ENG 510 Module Eight Journal Guidelines and Rubric O.docx

ENG 510 Module Eight Journal Guidelines and Rubric
Overview: Journal activities in this course are private between
you and the instructor. A course journal is generally made up of
many individual assignments.
The journals in this course will help to prepare you for Final
Project II, the creative writing tool kit. In this final project, you
will select creative writing styles and
techniques that you believe will be most effective in both
expressing your goals as a writer and reaching the audiences
you plan to target in your work.
Prompt: In your journal assignment, first answer this question:
What is a “target audience”? What elements of an audience does
any writer have to keep in mind
while creating a literary work he or she intends to publish? In
other words, what impact does the target audience have on a
writer’s choices?
Next, using How Defining Your Target Audience Can Make
Your Story Stronger and the Genre Characteristics chart,
identify your own target audience as a writer,
answering the following questions:
genre (e.g., literary, horror, thriller, romance, young adult,
historical)?Is there a particular
age, gender, or political/religious viewpoint or demographic the

ideal reader from your target audience might have?
genre’s target audience?
Specifically, the following critical elements must be addressed:
a target audience on an author’s choices for a literary work.
details. For example, is there a particular age, gender, or
political/religious viewpoint or
demographic the ideal reader from your target audience might
have?
genre (e.g., literary, horror, thriller, romance, young adult,
historical).
writing. For example, how might you use elements of voice and
style to appeal to your genre’s
target audience?
Guidelines for Submission:Submit assignment as a Word
document with double spacing, 12-point Times New Roman
font, and one-inch margins.Your journal
assignment should be no more than 500 words and any sources
should be cited in MLA format.

http://diymfa.com/community/defining-your-target-audience
http://www.ux1.eiu.edu/~cfder/GenreCharacteristicsChart.pdf
Rubric
Critical Elements Exemplary (100%) Proficient (90%) Needs
Improvement (70%) Not Evident (0%) Value
Impact of Target
Audience
Meets "Proficient" criteria and
provides exceptional detail in
explaining the impact of a
target audience on an author’s
choices
Defines what a target audience
is and explains the impact of a
choices for a literary work
Defines what a target audience
is and explains the impact of a
choices for a literary work, but
response lacks detail, clarity, or
accuracy
Does not define what a target
audience is and does not
explain the impact of a target
audience on creating a literary

work for publishing
22
Target Audience Meets "Proficient" criteria and
identifying a target audience
Identifies own target audience
as a writer, providing specific
details
Identifies own target audience
as a writer, providing details,
but response is unclear, lacks
details or specificity, or is
inaccurate
Does not identify own target
audience as a writer
22
Conventions Meets "Proficient" criteria and
describing the conventions
and/or expectations of chosen
genre
Describes the conventions
genre

Describes the conventions
genre, but description is vague
or lack details, is unclear, or is
inaccurate
Does not describe the
conventions and/or
expectations of chosen genre
22
Expectations Meets "Proficient" criteria and
explaining how these
expectations will be met in own
writing
Explains how these
writing
Explains how these
writing, but explanation is
unclear or lacks details
Does not explain how these
writing

22
Articulation of
Response
Journal assignment is free of
errors in organization and
grammar
Journal assignment is mostly
free of errors of organization
and grammar, which are
marginal and rarely interrupt
the flow
Journal assignment contains
errors of organization and
grammar but they are limited
enough so that assignment can
be understood
Journal assignment contains
errors of organization and
grammar that make the journal
difficult to understand
12
Total 100%

ViktorCap/iStock/Thinkstock
Learning Objectives
After reading this chapter, you should be
able to:
• Describe the basic elements of object-relations
theory, and describe the process of form-
ing internalized objects and how they shape
personality.
• Explain how attachment theory expanded our
understanding of how personality develops.
• Discuss the main features of Kohut’s self psy-
chology and how it adds to our understand-
ing of narcissism.
• Explain Winnicott’s concept of the good-
enough mother and why he thought infants
could not be studied by themselves.
• Explain the purpose of defenses and what
makes them functional or pathological.
• Describe Erickson’s contributions to identity
development and personality theory.
• Explain how normal personality development
is undermined by narcissism, according to the
contemporary psychodynamic approach.
Contemporary Psychodynamic
Models of Personality 3

Chapter Outline
Introduction
3.1 Early Development of Contemporary
Psychodynamic Approaches:
Object Relations
• Primacy of Attachment
• Attachment in Nonhuman Species
• The Good-Enough Mother
• The Experience of Emptiness
• Psychoneurosis and Normal Development
Psychodynamic Approaches:
Self Psychology
• Mirroring
• Identity Development
• The Significance of Identity and
Identity Crisis
• Development of Narcissism
• Core Effects of Narcissism: Shame and Rage
• Use Malan’s triangle of conflict to describe how emotion-
anxiety-defenses depict intrapsychic processes.
• Use Malan’s triangle of persons to describe how patterns from
our past attachments are reenacted in our
current relationships.
• Know the assessment strategies and tools for contemporary
psychodynamic models.
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CHAPTER 3
Introduction
We love attention, and it seems that our penchant for self-
attention is growing
(at least on a societal level). There are now companies you can
hire to provide you
with the same paparazzi experience lavished upon Hollywood
celebrities; you can
actually be a “celebrity for a day” and have throngs of media
taking photos of you
as you go out ( http://www.celeb4aday.com/Home.html). The
most popular TV
shows are reality shows that essentially detail and expose our
private lives. There
are even companies that will help you develop a more effective
personal Face-
book page to help boost your personal image and appear more
popular to others.
Although some self-love and attention seeking can be normal
and even healthy,
in more extreme manifestations (especially when combined with
grandiosity and
selfishness) it is neither healthy nor normal and would be
labeled as narcissism.
In psychodynamic terms, narcissism is a personality disorder
characterized by
extreme, pathological self-love. In their 2001 book, The
Narcissism Epidemic,
psychologists Jean M. Twenge and W. Keith Campbell discuss
how narcissism in
American culture is on the rise, and they suggest that this will
result in problems
such as aggression, materialism, and shallow values. Even

primary research has
weighed in on this topic, suggesting that the use of social media
can be related
to narcissistic tendencies (e.g., Carpenter, 2012) and can have
implications for
self-worth (Stefanone, Lackaff, & Rosen, 2011). For example,
greater narcissism
is seen in those who use Facebook the most. Research also
suggests that certain
behaviors associated with Facebook use are related to
narcissism. Consider the
following questions:
• Do you frequently update your Facebook status?
• When you do post, are the posts self-promoting in nature?
• Do you spend more than an hour per day on Facebook?
• Do you tag yourself in photos?
• Do you have a large number of virtual friends relative to non-
virtual
friends, and are you focused on growing that number?
• Do you enhance photos of yourself?
Introduction
Psychodynamic Approaches: Ego
Psychology
• Modes of Normal Functioning
• Interpersonal Functioning
• Making Sense of the World and
Using Defenses
3.4 Malan’s Psychodynamic Model of
Integrative Theory

• Malan’s Triangle of Conflict
• Malan’s Triangle of Persons: The Inter-
personal Matrix
• Using the Triangles to Explain Personal-
ity Development and Organization
3.5 Assessment Strategies and Tools
for Contemporary Psychodynamic
Models
• The Clinical Interview
• Projective Tests
Summary
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http://www.celeb4aday.com/Home.html
CHAPTER 3 3.1 Early Development of Contemporary
Psychodynamic Approaches: Object Relations
These are just some sample questions, but the more often you
answer “yes”
to these questions, the more likely you have more narcissistic
traits (and lower
self-esteem), at least according to some survey research of
Facebook users
(e.g., Carpenter, 2012).
Of course, we are interested in doing more than just measuring
narcissism; we
want to know its causes and consequences, and from a clinical
standpoint, we

want to know if such behavior can be modified (i.e., treated).
With over one billion
users worldwide, it’s obviously not the case the case that all
Facebook users are
narcissists (so don’t close your account just yet). However, even
individuals with
no clinical training appear able to identify the Facebook pages
of those higher in
narcissism (Buffardi & Campbell, 2008), and it is typically
easier to identify nar-
cissistic behavior in others than it is to see it in ourselves.
Indeed, our innermost
motivations are not always self-apparent (see the study in
Section 3.2 in “Devel-
opment of Narcissism,” which examines narcissism and self-
awareness).
In this chapter, we will explore some of the contemporary
psychodynamic models
that emerged around the second half of the 20th century and
continue to evolve
today. These theoretical systems advanced new concepts that
seemed to more
fully characterize the modern human condition. For example,
they looked at the
influence of sociocultural factors—an area that was largely
overlooked by Freud—
and how these affect the self.
Pine (1990) suggests that there are four basic orientations in
psychoanalytic the-
ory. The first, referred to as drive theory, was forwarded by
Freud. Drive theory
refers to the instincts that motivate behavior, and as noted in
Chapter 2, those
were the defined in terms of sex (life) and aggression (death).

The three remaining
orientations—object relations, self psychology, and ego
psychology—are grouped
within the contemporary psychodynamic approaches, and are the
primary focus
of the current chapter, along with Malan’s psychodynamic
model.
3.1 Early Development of Contemporary Psychodynamic
Approaches: Object Relations
An important development in contemporary psychoanalytic
theory is object- relations theory—the notion that each of us
carries around in our minds certain well-established ideas
(referred to as objects), often based on our early relationships
with our
mothers or fathers. The theory is founded on the notion that
important aspects of how we relate
to people are programmed into us by our early relationships.
Thus, object relations refer to the
study of how our minds evolve and grow in the context of our
relationships to our early caregivers
or primary attachment figures (for an overview, see Williams,
2012).
Objects are our internalized representations of important aspects
of these relationships. For exam-
ple, the mental representation of your mother is the object, and
object-relations theory suggests
that the way we relate to people reflects these objects. The
theory might suggest that a man who
is immediately suspicious of all the women he meets may be
viewing women through an object
that is based on experiences he had with his mother when he
was an infant. Perhaps she had
to leave him every day for a brief period of time and his

(unconscious) perception might be that
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she intentionally abandoned him
(note how reality is less relevant
than the individual’s perception
of reality; the object relation is
a subjective mental representa-
tion). The resulting object, based
on that early relationship, now
guides how he interprets rela-
tionships with other women.
This example could likewise be
extended to paternal objects, as
well as any other relationship the
infant can represent internally.
Among the many psychoanalysts who contributed to the
development of object-relations theory
are Otto Rank (who first introduced the concept), Melanie
Klein, W. R. D. Fairbairn, Margaret
Mahler, Annie Reich (Buckley, 1986), Ivan Boszormenyi-Nagy,
Harry Guntrip, and of course, D. W.
Winnicott, who played the most significant role in expanding
the concept of object relations.
Winnicott was a pediatrician who, after exposure to the work of
Melanie Klein and Anna Freud,
became a child analyst, although he also worked with adult
psychotic patients (D. W. Winnicott,

1988). He believed he could learn much about the psychology of
early infancy by studying adult
patients who had been made to regress (go back to their
childhoods and even infancies).
Object-relations theory was an impor-
tant departure from Freud’s structural
drive theory, in which aggression was
assumed to be a normal human instinct.
Instead, Winnicott viewed aggression as
a result of attachment disruption. Thus,
for Freud, the presence of aggression
would be normal, whereas for Winnicott
aggression would indicate a problem
related to attachment. Object-relations
theory is based on two main assump-
tions: (1) the development of self occurs
in our relationships with significant oth-
ers and (2) interactions with attachment
figures form internalized templates that
serve as working models for future rela-
tionships (Benedict & Hastings, 2002).
The object-relations movement was
stimulated in part by attachment theo-
rists who were beginning to recognize
the importance of relationships in both psychotherapy and
individual development. The move-
ment also focused on the processes of symbiosis and
individuation and their essential role in iden-
tity development (Mahler, Pine, & Bergman, 1975). Symbiosis
refers to the mother–infant unit, of
which the child is initially an undifferentiated part;
individuation is the process by which the infant
becomes increasingly separate and self-sufficient (Note:
Although traditional object-relations

Joruba/iStock/Thinkstock
Object-relations theory suggests that there is a delicate
balance between the mother and child being integrated
as one unit (symbiosis) and the developmental process of
the infant forming his or her own identity (individuation).
Beyond the Text: Classic Writings
In this 1958 paper, “The Nature of Love,” Harry Harlow, who
did pioneering work in the field of maternal attachment in
nonhuman species, describes maternal “love.” Read it at
http://psychclassics.yorku.ca/Harlow/love.htm.
Reference: Harlow, H. F. (1958). The nature of love. Ameri-
can Psychologist, 13, 673–685.
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http://psychclassics.yorku.ca/Harlow/love.htm
theorists referred to the mother-infant unit, with this language
being echoed in this chapter, a
more modern view would refer to the parent–infant unit, as the
former may be more tied to the
traditional gender roles of the time. In fact, the absence of
fathers—paternal separation—can
also have a toll on the infant; see, for example, Phares &
Compas, 1992). Object-relations theory
assumes that separation that is too rapid causes excessive
anxiety and can lead to a disruption in

the normal separation-individuation phase, which can then
result in more longstanding problems
in later life. Some research provides general support for this
association, as children who have
experienced various forms of abuse (e.g., sexual, physical, or
emotional) have a heightened risk
for a range of psychiatric conditions, including depression and
posttraumatic stress (Felitti et al.,
1998; Gibb, Chelminski, & Zimmerman, 2007). See “Putting
Object-Relations Theory to the Test:
Part 1,” in this chapter, for a description of one such study.
In addition to associating early maternal (and in parallel,
paternal) separation to problematic
behavior later in life, researchers have also tried to associate it
with biological consequences,
such as hormonal changes and other biological markers
associated with a stress response. More
recently, the term allostatic load has been introduced into the
literature to refer to the biologi-
cal and physiological consequences that result from chronic
stress. Importantly, the body has a
physiological threat response that occurs following stress
exposure, and although it is adaptive
to respond to the acute stressor, the frequent activation of this
system can be harmful to organs
and tissues. Allostatic load is a cumulative account of these
strains on the organs and tissues and
can be used to predict later life problems (McEwen & Seeman,
2003). In “Putting Object-Relations
Theory to the Test: Part 2,” in this chapter, we will examine
whether the early experience of mater-
nal separation can manifest in terms of physiological or
biological outcomes.
Primacy of Attachment

Many of Winnicott’s theoretical constructs developed after
World War II and were influenced
by his experience with children separated from their parents
during the bombing of England. He
came to believe that the main challenges we deal with have to
do with how to maintain balance
in our relationships. This requires balancing the polarities
involved in, for example, being autono-
mous but not feeling isolated; cooperating and giving without
allowing ourselves to be used; and
both receiving and giving, without being engulfed by the needs
of others (Cushman, 1992).
Winnicott’s ideas are very similar to Freud’s with respect to his
view of the unconscious, the
importance of early childhood development, and transference.
What is unique to Winnicott is that
he did not believe that infants could be viewed outside the
context of the maternal–infant dyad.
He thought of the beginning of the child’s life as a mother–
infant unit, such that the infant exists
only in the mother–infant dyad (Rayner, 1991). Accordingly, he
believed that the self develops in
the context of relationships between child and parent, and that
there is a core struggle between
the infant’s need for intimacy and the urge for separation. Some
of the theoretical concepts to be
defined next highlight his emphasis on this maternal–child dyad
and any disruptions to this dyad.
Attachment in Nonhuman Species
The importance of early attachment was also being explored in
other fields. For example, the
animal studies of Harlow (1958; for an overview see Suomi &
Leroy, 1982) demonstrated that
attachment involved more than simple feeding, as infant

monkeys who had been separated from
their mothers at birth (referred to as “orphaned monkeys”) were
exposed to surrogate mothers,
some of which provided warmth and a soft touch (they were
made of cloth), while others were
physically uncomfortable (made of wire), but they provided
food (i.e., a bottle to mimic breast
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feeding). Harlow found that the cloth surrogates were preferred
over the wire feeding surrogates.
However, all forms of early separation (i.e., regardless as to
whether the orphaned monkeys had
no or simply limited opportunities for attachment) resulted in
problematic behavior as they aged,
including, most notably, aggression (Harlow & Zimmerman,
1959). For a more detailed look at
Harlow’s work, see the “Beyond the Text: Classic Writings”
box in this section. Subtler forms of
separation have also been shown to result in greater timidity
and decreased willingness to explore
one’s environment (Suomi, 1991).
Similarly, the work of developmental psychologists also
informed our understanding of attachment
and separation, emphasizing the role of these experiences in
personality development (Davidson,
Scherer, & Goldsmith, 2003; Nadel & Muir, 2005; Panksepp,
1998). Especially influential was the
work of John Bowlby (1988) who studied early attachment in

primates and forwarded a theory
of attachment, separation, and loss (for a review, see
Bretherton, 1992). Bowlby postulated that
there are a number of behavioral systems that function to tie the
infant to the mother and keep
her in close proximity. He describes how attachment develops:
“The behavioural systems them-
selves are believed to develop within the infant as a result of his
interaction with his environment,
of evolutionary adaptedness, and especially of his interaction
with the principal figure in that
environment, namely his mother” (pp. 179–180). Bowlby
believed that clinging and sucking drive
attachment. Eating, he explained, is only a minor element in the
process of attachment, a finding
that was consistent with Harlow’s work, as well (see van der
Horst, LeRoy, & van der Veer, 2008).
The aim of attachment behavior, claims Bowlby, is to keep the
attachment object close to ensure
protection and food, both of which are essential for survival.
Proximity-maintaining behavior can
be seen when a mother leaves the room and the infant cries.
Bowlby also studied the experience
of separation and threats of separation, both of which were
thought to arouse feelings of anxiety,
anger, and even grief. Bowlby suggested that children are
protected from overly painful experi-
ences of loss because they experience a form of amnesia that
serves to defend against the pain/
loss, and he suggested that separation does not affect all
children in the same way.
Thus, it appears that attachment and the process of separation
are both experiences that are some-
what universal, and not limited to humans or just those

experiencing problematic functioning.
The Good-Enough Mother
One of Winnicott’s best-known concepts is that of the good-
enough mother, which is a very use-
ful concept in understanding the development of healthy and
unhealthy selves. This concept
refers to the fact that the mother must be healthy and responsive
enough to meet the infant’s
minute-to-minute needs as they occur (Winnicott, Shepherd, &
Davis, 1989). It does not mean
that the mother has to be a “perfect” parent to have healthy
children, but that it is important to
be available at a critical level of parental functioning in order to
fulfill the basic needs of uncom-
plicated developmental progression. Good-enough mothering,
then, provides what is necessary
for healthy development.
What is important is not a precise measurement of what is good
enough, but rather the idea that
at a certain level of maternal insufficiency, development will be
compromised. For example, imag-
ine a chronically depressed mother who is unable to respond
emotionally to her infant. In this
case, a sufficiently good attachment or object relationship will
not have been established. Accord-
ing to object-relations theory, the infant will then internalize
the mother as a distant and nonre-
sponsive object, and this may become a fixed internal
representation applied to future relation-
ships. In this case, the mother was not “good enough.” Now take
an instance in which a mother
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suffers from the “baby blues” or even postpartum depression in
the weeks following her child’s
birth. She isn’t perhaps as responsive as she would like to be to
her baby’s needs, but with medi-
cation and strong support from family and spouse, she is soon
feeling better and able to handle
most of the demands her child poses. Ultimately, the object
relation her child will form will be a
positive one. In this case, then, the mother wasn’t perfect, but
she was certainly “good enough”
to raise a well-adjusted child.
The Experience of Emptiness
Winnicott’s ideas about object relations enabled him to better
understand certain clinical phe-
nomena that were reported by his patients (Winnicott et al.,
1989). Among these phenomena
was the fact that some patients reported experiencing what they
described as deep emptiness.
Winnicott conceptualized this, along with most phenomena, as a
relationship event. He assumed
that the emptiness likely occurred before the person developed
language, when there was no
response from the primary attachment object/figure. In relation
to Freudian development, this
would be termed pre-Oedipal. Winnicott believed that it was
easier for a patient to remember a
traumatic event than to recall a lack of responsiveness from a
primary attachment figure. With-
out the benefit of language to form a narrative of what was
experienced, the patient is left with

deep emptiness.
What was important in the development of object-relations
theory was that it offered a new
way of looking at pre-Oedipal insufficiency, or what might now
be termed “emotional neglect.”
In some ways, it provided a better explanation for clinical
phenomena. Michael Balint (1968) also
drew attention to the problem of faulty or insufficient
parenting—that is, emotional neglect. He
believed this led to a chronic sense that there is something
wrong or defective about oneself—
hence sensations of emptiness. The basic fault, explained
Winnicott and other object-relations
theorists, has to do with disrupted or unformed infant–caregiver
attachment, a fact that under-
lines the importance of early attachment on the development of
the self.
The theoretical formulations and research in this area are
tremendously important as they
affect an increasing number of individuals. In 2011, the U.S.,
Department of Health and Human
Services found that approximately three-quarters of a million
children were reportedly abused or
neglected in the United States. Victimization rates are
approximately 9 for every thousand chil-
dren, with the youngest children (less than 3 years of age)
having the highest victimization rates.
For example, children under 1 year of age had victimization
rates of over 21 out of every thousand
children. In addition to the incredible toll on the children and
their families, the total lifetime eco-
nomic burden for those cases reported in a one-year period
(2008) would be between $124 billion
and $585 billion, depending on the type of analysis (Fang,

Brown, Florence, & Mercy, 2012). Thus,
a better understanding of this problem and the development of
intervention strategies is critical.
A logical extension of object-relations theory is that if we can
improve the mental and physical
health of parents, we may minimize problematic attachment,
have more mothers who are “good
enough” to meet their children’s needs, and in the long run,
avoid the experience of emptiness by
those children when they are adults.
Winnicott provides a theoretical connection between the
maternal levels of adjustment and level
of adjustment of their children. Research on this topic suggests
that emotional neglect by moth-
ers in childhood increases the incidence of psychopathology for
the children later in life (e.g.,
Jaite, Schneider, Hilbert, Pfeiffer, Lehmkuhl, & Salbach-
Andrae, 2012; Young, Lennie, & Minni,
2011). The literature also suggests that emotional neglect may
predict individual differences in
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Psychodynamic Approaches: Self Psychology
physiological responding, such as amygdala reactivity (White et
al., 2012) and cerebral infarcts in
old age (Wilson et al., 2012). One logical extension of this body
of research and the underlying
theory is to examine the implications of maternal interventions,
especially with high-risk mothers.

A study by Mayers, Hager-Budny, and Buckner (2008) involved
an intervention study targeting
low-income, teen mothers and their infants enrolled at inner city
public high schools. The findings
indicate that mothers who had received treatment had improved
interactions with their infants
in the areas of responsiveness, affective availability, and
directiveness. Infants in the treatment
group were also found to increase their interest in the mother,
respond more positively to physical
contact, and show improved emotional tone relative to the
control infants. The findings are also
consistent with object-relations theory.
Psychoneurosis and Normal Development
Winnicott views normal and abnormal personality development
in terms of how defenses are uti-
lized (recall that defenses are means of protecting the individual
from conflict related to anxiety).
Winnicott suggests that healthy individuals are those who can
marshal their defenses to combat
internal conflicts that arise. Like Freud, he believed that healthy
individuals employ a wide range
of defenses and can shift defenses in a flexible manner. In
contrast, unhealthy individuals tend to
have a more rigid set of defenses (Winnicott et al., 1989). Also,
the unhealthy person may resort
to massive repression or denial. In contrast, healthy individuals
can tolerate the conflicts inherent
in life and maintain contact with the self; they are less prone to
see others in terms of “good” or
“bad” objects, as they are referred to by object-relations
theorists.
The work of the object-relations theorists provides important

insight into child development and
suggests new ways of understanding adult psychopathology and
severe personality disorders.
Another important contribution relates to the emotions we
develop toward our selves, especially
our sometimes-extreme self-love, or, as we discussed in the
opening to the chapter, narcissism.
3.2 Early Development of Contemporary Psychodynamic
Approaches: Self Psychology
One of the central figures in the self-psychology movement was
Heinz Kohut, who believed that all children have a need for
someone to affirm and admire their achievements, a role most
commonly filled by the parental (and more typically, maternal)
figure. We here pres-
ent what Kohut believed to be some of the essential components
in the development of the self
and include a discussion of Erik Erikson’s theory, which
emphasizes the development of the self
over the lifespan.
Mirroring
The concept of mirroring refers to the act of providing an
accurate response to the thoughts,
moods, and feelings of another. Although this clearly involves
empathy, mirroring implies more
than just understanding another person’s emotions. An essential
aspect in the development of
a healthy self-system includes a relationship with a mirroring
figure. Mirroring is the process by
which the primary attachment figure provides feedback in the
form of reflection and affirmation
of the positive qualities that a child demonstrates (for a review,
see Ornstein, 1991).

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Psychodynamic Approaches: Self Psychology
Mirroring is expressed in somewhat different ways, depending
on the developmental stage of
the individual. In infancy, it is evident in a kind of synchrony of
responses between caregiver and
infant, calibrated to the infant’s needs, such that when the
infant is crying the caregiver might
naturally mimic the sad face, or when they are smiling and
laughing, the caregiver would likewise
smile broadly. Later in life, when language has developed,
mirroring might entail reflecting feel-
ings and thoughts that are discerned through active listening—a
process that, in a sense, allows
one person to locate the essence of the other. For example,
when you are talking to a close and
trusted friend about your concerns regarding the difficulty of
several upcoming exams, they might
reflect back to you that you appear to be expressing a more
general fear of failure. Assuming this
is an accurate read, this could function as a form of mirroring.
Kohut believed that the experience of mirroring is key to
development (Kohut & Wolf, 1986). The
thesis is that the newborn does not have a self, but has certain
prewired adaptations important for
biological survival (breathing, sucking, and coughing reflexes,
for example), as well as response
tendencies and needs critical for psychological survival.
Psychological survival, Kohut explains,
requires the presence of responsive and empathetic caregivers.

In this contemporary psychoana-
lytic view, relationships with caregivers become internalized,
give rise to self-objects, and lead to
the …
Dragonimages/iStock/Thinkstock
Learning Objectives
After reading this chapter, you should be
able to:
• Identify Sigmund Freud as the father of
psychoanalysis, and explain the significance
of the discovery of the unconscious.
• Define the three intrapsychic components
of id, ego, superego, and explain how Freud
thought they operated.
• Explain Freud’s levels of consciousness and
his theories regarding instincts and defense
mechanisms.
• Identify and explain the psychosexual stages
of development.
• Describe some of the research that supports
and refutes psychoanalytic theory.
• Identify key contributions to psychoanalytic
theory offered by Carl Jung, Alfred Adler,
Karen Horney, and Anna Freud.

• List and describe the psychodynamic methods
of assessment.
Psychoanalytic and Neo-Analytic
Theories of Personality 2
Chapter Outline
Introduction
2.1 Biography and Sociocultural Setting of
Freud and His Early Work
2.2 Psychoanalytic Theory
• The Fundamentals
• The Three Central Tenets of Psychoanalytic
Theory
• The Basic Instincts: Sex and Aggression
2.3 The Structural Components of Personality
• Topography of the Mind
• Structural Components of the Mind
• Anxiety
• Defense Mechanisms
• Neurosis and Symptom Formation
2.4 Stages of Psychosexual Development
• Oral Stage
• Anal Stage
• Phallic Stage
• Latency Stage
• Genital Stage
• Character Traits and Disorders in Psycho-
sexual Development
• Critique and Conclusions on Freud’s Theo-

retical Contributions
2.5 The Neo-Analytic Movement
• Carl Jung and the Collective Unconscious
• Alfred Adler and Inferiority Complex
• Anna Freud and Child Psychology
• Karen Horney and Repressed Womanhood
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CHAPTER 2
Introduction
In October of 1998, 21-year-old Matthew Wayne Shepard, a
student at the Univer-
sity of Wyoming, was tortured one night by two young men and
subsequently died
of the severe head injuries he sustained. This case garnered
national attention
when, during the trial, it became apparent that Matthew was
targeted because
he was gay. Sadly, this is just one of the many hate crimes that
continue to take
place on a daily basis across the country and around the world.
Of course, not all anti-gay behavior manifests as physical
violence. In 2009, Mag-
nolia Pictures released the documentary Outrage, which targets
political fig-
ures who have an aggressive anti-gay voting record (e.g.,
against gay marriage,
against adoptions by gay parents, against HIV research, etc.),
but who, accord-

ing to the filmmaker, have secret lives involving gay
relationships. The film raises
the possibility that the underlying motivation for the aggressive
anti-gay voting
records is to express a self-hatred that is turned outward against
others.
Examples in the public sphere of such counter-intuitive
behaviors are not rare.
Evangelical pastor Ted Haggard, who founded and led a
megachurch in Colorado
Springs, CO, preached and threw his political support behind a
Colorado amend-
ment that would ban gay marriage. However, in 2006, Mr.
Haggard resigned from
his leadership positions after it became widely known that he
had been involved
in a gay relationship with a male massage therapist. Additional
information sur-
faced to indicate that this was not a one-time event with a single
individual, but
rather a broader pattern of behavior that Mr. Haggard ultimately
acknowledged
and attributed to a childhood experience of sexual abuse. In
another example,
former U.S. Congressman Mark Foley was active in helping to
pass laws against
the sexual abuse of minors and was a strong opponent of child
pornography. Yet,
in 2006, he resigned from Congress after allegations emerged
that he had sent
sexually explicit text messages to underage males who either
had served or were
currently serving as male congressional pages.
It is important to note that all of us engage in counter-intuitive

behavior at times,
where our motives are hard to discern. (Fortunately, we are not
scrutinized in the
same way as public figures.) What can explain such behavior?
Why not simply
Introduction
2.6 Psychodynamic Methods of
Assessment
• The Technique of Psychoanalysis
• The Technique of Free Association
• The Technique of Dream Analysis
• The Word Association Task
• The Rorschach Inkblot Test
• The Thematic Apperception Test
Summary
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CHAPTER 2 2.1 Biography and Sociocultural Setting of Freud
and His Early Work
steer clear of such issues, rather than publically and
vociferously acting in a man-
ner that opposes private behavior and underlying motivation?
This chapter provides a close examination of the psychoanalytic
theory that can be
applied to such actions and, in fact, seems to be most applicable
to these appar-
ent contradictions. It provides an overview of psychoanalytic
theory and identi-

fies the major theoretical contributions. It introduces Sigmund
Freud and some of
the pioneering psychoanalytic theorists and clinicians who have
shaped the field.
Most importantly, this chapter identifies a series of research
questions derived
from psychoanalytic theory, and explores some primary research
that attempts to
answer those questions—for example, is there an unconscious
and can it influence
our behavior without our awareness? We begin with an
introduction to Freud and
the context within which his theory was developed.
2.1 Biography and Sociocultural Setting of
Freud and His Early Work
Cultural and historical influences have much to do with a
person’s way of thinking. It is impor-tant, therefore, to place
Freud’s work in the context of the time in which he developed
his groundbreaking work.
Sigmund Freud was born in Freiburg, Moravia, on May 6, 1856,
the oldest of seven children.
Freud was raised in the Victorian era, a time when dignity and
restraint were valued. He grew up
in a culture where sexual expression, especially among the
bourgeoisie (middle class), was very
restricted, especially in terms of what was publicly acceptable.
Freud, growing up, did not experi-
ence open discussion or even recognition of human sexual
expression (Gay, 1988).
He entered medical school at the University of Vienna in 1873
and was awarded his medical
degree in 1881. His first position was at the Institute of
Cerebral Anatomy, where he conducted

research comparing fetal and adult brains. He entered private
practice as a neurologist because
of the limited financial rewards of research and an anti-Semitic
attitude (Freud was Jewish) that
was prevalent in academia. He was strongly influenced by his
studies with Jean Charcot, a well-
known therapist who specialized in treating hysteria with
hypnosis. Hysteria, a condition in which
affected individuals convert their inner conflicts to physical
symptoms, which are sometimes quite
crippling, was considered a major disorder at that time. Freud
was inspired, as were many others,
by Charcot’s dramatic clinical demonstrations, and his interest
in neurology quickly gave way to his
new passion for psychopathology and the study of hysteria.
(Note: Psychopathology is the clinical
and scientific study of the disturbed mind. Psyche refers to the
mind and pathology means illness.)
Freud was also influenced by Josef Breuer, who he met at the
Institute of Physiology in the
1870s, and they became close friends and scientific
collaborators. Breuer was an Austrian physi-
cian whose works had begun to lay the foundation for
psychoanalysis. As Schwartz (1999) notes,
“Inspired by Charcot and impressed by Breuer’s results, on his
return to Vienna from Paris in 1886
Freud actively collaborated with Joseph Breuer on the problem
of hysteria” (p. 44).
Freud spent much of the earlier part of his career on the subject
of hysteria. Between 1894 and
1896, Freud presented seven papers on the origins of hysteria as
the result of sexual trauma
Lec81110_02_c02_039-068.indd 41 5/20/15 9:19 AM

CHAPTER 2 2.1 Biography and Sociocultural Setting of Freud
and His Early Work
(he called this trauma theory). “Freud described severe cases,
some coming to him after long
unsuccessful institutional treatment, all of whom suffered
trauma which had to be ‘classed as
grave sexual injuries; some of them positively revolting’ ”
(Schwartz, 1999, p. 66). Freud’s decision
to relate hysteria to sexual trauma likely had its roots in the
early work of Egyptian physicians and
Greek philosophers, who each believed that symptoms of
hysteria were due to improper position-
ing of the uterus. Interestingly, the treatment for this supposed
misalignment involved fumigating
the vagina (Alexander & Selesnik, 1966).
The patients that he treated, first with hypnosis and then with
psychoanalysis, showed the effects
of repressive Victorian society in their own repression of urges.
Repression is a psychological
defense mechanism that is used to keep painful experiences and
unacceptable impulses out of
conscious awareness. What Freud observed and taught about
repression was not entirely novel.
However, Freud systematically studied how repressive forces
operate and discovered that when
an individual—or a society—is severely repressed, outbreaks of
hysteria are common.
Although less prevalent, symptoms indicative of hysteria are
still seen today, and manifest as
either dissociative disorders, which typically involve

interrupted memory and some loss of aware-
ness and identity, or somatoform disorders, which involve
physical symptoms that either origi-
nate as, or are strongly influenced by, psychological
experiences. In fact, in reviewing some of
the historical incidents of hysteria, it is interesting to
note the frequency with which it occurs in gender-
segregated contexts. In Malaysia in the 1970s and 80s,
for example, school-age girls and young women work-
ing in factories were believed to have been affected
by “spirits.” More recently in Mexico in 2007, an out-
break of unusual symptoms occurred for females at a
Catholic boarding school. In 2010 in Brunei (southeast
Asia), adolescents at two all-girl secondary schools
manifested behavior such as screaming, shaking, and
crying due to the belief that they were “possessed.”
Although not exclusive to females in repressed societ-
ies or in female-only contexts, there does appear to
be a greater incidence among women in such repres-
sive settings, and this would parallel the fact that
most of Freud’s patients with hysteria were likewise
female. Freud attributed this female bias to anatomy
(the uterus), but later work focused on the fact that
woman are disproportionately repressed relative to
men in society (see Karen Horney’s work discussed
later in this chapter). Manifestations of group hysteria,
where teenagers’ behavior is overwhelmed by their
impulses, sometimes to the point of fainting, also
illustrate a phenomenon called emotional contagion.
Emotional contagion can sometimes lead a group into
highly destructive and even deadly behaviors, such
as have occurred in the United Kingdom during some
soccer games.
Tom Le Goff/Photodisc/Thinkstock

Hysterical pregnancy (or pseudocyesis),
in which a man or woman exhibits the
symptoms of pregnancy without actually
being pregnant, is one example of a
conversion disorder.
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CHAPTER 2 2.2 Psychoanalytic Theory
Perhaps the closest parallel today to hysteria is conversion
disorder, where one manifests a physi-
cal symptom in place of a psychological symptom. One of the
more interesting examples of this
can be seen in one of Freud’s most famous cases: Anna O, a
young woman who apparently expe-
rienced an hysterical pregnancy, which is when a person
experiences the physical symptoms of
pregnancy but is not pregnant. Today, this is somewhat rare and
is referred to as pseudocyesis
or false pregnancy. Pseudocyesis, which was first documented
by Hippocrates in approximately
300 BCE, can involve such symptoms as amenorrhea, morning
sickness, weight gain, and tender
breasts. It has also been documented in men.
Freud wed Martha Bernays in 1886. They had six children, the
most prominent of whom, Anna,
became a psychoanalyst. She greatly advanced her father’s
work, especially in applying his theory
to the treatment of children.
Freud was forced to leave Austria prior to World War II, and he
settled briefly in England. It was at

this later stage in his career that Freud began to emphasize a
second instinct underlying human
behavior: a death instinct. (Earlier in his life he had emphasized
a sexual instinct, presumably
paralleling his own primary motives.) He suffered tremendously
from cancer of the jaw, probably
caused by his prodigious—thirty a day—cigar habit. He endured
thirty-two operations but suc-
cumbed to the disease in 1939.
2.2 Psychoanalytic Theory
The “discovery of the unconscious” and the development of the
psychoanalytic method as a form of scientific inquiry heralded
the birth of modern psychotherapy and stands as one of the
intellectual milestones of the twentieth century (Schwartz,
1999). Freud’s terminol-
ogy permeates contemporary language and shapes culture to a
remarkable degree. Hardly a day
goes by that one does not hear Freudian terms. Even far outside
the professional psychological
community, familiarity with many Freudian concepts, such as
defense mechanisms, unconscious
processes, id, ego, and superego, is commonplace. People talk
of repressing their feelings or sup-
pressing memories, projecting their issues, sublimating, and so
forth. The word ego has become
a mainstay of popular culture. Biographers often use various
aspects of psychoanalysis to deepen
our understanding of the people about whom they write. Even
popular books, movies, and televi-
sion shows depict or satirize some of Freud’s fundamental
concepts.
What Freud set into motion with his unifying theoretical
system—his metapsychology, meaning

an attempt to go beyond what was known about the mind—was a
new emphasis on our inner
workings, hidden motivations, and primitive instinctual forces.
In fact, Freud not only acknowl-
edged these underlying motives, but suggested that they were
more important than what could
be found in consciousness. Freud argued that these instinctual
forces, primarily sexual and aggres-
sive impulses, are constrained by society, yet they exercise a
profound influence on our behav-
ior and our interpersonal relationships. Freud’s theoretical
formulations, despite years of intense
scrutiny and a backlash against some of his more controversial
ideas, remain influential for many
contemporary personality theories, and they continue to
stimulate research.
The Fundamentals
Psychoanalytic theory is a comprehensive metatheory (i.e.,
going beyond psychology, with what
knowledge we had at the time that it originated). It deals with
the structure and operation of the
Lec81110_02_c02_039-068.indd 43 5/20/15 9:19 AM
CHAPTER 2 2.2 Psychoanalytic Theory
mind, the formation of personality through stages of
psychosexual development, the develop-
ment of psychopathologies, and psychoanalytic methods for
treating psychological disorders.
Psychoanalysis was born when Freud abandoned hypnosis in
favor of the technique of

free association, the uncensored expression of feelings,
thoughts, and fantasies. “The patient
talks, tells of his past experiences and present impressions,
complains, confesses to his wishes and
his emotional impulses” (Freud, 1966).
In his clinical work, Freud was faced
with many reports of incest, and he ini-
tially took them at face value. This led
him to believe that sexual trauma was
at the root of most psychopathology.
He later modified his trauma theory,
suggesting instead that incest “memo-
ries” were usually fantasies produced by
the patient. In the end, Freud changed
his emphasis from trauma theory to
the Oedipal complex (a son’s desire to
possess his mother and jealousy and
anger toward his father) to account for
the many instances of sexual abuse his
patients disclosed. “Fundamental to
Freud’s thinking about the mind was a
simple assumption: If there is a discon-
tinuity in consciousness—something the
person is doing but cannot report or
explain—then the relevant mental processes necessary to ‘fill in
the gaps’ must be unconscious”
(Westen & Gabbard, 1999, p. 59). This assumption was
profound and would create considerable
controversy (Schwartz, 1999), which continues today in an
emotional debate surrounding the
validity of recovered memories of abuse. Specifically, some
psychoanalytically informed theorists
and researchers (e.g., Kluft, 1987) suggest that repressed
memories of trauma and abuse can lead

to disorders such as Dissociative Identity Disorder (DID;
formerly Multiple Personality Disorder).
However, other researchers have been very critical of this
hypothesis, suggesting that there is
considerable fallibility in both those who make the diagnosis of
DID (Levitt, 1988) and the process
of recovering any memories (Loftus & Davis, 2006), especially
those involving abuse (Lilienfeld et
al., 1999). Resolving the debate of how to best differentiate
actual memories of abuse and trauma
from false memories will be of great importance for both
clinicians and researchers (e.g., Belli,
2012; Gorman, 2008; Milchman, 2012).
Psychoanalysis was not only a theory of personality; it was also
a method of investigation that was
well suited to tapping into the unconscious, as well as a method
of treatment (Westen & Gabbard,
1999). Arguably because psychoanalysis simultaneously served
all of these functions, it was more
susceptible to tautological errors. Had independent methods
been used to tap the unconscious or
treat the patient, this might have allowed for a more thorough
testing of Freud’s ideas.
Shironosov/iStock/Thinkstock
Freud believed that the technique of free association
could provide a window into the patient’s unconscious.
Lec81110_02_c02_039-068.indd 44 5/20/15 9:19 AM
CHAPTER 2 2.3 The Structural Components of Personality

The Three Central Tenets of Psychoanalytic Theory
Psychoanalytic theory has three central tenets. The first is that
all human behavior is driven by sex-
ual and aggressive instincts. The second is that people
experience conflict, between the individual
and society as well as within each individual. The third is that
psychoanalytic theory assumes that
all significant aspects of psychological functioning (including
the aforementioned instincts and
conflict) are unknown to the individual.
The Basic Instincts: Sex and Aggression
Instincts are central to Freudian theory. Freud postulated two
primary instinctual drives: the sexual
(or libidinal) and the aggressive. He theorized that these were
opposing drives. The libido (some-
times referred to as Eros, the Greek god of love and sexual
desire) represents the life instinct;
aggression is a form of the death instinct (sometimes called
Thanatos, a minor mythological Greek
figure). Psychoanalysis emphasized the sex drive as the main
source of psychic energy (Westen &
Gabbard, 1999).
The importance of the sex drive was seen in Freud’s early work.
Initially, he believed that psycho-
pathology was due to sexual difficulties, and he even
recommended more sexual activity as a cure
for anxiety (e.g., Macmillan, 1997). However, he also suggested
that other problems would arise
due to masturbation. Freud had similar views regarding
aggression: Too little and the individual
would suffer from a passive personality, but too much might
lead to hyper-aggression. Excessive
aggressive impulses can be channeled into various types of
psychopathology, such as perversions

or personality disorders such as hysteria, obsessional neurosis,
and passive aggression. When indi-
viduals are functioning well, they are able to use aggression in
an appropriately competitive, self-
protective, and assertive fashion. Freud believed that the key to
mental health is to balance these
forces so that the relationship between our needs and those of
others are in equilibrium.
2.3 The Structural Components of Personality
Psychoanalysis is a structural theory, in that it offers us a
blueprint of the structure of the psyche and an account of the
interplay among the various psychic agents. This section intro-
duces the basic structure and the interplay between the
unconscious, the preconscious, and
conscious awareness.
Topography of the Mind
Freud’s model of the mind’s topography is depicted in Figure
2.1. This is not a map of the brain,
but a theoretical conception of how the mind organizes
experience and how its various compo-
nents interrelate. The main divisions are the unconscious,
preconscious, and conscious sectors.
These divisions of mental structure are central to Freud’s theory
and are defined as follows:
• Unconscious: Refers to the portion of the mind of which we
are unaware. It includes
impulses, fantasy, and primary processes. This represents the
vast majority of the mind,
though unconscious material is often completely inaccessible.
Indeed, even if material
can be moved from the unconscious to the preconscious and
eventually to conscious

awareness, it takes a long time and considerable therapy.
Lec81110_02_c02_039-068.indd 45 5/20/15 9:19 AM
Figure 2.1: Topographical representation of Freud’s theory on
the mind
and the role of anxiety and repression
Much of Freud’s theory is focused on the interplay between the
conscious, preconscious, and unconscious
and how defense mechanisms function.
• Preconscious: The preconscious is the portion of the mind
where unconscious material is
transformed or “worked over” by defense mechanisms such as
condensation and dis-
placement. Any material that is moving from the unconscious to
conscious awareness first
must go through the preconscious. Unlike the unconscious,
which requires intensive ther-
apy before an individual can get a glimpse of its contents, the
preconscious can be moved
to awareness simply by directing attention to the material.
Researchers subsequently
operationalized the term the cognitive unconscious, which was
quite distinct from Freud’s
unconscious, and more akin to his concept of the preconscious
(see Kihlstrom, 1987). This
is an important issue in the research to be described.
• Conscious: The conscious portion of the mind contains the
aspects of ourselves of which

we are aware. Freud believed this represented a very small part
of our mind.
Structural Components of the Mind
Freud described three major components of mental structure: the
id, ego, and superego (see
Figure 2.2). These structures were characterized as having a
developmental sequence, with the id
being present at birth, followed later by the ego, and eventually
the superego. Freud also believed
that the id was only influenced by instincts; as other external
sources exert their influence, then
the ego and superego can develop. Each of these structures is
here described in more detail.
Conscious
Preconscious
Unconscious
Anxiety
Repression
Sexual and aggressive
impulses
Defensive layer
Lec81110_02_c02_039-068.indd 46 5/20/15 9:19 AM
Figure 2.2: The interplay of Freud’s id, ego, and superego

Intrapsychic conflict is a staple of Freud’s theory, and the
structures that sustain that conflict are depicted here.
Conscience;
“Ego ideal”
Instinctual
organization
(sexual and
aggressive
drives)
Compromise
and
adaptation
Reality
principle
EGO
ID SUPEREGO
Id
Freud stated that the id is the first of the structures to influence
behavior. The id includes the
instincts or drives with which we are born, and it is driven by
primary process thinking; that is,
its thinking derives from inner thoughts and fantasies that are
egocentric in nature and lacking in
objectivity. Freud argued that the id resides primarily in the
unconscious and has no contact with

objective reality.
The id operates by what Freud termed the pleasure principle:
the attempt to avoid pain and
maximize pleasure. The id constantly seeks to discharge any
buildup of tension and to return
to a state of comfort or homeostasis. When hungry, it compels
us to eat, and when there is a
buildup of sexual tension, it looks for release without regard for
consequences—hence it is
called a primary process.
Primary process discharges tension by using the imagery of an
object to remove the tension. This
can occur because the wish is buried in the unconscious, so its
resolution can also be in the uncon-
scious. The resolution imagery (or hallucinatory experience)
represents wish fulfillment. Primary
process can be expressed in fantasy or in dreams. Almost
everyone engages in some form of sex-
ual or narcissistic (self-gratification) fantasy to reduce tension.
For example, after being belittled in
an office meeting by one’s employer, the targeted employee
might daydream about the outcome
of an upcoming tennis match in which his boss is humiliated in
defeat. Individuals who are overly
dominated by primary process are usually psychotic. They are
overly dependent on fantasy as a
way of gaining gratification; in other words, real life is not
sufficiently gratifying for them.
Although being dominated by the id can indicate
psychopathology for adults, normally functioning
infants are thought to fully experience this primitive stage.
Their focus is on the gratification of
instinctual urges, without consideration of the consequences of

their actions. Freud also argued
Lec81110_02_c02_039-068.indd 47 5/20/15 9:19 AM
that such urges are subject to instant gratification, meaning that
the urge or desire must be satis-
fied right away. In fact, a key developmental milestone is when
children are able to start delaying
their gratification, meaning that they can put off satisfying an
urge, knowing that it can be satisfied
in the future. According to Freud, the id is the structure that
creates physical drive (e.g., libido)
and energizes us, and is the original level of personality from
which the ego and superego become
differentiated as development proceeds.
Ego
The ego is the psychic structure whose primary function is that
of mediation. Freud believed that
our lives are filled with conflict, and he believed that our ability
to function effectively was deter-
mined in large part by our ability to mediate these conflicts.
Thus, a well-functioning ego is critical
to adaptive behavior.
There are two direct sources of conflict that the ego must
mediate. The first is the conflict
between the instinctual, gratification-seeking aims of the id and
the demands and restrictions of
the external world (society). In other words, the id seeks instant
gratification of basic desires, but

society places practical constraints on one’s ability to address
those desires, at least in a public
forum. The second source of conflict is internal, and arises
between the self-gratifying demands
of the id and the unrealistic expectations of the superego, which
reflects what we should do
(more on this shortly).
The ego functions on the reality principle, which is the
recognition that gratification is subject
to what reality makes possible. In a sense, with the development
of the ego, reality attempts to
supersede the gratification-seeking pleasure principle of the id.
Now the ego incorporates reality
testing into the individual’s functioning so that realistic aims
and plans can be carried out in place
of unreasonable desires. Reality testing is essentially an
information-processing function in which
the consequences of actions are weighed against the value of
gratification. This means that one
of the main functions of the ego is to problem-solve appropriate
ways of satisfying the individual’s
needs. The ego works in conjunction with the id, attempting to
balance impulses, but also using
the id’s energy to provide drive, creativity, and motivation.
When there is a breakdown of the
ego, individuals lose most of their ability to perceive reality
adequately and to control the force
of primary process. The result is that constraints on behavior
are often temporarily removed, and
individuals may engage in highly unacceptable and even
criminal behavior.
Superego
In Freud’s theory, the superego is the mental structure that

represents the internalization of soci-
ety’s values and morals, as portrayed by parental figures and
social institutions. The superego,
which operates by the morality principle, represents how the
individual should behave. It arises as
the child learns to differentiate good and bad behavior, and it is
influenced by the punishment and
praise that parents provide and by the consequences of
behavior. Importantly, because the super-
ego is, like the id, buried in the unconscious, it also has no
contact with reality. Thus, the morality
espoused is not normal morality, but ideal morality and …
Mike Powell/Digital Vision/Thinkstock
Learning Objectives
After reading this chapter, you should
be able to:
• Describe the beginning of personality
psychology.
• Define personality and distinguish among
the related terms of character, trait, factor,
temperament, and mood states.
• Understand the importance of theory
construction as it is related to personality
psychology.
• Explain the importance of using scientific
methodology in the study of personality.

• Identify and describe ways to assess and
measure data and research.
• Identify and describe the tools and methods
used to collect data and conduct research.
• Be familiar with some of the ethical issues
related to psychological testing.
The Science of Personality 1
Chapter Outline
Introduction
1.1 Why Study Personality? An Overview of
the Major Theories
• Theoretical Perspectives on Personality
• The Early Beginnings of Personality Theory
• Applying Science to Personality
1.2 Defining Personality
• The Stability and Change of Personality
• Personality, Temperament, Character, Traits
and Factors, and Mood States
• Culture
• Nature and Nurture
• How Related Disciplines Have Contributed to
Personality
• Defining Normal
1.3 Theory: A Way of Organizing Complex
Phenomena
• Building and Characterizing a Theory
• Testing the Theoretical Components

• Convergence of Theories: Eclecticism,
Integration, and Unification
1.4 The Scientific Method
• Research Methods
• Peer Review
1.5 Measuring and Assessing
• Standard Error of Measure
• Reliability
• Validity
• Ethics and Cultural Bias in Psychometrics
• Tools of Assessment
Summary
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CHAPTER 1 1.1 Why Study Personality? An Overview of the
Major Theories
Introduction
A judge is trying to determine whether a defendant is criminally
insane. You read
about a celebrity who can’t seem to stop using drugs and getting
into legal trouble
and wonder what it is about their character that leads to the
repeating of such
mistakes. You wonder what makes people go out of their way to
be kind or rude.
Major corporations try to identify the best leaders to hire or
employees that will
stay with the company for a long time. Each of these questions

(and many more)
fall within the domain of personality psychology. However,
there is a lot more to
addressing these issues than simply formulating an opinion as to
the answers.
Theories can be developed and scientific studies designed to
test the theories and
maximize the prediction of outcomes. That is in essence the
science of personal-
ity. In this chapter, the focus will be on how the scientific
method is applied to the
study of personality and how it has resulted in the development
of a wide range
of theoretical models.
1.1 Why Study Personality? An Overview of the Major
Theories
In your everyday life, opportunities arise for you to consider the
uniqueness of others. Some-times you have an encounter that
leaves you wondering why an individual would choose to act
kind or meanspirited. At times, we are even unsure as to the
reasoning behind our own behav-
ior. Although it is certainly rational to consider the role of
situations in explaining behavior, it is
also reasonable to consider the role of the individual’s character
to explain and predict important
outcomes. Indeed, of particular interest is the interaction
between the situational influences and
individual differences (also known as personality). This text is
dedicated to examining personality
and the important theoretical, research, and applied questions
that emerge from its study.
Of course, a broad range of societal issues tend to grab
our attention, especially high-profile criminal behav-

ior, but regardless of the topic, it is typical for societal
questions or problems to motivate the application of
personality theory to real-world issues. Christopher
Dorner, for example, was a former LA police officer
who had also served in the Navy. He allegedly gunned
down three fellow officers, apparently motivated by
revenge for grievances related to his dismissal from
the police force. After several killings and a Facebook
manifesto riddled with threats, a massive manhunt
ensued. Dorner was subsequently found, surrounded,
and killed. Fortunately, such violent responses from
disgruntled employees are relatively rare, even among
the ranks of former police officers and those with mili-
tary backgrounds. Thus, it is reasonable to ask what
caused Dorner to act as he did—and can we predict
and alter such behavior?
This text will provide an overview of some of the major
theories of personality, along with research that in
some instances supports, and in other instances fails
Getty Image News/Getty Images
Christopher Dorner, former LA police
officer who gunned down fellow officers
and was subsequently killed.
Lec81110_01_c01_001-038.indd 2 5/20/15 9:18 AM
Major Theories
to support, aspects of those theories. Here is an overview of
some of the dominant theoretical

accounts of personality and how they might be applied to
Dorner.
Theoretical Perspectives on Personality
There are seven primary schools of thought with regard to
personality:
• psychodynamic
• neurobiological
• behavioral
• cognitive/social
• interpersonal/relational
• trait
• self-psychology (humanism/existentialism)
Each of these perspectives is covered in detail in the chapters of
this text. Here, we present a brief
introduction to each view and how they might apply to the case
of Christopher Dorner. For a list of
general treatment considerations for the different perspectives,
see Table 1.1.
Psychodynamic Perspective
Psychodynamic theory, which was largely formulated by
Sigmund Freud, suggests that we are
driven to act by instincts that are sexual and aggressive in
nature. This perspective suggests that
we are constantly in conflict
with ourselves and society. The
theory posits that the rationale
for all adult action can be traced
back to how we related to our
parents. Most importantly, the
theory argues that the presence

and exact nature of our motives
(i.e., why we act in certain ways)
is unknown to us.
Was Dorner preoccupied with
acceptance by his parents? Did
he have a conflict-ridden rela-
tionship with his father, resulting
in the “transference” of blame toward other authority figures?
This perspective would also assume
that Dorner would have little knowledge or insight as to the true
motives behind his actions.
Neurobiological Perspective
One of the primary contributors to this perspective on
personality was Hans Eysenck. He viewed
humans as biosocial animals, and he sought to link the social
and biological sciences within his
theoretical framework. Eysenck suggested that the cause of
behavior could be traced to brain
functions; he focused specifically on differences in brain
activation. For example, he believed that
the ascending reticular activating system was the brain structure
responsible for the manifesta-
tion of extraverted or introverted behavior. Significant advances
in this perspective have been
achieved with the advent of high resolution imaging techniques.
Freud had a great deal to say about psychopathology,
even suggesting that seemingly benign behaviors could be
interpreted as problematic. Read The Psychopathology of
Everyday Life (1901) at http://psychclassics.yorku.ca/Freud

/Psycho/.
Reference: Freud, S. (1901). The Psychopathology of Every-
day Life. London: T. Fisher Unwin.
Lec81110_01_c01_001-038.indd 3 5/20/15 9:18 AM
http://psychclassics.yorku.ca/Freud/Psycho/
http://psychclassics.yorku.ca/Freud/Psycho/
Major Theories
Did Dorner have some basic brain structural or neurochemical
problem that would have resulted
in the incidence of impulsive and aggressive behavior? Was
Dorner biologically predisposed to
violence based on the presence of aggressive behavior in his
ancestors?
Behavioral Perspective
Rooted heavily in empiricism, the behavioral perspective has
been influenced by the works of John
Watson, Burrhus Skinner, John Dollard, and Neal Miller, to
name a few. This perspective empha-
sizes the role of learning in personality; that is, it focuses on
how we connect certain stimuli with
specific behavioral responses. The concept of conditioning is
especially central to this perspec-
tive, and much of the research is
based on animal models (i.e., it
was assumed that basic learning
principles can be applied to all
species of life).

Was Dorner reinforced for vio-
lent behavior in his upbringing
or, more recently, was he given
attention for his extreme actions?
Did he come to equate, through
conditioning, the fear he instilled
with the respect he demanded
from his colleagues?
Cognitive/Social Learning Perspective
This perspective was informed by such individuals as Albert
Bandura, Julian Rotter, and George Kelly.
The cognitive perspective emphasizes how individuals uniquely
perceive, interpret and recall events
in their lives, and how this can shape their character. That is,
this perspective highlights the impor-
tance of how reality is constructed by an individual, rather than
being determined by an objective
reality. The cognitive perspec-
tive has also been closely linked
to social learning theory, which
focuses on learning through mod-
eling (i.e., observing the behavior
of others).
Had Dorner been exposed to
examples of violent behavior in
his own home or in popular
media, and so he simply mim-
icked what he saw? What was his
unique way of interpreting the
events that led up to the killings
and his own death?

Watson wrote a classic paper that applies behaviorism
to mental disease. Not surprisingly, he focuses largely on
behavioral manifestations, but this is an important starting
point. Read Behavior and the Concept of Mental Disease at
http://psychclassics.yorku.ca/Watson/mental.htm.
Reference: Watson, J. B. (1916). Behavior and the concept
of mental disease. Journal of Philosophy, Psychology and
Scientific Methods, 13(22), 589–597.
Bandura and colleagues have specifically studied how
aggressive behavior in children is repeated after it is mod-
eled for someone. Modern research has largely confirmed
these findings, even for adults, and here you can read one
of the first classic publications in this area. Read one of
his papers on modeling at http://psychclassics.yorku.ca
/Bandura/bobo.htm.
Reference: Bandura, A., Ross, D., & Ross, S. A. (1961). Trans-
mission of aggression through imitation of aggressive mod-
els. The Journal of Abnormal and Social Psychology, 63(3),
575–582.
Lec81110_01_c01_001-038.indd 4 5/20/15 9:18 AM
http://psychclassics.yorku.ca/Watson/mental.htm
http://psychclassics.yorku.ca/Bandura/bobo.htm
http://psychclassics.yorku.ca/Bandura/bobo.htm

Major Theories
Interpersonal/Relational Perspective
The interpersonal perspective emphasizes how interactions with
others, especially dyadic inter-
actions, drive personality. This is a departure from theories that
largely focus on the individual
because the focus is on the interaction with others. This
approach includes the works of Harry
Sullivan, Henry Murray, and Murray Bowen. Relationships,
including relationships that may be
more artificial in nature (such as the one that a patient might
have with a therapist), are the pri-
mary focus, and these theorists think that they undergird
personality development.
Were Dorner’s relationships with his former colleagues marked
by deviant exchanges, during
which he experienced confusing and contradictory emotions?
Did he have problematic interac-
tions with authority figures in his life?
Table 1.1: Treatment considerations for theoretical perspectives
Theoretical perspective Approaches for treatment
Psychodynamic theory Can conflict in parent-child relationships
be used to predict who has the
greatest propensity for violent behavior as an adult? Can we
intervene
with therapy in the family of origin to minimize aggressive
behavior later
in life? Can making an individual aware of unconscious conflict
allow
that individual to redirect aggression toward safer, more

appropriate
expressions?
Neurobiological Can the presence of neurochemical or
neurostructural abnormalities be
accurately detected? Can those with such problems be identified
and
treated to minimize aggressive behavior later in life?
Behavioral Can token economies be employed to help
individuals’ value prosocial,
rather than antisocial, behavior? Can individuals who are
engaging
in aversive behavior be reconditioned to demonstrate more
socially
acceptable behavior?
Cognitive/social learning Can long-term exposure to violence in
television, movies, video games,
and other forms of media entertainment predict the incidence of
violence, and can we curb such violence by minimizing
exposure? Is it
possible to intervene by helping individuals interpret events
differently
(i.e., in a more favorable light)?
Interpersonal/relational Can we examine an individual’s
interpersonal style with others to identify
signs of problematic behavior? Is an individual routinely
involved in
attempts to control and blame others? Could complementary
relationships
be used to alter the structure of more problematic relationships?
Trait Can the personality traits that predict the incidence of
various forms of

mental illness or violent and aggressive behavior be detected?
Can we
find more adaptive outlets for these traits?
Self-psychology
(human/existential)
If an individual is provided with support and acceptance, is
violence, or
even the thought of violence, mitigated? Are feelings of
isolation the root
of anxiety and other disorders, and do feelings of isolation
exacerbate
extremist thinking?
Lec81110_01_c01_001-038.indd 5 5/20/15 9:18 AM
Major Theories
Trait Perspective
The trait perspective has had many significant contributors,
including Gordon Allport and Ray-
mond Cattell in the early years and researchers such as Paul
Costa and Robert McCrae more
recently. This perspective assumes that there is a broad
framework for organizing traits, which are
essentially descriptive terms or labels used to characterize a
person’s personality. Trait theorists
focus largely on measuring traits, understanding the
associations between them, and investigating
their underlying causes (most typically linked to biological
mechanisms). In order to help organize

the great many traits that have been employed to describe
human behavior, researchers in this
area have used advanced statistical techniques, such as factor
analysis. In many ways, traits also
represent the vernacular most used by lay individuals when
describing personality.
What traits would have made Dorner most susceptible to turning
to violence? Did he have a long-
standing tendency for violence or aggression that could have
been predicted from other traits,
such as dominance or poor frustration tolerance?
Self-Psychology (Humanistic/Existential) Perspective
This perspective reflects an attempt to conceptualize human
behavior in a more favorable light,
emphasizing our tendencies for growth, achieving our highest
potential (ideal self), and under-
standing our existence (why we are here). Key early
contributors included Carl Rogers, Abraham
Maslow, and Rollo May. More recently, the positive psychology
movement, which is dedicated to
building thriving individuals and communities, has represented
a resurgence of this perspective.
Was Dorner feeling powerless until he began to take matters
into his own hands by killing others
and drawing attention to his cause? Had Dorner lost the ability
to value life? Had he been placed
in a situation where those around him only valued him if he
engaged in specific behaviors?
These general theoretical applications establish a framework
upon which more specific ques-
tions can emerge. There are also important questions that can be

applied to all perspectives.
For example, to what extent was Dorner fully aware of his
actions and their consequences? Was
there anything that could have been done to intervene and alter
Dorner’s behavior? Was there a
point in the sequence of events leading up to the first shooting
after which no intervention was
possible? Contemporary personality theorists and researchers
provide us with a scientific basis to
understand the most essential questions in life. The goal of this
text is to not only demonstrate the
importance of these questions, but more importantly, to
establish a structure for how to optimally
frame the questions and how to devise the best way to
scientifically answer them.
The Early Beginnings of Personality Theory
The earliest pioneers of scientific work that has been associated
with the field of psychology
include Wilhelm Wundt, who used quantitative methods in
studying perceptions, sensations,
cognitions, and feelings. He considered these the “atoms” of
conscious experience and thought
that by understanding them he would understand the structure of
the mind—hence the label
structuralism for his school of thought. William James
considered psychology to be a natural sci-
ence and was largely responsible for introducing experimental
psychology to the United States.
However, the field of personality psychology began to coalesce
in the 1930s, with the publication
in 1937 of Gordon Allport’s Personality: A Psychological
Interpretation. During this same decade,
the journal Character and Personality was established, which
was one of the first psychology jour-

nals to use the term personality in its name, and the
comprehensive works of Kurt Lewin and
Lec81110_01_c01_001-038.indd 6 5/20/15 9:18 AM
Major Theories
Henry Murray, two of the founding fathers of contemporary
personality research, were published.
Although individuals, such as Sigmund Freud and William
James, whose life work would later be
included in the personality domain, predated this time period, it
was in the 1930s that the special-
ization of personality psychology emerged, growing out of the
primary area of clinical psychology
(see also Barenbaum & Winter, 2013).
The earliest roots of personality theory emerged from clinical
experience. Indeed, much of what
we have come to understand about personality comes from
clinical observation and psychometric
testing of individuals with disordered personalities (abnormal
psychology or psychopathology).
Clinical observations, in the form of thousands of published
case summaries, make up the founda-
tion of some of the more well-known theories of personality,
and these theories have contributed
to the current system of classification of mental disorders. The
understanding and advancement
of personality theory is inextricably linked to developments in
the field of psychotherapy, and a
wide range of models have been proposed to explain the
association between these two fields

(see Mayer, 2004). Psychotherapy became a branch of
psychology during the 20th century, and
the birth of modern psychotherapy can be traced to Freud’s
developing a comprehensive theory
of psychic functioning. Moreover, many important personality
theorists were psychiatrists (Freud,
Jung, Sullivan) or clinical psychologists (Carl Rogers, George
Kelly). This resulted in a marriage
between psychotherapy, one branch of clinical science, and the
study of what makes us unique.
The clinical perspective continues to be an important lens
through which to view personality,
largely because clinical work is concerned with behavior or
personality change. Psychotherapy
has traditionally provided one means of observing, measuring,
diagnosing, and treating person-
ality and related disturbances. However, personality is also
relevant to nonclinical functioning,
and has more recently been associated with the positive
psychology movement, reflecting the
optimal experience of life (e.g., Sheldeon, Kashdan, & Steger,
2011). In this respect, modern per-
sonality psychology is much broader than its predecessor, as it
has been applied to all aspects of
human experience.
Applying Science to Personality
Although humans have been conducting experiments in various
less formal ways since appearing
on the earth, it isn’t until recent history that science has become
more widely accepted (Lathrop,
1969). Science presents ways of experimenting that are
potentially far less costly and more effi-
cient than our primitive “trial and error” methods.

Gordon Allport was one of the first to focus on the study of the
personality, though his big-
gest contribution was not so much what would be the target of
study in personality psychol-
ogy, but, more importantly, how it would be studied. Allport
advocated a clear shift toward
studying the individual person within a social science
framework (see Allport, 1937).
The term personology, which was coined by Murray (1938),
refers to the development of theoreti-
cal systems for explaining and understanding human behavior.
As examples, consider the theo-
retical perspectives briefly introduced in this chapter that were
used to explain the behavior of
Christopher Dorner. These diverse theories offer markedly
different explanatory frameworks for
the same observations, and they emphasize different factors.
Psychologists or social scientists
who engaged in personology were identified as personologists.
Murray specified that the methods
of personologists are those of science, in that they make
systematic observations and use scien-
tific methods to test hypotheses. Although the term personology
is used less frequently today,
an emphasis on scientific methods remains central to the field
(see Section 1.4, “The Scientific
Method,” for more details).
Lec81110_01_c01_001-038.indd 7 5/20/15 9:18 AM
CHAPTER 1 1.2 Defining Personality
Theoretical systems are generally based on scientifically

established constructs. A construct is a
tool—usually a concept, model, or idea—that is useful for
organizing observations and making
them meaningful. For example, conditioning is a construct (a
model) that is used to understand
various forms of learning. An important construct for
understanding both normal and abnormal
human behavior, the central subject of this volume, is the
concept we know as personality (and,
in pathological versions, personality disorders or dysfunctions).
Personality theorists study personality using tools of
psychological science to assist in the devel-
opment of theoretical paradigms, or models, that attempt to
explain human behavior. Research-
ers have developed a variety of theoretical models, reflecting
their different perspectives, to
explain how personality operates. These theories will be
discussed in the chapters of this text,
along with the scientific research used to establish, evaluate,
and expand those theories. This
first chapter will also introduce you to some of the primary
scientific methods employed by
researchers in this field.
1.2 Defining Personality
The term personality is a well-established part of everyday
speech. Countless popular maga-zines feature articles about
personality, promising to help us learn how to deal with
difficult people, how to live with those who have personality
disorders, how to become leaders and
heroes and wonderfully thin and attractive people. We use the
term personality in day-to-day
language, and we invoke a wide range of adjectives to
characterize others and ourselves. In this

sense, personality has become an implicit construct for the
general public; it is not fully or specifi-
cally defined in that context, but it is commonly understood and
accepted, nonetheless. However,
when we use the term within the scientific field, personality
should be seen as a theoretical con-
struct, invoked to help us understand individual differences.
From a more formal standpoint, theorists and researchers have
defined personality as a pattern
of behavior, affect (emotional experience), or cognition
(thoughts) that is typical of the individual,
evidencing some degree of stability over time and across
situations. The references to behavior,
affect, and cognition in the definition also speak to the breadth
of personality psychology as it
attempts to encompass diverse contributions from subdisciplines
within psychology as well as
influences from other fields.
The Stability and Change of Personality
Our intuitive notions suggest that personality is stable, and this
would be in keeping with most
theoretical models of personality and its operational definition.
Moreover, several researchers
have devoted a significant part of their careers to establishing
that personality is stable (e.g.,
Block, 1971; Kogan & Block, 1991; McCrae & Costa, 1994; see
also Bleidorn, Kandler, Riemann,
Angleitner, & Spinath, 2012), and this is now widely accepted
as a central component of most
personality theories.
Of course, personality can change, even dramatically, though
typically there are some unusual
events that lead to such change. For example, in one of the most

famous cases in neuroscience,
Phineas Gage, while working on a railroad, had a steel tamping
rod shoot right through the frontal
lobe of his brain. As a result, he apparently experienced a
dramatic change in personality. Whereas
he had previously been a quiet, hard-working, dependable
employee, he became childish, obsti-
nate, self-indulgent, and given to excessive profanity. In some
cases, brain-injured individuals
Lec81110_01_c01_001-038.indd 8 5/20/15 9:18 AM
CHAPTER 1 1.2 Defining Personality
who had been severely aggres-
sive became more docile; others,
like Phineas Gage, who were ini-
tially gentle and pacific, became
extremely violent after suffering
brain trauma. Case studies have
also shown that the long-term
influence of alcohol or drugs
can change personality, and
progressing dementia, such as
Alzheimer’s, can result in person-
ality changes, such as individuals
becoming more paranoid and
even aggressive.
Personality, Temperament, Character, Traits and Factors, and
Mood States
Central to the notion of personality are the related, but
theoretically distinct, constructs of tem-
perament, character, traits and factors, and mood states.

Temperament
Temperament generally refers to an individual’s basic
biological predispositions, which are thought
to be present at birth. For example, most parents can discern
clear temperamental differences in
their children, despite their genetic relatedness. Some infants
appear to be “difficult,” whereas
others are seen as being “easy.” Some are outgoing and tend to
explore the world easily, whereas
others are more shy and introverted. Dimensions of
temperament are thought to reflect a strong
genetic basis, largely because the infant has had relatively little
time for the environment to be a
major influence.
Given that temperament is defined as one’s natural tendency to
behave outside of extended envi-
ronmental influence, there has been some debate as to whether
temperament is actually synony-
mous with personality—whether the two are in fact one and the
same. Recently, the argument has
been made that the two concepts are more alike than they are
different (e.g., Caspi, Roberts, &
Shiner, 2005; McCrae et al., 2000). Specifically, Caspi and
colleagues cite a confluence of research
suggesting that personality and temperament both (1) show
moderate genetic influence, (2) are
influenced by environmental factors, (3) focus on differences in
the experience of positive and neg-
ative emotions for the most central traits, and (4) characterize
traits that overlap with nonhuman
species. In fact, the more interesting question no longer appears
to be whether personality changes
during the lifespan (the general consensus is that it changes

very little), but, instead, the focus is on
determining the points in one’s life where change is most likely
to occur (Caspi et al., 2005).
Character
Character is a commonly used term that generally refers to
basic, enduring traits related to moral
or ethical qualities. Character might be described in terms of
characteristics such as integrity,
honesty, morality, and stability. Character assessment judges
how a person acts in various con-
texts. For example, what type of character would explain an
apparently remorseless individual?
Explanations based on character are most often seen in the
psychodynamic literature to describe
the inner workings of such people. The term character was used
early in the literature, whereas
personality is now much more common.
Beyond the Text: Research Spotlight
How do researchers determine if your personality is gener-
ally stable or variable across the lifespan? In a recent study
conducted by Terracciano, McCrae, & Costa (2010), a new
approach to answering this question was employed. Their
findings suggest that the stability of personality appears to
increase with age, though this association stops at approxi-
mately age 30. …

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