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Ashridge Business School UK - http://www.ashridge.org.uk
Abstract
Theoretical developments in the expatriate adjustment literature have been sparse over the last decade
and a half. Much of the business-focused literature uses an influential linear causal model from 1991.
While research based on it advanced the field, it is time to revisit the basic processes of expatriate
adjustment and reformulate them to reflect the dynamic interaction of antecedent and outcome
variables. This paper tries to improve the mapping of the real-life complexities of expatriate
assignments by adding detail to the definition of adaptation outcomes and including several feedback
loops among model variables.
Keywords
Expatriate adjustment, international assignments, cross-cultural management
Introduction..............................................................................................................................................1
The Term "Adjustment" and Other Definitions.......................................................................................1
Adjustment as State..................................................................................................................................4
Adjustment as Process .............................................................................................................................6
An Overall Model of Adjustment ............................................................................................................8
Coping Strategies Determining Modes of Adjustment ......................................................................12
Withdrawal Strategies.....................................................................................................................14
Active Personal Convergence Strategies........................................................................................14
Passive Personal Convergence Strategies.......................................................................................15
Putting the Model Together ...............................................................................................................16
The Model Variables in Detail...............................................................................................................23
Novelty ...............................................................................................................................................24
Cultural Distance ............................................................................................................................25
Expectations/Surprises....................................................................................................................26
Previous Expatriate Experience......................................................................................................27
Discretion ...........................................................................................................................................28
Tolerance in Society .......................................................................................................................29
Socio-economic Status ...................................................................................................................30
Motivation ..........................................................................................................................................31
Desire for Control...........................................................................................................................31
Desire for Feedback........................................................................................................................32
Discretionary Shifts............................................................................................................................33
Beliefs.................................................................................................................................................34
Value of Relationships with Other Groups.....................................................................................35
Self-efficacy....................................................................................................................................35
System Influence ................................................................................................................................36
Spouse's Adaptation and Willingness to Stay ................................................................................36
Networks.........................................................................................................................................37
Company Support ...........................................................................................................................39
Conclusion .............................................................................................................................................40
Bibliography ..........................................................................................................................................40
Ashridge Business School UK - http://www.ashridge.org.uk
1
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The last fifteen years have seen a huge number of empirical studies on expatriate adjustment. Scholars
have gained many insights and have helped practitioners to better select, prepare and support
expatriates. While the field has, therefore, made significant empirical progress, the theoretical models
it is based on have not changed during this period. The one dominating the business field (Black et al.,
1991) has recently been subjected to a meta-analysis (Bhaskar-Shrinivas et al., 2005). The model
describes linear causal relationships between antecedents and adjustment outcomes. The review found
strong support for the model and proposed some extensions to it. However, the model is lacking in
two respects: it is based on a narrow conceptualisation of adjustment outcomes and it excludes
feedback loops to account for the real-life dynamics of expatriate adjustment.
This paper tries to address both issues raised. First, it addresses the question of what adjustment
means, and how it can be defined as a state and as a process. Based on this discussion, a dynamic
description of adjustment outcomes is proposed that integrates strands from the business and the
cross-cultural communication literatures. Second, it develops a model of expatriate adjustment that
includes dynamic interactions between adjustment, intervening, and antecedent variables. The paper
closes with a detailed discussion of the model variables.
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The cross-cultural research literature features several terms to describe the development of skills that
allow foreigners to function adequately in a new culture. Adjustment, adaptation, and acculturation are
the ones most often used (see e.g. (Schuetz, 1944, Taft, 1977, Church, 1982, Grove and Torbiörn,
1985, Gudykunst and Hammer, 1988, Kim, 1988a, Kim, 1988c, Szalay and Inn, 1988, Ellingsworth,
1988, Black and Mendenhall, 1991, Black and Mendenhall, 1990, Aycan, 1997, Ward et al., 1998,
Evans et al., 2002, Yamazaki and Kayes, 2004, Bhaskar-Shrinivas et al., 2005). These terms will be
used interchangeably to mean the process and result of change induced in individuals by the move into
an unfamiliar cultural environment.
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2
Cross-cultural adjustment encompasses cognitions, emotions, and behaviours (Kim, 1988c, Kim,
1991). Defined as state (Berry et al., 1988), adaptation is the degree of fit between individual and
environment regarding social processes and social structures (Gudykunst and Hammer, 1988). A good
fit shall be defined as the adequacy of one's behaviours, cognitions and emotions (Grove and
Torbiörn, 1985). Defined as process (Berry et al., 1988), adaptation is the acculturation of the
newcomer, or the convergence (Barnett and Kincaid, 1983, Kincaid, 1988) over time of behaviours,
values and norms, and underlying assumptions of the individual with those prevailing in the
environment (Schein, 1984, Black et al., 1992, Trompenaars, 1993).
A term that is distinct from adjustment etc. is enculturation. It means the first acquisition of a culture
and cultural identity by a child. Enculturation is a human being's first socialization experience, his or
her cultural starting point. Thereafter, adaptation takes place in every cross-cultural move, be it one
that is characterized by geographical relocation or not. A geographically static change in life spheres
such as going to college, joining the labour force or being admitted to a correctional institution
requires adaptation as well (Taft, 1977).
Culture is what needs adapting to. "Culture is imprinted in each individual as a pattern of perceptions,
attitudes, and behaviors that is accepted and expected by others in a given society below the level of
conscious thought." (Kim, 1988c: 48) Besides these sub-conscious, underlying assumptions, culture
manifests itself in semi-conscious values and norms, and in openly observable expressions such as
behavioural patterns, art, technology, etc. (Schein, 1984).
For the purposes of this paper, the term
culture shall mean the perceptional, attitudinal and behavioural patterns at all levels of consciousness
which are shared by the citizens of one nation. The cognitive representation of one's own or a foreign
culture is a "scheme of reference" (Schuetz, 1944) or a "cognitive map" (Tolman, 1948, Szalay and
Inn, 1988, Black and Mendenhall, 1991, Black et al., 1992). A cross-cultural move shall be the
relocation from one country into another. An expatriate will be every person who holds a foreign
citizenship. The term "expatriate" will be used interchangeably with foreigner, stranger, sojourner, and
similar terms.
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3
Successful adaptation, whether experienced in the course of a permanent or a temporary stay, is the
integration of the elements of the individual's original culture, i.e. the one he or she was enculturated
into, and the new one (Kim, 1988c). With Grove and Torbiörn (1985) "adaptation may be seen as the
process of reconstructing one's mental frame of reference" (216). This process starts as the expatriate
suffers from cognitive uncertainty (Berger and Calabrese, 1975, Berger, 1979, Berger, 1987, Berger
and Gudykunst, 1991) created by cross-cultural experiences that call the previous mental frame of
reference into question. The realization by the expatriate that he or she cannot fully meet the demands
of the environment or that the environment does not meet expectations creates stress (Ruben, 1983),
felt by the expatriate as negative emotions. Stress, in turn, leads to an unfreezing of the mental frame
of reference(Lewin, 1997 (1948 & 1951)). In the cross-cultural literature, this crisis is referred to as
culture shock (Oberg, 1960, Lundstedt, 1963, Gullahorn and Gullahorn, 1963, Smalley, 1963). Once
sufficient change has taken place to reduce stress to acceptable levels, the mental frame will be
refrozen and the expatriate will have completed the major portion of the cross-cultural adaptation
process. Of course, the restructuring and extension of the mental frame of reference just described will
not stop once the first cycle of unfreezing - change - refreezing is complete. People, whether at home
or abroad, continually learn and adapt their mental reference frame. The first twelve or more months
after a cross-cultural move lead to such accelerated learning that warrants special attention as a
separate change cycle.
Failed adaptation results from unsuccessful or lacking attempts to change one's mental frame of
reference and behaviours in spite of serious incompatibilities with local cultural demands. If mental
frame and behaviours are within acceptable limits upon arrival, there is little need for adaptation. In
most cases, there will be a need to adapt. Efforts may be unproductive or insufficient. Some ways of
coping are counter to adaptation. Withdrawal, psychological or physical, may create an outcome
acceptable to the person, but it is unlikely to result in adaptation.
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4
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Over the last decade and a half, a 14-item measure of cross-cultural adjustment has been used
frequently in management research (Taylor and Napier, 1996a, Black and Stephens, 1989, Black,
1994, Robie and Ryan, 1996, Caligiuri, 2000, Waxin, 2004, Bhaskar-Shrinivas et al., 2005). Its
application has pre-empted the definition of adaptation as state in this field of study. The scale
consistently measures three factors: interaction adjustment, general adjustment, and work adjustment.
The discussion here will focus on the former two facets of adjustment. Work adjustment will not
feature here, because it is assumed that it can be analyzed by the application of general concepts of
cross-cultural adaptation to that specific life sphere.
Interaction adjustment includes socializing with host nationals and day-to-day interactions. General
adjustment covers living conditions, entertainment and health care facilities, housing conditions, food,
shopping and cost of living.
Black/Stephens looked at adaptation in each area as one-dimensional. A person could report to be
adjusted or unadjusted on each of the items in the questionnaire. This definition disregards the
distinction of three separate spheres of adaptation discussed in theory: cognitions, emotions, and
behaviours (Kim, 1979, Grove and Torbiörn, 1985, Gudykunst and Hammer, 1988, Ward et al., 1998).
The concept of adaptation as state proposed here follows Gudykunst and Hammer (1988) who suggest
an uncertainty reduction-based theory of intercultural adaptation, and Grove and Torbiörn (1985) who
relate cognitions and subjective evaluation of effectiveness of behaviours. Kim is one of the first
theorists to integrate all three dimensions of adaptation by defining acculturation as "the process of
cognitive, attitudinal and behavioral adaptation to the new cultural system" in 1978 (quoted in Kim
1988c, 20).
Gudykunst/Hammer (1988) and others (Grove and Torbiörn, 1985, Gudykunst and Nishida, 1986,
Gudykunst, 1988, Berger and Gudykunst, 1991, Black and Gregersen, 1991, Black et al., 1992,
Krohne, 1993) regard uncertainty about predictions of others behaviours and the driving forces behind
them as well as about the likely outcomes of one's own behaviours as central to adaptation. Low
uncertainty or, alternatively, high confidence is an indicator of a state of high adaptation.
Ashridge Business School UK - http://www.ashridge.org.uk
5
Besides this cognitive side of adaptation there is an affective side to adaptation. High levels of anxiety
indicate low levels of adaptation. The main difference between the cognitive and the affective
dimension is that "the influence of social cognitive processes on intercultural communication is
mediated through behavioral intentions and the influence of affective processes is not. It is possible
for strangers to reduce uncertainty and still have high levels of anxiety and vice versa" (Gudykunst
and Hammer, 1988: 108-9).
Cognitions and emotions represent the more internal side of adaptation. An outsider cannot
necessarily tell whether somebody is uncertain or suffers from, say, anxiety. Behaviour, on the other
hand, is on the outside and observable. Perceptions of one's own and of others' behaviour are the input
that leads to cognitions and emotions. For Grove and Torbiörn a well-adapted person's behaviour "is
not only socially acceptable but also interpersonally effective in that it very often yields the outcomes
desired in interactions with others … Our well adjusted and socially adept person also feels confident
that his [her] understanding of the way the world works is accurate, complete, clearly perceived, and
positively useful in guiding his [her] behavior." (1985: 206-207) Grove and Torbiörn call this the
"clarity of a person's mental frame of reference." It is not necessary to share the values and underlying
assumptions that created the norm for appropriate behaviour. However, the execution of behavioural
norms that are opposed to the actor's values will result in cognitive dissonance. Over time, the actor
may reduce such dissonance by breaking the behavioural norm that is by lowering his or her level of
behavioural adaptation. Alternatively, the individual may change his or her values to accommodate
adherence to the behavioural norm. In the latter case behavioural adaptation is a direct cause of value
convergence.
The discussion allows the definition of a highly adapted foreigner as an individual who feels neutral or
positive emotions, is adequately confident regarding his or her knowledge about the host society, and
shows effective behaviours appropriate to the culture and specific situation. If an expatriate measures
on the opposite end of the three dimensions, he or she may be called poorly adapted.
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6
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The “U-curve” hypothesis has been over the last half-century a favourite of researchers describing the
adjustment process (Lysgaard, 1955, Oberg, 1960, Bhaskar-Shrinivas et al., 2005) and many others).
But to this day the U-curve hypothesis and the associated “culture shock” have eluded theoretical
formulation that would allow reliable prediction. Over the years many authors have criticized the
accuracy and merely descriptive nature of U-curve and culture shock (Lundstedt, 1963, David, 1972,
Church, 1982, Furnham, 1988, Kim and Ruben, 1988, Black and Mendenhall, 1991, Ward et al.,
1998).
While adjustment as an overall process eludes prediction, the behavioural, cognitive and emotional
dimensions of adaptation do relate to each other in time. One possible way to describe this dynamic
interaction is depicted below:
High
Cognitive
confidence
LEVEL OF
ADAPTATION
Emotions
Effectiveness of
behaviour
Low
Moment of arrival
TIME
Figure 1
Individual variations in a multitude of psychological, situational, and environmental variables can
influence the actual shape of each curve as well as the interactions between the three dimensions of
adaptation. Therefore, it is necessary to keep in mind limitations to a single representation of
adaptation.
In the drawing, the effectiveness of behaviour curve starts in low territory. Right from entry into a
new cultural environment an expatriate's frame of reference, which guides behaviour, proves
inadequate for interaction with the local population. The effectiveness curve slants upward from the
beginning, because the foreigner learns from the point of first setting foot on the new soil.
Ashridge Business School UK - http://www.ashridge.org.uk
7
The expatriate in the drawing arrives with a cognitive representation of the host culture that worked
for the purposes of the home culture, i.e. interpretation by disinterested observers (Schuetz, 1944).
Therefore, confidence in his or her mental frame of reference will be relatively high. The realization
that behaviour guided by the existing frame of reference is inappropriate will lead to a loss of
confidence. The expatriate will begin a learning process, that is he or she will replace old,
inappropriate elements of the mental frame by new elements. Yet, "the home- and host-based
elements are mutually contradictory, so that the frame increasingly becomes a repository of cognitive
elements that give conflicting advice regarding behavior, thus reducing the person's confidence or …
clarity." (Grove and Torbiörn, 1985: 213). Grove and Torbiörn point to two types of problems with
the mental frame of reference: first, old and new elements may recommend incompatible behaviours
(cognitive inconsistency; focused ambiguity (Ball-Rokeach, 1973)), and second, there may be no
element of reference available at all to guide behaviour (cognitive ambiguity; pervasive ambiguity
(Ball-Rokeach, 1973). Eventually, as the expatriate learns more and more effective behaviours and
experiences more and more situations in which the guidance by the frame of reference proves reliable,
he or she will start to regain confidence.
The actual emotion curve is more complex than of the behavioural effectiveness and confidence
curves. Expectations, attitudes towards the international move and the host country, voluntariness of
the move, and personality variables such as positive or negative affectivity intervene. Emotions
generally are more volatile than cognitive confidence or behavioural effectiveness, varying during the
course of a day as well as over longer periods. Assuming an emotionally stable expatriate who feels
generally excited about the international move, an averaged emotion curve will start at a high level.
The adaptation literature uses terms such as gratifying (Lysgaard, 1955), honeymoon (Oberg, 1960),
and euphoria (Adler, 1975, Grove and Torbiörn, 1985) to describe the time after arrival. Some studies
question the existence of this positive emotional phase (Ward et al., 1998). At first, repeated
experiences of behavioural shortcomings and of the unreliability of the mental frame of reference will,
with a certain time lag, negatively influence emotions. After some time and with the continued
Ashridge Business School UK - http://www.ashridge.org.uk
8
experience of progress in the cognitive and behavioural domains the balance of emotions will
eventually become positive.
The discussion of adaptation as process hints at the dynamic relationship between behavioural,
cognitive and affective outcomes. The starting points of each of the curves as well as their interaction
over time are influenced by many variables. The biggest problem faced by all adaptation theorists is
the selection of the most relevant ones. The next section tries to advance a dynamic model of
adaptation with a manageable number of variables. It is based on a theory of work role transitions
(Nicholson, 1984, West et al., 1987, Nicholson and West, 1988), which lends itself to an application
in cross-cultural adaptation.
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Work role transitions - whether they involve national, international or no relocation at all - require the
job holder to adapt. Successful adjustment requires matching the adjustment mode required by the
characteristics of the new environment with the mode attempted by the individual.
Adjustment has an internally-focused and an externally-focused dimension: an individual's personal
development, "in which change is absorbed through the person altering his or her frame of reference,
values, or other identity-related attributes" (Nicholson, 1984: 175) is internally focused. An
individual's attempt "to change role requirements so that they better match his or her needs, abilities,
and identity … which can be labelled role development, is implicitly an incipient form of organization
development," (ibid.) and is externally focused. Based on the dimensions of role development and
personal development, four theoretical modes of adjustment to a new job can be distinguished:
high
3.
Determination
4.
Exploration
Role
Development
1.
Replication
low
low
2.
Absorption
Personal
Development
high
Figure 2 (Nicholson, 1984: 175)
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Nicholson's theory suggests that four variables influence the mode of adjustment selected: the role
requirements, prior occupational socialization, the motivational orientations of the person, and the
way the company induces and socializes new job holders. The first three variables shed light on
expatriate adjustment and will be discussed here.
Two of the role requirements that influence the mode of adjustment selected are role discretion and
role novelty. Role discretion is the job holder's opportunity to alter the components of the job. Low
role discretion allows little role development and leads to replication, which is adjustment without
change, and absorption, which is adjustment through personal change. High role discretion, on the
other hand, allows role development and results in either determination, which is adjustment through
role change, or exploration, which is adjustment through role and personal change. Role novelty is
"the degree to which the role permits the exercise of prior knowledge, practiced skills, and established
habits." (Nicholson, 1984: 178) A job with little novelty allows the person to adjust without much
personal change, leading to replication and determination, while high role novelty requires that the job
holder learn new skills and behaviours, adopting either the absorption or exploration modes.
All else being equal, the combination of role requirements in terms of discretion and of novelty results
in the following adjustment modes (Nicholson, 1984: 178):
"Low discretion +
low novelty
→
I.
Replication
Low discretion
+
high novelty
→
II.
Absorption
High discretion
+
low novelty
→
III.
Determination
High discretion
+
high novelty
→
IV.
Exploration"
Novelty and discretion are equally important in expatriate adjustment. However, they are defined
differently. Novelty refers to cultural distance, expectations and surprises, and to previous expatriate
experience. Discretion refers to the tolerance the host society shows towards foreigners and the socioeconomic status of the expatriate. The combinations of novelty and discretion define the adjustment
modes available to the new arrival.
Prior occupational socialization or enculturation for expatriates is a second variable that influences the
mode of adjustment chosen. Employees become accustomed to the role discretion their jobs entail. If
an employee has worked in a position with discretion for a long time, he or she expects to maintain a
Ashridge Business School UK - http://www.ashridge.org.uk
10
comparable level of job discretion. "It is therefore proposed that the likelihood of personal or role
development will depend on whether the person's predominant prior occupational socialization has
been in roles of higher or lower discretion than the role he or she is entering." (Nicholson, 1984: 180)
The impact of prior occupational socialization is strongest in transitions to medium-discretion roles.
An increase in discretion means that the person previously had low discretion. Therefore, the person
will answer to a transition by replication, adaptation without change, or absorption, adaptation through
personal change. Adjustment behaviour learned in prior transitions to low discretion jobs leads the
person to the same adjustment mode as low discretion would. On the other hand, a downward
discretionary shift indicates that the person previously had high discretion. The person is likely to
respond with determination, adaptation through role change, or exploration, adaptation through role
and personal change. Discretionary shifts combined with novelty "yields the following predictions for
transition into medium-discretion roles (Nicholson, 1984: 181):
"Upward discretionary shift
+
low novelty
→
I.
Replication
Upward discretionary shift
+
high novelty
→
II.
Absorption
Downward discretionary shift
+
low novelty
→
III.
Determination
Downward discretionary shift
+
high novelty
→
IV.
Exploration"
The motivational orientation of an employee, defined as a desire for control and feedback, is a third
variable group that determines the mode of work adjustment chosen. Both the attributes of the job and
the motivations of the job holder demand a certain adjustment mode, allowing for a possible mismatch
of the two adjustment modes demanded. Desire for control is parallel to role discretion. Low desire for
control leads to replication, adaptation without change, and absorption, adaptation through personal
change. High desire for control brings about determination, adaptation through role change, and
exploration, adaptation through role and personal change. The desire for feedback, on the other hand,
is parallel to role novelty. Low desire for feedback is paired with replication, adaptation without
change, and determination, adaptation through role development. High desire for feedback results in
absorption, adaptation through personal change, and exploration, adaptation through both role and
Ashridge Business School UK - http://www.ashridge.org.uk
11
personal change. Adjustment mode preferences stemming from motivational orientation are as follows
(Nicholson, 1984: 183):
"Low desire for control
+
low desire for feedback
→
I. Replication
Low desire for control
+
high desire for feedback
→
II. Absorption
High desire for control
+
low desire for feedback
→
III. Determination
High desire for control
+
high desire for feedback
→
IV. Exploration"
"[M]ismatches between the kind of adjustment demanded by the situation [e. g. role or cultural
requirements] and by the person [e. g. motivational orientation] could catalyze lasting changes"
(Nicholson, 1984: 183) such as radical changes in role requirements by the employee, or negative
psychological consequences for him or her.
Nicholson points out that an independent affective dimension can be added to the four modes of
adaptation. Each can be associated with positive or negative emotions. For example, positive emotions
in replication might occur "when valued skills and experiences are maintained through the transition"
(Nicholson, 1984: 177). Negative emotions may follow when the person feels trapped with little
opportunity for desired change of any kind. Obviously, if requirements and preferences in adaptation
modes match, positive emotions are likely to occur, and vice versa.
Adaptation is a time-bound process with modes subject to change over time (Nicholson, 1984).
Nicholson and West (1988) graphically represent work role transitions as shown in Figure 3.
The transition cycle for work role transitions resembles the one for cross-cultural moves. Anticipatory
adaptation starts before the actual assignment. The first encounter of the new situation may lead to a
reality shock, which is similar to culture shock. Reality shock stems from surprises because of
erroneous anticipation. Even if anticipation proves right, merely encountering the new situation may
lead to stress and culture shock. Adjustment happens in two fashions, via role development or via
personal change, or a combination of both. The initial adaptation process is followed by a phase of
relative stability.
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12
Preparation/
anticipation
Encounter/
reality shock
Stabilization
Adjustment
(Role innovation)
(Personal change)
Figure 3 (Nicholson and West, 1988: 97)
"The stabilization phase is, for some, a time of consolidation, marking the dissipation of surprise and
adjustment, and the establishment of settled routines. For others this final stage is never reached. Job
search strategies are already being initiated and the person is planning new career moves or
anticipating impending organization changes" (Nicholson and West, 1988: 114). Like expatriates not
all job changers get to the final stage in the transition cycle, i.e. full-fledged adaptation. The difference
is that in job transitions continued innovation and further change are the main distracters from
reaching full adaptation. In cross-cultural moves, there exists a greater possibility that the cultural
characteristics of an otherwise stable situation make it difficult or impossible for the expatriate to
adapt fully. In general, there is more pressure in expatriation to change personally than in role
transitions.
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Nicholson's model of adjustment modes in work role transitions is a core around which a model of the
cross-cultural adaptation process can be built. As a first step, the model must be expanded to consider
the possibility of withdrawal. In work role transitions withdrawal is negligible because it is relatively
unlikely to occur. In a cross-cultural adaptation, withdrawal in terms of premature return or
psychological withdrawal accompanied by social marginalization is an important option (David, 1972,
Adler, 1975, Tung, 1982, Grove and Torbiörn, 1985, Berry et al., 1988, Furnham, 1988, Kim, 1988c,
Taft, 1988, Berry, 1990, Black and Mendenhall, 1990, Oddou, 1991, Banai, 1992, Black and
Gregersen, 1992, Naumann, 1992, Feldman and Tompson, 1993, Birdseye and Hill, 1995, Aycan,
1997). Berry et al. (1988) studying immigrants looked at acculturation attitudes. They distinguished
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13
the value a stranger attaches to maintaining relationships with other groups and the value of
maintaining one's own cultural identity and characteristics. A low valuation of relationships with other
groups leads to marginalization or separation. Immigrants wanting to preserve their identity will
separate, while the others will be marginalized. For strangers who do not wish to immigrate, that is for
temporary sojourners, this distinction is less relevant because separation will eventually take place at
the end of the stay. The representation of adaptation modes in Table 1, therefore, only includes one
withdrawal field representing both, marginalization and separation. They represent a large scale
change in the stranger's social environment.
Withdrawal as a coping mode is outside of Nicholson's model. All other modes discussed here are
inherent to the model and also form part of the cross-cultural adaptation literature.
Strangers wanting to maintain relationships, i.e. willing to stay and participate in local life may pursue
two kinds of strategies regarding their social environment: they may try to actively change their
environment, or they may passively adapt to it. Active change of the environment is similar to
Nicholson's high role development; passive adaptation resembles low role development. Taft (1988)
lists the active approach as one of four adaptation strategies. He distinguishes two ways of "changing
the environment, either by reshaping it [similar to high role development] or by moving to a more
congenial one" (Taft, 1988: 150) equivalent to withdrawal as separation.
Personal development is the other dimension in Nicholson's theory. Low personal development is
similar to Berry et al.'s (1988) strong preference for maintaining one's own cultural identity and
characteristics. This means that the stranger will try to resist convergence with the local culture. Since
convergence is bound to happen to some extent over time (Barnett and Kincaid, 1983; Kincaid, 1988),
this strategy may be called passive convergence. High personal development will result when an
individual attaches a medium to low value to maintaining cultural identity and characteristics (Berry et
al., 1988). Taft (1988) distinguishes two forms of high personal development: strangers may be
"reconstructing their perception of the environment, [or] adapting their behavior to the demands of the
environment" (150). For the purposes of the discussion here, Taft's distinction will be ignored because
it would complicate the model for an insufficient gain in insight.
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14
The combination of the interactions with the environment and personal change leads to a model of
adaptation modes or strategies which lies at the centre of a dynamic theory of adaptation. Table 1
shows five modes or strategies of cross-cultural adjustment.
move - withdrawal
large scale change
smaller change - reaction
ACTIVE
instigate convergence, fine
tune selection of networks,
change them
withdrawal
(marginalization or separation)
determination
("missionary")
(passive, active adaptation)
exploration
(integration)
(active, active adaptation)
accept - endure
not seek convergence
PASSIVE
remain in networks and
accept
replication
(maintain status quo)
(passive, passive
adaptation)
absorption
(assimilation)
(active, passive adaptation)
SOCIAL
ENVIRONMENT
change a little
resist convergence
PASSIVEly converge
change a lot - behaviors &
perceptions
ACTIVEly converge
maintaining own cultural
characteristics and identity
of high value
maintaining own cultural
characteristics and identity
of medium to low value
PERSON
maintaining relationships
with host groups of low value
maintaining relationships
with host groups of high
value
Table 1 (based on: (Nicholson, 1984, Berry et al., 1988, Taft, 1988, Berry, 1990, Feldman and Tompson, 1993)
Withdrawal Strategies
Withdrawal may occur as psychological withdrawal, social marginalization, and, in the case of
expatriate employees, insufficient work performance, or as separation such as premature return to the
home country or move to a more congenial environment in the host or a third country. For expatriate
employees, a change in careers and/or employing organizations is another facet of separation (Black
and Stephens, 1989, Black and Gregersen, 1992, Naumann, 1992, Naumann, 1993a, Naumann, 1993b,
Banai and Reisel, 1993, Birdseye and Hill, 1995, Bhuian and Islam, 1996, Gregersen and Black, 1996,
Aycan, 1997). In the literature, the various types of withdrawal are sometimes referred to as expatriate
failure (David, 1972, Black and Gregersen, 1991, Black and Gregersen, 1992, Oddou, 1991, Banai,
1992, Naumann, 1992, Naumann, 1993a, Naumann, 1993b).
Active Personal Convergence Strategies
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Berry et al.'s (1988) model deals with attitudes and values rather than the actions of role and personal
development in Nicholson's theory. Since values constitute only a raw material for the communication
process which materializes in concrete actions, it is preferable to look at actual changes when
theorizing about modes of adaptation. While Berry et al.'s model considers the value of an individual’s
own cultural identity and characteristics, it does not really consider no or small personal change as an
option except for withdrawal strategies. Significant personal change is regarded as a given, if a person
attributes a high value to maintaining relationships with host groups. Personal development paired
with acceptance of the social environment leads to assimilation (Berry et al., 1988), in Nicholson's
terms "absorption." Paired with attempts to change the environment, it results in the integration (Berry
et al., 1988) of both, personal and social sphere, or exploration. In integration "there is some degree of
cultural integrity maintained, while moving to participate as an integral part of the larger social
network" (Berry, 1990: 244-5). Both terms, "assimilation" and "integration," indicate an active
approach to personal change. Neither an assimilator nor an integrator will put up much resistance to
changing themselves. This is why, in deviation from Berry et al., Table 1 distinguishes high, medium
and low values to maintaining one's own cultural characteristics and identity. An integrator can
attribute no more than medium value to maintaining cultural identity. With a high value attribution the
individual would resist any change in cultural identity, locating her in the left column of Table 1.
Passive Personal Convergence Strategies
Neither Berry et al. (1988) nor Taft (1988) deal explicitly with the case of small or no personal change
as a strategy in cross-cultural adaptation. As they focus on immigrant adaptation this omission is
appropriate in light of cultural convergence theory (Barnett/Kincaid, 1983; Kincaid, 1988).
Nicholson's work role transition model helps to shed further light on the adaptation of nonimmigrants. The temporary nature of their cross-cultural experience allows them to resist cultural
convergence to a large extent, if they so choose. An expatriate trying to change his or her social
environment actively is using a determination strategy. Its success from the expatriate's point of view
will depend on his or her power to impose personal cultural characteristics on the immediate
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environment. The determination mode of adaptation means the expatriate is quite ignorant of local
requirements. In a typology of expatriates, Mendenhall and Oddou (1986) have described this as low
perceptual orientation. Two of the expatriate types lacking perceptual orientation they called
"missionary" and "ugly American." (Mendenhall and Oddou, 1986). If successful with his or her
determination mode, the expatriate will alienate members of the host culture. If unsuccessful, the
expatriate will be quite miserable, and later is likely to withdraw, change personally, or resign to
replication. The latter mode is an attempt to change nothing, neither environment nor self. Expressed
more positively it is maintenance of the status quo.
Putting the Model Together
The adaptation modes required by the environment and preferred by the individual should match. If
not, they "could catalyze lasting changes" (Nicholson, 1984: 183). In Nicholson's model, the
motivational orientation of the individual as well as discretionary shifts determine the person's choice
of adaptation mode. On the other hand, environmentally defined characteristics of novelty and
discretion establish the adaptation mode required of the expatriate. The four modes of replication,
absorption, determination, and exploration in cross-cultural adaptation follow the same logic.
Different are only some of the variables that make up the constructs of novelty and discretion.
Withdrawal is more complex. It depends not only on the independent variables and constructs
described later; it also depends on the fit between required and preferred modes of adaptation.
Marginalization and separation, i.e. premature return, may be the lasting changes that result from a
misfit in adaptation modes. The individual's attitude regarding maintenance of relationships with the
host environment mentioned by Berry et al. (1988) is important here. In addition, the individual's
evaluation of his or her ability to adapt to and behave appropriately in the new culture that is his or her
self-efficacy has a bearing on withdrawal tendencies. Outside of the individual, the influence of social
networks and, in case of expatriate employees, company support affect withdrawal. In Figure 4, the
composite called "system influence" represents these outside influences. The individual variables tied
to withdrawal are summarily represented by "beliefs."
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Figure 4 shows the overall adaptation model and how the constructs interrelate.
BASIC FRAMEWORK OF IN-COUNTRY ADJUSTMENT
Individual Variables:
AFFECTIVITY
ADJUSTMENT
MOTIVATION
DISCRETIONARY
SHIFTS
Environmental
Variables:
NOVELTY
determination
exploration
replication
absorption
DISCRETION
fit/misfit between
preferred and required
mode of adaptation
WITHDRAWAL
Individual Variables:
PSYCHOLOGICAL
BELIEFS
Environmental
Variables:
PREMATURE
RETURN
SYSTEM
INFLUENCE
Figure 4
The description of an individual's in-country adaptation process begins at the top, left-hand corner of
Figure 4 with his or her motivational orientation and experience of discretionary shifts. According to
Nicholson's (1984) theory, the motivational orientation determines which of the four modes of
adaptation the individual prefers. Discretionary shifts will, if concurrent with motivational orientation,
strengthen the individual's favoured mode. They will weaken the preference if they disagree with the
mode determined by motivational orientation. To be more specific, if a person has a low desire for
control and a high desire for feedback, he or she will prefer to adapt via absorption. The person will
try to adapt through personal change only, bearing the full burden of adaptation personally. If the
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person experiences a downward discretionary shift, i.e. less freedom to act as he or she is accustomed
to in the new environment, the tendency will be to adapt through determination or exploration. In this
case, the chosen mode of adaptation based on motivational orientation - absorption - will be less stable
than in a situation with an upward discretionary shift. In the latter case, the discretionary shift would
foster replication and absorption. The preferred mode of adaptation, i.e. absorption, would be
strengthened. An example will clarify this. Assume a city dweller with a preference for absorption
moving to a village. Cities, all else being equal, give their inhabitants more discretion in how to
organize their lives. This may begin with store opening hours and end with subtle social pressures to
conform to the standards of village life. Experiencing a downward shift in discretion, the city dweller
may well resist some of the requirements imposed on him or her in the new village environment. As
such, he or she exhibits a lesser tendency towards absorption. In the opposite case of an "absorbing"
villager moving into a large city, the increased discretion of city life will prompt no weakening of the
preferred adjustment mode. A person used to absorbing the constraints of a more restrictive village
life, will feel little need to alter modes in the face of greater discretion in the choice of lifestyles in the
city.
As the individual tries to adapt via the preferred mode, he or she receives demands from the new
environment. Cultural novelty and the absolute level of discretion granted in the new setting
determine the mode of adaptation expected by the environment. As will be shown later, environmental
demands set minimum requirements for adaptation mode. The most difficult case is one with high
novelty and low discretion. If the "absorbing" individual in the example above were to move to an
environment where discretion to act as he or she wishes is high and cultural differences are also high,
exploration would be the most appropriate way to adapt. By trying to personally absorb the whole
change, the individual does not use the most adequate mode under the circumstances. Absorption as a
mode of adaptation is more strenuous and stressful than exploration. In the former the individual bears
the full burden of adaptive change, in other words, of cultural convergence. In the latter case, the
person does not need to change quite as much as he or she makes the environment change as well. Of
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course, two-way convergence is only an option in the micro-environment. Unless there is a mass
movement of strangers into a location, the macro-environment will not change or converge.
Adaptation modes are not fixed in time. The choice of modes is dynamic. As individuals learn about
the adequacy of their mode during the adaptation process, they will change strategies and move to
different modes. In addition, as adaptation progresses, some of the mode determining variables will
change. Cultural novelty, for example, recedes as the expatriate learns the new culture.
The individual and environmental variables discussed above have a direct bearing on adaptation
outcomes as well. Cultural novelty in itself, independent of adaptation mode, influences the adaptation
process, as does discretion to act. For Westerners two Arabic countries may be equally novel in
culture, but the lower discretion in the one that requires foreigners to live in expatriate compounds,
abstain from alcoholic beverages, and expects women to cover their faces when leaving the
compound, will make adaptation more difficult. A person's motivational orientation also
independently influences adaptation outcomes. Desire for control relates particularly to emotional
adaptation. The experience of lack of control fosters emotions such as anxiety, anger, and/or
depression, while the feeling of being in control is followed by a sense of satisfaction. The desire for
feedback ties in specifically with cognitive adaptation. A high desire for feedback, for how one is
doing, reduces a person's level of confidence in his or her knowledge. An individual with a low desire
for feedback, on the other hand, will be much more confident about his or her mental frame of
reference. As a person gains confidence during the process of adaptation, the absolute level of
feedback required will decline. In addition, the salience of desire for control may vary depending on
how adaptation progresses. If a person experiences difficulties in adaptation, desire for control may
become more salient and vice versa. In the end, a fully adapted individual will feel comparatively little
need for personal or environmental change. He or she will end up in the replication mode. For these
reasons, there is a feedback loop from "adaptation" to "motivation." The feedback loop also points to
the assertion, included in Nicholson's formulation of the theory, that adaptation modes will change
over time.
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Adaptation outcomes also feed back on novelty. As a person learns a new culture cognitively and
behaviourally, novelty declines. Discretion may also change during an overseas stay, for example, if
an expatriate employee is promoted to a more prestigious position in the host office. The higher socioeconomic status that comes with a promotion generally coincides with increased discretion, especially
at work but also in private life. Such developments stem, if at all, only to a very small extent from
adaptation outcomes. Promotional decisions and other discretion altering events do normally not
depend on the level of adaptation of the expatriate. The level of adaptation would only be reflected in
promotional decisions via superior performance, which generally is related to good adaptation. Since
any feedback from adaptation to discretion is indirect at best and moderated by other variables, no
loop leads from "adaptation" back to "discretion."
Positive or negative affectivity has a direct influence on the dynamics of adaptation, more specifically
on how the behavioural, cognitive and emotional dimensions interrelate.
Adaptation modes also have a direct impact on adaptation outcomes. The more active, in terms of
personal change and influencing the environment, the preferred adaptation mode is, the more the
person drives adaptation forward. Active personal change may in the short term increase stress levels
as the person may put very high demands on him- or herself. In the course of time, though, active
change means active learning resulting in more appropriate behaviours and a more reliable cognitive
frame of reference. Active social strategies help in the alleviation of some of the stress of adaptation
as part of the requirement for change is externalized. In addition, if successful, active social strategies
foster a quicker convergence between the individual and the host environment.
The fit in adaptation modes in conjunction with individual beliefs and the influence of the stranger's
micro-environment ("system influence") impacts upon withdrawal. A misfit in modes increases
chances of psychological withdrawal including poor performance as well as of premature return.
Individual beliefs include attitudes towards maintaining - and also establishing - relationships with
host nationals (Berry et al., 1988). They also include self efficacy, "the degree to which the individual
believes he or she can successfully execute a particular behavior" (Black and Mendenhall, 1991: 234,
see also: (Kim, 1988c, Black et al., 1991, Nicholson and Imaizumi, 1993). The individual's microAshridge Business School UK - http://www.ashridge.org.uk
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environments, called "system influence," have a strong impact on withdrawal tendencies, both
psychological as well as in terms of early departure. Social variables such as family adaptation and
support by neighbourhood and friendship networks constitute important parts of the microenvironment. In addition, for expatriate employees, support by the company bears on withdrawal
tendencies. Perceived lack of company support will enhance psychological withdrawal, negatively
effect performance and, eventually, lower the threshold for early return. The expatriate's social system
also has a direct influence on his or her attitudes towards local contact and on efficacy beliefs. This is
represented by a local feedback loop in Figure 4.
A lack of fit between required and preferred adaptation modes directly influences adaptation
outcomes. In the earlier example, the absorption mode of the stranger was sub-optimal compared to
the exploration mode fostered by the environment. A person carrying the full burden of adaptation
personally will have less confidence in his or her mental frame of reference than a person who is
actively engaged in changing his or her environment and allowed to do so by the environment. Setting
part of the rules instead of learning all of them is more confidence-instilling. Likewise, behaviours
based on rules the stranger co-created will be more appropriate. Finally, the resulting unnecessary
strain and stress from absorption leads to greater likelihood of negative emotions. If a person's
adaptation strategy is not only sub-optimal but directly at odds with local requirements, he or she will
receive negative feedback about the appropriateness of his or her behaviours. Cognitions and emotions
will suffer accordingly.
Beliefs also directly effect adaptation. Self-efficacy ties into behaviours, particularly. A person who
believes in his or her ability to execute appropriate behaviours will be more successful in doing so
than one who does not (Black and Mendenhall, 1991). Moreover, a person valuing relationships with
locals is likely to expose him- or herself to contacts. These contacts provide learning opportunities to
enhance cognitions and behaviours, and in turn the person's affective state. System influence, too,
bears directly on adaptation. In the literature it is well established that spouse's adaptation correlates
with the level of adaptation of expatriate employees (Black, 1988, Black and Stephens, 1989, Black
and Gregersen, 1991, Naumann, 1993b, Taylor and Napier, 1996a, Taylor and Napier, 1996b).
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Besides, a stranger's networks - in the neighbourhood and of friends and acquaintances - directly help
in adaptation. They provide learning opportunities, deliver interpretations of the local culture, and
provide emotional support when the adaptation process stalls at times. In case of expatriate
employees, company support can cushion the transferee from some of the hardships of cross-cultural
moves, directly influencing adaptation outcomes.
Adaptation feeds back on beliefs as well as on system influence. A more adapted stranger will value
relationships with local groups more than a poorly adapted one. As adaptation improves, relations
with host nationals will become more satisfying and more valued and vice versa. Self-efficacy also
grows with increased adaptation. Social learning theory states that past experience is the most
important source for increasing self-efficacy (Black and Mendenhall, 1991). As for system influence,
the correlation of expatriate's and spouse's adaptation points to a mutually reinforcing relationship
among the two variables. In addition, a successively better adapted person is likely to develop stronger
and more extensive network ties. The level of adaptation will have little impact on the extent of
company support. Company policies rather than adaptation level tend to determine the bulk of support
services rendered. If at all, there will be an inverse relationship, as better adapted expatriates require
less support, except for administrative issues such as work and residency permits which are
independent of adaptation outcomes.
Withdrawal is the last item that remains. In Figure 4 it includes psychological and physical
withdrawal. This represents a simplification of a complex phenomenon. An extensive literature exists
on withdrawal in its many facets including commitment, dual allegiance, poor performance, expatriate
success and failure, turnover, loyalty, etc. (Hirschman, 1970, David, 1972, Mobley et al., 1979, Adler,
1981, Steers and Mowday, 1981, Tung, 1982, Tung, 1987, Baysinger and Mobley, 1983, Hom et al.,
1984, Cotton and Tuttle, 1986, Jones, 1986, Williams and Hazer, 1986, Black and Stephens, 1989,
Darden et al., 1989, Mathieu and Zajac, 1990, Netemeyer et al., 1990, Gregersen and Black, 1990,
Bird and Dunbar, 1991, Black and Gregersen, 1991, Black and Gregersen, 1992, Gregersen and
Black, 1995, Black and Porter, 1991, Meyer et al., 1991, Oddou, 1991, Banai, 1992, Black, 1992,
Black et al., 1992, Naumann, 1992, Naumann, 1993a, Naumann, 1993b, Sawyer, 1992, Banai and
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Reisel, 1993, Arthur and Bennet, 1995, Birdseye and Hill, 1995, Bhuian and Islam, 1996, Gregersen
and Black, 1996, Aycan, 1997, Bolino et al., 2002). Much remains to be done in cross-cultural
research to come to grips with the various aspects of withdrawal, but this is not the objective here.
Therefore, only a few simple relationships will be discussed.
Psychological withdrawal is a precursor of actual withdrawal. Psychological withdrawal may be a
way to, at least temporarily, lighten the burden of adaptation. On the other hand, only some time into
the assignment will an expatriate consider premature return as an option. After all he or she invested
energy into going abroad and will prefer to see this investment through rather than writing it off via
premature return.
Psychological withdrawal is associated with social marginalization, each reinforcing the other.
Depending on the influence from other variables, psychological withdrawal may develop into an
intent-to-leave and, finally, actual separation. A meta-analysis of 34 studies "confirmed that intent-toleave was a good substitute for actual turnover" (Birdseye and Hill, 1995): 793; contains reference to
the meta-analysis) in research on expatriates. Psychological withdrawal negatively influences
adaptation. A person not seeking contacts with others forgoes learning opportunities. Cognitive and
behavioural adaptation will suffer. The emotional state, obviously shaky to begin with, will deteriorate
too as cognitive and behavioural adaptation are hampered. Poor adaptation then feeds back leading to
more severe psychological withdrawal, fostering the intent-to-leave as well as lowering the threshold
for premature departure. In addition, poor adaptation feeds back on beliefs and system influence and
as a result further strengthens withdrawal tendencies.
Now that the interrelations of the composites in the model have been introduced, the individual
variables require attention.
qeb=jlabi=s^of^_ibp=fk=abq^fi=
The description of model variables starts with ways to capture novelty such as cultural distance,
expectations and surprises, and previous expatriate experience. It then moves on to discretion
including tolerance in society and socio-economic status. Motivation includes the variables of desire
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for control and desire for feedback. Following a discussion of discretionary shifts are variables related
to beliefs namely the value of relationships with other groups and self-efficacy. The part concludes
with system influence, i.e. spouse's adaptation and willingness to stay, networks, and company
support. Affectivity, withdrawal, modes of adaptation, mismatches in modes, and adaptation outcomes
have been discussed in sufficient detail earlier.
kçîÉäíó=
The theory of work role transitions looks at novelty and discretion in the new work role. In a crosscultural adaptation theory, novelty refers to cultural novelty. Accordingly, different variables - cultural
distance, expectations/surprises, and previous expatriate experience - make up the novelty construct.
These three variables capture two types of novelty: content novelty and process novelty. Content
novelty refers to differences in culture requiring a change in mental reference frames and the learning
of new behaviours. Process novelty means that an expatriate must learn to deal with the actual process
of cross-cultural adaptation. A first time expatriate will be more naive about the requirements of crosscultural adaptation than a "seasoned" expatriate. A new expatriate must learn not only about the new
culture, but also about him-or herself, specifically about how he or she reacts to the stresses and
strains of living in a foreign environment without the familiar support systems. Content novelty
depends on the distance between the host culture and the cultural background of the expatriate. This
distance determines the accuracy of the individual's mental maps of the host culture. Process novelty
is inversely related to the extent of previous transition experiences, particularly cross-cultural ones.
Training may also reduce process novelty. Content novelty has to be overcome in every new move
and may be larger or smaller than in the previous one, depending on the extent of cultural distance. It
can be reduced by training, too. Process novelty gets smaller with every move. Each time individuals
go through a cross-cultural transition, they learn more detail about their reactions to such change and
how to effectively deal with it. The ability to handle process novelty, therefore, is a universal one
which is readily transferable from one transition experience to the next. The overall magnitude of
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novelty is a function of content and process novelty. It may increase or decrease from one move to the
next, as the tendency for reduced process novelty may be offset by large content novelty.
Any relocation, whether domestic or cross-national, exposes the mover to novelty of the new
environment. Compared to domestic moves cross-national transitions may constitute a huge leap in
novelty, content and process. Novelty results from a combination of the cultural distance between the
two locations (content novelty), the gap between expectations formed in anticipatory adaptation and
the real situation encountered (content and process novelty), and from any previous expatriation
experience the person can draw on to deal with the novel situation (process novelty).
Research has indicated a negative influence of cultural novelty on adaptation outcomes (Black and
Stephens, 1989, Black and Gregersen, 1991). Yet, the measurement of cultural novelty in these studies
is problem-laden. For example, in the revised version of an existing instrument, respondents "were
asked to indicate on [a] 5-point Likert scale how similar or different the following were compared to
America. ... 1. Everyday customs that must be followed. 2. General living conditions. 3. Using health
care facilities. 4. Transportation systems used in the country. 5. General living costs. 6. Available
quality and types of food. 7. Climate. 8. General housing conditions." (Black and Stephens, 1989:
542).
A comparison with Black and Stephens' (1989) adaptation scale shows that the cultural novelty
measure and the adjustment measure match closely. Under such circumstances, culture novelty is
bound to correlate significantly with adaptation outcomes. Black and Stephens' (1989) results,
although in line with theory, have to be read with caution. Their adjustment scale still features
prominently in research about expatriation as a recent meta-analysis attests (Bhaskar-Shrinivas et al.,
2005).
Cultural Distance
The most important and most obvious aspect of novelty in cross-cultural adaptation is the distance
between home and host cultures. It is the essence of content novelty. An inherent problem with
cultural distance exists in the choice of analysis level and in the operationalization of culture. It is
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convenient in cross-cultural research to assume the existence of a relatively well-defined national
culture. Yet, even a highly restricted view of culture as a set of prevailing values will produce a
national average with a large standard deviation rending
nation-level cross-cultural indicators
(Hofstede, 1984, Hofstede and Bond, 1988, Trompenaars, 1993, Abramson and Inglehart, 1995)
useless. A recent study (Spony, 2003) has been able to overcome the shortcomings of earlier
approaches to allow analysis on an individual and an national-cultural level.
Expectations/Surprises
Another, more subjective way to conceptualize novelty is to look at a stranger's expectations and
resulting surprises abroad.
An expatriate's expectations can have two dimensions: one relates to content and the other to process.
The content dimension deals with expectations based on present knowledge of the host country and its
culture. The process dimension refers to the expatriate's expectations based on his or her knowledge
about and experience with the adaptation process.
Expatriates perform anticipatory adaptation from the time they find out about their overseas
assignment until arrival in the overseas location (Black and Mendenhall, 1990, Black et al., 1991,
Black et al., 1992). If expectations are correct, the expatriate will experience fewer surprises. Fewer
surprises mean more confidence in one's cognitions and as a result a better emotional state. In line
with this, Gudykunst (1988) theorizes that positive expectations reduce anxiety and uncertainty.
Black et al. (1991) show in their theoretical discussion that anticipatory adaptation depends on
variables such as preparatory training, and, in the case of expatriate employees, selection mechanisms.
They also list previous expatriate experience.
Black (1992) reports that repatriates, whose general expectations have been overmet, enjoy the highest
level of general adaptation. Next are individuals with expectations met and last come persons with
undermet expectations. Met expectations mean that novelty does not exist in this respect and that
anticipatory adaptation will have been effective. Overmet expectations mean that adaptation will be
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easier than anticipated. If expectations are not met, novelty will increase, but only "negative" novelty
will impede adaptation.
Black's results indicate a possible refinement for the theory of adaptation: novelty as a model variable
may have a positive and a negative side to it. Novelty creates a need for adaptation and, therefore,
stress. But not all stress is necessarily negative. Stress is an unspecific physiological response of the
body to a stressor. Selye (Selye, 1977) distinguished between "distress" and "eustress." A distressed
person experiences stress because of negative reasons. The opposite is true for eustress. Some of the
novelty experienced in a cross-cultural move, e.g. positive surprises or positively experienced
characteristics of the host culture may cause eustress rather than distress. Novelty is always a stressor,
but only negative novelty may be an adaptation hindering factor, while positive novelty has a
facilitating role.
Previous Expatriate Experience
Previous expatriate experience impacts upon the adaptation process and also on process-related
expectations. It influences process novelty. Previous experience will positively and directly effect
adaptation outcomes. It will also have an adaptation-fostering impact on process expectations.
A first time expatriate is uninformed about his or her reactions to and ability to live in another
country. Depending on the length of stay, the expatriate will or will not be able to reach a long-term
equilibrium in the foreign location. After a period of one year most people will have learned enough
about their own reactions to cross-cultural moves to make a subsequent move significantly less novel.
For previous experience to become an adaptation facilitating force, though, it must be a positive one.
Previous expatriate experience does not help a person in future cross-cultural adaptation who has not
reached a relatively stable, positive adaptation outcome in an earlier move. Therefore, for a person's
first expatriation length of stay and quality of the experience are important. Once somebody goes on
further sojourns, the quality of previous experiences will gain in importance compared to their length.
Theoretical discussions have, for a long time, included previous expatriate experience as relevant for
the adaptation process (Nash, 1967, Church, 1982, Black and Stephens, 1989, Black and Gregersen,
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1991, Nicholson and Imaizumi, 1993, Brewster and Pickard, 1994, Taylor and Napier, 1996a, Aycan,
1997). Yet empirical evidence, particularly when focused on the length of exposure, has been weak.
Church (1982: 549) suggested that "the nature and quality - for example, the depth, intimacy …, and
similarity … - of the previous cultural experience or host culture exposure may be more important."
The line of research focusing on the distinction of work, general, and interaction adjustment supports
the relevance of previous expatriation experience on adaptation outcomes only in some instances
(Black, 1988). Most of the time, it does not. Black and Stephens (1989) as well as Black and
Gregersen (1991) found no significant relationship between spouse's general and interaction
adaptation and previous experience. In another study, Black and Gregersen (1991) found no
significant relationship for any of the three facets of adaptation. Taylor and Napier reported that
"previous experience abroad did not strongly affect work adjustment of the foreign women
professionals" (1996: 68). Nicholson and Imaizumi (1993) even found an inverse relationship between
previous overseas experience and the adaptation of Japanese expatriates in Britain. They suggest that
"lack of experience may actually be beneficial, presumably because it is more likely to convey to the
assignment the benefits of being a completely new and exciting experience" (Nicholson and
Imaizumi, 1993: 128). A recent meta-analysis of 66 studies using the Black and Stephens (1989) scale
found a small significant effect of previous overseas experience on work and interaction adjustment
(Bhaskar-Shrinivas et al., 2005). The authors question the usefulness of previous expatriate experience
as a predictive variable. But, as Church (1982) pointed out, with Black and Stephens (1989) and Black
and Gregersen (1991) concurring, the problem may lie in the simple quantitative measurement of the
variable rather than its lack of relevance.
aáëÅêÉíáçå=
Role discretion allows a new job holder to change role requirements and to at least partly externalize
adaptation via determination and exploration. In cross-cultural adaptation, the situation is similar.
Novelty, except for overmet expectations and positive surprises, makes adaptation harder. Discretion
granted to the individual by the host environment, allows him or her to influence surroundings and to
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offload some of the burden of adaptation. Discretion comes from two sources: the first is the level of
tolerance within the host society (Berry et al., 1988), and the second is the socio-economic status the
stranger enjoys in the new location.
Tolerance in Society
The level of tolerance within society refers to two facets (Kim, 1988c): one is the pressure to conform,
in Kim's words, "the extent to which the environment challenges strangers to adopt the normative
patterns of the host culture and its communication system" (Kim, 1988c: 66) or "the degree to which
the environment overtly or covertly expects or demands that strangers follow its normative cultural
and communication patterns" (Kim, 1988c: 128). In other words, conformity pressure is the deviation
allowed from the average culture such as values, norms, behaviours, etc. It can also be expressed as
the homogeneity or heterogeneity of lifestyles in a particular social environment.
The other facet is the host society's receptivity for strangers. Kim defines it as "the opportunities
offered to strangers to participate in on-going social activities" (Kim, 1988c: 66) or "the degree to
which a given host environment shows openness and acceptance toward strangers." (Kim, 1988c: 128)
Tolerance within a society may also be expressed as its complexity and structural looseness or
tightness (Boldt, 1978, Witkin, 1978, Triandis, 1980). Triandis defines loose/tightness as conformity
pressure: cultures "differ in the degree to which descriptions about correct behavior (norms) are clear,
and the probability that deviation from norms will be punished. Societies that are tight (e.g. the
Japanese) tend to have clear norms, while societies that are loose (e.g. the Thai) allow more variation
in behavior patterns." (Triandis, 1980: 8-9) Boldt (1978) relates structural tightness to the historic
roots of a society. Agrarian roots foster a greater relatedness of roles in a society, restricting individual
autonomy. Hunter and gatherer societies depend on individual initiative for the achievement of desired
results. In addition, the diversity or complexity of a society in terms of the number of role
relationships influences individual autonomy. The more complex a society is the more autonomy its
members enjoy.
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In sum, the level of tolerance in a society can be expressed through (1) conformity pressure or
loose/tight characteristics, (2) receptivity for strangers, and (3) diversity or complexity of
relationships.
To some extent, novelty and discretion may reinforce each other, if novelty is the number of novel
norms and discretion is strength of their enforcement. Discretion may have a regional geographic
dimension, whereas metropolitan areas generally are more complex and receptive to strangers than
rural areas. In addition, anonymity in large cities reduces pressures to conform. Discretion may also
have a network or sub-cultural dimension as some networks are more tolerant than others. Finally,
discretion has an independent socio-economic dimension: the higher one's socio-economic level, the
more discretion the individual has in choosing a life-style.
Socio-economic Status
This is a composite of variables such as income, profession, prestige, etc. (Dahrendorf, 1969). In a
cross-cultural context status may also refer to different valuations of nations and their cultures which
are conferred to their respective citizens when abroad. Within a given society or other social entity, it
relates to social stratification as it defines the position of an individual relative to others (Fürstenberg,
1974). Status expresses the social valuation of an individual. This valuation results from the rights,
privileges, duties, authority, etc. that an individual gains from his or her social roles (Hartfiel, 1976).
"Status characteristics are activated by external factors (e.g. race, ethnicity, sex, physical
attractiveness, education, occupation) and expressive (e.g., dialect, eye contact, speech styles, skin
color) or indicative (e.g., 'I am a Chicano') cues" (Gudykunst, 1988: 130).
Socio-economic status features regularly in cross-cultural literature (David, 1972, Church, 1982, Kim,
1988c, Black et al., 1992). It has been associated with adaptation outcomes in expatriation and
repatriation studies (Forgas, 1988, Black and Gregersen, 1991, Black, 1994).
The socio-economic status determines the number and quality of choices available in organizing one's
life. Higher status gives the individual more discretion, independent of societal restraints placed on
foreigners.
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The environmental variables of novelty and discretion set the required mode of adaptation:
high
DISCRETION
low
3. Determination
4. Exploration
1. Replication
2. Absorption
low
NOVELTY
high
Figure 5 (based on Nicholson, 1984: 178)
These requirements define only a minimum standard. An individual may have a choice of modes
depending on the circumstances. Only where absorption is required is there no choice. High novelty
requires the person to personally change, and low discretion prevents externalization of some of the
adaptation demands. In the other three situations, a multitude of adaptation modes may be appropriate.
Where a society grants high discretion, that is active social strategies can be used, passive social
strategies will also be allowable. That is, in a situation in which exploration may be called for, the
expatriate will not be prevented from adapting via absorption. Similarly, under conditions of low
novelty, where little personal change is required, a significant personal change is also an option. In the
chart above, options south and east of the required one are also open. In other words, situations
defined by low discretion and high novelty are the most restrictive regarding adaptation mode
required, and situations with high discretion and low novelty offer the most freedom of choice in
modes.
jçíáî~íáçå=
The motivational orientation variables of desire for control and feedback are similar to concepts such
as locus of control, need for power, learning style, and field dependence (Nicholson, 1984).
Desire for Control
Black et al. (1992) in their repatriation theory distinguish two forms of control:
"Predictive control is the ability to make sense of, or predict, one's environment in terms of (1) the
ability to predict how one is expected to behave and (2) the ability to understand and predict rewards
and punishments associated with specific behaviors." (Black et al., 1992: 742)
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"Behavioral control is the ability to control one's own behaviors that have an important impact on the
current environment. In effect, behavioral control is an indirect attempt at environmental or outcome
control." (Black et al., 1992: 742-743)
A cross-cultural move always entails a certain sense of loss of control because of the uncertainties
related to the inapplicability of one's mental frame of reference. Lack of control leads to feelings of
anxiety, in some cases also anger and depression. Therefore, the desire for control influences
emotional adaptation, in particular.
Individuals with a high desire for control prefer socially active strategies. They will try to adapt
through determination or through exploration. A low desire for control will leave the person content
with socially passive strategies, i.e. with replication and absorption modes.
Desire for Feedback
A desire for feedback can only occur if the individual is interested in changing. Feedback can mean
two related things: information on how the person is seen by others; information on the impact the
person's actions have on others. Desire for feedback, then, is the person's wish to gain knowledge of
how others evaluate him or her personally or his or her actions. If a person has no intent to change,
feedback may create a cognitive dissonance between self-perception and perception by others.
Therefore, unless the individual is certain to get positive feedback, the desire for feedback must
express a willingness to change personally. This desire could also be called a need to be accepted, to
do well, or to blend in.
Desire for feedback expresses how open a person is to outside information. Feedback allows the
individual to better understand how the environment sees him or her. An expatriate who seeks a lot of
feedback will be able to learn quickly and to reformulate his or her frame of reference. As such, it
relates especially to cognitive adaptation.
A high desire for feedback will result in a susceptibility to personal change, leading to exploration and
absorption modes. On the other hand, an individual with a low desire for feedback or to blend in will
tend to change little and to adapt through determination or replication.
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The combination of the desire for control and the desire for feedback allows a prediction of the
individual’s preferred mode of adaptation:
DESIRE FOR
CONTROL
high
3. Determination
4. Exploration
low
1. Replication
2. Absorption
low
DESIRE FOR
FEEDBACK
high
Figure 6 (based on Nicholson, 1984: 183)
Discretionary Shifts
These are shifts in the tolerance and life-style options the individual experiences. Discretionary shifts
can occur for two reasons. First, if someone moves from a tight culture with high conformity pressures
to a looser culture, he or she will find that alternative lifestyle options have increased. In order to
avoid stereotyping countries, a national example shall serve as clarification. A person moving from a
tightly knit village social structure into a big city will find that many of the restraints and controls
existing back home do not apply any more. Second, the individual may arrive in the host culture with
a new, higher status. Expatriate employees who relocate from company headquarters to an operation
in a foreign country often end up in a relatively higher position than at home, with more income than
their local peers.
The impact of discretionary shifts on adaptation mode is counter-intuitive. Upward shifts strengthen
the tendency to adapt via replication and absorption. Downward shifts foster determination and
exploration. The drawing below shows the relationships:
downward
DISCRETIONARY SHIFT
upward
3. Determination
4. Exploration
1. Replication
2. Absorption
Figure 7 (based on Nicholson, 1984: 181)
A person who lives for some time in a situation with a certain amount of discretion will get used to it
and will approach new situations based on previously learned behaviour. The longer the person
experiences this discretion, the more stable the influence of discretion on the person's behaviour will
be. A change in adaptation modes will require that the person first unlearns accustomed behavioural
tendencies and then learns new ones that are more in line with the amount of discretion available.
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34
Such change will take time. In the short to medium term, choice of adaptation modes based on prior
socialization may persist.
An upward discretionary shift means that the individual had less discretion before the move. In a
situation with little discretion the individual has little or no influence on the environment. Low
discretion will lead to a learned adaptation behaviour that is passive towards the environment. As a
result the individual will be accustomed to absorption and replication modes. On the reverse, a
downward shift will show determination and exploration modes to be more dominant.
The impact of discretionary shifts is strongest in transitions from situations with very high or very low
discretion to medium-discretion cultures and roles. Individuals coming from an extreme position on
the discretion spectrum will be much more familiar with two modes of adaptation, but not the other
two. For example, in case of a transition from a big city to a tightly knit village, the new arrival will
experience a downward shift. This relates to the tendency to determine or explore. Yet, the low
discretion in village life requires the newcomer to replicate or absorb, depending on novelty. A
mismatch in modes may result.
In general, expatriates may experience an overseas move as liberating them from social pressures that
they experienced back home. This will constitute a facilitating force in the initial adaptation process,
counterbalancing restraints, and perhaps leading to the experience of a "honeymoon" stage as
described by Oberg (1960). As new social pressures mount, the positive feeling eventually wanes. A
downward discretionary shift would mean that there are more social pressures in the new environment
than back home. This will make adaptation harder. "Culture shock" may be the outcome. An upward
shift means fewer pressures than before, driving adaptation forward, perhaps leading to a J-curve
rather than a U-curve pattern of adaptation (Black and Mendenhall, 1991).
_ÉäáÉÑë=
A person moving internationally arrives in the new location with a set of beliefs and attitudes that will
determine his or her resistance to the temptation of withdrawal that develops as soon as problems
arise. On the one hand, there exists a pull from the local environment to get and stay involved.
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Subjectively, this is the value the stranger attributes to relationships with local groups. On the other
hand, there is the conviction of the person that he or she can overcome the obstacles encountered, in
other words his or her self-efficacy.
Value of Relationships with Other Groups
Berry et al. (1988: 65) argue "that in culturally plural societies, individuals and groups must confront
two important issues." One is the stranger's attitude towards his or her own cultural identity and its
preservation. The other is the value he or she ascribes to interethnic contact. Berry et al. distinguish
four modes of acculturation: integration, assimilation, separation, and marginalization. A low
appreciation of contact with other groups coincides with marginalization and separation. In
conjunction with immigration, Berry et al. speak of separatist movements as an example. For
temporary sojourns this cannot apply. Separation for temporarily resident foreigners means leaving
the host country, perhaps prematurely. Marginalization "is accompanied by a good deal of ...
confusion and anxiety. It is characterized by striking out against the larger society and by feelings of
alienation." (Berry et al., 1988: 67). A low value of relationships with other groups thus feeds into the
withdrawal choices such as psychological withdrawal and premature return. The other two modes of
adaptation, integration and assimilation, are coupled with a high value attributed to maintaining
relationships with other groups.
Self-efficacy
Black and Mendenhall (1991) in their conceptualization of the cross-cultural adaptation process based
on social learning theory describe self-efficacy as an important variable influencing the person's
motivation to retain and to reproduce a learned behaviour. "Theoretically, one of the most powerful
individual variables that determines persistence in effort is the individual's belief in control or selfefficacy" (Black et al., 1992: 749). A person with high self-efficacy will be less likely to give up when
he or she encounters adaptation problems. Therefore, withdrawal will become less likely and positive
adaptation outcomes will become more likely.
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póëíÉã=fåÑäìÉåÅÉ=
An expatriate does not exist in isolation. Many expatriates move with their spouses and children. They
establish contacts with neighbours, eventually developing a social network of acquaintances and
friends. In the case of expatriate employees, there is the company support system or lack thereof.
Taken together, these form the social system that influences adaptation outcomes directly as well as
withdrawal tendencies. The social system also influences attitudes as well as efficacy beliefs.
Social support systems are an important factor when a person tries to manage stress (Cherrington,
1994). Change in living conditions, change in financial state, change in responsibilities at work, these
and other stressful life events occur normally in cross-cultural transitions. An individual depends on
networks in dealing with the stress of cross-cultural adaptation. If these networks are perceived not to
contribute to the reduction of or even add to stress, withdrawal will become a viable option.
Spouse's Adaptation and Willingness to Stay
A number of empirical studies and theoretical conceptualizations have stressed the association
between spouse and expatriate adaptation (Black, 1988, Black and Stephens, 1989, Black and
Gregersen, 1991, Forster, 1992, Naumann, 1993b, Birdseye and Hill, 1995, Taylor and Napier, 1996a,
Taylor and Napier, 1996b). Results are not always consistent with different studies uncovering
differing associations. Black (1988) distinguished work and general adjustment. He discovered that
the "family's adjustment was positively and significantly correlated with general adjustment (.85, p <
.001) but not with work adjustment" (Black, 1988: 289). Taylor and Napier's (1996a) research
confirmed Black's (1988) finding. Somewhat different from these, Black and Stephens (1989: 537)
found "spouse's general adjustment is positively and significantly related to all facets of the
expatriate's adjustment. However, the spouse's interaction adjustment is only significantly related to
the expatriate's interaction adjustment." Black and Gregersen (1991) hypothesized positive
relationships between the spouse's general and interaction adaptation on the one hand, and the
expatriate's work, general and interaction adaptation. In their analysis, all relationships were
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37
significant. Yet, surprisingly, there were negative correlations between spouse general adaptation and
expatriate interaction adaptation, as well as between spouse interaction adaptation and expatriate
general adaptation. The authors point to possible interaction effects between variables and the
influence of unmeasured variables and conclude that there exists a need to do more in-depth research
on the subject before a better understanding can be attained.
Although empirical evidence is not entirely conclusive, there is still reason enough to posit a positive
relationship between the spouse's and the expatriate’s adaptation outcomes. In addition, Black and
Stephens (1989) showed that adaptation outcomes influence psychological withdrawal and premature
return considerations. "Both facets of the spouse's adjustment and the expatriate's general and
interaction adjustment are positively related to the expatriate's general intention to stay" (Black and
Stephens, 1989: 538).
In research on prospective expatriate employees, the spouse's willingness to go on an overseas
assignment has been found, under certain conditions, to significantly influence an employee's
willingness to transfer (Brett and Stroh, 1995, Aryee et al., 1996). The willingness to go overseas is a
more active mental stance than psychological withdrawal and the wish to return. In general, it takes
more mental energy to resolve to leave one's accustomed surroundings behind than to decide to return
to them. Therefore, if there is a significant spouse impact on the willingness to go, there should also
be an impact of spouse willingness to stay on the expatriate's psychological withdrawal and early
return tendencies.
Networks
The types of non-work networks playing a role in cross-cultural adaptation may be classified along
two lines - one is the host or expatriate status of the contact and the other is whether the contact stems
from the housing location (neighbourhood contact) or is independent of it (friends and acquaintances).
There is, of course, a possible overlap between the latter two. Mere neighbours may develop into
acquaintances or friends. Important here is the amount of contact as well as the quality of contact, as
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"cultural understanding will not follow automatically as a function of the mere quantity of social
interaction" (Church, 1982: 553; also: Furnham, 1988).
Like many of the other variables discussed here social support or social networks have long featured
in cross-cultural research (Nash, 1967, David, 1972, Berry et al., 1988, Black and Gregersen, 1991,
Aycan, 1997). As Church's (1982) review article points out, results sometimes differ according to how
networks or support are measured.
While not the focus of attention here, it is worth noting that Oberg's (1960) conceptualization of
culture shock included the sense of losing one's friends back home. The rate of replacement of social
networks plays a role in the cross-cultural adaptation process. Substitution capacity is a variable that
has shown an influence on interaction adjustment (Waxin, 2004). Social network theory is highly
developed and the influence of networks on adaptation can be assessed in varying depths. Furnham
(1988), for instance, has called for further conceptualization of the detailed processes that link social
support with favourable adaptation outcomes. Other authors have chosen different focal points for
deeper theoretical analysis of cross-cultural adaptation. Kim (1988c: 106) for example, has looked at
"the overall general social networks in which an individual is embedded, and ... the smaller, more
influential network of relational ties that develop from contacts within networks." She stresses that
adaptive functions of relational networks are tied to the proportion of host versus ethnic ties and their
strength, i.e. the level of interdependency and commitment. Brewster and Pickard (1994: 30) point to
the interactions between network and adaptation outcome variables when they find "larger expatriate
communities lead to lower levels of interaction with host nationals and easier adjustment to the
environment, yet higher levels of interaction with host nationals also lead to easier adjustment to the
environment." The "environmental bubble" (Cohen, 1977) of a large expatriate community fosters
adaptation initially, only to hinder its deepening later. Nash (1967) lends support to this idea when he
describes the "ideal-typical adaptive course" as one that shows a continuous movement from
expatriate networks and strong ties to the home country to more and more involvement with hosts.
"The successfully adapted American tended to have friends among the hosts and among Americans"
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39
(Nash, 1967: 162). This notion of successful adaptation also is a necessary condition for an expatriate
to become a "multi-cultural person" as envisioned by Adler (Adler, 1976(1974)).
The influence of social networks on adaptation outcomes is direct as well as indirect via withdrawal.
Lack of social support will lead to poor adaptation; it will also independently lead to withdrawal
cognitions, possibly in the form of fantasies about reinstatement of friendships left behind (Oberg,
1960).
Company Support
The last variable only plays a role in the assignment of expatriate employees, where a company shares
responsibility in getting the new arrival(s) set up. Several conceptualizations of cross-cultural
adaptation in business research include some kind of company support variable (Black et al., 1991,
Black et al., 1992, Black et al., 1992, Forster, 1992, Baughn, 1995, Aycan, 1997). Recommendations
on how to improve the success rate of expatriate employees have long included the provision of
various types of overseas support (Harvey, 1982, Harris and Moran, 1987, Tung, 1987, Mendenhall
and Oddou, 1988).
Of all the variables discussed so far, this is the only one that may impact differently on the expatriate
employee and the spouse. Adler (Adler, 1991) highlights the plight of the expatriate spouse
responsible for setting up the new life abroad. Just when there is an increased need for the expatriate
"to help with the logistics of settling in and to provide companionship and support" (Adler, 1991:
271), the company demands a particularly extensive schedule. Research reports indicate that this is not
only bad for the spouse's well-being, but, especially in culturally novel environments, this may lead to
costly mistakes as well (Tung, 1987). Besides logistical help, Adler (1991) suggested companies help
the trailing spouse to set up a meaningful live abroad. Shell is one company that heeded this advice
(Anonymous, 1995).
The relationships among company support and expatriate as well as spouse adaptation are manifold
and it is necessary to focus on the essential. A distinction between actual support and perceived
support will help. Actual support received by the company will influence adaptation outcomes for
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both expatriate and spouse, but at varying degrees. Since it is the spouse who bears the main
responsibility for setting up life and household in the new environment, logistical help will be more
beneficial for spouse adaptation than for expatriate adaptation. The impact of other support measures
may vary depending on the current need of the individual. Rather then to attempt getting to grips with
situational variations it may be better to look at the perceived extent of company support. For both,
expatriate and spouse, a subjectively perceived lack of support will result in withdrawal,
psychological and/or actual.
`lk`irpflk=
Expatriate adjustment is a complex process. Most adjustment theories have used linear causal
relationships to model it. They have guided studies, which have greatly advanced our understanding of
adjustment. In order to advance further, the field needs new, dynamic theories. This paper constitutes
one such attempt to get closer to mapping the real-life complexities of expatriate assignments.
_f_ifldo^mev=
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