Dissertation Study Synopsis

The human worldview, and thus its potential for development, is held in place by the adoption of assumptions and moved forward when those assumptions are exchanged for broader, more encompassing ones (Kegan,1982; Wade, 1996). Environmental factors and personal attitudes needed for this type of change are beginning to be understood and studied (Bursik, 1991; Helson & Srivastava, 2001). Models depicting conceptualizations of how changes in worldview and human growth might take place are prolific (Beck & Cowan, 1996; Kegan, 1982, Piaget, 1952; Wilber, 2000). Most of these change models depict the building up of conflicting ideas causing stress and dissatisfaction with the current state of affairs. They also describe a resolution process that takes place (when human vertical growth occurs) in which the individual reconfigures his or her worldview around another set of assumptions and moves to a more sophisticated level of development (Cook-Greuter, 1999; Kegan, 1982; Maslow, 1971; Wade, 1996). I refer to this change process as the "dilemma based model."

In my opinion, changes of this magnitude could take place simply because of a new awareness, a new feeling about life or suddenly seeing something previously hidden. It may be true that "for some sages, (who were ripe) the sound of a bird led to enlightenment" (R. Richards, personal communication, May 25, 2005). All of these possibilities may employ an enabling factor (birdsong) to allow or cause the change to happen.

This research project represents the search for a potential clue to understanding how this vast reservoir of human potential might be unleashed. My contention is that in many cases there might be certain Facilitative Agents or ideas that act as tipping points which may, in some instances, allow this re-authoring of assumptions to occur. In the therapeutic context, Wilber (2000) refers to such an idea as a "curative catalyst" (p. 99). Such catalysts might be realized through intuition or arrived at the conscious level from any number of channels. They provide the information needed or the key concept required for releasing the individual from his or her limiting paradigm and beginning movement beyond the current circumstance or dilemma.

Modern Western researchers in developmental psychology chronicle growth paths from birth to advanced stages of development (Hy & Loevinger, 1996; Kegan, 1982; Koplowitz, 1984; Loevinger, 1976; Wade, 1996; Wilbur, 1986). According to these researchers, human development begins at a point, perhaps at birth or before, and proceeds in an orderly fashion through a system of developmental stages culminating, in most cases, in conventional adult functioning (Loevinger & Wessler, 1970). Although many models of ego development delineate stages beyond modal adult functioning, they all suggest that each individual begins at the least expanded stage and progresses onward through each developmental stage. Most theorists suggest that all stages must be passed through in a consecutive sequence and that levels currently experienced set the stage for or create the dilemma that must be resolved before progressing to the next more expansive level (Cook-Greuter, 1999; Erikson, 1978; Kegan, 1982; Loevinger 1976).

Logically, an individual now at a more expanded level of development would have, for a time, held the worldview or set of assumptions of each of the less inclusive stages. For example, it is commonly agreed by most developmental researchers that around elementary school age, most people move into the "conformist stage" of development (Loevinger & Wessler, 1970; Wade, 1996). Characteristics of this stage include a preoccupation with conforming and belonging. Individuals exhibit loyalty to the immediate group and feel shame if they violate the norms of that group (Loevinger & Wessler, 1970; Torbert, 2004). All persons occupying advanced levels of development would have, perhaps during their elementary school years, experienced and held the worldview of the conformist.

To move upward and achieve the next developmental step, a certain release or negation of the basic assumptions for the stage that one now occupies must occur (Wilber, 1986). Put another way, development happens when persistent inconsistencies appear and cannot be incorporated into the individual's current paradigm. In these instances, reorganization to a higher order of integration occurs (Hy & Loevinger, 1996; Wade, 1996). Inputs for these inconsistencies at the earlier stages are thought to arise from interactions with the child's physical environment or as a consequence of brain development (Kegan, 1982; Piaget, 1965). Behaviors or ideas typical of a certain level simply do not work effectively and must be modified or automatically evolve into another type of reasoning to meet upcoming demands. In the more inclusive levels of development, however, the origin of these inconsistencies is thought to be not only from feedback from the environment but may be from nonphysical, transcendent sources (Cook-Greuter, 2000; Wilber 2000). Only sketchy evidence currently exists to indicate that movement through the lower stages of development may also involve, to some extent, a similar type of transcendent consciousness (Wade, 1996). Regardless of the source or the cause of the perceived inconsistency, growth proceeds by shedding one worldview or set of assumptions about reality and adopting another.

A developmental level is recognized when a predominance of functioning takes place at that level, although persons at all levels of growth can exhibit responses and behaviors characteristic of higher or lower stages. To determine functional level in this regard, major characteristics of a particular stage must be observed at a particular time and take precedent over behaviors representing worldviews specific to other developmental stages. Some developmental researchers attribute age ranges to lower levels of development (Loevinger & Wessler, 1970; Piaget, 1965; Wade, 1996), but no such parameters are suggested for advancement into higher stages. Individuals have been tested and found to be functioning at the Unitive Stage (the highest stage in the Loevinger/Cook-Greuter model) ranging upward from 26 years of age (S. Cook-Greuter, personal communication, December 3, 2003). The Unitive Stage in Cook-Greuter's model (Cook-Greuter, 1999) is a full five levels above the modal range of human functioning (Loevinger & Wessler, 1970). Why and how rapid development occurs for some and not at all for others remains a conundrum.

There are natural or higher order mechanisms that have been known to accelerate development. Documented evidence of radical changes in attitudes, philosophies, tastes and worldviews consistent with those found during vertical growth may occur after events such as Peak Experience, Near Death Experience and the Conversion Experience (Bucke, 1901; James, 1902; Maslow, 1971; Ring, 1984). There are also practices such as Transcendental Meditation that seem to allow or cause vertical growth to occur (Alexander, Heaton & Chandler, 1994). I believe that the most casual of anecdotal evidence, however, would reveal that many if not most individuals functioning at these higher levels of development have not lived through a radical change experience and have not or do not follow a regular practice known to enhance their development. If, as is true in most cases, these individuals were exposed to the same rigors of ordinary life as their cohorts and subjected to the same growth limiting societal norms, what has provided the impetus for their vertical growth?

Personality traits found in some individuals might account for some of this proclivity toward human development (Helson & Srivastava, 2001), but receptivity cannot be the entire answer, one must ask: receptivity to what? The question remains, what provides the final push, the idea that brings the final release, or the strength to push beyond the ever-present uneasiness growing with one's current worldview? Do facilitative ideas exist and if so, what do they look like? The answer may be found by asking people who have faced this developmental circumstance many times throughout their lives, people now living at the high end of the human development scale.

Therefore, my theory is that to facilitate movement through conventional levels of development and beyond, individuals must have within their knowing, or somehow receive, new concepts or affective triggers that serve as Facilitative Agents. These new ideas allow development by causing the release of the assumptions necessary to keep in place one's current developmental level. These concepts may appear in childhood, young adulthood or later adulthood and may be experienced as attitudes, feelings, morality lessons, insights, visions, or contrary ideas. They could be recognizable because they might have the effect of engendering feelings of relief, an "ah-ha" experience or perhaps a new dawning. They may follow a personal dilemma, depression, or a particularly frustrating period. Having experienced a Facilitative Agent, the release from the previously held view might cause one of many reactions.

Definitions

Ego development - Ego development is the process of human consciousness development as conceptualized by Jane Loevinger (1976, 1998a, 1998b). Her concept of the ego is that it is the self-center or the meaning-making portion of the psyche. Facilitative Agents - The hypothetical construct that may, in some instances, provide the impetus for ego development to occur or signal the occurrence of ego development. Examples of this type of mechanism might be a message that comes through a dream, the lyrics to a song, an epiphany through an altered state, a sudden new feeling, or any number of more mundane signals.

Research Questions

1. Do Facilitative Agents typically exist and if so, what are the agents (conceptual or affective triggers) that cause the rejection of assumptions that hold individual development at one stage and allow a reorganization of worldview to accommodate the successive level?
2. How do Facilitative Agents appear as lived experience?
3. Are there particular times, states of mind or other environmental circumstances that might allow the Facilitative Agent to have enough influence to cause vertical growth?
4. Are there common Facilitative Agents for each level of development and if so what are they?

To find the answers to these questions, questionnaires were completed by and interviews were conducted with individuals who, based upon their current developmental level, have experienced many growth transitions. Participants were asked to recall a critical incident that they felt changed their perspective or moved them forward from their existing circumstance or way of being. In addition, participants were questioned about their attitudes, feelings and situations before and after the incident to determine if there had been a prospective ego level shift. Incidents that seemed to be related to a shift in ego level will be regarded as a Facilitative Agent and reported in the findings.

Summary of Findings

The study findings indicate that Facilitative Agents appear to exist although their location and role are not always that of a conceptual or affective trigger to signal a release from a previously held assumption and begin the embracing of a new paradigm. Descriptions contained in this study illustrate the human development process and change of ego level as an unfolding process characterized by many writers on the subject as sighted previously in this document. The findings in this study, however, describe a process that is not always a "seamless" one that flows in an even rhythm from beginning to end. Rather the process as illustrated through this study could better be characterized as a gradual unfolding punctuated by Facilitative Agents that occur in places along the process and punctuate or serve to move the growth along in several ways. These agents appear in many ways sometimes subtle and sometime quite dramatic. Although Facilitative Agents can occur in normal waking consciousness, they seem to occur more often in alternative or altered states of consciousness or when normal waking consciousness achieves great focus as occurs when participating in a highly absorbing creative endeavor or in an alteration due to reliving a stressful memory. There didn't appear to be, in this small sample, common Facilitative Agents for each level of development. There may be, however, indications that they might play different roles at different levels, depending on the change process that is occurring.

The findings suggest that Facilitative Agents do occur and that they appear to occur along the whole spectrum of development. Ancillary information obtained from this study opens the door for further speculation about the change process. Participant incidents demonstrate that Facilitative Agents can happen at any point in the process from beginning the change to the final realization of the new level paradigm. Other findings can be extrapolated from this study that shed light on the entire developmental process. The focus of this discussion is on three areas; states of consciousness found in Facilitative Agents, the patterns of growth processes that appear to be dominant on various levels and the relationship between ego growth and shifts in areas that may be related to change.

Consciousness

Of the Facilitative Agents and critical incidents discussed in this study only five occurred in normal waking consciousness, the rest took place in altered or alternative realms. Of the incidents reported in altered consciousness, three were in states altered by ritual, such as meditation or trance and three occurred in consciousness altered by hallucinogenic substances.

Three of the incidents described occurred during lucid dreaming. Of the five that took place in normal waking consciousness, one took place while experiencing the extreme stress of PTSD in remembering a past trauma, one occurred in a creative state where she was unaware of the significance of what she was drawing and one incident took place while the participant was performing a healing by nonphysical means, not generally an ordinary state. It appears, therefore, that only two incidents occurred in the everyday normal waking state. Although this is an extremely small sample from which to draw any conclusions, and the participants were selected non-randomly, it is interesting to speculate why this is the case. Perhaps the all encompassing control demanded by the ego operating at a particular level is less able to discredit or disregard data inconsistent with its viewpoint in an altered or alternative state. Another idea is that the alternative or altered state might also provide an avenue for direct contact with the subtle or casual realms of the mind (Wilber, 2000) which may contain ultimate wisdom. Certainly more work is needed to explore either of these hypotheses.

Level Process Differentiation

There appears to be three separate systems or developmental processes at work in these examples. In addition, certain processes seem associated with particular ranges of ego levels. Again in such a small sample, generalizations regarding levels are not convincing, on the other hand, the data gathered in this effort clearly delineates a pattern. If one were to divide the groups into the lower range of development, perhaps before level I-3; the middle range of development, I-3 though I-4/5 or I-5; and the upper range, I-5/6 and I-6, incidents discussed in the three ranges feature a distinctly different change process. (See Figure 1)

Figure 1.

Loevinger & Cook-Greuter's Levels of Ego Development

Unitive I-6
Construct-Aware I-5/6
Autonomous I-5
Individualistic I-4/5
Conscientious I-4
Self-Aware I-3/4
Conformist I-3
Self-Protective I-Delta
Impulsive I-2

There appears to be a lower level process, a mid-level process and an upper level process.

In the middle range of the model, the dilemma based growth pattern is evident. This model is alluded to by scholars that have studied how people grow through adversity (Bursik, 1991; King, 2001; Helson & Roberts, 1994; Helson & Srivastava, 2001). Basically, those models characterize a process where the ego is stable at a certain level, it is presented with a dilemma or factors that do not fit with its current paradigm and then it proceeds to let go of its current worldview and begin to embrace the higher level viewpoint. This is, however, only one of the three processes that seem to be recounted by participants in this study.

The highest group, the I-5/6 and I-6 group seems to employ another process altogether. In this process, the participant becomes a seeker or someone who desires further development or to see beyond their current paradigm. They pursue Gurus, growth inducing practices like Yoga and meditation or they experiment in a serious manner with alterations of consciousness. Growth seems to come gradually through a series of incidents that must be dealt with by the ego to arrive at a more expanded paradigm. In at least one example, the final release into the new ego level was probably triggered by a spiritually oriented event or happening. Evidence of the dilemma based growth pattern did appear with one participant, who experienced a revelation through a Landmark education concept. In this case, however, I do not think she expanded in ego level; rather she was likely reminded of a habit of the mind with which she was temporarily out of touch. All of the other higher level incidents involve this searching and then gradually finding type of change process. Although the ego at this level did have to assimilate new information, it was seldom materialistically or relationship based as in the middle range change process.

On the most elementary level, two children cited in the study likely moved to the I-3 Conformist level of functioning immediately following a momentous event changed through still another process. They both had sudden realizations. Again, with the small number of samples, nothing can be said definitively, but it is a consistent observation.

Viewed against the backdrop of the reincarnation hypothesis, this arrangement of processes seems to form a logical developmental model. My interpretation of the reincarnation model is that one develops through a series of successive lives until one sufficiently deconstructs one's desires (ego) and can rejoin the Divine. In this view of reality, each individual learns growth lessons during successive lives and then advances to the next life. Developmental psychology, has taught that most, if not all, individuals begin at the most elementary level of functioning and progress through each of the stages of development prior to their stopping point (Cook-Greuter, 1999; Erikson, 1978; Kegan, 1982; Loevinger 1976). Lessons learned during the sojourn on the earth take place while dealing with the conflicts of life. This process is demonstrated by participants in the middle ranges in dealing with life circumstances. Once the ego grows to the stage where all conflicts are viewed as artificially manufactured by the mind and internal, problems can only be solved by turning inward as in levels I-5/6 and I-6, where another developmental process becomes dominant. We see the higher level, internal process demonstrated with incidents related by certain participants as they move toward expanding their worldview by turning inward. This is not to say that developmental gains cannot be made by turning inward at any point along the developmental path or that even the highest level individual cannot learn from external interactions and conflicts, I am simply saying, these two different processes are most ideally suited for different levels of development. It also sheds light on the sudden developmental gains made by cited participants moving from the Self-Protective stage to the Conformist level.

If indeed, as the theory implies, we grow through successive lives, perhaps lessons learned in previous lives do not have to be relearned in the same fashion that they were originally obtained. There may be a process whereby previous levels achieved are given back quickly and painlessly. This process might appear as a remembering or coming home as recounted by two level I-6 participants or as a sudden realization such as was experienced by other participants moving in the least expanded stages. If the developmental process is ongoing across lives, then perhaps there is a quick review process in place for previous alumni.

Components of Ego Level Changes

Many of the shifts in awareness described as critical incidents, I do not feel involved an elevation of ego level. Rather, they likely describe a shift in conceptualization related to ego growth. These breakthroughs, however, may be key to understanding the real process that is taking place. Although the concept of the ego as described by Loevinger has been shown to be a reified concept in itself and not a collection of unrelated factors (Manners & Durken, 2001), I feel that there are concepts that build upon themselves to help change perception, and this scaffolding allows for the elevation of the individual's ego paradigm. For example, the epistemological re-conceptualization achieved by one of the participants during his first encounter with hallucinogens, may not have shifted him to a higher level. The subsequent incorporation of this idea to the rest of his being, however, may have caused a re-evaluation of his relationships, his self-identification and other aspects of the higher level viewpoint that he subsequently attained. This gradual change aided by conceptual building block concepts also may have been the case for another participant as her gradual shifts in perception helped her extricate herself from her marriage and perhaps grow to see things from a more expanded ego level. The idea that these revelations can serve as consciousness elevating time capsules makes the search for Facilitative Agents an even more worthwhile task.

Conclusion

This study endeavored to answer four questions. The first question was do Facilitative Agents typically exist and if so, what are the agents (conceptual or affective triggers) that cause the rejection of assumptions that hold individual development at one stage and allow a reorganization of worldview to accommodate the successive level? Based upon the findings of this research project, the answer to this question is yes, there are Facilitative Agents. In addition, they appear in various forms ranging from statements made by psychologists to seeing God. This study found no characteristic of this type or feature of Facilitative Agent that could be said to be representative of all Agents. The second question is, how do they appear as lived experience? They appear as memorable incidents that in some cases do not seem to fade over time. In incidents reported in this document, certain Facilitative Agents were vividly described after 34 years. The third question inquires, if there are particular times, states of mind or other environmental circumstances that might allow the Facilitative Agent to have enough influence to cause vertical growth? Agents appear to most often occur in alternative or altered states of consciousness or when normal waking consciousness had been modified as exemplified in highly stressful circumstances or during the creative process. The final question asks, are there common Facilitative Agents for each level of development and if so what are they? In this study, no common Facilitative Agents were found.

It also would appear, from this very limited study, that there are at least three change processes that are involved in ego growth: the sudden awareness or awakening, the dilemma based/resolution process and the purposeful turning inward to find wisdom procedure. In addition it should be noted that for some higher level participants, these Facilitative Agents or critical incidents were experienced as a remembering or coming home feeling.

The study also demonstrated the efficacy of using the study of critical incidents and the retrospective determination of ego level to aid in understanding human development. Although improvements can be made to the technique, I feel that this study validates its use as a tool to penetrate this most hermetic of subject areas - how human growth actually happens.

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