Michaela Torrie

8 May 2014
Be Careful What You Wish For: Robert K. Merton and The Self-Fulfilling Prophecy
If men define situations as real, they are real in their consequences. - W.I. Thomas
One of the most influential American social theorist of the 20th century is Robert K.
Merton, the first ever sociologist to receive the National Medal of Science. He is famed for his
contributions to sociology through his studies which eventually lead to the creation of a new
field, the sociology of science. Merton was responsible for coining a number of important and
influential social theories and concepts used to define society today. One of his most notable
works is The Self Fulfilling Prophecy which can be used to explain why some individuals are
successful and others are not. The self-fulfilling prophecy was developed by Merton as a result
of what he viewed as real in the world around him and is valuable in understanding the factors
that have created social stratification in the past and present.
The Early Years and Education
Robert Merton was born in Philadelphia, Pennsylvania on July 4, 1910. He was the son of
poor immigrants from Russia, Ida Rasovskaya and Aaron Merton. His mother was a freethinker
with radicalist tendencies which had an influence on the way Merton viewed society. He
described where he grew up as the slums of Philadelphia (Holton 2004: 506). While Merton
lacked monetary capital, due to his father's job as a tailor, he gained social and cultural capital
through the social institutions around him. He was firstly positively influenced by his public high
school, the Carnegie Library, the Academy of Music and the Museum of Art (506). Through
these, he was able to expand his views of the world and society. He developed cultured tastes

and broaden his horizons. His remarkable rise from poverty was a testament to the American
Dream, given the favorable circumstances and opportune life chances.
He attended college at Philadelphia's Temple University on a scholarship to be the
research assistant for George E. Simpson. He worked on a project entitled, The Negro in
Philadelphia Press, with Simpson where he was introduced to empirical research. The
understanding of this type of research became influential in his later theories. After Mertons
graduation from Temple University, America was facing difficult economic times. During the
Great Depression Merton had trouble finding a path in life, but eventually applied to graduate
school at Harvard after meeting the chair of the sociology department, Pitrim Alexandrovich
Sorokin. He received a fellowship there and was also able to earn his doctorate (508).
The effects of the Great Depression were still lingering even after Mertons graduation
from Harvard. He wrote over 100 letters to different colleges and universities before he was
eventually able to secure a position as a professor at Tulane University. He worked there for two
years and moved up to department chair before taking a job at Columbia University. Merton
stayed at Columbia for the remainder of his career and published most of his works during his
time there (509). As a professor he became a mentor to many students, but most notably Harriet
Zuckerman, who worked closely in developing the field of sociology of science and whom he
eventually married.
Influences on Thoughts and Theories
Merton was influenced throughout his life by professors, colleagues and social theorists
before his time. While studying at Harvard he was greatly influenced by two specific classes, one
was taught by Talcott Parsons on his book The Structure of Social Action and the other was
taught by co-professors L.J. Henderson and George Sarton on history of science. These two

courses helped shaped his dissertation entitled, Social aspects of scientific development in
seventeenth century England (507). His dissertation, published in 1938, was received well
within the sociological community. A revised version was published in Sartons series, Osiris,
under the title Science, Technology, and Society in Seventeenth Century England. It was
eventually published in book form and translated into several different languages.
His dissertation explained that religion had an impact on the growth of science in
England during the seventeenth century. He argued that there was a correlation between
Protestant Pietism and early science (Merton 1938: 225). The dissertation was split up into two
separate parts, firstly he explains the forces that change science such as, experimental technique
and methodology. Next, he explains that royal science was propelled by the popularity of
puritanism in seventeenth century England. According to Merton the scientific revolution in the
seventeenth and eighteenth centuries was caused by puritanism. Protestant values rewarded hard
work, which translated into scientific research. Science was used to identify Gods influence in
the world without disproving religion, this provided religious justification for scientific research.
Aside from his mentors at Harvard, this view was also influenced by Max Webers thesis on the
Protestant Ethic and the Spirit of Capitalism. Webers thesis explains that the Protestant work
ethic which rewards hard work, eventually lead to a capitalistic society of over consumption due
to excess resources (Weber 1930: 3). Merton's new ideas, based on Webers work, gave rise to
the sociology of science in America.
The young Merton was constantly learning from such powerful thinkers it would have
been easy for him to become a follower of their philosophies, as opposed to creating his own. He
was lucky to have access to a variety of powerful influences; however he still managed to
develop his own ideas and concepts. He was exposed mainly to his professor, Parsons

functionalist approach to sociology. While he found value in this paradigm he also was critical of
important points within the theory and proceeded to forge his own path (509). He was able to be
an independent thinker because he had gained confidence studying with the greatest minds at the
time. Instead of his mentors dominating his mind, they allowed him to open it to new
possibilities and ideas. Due to the vast influences on the young mind, his own intellectual space
may have seemed marginal, but Merton flourished under the presence of such profound
knowledge. His saving grace may have been that he was incredibly interested in reading and
writing about social theories and did not allow himself to fall into the path of least resistance. His
mentor Sarton believed that science and reason were the antithesis for religion; however Merton
was not afraid to disprove him with his dissertation. During his time at school he read classic
works by Comte, Marx, Spencer, Durkheim, Toennies, Weber and other standard social theorists.
He found Durkheim's writing on Suicide fascinating and although it is rarely credited in his
work, they were pervasive in creating his own theories (Holton 2004: 509). Merton found it
valuable that Durkheim provided empirical evidence as well as tested theory throughout Suicide.
He used this structure in his own development of theories and concepts.
Notable Writing Style
One of Mertons unique traits was his love for language. He has great respect for the use
of memorable words and phrases. A common critique of reading social theories is that they use
eccentric and unnecessary jargon at times. Instead of writing similar to his colleagues in the
field or those who theorized before him, he tended to write in simple layman's terms. He
preferred for his writing to be clear and concise. Some of his best examples of this famed writing
style are The Self Fulfilling Prophecy and The Role Model. Merton frequently created his own
phrases and concepts in his writings that were adopted by other social theorists. Merton came up

with a term, obliteration by incorporation for this very process, which means that once
something is embedded in common knowledge, the origin is forgotten (515).
Sociology of Science
A majority of Mertons fame comes from his development of the sociology of science.
Merton was interested in the interactions and importance between social and cultural structures
and science. Merton and his colleagues spent much time studying how the social system of
science works in accordance with, and often also in contradiction to, the ethos of science. His
more recent focus on the social organization of science led Merton to study the reward system in
the field of science, priority disputes between scientists, and the way in which famous scientists
often receive disproportionate credit for their contributions. This results in lesser known
scientists receiving less credit than their contributions actually merit. Merton called this
phenomenon the Matthew effect (Merton 1968: 2). With his study of the Matthew effect, Merton
was able to show how the social system of science sometimes deviated structurally from the
ethos of science, in this case by violating the norm of universalism. The top few scientists are
able to enjoy a large portion of awards, grants and jobs, the spread and distribution of resources
and recognition among scientists is highly skewed (5).
Sociological Terms, Theories and Concepts
Merton also coined and elaborated on many important sociological terms and theories
unrelated to the sociology of science. One of which is the reference group. This is when
individual compares themselves to others to evaluate the set standards in a social situation.
Merton believed that people tend to compare themselves to reference groups that hold a similar
social class to their own. In this case, a plumber would not compare his salary or bedside manner
to that of a neurosurgeon, but more likely to an electrician (Merton 1959: 235). Another similar

theory discussed by merton is in groups and out groups. He explains that The very same
behavior undergoes a complete change in evaluation in its transition from the in-group to the outgroup (336). Similar to a reference group, people associate with certain groups based on race,
religion, gender, education and so on. The groups they feel that they closely identify with are
their ingroup, those that they do not feel the same connection to are considered
outgroups. Merton theorized that there are ingroups and outgroups within a whole society, not
just within the individuals life. This mean the while it may be acceptable for a member of an
ingroup to do something it is not acceptable for a member of an outgroup to do the same thing.
An example would be if a young white girl were to ask for directions, most people would be
happy to help her. However, conversely if a middle age black man was to ask for directions
people would be hesitant to assist him. Merton uses this concept to aid his theory of the selffulfilling prophecy.
Merton created the term frequently used today role model. The sociologist first used
this in his studies at Columbia. He came up with this term while studying the socialization of
medical students. It was observed that instead of the students only following one set of standards
and roles which is attached to that of their expected behavior they have status within a whole
social structure that comes with its own sets of ambitions and even conflicts (303).
Self-Fulfilling Prophecy: Inception
The basis for the self-fulfilling prophecy comes from the Thomas theorem, If men
define situations as real, they are real in their consequences (Merton 1948: 193). Merton
explains how this statement applies to the self-fulfilling through the events that occurred on
Black Wednesday in 1932. Mertons view of society and social structures was deeply impacted
by The Great Depression and how it shaped the culture in America at the time. Before Black

Wednesday, the stable financial structure of the bank had depended upon one set of definitions of
the situation: belief in the validity of the interlocking system of economic promises men live by.
This is the understanding that when one deposits a check his/her money will be safe and
available when needed. However, on this day, despite the comparative liquidity of the bank's
assets, it took merely a rumor of insolvency, believed by enough depositors, to result in the
collapse of the bank (194). This turned Black Wednesday into an even Blacker Thursday where
the long lines of anxious depositors, each frantically seeking to salvage his/her own, grew to
longer lines of even more anxious depositors which created a situation where the anxious
depositor was right about his suspicions. Once the definition of the situation was set as
questioning the validity of the banking system, people acted as though it was real, thus creating
very real consequences.
Self-fulfilling Prophecy: Education
Merton also explains the self-fulfilling prophecy in simpler, laymans terms, by giving
the example of the nervous student. Before an exam the student is so plagued with fear that
he/she will fail, that the anxiety he/she is experiencing stops the student from properly studying.
This causes the student to do poorly on the exam. The initial, incorrect, perception that the
student held became a reality when he acted on it. The self-fulfilling prophecy is defined by
Mertons as ... in the beginning, a false definition of the situation evoking a new behavior which
makes the originally false conception come true. The specious validity of the self-fulfilling
prophecy perpetuates a reign of error. For the prophet will cite the actual course of events as
proof that he was right from the very beginning (195).
A study on the effect of the self-fulfilling prophecy on teachers predictions of students
future performance was conducted by Nicole Sorhagan at Temple University and published in

2013. The study was comprised of 1,273 mothers which contained a socioeconomically and
ethnically diverse sample, including 24% ethnic-minority children, 10% mothers with less than a
high school education, and 14% single parents (Sorhagan 2013: 467). Assessments were
conducted when the children were 6, 15, 24, 36, and 54 months old, while in the first, third, and
fifth grades, and at age 15. The assessments were conducted through individual standardized
tests, observations of families and school settings, and parent and teacher reports of behavior.
There were 894 first grade teachers who participated in the study. The students were given the
Woodcock-JohnsonRevised (WJR) Test of Achievement (WJR ACH) and Test of Cognitive
Abilities (WJR COG) multiple times throughout the study to test the effectiveness of the
teachers report. The teachers were given an academic skills questionnaire to report the students
math, reading, and language skills. First-grade teachers were instructed to rate the childs
academic abilities and performance compared to other children in their same grade based on a 5
point scale (1= not yet, 5=proficient). Teachers under and overestimation of a students abilities
were operationalized by computing a discrepancy score between the first-grade teachers report
and the students performance on the standardized test (467).
When teachers underestimated students abilities in the first grade, the students WJ-R
scores at age 15 were lower, even after taking into account prior measures of ability, gender,
ethnicity family income and non-cognitive factors known to influence achievement. Similarly,
when a student was overestimated in first grade, their later performance on WJ-R was higher
(469). This study shows the effects of the self-fulfilling prophecy on students performance due
to a teacher's belief in the students success or failure. In first grade the students had not yet been
shaped by the self-fulfilling prophecy were able to perform at their actual proficiency versus

their assumed level of competency. By the age of 15 the expectations on each student had shaped
their WJ-R score differently than their WJ-R score in first grade would have predicted.
Self-Fulfilling Prophecy: Race
Merton discussed the self-fulfilling prophecy in regards to race through the racial tension
he saw in society around him during the 1940s. In his essay he explains that white citizens tend
to strongly support a policy of excluding black people from their labor union (Merton 1948:
196). This view is, of course, based not upon prejudice, but upon the cold hard facts constructed
in their reality. The facts are these, black people, are union breakers and due to their ignorance
about the policy of unions they can not be apart of one. According to the white americans, black
people have a lower standard of living and are willing to take any job regardless of the low
wages, which is bad for a union. This makes black people damaging to the working class and
should manifestly be excluded from union organizations. And so, without knowing the union
worker is creating a self-fulfilling prophecy. Our unionist fails to see, of course, that he and his
kind have produced the very "facts" which he observes (196). Due to the fact that black people
are excluded from unions, they are forced to cross picket lines in order to find any work at all.
Thus, white people believe that black people are not able to form solidarity with a union and
used this as evidence for why they should not be included.
Issues of race and the self-fulfilling prophecy are discussed in Delores D. Jones-Brown
Michael W. Markowitz book The System in Black and White : Exploring the Connections
Between Race, Crime, and Justice. In a portion of the book the authors refer to the war on drugs
that was initiated during the Reagan and Bush era. It is argued that the war on drugs ultimately
worsened the inequality gap between races in the criminal justice system (Jones-Brown 2000:
105). The authors explain that in impoverished neighborhoods, people spend more time outside

leaving them susceptible to law enforcement intervention and an easy target for drug related
arrests. In the late 1980s drug arrests rose 115 percent for black Americans and only 27 percent
for white Americans (105).
This inequality in drug arrests is a quintessential example of the self-fulfilling prophecy
at work in race and class struggles in America. Due to unfortunate truth that a majority of black
Americans are already living in poorer communities they became victims of the war on drugs.
This then creates a self-fulfilling prophecy because as more and more family members face
imprisonment they become less likely to have the tools to rise out of poverty often forcing people
into lives of crime to make ends meet. Another issue that arises is that because urban drug
dealing is disproportionately documented, people of color become the profile that police look for
when attempting to make a drug arrest (105). This justifies, in the eyes of the law, stopping a
black person to search for drugs over stopping a white person. This bias then confirms the notion
that people of color are more likely to use drugs, thus propelling the self-fulfilling prophecy
further.
The Self-Fulfilling Prophecy: Ingroups and Outgroups
Merton discusses how the cycle of the self-fulfilling prophecy can be broken stating,
The initial
definition of the situation which has set the circle in motion must be abandoned. Only when the
original assumption is questioned and a new definition of the situation introduced, does the
consequent flow of events give the lie to the assumption. Only then does the belief no longer
father the reality (Merton 1948: 197). One must break the cycle of thought within society to
stop the spread of false paradigms. While the solution may sound simple in its explanation,
questioning concepts and ideals deeply seated within society is no easy feat.

The common notion is that education is the most effective way to end the negative effects of the
self-fulfilling prophecy. However, Merton argues otherwise, that education is not the proper tool
to change the commonly held beliefs of society. He explains that social intelligence is merely a
product of the social forces that are acting on the individual. One does not merely construct his
social reality based on what he/she is educated to believe. This means, that false paradigms are
not flushed out of ones mind when they are confronted by the truth (197). An example of this is
explained by Merton is that, One does not expect a paranoiac to abandon his hard-won
distortions and delusions upon being informed that they are altogether groundless. If psychic ills
could be cured merely by the dissemination of truth, the psychiatrists of this country would be
suffering from technological unemployment rather than from overwork (197). By this
argument, an educational campaign about the harm caused by prejudice and discrimination is
unlikely to have an influence on a majority of people holding those negative views.