportunities for primary control
even and especially when resources decline will likely help older adults to derive
meaning and satisfaction from their workplace.
In sum, we believe that conceptualizing successful aging using a framework of
person-in-context fosters our understanding of the processes underlying aging
well and will ultimately also help shape environments in a more age-friendly way
to support the strengths of old and very old age and to maintain positive functioning
even in the face of decreasing resources.
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